SEC News Digest, March 19, 2012

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Commission announcements

SEC Issues Risk Alert on Strengthening Practices For Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds

The Securities and Exchange Commission today issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. The agency also issued an Investor Bulletin to help educate investors about municipal bonds.

The alert issued by the SEC’s Office of Compliance Inspections and Examinations (OCIE) notes that in recent years there has been significant attention focused on the financial condition of some state and local governments, and cites concerns about the extent of written documentation by broker-dealers of due diligence efforts and supervision of municipal securities offerings.

“The Commission’s examination staff has observed that some broker-dealers have not maintained adequate written evidence that they complied with their responsibilities regarding due diligence and supervision,” said OCIE Director Carlo di Florio. “To protect investors, it is important that broker-dealers perform adequate due diligence to assess the financial and operational condition of states and municipalities before selling their securities to the public.”

The alert includes examples of practices used by broker-dealers that may help to demonstrate due diligence and supervisory reviews. These include the use of detailed written policies and procedures, the use of commitment committees, due diligence memoranda, outlines for due diligence calls, recordkeeping checklists, and on-site examination activities. Practices such as these could help a firm show how it is meeting its obligation to perform due diligence, and to support that it has a reasonable belief as to the accuracy and completeness of the Official Statements describing the municipal bond offering.

OCIE staff Dan Gregus, George Kramer and Peggy Willenbucher contributed substantially to this Risk Alert.

The Investor Bulletin issued by the SEC’s Office of Investor Education and Advocacy (OIEA) describes the attributes of municipal bonds, including investment risks, and provides information on where investors may obtain additional data on particular bonds.

“The best way for investors to protect themselves is by making fully informed decisions. This is true for any investment, including investments in municipal bonds. Our Investor Bulletin is meant to help investors learn as much as they need when considering an investment in municipal bonds,” said OIEA Director Lori Schock.

To be notified about new Risk Alerts or Investor Bulletins via email or SMA/text message, subscribe here.

When selecting subscription preferences, click the box by “OCIE Staff Letters and Risk Alerts” under the heading “Industry Guidance and Information.”

For Investor Bulletins, click “Investor Bulletins” under the heading “Information for Investors.” (Press Rel. 2012-48)

Enforcement proceedings

In the Matter of Terry Harris

An Administrative Law Judge has issued Initial Decision in Terry Harris, Admin. Proc. No. 3-14610, finding that the following allegations in the Order Instituting Proceedings issued by the Securities and Exchange Commission on November 1, 2011, are true. On February 4, 2011, Terry Harris was found guilty, following a jury trial, of six counts of fraud and two counts of registration violations in State of Alabama v. Terry Harris, CC 07-1624 (Ala. Cir. Ct.). Harris was ordered to make restitution of $1,646,944, and is serving a twenty-five year prison sentence in the Limestone Correctional Facility in Harvest, Alabama. Upon consideration of various public interest factors, the Initial Decision determines that pursuant to Section 203(f) of the Investment Advisers Act of 1940, it is in the public interest to bar Terry Harris from association with an investment adviser, broker, dealer, municipal securities dealer, or transfer agent. (Initial Decision No. 455; File No. 3-14610)

Lanexa Management LLC Agrees Disgorge $746,797 in Insider Trading Profits

The U.S. Securities and Exchange Commission announced today that on March 16, 2012, The Honorable Richard J. Sullivan of the United States District Court for the Southern District of New York, entered a final judgment against Relief Defendant Lanexa Management, LLC in SEC v. Thomas C. Hardin and Lanexa Management, LLC, 10-CV-8599, an insider trading case the SEC originally filed on November 12, 2010. As alleged in the SEC’s amended complaint, filed on March 16, 2012, Defendant Thomas C. Hardin, a former managing director at Lanexa Management, engaged in insider trading on behalf of a Lanexa hedge fund ahead of the announced acquisition of 3Com Corp. in September 2007, resulting in more than $600,000 in illegal trading profits.

The SEC’s amended complaint alleged that Arthur Cutillo and Brien Santarlas, two former attorneys with the law firm of Ropes & Gray LLP, misappropriated from their law firm material nonpublic information concerning the acquisition of 3Com, and tipped the inside information, through another attorney, to Zvi Goffer, a former proprietary trader at Schottenfeld Group LLC, in exchange for kickbacks. The SEC further alleged that Goffer tipped the inside information to, among others, Gautham Shankar, a fellow proprietary trader at Schottenfeld, who then tipped Hardin, a managing director at Lanexa. As alleged in the amended complaint, Hardin used the inside information to trade in the securities of 3Com on behalf of a Lanexa hedge fund.

To settle the SEC’s action, Lanexa agreed to a final judgment ordering it, as a relief defendant, to disgorge $612,190 in illicit trading profits, plus prejudgment interest of $134,607. Hardin previously consented to a judgment in this case and pled guilty to charges of securities fraud and conspiracy to commit securities fraud in a related criminal case, United States v. Thomas Hardin, 10-CR-339 (S.D.N.Y.). [SEC v. Thomas C. Hardin and Lanexa Management, LLC, Civil Action No. 10-CV-8599 (S.D.N.Y.) (RJS)] (LR-22297)

self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-29) to delete certain Select Symbols from the rebates and fees for adding and removing liquidity in Select Symbols 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 19. (Rel. 34-66610)

A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2012-019) to amend the BOX Fee Schedule 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 19. (Rel. 34-66615)

Proposed Rule Change

International Securities Exchange, LLC filed with the Securities and Exchange Commission a proposed rule change (SR-ISE-2012-22) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to add an index option product for trading on the exchange. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66614)

Approval of Proposed Rule Change

The Commission approved a proposed rule change (SR-Phlx-2012-11) filed by NASDAQ OMX PHLX LLC regarding the listing and trading of PHLX FOREX Options^TM. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66616)

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 viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-1     TEAMSTAFF INC, 300 ATRIUM DRIVE, SOUTH PLAINFIELD, NJ, 08873, 
        7327481700 - 0 ($4,200,000.00) Equity, (File 333-180152 - Mar. 16) 
        (BR. 11C)

S-3     Mattersight Corp, 200 S. WACKER DRIVE #820, CHICAGO, IL, 60606, 
        877-235-6925 - 0 ($13,227,749.36) Equity, (File 333-180153 - Mar. 16) 
        (BR. 08B)

S-3     VISTA GOLD CORP, 7961 SHAFFER PKWY, LITTLETON, CO, 80127, 
        720-981-1185 - 0 ($200,000,000.00) Equity, (File 333-180154 - Mar. 16) 
        (BR. 09A)

S-8     FIRSTBANK CORP, 311 WOODWORTH AVE, PO BOX 1029, ALMA, MI, 48801, 
        5174633131 - 500,000 ($3,770,000.00) Equity, (File 333-180162 - 
        Mar. 16) (BR. 07C)

S-8     COSTCO WHOLESALE CORP /NEW, 999 LAKE DRIVE, ISSAQUAH, WA, 98027-, 
        4253138100 - 0 ($2,501,520,000.00) Equity, (File 333-180163 - Mar. 16) 
        (BR. 02A)

S-1     American Oil & Gas Inc., SUITE 400 ? 601 WEST BROADWAY, VANCOUVER, A1, 
        V5Z 4C2, 888 609 1173 - 10,000,000 ($50,000.00) Equity, 
        (File 333-180164 - Mar. 16) (BR. )

S-1     MA Managed Futures Fund, LP, 4440 PGA BOULEVARD, SUITE 600, 
        PALM BEACH GARDENS, FL, 33410, 5616235310 - 
        0 ($50,000,000.00) Limited Partnership Interests, (File 333-180166 - 
        Mar. 16) (BR. )

S-8     First Titan Corp., 6846 TAILFEATHER WAY, BRADENTON, FL, 34204, 
        941 807 1025 - 8,000,000 ($5,760,000.00) Equity, (File 333-180167 - 
        Mar. 16) (BR. 10A)

S-8     Electromed, Inc., 500 SIXTH AVENUE NW, NEW PRAGUE, MN, 56071, 
        952-758-9299 - 200,000 ($590,000.00) Equity, (File 333-180168 - 
        Mar. 16) (BR. 10A)

S-8     INTERMOLECULAR INC, 3011 NORTH FIRST STREET, SAN JOSE, CA, 95134, 
        (408) 582-5700 - 0 ($9,727,294.00) Equity, (File 333-180169 - Mar. 16) 
        (BR. 10B)

S-1     GENEREX BIOTECHNOLOGY CORP, 33 HARBOUR SQ, STE 202, 
        TORONTO ONTARIO CANADA, A1, M5J 2G2, 4163642551 - 
        110,934,409 ($16,196,424.00) Equity, (File 333-180170 - Mar. 16) 
        (BR. 01A)

S-8     CANTEL MEDICAL CORP, OVERLOOK AT GREAT NOTCH, 150 CLOVE ROAD, 
        LITTLE FALLS, NJ, 07424, 9734708700 - 0 ($13,560,000.00) Equity, 
        (File 333-180171 - Mar. 16) (BR. 10A)

S-8     ACTIVE NETWORK INC, 10182 TELESIS COURT, SUITE 300, SAN DIEGO, CA, 
        92121, 858-964-3800 - 3,628,983 ($63,180,594.03) Equity, 
        (File 333-180172 - Mar. 16) (BR. 03A)

S-1     TIAA REAL ESTATE ACCOUNT, 730 THIRD AVE, NEW YORK, NY, 10017, 
        2124909000 - 0 ($1,000,000,000.00) Other, (File 333-180173 - Mar. 16) 
        (BR. 08C)

S-4     Advanced Emissions Solutions, Inc., 8100 SOUTHPARK WAY STE B, 
        LITTLETON, CO, 80120, 303-734-1727 - 0 ($288,530,000.00) Equity, 
        (File 333-180174 - Mar. 16) (BR. 06)

S-1     Exponential Interactive, Inc., 2200 POWELL STREET, SUITE 600, 
        EMERYVILLE, CA, 94608, 510-250-5500 - 0 ($75,000,000.00) Equity, 
        (File 333-180176 - Mar. 16) (BR. )

S-8     Globalstar, Inc., 300 HOLIDAY SQUARE BLVD.,, COVINGTON,, LA, 70433, 
        408-933-4000 - 5,943,516 ($4,457,637.00) Equity, (File 333-180178 - 
        Mar. 16) (BR. 11C)

S-3     CURRENCYSHARES JAPANESE YEN TRUST, 
        C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, 
        ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($587,800,000.00) Equity, 
        (File 333-180179 - Mar. 16) (BR. 08B)

S-8     AMARIN CORP PLC\UK, FIRST FLOOR, BLOCK 3, THE OVAL,, 
        SHELBOURNE ROAD, BALLSBRIDGE, DUBLIN, L2, 00000, 353 1 6699 020 - 
        0 ($9,072,000.00) Equity, (File 333-180180 - Mar. 16) (BR. 01A)

S-3ASR  CURRENCYSHARES AUSTRALIAN DOLLAR TRUST, 
        C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, 
        ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($523,350,000.00) Equity, 
        (File 333-180181 - Mar. 16) (BR. 08B)

S-3ASR  LEGGETT & PLATT INC, NO. 1 LEGGETT ROAD, CARTHAGE, MO, 64836, 
        (417) 358-8131 - 0 ($0.00) Other, (File 333-180182 - Mar. 16) (BR. 06A)

N-2     DNP SELECT INCOME FUND INC, PO BOX 32760, LOUISVILLE, KY, 40232, 
        3123685510 - 88,500 ($1,000,050.00) Equity, (File 333-180183 - Mar. 16) 
        (BR. 17)

S-8     Aegerion Pharmaceuticals, Inc., 1140 ROUTE 22 EAST, SUITE 304, 
        BRIDGEWATER, NJ, 08807, (908) 704-1300 - 
        1,553,673 ($24,392,666.10) Equity, (File 333-180184 - Mar. 16) (BR. 01A)

S-3     HARLEY DAVIDSON CUSTOMER FUNDING CORP, 4150 TECHNOLOGY WAY, 
        CARSON CITY, NV, 89706, 7028851200 - 
        0 ($4,000,000,000.00) Asset-Backed Securities, (File 333-180185 - 
        Mar. 16) (BR. OSF)

S-4     SANDY SPRING BANCORP INC, 17801 GEORGIA AVE, OLNEY, MD, 20832, 
        3017746400 - 732,134 ($12,962,302.00) Equity, (File 333-180186 - 
        Mar. 16) (BR. 07B)

S-8     ZYGO CORP, LAUREL BROOK RD, MIDDLEFIELD, CT, 06455, 8603478506 - 
        2,300,000 ($43,967,000.00) Equity, (File 333-180187 - Mar. 16) (BR. 10C)

S-8     ZYGO CORP, LAUREL BROOK RD, MIDDLEFIELD, CT, 06455, 8603478506 - 
        1,900,000 ($34,948,500.00) Equity, (File 333-180188 - Mar. 16) (BR. 10C)

S-8     HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 
        6317302200 - 500,000 ($20,480,000.00) Equity, (File 333-180189 - 
        Mar. 16) (BR. 04A)

S-1     DUNKIN' BRANDS GROUP, INC., 130 ROYALL STREET, CANTON, MA, 02021, 
        7817374516 - 0 ($791,637,000.00) Equity, (File 333-180190 - Mar. 16) 
        (BR. 05A)

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 or an 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 Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

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

5.06

Change in Shell Company Status

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 viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

AAA PUBLIC ADJUSTING GROUP, INC.        FL       1.02                 03/12/12

ACORN ENERGY, INC.                      DE       2.02,7.01,9.01       03/15/12

Activision Blizzard, Inc.               DE       5.02,9.01            03/12/12

ADA-ES INC                              CO       1.01,7.01,9.01       03/15/12

AEP TEXAS CENTRAL CO                    TX       8.01,9.01            03/14/12

AG Mortgage Investment Trust, Inc.      MD       5.02                 03/16/12

AISystems, Inc.                                  5.02,8.01            03/14/12

ALEXANDERS J CORP                       TN       2.02,7.01,9.01       03/16/12

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            03/16/12

ALLIANCE DATA SYSTEMS CORP              DE       5.04,9.01            03/16/12

Alon Refining Krotz Springs, Inc.       DE       8.01,9.01            03/15/12

Alon USA Energy, Inc.                   DE       8.01,9.01            03/15/12

Alpha Natural Resources, Inc.           DE       5.02                 03/14/12    AMEND

Altisource Portfolio Solutions S.A.     N4       5.02,9.01            03/13/12

American Energy Development Corp.       NV       2.01,3.02,7.01,9.01  03/12/12

AMERICAN ORIENTAL BIOENGINEERING INC    CO       8.01                 03/13/12

American Renal Holdings Inc.            DE       5.02                 03/15/12

AMERISTAR CASINOS INC                   NV       1.01,9.01            03/14/12

ANGIOTECH PHARMACEUTICALS INC                    1.01,9.01            03/16/12

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            03/16/12

ASPEN INSURANCE HOLDINGS LTD            D0       7.01,9.01            03/16/12

Atlantic Resources Inc.                 NV       5.02                 03/09/12

ATP OIL & GAS CORP                      TX       2.02,9.01            03/15/12

AUTOBYTEL INC                           DE       8.01,9.01            03/15/12

BALLY TECHNOLOGIES, INC.                NV       5.02,5.03,9.01       12/22/10

BANK OF AMERICA CORP /DE/               DE       8.01                 03/15/12

BANKATLANTIC BANCORP INC                FL       1.01,9.01            03/13/12

BBCN BANCORP INC                        DE       4.01,9.01            03/15/12

BERKLEY W R CORP                        DE       1.01,9.01            03/13/12

BIOANALYTICAL SYSTEMS INC               IN       5.07                 03/15/12

BIOZONE PHARMACEUTICALS, INC.           NV       3.02,9.01            03/13/12

Bitstream Inc.                          DE       8.01,9.01            03/16/12

BORGWARNER INC                          DE       5.02                 03/12/12

CADENCE PHARMACEUTICALS INC                      5.02                 03/14/12

CALIFORNIA GOLD CORP.                   NH       3.02                 03/16/12

CALLON PETROLEUM CO                     DE       2.02,7.01,9.01       03/14/12

CANTEL MEDICAL CORP                     DE       7.01,9.01            03/16/12

CAPSTEAD MORTGAGE CORP                  MD       7.01,9.01            03/16/12

Castwell Precast Corp                   NV       5.07                 03/15/12

CATO CORP                               DE       9.01                 03/16/12

CC Media Holdings Inc                            1.01,8.01,9.01       03/15/12

China Botanic Pharmaceutical                     8.01,9.01            03/15/12

CHINA EDUCATION ALLIANCE INC.           NC       4.01,8.01,9.01       03/12/12

China Intelligence Information System   NV       1.01,3.02,9.01       03/12/12

China Marketing Media Holdings, Inc.    TX       1.01,2.01,9.01       12/23/11    AMEND

China Media Group CORP                  TX       1.01,9.01            03/15/12

CIT GROUP INC                           DE       1.01,8.01,9.01       03/12/12

CITY HOLDING CO                         WV       1.01,9.01            03/14/12

CITY NATIONAL CORP                      DE       5.02,9.01            03/16/12

Clean Coal Technologies Inc.            NV       7.01                 03/13/12

Cleantech Solutions International, In   DE       5.02,9.01            03/14/12

CLEAR CHANNEL COMMUNICATIONS INC        TX       1.01,8.01,9.01       03/15/12

Clear Channel Outdoor Holdings, Inc.    DE       1.01,2.03,8.01,9.01  03/15/12

CLOUD PEAK ENERGY INC.                  DE       5.02,9.01            03/15/12

COMERICA INC /NEW/                      DE       7.01,9.01            03/16/12

COMMUNITY BANCORP /VT                   VT       8.01,9.01            03/14/12

COMPUTER SCIENCES CORP                  NV       5.02,9.01            03/16/12

COMPUWARE CORP                          MI       1.01,3.03,9.01       03/14/12

CONSOLIDATED GRAPHICS INC /TX/          TX       7.01,9.01            03/16/12

CoreSite Realty Corp                    MD       7.01,9.01            03/16/12

CORNERSTONE THERAPEUTICS INC            DE       9.01                 12/28/11    AMEND

CoroWare, Inc,                          DE       3.03,5.03,9.01       03/09/12

Covidien plc                                     5.07,9.01            03/13/12

CROGHAN BANCSHARES INC                  OH       8.01                 03/13/12

CROSS BORDER RESOURCES, INC.            NV       8.01                 03/16/12

Crystal Rock Holdings, Inc.             DE       2.02,9.01            03/16/12

DAEGIS INC.                             DE       1.01,2.03,9.01       03/16/12

DATARAM CORP                            NJ       1.01,9.01            03/16/12

DAYBREAK OIL & GAS INC                  WA       5.02                 03/14/12

DAYSTAR TECHNOLOGIES INC                DE       3.01                 03/12/12

DERMA SCIENCES, INC.                    PA       8.01,9.01            03/13/12

DIGITAL ALLY INC                                 3.01                 03/13/12

DigitalTown, Inc.                       MN       5.02                 03/16/12

DISCOVERY LABORATORIES INC /DE/         DE       1.01,8.01,9.01       03/16/12

Domtar CORP                             DE       2.03,8.01,9.01       03/16/12

DORAL FINANCIAL CORP                    PR       5.02                 03/16/12

DUPONT FABROS TECHNOLOGY, INC.          MD       8.01                 03/15/12

DYCOM INDUSTRIES INC                    FL       8.01,9.01            03/15/12

DYNEGY INC.                             DE       7.01,9.01            03/09/12

ELSINORE SERVICES INC                   DE       4.01,9.01            03/16/12

EMAGIN CORP                             DE       2.02,9.01            03/14/12

EMC INSURANCE GROUP INC                 IA       5.02                 03/14/12

EMC INSURANCE GROUP INC                 IA       8.01,9.01            03/14/12

EMC INSURANCE GROUP INC                 IA       7.01,9.01            03/15/12

ENERGY FOCUS, INC/DE                    DE       8.01,9.01            02/27/12

Enterologics, Inc.                      NV       9.01                 09/16/11    AMEND

ENTROPIC COMMUNICATIONS INC             DE       1.01                 03/14/12

EPOLIN INC /NJ/                         NJ       1.01,9.01            03/14/12

EXAR CORP                               DE       1.01,5.03,9.01       03/14/12

EXELON GENERATION CO LLC                         5.02                 03/12/12

Fabrinet                                E9       5.02                 03/12/12

FIRST BANCORP /PR/                      PR       4.01,9.01            03/12/12

First Trinity Financial CORP                     2.02,9.01            03/16/12

FISHER COMMUNICATIONS INC               WA       5.02                 03/14/12    AMEND

FOREST OIL CORP                         NY       5.02,9.01            03/12/12

FORWARD INDUSTRIES INC                  NY       1.01                 03/12/12

FRANKLIN RESOURCES INC                  DE       5.07                 03/14/12

FREEPORT MCMORAN COPPER & GOLD INC      DE       8.01,9.01            03/15/12

FRONTIER COMMUNICATIONS CORP            DE       8.01                 12/16/11

FS Investment CORP                      MD       2.02,8.01,9.01       03/13/12

FUQI INTERNATIONAL, INC.                DE       5.02                 01/16/12

Fuse Science, Inc.                      NV       5.02                 03/13/12

GALLAGHER ARTHUR J & CO                 DE       8.01,9.01            03/16/12

GARB OIL & POWER CORP                   UT       1.01,2.01,8.01,9.01  03/14/12

GENERAC HOLDINGS INC.                   DE       8.01                 03/16/12

GENERAL ELECTRIC CO                     NY       7.01,9.01            02/22/12

GENTA INC DE/                           DE       8.01                 03/16/12

GENWORTH FINANCIAL INC                  DE       5.02                 03/14/12

GeoBio Energy, Inc.                     CO       1.01,9.01            11/14/11    AMEND

GERON CORP                              DE       5.02                 03/13/12

GETTY REALTY CORP /MD/                  MD       2.02,9.01            03/15/12

Global Security Agency Inc.             NV       3.02                 03/14/12

GLOBETRAC INC                           DE       1.01,9.01            03/16/12

GLOWPOINT, INC.                         DE       5.02                 03/12/12    AMEND

GlyEco, Inc.                            NV       9.01                 01/01/12    AMEND

GMX RESOURCES INC                       OK       5.02,9.01            03/14/12

Greektown Superholdings, Inc.           DE       5.02                 03/12/12

Green Technology Solutions, Inc.        DE       3.02                 01/09/12

Gulf United Energy, Inc.                NV       8.01                 03/13/12

HAIN CELESTIAL GROUP INC                DE       5.07                 03/16/12    AMEND

HANDENI GOLD INC.                       NV       5.02                 03/15/12

HARBINGER GROUP INC.                    DE       8.01                 03/15/12

HEINZ H J CO                            PA       5.03,9.01            03/14/12

HELIX ENERGY SOLUTIONS GROUP INC        MN       1.01,2.03,8.01,9.01  03/15/12

HERITAGE COMMERCE CORP                  CA       8.01,9.01            03/16/12

HINTO ENERGY, INC                       WY       7.01,9.01            03/16/12

Houston Wire & Cable CO                          2.02,9.01            03/15/12

HURCO COMPANIES INC                     IN       5.02,5.07,9.01       03/15/12

HUSA Liquidating Corp                   DE       8.01,9.01            03/15/12

ICF International, Inc.                 DE       7.01,9.01            03/16/12

ImmunoCellular Therapeutics, Ltd.       DE       5.02,9.01            03/13/12

IMPLANT SCIENCES CORP                   MA       5.07                 03/15/12

INPHI Corp                              DE       5.02                 03/14/12

Islet Sciences, Inc                     NV       2.01,3.02,3.03,9.01  03/14/12

IVANHOE ENERGY INC                               7.01,9.01            03/16/12

JBI, INC.                               NV       5.02                 03/12/12

Jinmimi Network Inc                     NV       3.02,9.01            03/06/12

Jones Lang LaSalle Income Property Tr   MD       4.01,9.01            03/15/12

JONES SODA CO                           WA       3.01                 03/15/12

KALEIDOSCOPE VENTURE CAPITAL INC.       NV       1.02,5.02            03/01/12

KIT digital, Inc.                       DE       9.01                 12/30/11    AMEND

Kohlberg Capital CORP                   DE       8.01,9.01            03/16/12

KRANEM CORP                             CO       1.01,2.01,3.02,4.01, 03/16/12    AMEND
                                                 5.01,5.02,5.06,9.01
       
LAKES ENTERTAINMENT INC                 MN       2.02,9.01            03/16/12

LENCO MOBILE INC.                       DE       9.01                 12/23/11    AMEND

Liberty Global, Inc.                    DE       5.02                 03/14/12

LIQUIDITY SERVICES INC                  DE       1.01,9.01            03/13/12

MAGNEGAS CORP                           DE       7.01,9.01            03/08/12

MANHATTAN PHARMACEUTICALS INC           DE       9.01                 12/29/11    AMEND

MARKWEST ENERGY PARTNERS L P                     1.01,7.01,9.01       03/12/12

Marriott Vacations Worldwide Corp       DE       5.02,9.01            03/12/12

MASTERCARD INC                          DE       8.01                 03/15/12

McEwen Mining Inc.                      CO       7.01,9.01            03/16/12

MEDIANET GROUP TECHNOLOGIES INC         NV       8.01,9.01            03/16/12

MEDICAL ALARM CONCEPTS HOLDINGS INC     NV       1.01,8.01            02/28/12

MEDINA INTERNATIONAL HOLDINGS, INC.     CO       1.01,9.01            03/13/12

MGT CAPITAL INVESTMENTS INC             DE       8.01,9.01            03/15/12

Midas Medici Group Holdings, Inc.                1.01,9.01            03/16/12

MISSION COMMUNITY BANCORP               CA       4.02                 03/13/12

MRV COMMUNICATIONS INC                  DE       2.02,9.01            03/15/12

NACCO INDUSTRIES INC                    DE       7.01,9.01            03/16/12

NACCO INDUSTRIES INC                    DE       2.02,7.01,9.01       03/16/12

NanoTech Entertainment, Inc.            NV       5.06,9.01            03/15/12

New York & Company, Inc.                         5.02,9.01            03/13/12

NEW YORK MORTGAGE TRUST INC             MD       5.02                 03/12/12

NEWMARKET CORP                          VA       1.01,1.02,2.03,2.04, 03/14/12
                                                 7.01,8.01,9.01

NEWS CORP                                        8.01,9.01            03/16/12

NEXTERA ENERGY INC                      FL       5.02,7.01,9.01       03/16/12

NISSAN AUTO LEASING LLC II              DE       8.01,9.01            03/12/12

NISSAN AUTO LEASING LLC II              DE       1.01,9.01            03/15/12

NORTHERN OIL & GAS, INC.                         5.03                 08/29/11    AMEND

Nuveen Global Value Opportunities Fun   MA       8.01                 03/16/12

OMEROS CORP                             WA       2.02,9.01            03/15/12

Omnitek Engineering Corp                CA       1.01,9.01            03/15/12

ONCOGENEX PHARMACEUTICALS, INC.         DE       1.01,8.01,9.01       03/16/12

Orexigen Therapeutics, Inc.             DE       5.02,9.01            03/15/12

Orgenesis Inc.                          NV       5.03,7.01,9.01       08/31/11    AMEND

ORMAT TECHNOLOGIES, INC.                DE       7.01,9.01            03/16/12

OXYGEN BIOTHERAPEUTICS, INC.            DE       2.02,9.01            03/15/12

PACIFIC GOLD CORP                       NV       8.01                 03/08/12

Parabel Inc.                            DE       5.02                 03/13/12

PARK ELECTROCHEMICAL CORP               NY       8.01                 03/16/12

PATTERSON UTI ENERGY INC                DE       5.02,9.01            03/14/12

PCS EDVENTURES COM INC                  ID       5.07,8.01            03/14/12

Pebblebrook Hotel Trust                 MD       7.01,8.01,9.01       03/15/12

Pegasus Tel, Inc                        DE       3.02,5.01,5.02,5.03, 03/15/12
                                                 9.01
          
PEP BOYS MANNY MOE & JACK               PA       8.01,9.01            03/16/12

PEREGRINE PHARMACEUTICALS INC           DE       5.07                 10/20/11

PEREGRINE PHARMACEUTICALS INC           DE       5.07                 10/20/11    AMEND

PETSMART INC                            DE       5.02,9.01            03/14/12

PHARMACYCLICS INC                       DE       7.01,9.01            03/15/12

PHOTRONICS INC                          CT       1.01,5.02,9.01       03/16/12

Pinnacle Foods Finance LLC              DE       7.01                 03/16/12

PIXELWORKS, INC                         OR       5.02                 03/16/12

PLAINSCAPITAL CORP                      TX       8.01                 03/15/12

PLATINUM ENERGY SOLUTIONS, INC.         NV       1.01,3.02            03/15/12

PLY GEM HOLDINGS INC                    DE       2.02,9.01            03/16/12

Point.360                               CA       5.02                 03/15/12

POWER SOLUTIONS INTERNATIONAL, INC.     DE       1.01,9.01            03/13/12

POZEN INC /NC                                    5.02                 03/13/12

Premier Beverage Group Corp             NV       2.01,3.02,4.01,5.01, 10/19/11    AMEND
                                                 5.02,5.03,9.01

Prestige Brands Holdings, Inc.                   8.01,9.01            03/15/12

PROGENICS PHARMACEUTICALS INC           DE       5.03                 03/16/12

PROVIDENT COMMUNITY BANCSHARES, INC.             2.02,9.01            03/16/12

PSB HOLDINGS INC /WI/                   WI       8.01,9.01            03/15/12

PURE BIOSCIENCE, INC.                   DE       2.02,3.01,9.01       03/15/12

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       1.01,8.01,9.01       03/15/12

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       8.01,9.01            03/16/12

RBS GLOBAL INC                          DE       1.01,2.03            03/15/12

READING INTERNATIONAL INC               NV       2.02,9.01            03/15/12

RENTECH INC /CO/                        CO       2.02,9.01            03/16/12

Rentech Nitrogen Partners, L.P.         DE       2.02,9.01            03/16/12

REPLIGEN CORP                           DE       2.02,9.01            03/16/12

RETAIL PROPERTIES OF AMERICA, INC.      MD       7.01                 03/13/12

RigNet, Inc.                            DE       5.02,9.01            03/14/12

Rock-Tenn CO                            GA       7.01,9.01            03/16/12

ROFIN SINAR TECHNOLOGIES INC            DE       5.07                 03/15/12

SAFEWAY INC                             DE       5.02,9.01            03/12/12

SALIX PHARMACEUTICALS LTD                        1.01,2.03,3.02,8.01, 03/13/12
                                                 9.01
          
Santander Drive Auto Receivables Trus   DE       1.01,8.01,9.01       03/14/12

Santander Drive Auto Receivables Trus   DE       8.01,9.01            03/14/12

SANUWAVE Health, Inc.                   NV       2.02,9.01            03/14/12

SAVE THE WORLD AIR INC                  NV       8.01,9.01            03/02/12

SCHNITZER STEEL INDUSTRIES INC          OR       2.02,9.01            03/16/12

SELECT MEDICAL HOLDINGS CORP                     7.01,9.01            03/16/12

Sensata Technologies Holding N.V.       P7       5.07                 03/09/11    AMEND

Seven Arts Entertainment Inc.           NV       8.01,9.01            03/13/12

Shengkai Innovations, Inc.              FL       8.01,9.01            03/16/12

SHILOH INDUSTRIES INC                   DE       5.07                 03/14/12

SINO PAYMENTS, INC.                     NV       4.01,9.01            03/05/12

SINOHUB, INC.                           DE       5.02,9.01            01/01/12

SIONIX CORP                             NV       1.01                 03/12/12

SOTHEBYS                                DE       5.02                 03/14/12

SOUTH DAKOTA SOYBEAN PROCESSORS LLC              1.01,2.03,9.01       03/14/12

SOUTHERN CO                             DE       8.01                 03/15/12

SOUTHWEST GAS CORP                      CA       1.01,1.02,2.03,9.01  03/15/12

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       8.01,9.01            03/16/12

Spansion Inc.                           DE       1.01                 03/12/12

SPARTECH CORP                           DE       5.07                 03/15/12

SPECTRASCIENCE INC                      MN       1.01,2.03,3.02,7.01  03/15/12

Spectrum Brands Holdings, Inc.          DE       8.01                 03/15/12

Spectrum Brands, Inc.                   DE       1.01,9.01            03/13/12

STELLAR PHARMACEUTICALS INC                      7.01,9.01            03/16/12

SUNRISE SENIOR LIVING INC               DE       5.02                 03/12/12

SYNERGY RESOURCES CORP                  CO       2.01                 03/14/12

SYNOVUS FINANCIAL CORP                  GA       5.02,9.01            03/14/12

T Bancshares, Inc.                               8.01,9.01            03/09/12

Tamir Biotechnology, Inc.               DE       1.01                 03/13/12

TaxMasters, Inc.                        NV       1.03                 03/16/12

TechTarget Inc                                   5.02,9.01            03/16/12

TIDEWATER INC                           DE       8.01,9.01            03/12/12

TIVO INC                                DE       5.02                 03/14/12

TRANSATLANTIC PETROLEUM LTD.            D0       2.02,9.01            03/16/12

TUCOWS INC /PA/                         PA       7.01,9.01            03/16/12

UNIGENE LABORATORIES INC                DE       5.02,9.01            03/12/12

UNIGENE LABORATORIES INC                DE       8.01                 03/16/12

UNITED BANCSHARES INC /PA               PA       9.01                 01/31/12    AMEND

UNITED COMMUNITY FINANCIAL CORP         OH       2.02,9.01            03/15/12

UNITED SECURITY BANCSHARES INC          DE       2.02,9.01            03/16/12

UNITED STATES STEEL CORP                DE       1.01,2.03,9.01       03/15/12

Universal Capital Management, Inc.      DE       3.02                 03/16/11

USG CORP                                DE       5.02                 03/12/12

V F CORP                                PA       5.02,9.01            03/16/12

VALHI INC /DE/                          DE       7.01,9.01            03/15/12

Vantage Drilling CO                     E9       7.01                 03/15/12

Versant International, Inc.             NV       1.01,2.01,3.02,5.06, 03/12/12
                                                 9.01
          
VISTA GOLD CORP                         B0       2.02,7.01,9.01       03/15/12

VISTEON CORP                            DE       5.02                 03/14/12

VISUALANT INC                           NV       1.01,9.01            03/12/12

WALT DISNEY CO/                         DE       5.02,5.07,9.01       03/13/12

Warner Music Group Corp.                DE       8.01,9.01            03/16/12

WatchIt Technologies Inc.               TX       8.01                 03/15/12

WATSCO INC                              FL       5.07                 03/13/12

Weatherford International Ltd./Switze   V8       7.01,9.01            03/15/12

WebMD Health Corp.                      DE       5.02                 03/12/12

WELLS MID-HORIZON VALUE-ADDED FUND I             7.01,9.01            03/16/12

WESTMORELAND COAL Co                    DE       5.02                 03/12/12

WIKI GROUP, INC.                                 5.03,9.01            03/13/12

WIRED ASSOCIATES SOLUTIONS INC          NV       5.03,9.01            03/13/12

WORDLOGIC CORP                          NV       8.01                 03/14/12

WPCS INTERNATIONAL INC                  DE       2.02,9.01            03/17/11

WPCS INTERNATIONAL INC                  DE       7.01,9.01            03/16/12

XERIUM TECHNOLOGIES INC                 DE       5.02,7.01,9.01       03/13/12

Yankee Holding Corp.                    DE       7.01,9.01            03/14/12

YCC Holdings LLC                        DE       7.01,9.01            03/14/12

YRC Worldwide Inc.                      DE       5.02                 03/12/12

ZYGO CORP                               DE       8.01,9.01            03/16/12

http://www.sec.gov/news/digest/2012/dig031912.htm

SEC News Digest