SEC News Digest, August 26, 2011

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Commission Announcements

Commission Meetings

Closed Meeting on Thursday, September 1, 2011, at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, September 1, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.

Enforcement Proceedings

In the Matter of GSCP (NJ), L.P.

On August 25, 2011, the Commission issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order (Order) against GSCP (NJ), L.P. (GSC). The Order finds that GSC served as collateral manager for a synthetic collateralized debt obligation (CDO), known as Squared CDO 2007-1 (Squared), which consisted primarily of credit default swaps referencing other CDO securities whose value was tied to the U. S. residential housing market. The marketing materials for Squared all represented that the investment portfolio of the CDO was selected by GSC, a registered investment adviser with experience analyzing credit risk in CDOs. Undisclosed in the marketing materials and unbeknownst to investors, the collateral selection process involved significant input from Magnetar Capital LLC, a large hedge fund that shorted over half of the assets in Squared’s portfolio and had economic interests adverse to the other investors.

Based on the above, the Order orders GSC to cease and desist from committing or causing any violations and any future violations of Section 17(a)(2) and (3) of the Securities Act and Sections 204 and 206(2) of the Advisers Act and Rule 204-2 thereunder. GSC consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 33-9252; IA-3261; File No. 3-14514)

Commission Bars Eric S. Butler Following Criminal Convictions

The Commission has barred Eric S. Butler, formerly associated with Credit Suisse Securities (USA) LLC in New York, from association with any broker, dealer, or investment adviser based on his criminal convictions for participating in conspiracies to commit securities fraud and wire fraud. In imposing sanctions, the Commission noted that Butler's criminal convictions were based on conduct that left customers "saddled with hundreds of millions of dollars of fraudulently purchased securities, purchases for which Butler had received substantial commissions." (Rel. 34-65204; IA-3262; File No. 3-13986)

Investment Company Act Releases

Orders of Deregistration Under the Investment Company Act

Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company:

Arrow Funds Trust [File No. 811-22325]
(Order: Rel No. IC-29758)
Highland Pharmaceutical Royalty Fund [File No. 811-22266]
(Order: Rel No. IC-29759)
Wells Fargo Family Office Fund I, LLC [File No. 811-22513]
(Order: Rel No. IC-29760)
Wells Fargo Family Office Master Fund, LLC [File No. 811-22514]
(Order: Rel No. IC-29761)
Wells Fargo Family Office Fund FW, LLC [File No. 811-22515]
(Order: Rel No. IC-29762)
Prudential Investment Portfolios 11 [File No. 811-3264]
(Order: Rel No. IC-29763)
Embarcadero Funds, Inc. [File No. 811-9116]
(Order: Rel No. IC-29764)
BlackRock Global Financial Services Fund, Inc. [File No. 811-9375]
(Order: Rel No. IC-29765)
Global Financial Services Master LLC [File No. 811-9633]
(Order: Rel No. IC-29766)
Pioneer Protected Principal Trust [File No. 811-21163]
(Order: Rel No. IC-29767)
Special Situations Fund III, L.P. [File No. 811-8110]
(Order: Rel No. IC-29768)

BofA Funds Series Trust, et al.

An order has been issued on an application filed by BofA Funds Series Trust, et al. under Sections 6(c) and 17(b) of the Investment Company Act for an exemption from Section 17(a) of the Act. The order permits certain registered investment companies (Funds) to engage in principal transactions involving taxable money market instruments and repurchase agreements with a broker-dealer that is an affiliated person of an affiliated person of the Funds. (Rel. IC-29769 – August 24)

Self-regulatory organizations

Approval of Proposed Rule Changes

The Commission approved a proposed rule change (SR-DTC-2011-06) filed by The Depository Trust Company under Section 19(b)(1) of the Securities Exchange Act of 1934. The approved rule change amends DTC’s Redemption Service Guide as it relates to the early redemption of certain Certificates of Deposit held at DTC. Publication is expected in the Federal Register during the week of August 29. (Rel. 34-65186)

The Commission approved a proposed rule change submitted by NASDAQ OMX BX (SR-BX-2011-045) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 requesting permanent approval of the pilot program permitting BOX to accept inbound routes by NOS. Publication is expected in the Federal Register during the week of August 29. (Rel. 34-65199)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the EDGA Exchange (SR-EDGA-2011-27) to amend the EDGA Fee Schedule to establish an Annual Membership Fee, Monthly Trading Rights Fee, and a Monthly MPID Fee 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 August 29. (Rel. 34-65188)

A proposed rule change filed by the EDGX Exchange (SR-EDGX-2011-26) to amend the EDGX Fee Schedule to establish an Annual Membership Fee, Monthly Trading Rights Fee, and a Monthly MPID Fee 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 August 29. (Rel. 34-65189)

A proposed rule change (SR-Phlx-2011-117) filed by NASDAQ OMX PHLX relating to the Active SQF Port Fee and the Order Entry Port Fee 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 29. (Rel. 34-65195)

A proposed rule change filed by EDGA Exchange (SR-EDGA-2011-28) to amend EDGA Rule 1.5(q) 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 August 29. (34-65196)

A proposed rule change filed by EDGX Exchange (SR-EDGX-2011-27) to amend EDGX Rule 1.5(q) 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 August 29. (Rel. 34-65197)

A proposed rule change filed by Chicago Mercantile Exchange to reflect differences in proprietary trading exchange fees based on ownership of CME Group shares (SR-CME-2011-02) 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 29. (Rel. 34-65200)

Proposed Rule Change

Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2011-06) under Section 19(b)(1) of the Exchange Act to eliminate two rules of the Mortgage-Backed Securities Division that FICC believes are no longer utilized or necessary. Publication is expected in the Federal Register during the week of August 29. (Rel. 34-65198)

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-8     NOVATEL WIRELESS INC, 9645 SCRANTON ROAD, SUITE 205, SAN DIEGO, CA, 
        92121, 8583208800 - 0 ($4,785,000.00) Equity, (File 333-176489 - 
        Aug. 25) (BR. 11A)

S-8     NOVATEL WIRELESS INC, 9645 SCRANTON ROAD, SUITE 205, SAN DIEGO, CA, 
        92121, 8583208800 - 0 ($3,987,500.00) Equity, (File 333-176490 - 
        Aug. 25) (BR. 11A)

S-1     ARISTOCRAT GROUP CORP., 3 ALLINGTON COURT, MEDFORD, NJ, 08055, 
        609-744-5569 - 39,000 ($39,000.00) Equity, (File 333-176491 - Aug. 25) 
        (BR. )

S-4     NBCUniversal Media, LLC, 30 ROCKEFELLER PLAZA, NEW YORK, NY, 10112, 
        2126644444 - 0 ($406,250,000.00) Non-Convertible Debt, 
        (File 333-176498 - Aug. 25) (BR. 11C)

S-8     NANOMETRICS INC, 1550 BUCKEYE DRIVE, MILPITAS, CA, 95035, 
        408-435-9600 - 2,000,000 ($29,740,000.00) Equity, (File 333-176502 - 
        Aug. 25) (BR. 10B)

S-1     Angie's List, Inc., 1030 EAST WASHINGTON STREET, SUITE 100, 
        INDIANAPOLIS, IN, 46202, 317-803-3973 - 0 ($75,000,000.00) Equity, 
        (File 333-176503 - Aug. 25) (BR. )

S-4     UNIVERSAL HOSPITAL SERVICES INC, 7700 FRANCE AVE S, SUITE 275, EDINA, 
        MN, 55435, 952-893-3200 - 0 ($175,000,000.00) Debt, (File 333-176504 - 
        Aug. 25) (BR. 06C)

S-3     URANERZ ENERGY CORP., 1701 EAST "E" STREET, P.O. BOX 50850, CASPER, WY, 
        82605-0850, 307-265-8900 - 100,000,000 ($11,610.00) Equity, 
        (File 333-176505 - Aug. 25) (BR. 04C)

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

A.G. Volney Center, Inc.                DE       5.02,5.03,8.01       07/08/11

ABVIVA INC                              NV       1.01                 08/24/11

ACCELERIZE NEW MEDIA INC                DE       1.01,1.02,2.03,3.02, 08/23/11
                                                 9.01
          
ACI WORLDWIDE, INC.                     DE       8.01,9.01            08/25/11

ADVANCED MICRO DEVICES INC              DE       5.02,9.01            08/25/11

Aftermarket Enterprises, Inc.           NV       5.03,9.01            07/25/11

ALIMERA SCIENCES INC                    DE       8.01,9.01            08/21/11

ALL Fuels & Energy Co                   DE       1.02                 08/18/11

AMERICAN EAGLE OUTFITTERS INC           DE       2.02,9.01            08/24/11

AMERICAN TOWER CORP /MA/                DE       1.01,9.01            08/24/11

AMERIGAS PARTNERS LP                    DE       8.01,9.01            08/24/11

APD ANTIQUITIES, INC.                   NV       1.01,9.01            08/19/11

APD ANTIQUITIES, INC.                   NV       1.01,9.01            08/19/11

Apple REIT Eight, Inc.                  VA       2.02,9.01            08/25/11

Apple REIT Nine, Inc.                   VA       2.02,9.01            08/25/11

Apple REIT Seven, Inc.                  VA       2.02,9.01            08/25/11

APPLE REIT SIX INC                               2.02,9.01            08/25/11

Apple REIT Ten, Inc.                    VA       2.02,9.01            08/25/11

ARBITRON INC                            DE       5.02                 08/23/11

ARRIS GROUP INC                         DE       5.07                 05/25/11    AMEND

ARUBA NETWORKS, INC.                    DE       2.02,9.01            08/25/11

ASSOCIATED BANC-CORP                    WI       7.01,9.01            08/25/11

AVIAT NETWORKS, INC.                    DE       5.02,9.01            08/24/11

AVISTA CORP                             WA       8.01,9.01            08/16/11

Axion Power International, Inc.         DE       5.02                 08/21/11

BANK OF AMERICA CORP /DE/               DE       1.01,3.02,3.03,8.01, 08/25/11
                                                 9.01
          
BAZI INTERNATIONAL, INC.                NV       1.01                 08/17/11

Beacon Federal Bancorp, Inc.            MD       8.01,9.01            08/25/11

bebe stores, inc.                       CA       2.02,9.01            08/25/11

Behringer Harvard Opportunity REIT I,   MD       7.01,9.01            08/25/11

BENIHANA INC                            DE       2.02,9.01            08/25/11

BERRY PETROLEUM CO                      DE       7.01                 08/23/11

BLACKBOARD INC                          DE       5.07                 06/03/11    AMEND

BLACKSANDS PETROLEUM, INC.              NV       5.02,9.01            08/09/11

Blue Moose Media Inc                    NV       1.01,2.01,3.02,4.01, 08/25/11
                                                 5.01,5.06,8.01,9.01
        
BofI Holding, Inc.                      DE       5.02,7.01,9.01       08/19/11

BOSTON PROPERTIES INC                   DE       8.01                 08/19/11

BOSTON PROPERTIES LTD PARTNERSHIP       DE       8.01                 08/19/11

BPZ RESOURCES, INC.                     TX       5.02,7.01,9.01       08/24/11

BROADVIEW NETWORKS HOLDINGS INC         DE       5.02                 08/25/11

BROWN SHOE CO INC                       NY       2.02,9.01            08/25/11

CABOT CORP                              DE       1.01,7.01,9.01       08/24/11

CARROLS RESTAURANT GROUP, INC.                   1.02                 08/22/11

Castle Brands Inc                       FL       1.01,2.03,7.01,9.01  08/19/11

CECO ENVIRONMENTAL CORP                 DE       8.01,9.01            08/25/11

CELGENE CORP /DE/                       DE       5.07                 06/15/11    AMEND

CENVEO, INC                             CO       5.07                 05/04/11    AMEND

CHARTER FINANCIAL CORP/GA                        8.01,9.01            08/23/11

Chefs' Warehouse, Inc.                  DE       2.02,9.01            08/25/11

Cleantech Solutions International, In   DE       7.01,9.01            08/22/11

COMMERCIAL METALS CO                    DE       5.02                 08/19/11

Compass Diversified Holdings            DE       1.01,3.02,8.01,9.01  08/24/11

Consumer Capital Group, Inc.                     5.02                 08/18/11

COST PLUS INC/CA/                       CA       2.02,9.01            08/25/11

Crestwood Midstream Partners LP         DE       5.02,9.01            08/19/11

CUI Global, Inc.                        CO       3.03,7.01            08/23/11

CUMULUS MEDIA INC                       DE       8.01                 08/25/11

CYBERONICS INC                          DE       2.02,9.01            08/24/11

Cybrdi, Inc.                            CA       5.02                 08/25/11

Delanco Bancorp, Inc                             5.07                 08/22/11

DELCATH SYSTEMS INC                     DE       8.01,9.01            08/22/11

dELiAs, Inc.                            DE       2.02,9.01            08/25/11

DIGAGOGO VENTURES CORP                  DE       1.01,9.01            08/24/11

DOLLAR FINANCIAL CORP                   DE       5.03,9.01            08/24/11

DOLLAR FINANCIAL CORP                   DE       2.02,9.01            08/25/11

DOLLAR TREE INC                         VA       1.01,7.01,9.01       08/24/11

Duke Energy CORP                        DE       8.01,9.01            08/22/11

DYCOM INDUSTRIES INC                    FL       2.02,7.01,9.01       08/24/11

ENCISION INC                            CO       1.01,5.02,9.01       08/19/11

END FUEL CORP                           FL       3.02,5.02,5.03,9.01  08/22/11

ENERGY CONVERSION DEVICES INC           DE       2.02,9.01            08/25/11

ENSURGE INC                             NV       1.01,9.01            08/25/11

ERC ENERGY RECOVERY CORP                DE       7.01,8.01,9.01       08/22/11

Evercore Partners Inc.                  DE       2.01,5.02,7.01,8.01, 08/19/11
                                                 9.01
          
EVERGREEN ENERGY INC                    DE       1.01,8.01,9.01       08/24/11

EXELON CORP                             PA       8.01,9.01            08/24/11

EXPEDITORS INTERNATIONAL OF WASHINGTO   WA       7.01                 08/24/11

Explortex Energy Inc.                   NV       1.01,2.01,9.01       08/24/11

FBL FINANCIAL GROUP INC                 IA       5.07                 08/25/11    AMEND

Federal Home Loan Bank of Atlanta       X1       2.03                 08/25/11

Federal Home Loan Bank of Boston        X1       2.03                 08/23/11

Federal Home Loan Bank of Chicago       X1       2.03                 08/22/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            08/22/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            08/23/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            08/25/11

Federal Home Loan Bank of New York      X1       2.03,9.01            08/22/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            08/22/11

Federal Home Loan Bank of San Francis   X1       2.03                 08/22/11

Federal Home Loan Bank of Seattle                2.03                 08/22/11

Federal Home Loan Bank of Topeka                 2.03,9.01            08/22/11

FEDERAL HOME LOAN MORTGAGE CORP                  7.01,9.01            08/25/11

FINISH LINE INC /IN/                    IN       5.02,9.01            08/25/11

FIRST BANCORP /NC/                      NC       8.01,9.01            08/25/11

FIRST BUSEY CORP /NV/                   NV       1.01,3.02,3.03,5.03, 08/25/11
                                                 8.01,9.01
     
First Clover Leaf Financial Corp.       MD       8.01,9.01            08/23/11

FIRST KEYSTONE CORP                     PA       8.01                 08/24/11

FLORIDIAN FINANCIAL GROUP INC                    5.02,9.01            08/25/11

Forex International Trading Corp.       NV       2.02,7.01,9.01       08/22/11

Fortegra Financial Corp                 DE       5.02                 08/19/11

FREDS INC                               TN       2.02,9.01            08/25/11

G&K SERVICES INC                        MN       5.03,9.01            08/25/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 08/25/11

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            08/25/11

GT Advanced Technologies Inc.           DE       8.01,9.01            08/24/11

GULF RESOURCES, INC.                    DE       1.01,8.01,9.01       08/22/11

HALLMARK FINANCIAL SERVICES INC         NV       7.01,9.01            08/24/11

HD SUPPLY, INC.                         DE       7.01                 08/25/11

HDS INTERNATIONAL CORP.                 NV       7.01,9.01            08/25/11

HEALTHSTREAM INC                        TN       5.02,9.01            08/25/11

HERCULES OFFSHORE, INC.                 DE       7.01,9.01            08/25/11

HERITAGE COMMERCE CORP                  CA       5.02                 08/24/11

HI TECH PHARMACAL CO INC                NY       1.01,8.01,9.01       08/19/11

HIGHWATER ETHANOL LLC                            7.01,9.01            08/25/11

HORMEL FOODS CORP /DE/                  DE       2.02,9.01            08/25/11

IMAGING3 INC                            CA       8.01                 08/19/11

IMMUCOR INC                             GA       1.01,3.01,3.02,3.03, 08/19/11
                                                 5.01,5.02,5.03,8.01,
                                                 9.01
   
IRVINE SENSORS CORP/DE/                 DE       5.02                 08/23/11

ISLE OF CAPRI CASINOS INC               DE       2.02,9.01            08/25/11

J C PENNEY CO INC                       DE       5.02,9.01            08/22/11

JMP Group Inc.                          DE       1.01,2.03,7.01,9.01  08/24/11

KEWAUNEE SCIENTIFIC CORP /DE/           DE       2.02,9.01            08/24/11

Keyuan Petrochemicals, Inc.             NV       5.02                 08/20/11

Kirin International Holding, Inc.       NV       4.02                 07/25/11

KRISPY KREME DOUGHNUTS INC              NC       2.02,7.01,9.01       08/25/11

LA JOLLA PHARMACEUTICAL CO              DE       1.01,5.02,9.01       08/24/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 08/25/11

LANDAUER INC                            DE       5.02,8.01,9.01       08/20/11

LBI MEDIA HOLDINGS INC                           2.02,9.01            08/19/11

LEGACY RESERVES LP                      DE       1.01,9.01            08/25/11

Lightlake Therapeutics Inc.             NV       8.01,9.01            08/25/11

LL&E ROYALTY TRUST                      TX       5.07                 08/24/11

LNB BANCORP INC                         OH       5.07                 05/03/11    AMEND

LONGWEI PETROLEUM INVESTMENT HOLDING    CO       5.03,9.01            08/23/11

LONGWEI PETROLEUM INVESTMENT HOLDING    CO       7.01,8.01,9.01       08/24/11

LUFKIN INDUSTRIES INC                   TX       5.02                 08/25/11

LUFKIN INDUSTRIES INC                   TX       5.07                 05/04/11    AMEND

MAGELLAN GOLD Corp                      NV       2.03,9.01            08/23/11

MAGMA DESIGN AUTOMATION INC             DE       2.02,5.02            08/22/11

Mayflower Bancorp Inc                   MA       5.07                 08/23/11

MCDERMOTT INTERNATIONAL INC             R1       1.01,2.03,9.01       08/19/11

MERIT MEDICAL SYSTEMS INC               UT       5.02                 08/20/11

MGE ENERGY INC                          WI       5.07                 05/17/11    AMEND

MICHAELS STORES INC                     DE       2.02,9.01            08/25/11

MICROS SYSTEMS INC                      MD       2.02,9.01            08/25/11

Midway Gold Corp                        A1       7.01,9.01            08/25/11

MINE SAFETY APPLIANCES CO               PA       5.07                 05/11/11    AMEND

Modern Mobility Aids, Inc.              NV       8.01                 08/23/11    AMEND

Moody National REIT I, Inc.             MD       5.07                 08/24/11

MOTRICITY INC                           DE       1.01,5.02,9.01       08/24/11

NABI BIOPHARMACEUTICALS                 DE       1.01,3.03,5.03,9.01  08/25/11

NBC ACQUISITION CORP                    DE       8.01,9.01            08/22/11

NET 1 UEPS TECHNOLOGIES INC                      1.01,2.02,7.01,9.01  08/16/11

New Mountain Finance Corp               DE       5.03,9.01            08/24/11

NEWS CORP                                        8.01,9.01            08/25/11

News of China Inc                       DE       5.01                 07/20/11

NGL Energy Partners LP                  DE       1.01,2.03,8.01,9.01  08/22/11

NORDSTROM INC                           WA       5.02,8.01,9.01       08/25/11

NORTHRIM BANCORP INC                    AK       5.02,9.01            08/18/11    AMEND

Nutrastar International Inc.            NV       1.01,8.01,9.01       08/25/11

OGLETHORPE POWER CORP                   GA       7.01,9.01            08/25/11

OMNICARE INC                            DE       1.01,1.02,2.03,9.01  08/24/11

OMNIVISION TECHNOLOGIES INC             DE       5.02                 08/22/11

OMNIVISION TECHNOLOGIES INC             DE       2.02,9.01            08/25/11

Orient Paper Inc.                       NV       8.01,9.01            08/22/11

OSI SYSTEMS INC                         DE       2.02,9.01            08/25/11

Oxford Resource Partners LP             DE       7.01,9.01            08/25/11

PAA NATURAL GAS STORAGE LP              DE       1.01,2.03,9.01       08/19/11

PACIFIC SUNWEAR OF CALIFORNIA INC       CA       3.02                 08/19/11

Pandora Media, Inc.                     DE       2.02,9.01            08/25/11

PATTERSON COMPANIES, INC.               MN       2.02,9.01            08/25/11

PEOPLES BANCORP INC                     OH       5.02,9.01            08/25/11

PEOPLES FINANCIAL CORP /MS/             MS       5.02,9.01            08/25/11

PEPSICO INC                             NC       8.01,9.01            08/22/11

PERCEPTRON INC/MI                       MI       2.02,9.01            08/24/11

PharMerica CORP                         DE       1.01,3.03,5.03,8.01, 08/25/11
                                                 9.01
          
PHAZAR CORP                             DE       2.02,9.01            08/25/11

PLAINS ALL AMERICAN PIPELINE LP         DE       1.01,1.02,2.03,9.01  08/19/11

PLURISTEM THERAPEUTICS INC              NV       8.01                 08/25/11

PRESIDENTIAL LIFE CORP                  DE       5.07                 08/24/11

PROGRESS ENERGY INC                     NC       5.07                 08/23/11

PROVIDENCE & WORCESTER RAILROAD CO/RI   RI       4.01                 08/24/11

PSM HOLDINGS INC                        NV       8.01,9.01            08/25/11

PUBLIC MEDIA WORKS INC                  DE       5.02                 08/23/11

Puda Coal, Inc.                                  4.01                 08/19/11

QAD INC                                 DE       2.02,9.01            08/25/11

RACKSPACE HOSTING, INC.                          1.01,2.03            08/19/11

RARE ELEMENT RESOURCES LTD              A1       5.02,7.01,9.01       08/22/11

RAYMOND JAMES FINANCIAL INC             FL       7.01,9.01            08/25/11

Raystream Inc.                          NV       8.01                 08/22/11

REAL ESTATE ASSOCIATES LTD VI           CA       1.01,2.01,9.01       08/22/11

REALPAGE INC                            DE       2.01,9.01            08/24/11

REGAL BELOIT CORP                       WI       2.01,9.01            08/22/11

Regeneca, Inc.                          NV       4.01                 08/24/11

REGIONS FINANCIAL CORP                  DE       5.02,9.01            08/24/11

REGIS CORP                              MN       2.02,9.01            08/25/11

REINSURANCE GROUP OF AMERICA INC        MO       5.02                 08/23/11

RENAISSANCE LEARNING INC                WI       8.01,9.01            08/22/11

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       7.01,9.01            08/25/11

SALISBURY BANCORP INC                   CT       1.01,3.02,3.03,5.02, 08/23/11
                                                 5.03,8.01,9.01

SCHOOL SPECIALTY INC                    WI       2.02,5.07,9.01       08/23/11

SCHULMAN A INC                          DE       2.05,2.06,7.01,9.01  08/25/11

SCIQUEST INC                            DE       8.01                 08/17/11

SecureAlert, Inc.                       UT       1.01,2.03,9.01       08/19/11

SHILOH INDUSTRIES INC                   DE       2.02,9.01            08/25/11

Shire plc                                        8.01,9.01            08/25/11

SHOE CARNIVAL INC                       IN       2.02,9.01            08/25/11

SIGNET JEWELERS LTD                              2.02                 08/25/11

SIGNET JEWELERS LTD                              8.01                 05/26/11

SIGNET JEWELERS LTD                              2.02                 08/25/11    AMEND

Sono Resources, Inc.                    NV       7.01,9.01            08/25/11

SONUS NETWORKS INC                      DE       5.02,9.01            08/24/11

SPARE BACKUP, INC.                      DE       5.02                 08/25/11

Stereotaxis, Inc.                       DE       5.02                 08/24/11

Strategic Storage Trust, Inc.           MD       9.01                 06/10/11    AMEND

Sucampo Pharmaceuticals, Inc.                    5.02,9.01            08/22/11

SVB FINANCIAL GROUP                              5.02,9.01            08/24/11

SWS GROUP INC                           DE       5.02,9.01            08/24/11

TaxMasters, Inc.                        NV       4.02,9.01            08/25/11

TEL INSTRUMENT ELECTRONICS CORP         NJ       2.02                 08/25/11

TESSERA TECHNOLOGIES INC                DE       2.05                 08/23/11

TORCH ENERGY ROYALTY TRUST              DE       2.02,9.01            08/19/11    AMEND

TRANSATLANTIC PETROLEUM LTD.            D0       1.01,9.01            08/23/11

TRANZYME INC                            DE       5.02,9.01            08/19/11

TRC COMPANIES INC /DE/                  DE       9.01                 08/19/11

TRX INC/GA                              GA       1.01                 08/25/11

UNITED GUARDIAN INC                     DE       8.01                 08/25/11

UNITED STATIONERS INC                   DE       5.02,9.01            08/19/11

USANA HEALTH SCIENCES INC               UT       8.01,9.01            08/25/11

USG CORP                                DE       2.05                 08/19/11

VANGUARD HEALTH SYSTEMS INC             DE       2.02,9.01            08/25/11

VENTRUS BIOSCIENCES INC                 DE       1.01,5.02,8.01,9.01  08/22/11

VERSANT CORP                            CA       2.02,9.01            08/25/11

Vican Resources, Inc.                   NV       4.01,9.01            07/19/11    AMEND

WAUSAU PAPER CORP.                      WI       1.01,2.03,5.07,8.01, 08/22/11
                                                 9.01
          
WESTAR ENERGY INC /KS                   KS       7.01,9.01            08/25/11

WESTBRIDGE RESEARCH GROUP               CA       1.01,9.01            08/15/11

WESTERN CAPITAL RESOURCES, INC.         MN       1.01                 08/19/11

WILLIS LEASE FINANCE CORP               DE       1.01,5.02,9.01       08/19/11

Writers Group Film Corp                 DE       1.01,2.01,3.02,5.01, 02/25/11    AMEND
                                                 5.02,9.01
     
Yongye International, Inc.              NV       5.02                 08/22/11

http://www.sec.gov/news/digest/2011/dig082611.htm

SEC News Digest