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SEC News Digest
Issue 2011-174
September 8, 2011
COMMISSION ANNOUNCEMENTS
Commission Files Subpoena Enforcement Action Against Deloitte & Touche In Shanghai
The Commission today filed a subpoena enforcement action against Deloitte Touche Tohmatsu CPA Ltd. for failing to produce documents related to the SEC’s investigation into possible fraud by the Shanghai-based public accounting firm’s longtime client Longtop Financial Technologies Limited.
According to the SEC’s application and supporting papers filed in U.S. District Court for the District of Columbia, the SEC issued a subpoena on May 27, 2011, and D&T Shanghai was required to produce documents by July 8, 2011. Although D&T Shanghai is in possession of vast amounts of documents responsive to the subpoena, it has not produced any documents to the SEC to date. As a result, the Commission is unable to gain access to information that is critical to an investigation that has been authorized for the protection of public investors.
Pursuant to its application filed in court, the SEC is seeking a court order directing D&T Shanghai to show cause why the court should not enter an order requiring D&T Shanghai to produce documents responsive to the subpoena. (Press Rel. 2011-180).
Commission Suspends Trading in the Securities of Four Issuers for Failure to Make Required Periodic Filings
The Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on September 8, 2011 and terminating at 11:59 p.m. EDT on September 21, 2011.
- Dialpoint Communications Corp. (DLPC)
- Pacel Corp. (PCLO)
- Quantum Group, Inc. (The) (QNGP)
- Tradequest International, Inc. (TRDQ)
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. No. 34-65287).
Commission Meetings
Closed Meeting on Thursday, September 15, 2011, at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, September 8, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; 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
M.B.A. Holdings, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in M.B.A. Holdings, Inc., Admin. Proc. No. 3-14466. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their 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 MidgardXXI, Inc., MidNet, Inc., Nettel Holdings, Inc., and Nexicon, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act).
This proceeding has ended as to Respondents M.B.A. Holdings, Inc., and Medicor LTD. See M.B.A. Holdings, Inc., Exchange Act Release Nos. 65230 (August 31, 2011) and 64972 (July 27, 2011), respectively. (Rel. No. 34-65289; File No. 3-14466).
Commission Orders Hearings on Registration Suspension or Revocation Against Four Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission:
In the Matter of Dialpoint Communications Corp., et al., Administrative Proceeding File No. 3-14539
- Dialpoint Communications Corp. (DLPC)
- Pacel Corp. (PCLO)
- Quantum Group, Inc. (The) (QNGP)
- Tradequest International, Inc. (TRDQ)
In this Order, the Division of Enforcement (Division) alleges that the four issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. No. 34-65288; File No. 3-14539).
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Circle Fine Art Corp., Coachman, Inc., Coachman Inns Income Ltd. Partnership, Columbia Western, Inc., Comet Software International, Inc., Commonwealth Industries Corp., Comstock Industries, Inc., Concentration, Inc., Concordia Paper Holdings, Ltd., and ConnectAJet.com, Inc. (f/k/a Source Venture Capital, Inc.), have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-65290; File No. 3-14487)
Commission Revokes Registration of Securities of Santa Cruz Gold, Inc. for Failure to Make Required Periodic Filings
On September 8, 2011, the Commission revoked the registration of each class of registered securities of Santa Cruz Gold, Inc. (Santa Cruz Gold) 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, Santa Cruz Gold 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 Santa Cruz Gold, 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-16 thereunder and revoking the registration of each class of Santa Cruz Gold’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Santa Cruz Gold in In the Matter of Santa Cruz Gold, Inc., et al., Administrative Proceeding File No. 3-14503.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. No. 34-65291; File No. 3-14503).
Commission Sues Massachusetts Investment Adviser for Fraudulently Inducing Clients to Invest in Forex, Causing Investor Losses of Nearly $4 Million While Adviser Earned Hefty Fees
The Commission announced that, on September 8, 2011, it filed a civil injunctive action in federal district court in Massachusetts against registered investment adviser EagleEye Asset Management, LLC, and its sole principal, Jeffrey A. Liskov, both of Plymouth, MA, in connection their fraudulent conduct toward advisory clients.
In its complaint, the Commission alleges that, between at least April 2008 and August 2010, Liskov made material misrepresentations to nearly a dozen advisory clients to induce them to liquidate investments in securities and instead invest the proceeds in foreign currency exchange (“forex”) trading. These investments, which were not suitable for older clients with conservative investment goals, resulted in steep losses for clients, totaling nearly $4 million, but EagleEye and Liskov came away with over $300,000 in performance fees on these investments alone, in addition to other management fees they collected from clients. Liskov’s strategy was to generate temporary profits on client forex investments to enable him to collect performance fees, after which client investments invariably would sharply decline in value. According to the Commission’s complaint, Liskov’s material misrepresentations to clients concerned the nature of forex investments, the risks involved, and his expertise and track record in forex trading. As to some clients, Liskov did not explain what forex trading was at all. As to other clients, Liskov downplayed the risks of forex investments. Liskov also falsely told several clients that he had had prior success in forex trading, when in fact he had lost substantial sums of his own or other clients’ money in forex trading when he made such statements. The Commission’s complaint further alleges that, in the case of two clients, without their knowledge or consent, Liskov liquidated securities in their brokerage accounts and transferred the proceeds to their forex trading accounts where he lost nearly all client funds, but not before first collecting performance fees for EagleEye (and ultimately himself) on short-lived profits in the clients’ forex accounts. The complaint alleges that Liskov accomplished the unauthorized transfers by doctoring asset transfer forms. On several occasions, Liskov took old forms signed by the clients and used “white out” correction fluid to change dates, asset transfer amounts, and other data. Liskov also used similar tactics to open multiple forex trading accounts in the name of one client, thereby maximizing his ability to earn performance fees for EagleEye (and ultimately himself) on the client’s investments, all without disclosing this to the client or obtaining the client’s consent.
The Commission’s complaint alleges that, by the foregoing conduct, EagleEye and Liskov violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Commission further alleges that EagleEye failed to maintain certain books and records required of investment advisers in violation of Section 204 of the Advisers Act and Rule 204-2(a) thereunder, and that Liskov aided and abetted EagleEye’s violations of these provisions. The Commission seeks a permanent injunction, disgorgement of ill-gotten gains plus prejudgment interest thereon, and the imposition of a monetary penalty against both EagleEye and Liskov.
The Commission acknowledges the assistance of the Commodity Futures Trading Commission and Secretary of the Commonwealth of Massachusetts William F. Galvin, both of whom today filed related cases. [Securities and Exchange Commission v. EagleEye Asset Management, LLC and Jeffrey A. Liskov, Civil Action No. 11-CV-11576 (D. Mass.)] (LR-22086)
Commission Files Subpoena Enforcement Action Against Deloitte & Touche in Shanghai
The Commission today filed a subpoena enforcement action against Deloitte Touche Tohmatsu CPA Ltd. for failing to produce documents related to the SEC’s investigation into possible fraud by the Shanghai-based public accounting firm’s longtime client Longtop Financial Technologies Limited.
According to the SEC’s application and supporting papers filed in U.S. District Court for the District of Columbia, the SEC issued a subpoena on May 27, 2011, and D&T Shanghai was required to produce documents by July 8, 2011. Although D&T Shanghai is in possession of vast amounts of documents responsive to the subpoena, it has not produced any documents to the SEC to date. As a result, the Commission is unable to gain access to information that is critical to an investigation that has been authorized for the protection of public investors.
According to the court papers, D&T Shanghai was Longtop’s auditor since at least 2007, and the firm consented that its audit reports for Longtop could be filed annually with the SEC while knowing full well that they would be relied upon by U.S. investors. On May 22, D&T Shanghai resigned as Longtop’s auditor after discovering numerous improprieties during an audit for the year ended March 31, 2011. In its resignation letter, which was included in a Form 6-K furnished by Longtop on May 23, D&T Shanghai identified numerous indicia of financial fraud at Longtop and indicated that D&T Shanghai’s prior year audit reports for Longtop could no longer be relied upon by investors.
As part of the Longtop investigation, the SEC staff issued and served the subpoena on D&T Shanghai seeking production of documents related to the incomplete audit of Longtop for the year ended March 31 as well as prior year audits that D&T Shanghai completed. According to the court papers, these documents may reveal information about D&T Shanghai’s discovery of false financial records at Longtop, how any fraud schemes at Longtop were able to continue undetected, and basic information necessary to ferret out whether there was a fraud, who was behind it, how significant it was, and how it was conducted.
The SEC’s court papers note that Longtop is a foreign private issuer whose American depositary shares (ADSs) traded on the NYSE from the date of its initial public offering in October 2007 until May 17, 2011, when the NYSE halted trading prior to delisting Longtop’s securities in August 2011. When trading was halted, Longtop’s ADSs were priced at $18.93 per share with 57 million shares outstanding, resulting in a market capitalization of approximately $1.08 billion.
Pursuant to its application filed in court, the SEC is seeking a court order directing D&T Shanghai to show cause why the court should not enter an order requiring D&T Shanghai to produce documents responsive to the subpoena. [Securities and Exchange Commission v. Deloitte Touche Tohmatsu CPA Ltd., File No. 1:11-MC-00512 (D.D.C. filed September 8, 2011). (LR-22088; AAER Rel. No. 3319).
Commission Charges Seattle Broker Caught Defrauding His Customers
The Commission today charged a Seattle-area securities broker with fraud, alleging he lost his customers millions of dollars by engaging in massive, undisclosed options trading, charging them millions in commissions while draining their accounts.
In a complaint filed today, the SEC alleges that Richard A. Finger, Jr. of Bellevue, Wash., opened his brokerage firm Black Diamond Securities LLC in February 2011 and began managing nearly $5 million belonging mostly to Finger’s friends and family members. Unbeknownst to his customers, Finger allegedly embarked on a high-frequency, high-risk options trading strategy that lost nearly $2 million over the following months. At the same time, Black Diamond charged the customers over $2 million in trading commissions, and Finger diverted funds to his personal bank account to support a lifestyle that included a $2 million home and luxury vehicles. The SEC alleges that Finger concealed his misconduct from customers by providing them with doctored account statements inflating their account balances and understating his commission charges.
The SEC’s complaint, filed in federal district court for the Western District of Washington, charges Finger and Black Diamond with violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder and charges Black Diamond with violating Section 15(c)(1)(A) of the Exchange Act and Finger with aiding and abetting Section 15(c)(1)(A). The SEC seeks permanent injunctions, an accounting, an asset freeze, disgorgement with prejudgment interest, and civil monetary penalties.
The SEC’s case was investigated by Thomas Eme and Tracy Davis following an examination of Black Diamond conducted by Michael Martin, Marcus Chan, Stephanie Wilson, and Carla Carriveau of the San Francisco Regional Office. The SEC’s litigation efforts will be led by Robert Mitchell. The SEC acknowledges the assistance of the Financial Industry Regulatory Authority (FINRA), the United States Attorney’s Office for the Western District of Washington, and the Federal Bureau of Investigation in this matter. [SEC v. Richard A. Finger, Jr. and Black Diamond Securities LLC Case No. 2:11-cv-01479 (W.D. Washington filed, September 8, 2011](LR-22087).
Final Judgment Entered Against Former Executive of Brooke Capital for Violating the Federal Securities Laws
The Commission announced today that the United States District Court for the District of Kansas entered a final judgment, dated September 8, 2011, against Kyle L. Garst, the former chief executive officer of Kansas-based Brooke Capital Corporation (“Brooke Capital”). Brooke Capital was an insurance agency franchisor and a subsidiary of Brooke Corporation, a Kansas company founded by Robert Orr. Garst, without admitting or denying the Commission’s allegations, consented to a judgment enjoining him from future violations of the federal securities laws.
According to the SEC’s Complaint, in SEC filings signed by Garst, Brooke Capital’s former management inflated the number of reported insurance agency franchise locations by including failed and abandoned locations in totals set forth in SEC filings for year-end 2007 and the first quarter of 2008. The Complaint also alleges that Brooke Capital’s former management, among other things, concealed the nature and extent of Brooke Capital’s financial assistance to its franchisees, which included making franchise loan payments on behalf of struggling franchisees, and failed to disclose the company’s dire liquidity and financial condition.
Specifically, the judgment enjoins Garst from violating Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933, and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 10b-5, 13b2-1, 13b2-2, and 13a-14 thereunder, and from aiding and abetting violations Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder. In addition to the injunction, the judgment bars Garst from serving as an officer or director of a public company and imposes a $130,000 civil penalty. [SEC v. Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas, Case No. 11-CV-2251 WEB/KGG (D. Kansas May 4, 2011)](LR-22089).
In the Matter of Comverse Technology, Inc.
On September 8, 2011, the Commission issued an Order against Comverse Technology, Inc. (Comverse) in settlement of an administrative proceeding brought against Comverse under Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) to determine whether the registration of each class of its securities should be revoked or suspended for failure to file required periodic reports.
On July 22, 2010, an Administrative Law Judge issued an Initial Decision granting the Division of Enforcement’s motion for summary disposition, making findings of fact and conclusions of law, and recommending that the registration of each class of Comverse’s registered securities be revoked. Comverse appealed the Initial Decision.
Comverse consented to entry of the Order, which finds that Comverse, a New York corporation whose common stock is registered with the Commission, failed to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder and is in violation of a final judgment entered against it in SEC v. Comverse Technology, Inc., Civil Action No. 09-2588-DBH (E.D.N.Y.), which required the company to become current in its periodic reporting requirements by at least February 8, 2010. The Order also finds that Comverse was delinquent in filing multiple annual and quarterly reports with the Commission prior to the commencement of this proceeding, and after.
Based on these findings, the Order requires Comverse to file quarterly reports for its three fiscal quarters of 2010 and its quarterly report for the quarter ended July 31, 2011, by no later than September 9, 2011. If Comverse meets this September 9th deadline, and any deficiencies noted with respect to such filings are corrected within five business days of being notified, then the Commission will enter an Order terminating this matter without the requested remedy of revocation or suspension. However, if Comverse does not meet the September 9th deadline, or if it does not correct any noted deficiencies within five business days, then the Commission will enter an order revoking the registration of Comverse’s securities pursuant to Exchange Act Section 12(j). (Rel. No. 34-65301; File No. 3-13828).
In the Matter of Roy E. Scarboro
On September 8, 2011, the Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Roy E. Scarboro. The Order finds that on December 3, 2010, Scarboro pled guilty to one count of making false statements to the Federal Bureau of Investigation in violation of Title 18 United States Code, Section 1001, one count of securities fraud in violation of Title 15 United States Code, Sections 78j(b) and 78ff, and one count of money laundering in violation of Title 18 United States Code, Sections 1956(a)(1)(A)(i) before the United States District Court for the Western District of North Carolina, in United States v. Roy E. Scarboro, Crim. Information No. 3:10-cr-00254-RJC (Dec. 3, 2010). The Order also finds that the criminal information to which Scarboro pled guilty alleged, among other things, that beginning in July 2009 Scarboro induced six investors to invest over $650,000 with Capital Asset Management Fund, L.P. (CAMF). The Order also finds that Scarboro was the founder, owner, and president of Capital Asset Management Group, LLC, an unregistered investment adviser that served as the general partner of CAMF. The Order finds that the criminal information alleges that through December 2009, CAMF suffered dramatic investment losses, and Scarboro misappropriated at least $50,000 of investor funds for his personal use and provided investors with monthly account statements showing fictitious investment returns.
Based on the above, the Order bars Scarboro from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Scarboro consented to the issuance of the Order without admitting or denying any of the findings contained in the Order except for his criminal conviction, which he admitted. (Rel. IA-3274; File No. 3-14541).
In the Matter of Anthony Scolaro
The Commission today announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisors Act of 1940, Making Findings, and Imposing Remedial Sanctions (the Order) against Anthony Scolaro. The Order finds that Scolaro was a portfolio manager at Diamondback Capital Management, LLC, a registered hedge fund investment advisor based in Connecticut. The Order finds that on November 19, 2010, Scolaro pled guilty to one count of securities fraud and one count of conspiracy to commit to securities fraud. The Order further finds on September 1, 2011, a judgment was entered by consent against Scolaro in Securities and Exchange Commission v. Anthony Scolaro, 11-CV-6112 (S.D.N.Y.), permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint in that action alleged that Scolaro traded based on material, nonpublic information concerning the acquisition of Axcan Pharma, Inc. that had been misappropriated in violation of a duty.
Based on the above, the Order bars Scolaro from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Scolaro consented to the issuance of the Order without admitting or denying any of the findings in the Order, except for the Commission’s jurisdiction over him and the subject matter of the proceedings, and his criminal conviction and permanent injunction, which he admitted. (Rel. IA-3275; File No. 3-14542).
Transfer Agent Sanctioned
The registration of Global Sentry Equity Transfer, Inc. (Global Sentry), as a transfer agent has been revoked. Additionally, it has been ordered to pay a civil penalty of $375,000 and to cease and desist from violating various recordkeeping, inspection, and reporting provisions of the securities laws. Global Sentry, acting in its capacity as transfer agent, facilitated the sale of millions of unregistered shares that were quoted on the “Pink Sheets” and failed to maintain cancelled stock certificates relating to these sales, as well as other records and procedures required by the securities laws. Additionally, Global Sentry did not allow Commission staff to examine its operation and failed to file required periodic reports with the Commission. The sanctions were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-65302; File No. 3-14256)
Self-regulatory organizations
Approved Rules
The Commission has approved a proposed rule change (SR-FINRA-2011-031), filed by the Financial Industry Regulatory Authority, Inc. to explicitly protect from discovery those documents that federal law prohibits FINRA from disclosing. Publication is expected in the Federal Register during the week of September 12th. (Rel. No. 34-65281)
Proposed Rule Change
A proposed rule change filed by NYSE Amex LLC relating to fees for trading securities listed on the Nasdaq Stock Market LLC pursuant to unlisted trading privileges (SR-NYSEAmex-2011-67) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 12th. (Rel. No. 34-65283).
The Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of proposed interpretive notice concerning the application of Rule G-17 to municipal advisors (SR-MSRB-2011-15). Publication is expected in the Federal Register during the week of September 12th. (Rel. No. 34-65292)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change (SR-C2-2010-020) filed by the C2 Options Exchange, Incorporated relating to PULSe Fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of September 12th. (Rel. No. 34-65279).
A proposed rule change (SR-CBOE-2011-083) filed by the Chicago Board Options Exchange, Incorporated relating to PULSe fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of September 12th. (Rel. No. 34-65280).
A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2011-063) to amend the BOX Fee Schedule 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 September 12th. (Rel. No. 34-65293)
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 ORGANIC PLANT HEALTH INC., 9206 MONROE ROAD, CHARLOTTE, NC, 28270,
704-841-1066 - 20,456,375 ($4,091,275.00) Equity, (File 333-176704 -
Sep. 7) (BR. )
S-1 Bookedbyus Inc., 619 S. RIDGELEY DRIVE, LOS ANGELES, CA, 90036,
(323) 634-1000 - 15,820,000 ($1,582,000.00) Equity, (File 333-176705 -
Sep. 7) (BR. )
S-8 CSR PLC, CHURCHILL HOUSE, CAMBRIDGE BUSINESS PARK, COWLEY ROAD,
CAMBRIDGE, X0, CB4 0WZ, 44 (0) 1223 692000 - 0 ($117,717,812.00) Other,
(File 333-176706 - Sep. 7) (BR. 10A)
S-3ASR HEINZ H J CO, 1 PPG PLACE, SUITE 3100, PITTSBURGH, PA, 15222-5448,
4124565700 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-176707 - Sep. 7) (BR. 04B)
S-8 PIONEER NATURAL RESOURCES CO, 200 WILLIAMS SQUARE WEST,
5205 N OCONNOR BLVD, IRVING, TX, 75039, 9724449001 -
0 ($19,700,000.00) Equity, (File 333-176712 - Sep. 7) (BR. 04B)
S-1 VYCOR MEDICAL INC, 3651 FAU BOULEVARD, SUITE 300, BOCA RATON,, FL,
33431, 562.558.2000 - 93,602,221 ($3,744,088.84) Equity,
(File 333-176713 - Sep. 7) (BR. 10C)
S-8 American Realty Capital Properties, Inc., 405 PARK AVENUE, NEW YORK,
NY, 10022, 212-415-6500 - 688,000 ($8,600,000.00) Equity,
(File 333-176714 - Sep. 7) (BR. 08B)
S-1 Specializer Inc., 5348 VEGAS DR., LAS VEGAS, NV, 89108,
(888) 857-0714 - 5,000,000 ($50,000.00) Equity, (File 333-176715 -
Sep. 7) (BR. )
S-8 POSITIVEID Corp, 1690 SOUTH CONGRESS AVENUE, SUITE 200, DELRAY BEACH,
FL, 33445, 561-805-8008 - 6,000,000 ($1,260,000.00) Equity,
(File 333-176716 - Sep. 7) (BR. 11C)
N-2 DIVIDEND Fund Inc., ONE CORPORATE CENTER, RYE, NY, 10580,
800-422-3554 - 0 ($1,000,000.00) Equity, (File 333-176717 - Sep. 7)
(BR. 18)
S-8 ENTERPRISE PRODUCTS PARTNERS L P, 1100 LOUISIANA 10TH FLOOR, HOUSTON,
TX, 77002, 7133816500 - 0 ($18,565,414.69) Equity, (File 333-176718 -
Sep. 7) (BR. 02C)
S-1 ML Capital Group, Inc., 16810 AVENUE OF THE FOUNTAINS, FOUNTAIN HILLS,
AZ, 85268, 480-516-3394 - 14,543,487 ($4,363,046.10) Equity,
(File 333-176719 - Sep. 7) (BR. )
S-1 nycaMedia, Inc., 1077 BALBOA AVENUE, LAGUNA BEACH, CA, 92651,
714-651-8000 - 10,000,000 ($500,000.00) Equity, (File 333-176720 -
Sep. 7) (BR. )
S-1 GNC HOLDINGS, INC., 300 SIXTH AVENUE, PITTSBURGH, PA, 15222,
(412) 288-4600 - 0 ($534,865,000.00) Equity, (File 333-176721 - Sep. 7)
(BR. 02)
F-10 FRANCO NEVADA Corp, EXCHANGE TOWER, 130 KING ST W, SUITE 740, TORONTO,
XX, M5X 1E4, 416-306-6306 - 0 ($1,022,076,860.18) Other,
(File 333-176722 - Sep. 7) (BR. 04)
S-8 PENN NATIONAL GAMING INC, 825 BERKSHIRE BLVD STE 200,
WYOMISSING PROFESSIONAL CENTER, WYOMISSING, PA, 19610, 6103732400 -
0 ($86,503,500.00) Equity, (File 333-176723 - Sep. 7) (BR. 08B)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
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Entry into a Material Definitive Agreement
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Termination of a Material Definitive Agreement
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Bankruptcy or Receivership
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Completion of Acquisition or Disposition of Assets
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Results of Operations and Financial Condition
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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Cost Associated with Exit or Disposal Activities
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2.06
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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
A5 Laboratories Inc. NV 4.02 08/30/11
AAA CAPITAL ENERGY FUND L.P. 5.02,5.03,9.01 08/31/11
AAA CAPITAL ENERGY FUND L.P. II NY 5.02,5.03,9.01 08/31/11
Abingdon Futures Fund LP NY 3.02,5.02,5.03,9.01 08/31/11
ACI WORLDWIDE, INC. DE 8.01,9.01 09/07/11
ACORDA THERAPEUTICS INC 8.01,9.01 09/07/11
ACORN ENERGY, INC. DE 1.01,1.02,2.01,
5.02,9.01 08/31/11
ADCARE HEALTH SYSTEMS INC OH 1.01,2.01,2.03,9.01 08/31/11
AeroVironment Inc DE 2.02,9.01 09/07/11
AGENUS INC DE 3.01 08/31/11
AGL RESOURCES INC GA 1.01,2.03,9.01 08/31/11
Aircastle LTD D0 7.01,9.01 09/06/11
AIS FUTURES FUND IV LP DE 3.02 08/31/11
Allezoe Medical Holdings Inc DE 1.01,3.02,9.01 09/02/11
Allied World Assurance Co Holdings, A 7.01,9.01 09/07/11
Allied World Assurance Co Holdings, A 8.01,9.01 09/07/11
Allied World Assurance Co Holdings, A 8.01,9.01 09/07/11
AlphaMetrix Managed Futures III LLC 3.02 09/01/11
Altegris QIM Futures Fund, L.P. DE 3.02 09/01/11
ALTEGRIS WINTON FUTURES FUND LP CO 3.02 09/01/11
ALTRIA GROUP, INC. VA 7.01,9.01 09/07/11
AMBAC FINANCIAL GROUP INC DE 8.01 08/31/11
AMBASE CORP DE 8.01 09/07/11
AMERICAN MEDICAL ALERT CORP NY 8.01 09/07/11
American Railcar Industries, Inc. ND 7.01,9.01 09/07/11
AMERICAN TOWER CORP /MA/ DE 8.01 09/03/11
AMKOR TECHNOLOGY INC DE 8.01 09/06/11
Amwest Imaging Inc NV 1.01,2.01 09/07/11
Aperture Health, Inc. NV 1.01 12/29/10
Apple REIT Ten, Inc. VA 2.01,9.01 09/01/11
APPLIED DNA SCIENCES INC DE 5.02 08/31/11
Ardea Biosciences, Inc./DE DE 7.01,9.01 09/07/11
Argo Group International Holdings, Lt 7.01,9.01 09/07/11
ASSURED GUARANTY LTD D0 7.01 09/07/11
AtriCure, Inc. DE 5.02 09/06/11
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 09/07/11
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 09/07/11
BANK OF AMERICA CORP /DE/ DE 5.02,9.01 09/06/11
Bank of the Carolinas CORP NC 8.01 08/31/11
Behringer Harvard Opportunity REIT I, MD 1.01,2.03 08/31/11
Bella Petrellas Holdings, Inc. FL 1.01,2.01,9.01 08/22/11 AMEND
BHM Discretionary Futures Fund L.P. DE 3.02,5.02 08/31/11
BigBand Networks, Inc. DE 5.02,9.01 08/31/11
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 09/07/11
BLUE SPHERE CORP. NV 5.02,9.01 08/31/11
Bluerock Enhanced Multifamily Trust, MD 1.01,2.03 08/31/11
BofI Holding, Inc. DE 1.01,3.03,5.03,9.01 09/01/11
Bohai Pharmaceuticals Group, Inc. NV 5.02,9.01 08/31/11
BOND LABORATORIES, INC. NV 2.02,5.02,7.01 09/07/11
BRISTOL ENERGY FUND LP NY 3.02,5.02,5.03,9.01 08/31/11
BROOKLINE BANCORP INC DE 5.07 04/19/11 AMEND
BROWN SHOE CO INC NY 8.01,9.01 09/07/11
C&D TECHNOLOGIES INC DE 2.02,9.01 09/07/11
CADENCE PHARMACEUTICALS INC 7.01,9.01 09/07/11
Calumet Specialty Products Partners, DE 9.01 07/25/11 AMEND
CAMAC Energy Inc. DE 5.02,9.01 09/07/11
CareView Communications Inc NV 1.01,2.03,3.02,9.01 08/31/11
CASCADE CORP OR 2.02,9.01 09/01/11
CASEYS GENERAL STORES INC IA 8.01,9.01 09/07/11
CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01 09/06/11
CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,3.03,5.03,
8.01,9.01 09/06/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01 09/02/11
CFS BANCORP INC IN 7.01,9.01 09/02/11
CHEVRON CORP DE 5.07 05/25/11 AMEND
CINCINNATI FINANCIAL CORP OH 7.01,9.01 09/07/11
CMS ENERGY CORP MI 7.01,9.01 09/07/11
CNL LIFESTYLE PROPERTIES INC MD 8.01 08/31/11
COEUR D ALENE MINES CORP ID 7.01 09/07/11
COLOMBIA CLEAN POWER & FUELS, INC NV 5.02,5.07 08/31/11
COMMERCETEL CORP NV 9.01 04/01/11 AMEND
COMMONWEALTH EDISON CO IL 1.01,2.03,9.01 09/07/11
Comstock Mining Inc. NV 7.01,9.01 09/07/11
CONNS INC DE 2.02,9.01 09/07/11
CONTINUCARE CORP 2.02,9.01 09/07/11
Copano Energy, L.L.C. 5.07 05/17/11 AMEND
Cornerstone Core Properties REIT, Inc MD 1.01,9.01 08/31/11
Cornerstone Core Properties REIT, Inc MD 1.01,8.01 08/31/11
Cornerstone Core Properties REIT, Inc MD 1.01,9.01 08/31/11
CORPORATE BOND BACKED CERT TR SER 199 8.01,9.01 09/01/11
CSX CORP VA 7.01 09/07/11
DEVELOPERS DIVERSIFIED REALTY CORP OH 8.01 09/07/11
DEX ONE Corp DE 5.02,9.01 09/06/11
Diamond Foods Inc DE 8.01,9.01 09/07/11
Diamond Information Institute NJ 5.07,9.01 09/07/11
DIGITAL RIVER INC /DE DE 8.01,9.01 09/07/11
DIVERSIFIED 2000 FUTURES FUND L.P. 5.02,5.03,9.01 08/31/11
DIVERSIFIED MULTI-ADVISOR FUTURES FUN NY 5.02,5.03,9.01 08/31/11
DIVERSIFIED MULTI-ADVISOR FUTURES FUN NY 5.02,5.03,9.01 08/31/11
EAGLE MATERIALS INC DE 1.01,2.03,9.01 08/31/11
EAGLE ROCK ENERGY PARTNERS L P DE 7.01 09/07/11
Edgen Murray II, L.P. DE 2.03,9.01 09/02/11
EGPI FIRECREEK, INC. NV 1.01,3.02,9.01 08/30/11
El Paso Pipeline Partners, L.P. DE 1.01,9.01 08/31/11
ELECTRONIC ARTS INC. DE 5.02,9.01 09/06/11
ELITE TALENT CONSULTING CORP. DE 8.01 05/31/11
EMERGING CTA PORTFOLIO LP NY 3.02,5.02,5.03,9.01 08/31/11
EMERSON RADIO CORP DE 5.02,5.03,8.01,9.01 08/31/11
ENBRIDGE ENERGY PARTNERS LP DE 1.01,9.01 09/06/11
Enterologics, Inc. NV 1.01,2.01,2.03,
8.01,9.01 09/06/11
ERE MANAGEMENT INC NV 4.01,9.01 12/07/10 AMEND
EVOLUTION PETROLEUM CORP NV 2.02,9.01 09/06/11
Explortex Energy Inc. NV 9.01 09/06/11
FAIRFIELD FUTURES FUND LP II NY 5.02,5.03,9.01 08/31/11
Federal Home Loan Bank of Chicago X1 5.02 08/31/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/02/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/02/11
Federal Home Loan Bank of Topeka 2.03,9.01 08/31/11
Fifth Street Finance Corp DE 5.02 09/01/11
FIRST FINANCIAL BANCORP /OH/ OH 5.02,8.01 09/01/11
FIRST TRUST ENHANCED EQUITY INCOME FU 7.01,9.01 09/07/11
FOREST CITY ENTERPRISES INC OH 2.02,9.01 09/07/11
FOREST CITY ENTERPRISES INC OH 2.02,9.01 09/07/11
Fortress Investment Group LLC DE 7.01 09/07/11
Fortress Investment Group LLC DE 7.01 09/07/11
FORTUNE BRANDS INC DE 7.01,9.01 09/07/11
Francesca's Holdings CORP 2.02,9.01 09/06/11
Furiex Pharmaceuticals, Inc. DE 8.01,9.01 09/06/11
FutureFuel Corp. DE 8.01,9.01 09/06/11
G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 09/07/11
GENERAL EMPLOYMENT ENTERPRISES INC IL 1.01,2.01,3.02,5.02,
8.01,9.01 08/31/11
General Finance CORP DE 8.01,9.01 09/07/11
General Motors Co 8.01 09/01/11
GENESCO INC TN 9.01 06/28/11 AMEND
GENTIVA HEALTH SERVICES INC DE 7.01,9.01 09/07/11
GLIMCHER REALTY TRUST MD 1.01,7.01,9.01 09/07/11
GLOBAL DIVERSIFIED FUTURES FUND L.P. 5.02,5.03,9.01 08/31/11
Global Income Trust, Inc. MD 9.01 06/28/11 AMEND
GLOBAL POWER EQUIPMENT GROUP INC. DE 2.01,9.01 08/31/11
GLOBALSCAPE INC DE 8.01 09/07/11
GOLD RESOURCE CORP CO 7.01,9.01 09/06/11
GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 09/07/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/07/11
GREEN BANKSHARES, INC. TN 1.01,2.01,3.02,5.01,
5.02,5.07,8.01,9.01 09/07/11
GSI TECHNOLOGY INC 1.01 08/31/11
HAVERTY FURNITURE COMPANIES INC MD 1.01,2.03 09/07/11
HCP, INC. MD 8.01 08/31/11
HEARTLAND PAYMENT SYSTEMS INC DE 5.02 09/07/11
HELIX BIOMEDIX INC DE 1.01 09/01/11
HELMERICH & PAYNE INC DE 8.01 09/07/11
HELMERICH & PAYNE INC DE 7.01,9.01 09/07/11
HERITAGE OAKS BANCORP CA 5.02,9.01 09/07/11
HI TECH PHARMACAL CO INC NY 1.01,2.02,9.01 09/07/11
HOOKER FURNITURE CORP VA 2.02,9.01 09/06/11
HORIZON PHARMA, INC. DE 1.01 09/06/11
HOSPIRA INC DE 7.01,9.01 09/07/11
Houston Wire & Cable CO 1.01,2.03,9.01 08/31/11
HOVNANIAN ENTERPRISES INC DE 2.02 07/31/11
HUMANA INC DE 8.01 09/07/11
IGEN NETWORKS CORP NV 5.02 08/29/11
INFORMATION SYSTEMS ASSOCIATES, INC. FL 5.02 08/31/11
INLAND REAL ESTATE CORP MD 7.01,9.01 09/07/11
INSITUFORM TECHNOLOGIES INC DE 1.01,2.01,2.03,
3.02,9.01 08/31/11
INTEGRATED DEVICE TECHNOLOGY INC DE 1.01,8.01,9.01 08/31/11
IROBOT CORP DE 1.02 08/31/11
ITRON INC /WA/ WA 5.02,5.03,9.01 08/31/11
JAMMIN JAVA CORP. 4.01,9.01 09/06/11
Keyuan Petrochemicals, Inc. NV 3.01,9.01 09/02/11
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 09/06/11
KINDER MORGAN MANAGEMENT LLC DE 7.01 09/06/11
KINDER MORGAN, INC. DE 7.01 09/06/11
KIT digital, Inc. DE 5.02 08/31/11
Kosmos Energy Ltd. D0 7.01,9.01 09/07/11
KRAFT FOODS INC VA 7.01,9.01 09/07/11
LAPIS TECHNOLOGIES INC DE 1.01,2.03,3.02,9.01 09/01/11
LIBERTY STAR URANIUM & METALS CORP. NV 1.01,9.01 08/31/11
LIGAND PHARMACEUTICALS INC DE 1.01 08/31/11
LIGAND PHARMACEUTICALS INC DE 1.02,9.01 09/01/11
LINCOLN NATIONAL CORP IN 7.01 09/07/11
LOCAL.COM DE 7.01,9.01 09/06/11
LV Futures Fund L.P. DE 5.02 08/31/11
Maiden Holdings, Ltd. D0 7.01,9.01 09/07/11
MANAGED FUTURES CHARTER GRAHAM L.P. DE 3.02,5.02 08/31/11
MARKWEST ENERGY PARTNERS L P 7.01,9.01 09/07/11
mBeach Software, Inc. FL 1.01,8.01,9.01 08/31/11
MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 09/07/11
MEDALLION FINANCIAL CORP DE 1.01,9.01 09/01/11
MEDASSETS INC DE 5.02,9.01 09/06/11
MEDIFAST INC DE 5.07 09/02/11
MEDIWARE INFORMATION SYSTEMS INC NY 2.02,9.01 09/07/11
MedQuist Holdings Inc. DE 2.02,7.01,9.01 09/07/11
MENS WEARHOUSE INC TX 2.02,9.01 09/07/11
Meritage Futures Fund L.P. DE 5.02 08/31/11
METLIFE INC DE 7.01,9.01 09/07/11
MEXICO FUND INC MD 7.01,9.01 08/31/11
Mindesta Inc. DE 7.01,8.01,9.01 09/06/11
MIPS TECHNOLOGIES INC DE 7.01,9.01 09/07/11
MITCHAM INDUSTRIES INC TX 2.02,9.01 09/07/11
MONTPELIER RE HOLDINGS LTD 7.01,9.01 09/07/11
MONTPELIER RE HOLDINGS LTD 7.01,9.01 09/07/11
MORGAN STANLEY SMITH BARNEY CHARTER A DE 5.02 08/31/11
MORGAN STANLEY SMITH BARNEY CHARTER C DE 5.02 08/31/11
MORGAN STANLEY SMITH BARNEY CHARTER W DE 5.02 08/31/11
MORGAN STANLEY SMITH BARNEY SPECTRUM DE 5.02 08/31/11
MORGAN STANLEY SMITH BARNEY SPECTRUM DE 5.02 08/31/11
MORGAN STANLEY SMITH BARNEY SPECTRUM DE 5.02 08/31/11
MORGAN STANLEY SMITH BARNEY SPECTRUM NY 5.02 08/31/11
MORGAN STANLEY SMITH BARNEY SPECTRUM DE 5.02 08/31/11
MOTRICITY INC DE 1.01,5.02,8.01,9.01 08/31/11
MUELLER INDUSTRIES INC DE 8.01,9.01 09/07/11
MULTIBAND CORP MN 1.01,9.01 09/01/11
NANOPHASE TECHNOLOGIES CORPORATION IL 8.01,9.01 09/07/11
NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,8.01,9.01 09/06/11
NCI BUILDING SYSTEMS INC DE 2.02,9.01 09/07/11
NetApp, Inc. CA 5.02,5.07 08/31/11
New Leaf Brands, Inc. NV 5.02,9.01 08/25/11
NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 09/07/11
NEWS CORP 8.01,9.01 09/07/11
NEXTERA ENERGY INC FL 7.01 09/07/11
NORMAN CAY DEVELOPMENT, INC. NV 1.01,2.01,3.02,9.01 09/06/11
NORTHRIM BANCORP INC AK 8.01,9.01 09/07/11
OFFICE DEPOT INC DE 7.01,9.01 09/07/11
OFFICEMAX INC DE 8.01,9.01 09/07/11
OGE ENERGY CORP. OK 7.01 09/07/11
ORION FUTURES FUND LP NY 3.02,5.02,5.03,9.01 08/31/11
PAA NATURAL GAS STORAGE LP DE 7.01 09/07/11
Paradigm Holdings, Inc WY 1.02,2.01,3.03,5.01,
5.02,5.03,9.01 09/01/11
PASSUR Aerospace, Inc. NY 1.01,9.01 09/06/11
PATHFINDER BANCORP INC DE 3.02,3.03,5.03,9.01 09/01/11
PEABODY ENERGY CORP DE 7.01,9.01 09/07/11
PENN VIRGINIA CORP VA 2.01,7.01,9.01 08/31/11
Perfumania Holdings, Inc. FL 7.01,9.01 09/01/11
PG&E CORP CA 7.01,9.01 09/06/11
Pharmasset Inc 8.01,9.01 09/06/11
PHARMATHENE, INC DE 5.02 08/31/11
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 09/07/11
PLC SYSTEMS INC B0 5.02 09/06/11
Polaris Futures Fund L.P. DE 3.02,5.02 08/31/11
PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 09/06/11
POTOMAC FUTURES FUND LP NY 3.02,5.02,5.03,9.01 08/31/11
PPL Corp 7.01,9.01 09/01/11
PROASSURANCE CORP DE 7.01,8.01,9.01 09/07/11
PROGRESSIVE CORP/OH/ OH 3.03,9.01 09/02/11
PROTEONOMIX, INC. DE 8.01 09/07/11
Pzena Investment Management, Inc. DE 8.01,9.01 08/31/11
Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 09/06/11
QUANTUM CORP /DE/ DE 5.02 09/02/11
QUESTAR CORP UT 1.01,2.03 09/02/11
R F INDUSTRIES LTD NV 9.01 09/06/11 AMEND
RAMTRON INTERNATIONAL CORP DE 5.02,9.01 08/31/11
Rand Logistics, Inc. DE 7.01,9.01 09/07/11
RECOVERY ENERGY, INC. NV 5.02,8.01,9.01 08/31/11
RED METAL RESOURCES, LTD. NV 5.02 09/02/11
REPROS THERAPEUTICS INC. DE 8.01,9.01 09/07/11
Resolute Energy Corp DE 1.01,9.01 08/31/11
rue21, inc. DE 7.01,9.01 09/07/11
RUSH ENTERPRISES INC \TX\ TX 5.02 09/01/11
Sabra Health Care REIT, Inc. MD 7.01 09/07/11
Santa Fe Gold CORP DE 8.01,9.01 09/06/11
SCHIFF NUTRITION INTERNATIONAL, INC. DE 4.01,9.01 08/31/11
SEACHANGE INTERNATIONAL INC DE 2.02,9.01 09/07/11
SELECT MEDICAL HOLDINGS CORP 7.01,9.01 09/07/11
SHARPS COMPLIANCE CORP DE 7.01,9.01 09/07/11
SHAW GROUP INC LA 7.01,9.01 09/06/11
Shiner International, Inc. NV 3.01 09/01/11
Silver Dragon Resources Inc. DE 7.01,9.01 09/07/11
SIMULATIONS PLUS INC 8.01,9.01 09/07/11
SKY DIGITAL STORES CORP. NV 5.02,8.01,9.01 09/01/11
SMITH & WESSON HOLDING CORP NV 2.02,9.01 09/07/11
SOCKET MOBILE, INC. DE 1.02,9.01 09/06/11
SOUTHERN UNION CO DE 8.01 09/07/11
SOUTHWEST AIRLINES CO TX 7.01,9.01 08/31/11
SPARTECH CORP DE 2.02 09/07/11
SPARTON CORP OH 2.02,7.01,9.01 09/07/11
SPHERIX INC DE 7.01,9.01 09/07/11
STANDEX INTERNATIONAL CORP/DE/ DE 2.02,9.01 09/07/11
STEWARDSHIP FINANCIAL CORP NJ 1.01,3.02,3.03,5.03,
8.01,9.01 08/31/11
STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 09/07/11
Sucampo Pharmaceuticals, Inc. 5.02,9.01 09/06/11
SUNOCO INC PA 2.05,2.06,9.01 08/31/11
SUPREME INDUSTRIES INC DE 5.02,9.01 09/01/11
SYCAMORE NETWORKS INC DE 2.02,9.01 09/07/11
TACTICAL DIVERSIFIED FUTURES FUND L.P NY 3.02,5.02,5.03,9.01 08/31/11
TALBOTS INC DE 2.02,5.02,9.01 09/06/11
TE Connectivity Ltd. V8 7.01,9.01 09/07/11
TENET HEALTHCARE CORP NV 1.01,3.03,9.01 09/07/11
TESORO CORP /NEW/ DE 5.07 05/04/11 AMEND
TIDEWATER FUTURES FUND LP NY 3.02,5.02,5.03,9.01 08/31/11
Tower Group, Inc. DE 7.01,9.01 09/07/11
TRC COMPANIES INC /DE/ DE 8.01,9.01 08/31/11
TRICO MARINE SERVICES INC DE 7.01,9.01 08/31/11
TUCOWS INC /PA/ PA 5.07 09/06/11
TWO RIVERS WATER Co CO 7.01 09/07/11
U S GLOBAL INVESTORS INC TX 2.02,9.01 09/06/11
UNIGENE LABORATORIES INC DE 5.02,9.01 09/06/11
US AIRWAYS GROUP INC DE 5.02,9.01 09/06/11
VALENCE TECHNOLOGY INC DE 5.07 09/01/11
VALERO ENERGY CORP/TX DE 7.01,9.01 09/07/11
VASCO DATA SECURITY INTERNATIONAL INC DE 8.01,9.01 09/02/11
VERISIGN INC/CA DE 1.01,9.01 09/02/11
VISUALANT INC NV 8.01,9.01 09/07/11
VIVUS INC CA 7.01 09/07/11
WARRINGTON FUND LP NY 3.02,5.02,5.03,9.01 08/31/11
WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 09/06/11
WESTPORT JWH FUTURES FUND LP NY 3.02,5.02,5.03,9.01 08/31/11
WILLIAMS COMPANIES INC DE 7.01,9.01 09/06/11
XEROX CORP NY 1.01,3.02,8.01,9.01 09/06/11
Xun Energy, Inc. NV 5.02,9.01 08/31/11
YAHOO INC DE 5.02,7.01,9.01 09/06/11
http://www.sec.gov/news/digest/2011/dig090811.htm
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