SEC NEWS DIGEST Issue 2007-42 March 5, 2007 COMMISSION ANNOUNCEMENTS SEC STAFF ANNOUNCE PANELISTS FOR MARCH 6TH ROUNDTABLE ON INTERNATIONAL FINANCIAL REPORTING STANDARDS "ROADMAP" Discussions to be Webcast in Real Time On March 2, the Commission announced the details for the upcoming roundtable on the International Financial Reporting Standards (IFRS) "roadmap." John W. White, Director, Division of Corporation Finance, will open the meeting at 10:00 a.m. Professor Hal S. Scott of Harvard Law School will introduce SEC Chairman Christopher Cox and European Commissioner for the Internal Market and Services Charlie McCreevy who will each provide opening remarks for the roundtable. The roundtable itself will feature panel discussions by a broad range of stakeholders in the US capital markets. The following expected panelists will discuss topics related to the potential effects of a co-existence of IFRS and US GAAP models in the US capital markets. 10:45 am The Effect on the Capital Raisin gProcess in the US Capital Markets J. Richard Blackett, Citigroup Global Markets, Inc. Neri Bukspan, Standard & Poor's Nicolas Grabar, Cleary Gottlieb Steen & Hamilton LLP David B. Kaplan, PricewaterhouseCoopers LLP Roberta Karmel, Brooklyn Law School Catherine R. Kinney, NYSE Group Inc. Ken Pott, Morgan Stanley Samuel J. Ranzilla, KPMG LLP 1:45 pm The Effect on Investors in the US Capital Markets Trevor Harris, Morgan Stanley Dennis Johnson, CalPERS Gregory J. Jonas, Moody's Investors Services Joseph P. Joseph, Putnam Investments Christian Leuz, Graduate School of Business, University of Chicago Joel S. Osnoss, Deloitte & Touche LLP Stephen M. Todd, Ernst & Young Global 3:45 pm The Effect on Issuers in the US Capital Markets Meredith B. Cross, Wilmer Cutler Pickering Hale and Dorr LLP Robert V. Deere, Royal Dutch Shell plc Denis Duverne, AXA Phillip R. Jones, E.I. du Pont de Nemours and Company Donald T. Nicolaisen, Member of various Boards of Directors and Audit Committees William F. Widdowson, UBS AG The roundtable will take place on March 6, 2007, from 10:00 a.m. to approximately 5:30 p.m., E.S.T., at Commission headquarters, 100 F Street, N.E., Washington, D.C., and will be open to the public with seating on a first-come, first-served basis. Doors will open at 9:00 a.m., E.S.T. Visitors will be subject to security checks. Materials related to the roundtable including the day's agenda and a list of participants are accessible at http://www.sec.gov/spotlight/ifrsroadmap.htm. Real time audio and video webcasts will be accessible at http://www.sec.gov/news/otherwebcasts.shtml. For additional information, please contact John Heine, SEC Office of Public Affairs, at 202-551-4123. (Press Rel. 2007-30) SEC CONDUCTS MAJOR SECURITIES MARKET OVERSIGHT TRAINING PROGRAM IN EAST AFRICA The Commission announced today that it has completed its first major Capital Market Development and Oversight Training Program in East Africa, held in Kampala, Uganda, from February 26-March 2. The week long program included intensive training on methods for conducting investigations of market misconduct, insider trading financial fraud, and market manipulation. The training also focused on corporate governance and disclosure, market regulation, and broker-dealer inspection and compliance. The East Africa program featured 50 delegates from securities authorities, stock exchanges, and central banks from twelve African countries. Several sessions were held to address current interest in harmonizing and integrating markets on a regional basis. The program was hosted by the East African Securities Regulatory Authorities (EASRA), which consists of the Capital Markets Authorities of Uganda, Kenya and Tanzania. Co-sponsors of the program were the U.S. Agency for International Development, Financial Services Volunteer Corps, and United States Treasury - Office of Technical Assistance. Japheth Katto, Chief Executive Officer, Capital Markets Authority, Uganda, said, "It has been a great honour to host this high profile training programme on behalf of EASRA. The U.S. SEC regulates the largest capital market in the world. It has shown great leadership and social responsibility by sharing its experience, expertise and resource material with participants from twelve young emerging capital markets in Africa. We are extremely grateful. I have no doubt that the seminar will help regulators and exchanges in the development of their legal and regulatory frameworks for the benefit of investors." Ethiopis Tafara, Director of the SEC's Office of International Affairs added, "The SEC staff was extremely pleased to be welcomed to Uganda to conduct this training program and I commend the leadership of EASRA for promoting this initiative. It speaks volumes about the interest that regulators and exchanges in Eastern Africa have in market development, and in the promotion of market integrity. The exchange of views that is possible through these programs enhances our understanding of market circumstances abroad. And to the extent we can help foreign securities authorities to enhance their ability to regulate and police their markets, we also contribute to the protection of all investors seeking investment opportunities in this region." Steven A. Browning, U.S. Ambassador to Uganda, in closing the program, observed, "The growth and development of strong capital markets are critical to Africa's, and Uganda's, continued economic development. We are greatly encouraged by the participation of so many African countries, regulators and exchanges in this training program." The SEC's technical assistance training programs have provided training for an astounding 1045 foreign officials from 107 foreign jurisdictions in fiscal year 2006 alone. In the last eighteen months, the SEC staff has conducted or substantially participated in regional or bilateral training programs in China, India, Malaysia, the Philippines, Thailand, Vietnam, Ecuador, Peru, Trinidad and Tobago, Bahrain, and Saudi Arabia. Vietnam, Kuwait and Iraq have recently sought and been provided assistance in developing new securities laws. The SEC's flagship training programs are its International Enforcement Institute held in the fall of each year, and its International Institute for Market Development held in the Spring. Last year, the Institute for Market Development audience totaled 148 senior securities officials from 68 emerging market countries. The technical assistance program includes regional training programs such as the African program, bilateral training programs, reviews of foreign statutes and regulations, and responses to specific technical assistance inquiries. For more information on SEC's technical assistance program contact Dr. Robert M. Fisher or Z. Scott Birdwell at the Office of International Affairs at 202-551-6690, or by email at OIA@SEC.gov. (Press Rel. 2007- 31) SEC STAFF ANNOUNCE REGIONAL CCOUTREACH SEMINARS As part of the SEC's CCOutreach program, which serves to enhance communication and coordination with mutual fund and investment adviser chief compliance officers (CCOs), the SEC staff is pleased to announce that the dates and locations of regional CCOutreach seminars are available on the SEC's website, and registration is now open, on a first come first served basis, with priority going to all mutual fund and investment adviser CCOs. The topics to be addressed at the regional seminars include * the examination and risk assessment process; * books and records and disclosures and filings; * brokerage arrangements, best execution, trade allocation, and soft dollars; * portfolio management; and * marketing, performance, advertising, and distribution. SEC examiners will discuss the risk identification and assessment process used by examiners, and how the risk identification process can help funds and advisers establish and maintain strong and comprehensive compliance programs. The seminars will also address the information and documents requested during SEC exams; various analyses and "forensic tests" that may be performed using this information; frequent exam findings; and factors to consider when establishing compliance controls. Lori Richards, Director of the Office of Compliance Inspections and Examinations, said, "We believe that by focusing our CCOutreach regional programs on the key compliance issues that are of most interest to CCOs, we will further our goal of assisting CCOs in developing and enhancing effective fund and adviser compliance programs for the benefit of investors." Seating at the regional seminars will be limited, with CCOs given priority on a first come, first served basis. Information regarding the regional seminars, including the dates and locations, is available on the SEC's website at http://www.sec.gov/info/ccoutreach.htm. For additional information, please send an email to CCOutreach@sec.gov. (Press Rel. 2007-32) ENFORCEMENT PROCEEDINGS IN THE MATTER OF KIRK WRIGHT On March 2, the Commission issued an Order Instituting Administrative Proceedings Pursuant To Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Kirk S. Wright (Wright). In the Order, the Division of Enforcement alleges that on Feb. 9, 2007, Wright was permanently enjoined from future violations of Sections 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and from future violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act). The Order further alleges that according to the complaint in the underlying injunctive action, between February 1997 and February 2006, Wright, International Management Associates, LLC (IMA) and International Management Associates Advisory Group, LLC (IMA Advisory) raised as much as $185 million from up to 500 investors by selling investments in seven hedge funds. The complaint also alleged that since at least 2003, IMA and IMA Advisory, through Wright, have been providing investors with quarterly statements that misrepresented the amount of assets in the respective funds and misrepresented the rates of return obtained by the respective funds. According to the complaint, without disclosure to investors, virtually all of the assets of the funds have been dissipated. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Wright an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against Wright are appropriate and in the public interest pursuant to the Advisers Act. (Rel. IA-2595; File No. 3-12579) SEC OBTAINS EMERGENCY ASSET FREEZE AGAINST UNKNOWN PURCHASERS OF CALL OPTIONS FOR TXU CORP. STOCK PRIOR TO ACQUISITION ANNOUNCEMENT Orders Placed From Foreign Accounts Just Prior to $45 Billion Acquisition Announcement; as much as $5.4 Million Frozen On March 2, the U.S. District Court for the Northern District of Illinois in Chicago, entered a Temporary Restraining Order freezing assets of certain Unknown Purchasers of Call Options for the common stock of TXU Corp. (Unknown Purchasers). The Commission's complaint alleges that the Unknown Purchasers engaged in illegal insider trading, in violation of the antifraud provisions of the federal securities laws. In addition to freezing approximately $5.4 million in assets, the Court's order (i) requires that the Unknown Purchasers identify themselves, (ii) provides for expedited discovery, and (iii) prohibits the defendants from destroying evidence. The Commission's complaint alleges that highly profitable and suspicious purchases of call option contracts for the common stock of TXU Corp. were placed by the Unknown Purchasers through overseas accounts in late February 2007. These purchases were made in advance of a public announcement (Announcement) on Feb. 26, 2007, that TXU had executed a merger agreement with private equity groups headed by Kohlberg Kravis Roberts & Co., Texas Pacific Group and Goldman Sachs & Co. The Complaint further alleges that as a result of the Announcement, TXU's common stock jumped more than 13% over its previous trading day closing price, placing the Unknown Purchasers in a position to gain substantial profits. The Commission further alleges that between February 21 and February 23 - prior to the public disclosure of the merger agreement - while in possession of material, nonpublic information regarding this acquisition offer, the Unknown Purchasers, using overseas accounts, purchased over 8,020 call option contracts for TXU stock in accounts at three broker-dealers in the United States. As the complaint alleges, the call option contracts were "out of the money" and most were set to expire in March, within weeks of the purchase date. The complaint further alleges that, as a result of the increase in price of TXU stock following the Announcement, the unrealized illicit profits on these option contracts total approximately $5.4 million. The Commission alleges that the Unknown Purchasers in this case engaged in insider trading in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission is seeking permanent injunctive relief, disgorgement of ill-gotten gains with prejudgment interest thereon, and civil monetary penalties. The Commission wishes to thank the Chicago Board Options Exchange, the Financial Services Authority of the United Kingdom and the Swiss Federal Banking Commission for their assistance in this matter. [SEC v. One or More Unknown Purchasers of Call Options for the Common Stock of TXU Corp., Civil Action No. 07C1208 (N.D. Ill.)] (LR-20028) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission granted approval of a proposed rule change (SR-FICC- 2006-05) filed by the Fixed Income Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934. The rule change adds new Rule 21A, Wind-Down of a Netting Member, to the Rules of FICC's Government Securities Division and new Rule 2A, Wind-Down of a Participant, to the Rules of FICC's Mortgage-Backed Securities Division to address a situation where a member or participant notifies FICC that it intends to wind down its activities, and FICC determines, in its discretion, that it must take special action in order to protect itself and its members and participants. Publication is expected in the Federal Register during the week of March 5. (Rel. 34- 55364) The Commission granted approval of a proposed rule change (SR-DTC- 2006-07) filed by The Depository Trust Company under Section 19(b)(1) of the Securities Exchange Act of 1934. The rule change adds a new Rule 32, Wind-Down of a Participant, to DTC's Rules and Procedures to address a situation where a participant notifies DTC that it intends to wind down its activities, and DTC determines in its discretion that it must take special action in order to protect itself and its participants. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55365) The Commission granted approval of a proposed rule change (SR-NSCC- 2006-05) filed by the National Securities Clearing Corporation under Section 19(b) of the Securities Exchange Act. The rule change adds a new Rule 42, Wind-Down of a Member, Fund Member, or Insurance Carrier Member, to NSCC's Rules to address a situation where a member notifies NSCC that it intends to wind down its activities, and NSCC determines in its discretion that it must take special action in order to protect itself and its members. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55366) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the American Stock Exchange to revise the AEMI and AEMI-One Rules relating to the publishing of manual quotations and re-enabling Auto-Ex (SR-Amex-2007-26) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55368) A proposed rule change (SR-ISE-2007-14), as modified by Amendment No. 1 thereto, filed by the International Securities Exchange relating to Re-Price Orders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55376) A proposed rule change (SR-CBOE-2007-17) filed by the Chicago Board Options Exchange to amend CBOE Rules relating to CBOE's determination to trade options on the S&P 100 (XEO) on the Hybrid 2.0 Platform has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55377) PROPOSED RULE CHANGES The Commission issued notice of filing of a proposed rule change (SR- Amex-2006-112), as modified by Amendment No. 1 thereto, filed by the American Stock Exchange relating to the listing and trading of units of the United States Natural Gas Fund, LP. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55372) The Boston Stock Exchange filed a proposed rule change and Amendments No. 1 and 2 thereto (SR-BSE-2006-11) relating to Boston Options Exchange's minor rule violation plan. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55373) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-NASDAQ-2007-014) submitted by The NASDAQ Stock Market to trade the iShares COMEX Gold Trust pursuant to unlisted trading privileges. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55380) The Chicago Board Options Exchange filed Amendment No. 1 to a proposed rule change (SR-CBOE-2006-112) relating to its non-option security trading rules, and the Commission has granted accelerated approval to the proposed rule change, as amended. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-55392) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 POLYGENETICS INTERNATIONAL INC, 1530- 9 AVENUE S.E., CALGARY, A0, T2G 0T7, 403-693-8000 - 500,000 ($2,000,000.00) Equity, (File 333-141018 - Mar. 2) (BR. 09) SB-2 WES Consulting, Inc., 4801 96TH STREET NORTH, ST. PETERSBURG, FL, 33708, 727-642-8212 - 324,000 ($324,000.00) Equity, (File 333-141022 - Mar. 2) (BR. ) S-8 Duke Energy CORP, 526 SOUTH CHURCH STREET, EC03T, CHARLOTTE, NC, 28202, 704-382-8114 - 0 ($1,187,400,000.00) Equity, (File 333-141023 - Mar. 2) (BR. 02) S-8 CROSSTEX ENERGY INC, C/O CROSSTEX ENERGY, INC., 2501 CEDAR SPRINGS STE 600, DALLAS, TX, 75201, 2149539500 - 0 ($31,972,050.00) Equity, (File 333-141024 - Mar. 2) (BR. 04A) S-8 MODERN TECHNOLOGY CORP, 1739 UNIVERSITY AVE., #339, OXFORD, MS, 38655, 6012133629 - 10,000,000 ($400,000.00) Equity, (File 333-141026 - Mar. 2) (BR. 08B) S-4 KBR, INC., 601 JEFFERSON STREET, SUITE 3400, HOUSTON, TX, 77002, (713) 753-3011 - 135,627,000 ($3,039,401,070.00) Equity, (File 333-141027 - Mar. 2) (BR. 06C) S-8 POLYONE CORP, POLYONE CENTER, 33587 WALKER ROAD, AVON LAKE, OH, 44012, 440-930-1000 - 3,383,205 ($23,107,290.15) Equity, (File 333-141028 - Mar. 2) (BR. 06A) S-8 POLYONE CORP, POLYONE CENTER, 33587 WALKER ROAD, AVON LAKE, OH, 44012, 440-930-1000 - 2,800,000 ($19,124,000.00) Equity, (File 333-141029 - Mar. 2) (BR. 06A) SB-2 Across America Financial Services, Inc., 700 SEVENTEENTH STREET, SUITE 1200, DENVER, CO, 80202, 303-893-1003 - 1,810,463 ($18,104.63) Equity, (File 333-141030 - Mar. 2) (BR. 11) S-8 STALLION GROUP, 604 - 700 WEST PENDER STREET, VANCOUVER, A1, V6C 1G8, (604) 760-6468 - 3,000,000 ($4,200,000.00) Equity, (File 333-141031 - Mar. 2) (BR. 04A) S-8 AVALONBAY COMMUNITIES INC, 2900 EISENHOWER AVENUE, SUITE 300, ALEXANDRIA, VA, 22314, 7033296300 - 0 ($102,153,820.00) Equity, (File 333-141032 - Mar. 2) (BR. 08A) S-8 OM GROUP INC, 1500 KEY TOWER, 127 PUBLIC SQUARE, CLEVELAND, OH, 44114, 2167810083 - 1,488,943 ($72,896,408.00) Equity, (File 333-141033 - Mar. 2) (BR. 06C) S-8 Abraxis BioScience, Inc., 1501 EAST WOODFIELD ROAD, SUITE 300 EAST, SCHAUMBURG, IL, 60173-5837, 847-969-2700 - 0 ($642,629,200.98) Equity, (File 333-141034 - Mar. 2) (BR. 01B) S-8 RENEWABLE ENERGY RESOURCES INC, 607A W MARTIN LUTHER KING BLVD, ,, TAMPA, FL, 33603, 8189811796 - 12,000,000 ($960,000.00) Other, (File 333-141035 - Mar. 2) (BR. 02C) S-8 CASELLA WASTE SYSTEMS INC, 25 GREENS HILL ROAD, RUTLAND, VT, 05701, 8027750325 - 0 ($14,809,125.00) Equity, (File 333-141038 - Mar. 2) (BR. 06C) S-3 FRANKLIN BANK CORP, 9800 RICHMOND AVE, SUITE 680, HOUSTON, TX, 77042, 713-339-8900 - 0 ($175,000,000.00) Unallocated (Universal) Shelf, (File 333-141039 - Mar. 2) (BR. 07B) S-1 ING LIFE INSURANCE & ANNUITY CO, 151 FARMINGTON AVE, HARTFORD, CT, 06156, 860-723-4646 - 0 ($250,000,000.00) Other, (File 333-141040 - Mar. 2) (BR. 20) S-1 IMAGING DIAGNOSTIC SYSTEMS INC /FL/, 6531 NW 18TH COURT, PLANTATION, FL, 33313-4520, 3057460500 - 75,000,000 ($6,000,000.00) Equity, (File 333-141041 - Mar. 2) (BR. 10B) S-8 LUMINEX CORP, 12212 TECHNOLOGY BLVD, 512-219-8020, AUSTIN, TX, 78727, 0 ($3,376,018.03) Equity, (File 333-141042 - Mar. 2) (BR. 01B) S-4 GATEWAY FINANCIAL HOLDINGS INC, 1580 LASKIN ROAD, VIRGINIA BEACH, VA, 23451, 7574224055 - 0 ($24,256,000.00) Equity, (File 333-141043 - Mar. 2) (BR. 07C) S-3 ARBOR REALTY TRUST INC, 333 EARLE OVINGTON BOULEVARD, SUITE 900, UNIONDALA, NY, 11553, 5168328003 - 0 ($500,000,000.00) Other, (File 333-141044 - Mar. 2) (BR. 08B) SB-2 Triangle Petroleum Corp, SUITE 1110, 521 - 3 AVENUE SW, CALGARY, A0, T2P 3T3, (403) 262-4471 - 10,412,000 ($27,383,560.00) Equity, (File 333-141046 - Mar. 2) (BR. 04C) S-8 VICTORY ENERGY CORP, 112 N. CURRY STREET, CARSON CITY, NV, 89703-4934, 7029899735 - 1,150,000 ($1,104,000.00) Equity, (File 333-141047 - Mar. 2) (BR. 11B) S-3ASR TEXAS INSTRUMENTS INC, P.O. BOX 660199, DALLAS, TX, 75266, 9729953773 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-141048 - Mar. 2) (BR. 10C) S-8 SMITH INTERNATIONAL INC, 16740 HARDY ST, P O BOX 60068, HOUSTON, TX, 77032, 2814433370 - 0 ($407,300,000.00) Equity, (File 333-141049 - Mar. 2) (BR. 04B) S-3 Vocus, Inc., 4296 FORBES BOULEVARD, LANHAM, MD, 20706, (301) 459-2590 - 0 ($60,000,000.00) Equity, (File 333-141050 - Mar. 2) (BR. 03) S-8 CIPRICO INC, 17400 MEDINA ROAD, PLYMOUTH, MN, 55447, 7635514000 - 0 ($1,736,250.00) Equity, (File 333-141051 - Mar. 2) (BR. 03C) S-8 SANDY SPRING BANCORP INC, 17801 GEORGIA AVE, OLNEY, MD, 20832, 3017746400 - 0 ($2,037,741.00) Equity, (File 333-141052 - Mar. 2) (BR. 07B) N-2 THAI FUND INC, 1221 AVENUE OF THE AMERICAS, P O BOX 2798, NEW YORK, NY, 10020, 6175578742 - 0 ($1,000,000.00) Equity, (File 333-141053 - Mar. 2) (BR. 16) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant's Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT 21ST CENTURY INSURANCE GROUP CA 2.02,2.05 02/26/07 24/7 REAL MEDIA INC DE 2.02,9.01 02/28/07 ACE Securities Corp. Home Equity Loan DE 9.01 03/02/07 ACME UNITED CORP CT 2.02,9.01 03/02/07 ACNB CORP PA 2.02,9.01 03/02/07 ADVANCED ENERGY INDUSTRIES INC DE 2.05,9.01 03/01/07 ADVENT SOFTWARE INC /DE/ DE 5.02,5.03,8.01 02/26/07 AFC ENTERPRISES INC MN 5.02,9.01 03/02/07 ALDILA INC DE 7.01,9.01 02/28/07 ALLIANCE ONE INTERNATIONAL, INC. VA 7.01,9.01 03/02/07 ALLIED WORLD ASSURANCE CO HOLDINGS LT 1.02,5.02,9.01 02/26/07 ALLIN CORP DE 2.02,9.01 02/28/07 ALTAIR NANOTECHNOLOGIES INC A6 1.01 02/23/07 AMB FINANCIAL CORP DE 5.02,9.01 02/28/07 AMB PROPERTY CORP MD 8.01,9.01 02/28/07 AMCOMP INC /FL DE 2.02,9.01 03/01/07 AMERI-FIRST FINANCIAL GROUP INC 4.01,9.01 03/02/07 American Achievement Group Holding Co DE 7.01 03/02/07 AMERICAN AIRLINES INC DE 7.01 03/02/07 AMERICAN ELECTRIC POWER CO INC NY 7.01 03/02/07 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 7.01 03/02/07 AMERICAN REPUBLIC REALTY FUND I WI 2.01 02/26/07 AMERICAN TONERSERV CORP. DE 3.02,5.02 02/26/07 AMGEN INC DE 8.01 03/01/07 AMKOR TECHNOLOGY INC DE 5.02 02/26/07 AMN HEALTHCARE SERVICES INC DE 2.02,9.01 03/01/07 AMR CORP DE 7.01 03/02/07 ANTARES PHARMA INC DE 1.01,2.03,3.02,9.01 02/26/07 APEX SILVER MINES LTD 4.02 03/01/07 APPALACHIAN BANCSHARES INC GA 8.01,9.01 02/27/07 AQUILA INC DE 4.01,9.01 03/01/07 ASSOCIATED BANC-CORP WI 5.02 03/01/07 ASSOCIATED ESTATES REALTY CORP OH 5.02 03/02/07 ATC HEALTHCARE INC /DE/ DE 3.01,9.01 02/26/07 ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 03/01/07 ATLAS AMERICA INC DE 2.02,9.01 03/01/07 Atlas Energy Resources, LLC DE 2.02,9.01 02/28/07 ATP OIL & GAS CORP TX 2.02,9.01 03/02/07 AVANEX CORP DE 1.01,2.05,3.02,8.01,9.01 02/28/07 AVATECH SOLUTIONS INC DE 5.02,9.01 02/28/07 AVERY DENNISON CORPORATION DE 5.02 03/02/07 AVIATION UPGRADE TECHNOLOGIES INC 4.01 02/28/07 AZZ INC TX 1.01,9.01 02/01/07 BALCHEM CORP MD 8.01,9.01 03/01/07 BANK OF KENTUCKY FINANCIAL CORP KY 5.02 01/31/07 BANNER CORP WA 5.02,9.01 03/02/07 BAUSCH & LOMB INC NY 5.02 02/26/07 BEA SYSTEMS INC DE 1.01 02/26/07 BEACH FIRST NATIONAL BANCSHARES INC SC 5.02,9.01 02/27/07 BEACON ROOFING SUPPLY INC 5.02,9.01 02/28/07 Bear Stearns Asset Backed Securities DE 9.01 02/15/07 BEAR STEARNS DEPOSITOR INC SERIES 200 8.01,9.01 02/15/07 BEARINGPOINT INC DE 1.01,3.01 02/28/07 BELL INDUSTRIES INC /NEW/ CA 1.01 02/27/07 BERKSHIRE HATHAWAY INC DE 2.02,9.01 03/01/07 BHIT INC DE 5.02 02/09/07 BIO IMAGING TECHNOLOGIES INC DE 5.02 02/27/07 BIOMARIN PHARMACEUTICAL INC DE 1.01 02/27/07 BlackRock Kelso Capital CORP DE 7.01 03/02/07 BLUEFIRE ETHANOL FUELS INC NV 8.01 02/28/07 BOK FINANCIAL CORP ET AL OK 7.01,9.01 03/01/07 BRENDAN TECHNOLOGIES INC NV 7.01,9.01 02/26/07 BUCYRUS INTERNATIONAL INC DE 1.01,1.02,9.01 08/16/06 BUILD A BEAR WORKSHOP INC DE 8.01 03/02/07 Bunge LTD 5.02,7.01 02/26/07 CALIPER LIFE SCIENCES INC DE 1.01,5.03,9.01 02/26/07 CAMPBELL FUND TRUST MD 3.02 03/01/07 CAMPBELL FUND TRUST MD 3.02 02/01/07 AMEND CANARGO ENERGY CORP DE 7.01,9.01 03/02/07 CANO PETROLEUM, INC 5.02 02/26/07 CAPITAL CORP OF THE WEST CA 5.04,9.01 02/07/07 Capital One Auto Receivables LLC DE 8.01,9.01 03/02/07 CARSUNLIMITED COM INC NV 5.03,9.01 03/02/07 CBEYOND, INC. 2.02,9.01 03/01/07 CBRL GROUP INC TN 7.01,9.01 03/01/07 CHAMPPS ENTERTAINMENT INC DE 8.01,9.01 03/01/07 CHENIERE ENERGY INC DE 4.01,9.01 03/01/07 CHESAPEAKE CORP /VA/ VA 5.02 03/02/07 CHESAPEAKE UTILITIES CORP DE 2.02,9.01 03/01/07 Chino Commercial Bancorp CA 8.01 02/26/07 CHIQUITA BRANDS INTERNATIONAL INC NJ 8.01 03/01/07 CHORDIANT SOFTWARE INC DE 5.02 02/26/07 CIRCOR INTERNATIONAL INC DE 4.01,9.01 02/26/07 CIRRUS LOGIC INC DE 4.02,9.01 02/26/07 CITADEL BROADCASTING CORP DE 1.01,5.02,9.01 02/28/07 CITIZENS HOLDING CO /MS/ MS 7.01,9.01 03/02/07 CLEVELAND CLIFFS INC OH 8.01 03/02/07 CLIFTON SAVINGS BANCORP INC 5.02 02/28/07 CLINICAL DATA INC DE 3.02,9.01 02/26/07 COAST FINANCIAL HOLDINGS INC 2.02,2.06,7.01,9.01 03/02/07 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 02/28/07 COCA COLA CO DE 5.02 02/28/07 Coconut Palm Acquisition Corp. DE 5.02,7.01,8.01,9.01 02/27/07 Cogdell Spencer Inc. MD 2.02,9.01 02/26/07 AMEND COLE KENNETH PRODUCTIONS INC NY 8.01 01/15/07 COMMONWEALTH EDISON CO IL 8.01 03/01/07 COMMONWEALTH EDISON CO IL 7.01,9.01 03/02/07 COMMSCOPE INC DE 7.01 03/02/07 COMMUNITY HEALTH SYSTEMS INC DE 5.02,9.01 02/28/07 COMPUWARE CORP MI 5.02,9.01 03/01/07 COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 03/01/07 Consolidated Communications Holdings, DE 1.01,9.01 02/26/07 CONSOLIDATED GRAPHICS INC /TX/ TX 7.01,9.01 02/26/07 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 03/01/07 Cooper-Standard Holdings Inc. DE 5.02 02/28/07 CORNERSTONE REALTY FUND LLC CA 7.01,9.01 03/02/07 CORONADO INDUSTRIES INC NY 3.02 02/28/07 CRONOS GROUP 1.01,5.02,9.01 02/28/07 CYTYC CORP DE 7.01 03/01/07 DAWSON GEOPHYSICAL CO TX 7.01,9.01 03/01/07 DDI CORP CA 2.02,5.02 02/26/07 DEAN FOODS CO DE 1.01,8.01,9.01 03/01/07 DELTA AIR LINES INC /DE/ DE 2.02,9.01 03/02/07 DELTA PETROLEUM CORP/CO CO 2.02,9.01 03/01/07 DENDRITE INTERNATIONAL INC NJ 1.01,3.03,5.02,9.01 03/01/07 Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 03/02/07 AMEND Devine Entertainment CORP A6 4.01,9.01 03/01/07 DHB INDUSTRIES INC DE 5.02 02/28/07 DIRECT GENERAL CORP 8.01,9.01 03/02/07 DOMINION RESOURCES INC /VA/ VA 5.03 02/28/07 DOT HILL SYSTEMS CORP NY 5.02 02/26/07 Douglas Emmett Inc MD 2.02,9.01 02/28/07 DOW JONES & CO INC DE 5.02 03/01/07 Dresser-Rand Group Inc. DE 2.02,7.01,9.01 03/01/07 DUNE ENERGY INC DE 1.01,9.01 02/26/07 DYCOM INDUSTRIES INC FL 2.02,9.01 02/27/07 DYNAMIC ALERT LTD NV 4.01 03/02/07 Dynegy Acquisition, Inc. DE 8.01,9.01 02/27/07 EAGLE FAMILY FOODS HOLDINGS INC DE 1.01,9.01 02/27/07 EATON CORP OH 5.02 02/27/07 ECB BANCORP INC NC 1.01,9.01 02/26/07 ECOLOCLEAN INDUSTRIES INC NV 2.01,7.01,9.01 12/29/06 ECOLOCLEAN INDUSTRIES INC NV 3.02,5.01,5.03,9.01 02/26/07 EDEN BIOSCIENCE CORP WA 1.01,2.01,9.01 02/28/07 Education Management LLC DE 1.01,9.01 02/26/07 ELECTRONICS FOR IMAGING INC DE 8.01,9.01 02/26/07 Energtek 3.02,9.01 02/23/07 ENTRAVISION COMMUNICATIONS CORP DE 1.01,5.02,9.01 02/28/07 ENVIRONMENTAL CONTROL CORP. NV 2.01,3.02,5.03,5.06,9.01 02/26/07 ESCALON MEDICAL CORP PA 1.01,1.02,8.01,9.01 02/27/07 EV Energy Partners, LP DE 8.01,9.01 03/01/07 AMEND EVANS SYSTEMS INC TX 1.01,3.01,3.02,5.01,5.02 02/26/07 Evercore Partners Inc. DE 5.02 03/01/07 FARNSWORTH BANCORP INC NJ 8.01,9.01 03/02/07 FENTURA FINANCIAL INC MI 3.02 02/26/07 FERRO CORP OH 7.01,9.01 03/01/07 FIRST AMERICAN CAPITAL CORP /KS KS 2.02,5.02,7.01,9.01 03/01/07 FIRST AMERICAN CORP CA 1.01,9.01 02/27/07 FIRST FEDERAL BANCSHARES OF ARKANSAS TX 8.01,9.01 03/01/07 FIRST MONTAUK FINANCIAL CORP NJ 5.01,8.01,9.01 02/26/07 FIRST NATIONAL BANCSHARES INC /SC/ SC 8.01,9.01 02/26/07 FIRST SOLAR, INC. DE 8.01,9.01 03/02/07 FIRST STATE BANCORPORATION NM 2.01,9.01 03/01/07 FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 03/02/07 FLATBUSH FEDERAL BANCORP INC 5.02,5.03,9.01 02/28/07 FLUSHING FINANCIAL CORP DE 7.01,9.01 03/01/07 FNB BANCORP/CA/ 2.02,9.01 03/02/07 FORD MOTOR CREDIT CO DE 8.01,9.01 03/01/07 FOSTER WHEELER LTD D0 5.02,9.01 02/27/07 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 03/01/07 FRONTIER OIL CORP /NEW/ WY 5.02,9.01 02/27/07 FTI CONSULTING INC MD 8.01,9.01 03/01/07 Gener8xion Entertainment, Inc. NY 4.01,9.01 02/27/07 GLATFELTER P H CO PA 5.02 02/27/07 Global Beverage Solutions, Inc. 5.02 02/23/07 GLOBAL BUSINESS SERVICES INC DE 4.01,9.01 03/02/07 GoFish Corp. 5.02,9.01 02/26/07 GRAHAM CORP DE 5.02,8.01,9.01 03/01/07 GREAT AMERICAN FINANCIAL RESOURCES IN DE 8.01 03/02/07 GREAT PLAINS ENERGY INC MO 8.01,9.01 03/02/07 GREAT PLAINS ENERGY INC MO 8.01,9.01 03/02/07 GREIF INC DE 2.02,8.01,9.01 02/26/07 GROUP 1 AUTOMOTIVE INC DE 8.01 02/28/07 GULF ISLAND FABRICATION INC LA 8.01,9.01 03/01/07 GULF ISLAND FABRICATION INC LA 2.02,9.01 03/01/07 GUNDLE SLT ENVIRONMENTAL INC DE 2.02,5.02,9.01 02/27/07 HALLIBURTON CO DE 1.01,5.04,9.01 02/26/07 HAMPTONS LUXURY HOMES INC DE 8.01,9.01 03/02/07 HANGER ORTHOPEDIC GROUP INC DE 8.01,9.01 02/26/07 HANOVER COMPRESSOR CO / DE 3.02 02/27/07 HARLEYSVILLE NATIONAL CORP PA 8.01,9.01 03/02/07 HARTFORD LIFE INSURANCE CO CT 9.01 03/02/07 HARVEST NATURAL RESOURCES, INC. DE 5.02 02/27/07 Health Fitness Corp /MN/ MN 8.01 01/31/07 HERITAGE OAKS BANCORP CA 8.01,9.01 03/01/07 HILLMAN COMPANIES INC DE 4.02,9.01 02/23/07 HILTON HOTELS CORP DE 8.01,9.01 03/02/07 HINES REAL ESTATE INVESTMENT TRUST IN 1.01,2.01,2.03,9.01 02/26/07 HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 5.02 02/28/07 Home Equity Mortgage Loan Asset-Backe DE 2.01,9.01 02/05/07 Honda Auto Receivables 2007-1 Owner T CA 8.01,9.01 02/27/07 HOSPITALITY PROPERTIES TRUST MD 5.02,8.01 01/11/07 AMEND HUTTIG BUILDING PRODUCTS INC DE 2.05,5.02 02/27/07 HYDROGEN POWER INC DE 4.01,9.01 02/26/07 HYTHIAM INC DE 1.01,5.02,9.01 02/28/07 IA GLOBAL INC DE 5.02 02/28/07 IDENIX PHARMACEUTICALS INC 2.02,9.01 03/02/07 ILLUMINA INC DE 9.01 03/01/07 IMMTECH PHARMACEUTICALS, INC. DE 5.02 03/01/07 INDALEX HOLDINGS FINANCE INC 5.02 02/27/07 INFINITY PROPERTY & CASUALTY CORP OH 5.02 02/26/07 Innova Robotics & Automation, Inc. NV 1.01,9.01 02/23/07 INSPIRE PHARMACEUTICALS INC DE 9.01 03/02/07 INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 03/01/07 INTERNATIONAL ASSETS HOLDING CORP DE 8.01 03/02/07 INTERNATIONAL BUSINESS MACHINES CORP NY 7.01 03/02/07 INTERNATIONAL FOOD & WINE CONSULTANTS NV 8.01,9.01 03/02/07 INTRICON CORP PA 2.02,7.01,9.01 02/27/07 INVACARE CORP OH 5.02,9.01 03/02/07 INVITROGEN CORP DE 1.01,5.02,9.01 02/27/07 IOMAI CORP 1.01,3.02,8.01,9.01 03/02/07 IOWA TELECOMMUNICATIONS SERVICES INC IA 2.02,9.01 03/02/07 IRWIN FINANCIAL CORP IN 8.01 03/02/07 ISECURETRAC CORP DE 5.02 03/01/07 ISLE OF CAPRI CASINOS INC DE 5.02,9.01 03/02/07 ITRON INC /WA/ WA 3.02,7.01,9.01 03/01/07 James River Coal CO VA 1.02,2.03 02/26/07 AMEND JO-ANN STORES INC OH 3.03,9.01 02/26/07 JOHNSON & JOHNSON NJ 5.02 02/28/07 JOHNSON & JOHNSON NJ 2.01,9.01 12/20/06 AMEND Juniper Partners Acquisition Corp. DE 2.01 01/19/07 AMEND KANSAS CITY LIFE INSURANCE CO MO 2.02 03/01/07 KATY INDUSTRIES INC DE 5.02 03/02/07 KBR, INC. DE 1.01,9.01 02/26/07 KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 5.02,9.01 02/26/07 KING PHARMACEUTICALS INC TN 1.01,2.01,9.01 02/26/07 KMG CHEMICALS INC TX 2.02,9.01 03/02/07 LAKES ENTERTAINMENT INC MN 5.02 02/26/07 LANDAUER INC DE 8.01,9.01 03/02/07 LANGER INC NY 3.01,8.01,9.01 02/16/07 LAS VEGAS SANDS CORP NV 8.01 02/26/07 LEGG MASON INC MD 5.02 02/26/07 LEHMAN ABS CORP BOEING SECURITIES BAC DE 8.01,9.01 02/15/07 LEHMAN ABS CORP CIT CAPITAL TR 1 SEC DE 8.01,9.01 02/15/07 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 02/15/07 LEHMAN ABS CORP DUKE CAPITAL NOTE BAC DE 8.01,9.01 02/15/07 LEHMAN ABS CORP GEN ELEC CAP SERVICES DE 8.01,9.01 02/21/07 LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 02/15/07 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 02/15/07 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 02/15/07 LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE 8.01,9.01 02/15/07 LENOX GROUP INC DE 2.05,8.01 02/26/07 LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 03/01/07 LEVI STRAUSS & CO DE 1.01,9.01 02/28/07 LEXINGTON REALTY TRUST MD 8.01 02/01/07 Liberty Global, Inc. 5.02 02/26/07 LIGHTBRIDGE INC DE 5.02 02/27/07 LITTLEFIELD CORP DE 2.02,9.01 02/28/07 LODGENET ENTERTAINMENT CORP DE 1.01,3.03,9.01 02/28/07 LONE STAR TECHNOLOGIES INC DE 1.01,9.01 02/27/07 LOOKSMART LTD DE 5.02,9.01 02/13/07 LOUISIANA-PACIFIC CORP DE 5.02 03/01/07 LUBYS INC DE 2.02,9.01 02/14/07 MAC-GRAY CORP DE 1.01 01/17/07 MAGNA LAB INC NY 3.03,5.03,9.01 03/01/07 MARRIOTT INTERNATIONAL INC /MD/ DE 8.01 03/01/07 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 03/02/07 Marvel Entertainment, Inc. DE 2.02,9.01 02/26/07 MAXCO INC MI 3.01,8.01,9.01 02/27/07 McAfee, Inc. DE 2.02 02/08/07 AMEND MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 03/01/07 MCDERMOTT INTERNATIONAL INC R1 5.02 02/26/07 MD TECHNOLOGIES INC 2.03,9.01 03/02/07 MEADWESTVACO CORP DE 5.02,9.01 02/26/07 Medallion Trust Series 2007-1G 8.01,9.01 02/27/07 MEDICOR LTD DE 1.01,2.01,2.02,8.01 02/13/07 MEDTOX SCIENTIFIC INC DE 5.02 02/27/07 MEDTRONIC INC MN 8.01,9.01 02/28/07 Mellanox Technologies, Ltd. L3 5.02 02/27/07 Mercantile Bancorp, Inc. DE 2.02,8.01,9.01 02/27/07 MET PRO CORP PA 2.02,9.01 01/31/07 METHODE ELECTRONICS INC DE 1.01,8.01,9.01 02/28/07 METHODE ELECTRONICS INC DE 2.02,9.01 03/02/07 MFRI INC DE 1.01,2.03,9.01 02/28/07 MILLS CORP DE 3.01 02/26/07 MOCON INC MN 2.02,9.01 03/01/07 Monogram Biosciences, Inc. DE 5.02 02/26/07 MONTPELIER RE HOLDINGS LTD D0 8.01 03/01/07 Morningstar, Inc. IL 7.01 03/02/07 MOTIENT CORP DE 5.02 02/28/07 MOVADO GROUP INC NY 5.02 02/16/07 MOVIE GALLERY INC DE 5.02,9.01 02/27/07 MSC SOFTWARE CORP DE 2.02,9.01 02/28/07 AMEND MultiCell Technologies, Inc. DE 4.02,9.01 02/28/07 NARA BANCORP INC DE 5.03,9.01 08/24/06 NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 03/01/07 AMEND NATIONAL CITY CORP DE 5.02,9.01 02/26/07 NATIONAL MERCANTILE BANCORP CA 5.02 02/26/07 NAVISTAR INTERNATIONAL CORP DE 8.01 03/02/07 NEON Communications Group, Inc. DE 5.03,9.01 03/01/07 NETGEAR, INC DE 5.02,9.01 03/02/07 Network Communications, Inc. 5.02 02/28/07 NEW PLAN EXCEL REALTY TRUST INC MD 1.01,9.01 02/27/07 NEW PLAN EXCEL REALTY TRUST INC MD 5.02 02/26/07 NEW YORK HEALTH CARE INC NY 5.02 02/28/07 AMEND NEWS CORP 1.01,2.03 03/02/07 NEWS CORP 8.01,9.01 03/02/07 NORTEL NETWORKS CORP 2.02,8.01,9.01 03/01/07 NORTEL NETWORKS LTD 2.02,8.01,9.01 03/01/07 NORTHEAST COMMUNITY BANCORP INC X1 2.02,8.01,9.01 03/01/07 NOVAVAX INC DE 1.01,9.01 02/26/07 NOVELL INC DE 8.01 02/28/07 NTELOS HOLDINGS CORP 7.01,9.01 03/02/07 NUCOR CORP DE 2.01,9.01 03/02/07 NUVEEN INVESTMENTS INC DE 3.01 02/27/07 ON ASSIGNMENT INC DE 2.02,9.01 02/28/07 ONE LIBERTY PROPERTIES INC MD 9.01 03/02/07 AMEND Optelecom-NKF, Inc. DE 2.02,9.01 02/27/07 Orange 21 Inc. DE 8.01 02/26/07 Orange 21 Inc. DE 1.01,2.03,9.01 02/26/07 OWENS ILLINOIS GROUP INC DE 7.01,9.01 03/02/07 Pacific Ethanol, Inc. DE 2.02,9.01 03/01/07 AMEND PAETEC Holding Corp. 1.01,2.01,2.03,5.02,5.03,7.01, 02/28/07 8.01,9.01 PAR PHARMACEUTICAL COMPANIES, INC. DE 8.01,9.01 02/27/07 PAVILION BANCORP INC 2.02,9.01 03/01/07 PAYMENT DATA SYSTEMS INC NV 5.02,9.01 02/27/07 PENN VIRGINIA CORP VA 5.02 02/27/07 Penn Virginia GP Holdings, L.P. 5.02 02/27/07 PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 03/01/07 PEPSI BOTTLING GROUP INC DE 1.01,8.01,9.01 03/01/07 PETER KIEWIT SONS INC /DE/ DE 2.02,5.03,9.01 02/27/07 PetroHunter Energy Corp MD 1.01,7.01,9.01 12/29/06 AMEND PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 03/02/07 AMEND PHARMACOPEIA DRUG DISCOVERY INC DE 5.02,8.01,9.01 02/28/07 PHARSIGHT CORP CA 3.02 03/01/07 PHOTOMEDEX INC DE 2.02,9.01 03/01/07 PICO HOLDINGS INC /NEW CA 1.01,3.02,9.01 02/28/07 PIONEER NATURAL RESOURCES CO DE 5.02,5.05,9.01 02/26/07 PORTEC RAIL PRODUCTS INC WV 2.02,9.01 03/01/07 POWERWAVE TECHNOLOGIES INC DE 1.01,2.03,9.01 02/28/07 PREMIER EXHIBITIONS, INC. 1.01 02/28/07 PRESSTEK INC /DE/ DE 1.01,5.02,9.01 02/27/07 PROGRESSIVE GAMING INTERNATIONAL CORP NV 8.01 03/02/07 Protalix BioTherapeutics, Inc. FL 1.01,5.02,8.01,9.01 02/28/07 QSGI INC. DE 2.02,9.01 02/27/07 QUANTA SERVICES INC DE 7.01,9.01 03/02/07 RAPTOR NETWORKS TECHNOLOGY INC 5.02,8.01 02/28/07 READERS DIGEST ASSOCIATION INC DE 5.04,9.01 02/26/07 READERS DIGEST ASSOCIATION INC DE 8.01,9.01 03/02/07 Red Mile Entertainment Inc 5.02,8.01,9.01 02/28/07 REGENERON PHARMACEUTICALS INC NY 2.02,9.01 03/01/07 REGENT COMMUNICATIONS INC DE 2.02,9.01 03/02/07 REPROS THERAPEUTICS INC. DE 5.02 02/27/07 REPUBLIC FIRST BANCORP INC PA 5.02,9.01 02/27/07 RIDGEWOOD ELECTRIC POWER TRUST I DE 7.01 03/02/07 RIMAGE CORP MN 5.02 02/28/07 RIVIERA HOLDINGS CORP NV 2.02,9.01 03/02/07 SALISBURY BANCORP INC CT 2.02,8.01,9.01 02/28/07 SANDERSON FARMS INC MS 2.02,9.01 02/27/07 SATCON TECHNOLOGY CORP DE 5.03,9.01 02/27/07 SCOTTISH RE GROUP LTD E9 8.01,9.01 03/02/07 SCOTTS LIQUID GOLD INC CO 2.02,9.01 03/02/07 SEACOR HOLDINGS INC /NEW/ DE 5.02 02/26/07 SELIGMAN QUALITY MUNICIPAL FUND INC MD 7.01,9.01 03/02/07 SENIOR HOUSING PROPERTIES TRUST MD 5.02 02/27/07 SHARPS COMPLIANCE CORP DE 8.01 03/01/07 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 03/01/07 SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 03/01/07 SILVERADO GOLD MINES LTD A1 8.01,9.01 03/01/07 SILVERLEAF RESORTS INC 7.01,9.01 02/27/07 SINOFRESH HEALTHCARE INC FL 5.02 02/26/07 SITESTAR CORP NV 1.01,9.01 02/28/07 Skinny Nutritional Corp. 1.01,3.02,9.01 02/27/07 SM&A DE 2.02,8.01,9.01 03/01/07 SMARTIRE SYSTEMS INC 8.01,9.01 11/10/06 SMURFIT STONE CONTAINER CORP DE 1.01,5.03,9.01 02/26/07 SOLECTRON CORP DE 5.02 02/27/07 SONA MOBILE HOLDINGS CORP DE 1.01,9.01 03/01/07 SOUTHEASTERN BANKING CORP GA 2.02,9.01 03/02/07 SOUTHERN COPPER CORP/ DE 8.01 03/01/07 SOUTHWESTERN ENERGY CO AR 7.01 03/01/07 SOYO GROUP INC NV 1.01 03/02/07 SPECTRUM PHARMACEUTICALS INC DE 8.01,9.01 02/16/07 STAR SCIENTIFIC INC DE 3.03 02/27/07 STEEL DYNAMICS INC IN 7.01,9.01 03/01/07 STERLING FINANCIAL CORP /WA/ WA 2.01,9.01 02/28/07 STERLING FINANCIAL CORP /WA/ WA 5.02,5.03,9.01 02/28/07 STONE ENERGY CORP DE 7.01,9.01 02/28/07 STRATEGIC DIAGNOSTICS INC/DE/ DE 2.02,9.01 03/01/07 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 02/28/07 SUN NEW MEDIA INC. MN 5.02,9.01 02/26/07 SUNGARD DATA SYSTEMS INC DE 1.01,9.01 02/28/07 SYNTA PHARMACEUTICALS CORP 5.02 02/26/07 TALLY HO VENTURES INC DE 4.01,4.02,9.01 11/30/06 AMEND TELKONET INC 1.01,9.01 02/23/07 TERCICA INC DE 5.02 02/27/07 THOMAS PROPERTIES GROUP INC DE 2.02,9.01 03/01/07 TIMBERLAND CO DE 5.02,5.03,9.01 02/27/07 TODCO DE 5.02,9.01 03/01/07 TOFUTTI BRANDS INC DE 5.02 02/27/07 TOTAL LUXURY GROUP INC IN 9.01 03/01/07 TRANSGENOMIC INC DE 2.05 02/20/07 TRIARC COMPANIES INC DE 2.02,9.01 03/01/07 TRIPOS INC UT 8.01,9.01 03/02/07 TURBOCHEF TECHNOLOGIES INC DE 8.01 02/28/07 TURBOCHEF TECHNOLOGIES INC DE 8.01 02/27/07 TYCO INTERNATIONAL LTD /BER/ D0 7.01,9.01 03/01/07 ULTRALIFE BATTERIES INC DE 8.01 03/02/07 UNICO AMERICAN CORP NV 8.01 03/02/07 UNITED SURGICAL PARTNERS INTERNATIONA DE 5.02,9.01 02/28/07 UNITED THERAPEUTICS CORP DE 8.01 03/01/07 UNITRIN INC DE 8.01,9.01 03/02/07 UNIVERSAL CITY DEVELOPMENT PARTNERS L 5.02 02/26/07 Universal City Florida Holding Co. I FL 5.02 02/26/07 US LEC CORP DE 1.01,2.01,2.03,5.01,9.01 02/28/07 USI HOLDINGS CORP DE 2.02,9.01 03/01/07 UTSTARCOM INC DE 8.01,9.01 03/02/07 VANTAGEMED CORP DE 2.02,8.01,9.01 03/01/07 VASCO DATA SECURITY INTERNATIONAL INC DE 5.02,8.01,9.01 02/26/07 VERSANT CORP CA 5.03,9.01 02/26/07 Vertical Communications, Inc. DE 5.02 02/26/07 VERTICALNET INC PA 3.02 03/01/07 VIVUS INC CA 2.02,9.01 03/02/07 WABASH NATIONAL CORP /DE DE 8.01 03/01/07 WaMu Mortgage Pass-Through Certificat DE 9.01 02/15/07 WASTE MANAGEMENT INC DE 5.03,9.01 03/01/07 WATSON PHARMACEUTICALS INC NV 5.02 02/26/07 WEATHERFORD INTERNATIONAL LTD D0 1.01 02/28/07 WENDYS INTERNATIONAL INC OH 5.02 02/26/07 WESCO FINANCIAL CORP CA 2.02,9.01 03/01/07 WESTAFF INC DE 5.01,9.01 02/28/07 WESTAFF INC DE 2.02,9.01 03/01/07 WESTAR ENERGY INC /KS KS 2.02,9.01 03/01/07 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 8.01,9.01 03/02/07 WHX CORP DE 5.02,8.01,9.01 03/02/07 WILSHIRE BANCORP INC CA 8.01,9.01 03/01/07 WINSTON HOTELS INC NC 8.01,9.01 03/02/07 Winthrop Realty Trust OH 5.03,9.01 02/27/07 WIRELESS AGE COMMUNICATIONS INC NV 2.04,3.03,9.01 02/26/07 WIRELESS RONIN TECHNOLOGIES INC MN 8.01 02/26/07 WIZZARD SOFTWARE CORP /CO CO 1.01,7.01,9.01 02/27/07 WORLD WRESTLING ENTERTAINMENTINC DE 5.02,9.01 03/02/07 XCEL ENERGY INC MN 2.02,9.01 03/02/07 XCORPOREAL, INC. DE 1.01,5.02 02/27/07 XERIUM TECHNOLOGIES INC DE 2.02,9.01 03/01/07 XSTREAM BEVERAGE NETWORK, INC. NV 2.01,5.02,9.01 02/23/07 XSUNX INC CO 1.01,9.01 01/26/07 YAHOO INC DE 5.02 02/26/07 ZAP CA 5.02 03/01/07