SEC NEWS DIGEST Issue 2007-20 January 31, 2007 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Auditorium, Room LL-002 at the Commission's Headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is Available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Human Resources, to make arrangements. Ms. Franks can be reached at TTY number (202) 551-4106. In the event Ms. Franks cannot be reached, you may call the interpreter directly at (202) 551-4158. If you are calling from a non TTY number, please call the Relay Service at 1 866 377 8642. An Open Meeting will be held on Wednesday, February 7, 2007, at 10:00 a.m. in the Auditorium, Room LL-002, and Closed Meetings will be held on Wednesday, February 7, 2007, at 11:00 a.m. and Thursday, February 8, 2007, at 2:00 p.m. OPEN MEETING - WEDNESDAY, FEBRUARY 7, 2007 - 10:00 A.M. The subject matter of the Open Meeting scheduled for Wednesday, February 7, 2007, at 10:00 a.m. will be: The Commission will hear oral argument on an appeal by John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price, and Christopher H. Zacharias from an initial decision of an administrative law judge. Carley and Zacharias were officers and directors of Starnet Communications International, Inc. Geiger and Kaufmann were associated persons of Spencer Edwards, Inc., a registered broker-dealer. Price was president, chief executive officer, and chief compliance officer of Spencer Edwards and supervised Geiger and Kaufmann. The law judge found that Carley and Zacharias violated, and Geiger and Kaufmann willfully violated, Sections 5(a) and 5(c) of the Securities Act of 1933 by offering to sell, selling, and delivering to members of the public shares of Starnet common stock when no registration statement was filed or in effect with respect to those securities and no exemption from registration was available. The law judge found that Price failed reasonably to supervise Geiger and Kaufmann. The law judge found further that Carley and Zacharias violated the antifraud provisions of the securities laws by filing with the Commission false and misleading current and annual reports. The law judge also found that Zacharias violated Section 16(a) of the Securities Exchange Act of 1934 and Exchange Act Rule 16a-3 by failing to file a required Form 4. The law judge imposed cease-and-desist orders on Carley, Zacharias, Geiger, and Kaufmann, barred Geiger and Kaufmann from associating with any broker or dealer, and barred Price from associating with any broker or dealer in a supervisory capacity. The law judge ordered Carley and Zacharias each to disgorge an amount representing payments made to them in connection with their unregistered sale of shares of Starnet common stock. The law judge also ordered Geiger and Kaufmann each to disgorge fifty percent of the net commissions that they earned on all Starnet trades attributable to their joint account number at Spencer Edwards from January 1999 through February 2001. The law judge imposed penalties of $400,000 against Geiger, $300,000 against Kaufmann, and $150,000 against Price. Carley, Zacharias, Geiger, Kaufmann, and Price appeal the law judge's findings of violation and the sanctions imposed by the law judge. Among the issues likely to be considered are 1) whether respondents committed the alleged violations; and 2) if so, whether sanctions should be imposed in the public interest. CLOSED MEETING - WEDNESDAY, FEBRUARY 7, 2007 - 11:00 A.M. The subject matter of the Closed Meeting scheduled for Wednesday, February 7, 2007, at 11:00 a.m. will be post-argument discussion. CLOSED MEETING - WEDNESDAY, FEBRUARY 8, 2007 - 2:00 P.M. The subject matter of the Closed Meeting scheduled for Thursday, February 8, 2007, will be a regulatory matter regarding financial institution; formal orders of investigation; institution and settlement of injunctive actions; institution and settlement of administrative proceedings of an enforcement nature; resolution of litigation claims; an adjudicatory matter; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact The Office of the Secretary at (202) 551-5400. SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN FOUR COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS The U.S. Securities and Exchange Commission announced the temporary suspension of trading of the securities of the following issuers, commencing at 9:30 a.m. EST on Jan. 31, 2007 and terminating at 11:59 p.m. EST on Feb. 13, 2007: Icon International Holdings, Inc. (INIH) Interchange Medical, Inc. (ICGM) Outsource International, Inc. (OSIXQ) Smart Choice Automotive Group, Inc. (SCHA) The Commission temporarily suspended trading in the securities of these four companies due to a lack of current and accurate information about them because they had not filed periodic reports with the Commission for over four years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act) Section 12(k) The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551- 5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551- 5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-55203) ENFORCEMENT PROCEEDINGS COMMISSION DISMISSES ADMINISTRATIVE PROCEEDINGS AGAINST ROBERT OSTROWSKI AND REES HARRIS On January 30, the Commission issued an Order Dismissing Administrative Proceedings Instituted Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 against Robert Ostrowski and Rees T. Harris. Previously, on July 10, 2003, the Commission had issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act and Sections 15(b) and 21C of the Exchange Act (OIP) against Ostrowski and Harris. The Order finds that, since the institution of the OIP, there have been significant changes in both the law and related circumstances that make it advisable for the OIP to be dismissed. Based on the above, the Commission ordered the dismissal of the OIP. Both Ostrowski and Harris consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rels. 33-8777; 34-55200; File No. 3-11175) IN THE MATTER OF WILLIAM F. SORIN, ESQ. On January 30, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against William F. Sorin, an attorney licensed to practice in the State of New York. Sorin served as General Counsel and then Senior General Counsel of Comverse Technology, Inc. from October 1984 until May 1, 2006. On January 29, a Final Judgment signed by Judge Nicholas Garaufis was entered in the United States District Court for the Eastern District of New York, which permanently enjoins Sorin, by consent, from future violations of Section 17(a) of the Securities Act of 1933, Sections 10(b), 13(b)(5), 14(a), and 16(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 13b2-1, 13b2-2, 14a-9, and 16a-3 thereunder, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, and 13a- 13 thereunder. The Court ordered the injunction based on allegations in the Commission's complaint in the matter of Securities and Exchange Commission v. Jacob "Kobi" Alexander, et al., (U.S. District Court for the Eastern District of New York, Civil Action No. 1:06-CV-03844-NGG- RER, filed Aug. 9, 2006). The Commission's complaint alleges, among other things, that beginning no later than 1991, and continuing through 2001, Sorin engaged in a fraudulent scheme with Comverse's former Chairman and Chief Executive Officer, and from at least 1998 with Comverse's former Chief Financial Officer, to grant undisclosed, in-the-money options to themselves and others, by backdating stock option grants to coincide with historically low annual and quarterly closing prices for Comverse's stock. Among other things, the Commission's Complaint alleges that Sorin created company records that falsely indicated that Comverse's compensation committee had approved a grant of stock options on a date when, in reality, no such corporate action took place. The complaint also alleges that Sorin created false company records that facilitated a similar backdating scheme at Ulticom, Inc., another public company that is a majority-owned subsidiary of Comverse. Based on the Court's entry of an injunction against Sorin, the Commission ordered that Sorin is suspended from appearing or practicing before the Commission as an attorney. Sorin consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the Commission's jurisdiction over him, the subject matter of the Proceedings, and the fact that the federal court entered the injunction against him. (Rel. 34-55199; File No. 3-12522) COMMISSION ORDERS HEARINGS ON REGISTRATION REVOCATION AGAINST EIGHT DELINQUENT COMPANIES FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On January 31, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission: Auto Wholesale Specialists, Inc. Globalbot Corp. Gsociety, Inc. Icon International Holdings, Inc. (f/k/a Marketing Systems USA, Inc.) (INIH) Intelliworxx, Inc. Interchange Medical, Inc. (ICGM) Outsource International, Inc. (OSIXQ) Smart Choice Automotive Group, Inc. (SCHA) In this Order, the Division of Enforcement alleges that the eight issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of the securities of these respondents should be revoked, or in the alternative, suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. For further information contact: Gregory G. Faragasso, Assistant Director, (202) 551-4734 Neil J. Welch, Jr., Branch Chief, (202) 551-4731 See also the Order of Suspension of Trading, In the Matter of Icon International Holdings, Inc., File No. 500-1. (Rel. 34-55204; File No. 3-12553) COMMISSION REVOKES REGISTRATION OF SECURITIES OF EAST COAST BEVERAGE CORP. (n/k/a NORTH AMERICAN FOOD & BEVERAGE, INC.) FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On January 31, the Commission revoked the registration of each class of registered securities of East Coast Beverage Corp. (n/k/a North American Food & Beverage, Inc.) (East Coast) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the order, except as to jurisdiction, which it admitted, East Coast consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to East Coast Beverage Corp. (n/k/a North American Food & Beverage, Inc.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of East Coast's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against East Coast in In the Matter of Antares Resources Corp., et al., Administrative Proceeding File No. 3-12499. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information contact: Gregory G. Faragasso, Assistant Director, (202) 551-4734 Neil J. Welch, Jr., Branch Chief, (202) 551-4731 Additional Materials Available at www.sec.gov Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to East Coast Beverage Corp. (n/k/a North American Food & Beverage, Inc.), In the Matter of Antares Resources Corp., et al., Administrative Proceeding File No. 3-12499, Exchange Act Release No. 34-55205 (Jan. 31, 2007). Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Antares Resources Corp., et al., Administrative Proceeding File No. 3-12499, Exchange Act Release No. 54877 (Dec. 6, 2006). (Rel. 34-55205; File No. 3-12499) IN THE MATTER OF MICHAEL SASSANO, DOGAN BARUH, ROBERT OKIN and R. SCOTT ABRY On January 31, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act, and Sections 9(b) and 9(f) of the Investment Company Act against Michael Sassano, Dogan Baruh, Robert Okin and R. Scott Abry. In the Order, the Division of Enforcement alleges that Sassano and Baruh, former registered representatives with CIBC World Markets Corp. and Fahnestock & Co., Inc., collaborated with numerous hedge fund customers to deceptively market time mutual funds through a variety of deceptive practices. Mutual funds, for example, repeatedly detected Sassano's, Baruh's, and their customers' fraudulent conduct from at least 1999 until September 2003, and sent World Markets and Fahnestock numerous letters and emails complaining about this abusive market timing. In response to the mutual funds' efforts to stop the market timing, Sassano and Baruh used numerous strategies to help their hedge fund customers deceive the mutual funds. In addition, Baruh knowingly accepted numerous mutual fund orders after 4:00 p.m. ET and processed those orders as though they had been placed prior to 4:00 p.m. ET so that they received the same day's net asset value. Okin, the Head of CIBC's Private Client Services, and Abry, Sassano's and Baruh's branch manager, supervised Sassano and Baruh and knew of, and assisted, Sassano and Baruh's deceptive market timing practices. Based on the above, the Division of Enforcement alleges that 1) Sassano and Baruh, among other things, willfully violated the antifraud provisions, Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5; Baruh willfully aided and abetted and caused CIBC's violations of Rule 22c-1; and Okin and Abry willfully aided and abetted and caused violations of the antifraud provisions, among other provisions, and failed reasonably to supervise Sassano and Baruh. The Division of Enforcement seeks cease-and-desist orders, disgorgement, civil penalties, prejudgment interest, and all other remedial sanctions that are appropriate and in the public interest. (Rels. 33-8778; 34-55208; IA-2587; IC-27692; File No. 3- 12554) IN THE MATTER OF MARSHALL DORNFELD On January 31, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions against Marshall Dornfeld. The Order finds that Dornfeld failed reasonably to supervise registered representatives (brokers) of CIBC World Markets Corp. who engaged in an illegal market timing scheme on behalf of numerous CIBC customers. Dornfeld supervised the mutual fund marketing and annuity groups at CIBC, which were responsible for obtaining dealer-agreements with underwriters for mutual funds and annuity companies, respectively. Dornfeld thus had responsibility for supervising CIBC's relationships with mutual funds and annuities. The dealer-agreements provided notice that CIBC's brokers were to sell the mutual fund and annuity products in conformity with the terms of the products' prospectuses and in conformity with the federal securities laws. At the same time, Dornfeld was informed repeatedly of the CIBC's brokers' efforts to deceive mutual funds in order to facilitate market timing. Despite being alerted that both mutual funds and annuity companies objected to the brokers' deceptive market timing practices, and being told that the brokers' customers' trading violated the terms of the products' prospectuses, Dornfeld failed reasonably to respond with a view to preventing the brokers' deceptive market timing activity. Dornfeld, therefore, failed reasonably to supervise the brokers. Based on the above, the Order suspends Dornfeld from association in a supervisory capacity with any broker or dealer for a period of 12 months and orders Dornfeld to pay $1 in disgorgement and a civil money penalty in the amount of $100,000. Dornfeld consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-55209; File No. 3-12555) SEC OBTAINS FINAL JUDGMENT AGAINST OWNER OF INVESTMENT ADVISER FIRM; DEFENDANT AGREES TO PAY $200,000 IN CIVIL PENALTIES The Commission announced today that, on January 29, the U.S. District Court for the Northern District of Illinois entered a Final Judgment in the Commission's civil action against Directors Financial Group, Ltd. (DFG), an Illinois investment adviser formerly registered with the Commission, and Sharon E. Vaughn, DFG's owner and operator. In addition to relief previously ordered, the Court's Final Judgment requires Vaughn to pay a $200,000 civil penalty. Vaughn consented to the Final Judgment without admitting or denying the allegations of the Complaint. The Commission filed its complaint on March 2, 2006, alleging that Vaughn and DFG defrauded their private hedge fund clients in Directors Performance Fund, L.L.C. (the Fund). According to the complaint, Vaughn and DFG, among other things (1) invested the Fund's assets in a fraudulent Prime Bank trading scheme (the Trading Program) contrary to the Fund's disclosed trading strategy, (2) failed to investigate the Trading Program or its promoters, (3) entered into an undisclosed profit sharing agreement that ceded 25% of the Fund's purported profits to one of the Trading Program's promoters, (4) gave control of the Fund's assets to the Trading Program's promoters in violation of the terms of the Fund's prospectus, and (5) tried to cover up their fraud by withholding documents from - and providing fake documents to - the Commission's exam staff. On March 2, 2006, Judge Charles P. Kocoras entered an order (a) permanently enjoining DFG and Vaughn from violating the provisions of federal securities law specified in the Commission's complaint, and (b) requiring DFG and Vaughn to pay disgorgement and prejudgment interest totaling $808,820.07. Judge Kocoras subsequently authorized the distribution of all of the Fund's assets, totaling $22.5 million, to the Fund's investors, which returned their principal investment and profits preceding investment in the Trading Program. The U.S. Attorney's Office for the Northern District of Illinois (USAO) has indicted two individuals associated with the Trading Program. The Commission acknowledges the assistance of the USAO and the U.S. Secret Service's Chicago Field Office in this investigation. [SEC v. Sharon E. Vaughn and Directors Financial Group, Ltd. Case No. 06-C-1135, N.D. Ill.] (LR-19985) INVESTMENT COMPANY ACT RELEASES NEW RIVER FUNDS AND NEW RIVER ADVISERS LLC An order has been issued on an application filed by New River Funds and New River Advisers LLC for an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-27690 - January 30) NEXBANK SECURITIES, INC. AND NEXBANK SERIES An order has been issued on an application filed by Nexbank Securities, Inc. (Depositor) and Nexbank Series under Section 6(c) of the Investment Company Act for exemptions from Sections 2(a)(32), 2(a)(35), 14(a), 19(b), 22(d) and 26(a)(2)(C) of the Act and Rules 19b-1 and 22c-1 under the Act, and under Sections 11(a) and 11(c) of the Act to approve certain offers of exchange and rollover privileges. The order would permit certain unit investment trusts to (a) impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) publicly offer units without requiring the Depositor to take for its own account or place with others $100,000 worth of units; (c) offer unitholders certain exchange and rollover privileges; and (d) distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-27691 - January 30) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2006-66) and Amendments No. 1 and 2 thereto under Section 19(b)(1) of the Securities Exchange Act of 1934 to list and trade Exchange-Traded Notes of Barclays Bank PLC linked to the performance of the euro/U.S. Dollar Exchange Rate. Publication is expected in the Federal Register during the week of January 29. (Rel. 34-55188) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 2006-67) and Amendments No. 1 and 2 thereto under Section 19(b)(1) of the Securities Exchange Act of 1934 to list and trade Exchange-Traded Notes of Barclays Bank PLC linked to the performance of the British pound/U.S. Dollar Exchange Rate. Publication of the proposal is expected in the Federal Register during the week of January 29. (Rel. 34-55189) The International Securities Exchange filed a proposed rule change (SR-ISE-2007-01) to amend ISE Rule 2113 to conform its language to Rule 10a-1(a)(1)(i) of the Securities Exchange Act. Publication of the proposal is expected in the Federal Register during the week of January 29. (Rel. 34-55191) 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: . S-1 E DIGITAL CORP, 13114 EVENING CREEK DR S, SAN DIEGO, CA, 92128, 6196791504 - 22,866,666 ($3,944,500.00) Equity, (File 333-140296 - Jan. 30) (BR. 10B) SB-2 ROCKELLE CORP., 162 MILLER PLACE ROAD, -, MILLER PLACE, NY, 11764, 6312449841 - 17,957,143 ($1,257,000.00) Equity, (File 333-140297 - Jan. 30) (BR. 02C) N-2 MEXICO FUND INC, 1775 EYE STREET NW, WASHINGTON, DC, 20006-2401, 2026263300 - 0 ($1,000,000.00) Equity, (File 333-140298 - Jan. 30) (BR. 22) SB-2 Rose Explorations Inc., 32839 BAKERVIEW AVENUE, MISSION, A1, V2V 2P8, 604-924-8000 - 10,000,000 ($100,000.00) Equity, (File 333-140299 - Jan. 30) (BR. 04) S-8 Meruelo Maddux Properties, Inc., 761 TERMINAL STREET, BUILDING 1, SECOND FLOOR, LOS ANGELES, CA, 90021, 213-291-2800 - 2,000,000 ($20,000,000.00) Equity, (File 333-140300 - Jan. 30) (BR. 08A) S-8 VYYO INC, 6625 THE CORNERS PARKWAY, SUITE 100, NORCROSS, GA, 30092, 6782828011 - 0 ($4,260,000.00) Equity, (File 333-140301 - Jan. 30) (BR. 11A) S-4 Allis Chalmers Energy Inc., 5075 WESTHEIMER, SUITE 890, HOUSTON, TX, 77056, 713-369-0550 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-140302 - Jan. 30) (BR. 04A) S-8 SAVE THE WORLD AIR INC, 5125 LANKERSHIM BOULEVARD, NORTH HOLLYWOOD, CA, 91601, 818-487-8000 - 0 ($391,500.00) Equity, (File 333-140303 - Jan. 30) (BR. 05C) S-8 FOLDERA, INC, 17011 BEACH BLVD., HUNTINGTON BEACH, CA, 92647, 480-659-8036 - 13,500,000 ($7,965,000.00) Equity, (File 333-140304 - Jan. 30) (BR. 02B) SB-2 Exclusive Apparel, Inc., 1930 VILLAGE CENTER CIRCLE, #3-369, LAS VEGAS, NV, 89134, (702)-242-9501 - 15,000,000 ($150,000.00) Equity, (File 333-140305 - Jan. 30) (BR. ) SB-2 BBN Global Consulting, Inc, 11630 SLATER AVENUE, SUITE 1A, KIRKLAND, WA, 98934, 425-277-5764 - 2,000,000 ($20,000.00) Equity, (File 333-140306 - Jan. 30) (BR. ) S-8 OSAGE BANCSHARES, INC., 239 EAST MAIN STREET, PAWHUSKA, OK, 74056, (918) 287-2919 - 50,050 ($500,000.00) Equity, (File 333-140307 - Jan. 30) (BR. 07) S-8 OSAGE BANCSHARES, INC., 239 EAST MAIN STREET, PAWHUSKA, OK, 74056, (918) 287-2919 - 216,516 ($1,812,033.00) Equity, (File 333-140308 - Jan. 30) (BR. 07) S-8 CRAWFORD & CO, 5620 GLENRIDGE DR NE, ATLANTA, GA, 30342, 4042560830 - 500,000 ($2,765,000.00) Equity, (File 333-140310 - Jan. 30) (BR. 01A) S-8 Digital Music Group, Inc., 2151 RIVER PLAZA DRIVE, SUITE 200, SACRAMENTO, CA, 95833, 916-239-6010 - 0 ($1,620,000.00) Equity, (File 333-140313 - Jan. 30) (BR. 11B) S-3D EAGLE BANCORP INC, 7815 WOODMONT AVENUE, BETHESDA, MD, 20814, 3019861800 - 0 ($8,405,000.00) Other, (File 333-140314 - Jan. 30) (BR. 07A) S-3ASR BROWN FORMAN CORP, 850 DIXIE HWY, LOUISVILLE, KY, 40210, 5025851100 - 0 ($0.00) Debt, (File 333-140317 - Jan. 30) (BR. 02B) S-8 ALESCO FINANCIAL INC, CIRA CENTRE, 2929 ARCH STREET, 17TH FLOOR, PHILADELPHIA, PA, 19104, 215-701-9555 - 323,785 ($3,736,478.90) Equity, (File 333-140318 - Jan. 30) (BR. 08C) SB-2 PHOTOWORKS INC /WA, 1260 16TH AVE WEST, SEATTLE, WA, 98119, 2062811390 - 13,819,310 ($6,633,269.00) Equity, (File 333-140319 - Jan. 30) (BR. 11A) SB-2 GLOBAL ADVANCE CORP, GEVA STREET 13 10, NETANYAH, L3, 42319, 972 9 834 6829 - 1,000,000 ($100,000.00) Equity, (File 333-140320 - Jan. 30) (BR. ) S-8 ALLIANCE BANCORP INC OF PENNSYLVANIA, 541 LAWRENCE ROAD, BROOMALL, PA, 19008, (610) 353-2900 - 240,000 ($1,113,600.00) Equity, (File 333-140321 - Jan. 30) (BR. 07A) SB-2 NORTHWEST CHARIOTS INC, 105 - 1656 MARTIN DR. STE 268, SURREY, A1, V4A 6E7, 604.202.9390 - 940,000 ($94,000.00) Equity, (File 333-140322 - Jan. 30) (BR. ) SB-2 Navstar Media Holdings, Inc., 26, CHAOWAI ROAD, SUITE A2205, CHAOYANG DISTRICT, BEIJING, F4, 100020, 011-86-10-85653268 - 8,430,000 ($1,517,400.00) Equity, (File 333-140324 - Jan. 30) (BR. 08A) S-4 BB&T CORP, 200 WEST SECOND STREET, WINSTON-SALEM, NC, 27101, 3367332000 - 0 ($389,642,000.00) Equity, (File 333-140326 - Jan. 30) (BR. 07A) S-8 DIGENE CORP, 1201 CLOPPER ROAD, GAITHERSBURG, MD, 20878, 3019447000 - 0 ($30,702,000.00) Equity, (File 333-140327 - Jan. 30) (BR. 01A) N-2 Morgan Stanley Emerging Markets Domestic Debt Fund, Inc., 1221 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020, 800-869-6397 - 0 ($1,000,000.00) Equity, (File 333-140328 - Jan. 30) (BR. ) S-8 SYNTHETECH INC, 1290 INDUSTRIAL WAY, ALBANY, OR, 97321, 5419676575 - 300,000 ($93,000.00) Equity, (File 333-140329 - Jan. 30) (BR. 06C) S-3 NOBLE INTERNATIONAL, LTD., 28213 VAN DYKE AVENUE, WARREN, MI, 48093, 586-751-5600 - 0 ($39,770,846.00) Equity, (File 333-140330 - Jan. 30) (BR. 05B) SB-2 QUEPASA CORP, 7550 E REDFIELD ROAD, SUITE A, SCOTTSDALE, AZ, 85260, 408-348-2665 - 7,183,333 ($58,472,330.62) Equity, (File 333-140331 - Jan. 30) (BR. 11B) S-3 HANDHELD ENTERTAINMENT, INC., 539 BRYANT STREET, SUITE 403, SAN FRANCISCO, CA, 94107, 415-495-6470 - 0 ($14,862,690.00) Equity, (File 333-140332 - Jan. 30) (BR. 02B) S-3 ARIAD PHARMACEUTICALS INC, 26 LANDSDOWNE ST, CAMBRIDGE, MA, 02139, 6174940400 - 0 ($100,000,000.00) Equity, (File 333-140333 - Jan. 30) (BR. 01B) S-8 BROCADE COMMUNICATIONS SYSTEMS INC, 19,016,163 ($224,526,711.45) Equity, (File 333-140334 - Jan. 30) (BR. 03A) 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 3M CO DE 2.02,9.01 01/30/07 ABM INDUSTRIES INC /DE/ DE 5.02,9.01 01/22/07 AMEND ACCESS INTEGRATED TECHNOLOGIES INC DE 2.01,3.02,9.01 01/26/07 ACCREDITED HOME LENDERS HOLDING CO DE 2.03 01/30/07 ACCREDITED HOME LENDERS INC DE 8.01,9.01 01/30/07 Accredited Mortgage Loan REIT Trust MD 2.03 01/30/07 ACE Securities Corp. Home Equity Loan DE 9.01 01/30/07 ACNB CORP PA 8.01,9.01 01/23/07 Ad.Venture Partners, Inc. DE 1.01,2.03,9.01 01/29/07 ADAPTEC INC DE 2.02,9.01 01/30/07 ADOBE SYSTEMS INC DE 5.02,9.01 01/24/07 ADTRAN INC DE 5.02,9.01 01/29/07 ADUROMED INDUSTRIES, INC. DE 5.03,7.01,9.01 01/29/07 ADVANTA CORP DE 8.01 01/25/07 AFLAC INC GA 2.02,9.01 01/30/07 AFV SOLUTIONS, INC. NV 4.01 01/16/07 AMEND Aircastle LTD D0 1.01,2.03,9.01 01/30/07 ALCAN INC A6 5.02,9.01 01/30/07 ALFACELL CORP DE 8.01,9.01 01/30/07 ALIGN TECHNOLOGY INC DE 2.01,9.01 01/30/07 ALLIANCE BANCORP INC OF PENNSYLVANIA X1 8.01,9.01 01/26/07 ALLOS THERAPEUTICS INC DE 1.01,7.01,9.01 01/28/07 ALTEON INC /DE DE 3.01,8.01,9.01 01/24/07 AMC ENTERTAINMENT INC DE 7.01,9.01 01/30/07 AMERICAN DENTAL PARTNERS INC DE 1.01,9.01 01/24/07 AMERICAN EAGLE OUTFITTERS INC DE 5.02,8.01,9.01 01/25/07 AMERICAN ELECTRIC POWER CO INC NY 2.02,9.01 01/30/07 AMERICAN MOLD GUARD INC 1.01 01/24/07 AMERICAN PACIFIC CORP DE 1.01,7.01,9.01 01/30/07 AMERICAN POWER CONVERSION CORP MA 5.02 01/24/07 AMERICHIP INTERNATIONAL INC 3.02 12/28/06 AMERITYRE CORP NV 8.01,9.01 01/29/07 AMYLIN PHARMACEUTICALS INC DE 2.02,5.02,9.01 01/30/07 ANIXTER INTERNATIONAL INC DE 2.02,9.01 01/30/07 ANWORTH MORTGAGE ASSET CORP MD 1.01,5.03,9.01 01/25/07 API Nanotronics Corp. DE 1.01,2.01,9.01 01/24/07 APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 01/30/07 APTIMUS INC WA 2.02,9.01 08/22/06 ARADIGM CORP CA 1.01,3.03,9.01 01/24/07 ARBITRON INC DE 1.01 01/24/07 ARCADIA RESOURCES, INC NV 3.01,5.02,9.01 01/28/07 ARIEL WAY INC FL 2.01,9.01 02/08/05 AMEND Arlington Tankers Ltd. D0 2.02,9.01 01/30/07 ARVINMERITOR INC IN 2.02,9.01 01/30/07 ASIAINFO HOLDINGS INC DE 8.01 01/30/07 ASIAN FINANCIAL INC WY 4.01 12/22/06 ASV INC /MN/ MN 5.04,9.01 01/30/07 ASYST TECHNOLOGIES INC CA 5.02 01/25/07 AT&T INC. DE 8.01 01/30/07 AUDIOVOX CORP DE 2.01,9.01 01/29/07 Avantogen Oncology, Inc. NV 5.02 01/24/07 B&G Foods, Inc. DE 7.01,9.01 01/30/07 BAKER HUGHES INC DE 5.02 01/24/07 Banc of America Funding 2007-1 Trust DE 9.01 01/30/07 BANCTRUST FINANCIAL GROUP INC AL 5.02 01/24/07 Bank of the Carolinas CORP NC 5.02,9.01 01/24/07 Barclay Road, Inc. WY 8.01 01/15/07 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 01/29/07 BEACON POWER CORP DE 5.02,9.01 01/25/07 Bear Stearns Asset Backed Securities DE 9.01 01/30/07 BEAR STEARNS ASSET BACKED SECURITIES 9.01 01/30/07 Bear Stearns Asset Backed Securities DE 9.01 01/30/07 Bear Stearns Mortgage Funding Trust 2 DE 9.01 01/30/07 BEIJING MED PHARM CORP 1.01,9.01 01/27/07 BELDEN CDT INC. DE 8.01,9.01 01/30/07 BERKSHIRE HILLS BANCORP INC 2.02,9.01 01/29/07 BERMAN CENTER, INC. DE 4.01,9.01 01/17/07 AMEND BHIT INC DE 5.02 01/24/07 BIOLASE TECHNOLOGY INC DE 1.01 01/24/07 BIOSITE INC DE 2.02 01/30/07 BLACK & DECKER CORP MD 2.02,7.01,9.01 01/30/07 BLACKROCK KELSO CAPITAL DE 7.01 01/30/07 BLUE DOLPHIN ENERGY CO DE 5.02,9.01 01/30/07 BLUEGATE CORP NV 3.02,5.02,9.01 12/31/06 BLUEGREEN CORP MA 2.03 01/30/07 BofI Holding, Inc. DE 2.02,9.01 01/30/07 BOK FINANCIAL CORP ET AL OK 2.02,9.01 12/31/06 BOSTON PROPERTIES INC DE 2.02,9.01 01/30/07 BOSTON PROPERTIES LTD PARTNERSHIP 2.02,9.01 01/30/07 BRAMPTON CREST INTERNATIONAL INC NV 5.02,9.01 01/29/07 Brooklyn Federal Bancorp, Inc. X1 2.02,9.01 01/29/07 BROWN & BROWN INC FL 5.02,7.01 01/24/07 BRUKER BIOSCIENCES CORP DE 2.02,9.01 01/29/07 Burger King Holdings Inc DE 2.02,9.01 01/30/07 C & F FINANCIAL CORP VA 2.02,9.01 01/26/07 C H ROBINSON WORLDWIDE INC DE 2.02,9.01 01/30/07 CADENCE PHARMACEUTICALS INC 5.02 01/24/07 CAGLES INC GA 2.03 01/29/07 Calamos Asset Management, Inc. /DE/ 2.02,9.01 01/30/07 CALGON CARBON CORPORATION DE 8.01 01/29/07 CALIFORNIA MICRO DEVICES CORP CA 1.01 01/24/07 CALLISTO PHARMACEUTICALS INC DE 5.02 01/25/07 AMEND CAMDEN NATIONAL CORP ME 2.02,9.01 01/30/07 CAMERON INTERNATIONAL CORP DE 7.01,9.01 01/29/07 CAPITAL CROSSING PREFERRED CORP MA 8.01 01/29/07 CARACO PHARMACEUTICAL LABORATORIES LT MI 5.02,9.01 01/29/07 CARBIZ INC A6 3.02 01/25/07 CAREER EDUCATION CORP DE 8.01,9.01 01/25/07 CARROLLTON BANCORP MD 5.02,7.01,9.01 01/30/07 CASELLA WASTE SYSTEMS INC DE 8.01,9.01 01/29/07 CASTLE A M & CO MD 5.02,5.03 01/25/07 CASUAL MALE RETAIL GROUP INC DE 3.02 01/26/07 CATUITY INC DE 5.02 01/30/07 CBRL GROUP INC TN 7.01,9.01 01/30/07 CELL THERAPEUTICS INC WA 4.02,9.01 01/29/07 CENTER BANCORP INC NJ 8.01,9.01 01/30/07 CENTILLIUM COMMUNICATIONS INC DE 5.02,9.01 01/26/07 CENTRAL FEDERAL CORP DE 8.01,9.01 01/30/07 CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 01/29/07 CEVA INC DE 5.02 01/25/07 CHECKFREE CORP \GA\ DE 2.02,9.01 01/30/07 CHEMBIO DIAGNOSTICS, INC. NV 5.02,9.01 01/30/07 CHEMUNG FINANCIAL CORP NY 2.02,9.01 12/31/06 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE 2.02 01/30/07 CHICOPEE BANCORP, INC. MA 2.02,9.01 01/29/07 CHUBB CORP NJ 2.02,9.01 01/30/07 CIGNA CORP DE 5.02 01/24/07 CIT GROUP INC DE 8.01,9.01 01/29/07 Citicorp Mortgage Securities Trust, S DE 9.01 01/30/07 Citigroup Mortgage Loan Trust 2007-2 9.01 01/29/07 CITIZENS FIRST CORP KY 2.02,7.01,9.01 12/31/06 CITIZENS SOUTH BANKING CORP DE 5.02,9.01 01/22/07 Clear Channel Outdoor Holdings, Inc. DE 8.01 01/30/07 COACHMEN INDUSTRIES INC IN 2.02,7.01,9.01 01/30/07 COFFEE PACIFICA INC NV 8.01,9.01 09/20/06 COLGATE PALMOLIVE CO DE 2.02,9.01 01/30/07 COLONIAL BANCGROUP INC DE 7.01,9.01 01/30/07 COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 01/30/07 COMM BANCORP INC PA 2.02,9.01 01/29/07 COMMERCEFIRST BANCORP INC MD 2.02,9.01 01/30/07 COMMUNITY SHORES BANK CORP MI 2.02,9.01 01/29/07 COMMVAULT SYSTEMS INC DE 2.02,9.01 01/30/07 COMPETITIVE TECHNOLOGIES INC DE 1.01,8.01,9.01 01/24/07 COMPUWARE CORP MI 2.02,9.01 01/25/07 CORDIA CORP NV 8.01 01/30/07 CORINTHIAN COLLEGES INC 2.02,9.01 01/30/07 CORN PRODUCTS INTERNATIONAL INC DE 2.02,7.01,8.01 01/30/07 CORNELL COMPANIES INC DE 1.02 01/29/07 Cornerstone Core Properties REIT, Inc MD 2.01,9.01 12/01/06 AMEND COST U LESS INC WA 8.01,9.01 01/30/07 COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 01/30/07 COWLITZ BANCORPORATION WA 5.02,9.01 01/30/07 CRITICAL THERAPEUTICS INC DE 1.01,9.01 01/29/07 CROSSTEX ENERGY INC DE 7.01,9.01 01/24/07 CROSSTEX ENERGY LP DE 7.01,9.01 01/24/07 CSMC Mortgage Backed Trust Series 200 DE 8.01,9.01 01/30/07 CUTTER & BUCK INC WA 8.01 01/29/07 CWABS Asset-Backed Certificates Trust DE 8.01,9.01 12/29/06 CWALT INC DE 9.01 01/30/07 CWALT INC DE 9.01 01/30/07 CWHEQ Revolving Home Equity Loan Trus 8.01,9.01 01/30/07 CWMBS INC DE 9.01 01/30/07 CWMBS INC DE 9.01 01/30/07 CWMBS INC DE 9.01 01/30/07 CWMBS INC DE 9.01 01/30/07 CYMER INC NV 2.02,9.01 01/30/07 CYPRESS BIOSCIENCE INC DE 5.02,9.01 01/26/07 DANA CORP VA 1.01,9.01 01/25/07 DATAWATCH CORP DE 2.02,5.02,9.01 01/24/07 DAVITA INC DE 8.01,9.01 01/30/07 DEL GLOBAL TECHNOLOGIES CORP NY 8.01,9.01 01/30/07 DELPHI CORP DE 8.01 01/25/07 DELTA AIR LINES INC /DE/ DE 8.01,9.01 01/30/07 DELTA PETROLEUM CORP/CO CO 1.01,9.01 01/25/07 Dermisonics, Inc NV 5.02,8.01 01/24/07 DIEBOLD INC OH 2.02,9.01 01/30/07 DIEBOLD INC OH 2.06 01/26/07 DIEDRICH COFFEE INC CA 2.02,9.01 01/25/07 Dividend Capital Total Realty Trust I MD 2.01,2.03,9.01 01/25/07 DOWNEY FINANCIAL CORP DE 5.02,9.01 01/29/07 DOWNEY FINANCIAL CORP DE 5.02 01/29/07 AMEND DRS TECHNOLOGIES INC DE 2.02,7.01,9.01 10/02/06 DURA AUTOMOTIVE SYSTEMS INC DE 7.01,9.01 01/30/07 EARTHLINK INC DE 5.02 01/25/07 EATON VANCE CORP MD 7.01,9.01 01/30/07 ECOTALITY, INC. NV 4.01,9.01 01/25/07 EDGE PETROLEUM CORP DE 3.03,5.03,9.01 01/25/07 ELECTRONICS FOR IMAGING INC DE 2.02,9.01 01/30/07 ELKCORP DE 7.01,9.01 01/30/07 EMBARCADERO TECHNOLOGIES INC 5.02 01/29/07 EMERGENCY FILTRATION PRODUCTS INC/ NV NV 5.02,9.01 01/29/07 ENTERGY CORP /DE/ DE 2.02,7.01,9.01 01/30/07 ENTRUST INC MD 2.02,9.01 01/30/07 EPICEPT CORP 3.01,9.01 01/26/07 EPICOR SOFTWARE CORP DE 2.02,9.01 01/30/07 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 01/29/07 EUROBANCSHARES INC 2.02,9.01 01/29/07 EXCEL TECHNOLOGY INC DE 2.02,9.01 12/31/06 EXPONENT INC DE 8.01 01/30/07 EXPONENT INC DE 2.02,7.01,9.01 01/30/07 EXTREME NETWORKS INC DE 2.02,9.01 01/25/07 Federal Home Loan Bank of Atlanta X1 5.02 01/25/07 Federal Home Loan Bank of Atlanta X1 2.03 01/24/07 Federal Home Loan Bank of Boston X1 2.03 01/24/07 Federal Home Loan Bank of Chicago X1 2.03 01/26/07 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/24/07 Federal Home Loan Bank of Dallas 2.03 01/24/07 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/24/07 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/25/07 Federal Home Loan Bank of New York X1 2.03,9.01 01/29/07 Federal Home Loan Bank of New York X1 2.02,8.01,9.01 01/18/07 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/24/07 Federal Home Loan Bank of San Francis X1 2.03 01/24/07 Federal Home Loan Bank of Seattle 7.01,9.01 01/29/07 Federal Home Loan Bank of Seattle 2.03 01/29/07 Federal Home Loan Bank of Topeka 2.03 01/24/07 FIFTH THIRD BANCORP OH 7.01,9.01 01/30/07 FIRST BANKS, INC MO 5.02,9.01 01/30/07 FIRST FARMERS & MERCHANTS CORP TN 5.02 01/30/07 FIRST INTERSTATE BANCSYSTEM INC MT 5.02 01/25/07 FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 12/31/06 FIRST STATE BANCORPORATION NM 2.02,8.01,9.01 01/29/07 FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 01/30/07 FNB FINANCIAL SERVICES CORP NC 1.01,5.02,9.01 01/25/07 FNB United Corp. NC 2.02,9.01 01/30/07 FOUNDRY NETWORKS INC DE 8.01,9.01 01/25/07 Franchise Capital CORP NV 3.02 12/01/06 FULL HOUSE RESORTS INC DE 5.02 01/25/07 FX ENERGY INC NV 8.01,9.01 01/30/07 G&K SERVICES INC MN 2.02,9.01 01/30/07 Gales Industries Inc DE 3.02,9.01 01/26/07 GALLAGHER ARTHUR J & CO DE 2.02,9.01 01/30/07 GateHouse Media, Inc. DE 8.01,9.01 01/28/07 GENERAL EMPLOYMENT ENTERPRISES INC IL 2.02,9.01 01/29/07 GENESCO INC TN 7.01 01/30/07 GEO GROUP INC FL 1.01,2.01,2.03,9.01 01/24/07 GIGA TRONICS INC CA 2.02,9.01 01/26/07 GLOBETEL COMMUNICATIONS CORP DE 4.01,9.01 01/04/07 AMEND GRACO INC MN 2.02,9.01 01/29/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/26/07 GSAA Home Equity Trust 2007-1 DE 9.01 01/30/07 GSAMP Trust 2007-FM1 DE 8.01,9.01 01/30/07 GULFMARK OFFSHORE INC DE 5.02,9.01 01/29/07 GULFMARK OFFSHORE INC DE 2.02,9.01 01/30/07 GULFMARK OFFSHORE INC DE 5.02,9.01 01/30/07 AMEND GULFPORT ENERGY CORP DE 7.01,8.01,9.01 01/29/07 HALLIBURTON CO DE 2.02 01/26/07 HANDHELD ENTERTAINMENT, INC. DE 1.01,3.01,8.01,9.01 01/25/07 HANMI FINANCIAL CORP DE 2.02,9.01 01/30/07 HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 01/29/07 Harley-Davidson Motorcycle Trust 2007 NV 8.01,9.01 01/23/07 HARRIS CORP /DE/ DE 2.02,7.01,9.01 01/30/07 Harris Stratex Networks, Inc. DE 2.02,9.01 01/30/07 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 01/30/07 HEADWATERS INC DE 2.02,7.01,9.01 01/30/07 HEALTHSOUTH CORP DE 1.01,8.01,9.01 01/29/07 Helios & Matheson North America Inc. NY 8.01,9.01 01/30/07 HEXCEL CORP /DE/ DE 5.02 01/24/07 HIENERGY TECHNOLOGIES INC DE 5.02 01/24/07 HONDA AUTO REC 2003-3 OWNER TRUST DE 8.01,9.01 01/22/07 HONDA AUTO REC 2003-4 OWNER TRUST DE 8.01,9.01 01/16/07 HONDA AUTO REC 2003-5 OWNER TRUST DE 8.01,9.01 01/18/07 HONDA AUTO RECEIVABLES 2004-1 OWNER T DE 8.01,9.01 01/22/07 Honda Auto Receivables 2004-2 Owner T 8.01,9.01 01/16/07 Honda Auto Receivables 2004-3 Owner T CA 8.01,9.01 01/18/07 Honda Auto Receivables 2005-1 Owner T CA 8.01,9.01 01/22/07 Honda Auto Receivables 2005-2 Owner T 8.01,9.01 01/16/07 Honda Auto Receivables 2005-3 Owner T CA 8.01,9.01 01/18/07 Honda Auto Receivables 2005-4 Owner T CA 8.01,9.01 01/22/07 Honda Auto Receivables 2005-5 Owner T CA 8.01,9.01 01/16/07 Honda Auto Receivables 2005-6 Owner T CA 8.01,9.01 01/18/07 HOOKER FURNITURE CORP VA 8.01,9.01 01/26/07 HOT TOPIC INC /CA/ CA 5.02 01/26/07 HSI ASSET SECURITIZATION CORP TRUST 2 8.01,9.01 01/30/07 HUDSON CITY BANCORP INC DE 5.02,9.01 01/26/07 HUDSON VALLEY HOLDING CORP NY 2.02,8.01,9.01 01/29/07 HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 01/29/07 IASIS Healthcare LLC DE 5.02 01/24/07 ICU MEDICAL INC/DE DE 2.02,9.01 01/29/07 IDEX CORP /DE/ DE 2.02,9.01 01/30/07 ILLINOIS TOOL WORKS INC DE 2.02,9.01 12/31/06 IMMUNE RESPONSE CORP DE 3.02 01/24/07 IMMUNICON CORP 5.02 01/24/07 INDEPENDENT BANK CORP /MI/ MI 2.02,9.01 01/30/07 IndyMac INDA Mortgage Loan Trust 2007 9.01 01/30/07 INDYMAC MBS INC 9.01 01/30/07 Inland American Real Estate Trust, In MD 8.01,9.01 01/30/07 Inland American Real Estate Trust, In MD 8.01,9.01 01/30/07 AMEND INSIGHT ENTERPRISES INC DE 5.02 01/24/07 INSIGHT ENTERPRISES INC DE 3.01,9.01 01/26/07 INSIGHT ENTERPRISES INC DE 2.02,9.01 01/30/07 INTEGRATED SILICON SOLUTION INC DE 2.02,9.01 01/30/07 Intellect Neurosciences, Inc. 3.03,5.03,9.01 01/24/07 INTERNATIONAL BARRIER TECHNOLOGY INC/ 8.01,9.01 01/22/07 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 01/30/07 INTERNATIONAL SHIPHOLDING CORP DE 5.02 01/24/07 INTERSTATE BAKERIES CORP/DE/ DE 7.01,9.01 01/30/07 IOMAI CORP 1.01,9.01 01/26/07 IRWIN FINANCIAL CORP IN 2.02,9.01 01/30/07 IXYS CORP /DE/ DE 2.02,9.01 01/30/07 J P MORGAN CHASE & CO DE 9.01 01/25/07 JETBLUE AIRWAYS CORP DE 2.02,9.01 01/30/07 JETBLUE AIRWAYS CORP DE 7.01,9.01 01/30/07 JONES APPAREL GROUP INC PA 2.02,2.06,9.01 01/29/07 JONES LANG LASALLE INC MD 2.02,9.01 01/30/07 JUNIPER NETWORKS INC DE 2.02,9.01 01/30/07 KANSAS CITY LIFE INSURANCE CO MO 8.01,9.01 01/30/07 KBL Healthcare Acquisition Corp. II DE 8.01,9.01 09/01/06 AMEND KBR, INC. DE 2.02,9.01 01/26/07 KELLOGG CO DE 2.02 01/30/07 KEMET CORP DE 2.02,9.01 01/30/07 Kentucky First Federal Bancorp 2.02,9.01 01/29/07 KEY TRONIC CORP WA 2.02,9.01 01/30/07 KEYNOTE SYSTEMS INC DE 2.02,9.01 01/30/07 KINETIC CONCEPTS INC /TX/ TX 9.01 12/31/06 KYPHON INC DE 8.01,9.01 01/30/07 KYPHON INC DE 2.02,9.01 01/30/07 KYPHON INC DE 9.01 01/18/07 AMEND LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/30/07 LAKELAND INDUSTRIES INC DE 1.01,9.01 01/30/07 LEADIS TECHNOLOGY INC DE 2.02,8.01,9.01 01/30/07 LEXMARK INTERNATIONAL INC /KY/ DE 2.02,9.01 01/30/07 Liberty Global, Inc. 2.02,7.01 01/30/07 LIFE TIME FITNESS INC MN 1.01,9.01 01/24/07 LIGHTBRIDGE INC DE 8.01,9.01 01/24/07 LINCOLN EDUCATIONAL SERVICES CORP NJ 1.01,5.02,9.01 01/24/07 LMT 2007-1 DE 8.01,9.01 01/30/07 LNB BANCORP INC OH 2.02,9.01 01/30/07 LOGICVISION INC DE 2.02,9.01 01/30/07 M&T BANK CORP NY 7.01,9.01 01/30/07 MACKINAC FINANCIAL CORP /MI/ MI 2.02,9.01 01/30/07 MACKINAC FINANCIAL CORP /MI/ MI 5.02 01/24/07 MAGNACHIP SEMICONDUCTOR LLC 2.02,9.01 01/26/07 MAGSTAR TECHNOLOGIES INC MN 5.02 01/26/07 MAGUIRE PROPERTIES INC MD 5.02 01/25/07 MAIN STREET TRUST INC IL 2.02,9.01 01/29/07 MANITOWOC CO INC WI 2.02,9.01 01/30/07 MANPOWER INC /WI/ WI 2.02,9.01 01/30/07 MBIA INC CT 2.02,9.01 01/30/07 MCDONALDS CORP DE 5.02 01/24/07 MCMORAN EXPLORATION CO /DE/ DE 5.02,9.01 01/29/07 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 01/30/07 MEDCO HEALTH SOLUTIONS INC DE 5.02,9.01 01/24/07 MEDICAL PROPERTIES TRUST INC 2.02,9.01 01/30/07 MELLON FINANCIAL CORP PA 5.02 01/24/07 MEMC ELECTRONIC MATERIALS INC DE 5.02 01/24/07 MENS WEARHOUSE INC TX 8.01,9.01 01/30/07 MERCK & CO INC NJ 2.02,9.01 01/30/07 MERRILL LYNCH & CO INC DE 8.01,9.01 01/30/07 Merrill Lynch Mortgage Investors Trus DE 8.01,9.01 01/30/07 MICROISLET INC NV 3.01,7.01,9.01 01/25/07 MICRON ENVIRO SYSTEMS INC NV 8.01,9.01 01/21/07 MIDLAND CAPITAL HOLDINGS CORP 2.02,9.01 01/30/07 MODERN TECHNOLOGY CORP NV 8.01,9.01 11/30/06 MOLEX INC DE 4.02 01/26/07 MONACO COACH CORP /DE/ DE 1.01,9.01 01/24/07 MORGAN STANLEY DE 9.01 01/29/07 Morgan Stanley Capital I Trust 2007-T DE 8.01,9.01 01/30/07 MOTIENT CORP DE 7.01,9.01 01/29/07 MOVIE STAR INC /NY/ NY 4.02 01/16/07 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 01/25/07 MS STRUCTURED SATURNS SERIES 2001-3 DE 8.01 01/30/07 MS STRUCTURED SATURNS SERIES 2002-8 DE 8.01 01/30/07 MS STRUCTURED SATURNS SERIES 2004-5 DE 8.01 01/30/07 NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 01/30/07 NATIONAL MERCANTILE BANCORP CA 1.01,2.03,3.02,9.01 01/24/07 NAVARRE CORP /MN/ MN 5.02,5.03,9.01 01/25/07 NDS GROUP PLC X0 2.02,9.01 01/30/07 NELNET INC NE 1.01,2.03,9.01 01/24/07 NEOWARE INC DE 2.02,9.01 01/30/07 New England Bancshares, Inc. 2.02,9.01 01/30/07 NEW JERSEY RESOURCES CORP NJ 1.01 01/24/07 NEWELL RUBBERMAID INC DE 2.02,7.01,9.01 01/30/07 NewStar Financial, Inc. 1.02 01/25/07 NEXMED INC NV 5.02,9.01 01/29/07 NIKE INC OR 2.03 01/30/07 NISOURCE INC/DE DE 2.02,5.02,9.01 01/25/07 NOCOPI TECHNOLOGIES INC/MD/ MD 9.01 01/30/07 NORTHEAST BANCORP /ME/ ME 4.01 01/24/07 Northern Explorations Ltd. NV 4.01,9.01 08/30/06 NORTHWEST INDIANA BANCORP IN 1.01 01/30/07 NORTIA CAPITAL PARTNERS, INC. NV 5.02 01/30/07 Novori Inc. DE 8.01 01/26/07 NTELOS HOLDINGS CORP 2.02,9.01 01/30/07 OCWEN FINANCIAL CORP FL 2.02,9.01 01/26/07 ODYSSEY HEALTHCARE INC DE 2.02,9.01 01/29/07 OHIO LEGACY CORP OH 5.02,9.01 01/26/07 OLIN CORP VA 2.02,9.01 01/29/07 OMNI ENERGY SERVICES CORP LA 1.01,2.02,9.01 01/24/07 OMNICELL INC /CA/ CA 2.02,9.01 01/30/07 ON ASSIGNMENT INC DE 1.01 01/25/07 ONEIDA FINANCIAL CORP DE 2.02 01/29/07 OPTIMAL GROUP INC 7.01 01/30/07 Option One Mortgage Loan Trust 2007-F DE 9.01 01/18/07 Ottawa Savings Bancorp, Inc. X1 8.01,9.01 01/30/07 PACCAR INC DE 2.02,9.01 01/30/07 PACKETEER INC DE 5.02 01/24/07 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 01/30/07 PARKER HANNIFIN CORP OH 5.02 01/24/07 Patient Safety Technologies, Inc DE 5.02,9.01 01/24/07 PATRON SYSTEMS INC DE 3.03,5.02,5.03 01/24/07 PEPSI BOTTLING GROUP INC DE 2.02,9.01 01/30/07 PERKINELMER INC MA 5.03,8.01,9.01 01/24/07 PET EXPRESS SUPPLY INC 4.01,9.01 01/25/07 PHOTON DYNAMICS INC CA 2.02,9.01 01/30/07 PIER 1 IMPORTS INC/DE DE 1.01,5.02,9.01 01/27/07 PILGRIMS PRIDE CORP DE 2.02,9.01 01/30/07 PILGRIMS PRIDE CORP DE 7.01 01/30/07 PILGRIMS PRIDE CORP DE 7.01 01/30/07 PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 12/31/06 PIXELWORKS, INC OR 2.02,9.01 01/30/07 PRB Energy, Inc. NV 5.02,9.01 01/25/07 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01 01/29/07 PRINTRONIX INC DE 8.01,9.01 01/30/07 PROCTER & GAMBLE CO OH 2.02 12/31/06 Proguard Acquisition CORP FL 8.01 01/30/07 PROTEIN POLYMER TECHNOLOGIES INC DE 1.01,5.02,8.01 01/10/07 PROVIDENT FINANCIAL SERVICES INC DE 5.02,9.01 01/24/07 PROVIDENT NEW YORK BANCORP DE 2.02,9.01 01/29/07 PURE VANILLA EXCHANGE INC NV 5.02 01/24/07 QCR HOLDINGS INC DE 2.02,9.01 01/29/07 QSGI INC. DE 2.03 01/25/07 QUANEX CORP DE 7.01,9.01 01/30/07 QUANTUM CORP /DE/ DE 2.02,9.01 01/30/07 Quest Minerals & Mining Corp UT 1.01,3.02,3.03,5.01,5.03,9.01 01/12/07 QUICKLOGIC CORPORATION CA 5.02 01/25/07 RADIANT LOGISTICS, INC DE 1.01,9.01 01/25/07 RALI Series 2007-QO1 Trust DE 8.01,9.01 01/30/07 RALI Series 2007-QS2 Trust DE 8.01,9.01 01/30/07 RAYTHEON CO/ DE 5.02 01/24/07 RECKSON OPERATING PARTNERSHIP LP DE 1.01,2.03,3.03,5.01,9.01 01/25/07 REDENVELOPE INC DE 2.02,9.01 01/30/07 REGAL BELOIT CORP WI 5.02,9.01 01/26/07 REGIONS FINANCIAL CORP DE 5.02,9.01 01/24/07 Revolutions Medical CORP NV 1.01,9.01 01/26/07 RG GLOBAL LIFESTYLES INC CA 1.01,5.01 01/23/07 Ruths Chris Steak House, Inc. DE 5.02,9.01 01/30/07 SAFECO CORP WA 2.02,9.01 01/30/07 SAFLINK CORP DE 1.01,2.03,8.01,9.01 01/24/07 SANDISK CORP DE 2.02,9.01 01/30/07 SANDY SPRING BANCORP INC MD 7.01,8.01,9.01 01/25/07 SB PARTNERS NY 2.01,7.01 11/28/06 AMEND SCRIPPS E W CO /DE OH 2.02,9.01 01/30/07 SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01 01/25/07 Securitized Asset Backed Receivables 8.01,9.01 01/30/07 Securitized Asset Backed Receivables 8.01,9.01 01/30/07 SELECT MEDICAL CORP DE 1.01,7.01,9.01 01/27/07 SELECTIVE INSURANCE GROUP INC NJ 2.02,5.02,8.01,9.01 01/30/07 SENSUS METERING SYSTEMS INC 5.02 01/26/07 SERVICE 1ST BANCORP CA 2.02,9.01 01/30/07 SIGNALIFE, INC. DE 1.01,1.02,2.03,3.02,9.01 01/24/07 SILICON LABORATORIES INC DE 5.02,9.01 01/24/07 SILVERADO GOLD MINES LTD A1 8.01,9.01 01/29/07 SIN HOLDINGS INC CO 5.02,5.03,9.01 01/29/07 SIRF TECHNOLOGY HOLDINGS INC 2.02,9.01 01/30/07 SL GREEN REALTY CORP MD 1.01,2.01,2.03,9.01 01/24/07 SL GREEN REALTY CORP MD 2.02,7.01,8.01,9.01 01/29/07 SMALL WORLD KIDS INC UT 1.01,3.02,9.01 01/26/07 SMART ONLINE INC 1.01,2.03 01/24/07 SMITH INTERNATIONAL INC DE 2.02,9.01 01/30/07 SOUTHERN COMMUNITY FINANCIAL CORP 5.02,9.01 01/24/07 SOUTHWEST CASINO CORP 1.01,3.02,9.01 01/24/07 STANLEY FURNITURE CO INC. DE 2.02,9.01 01/29/07 State Auto Financial CORP OH 5.02 01/24/07 STATE BANCORP INC NY 1.01,2.02,9.01 01/24/07 STATE STREET CORP MA 8.01,9.01 01/30/07 STERLING BANCSHARES INC TX 5.02,9.01 01/30/07 STRATAGENE CORP DE 7.01,9.01 01/30/07 STRATUS PROPERTIES INC DE 5.02,9.01 01/24/07 STRIDE RITE CORP MA 1.01 01/26/07 Structured Asset Securities CORP 2007 DE 8.01,9.01 01/30/07 SunOpta Inc. 8.01 01/30/07 SUNTRUST BANKS INC GA 7.01,9.01 01/30/07 SUPERCLICK INC WA 2.02,9.01 01/30/07 SYCAMORE NETWORKS INC DE 8.01,9.01 01/30/07 SYNAGRO TECHNOLOGIES INC DE 8.01,9.01 01/30/07 TAKE TWO INTERACTIVE SOFTWARE INC DE 5.02 01/24/07 TALBOTS INC DE 1.01,9.01 01/24/07 TAPESTRY PHARMACEUTICALS, INC DE 4.02 01/30/07 TECHNE CORP /MN/ MN 2.02,9.01 01/30/07 TECHNOCONCEPTS, INC. CO 1.01,5.02,9.01 01/24/07 TENNECO INC DE 2.02,8.01,9.01 01/30/07 Tennessee Valley Authority 2.02,9.01 01/25/07 TERAX ENERGY, INC. NV 1.01,2.03,5.02,9.01 01/23/07 TERRA INDUSTRIES INC MD 1.01,9.01 01/30/07 TETRIDYN SOLUTIONS INC NV 7.01,9.01 01/30/07 THERAGENICS CORP DE 2.02 01/30/07 THOR INDUSTRIES INC DE 8.01,9.01 01/29/07 TIME WARNER TELECOM INC DE 5.02 01/25/07 TIMKEN CO OH 2.02 01/29/07 TOREADOR RESOURCES CORP DE 7.01,9.01 01/30/07 TransDigm Group INC DE 7.01 01/30/07 TRI-ISTHMUS GROUP, INC. DE 9.01 11/16/06 AMEND TRIMBLE NAVIGATION LTD /CA/ CA 5.02,9.01 01/29/07 TRM CORP OR 2.01,9.01 01/24/07 TVIA INC DE 4.02,5.02,9.01 01/26/07 UGS Corp. DE 8.01 01/24/07 UNIFI INC NY 5.02 01/24/07 UNION NATIONAL FINANCIAL CORP / PA PA 2.02,9.01 12/31/06 UNION PACIFIC CORP UT 8.01,9.01 01/30/07 UNIPRO FINANCIAL SERVICES INC 1.01,2.01 10/27/06 AMEND UNITED DOMINION REALTY TRUST INC MD 2.02,9.01 01/29/07 UNITED MORTGAGE TRUST MD 8.01,9.01 01/24/07 UNITY BANCORP INC /NJ/ NJ 2.02,9.01 01/30/07 UNUMPROVIDENT CORP DE 2.02,7.01,9.01 01/29/07 US AIRWAYS GROUP INC DE 2.02,9.01 01/30/07 US AIRWAYS GROUP INC DE 7.01,9.01 01/30/07 US XPRESS ENTERPRISES INC NV 2.02,9.01 01/29/07 USA REAL ESTATE INVESTMENT TRUST /CA CA 8.01 01/25/07 UTAH MEDICAL PRODUCTS INC UT 8.01 01/30/07 VALLEY FINANCIAL CORP /VA/ VA 2.02 01/29/07 VENTURE FINANCIAL GROUP INC WA 2.02,9.01 01/30/07 VMS NATIONAL PROPERTIES JOINT VENTURE IL 1.01,2.03,9.01 01/19/07 WEATHERFORD INTERNATIONAL LTD D0 2.02,7.01,9.01 01/30/07 WEBSENSE INC DE 2.02,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND I GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND II GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND II-OW GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND III L P GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND IX LP GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND VI L P GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND VII L P GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND VIII LP GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND X L P GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND XI L P GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND XII LP GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND XIII L P 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE FUND XIV LP GA 7.01,8.01,9.01 01/30/07 WELLS REAL ESTATE INVESTMENT TRUST IN MD 7.01 01/29/07 WENTWORTH II INC 3.02 01/29/07 WEST PHARMACEUTICAL SERVICES INC PA 1.01 01/29/07 Western Refining, Inc. DE 8.01,9.01 01/30/07 WSFS FINANCIAL CORP DE 2.02,9.01 01/25/07 WVS FINANCIAL CORP PA 8.01,9.01 01/29/07 WYETH DE 2.02,9.01 01/30/07 XFONE INC NV 5.02,9.01 01/28/07 YADKIN VALLEY FINANCIAL CORP NC 2.02,9.01 01/26/07 YARDVILLE NATIONAL BANCORP NJ 5.02 01/24/07 YELLOWCAKE MINING INC. NV 1.01,9.01 01/29/07 YP CORP NV 4.01,9.01 01/01/07 AMEND Z TRIM HOLDINGS, INC IL 8.01,9.01 01/30/07 ZANETT INC DE 2.02,9.01 01/17/07 ZION OIL & GAS INC DE 1.01,5.03,8.01,9.01 01/24/07 ZUNICOM INC TX 5.02,9.01 01/24/07 ZYNEX MEDICAL HOLDINGS INC NV 3.02,9.01 01/05/07