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Commission AnnouncementsSEC and CFTC Seek Public Input for Joint Stable Value Contract StudyThe Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) have approved for publication in the Federal Register a request for public comment that is expected to assist in conducting a joint study on stable value contracts. Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act provides for the comprehensive regulation of swaps and security-based swaps and includes definitions of key terms relating to such regulation. It requires the SEC and CFTC to jointly conduct a study to determine whether stable value contracts fall within the definition of a swap, and if so, whether exempting such contracts from the swap definition is appropriate and in the public interest. The Dodd-Frank Act calls for the SEC and CFTC to make the determination in consultation with the Department of Labor, the Department of the Treasury, and the state entities that regulate the issuers of stable value contracts. Public comments must be received on or before 30 days after publication in the Federal Register. (Press Rel. 2011-169) Enforcement ProceedingsIn the Matter of Peter Emrich, Alberto Ferreiras, James Frankfurth, Frank Rossi, and Dana ValenskyThe Commission announced that on August 18, 2011, it issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order or OIP) against Peter Emrich (Emrich), Alberto Ferreiras (Ferreiras), James Frankfurth (Frankfurth), Frank Rossi (Rossi), and Dana Valensky (Valensky) (jointly Respondents). The Division of Enforcement alleges in the Order that: Emrich pleaded guilty to one count of conspiracy to commit securities fraud in violation of 18 U.S.C. Section 371 before the United States District Court for the Eastern District of New York in United States v. Kozak, et al., 02-CR-879 (the Kozak Case), a criminal case arising from an unregistered offering of securities of Out of the Black Partners LLC, a California limited liability company. On May 10, 2010, a criminal judgment was entered against Emrich. Frankfurth pleaded guilty to one count of conspiracy to commit securities fraud in violation of 18 U.S.C. Section 371 in the Kozak Case. On June 21, 2010, a criminal judgment was entered against Frankfurth. Ferreiras pleaded guilty to the charges against him in the Kozak Case and United States v. Leonard, et al. 02-CR-881 (the Leonard Case), a related criminal case in the United States District Court for the Eastern District of New York arising from unregistered offerings of securities of two California limited liability companies, Little Giant, LLC and Heritage Film Group, LLC. In the Kozak and Leonard Cases, Ferreiras was charged with conspiracy and securities fraud. Ferreiras also pleaded guilty to one count of conspiracy to commit mail fraud in violation of 18 U.S.C. Sections 1349 and 3147 and eight counts of mail fraud in violation of 18 U.S.C. Sections 1341, 3147 and 2 before the United States District Court for the Eastern District of New York in United States v. Ferreiras, et al., 07-CR-325 (the ATM Case), a criminal case arising from a fraudulent scheme involving the sale of cashless ATM machines. On July 23, 2009, a criminal judgment was entered against Ferreiras in the Leonard, Kozak and ATM Cases. Rossi pleaded guilty to two counts of conspiracy to commit securities fraud in violation of 18 U.S.C. Section 371 in the Leonard Case. On March 21, 2011, a criminal judgment was entered against Rossi. Valensky pleaded guilty before the United States District Court for the Eastern District of New York to two counts of conspiracy to commit securities fraud in U.S. v. Noorai, et al., 02-CR-880 (the Noorai Case), a criminal case arising from an unregistered offering of securities, and one count of conspiracy to commit securities fraud in the Leonard Case. On Nov. 10, 2010, a criminal judgment was entered against Valensky in the Noorai and Leonard Cases. The Order finds that the indictments in the Kozak and Leonard Cases alleged, among other things, that the Respondents and others concealed or conspired to conceal from investors the actual amount of sales commissions that would be paid from the proceeds of the offerings. The indictment in the ATM Case alleged that Ferreiras and his co-conspirator carried out a scheme to obtain money and property from others by means of materially false representations and omissions in connection with the sale of cashless ATM machines. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the OIP are true, to afford Respondents an opportunity to respond, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The OIP requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-65167; File No. 3-14509) In the Matter of International Poultry Co., Inc. (n/k/a Carley Enterprises, Inc.)An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to Respondent IPEX, Inc. (n/k/a Salus Labs International, Inc.) (Default Order) in International Poultry Co., Inc. (n/k/a Carley Enterprises, Inc.), Admin. Proc. No. 3-14439. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of IPEX, Inc. (n/k/a Salus Labs International, Inc.) pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to all other Respondents. See International Poultry Co. Inc. (n/k/a Carley Enterprises Inc.), Securities Exchange Act Release No. 65027 (August 4, 2011). (Rel. 34-65168; File No. 3-14439) Commission Revokes Registration of Securities of Directcom, Inc. (n/k/a Directcom Marketing, Inc.) for Failure to Make Required Periodic FilingsOn August 19, 2011, the Commission revoked the registration of each class of registered securities of Directcom, Inc. (n/k/a Directcom Marketing, Inc.) (Directcom) 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, Directcom 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 Directcom, Inc. (n/k/a Directcom Marketing, 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 Directcom’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Directcom in In the Matter of Derand Real Estate Investment Trust, et al., Administrative Proceeding File No. 3-14489. 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 Derand Real Estate Investment Trust, et al., Administrative Proceeding File No. 3-14489, Exchange Act Release No. 64971, July 26, 2011. (Rel. 34-65169; File No. 3-14489) Commission Revokes Registration of Securities of One IP Voice, Inc. (n/k/a Indian Hill Holdings Corporation) for Failure to Make Required Periodic FilingsOn August 19, 2011, the Commission revoked the registration of each class of registered securities of One IP Voice, Inc. (n/k/a Indian Hill Holdings Corporation) (OIVO) 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, OIVO 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 One IP Voice, Inc. (n/k/a Indian Hill Holdings Corporation) 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 OIVO’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against OIVO in In the Matter of bioMETRX, Inc., et al., Administrative Proceeding File No. 3-14465. 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 bioMETRX, Inc., et al., Administrative Proceeding File No. 3-14465, Exchange Act Release No. 64880 (July 14, 2011). (Rel. 34-65170; File No. 3-14465) Commission Settles With Two Defendants in Sedona Corporation Market Manipulation FraudThe Securities and Exchange Commission announced today that on August 8, 2011, the U.S. District Court for the Southern District of New York entered final judgments against defendants Mottes Drillman and Jacob Spinner in a Commission injunctive action arising from fraudulent manipulative trading in the securities of Sedona Corporation. Without admitting or denying the allegations in the Commission's complaint, Drillman and Spinner consented to the entry of judgments enjoining them from future violations of the anti-fraud provisions of the federal securities laws and from aiding and abetting violations of the broker-dealer record-keeping provisions, ordering each of them to pay disgorgement of $4,000, representing ill-gotten gains received as a result of the conduct alleged in the complaint, together with prejudgment interest thereon in the amount of $3,107.25, and a civil penalty of $25,000. The Commission's complaint alleges that, from February to April 2001, Drillman, Spinner, and others participated in a scheme with Andreas Badian, an official of an unregistered investment adviser firm, to manipulate Sedona’s stock price. The complaint also alleges that Drillman and Spinner aided and abetted violations of the broker-dealer record-keeping requirements through the creation of trade tickets which falsely reported short sales of Sedona stock as “long” sales. Four individuals and one entity remain as defendants in the litigation. In related administrative proceedings, the Commission issued Orders suspending each of Drillman and Spinner from associating with any broker or dealer for a period of six months. Without admitting the Orders’ findings, except as to jurisdiction and as to the entry of the injunctions against them, Drillman and Spinner each consented to issuance of the Order suspending him. [SEC v. Andreas Badian, et al., Civ. Action. No.06 CV 2621 (LTS) (S.D.N.Y.)] (LR-22070); (Rel. 34-65171; File No. 3-14510; 34-65172; File No. 3-14511) In the Matter of Matthew J. RyanOn August 19, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Matthew J. Ryan. Ryan consented to a Commission Order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of penny stock. This sanction was based on Ryan’s guilty plea to one count of an indictment in United States v. Matthew John Ryan, Crim. Indictment No. 1:10-cr-00319-NAM (N.D.N.Y.), on February 22, 2011. This count charged Ryan with securities fraud and alleged that he made false representations to investors and used investor funds for multiple purposes he concealed, including to pay other investors’ purported returns and his personal expenses, such as his loan payments on luxury cars. Ryan consented to the issuance of the Order without admitting or denying any of the findings therein, except as to jurisdiction and his guilty plea, which he admitted. (Rel. 34-65173; File No. 3-14297) Investment Company Act ReleasesNorthern Lights Variable Trust, et al.An order has been issued on an application filed by Northern Lights Variable Trust (the Fund) and Gemini Fund Services, LLC (Gemini) pursuant to Section 6(c) of the Investment Company Act of 1940, as amended (1940 Act). The order exempts separate accounts of life insurance companies supporting variable annuity contracts and variable life insurance contracts that may invest in shares of the Fund and shares of an Insurance Fund (as defined below), from the provisions of Sections 9(a), 13(a), 15(a) and 15(b) of the 1940 Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder, in situations where such shares are sold to and held by one or more of the following types of investors: (i) separate accounts registered as investment companies or separate accounts that are not registered as investment companies under the 1940 Act pursuant to exemptions from registration under Section 3(c) of the 1940 Act that fund variable annuity contracts (VA Accounts) and variable life insurance contracts (VLI Accounts) (VA and VLI Accounts together “Separate Accounts”) issued by both affiliated life insurance companies and unaffiliated life insurance companies; (ii) trustees of qualified group pension and group retirement plans outside of the Separate Account context; (iii) investment adviser(s) or affiliated person(s) of the investment adviser(s) to a series of an Insurance Fund, for the purpose of providing seed capital to a series of an Insurance Fund; and (iv) general accounts of insurance company depositors of VA Accounts and/or VLI Accounts. An Insurance Fund is any future investment company that is designed to fund VA Accounts and/or VLI Accounts and for which Gemini or any of its affiliates may serve in the future as investment adviser, sub-adviser, manager, administrator, principal underwriter or sponsor. (Rel. IC-29757 – August 16) Standards Setting BoardsApproval of Proposed RulesThe Commission approved proposed rules (PCAOB-2011-02) submitted by the Public Company Accounting Oversight Board pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the funding of the PCAOB’s operations. (Rel. 34-65162) The Commission approved proposed rules (PCAOB-2011-01) submitted by the Public Company Accounting Oversight Board pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 for an interim inspection program related to audits of brokers and dealers. (Rel. 34-65163) Self-Regulatory OrganizationsProposed Rule ChangesThe Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, relating to amendments to Rule A-3, on Membership on the Board (SR-MSRB-2011-11). Publication is expected in the Federal Register during the week of August 22. (Rel. 34-65158) NYSE Arca filed a proposed rule change (SR-NYSEArca-2011-54) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of the WisdomTree Dreyfus Australia & New Zealand Debt Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of August 22. (Rel. 34-65160) NYSE Arca filed a proposed rule change (SR-NYSEArca-2011-53) under Section 19(b)(1) of the Securities Exchange Act of 1934 to reflect a change to the benchmark index applicable to the Russell Equity ETF. Publication is expected in the Federal Register during the week of August 22. (Rel. 34-65161) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market to change the name and modify the contents of the NASDAQ Ouch BBO Feed (SR-NASDAQ-2011-118) 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 August 22. (Rel. 34-65159) A proposed rule change filed by the New York Stock Exchange deleting the text of NYSE Rule 92 and adopting a new NYSE Rule 5320 that is substantially the same as Financial Industry Regulatory Authority Rule 5320 to prohibit trading ahead of customer orders with certain exceptions (commonly known as the Manning Rule) (SR-NYSE-2011-043) 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 August 22. (Rel. 34-65164) A proposed rule change filed by NYSE Amex deleting the text of NYSE Amex Equities Rules 92, 513, 514 and adopting new NYSE Amex Equities Rule 5320 that is substantially the same as Financial Industry Regulatory Authority Rule 5320 to prohibit trading ahead of customer orders with certain exceptions (commonly known as the Manning Rule) (SR-NYSEAmex-2011-59) 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 August 22. (Rel. 34-65165) A proposed rule change filed by NYSE Arca deleting the text of NYSE Arca Equities Rules 6.16 and 6.16A, and adopting new NYSE Arca Equities Rule 5320 that is substantially the same as Financial Industry Regulatory Authority Rule 5320 to prohibit trading ahead of customer orders with certain exceptions (commonly known as the Manning Rule) (SR-NYSEArca-2011-57) 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 August 22. (Rel. 34-65166) 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-1 B-MAVEN, INC., 3272 REYNARD WAY, SAN DIEGO, CA, 92103, 619-846-4614 - 2,500,000 ($25,000.00) Equity, (File 333-176376 - Aug. 18) (BR. ) S-8 PROSPER MARKETPLACE INC, 111 SUTTER STREET, 22ND FLOOR, SAN FRANCISCO, CA, 94104, 415-593-5400 - 3,550,875 ($426,105.00) Equity, (File 333-176377 - Aug. 18) (BR. 07C) S-1 Offsite Docs Inc., 7502 W 147TH TERRACE, OVERLAND PARK, KS, 66223, 913.961.5636 - 3,340,000 ($83,500.00) Equity, (File 333-176379 - Aug. 18) (BR. ) S-8 Bella Petrellas Holdings, Inc., 12501 LAKE HILLS DRIVE, RIVERVIEW, FL, 33569, 813.476.8009 - 1,750,000 ($1,347,500.00) Equity, (File 333-176380 - Aug. 18) (BR. 04A) S-1 Alamo Energy Corp., 10575 KATY FREEWAY, SUITE 300, HOUSTON, TX, 77024, 832-436-1832 - 20,590,519 ($14,001,552.92) Equity, (File 333-176381 - Aug. 18) (BR. 04B) S-4 SYNIVERSE HOLDINGS INC, 8125 HIGHWOODS PALM WAY, TAMPA, FL, 33647, 8136375000 - 0 ($475,000,000.00) Debt Convertible into Equity, (File 333-176382 - Aug. 18) (BR. 11C) S-8 AMERICAN RESTAURANT CONCEPTS INC, 14476 DUVAL PLACE C, JACKSONVILLE, FL, 32218, 904-200-9941 - 0 ($1,275,000.00) Equity, (File 333-176383 - Aug. 18) (BR. 03B) S-8 KEY TECHNOLOGY INC, 150 AVERY ST, WALLA WALLA, WA, 99362, 5095292161 - 500,000 ($7,520,000.00) Equity, (File 333-176384 - Aug. 18) (BR. 10B) S-8 MedQuist Holdings Inc., 9009 CAROTHERS PARKWAY, FRANKLIN, TN, 37067, 866-295-4600 - 0 ($9,999,920.00) Equity, (File 333-176385 - Aug. 18) (BR. 03C) S-8 JONES SODA CO, 234 9TH AVE NORTH, SEATTLE, WA, 98109, 8006566050 - 0 ($2,460,000.00) Equity, (File 333-176386 - Aug. 18) (BR. 09A) S-1 ARADIGM CORP, 3929 POINT EDEN WAY, HAYWARD, CA, 94545, 5102659000 - 0 ($4,750,000.00) Equity, (File 333-176387 - Aug. 18) (BR. 10A) S-1 W270, INC., 4221 CAMINO ALEGRE, LA MESA, CA, 91941, 619-253-2129 - 2,000,000 ($20,000.00) Equity, (File 333-176388 - Aug. 18) (BR. ) 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 8X8 INC /DE/ DE 5.07 08/16/11 AAON INC NV 8.01,9.01 07/30/11 ACCESS NATIONAL CORP VA 8.01,9.01 08/17/11 ADOBE SYSTEMS INC DE 5.02 08/12/11 ADVANCED ANALOGIC TECHNOLOGIES INC DE 5.02 08/12/11 AEROFLEX HOLDING CORP. DE 2.02,9.01 08/18/11 AEROPOSTALE INC 2.02,9.01 08/18/11 AFC ENTERPRISES INC MN 2.02,9.01 08/17/11 AGREE REALTY CORP DE 5.02,5.07 05/09/11 AMEND Allied World Assurance Co Holdings, A 8.01,9.01 08/18/11 AMERICAN SCIENCE & ENGINEERING, INC. MA 8.01,9.01 08/18/11 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 3.01,7.01,9.01 08/16/11 AMERICANWEST BANCORPORATION WA 7.01,9.01 08/15/11 AMERIGON INC MI 8.01 08/16/11 AMYRIS, INC. DE 8.01 08/18/11 APACHE CORP DE 1.01,2.03,9.01 08/12/11 ARETE INDUSTRIES INC CO 1.01,7.01,9.01 08/12/11 AMEND ARIAD PHARMACEUTICALS INC DE 8.01,9.01 08/18/11 ARKANSAS BEST CORP /DE/ DE 5.07 04/21/11 AMEND ARTS WAY MANUFACTURING CO INC DE 8.01,9.01 08/16/11 ASIA8, INC. NV 4.01,9.01 08/08/11 ASTORIA FINANCIAL CORP DE 8.01,9.01 08/18/11 AT&T INC. DE 8.01,9.01 08/18/11 ATMEL CORP DE 5.07 05/18/11 AMEND ATOMIC PAINTBALL INC 1.01,2.03,4.02,9.01 11/10/10 AUTODESK INC DE 2.02,9.01 08/18/11 AVISTA CORP WA 5.03,9.01 08/12/11 BALQON CORP. NV 5.02,9.01 08/16/11 BARNES & NOBLE INC DE 1.01,3.02,3.03,8.01, 08/18/11 9.01 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 08/18/11 BENIHANA INC DE 2.02,9.01 08/18/11 BIOLIFE SOLUTIONS INC DE 5.02 08/18/11 BIOZONE PHARMACEUTICALS, INC. NV 2.04 08/15/11 BLACKBOX SEMICONDUCTOR, INC. NV 1.01,2.01,3.02,4.01, 08/16/11 7.01,8.01,9.01 BLUE COAT SYSTEMS INC DE 5.02 08/17/11 BLUE COAT SYSTEMS INC DE 5.02,9.01 08/17/11 BLUE RIDGE REAL ESTATE CO PA 1.01,9.01 08/15/11 Blueknight Energy Partners, L.P. DE 1.01,7.01,9.01 08/15/11 BON TON STORES INC PA 2.02,9.01 08/18/11 BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 08/18/11 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 08/17/11 CADUS CORP DE 5.02 08/17/11 CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 08/18/11 CATERPILLAR INC DE 7.01 08/18/11 CELADON GROUP INC DE 8.01,9.01 08/17/11 CFS BANCORP INC IN 5.07 04/26/11 AMEND CH ENERGY GROUP INC NY 1.01 08/16/11 Chanticleer Holdings, Inc. 1.01,9.01 08/12/11 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 08/18/11 CHICOS FAS INC FL 1.01,8.01,9.01 08/16/11 CHILDRENS PLACE RETAIL STORES INC 1.01,2.02,9.01 08/16/11 CHILDRENS PLACE RETAIL STORES INC 1.01,2.02,9.01 08/16/11 AMEND China Armco Metals, Inc. NV 2.02,9.01 08/15/11 China Environmental Protection Inc. NV 4.01 08/11/11 China Forestry Industry Group, Inc. CA 1.01,2.01,3.02,5.01, 08/18/11 AMEND 5.02,5.03,5.06,5.07, 9.01 CHURCHILL DOWNS INC KY 8.01 08/18/11 CIRTRAN CORP NV 5.03,5.07,9.01 08/11/11 Cleantech Solutions International, In DE 2.02,7.01,9.01 08/15/11 CNA FINANCIAL CORP DE 5.07 04/27/11 AMEND CNB BANCORP INC/VA VA 5.07 08/12/11 COLE KENNETH PRODUCTIONS INC NY 1.01,2.03,9.01 08/18/11 Colonial Financial Services, Inc. MD 7.01,9.01 08/18/11 COMARCO INC CA 5.02,5.03,7.01,9.01 08/15/11 COMFORT SYSTEMS USA INC 7.01,9.01 08/18/11 COMMERCIAL NATIONAL FINANCIAL CORP /P PA 8.01 08/18/11 COMMUNICATION INTELLIGENCE CORP DE 5.02 08/11/11 AMEND Comstock Homebuilding Companies, Inc. DE 9.01 08/18/11 CONSOL Energy Inc DE 1.01,7.01,9.01 08/17/11 CORELOGIC, INC. DE 1.01,7.01,9.01 08/17/11 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 08/18/11 CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 08/18/11 CREENERGY Corp NV 1.01 08/08/11 CROSSTEX ENERGY INC DE 5.02,7.01,9.01 08/12/11 CROSSTEX ENERGY LP DE 5.02,7.01,9.01 08/12/11 CTC Media, Inc. 1.01,9.01 08/15/11 CTS CORP IN 5.02 08/18/11 DCB FINANCIAL CORP OH 5.02 08/18/11 DCP Midstream Partners, LP DE 1.01,9.01 08/17/11 DCP Midstream Partners, LP DE 8.01 06/17/11 AMEND DELTEK, INC DE 8.01,9.01 08/16/11 DENTSPLY INTERNATIONAL INC /DE/ DE 8.01,9.01 08/15/11 AMEND DILLARDS INC DE 5.07 05/21/11 AMEND DOLLAR TREE INC VA 2.02,7.01,9.01 08/18/11 Douglas Lake Minerals Inc. NV 5.02 08/18/11 EAGLE ROCK ENERGY PARTNERS L P DE 3.02,7.01,9.01 08/15/11 AMEND EATON VANCE CORP MD 2.02,9.01 07/31/11 AMEND EdgeWave, Inc. DE 2.02,9.01 08/18/11 EMMAUS HOLDINGS, INC. DE 1.01,2.01,2.02,3.02, 05/03/11 AMEND 5.01,5.02,5.03,5.06, 9.01 EMTEC INC/NJ UT 1.01,2.01,2.03,3.02, 08/15/11 7.01,9.01 ENSIGN GROUP, INC 5.07 05/26/11 AMEND ENTERPRISE FINANCIAL SERVICES CORP DE 1.01,2.01,9.01 08/12/11 EPLUS INC DE 8.01,9.01 08/15/11 ePunk, Inc. NV 5.02 08/16/11 EVANS BANCORP INC NY 7.01 08/16/11 EXCO RESOURCES INC TX 5.02,9.01 08/12/11 EXTERRAN PARTNERS, L.P. DE 5.02 08/16/11 FEDERAL AGRICULTURAL MORTGAGE CORP 1.01 08/12/11 Federal Home Loan Bank of Atlanta X1 2.03 08/18/11 Federal Home Loan Bank of Chicago X1 2.03 08/15/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/15/11 Federal Home Loan Bank of Dallas 2.03,9.01 08/12/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/16/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/18/11 Federal Home Loan Bank of New York X1 2.03,9.01 08/15/11 Federal Home Loan Bank of New York X1 8.01 08/18/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/15/11 Federal Home Loan Bank of San Francis X1 2.03 08/15/11 Federal Home Loan Bank of Topeka 2.03,9.01 08/15/11 FIRST CITIZENS BANCSHARES INC /DE/ DE 5.07 04/25/11 AMEND FIRST INTERSTATE BANCSYSTEM INC MT 7.01,9.01 08/18/11 FLORIDA POWER CORP FL 8.01,9.01 08/15/11 FNB United Corp. NC 1.01,3.02,3.03,9.01 08/12/11 FOOT LOCKER INC NY 2.02,9.01 08/18/11 Forbes Energy Services Ltd. D0 3.03,5.03,8.01,9.01 08/12/11 Fuelstream INC DE 4.01,9.01 08/17/11 AMEND FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 06/30/11 GameStop Corp. DE 2.02,9.01 08/18/11 GAP INC DE 2.02,9.01 08/18/11 GENERAL EMPLOYMENT ENTERPRISES INC IL 2.02,9.01 08/15/11 GENESIS GROUP HOLDINGS INC 1.02,9.01 08/15/11 GeoVax Labs, Inc. DE 5.07 08/16/11 GERBER SCIENTIFIC INC CT 5.07,8.01,9.01 08/18/11 GOLDEN PHOENIX MINERALS INC NV 1.01,7.01,9.01 08/14/11 GOLDMAN SACHS GROUP INC DE 9.01 08/18/11 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 08/18/11 Google Inc. DE 1.01,9.01 08/15/11 GREAT SOUTHERN BANCORP INC MD 1.01,3.02,3.03,5.02, 08/18/11 5.03,8.01,9.01 GREEN PLANET GROUP, INC. NV 2.04,5.02,8.01,9.01 08/15/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 08/18/11 HAMPTON ROADS BANKSHARES INC VA 5.02,8.01,9.01 08/12/11 HANCOCK HOLDING CO MS 2.01,5.02,8.01,9.01 06/03/11 AMEND HCP, INC. MD 8.01,9.01 08/18/11 Healthient, Inc. 5.07 08/16/11 HEICO CORP FL 5.07 03/28/11 AMEND Helix Wind, Corp. NV 1.01,3.02,8.01,9.01 08/12/11 HERSHA HOSPITALITY TRUST MD 1.01,9.01 08/15/11 HEWLETT PACKARD CO DE 2.02,2.05,7.01,8.01, 08/18/11 9.01 HICKORY TECH CORP MN 8.01,9.01 08/18/11 Hines Global REIT, Inc. MD 8.01 08/01/11 HUNT J B TRANSPORT SERVICES INC AR 1.01,1.02,2.03,9.01 08/12/11 IMAGINE MEDIA LTD DE 1.01,9.01 08/18/11 Industrial Income Trust Inc. MD 8.01 08/18/11 INHIBITEX, INC. DE 8.01 08/12/11 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 08/18/11 INNERWORKINGS INC 5.02,9.01 08/16/11 INTEGRATED ELECTRICAL SERVICES INC DE 2.02,9.01 08/12/11 Intellicell Biosciences, Inc. NV 4.01,9.01 08/11/11 AMEND Internal Fixation Systems, Inc. FL 7.01,9.01 08/18/11 INTUIT INC DE 2.02,8.01,9.01 08/18/11 Ironwood Gold Corp NV 1.01,3.02,5.02,9.01 08/12/11 JAGGED PEAK, INC. NV 2.02,9.01 08/18/11 Kaiser Federal Financial Group, Inc. MD 8.01,9.01 08/18/11 KATY INDUSTRIES INC DE 1.01,9.01 08/18/11 KENSEY NASH CORP DE 2.02,9.01 08/18/11 KEYW HOLDING CORP MD 5.07 08/17/11 LADENBURG THALMANN FINANCIAL SERVICES FL 1.01,2.03,7.01,9.01 08/16/11 LANCASTER COLONY CORP OH 2.02,9.01 08/18/11 Latitude Solutions, Inc. NV 3.02,5.02,7.01,9.01 08/09/11 Liberty Global, Inc. DE 7.01 08/18/11 LIFEWAY FOODS INC IL 7.01 08/16/11 LSI INDUSTRIES INC OH 2.02,9.01 08/18/11 M&F BANCORP INC /NC/ NC 2.02 06/30/11 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,7.01,8.01, 08/15/11 9.01 MANNKIND CORP DE 5.07 06/02/11 AMEND MARSH & MCLENNAN COMPANIES, INC. DE 8.01,9.01 08/17/11 MARVELL TECHNOLOGY GROUP LTD D0 2.02,9.01 08/18/11 MENTOR GRAPHICS CORP OR 2.02,8.01 08/18/11 MICROCHIP TECHNOLOGY INC DE 1.01,2.03,9.01 08/18/11 MIDDLEFIELD BANC CORP OH 1.01,3.02,9.01 08/12/11 MIDSOUTH BANCORP INC LA 8.01,9.01 08/17/11 Modern Mobility Aids, Inc. NV 5.03,9.01 08/12/11 MOTORCAR PARTS AMERICA INC NY 2.02,9.01 08/15/11 Motorola Mobility Holdings, Inc 1.01,9.01 08/15/11 Motorola Mobility Holdings, Inc 5.02,9.01 08/16/11 MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 08/15/11 NATIONAL BANK OF INDIANAPOLIS CORP IN 2.02,9.01 08/18/11 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 08/12/11 NeoStem, Inc. DE 2.02,4.01,8.01,9.01 08/12/11 NEW ENERGY TECHNOLOGIES, INC. 5.02,7.01,9.01 08/12/11 NOBLE ENERGY INC DE 7.01,9.01 08/18/11 NORDSON CORP OH 2.02,9.01 08/18/11 Novelis Inc. A6 5.02 08/12/11 Oak Ridge Financial Services, Inc. NC 2.02,9.01 08/11/11 OBA Financial Services, Inc. MD 2.02,9.01 08/16/11 OPLINK COMMUNICATIONS INC DE 2.02,9.01 08/18/11 ORASURE TECHNOLOGIES INC DE 1.01,2.01,7.01,9.01 08/16/11 Ottawa Savings Bancorp, Inc. X1 8.01,9.01 08/18/11 PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 08/18/11 Philip Morris International Inc. VA 8.01,9.01 08/12/11 Polonia Bancorp 1.01,9.01 08/16/11 PRECISION CASTPARTS CORP OR 5.07 08/16/11 Premier Power Renewable Energy, Inc. DE 2.02,9.01 08/18/11 PRIME ESTATES & DEVELOPMENTS INC NV 1.01 08/18/11 PRINCIPAL FINANCIAL GROUP INC DE 5.07 08/18/11 AMEND PROGRESS SOFTWARE CORP /MA MA 5.02 08/15/11 PROGRESS SOFTWARE CORP /MA MA 1.01,2.03,9.01 08/15/11 Puda Coal, Inc. 4.02,9.01 07/07/11 AMEND PULTEGROUP INC/MI/ MI 5.02 08/18/11 QUANTUM CORP /DE/ DE 5.07 08/17/11 QUESTCOR PHARMACEUTICALS INC CA 8.01,9.01 08/11/11 RAMTRON INTERNATIONAL CORP DE 5.02 08/12/11 RDA Holding Co. 1.01,2.03,9.01 08/12/11 REGAL BELOIT CORP WI 7.01 08/17/11 RLI CORP IL 5.02,8.01,9.01 08/18/11 RLI CORP IL 5.07 08/18/11 AMEND ROSS STORES INC DE 2.02,9.01 08/18/11 SALESFORCE COM INC DE 2.02,9.01 08/18/11 SAN DIEGO GAS & ELECTRIC CO CA 8.01,9.01 08/15/11 SBT Bancorp, Inc. CT 8.01,9.01 08/17/11 SCANSOURCE INC SC 2.02,9.01 08/18/11 SCIENTIFIC GAMES CORP DE 5.02,9.01 08/12/11 Scio Diamond Technology Corp NV 5.06,9.01 08/17/11 Scripps Networks Interactive, Inc. OH 1.01,9.01 08/12/11 Scripps Networks Interactive, Inc. OH 5.02,9.01 08/16/11 SEARS HOLDINGS CORP DE 2.02,9.01 08/18/11 Silicon Graphics International Corp DE 2.02,5.02,9.01 08/15/11 Sino Green Land Corp NV 2.02,9.01 08/15/11 Skinny Nutritional Corp. NV 2.02,9.01 08/18/11 SMITH A O CORP DE 8.01,9.01 08/17/11 SMUCKER J M CO OH 2.02,9.01 08/18/11 Sono Resources, Inc. NV 7.01,9.01 08/18/11 SOONER HOLDINGS INC /OK/ OK 8.01,9.01 08/16/11 SPECTRUM GROUP INTERNATIONAL, INC. NY 2.03 08/15/11 SPEEDEMISSIONS INC FL 2.02,9.01 08/16/11 STANDARD MICROSYSTEMS CORP DE 1.01,9.01 08/16/11 SUN RIVER ENERGY, INC CO 7.01,9.01 08/17/11 SUTRON CORP VA 2.02,9.01 08/15/11 SWINGING PIG PRODUCTIONS INC 5.02 08/16/11 Swisher Hygiene Inc. DE 1.01,2.03,9.01 08/12/11 Symmetry Medical Inc. DE 8.01 08/15/11 TAKEDOWN ENTERTAINMENT INC. NV 1.01,3.02,7.01,9.01 07/31/11 TARGACEPT INC 7.01 08/18/11 TECH DATA CORP FL 2.02,9.01 08/18/11 TELETOUCH COMMUNICATIONS INC DE 1.01,5.01,9.01 08/17/11 Texas Roadhouse, Inc. DE 5.02,9.01 08/16/11 TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 08/18/11 TIB FINANCIAL CORP. FL 2.02,9.01 08/15/11 Timberline Resources Corp DE 5.07 03/21/11 AMEND Titan Iron Ore Corp. NV 4.01,9.01 08/08/11 TITANIUM METALS CORP DE 7.01,9.01 08/18/11 TORO CO DE 2.02,9.01 08/18/11 TRAILER BRIDGE INC 5.02 08/17/11 TRUE RELIGION APPAREL INC DE 5.02,9.01 08/17/11 UHF Inc 3.02,5.01,5.02,9.01 08/11/11 UNI CORE HOLDINGS CORP UT 8.01 08/02/11 UNITED NATURAL FOODS INC DE 5.02 08/12/11 VALENCE TECHNOLOGY INC DE 8.01,9.01 08/18/11 VIEWCAST COM INC DE 7.01,9.01 08/17/11 Vystar Corp GA 5.02 08/12/11 Westway Group, Inc. DE 1.01,7.01 08/16/11 WESTWOOD ONE INC /DE/ DE 2.02,5.02,9.01 08/12/11 WORLD HEART CORP DE 3.01 08/15/11 Wright Express CORP 1.01,8.01,9.01 08/15/11 WSFS FINANCIAL CORP DE 8.01,9.01 08/18/11 WYNN RESORTS LTD 5.02,9.01 08/16/11 XEROX CORP NY 5.02,9.01 08/17/11 XO HOLDINGS INC DE 3.01,8.01,9.01 08/18/11 Zagg INC NV 2.02,7.01,9.01 08/15/11 ZIONS BANCORPORATION /UT/ UT 8.01 08/17/11 ZYGO CORP DE 2.02,9.01 08/18/11
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