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Enforcement ProceedingsIn the Matter of Alliance Bancshares California, et al.An Administrative Law Judge (ALJ) issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Alliance Bancshares California, Admin. Proc. File No. 3-14956. The Default Order finds that Respondents Alliance Bancshares California, City Loan, Inc., Community Bancorp, Cygne Designs, Inc., and Davi Skin, Inc., issuers of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the ALJ ordered that the registration of each class of their registered securities is revoked. Respondents Clear Choice Financial, Inc., and CRC Crystal Research Corp. intend to settle this matter with the Division of Enforcement. (Rel. 34-67730; File No. 3-14956) Commission Revokes Registration of Securities of Florida First Equities Corp. (n/k/a Data Imaging Services, Inc.) for Failure to Make Required Periodic FilingsOn August 27, 2012, the Commission revoked the registration of each class of registered securities of Florida First Equities Corp. (n/k/a Data Imaging Services, Inc.) (Data Imaging Services) 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, Florida First Equities Corp. (n/k/a Data Imaging Services, Inc.) 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 Data Imaging Services, 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 Data Imaging Services’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Data Imaging Services in In the Matter of Florida First Equities Corp. (n/k/a Data Imaging Services, Inc.), et al., Administrative Proceeding File No. 3-14923. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Florida First Equities Corp. (n/k/a Data Imaging Services, Inc.), et al., Administrative Proceeding File No. 3-14923, Exchange Act Release No. 67221, June 20, 2012. (Rel. 34-67731; File No. 3-14923) SEC Charges Eric Martin, former Vice President of Investor Relations of Carter’s Inc. with Insider TradingOn August 23, 2012, the Securities and Exchange Commission filed a civil injunctive action against Eric Martin, a 42 year old resident of Roswell, Georgia. The Commission alleges that Martin, who served from 2003 through March 2009 as the Director and, later, Vice President of Investor Relations for Carter’s Inc., repeatedly traded Carter’s shares during blackout periods while in possession of material, nonpublic information regarding the company’s financial results. According to the complaint, Martin obtained Carter’s preliminary financial results while preparing Carter’s senior management for Carter’s quarterly earnings calls, and then bought or sold Carter’s stock depending on whether the preliminary information here received was positive or negative. As the result of his illegal trading, Martin realized profits and avoided losses in excess of $170,000. The Commission’s complaint, filed in the United States District Court for the Northern District of Georgia, charges Martin with violating the antifraud provisions of the federal securities laws during at least 8 quarters between January 2007 and April 2009 in advance of the company’s quarterly earnings releases. The Commission seeks a permanent injunction, disgorgement with prejudgment interest and civil monetary penalties Act against Defendant Martin and seeks disgorgement with prejudgment interest from his wife, Relief Defendant Robin Martin, for trading Martin did through her accounts. [SEC v. Eric Martin, Defendant and Robin Martin, Relief Defendant, Civil Action No. 1:12-CV-02922-AT] (LR-22458) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE MKT LLC proposing to offer certain proprietary options data products (SR-NYSEMKT-2012-40) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 27. (Rel. 34-67719) A proposed rule change filed by NYSE Arca, Inc. proposing to offer certain proprietary options data products (SR-NYSEARCA-2012-89) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 27. (Rel. 34-67720) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-96) amending NYSE Arca Rule 6.47, “Crossing” Orders – OX has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 27. (Rel. 34-67728) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2012-28) to amend EDGA Rules to add the Route Peg Order. Publication in the Federal Register is expected during the week of August 27. (Rel. 34-67726) The Commission approved a proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2012-25) to amend EDGX Rules to add the Route Peg Order. Publication in the Federal Register is expected during the week of August 27. (Rel. 34-67727) Proposed Rule ChangeNYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2012-92) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of iShares 2018 S&P AMT-Free Municipal Series and iShares 2019 S&P AMT-Free Municipal Series under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02. Publication in the Federal Register is expected during the week of August 27. (Rel. 34-67729) Securities Act RegistrationsThe 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-3ASR HOSPITALITY PROPERTIES TRUST, TWO NEWTON PLACE, 255 WASHINGTON STEET, NEWTON, MA, 02458, 6179648389 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183526 - Aug. 24) (BR. 08B) S-3 MISSISSIPPI POWER CO, 2992 WEST BEACH, GULFPORT, MS, 39501, 2288641211 - 1,600,000,000 ($1,600,000,000.00) Unallocated (Universal) Shelf, (File 333-183528 - Aug. 24) (BR. 02A) S-8 MBIA INC, 113 KING ST, ARMONK, NY, 10504, 914-273-4545 - 0 ($43,120,000.00) Equity, (File 333-183529 - Aug. 24) (BR. 01A) N-2 PROSPECT CAPITAL CORP, 10 EAST 40TH STREET 44TH FL, NEW YORK, NY, 10016, 212-448-0702 - 0 ($1,868,952,879.00) Other, (File 333-183530 - Aug. 24) (BR. 16) S-8 HELIX ENERGY SOLUTIONS GROUP INC, 400 N SAM HOUSTON PKWY E, SUITE 400, HOUSTON, TX, 77060, 2816180400 - 5,800,000 ($109,772,500.00) Equity, (File 333-183532 - Aug. 24) (BR. 04A) S-4 UNITED SURGICAL PARTNERS INTERNATIONAL INC, 15305 DALLAS PARKWAY, SUITE 1600, ADDISON, TX, 75001, 972-713-3500 - 0 ($440,000,000.00) Debt, (File 333-183533 - Aug. 24) (BR. 01A) S-8 Treaty Energy Corp, 201 ST. CHARLES AVE., SUITE 2558, NEW ORLEANS, LA, 70170, 9053323110 - 55,000,000 ($2,519,000.00) Equity, (File 333-183534 - Aug. 24) (BR. 04B) S-3ASR Ally Financial Inc., MAIL CODE: 482-B09-C24, 200 RENAISSANCE CENTER, DETROIT, MI, 48265, 866-710-4623 - 0 ($0.00) Other, (File 333-183535 - Aug. 24) (BR. 07C) S-3ASR XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402, 6123305500 - 0 ($0.00) Equity, (File 333-183536 - Aug. 24) (BR. 02C) S-3 Zalicus Inc., 245 FIRST STREET, 3RD FLOOR, CAMBRIDGE, MA, 02142, 617-301-7000 - 7 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-183538 - Aug. 24) (BR. 01A) S-3 HOUSTON AMERICAN ENERGY CORP, 801 TRAVIS STREET, SUITE 2020, HOUSTON, TX, 77002, 7132226966 - 0 ($75,000,000.00) Equity, (File 333-183540 - Aug. 24) (BR. 04B) S-8 LPL Financial Holdings Inc., 75 STATE STREET, 24TH FLOOR, BOSTON, MA, 02109, 617 423 3644 - 0 ($79,730,000.00) Equity, (File 333-183541 - Aug. 24) (BR. 12) S-3 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170, 212-584-4171 - 22,965,433 ($14,611,114.08) Equity, (File 333-183542 - Aug. 24) (BR. 09B) S-3 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170, 212-584-4171 - 0 ($150,000,000.00) Equity, (File 333-183543 - Aug. 24) (BR. 09B) S-1 ONCOSEC MEDICAL Inc, 4690 EXECUTIVE DRIVE SUITE 250, SAN DIEGO, CA, 92121, (855) 662-6732 - 0 ($10,000,000.00) Equity, (File 333-183544 - Aug. 24) (BR. 02C) S-3 INDEPENDENT BANK CORP, 288 UNION STREET, ROCKLAND, MA, 02370, 7818786100 - 0 ($125,000,000.00) Equity, (File 333-183545 - Aug. 24) (BR. 07C) S-1 VOCERA COMMUNICATIONS, INC., 525 RACE STREET, SUITE 150, SAN JOSE, CA, 95126-3495, 408-882-5100 - 5,175,000 ($139,414,500.00) Equity, (File 333-183546 - Aug. 24) (BR. 11C) S-8 BUFFALO WILD WINGS INC, 5500 WAYZATA BOULEVARD, SUITE 1600, MINNEAPOLIS, MN, 55416, 6125939943 - 157,966 ($11,905,897.42) Equity, (File 333-183548 - Aug. 24) (BR. 05A) S-3 AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 6503662626 - 102,000,000 ($74,460,000.00) Equity, (File 333-183549 - Aug. 24) (BR. 01A) S-8 MEMC ELECTRONIC MATERIALS INC, 501 PEARL DRIVE (CITY OF O'FALLON), ST. PETERS, MO, 63376, 6364745000 - 8,000,000 ($22,160,000.00) Equity, (File 333-183550 - Aug. 24) (BR. 10B) S-3ASR CASH AMERICA INTERNATIONAL INC, 1600 W 7TH ST, FT WORTH, TX, 76102, 8173351100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183551 - Aug. 24) (BR. 02B) N-2 Nuveen Municipal Value Fund 2, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($17,600.00) Equity, (File 333-183552 - Aug. 24) (BR. 18) N-2 Nuveen Enhanced Municipal Value Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($15,495.00) Equity, (File 333-183553 - Aug. 24) (BR. 18) S-3 DEMAND MEDIA INC., 1299 OCEAN AVENUE, SUITE 500, SANTA MONICA, CA, 90401-1022, 310-394-6400 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-183554 - Aug. 24) (BR. 03A) N-2 Main Street Capital CORP, 1300 POST OAK BOULEVARD, SUITE 800, HOUSTON, TX, 77056, (713) 350-6000 - 0 ($500,000,000.00) Equity, (File 333-183555 - Aug. 24) (BR. 18) S-4 DPL INC, 1065 WOODMAN DRIVE, DAYTON, OH, 45432, 937 259 7142 - 0 ($1,250,000,000.00) Other, (File 333-183556 - Aug. 24) (BR. 02B) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
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
-----------------------------------------------------------------------------------------
1ST CONSTITUTION BANCORP NJ 8.01,9.01 08/24/12
ACCELR8 TECHNOLOGY CORP CO 1.01 08/20/12
ADVANCED TECHNOLOGIES GROUP LTD NV 8.01 08/01/12
Aircastle LTD D0 7.01,9.01 08/23/12
Alternative Energy & Environmental So NV 5.02 08/14/12
AMERICAN REALTY CAPITAL - RETAIL CENT MD 1.01 08/21/12
American Realty Capital Trust III, In MD 1.01 08/23/12
AMKOR TECHNOLOGY INC DE 8.01,9.01 08/23/12
AMP Holding Inc. NV 1.02,3.02,9.01 08/20/12
AnythingIT, Inc. DE 2.02,7.01,9.01 08/24/12
ARDENT MINES LTD 8.01,9.01 08/23/12
ASTA FUNDING INC DE 1.01,3.03,5.03,8.01, 08/20/12
9.01
ATHENA SILVER CORP DE 7.01,9.01 08/24/12
Atlas Energy, L.P. DE 9.01 07/25/12 AMEND
Atlas Resource Partners, L.P. DE 9.01 07/25/12 AMEND
AVNET INC NY 1.01,2.03,9.01 08/23/12
AWARE INC /MA/ MA 1.01,2.01,9.01 08/22/12
BANK OF THE JAMES FINANCIAL GROUP INC VA 5.03,9.01 08/21/12
BARRY R G CORP /OH/ OH 1.01 08/23/12
BIGGEST LITTLE INVESTMENTS LP DE 8.01 08/24/12
BIO-PATH HOLDINGS INC UT 8.01,9.01 08/23/12
BIOCUREX INC A1 3.02 06/06/12
BioMed Realty Trust Inc MD 8.01,9.01 08/24/12
BlackRock Inc. DE 9.01 03/10/11 AMEND
BlackRock Inc. DE 9.01 11/15/10 AMEND
Blue Water Restaurant Group, Inc. NV 8.01 08/24/12
BRINKS CO VA 5.02,9.01 08/24/12
BRISTOL MYERS SQUIBB CO DE 2.06,9.01 08/23/12
BROADWAY FINANCIAL CORP \DE\ DE 3.01,8.01,9.01 08/20/12
BUCKEYE TECHNOLOGIES INC DE 5.02,7.01,9.01 08/24/12
CALLAWAY GOLF CO DE 1.01,2.03,3.02,8.01, 08/24/12
9.01
CANTERBURY PARK HOLDING CORP MN 8.01,9.01 08/24/12
CENTAURUS DIAMOND TECHNOLOGIES, INC. NV 4.01 08/22/12
CERUS CORP DE 5.03,9.01 08/22/12
CHINA BAK BATTERY INC NV 3.01,5.02 08/20/12
China Liaoning Dingxu Ecological Agri NV 4.01 08/23/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.03 08/22/12
China United Insurance Service, Inc. DE 1.01,2.01,2.03,3.02, 08/24/12
5.02,7.01,9.01
CLEARSIGN COMBUSTION CORP WA 7.01,9.01 08/23/12
CNS RESPONSE, INC. DE 1.01,2.03,3.02,9.01 08/17/12
COMCAST CORP PA 7.01 08/24/12
COMPUTER SCIENCES CORP NV 5.02,9.01 08/23/12
Corporate Capital Trust, Inc. MD 1.01,2.03,9.01 08/20/12
CROWN DYNAMICS CORP DE 1.01,2.03,3.02,9.01 08/23/12
Customers Bancorp, Inc. PA 7.01 08/23/12
Cyclacel Pharmaceuticals, Inc. DE 3.03,5.03,8.01,9.01 08/24/12
DAKTRONICS INC /SD/ SD 5.02,5.07 08/22/12
DCP Midstream Partners, LP DE 5.02,7.01,9.01 08/20/12
DecisionPoint Systems, Inc. 9.01 06/04/12 AMEND
Delaine Corp NV 1.01,5.02,5.07,9.01 08/20/12
Delek US Holdings, Inc. 8.01,9.01 08/24/12
DEMAND MEDIA INC. DE 1.01,7.01,9.01 08/24/12
DIRECT MARKETS HOLDINGS CORP. DE 3.01 08/20/12
DPL INC OH 8.01,9.01 08/24/12
DYNACQ HEALTHCARE INC NV 5.02 08/23/12
DYNEX CAPITAL INC VA 7.01,9.01 08/24/12
EMULEX CORP /DE/ DE 5.02 08/20/12
ENDO HEALTH SOLUTIONS INC. DE 8.01,9.01 08/23/12
ENERGY CONVERSION DEVICES INC DE 7.01,9.01 08/22/12
FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 08/24/12
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 08/23/12
FIRST BANCORP /NC/ NC 8.01,9.01 08/24/12
FIRST FINANCIAL CORP /IN/ IN 5.03,9.01 08/21/12
FIRSTENERGY CORP OH 7.01 08/24/12
FLOTEK INDUSTRIES INC/CN/ DE 5.04,9.01 08/21/12
FOREST LABORATORIES INC DE 5.07 08/15/12 AMEND
FX ENERGY INC NV 1.01,9.01 08/24/12
Genius Brands International, Inc. NV 8.01,9.01 08/23/12
GMX RESOURCES INC OK 5.02 08/20/12
GRAPHON CORP/DE DE 5.02,8.01,9.01 07/19/12
Grizzly Gold Corp. FL 8.01,9.01 08/20/12
HALCON RESOURCES CORP DE 9.01 08/01/12 AMEND
HALCON RESOURCES CORP DE 9.01 08/01/12 AMEND
Hamilton Bancorp, Inc. MD 8.01,9.01 08/24/12
HANCOCK FABRICS INC DE 2.02,9.01 08/23/12
HERITAGE BANKSHARES INC /VA VA 5.02 08/22/12
Hill-Rom Holdings, Inc. IN 1.01,9.01 08/24/12
HomeTown Bankshares Corp 2.02,9.01 08/21/12
IMMUCOR INC GA 1.01,2.03,9.01 08/21/12
INVESTORS TITLE CO NC 1.01,3.03,8.01,9.01 08/22/12
KOSS CORP DE 2.02,9.01 08/23/12
LANDAUER INC DE 5.02,8.01,9.01 08/22/12
LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 08/15/12
LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/12
Li3 Energy, Inc. NV 1.01,3.02,8.01,9.01 08/17/12
LIGHTING SCIENCE GROUP CORP DE 5.02,9.01 08/23/12
Lightwave Logic, Inc. NV 5.07,8.01 08/24/11
Luxeyard, Inc. DE 1.01,5.02,8.01,9.01 08/22/12
Madison Square Garden Co DE 2.02,9.01 08/24/12
MAVERICK MINERALS CORP NV 5.01,9.01 08/20/12
Medefile International, Inc. NV 2.02,9.01 08/22/12
MERISEL INC /DE/ DE 1.01,2.03,3.02,9.01 08/21/12
MIDDLEFIELD BANC CORP OH 1.01,9.01 08/23/12
ML MACADAMIA ORCHARDS L P DE 5.02,9.01 08/24/12
MRC GLOBAL INC. DE 5.02,9.01 08/21/12
MVB FINANCIAL CORP WV 5.02 08/24/12
Nationstar Mortgage Holdings Inc. DE 7.01,9.01 08/24/12
NEOMEDIA TECHNOLOGIES INC DE 8.01,9.01 08/21/12
NeoStem, Inc. DE 1.01,5.02,8.01,9.01 08/24/12
NETWORK EQUIPMENT TECHNOLOGIES INC DE 5.07,8.01 08/23/12
NeurogesX Inc CA 1.01,5.02 08/23/12
NORTHWEST INDIANA BANCORP IN 8.01,9.01 08/24/12
NORTHWEST PIPE CO OR 4.01,9.01 08/20/12
OCLARO, INC. DE 1.01,3.03,9.01 08/21/12
ORION ENERGY SYSTEMS, INC. WI 8.01 08/09/12
Pacific Ethanol, Inc. DE 1.01,8.01,9.01 08/21/12
Pebblebrook Hotel Trust MD 7.01,8.01,9.01 08/23/12
PENSON WORLDWIDE INC DE 3.01 08/20/12
Pershing Gold Corp. NV 4.02 08/20/12
PERVASIP CORP NY 3.02,5.03,9.01 08/21/12
Petron Energy II, Inc. NV 1.01,2.01,3.02,3.03, 01/03/12 AMEND
5.03,5.06,5.07,9.01
PIPER JAFFRAY COMPANIES DE 2.05 07/25/12 AMEND
PMFG, Inc. DE 5.02,9.01 08/24/12
PPL Corp 2.03,8.01,9.01 08/21/12
PRESSTEK INC /DE/ DE 1.01,8.01,9.01 08/22/12
PRISTINE SOLUTIONS INC. NV 5.02 08/24/12
PRISTINE SOLUTIONS INC. NV 1.01,2.01,3.02,9.01 08/23/12
PROVIDENT NEW YORK BANCORP DE 5.02,9.01 08/23/12
QEP RESOURCES, INC. DE 1.01,7.01,9.01 08/23/12
QLOGIC CORP DE 5.07 08/23/12
RADIENT PHARMACEUTICALS Corp DE 1.01,9.01 08/23/12 AMEND
Regency Energy Partners LP DE 1.01,2.03,9.01 08/24/12
RENTRAK CORP OR 5.07 08/23/12
RETAIL PROPERTIES OF AMERICA, INC. MD 8.01,9.01 08/24/12
RFS HOLDING LLC 1.01,8.01,9.01 08/23/12
ROPER INDUSTRIES INC DE 2.01,9.01 08/24/12
S&T BANCORP INC PA 7.01,9.01 08/24/12
SANFILIPPO JOHN B & SON INC DE 2.02,9.01 08/23/12
SINOHUB, INC. DE 3.01,9.01 08/21/12
SMUCKER J M CO OH 8.01 08/23/12
SOUTHERN STAR CENTRAL CORP DE 8.01,9.01 08/24/12
Stereotaxis, Inc. DE 5.07 08/22/12
STRATEGIC HOTELS & RESORTS, INC 1.01,2.03,9.01 08/20/12
STRATUS PROPERTIES INC DE 8.01,9.01 08/24/12
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/15/12
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/15/12
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 08/15/12
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 08/16/12
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 08/15/12
SUNWIN STEVIA INTERNATIONAL, INC. 8.01,9.01 08/24/12
SUNWIN STEVIA INTERNATIONAL, INC. 1.01,2.01,3.02,8.01, 08/08/12
9.01
SYNALLOY CORP DE 2.01,9.01 08/24/12
TANDY BRANDS ACCESSORIES INC DE 5.02 08/20/12
Targa Resources Partners LP DE 1.01,9.01 08/24/12
Teavana Holdings Inc 2.01,9.01 06/11/12 AMEND
TEL INSTRUMENT ELECTRONICS CORP NJ 2.02,5.02,9.01 08/09/12
TELLABS INC DE 5.02,8.01,9.01 08/24/12
THERAVANCE INC DE 7.01,9.01 08/24/12
THERMOGENESIS CORP DE 1.01,9.01 08/20/12
Timberline Resources Corp DE 7.01,9.01 08/23/12
TMX Finance LLC DE 8.01,9.01 08/24/12
Tornier N.V. P7 1.01,3.02,7.01,9.01 08/23/12
TRESORO MINING CORP. NV 8.01,9.01 08/22/12
Tronox Ltd C3 1.01,2.03,8.01,9.01 08/20/12
TYSON FOODS INC DE 5.02 08/24/12
UNITED FIRE GROUP INC 7.01,8.01,9.01 08/24/12
United States Oil Fund, LP DE 8.01 08/24/12
UNWALL INTERNATIONAL INC NV 5.01,5.02 08/21/12
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 08/24/12
VERSANT CORP CA 5.07 08/24/12
Viking Minerals Inc. NV 1.01,3.02,9.01 07/10/12
VIKING SYSTEMS INC DE 5.02,9.01 08/23/12
Virolab, Inc. DE 5.02 08/24/12
VMWARE, INC. DE 2.01,9.01 08/24/12
VONAGE HOLDINGS CORP DE 8.01 08/22/12
WELLS FARGO & COMPANY/MN DE 9.01 08/24/12
WORLD FUEL SERVICES CORP FL 7.01,9.01 08/24/12
WYNN RESORTS LTD 8.01 08/24/12
WYNN RESORTS LTD 7.01,9.01 08/24/12
ZION OIL & GAS INC DE 8.01 08/24/12
ZYGO CORP DE 2.02,9.01 08/23/12
http://www.sec.gov/news/digest/2012/dig082712.htm
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