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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-61
March 30, 2011

Commission Announcements

Agencies Seek Comment on Proposed Rule on Incentive Compensation

Federal financial regulatory agencies request public comment on a joint proposed rule to ensure that regulated financial institutions design their incentive compensation arrangements to take account of risk.

The proposed rule, which is being issued pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act, would apply to certain financial institutions with more than $1 billion in assets. It also contains heightened standards for the largest of these institutions.

In prohibiting incentive compensation arrangements that could encourage inappropriate risks, the proposal would require compensation practices at regulated financial institutions to be consistent with three key principles--that incentive compensation arrangements should appropriately balance risk and financial rewards, be compatible with effective controls and risk management, and be supported by strong corporate governance. The proposed rule complements guidance previously issued by the agencies, including guidance on sound incentive compensation policies issued by the banking agencies last year.

The agencies are proposing that financial institutions with $1 billion or more in assets be required to have policies and procedures to ensure compliance with the requirements of the rule, and submit an annual report to their federal regulator describing the structure of their incentive compensation arrangements. The agencies are proposing that larger financial institutions, generally those with $50 billion or more in assets, defer at least 50 percent of the incentive compensation of certain officers for at least three years and that the amounts ultimately paid reflect losses or other aspects of performance over time. For purposes of credit unions, large financial institutions would be defined as those with $10 billion or more in assets. The FHFA proposed that the income-deferral provisions apply to all entities it regulates, regardless of size.

The agencies request public comments on the proposed rule within 45 days of its publication in the Federal Register, which is expected soon. (Press Rel. 2011-77)

SEC Proposes Rules Requiring Listing Standards for Compensation Committees and Compensation Consultants

The Securities and Exchange Commission today voted unanimously to propose rules directing the national securities exchanges to adopt certain listing standards related to the compensation committee of a company’s board of directors as well as its compensation advisers, as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The SEC’s proposal also would require new disclosures from companies concerning their use of compensation consultants and conflicts of interest. 

In particular, the proposal requires the “listing standards” to address the independence of the members on a compensation committee, the committee’s authority to retain compensation advisers, and the committee’s responsibility for the appointment, payment and work of any compensation adviser. 

Once an exchange’s new listing standards are in effect, a listed company must meet these standards in order for its shares to continue trading on that exchange.  

Public comments on the rule proposal should be received by April 29, 2011. (Press Rel. 2011-78)

Enforcement Proceedings

In the Matter of Accesstel, Inc.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Accesstel, Inc., Admin. Proc. No. 3-14287. 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 registrations of each class of registered securities of Accesstel, Inc., American Asset Management Corp., DME Interactive Holdings, Inc., DocuPort, Inc., and iCarbon Corp., pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-64146; File No. 3-14287)

Commission Revokes Registration of Securities of Eurogas, Inc. for Failure to Make Required Periodic Filings

On March 30, 2011, the Commission revoked the registration of each class of registered securities of Eurogas, Inc. (EUGS) 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, EUGS 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 Eurogas, 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 EUGS’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against EUGS in In the Matter of AdAl Group, Inc., et al., Administrative Proceeding File No. 3-14289.

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 . . . .

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 AdAl Group, Inc., et al., Administrative Proceeding File No. 3-14289, Exchange Act Release No. 64063 (March 9, 2011). (Rel. 34-64147; File No. 3-14289)

In the Matter of Isaac I. Ovid

On March 30, 2011, the Commission issued 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 Isaac I. Ovid (Ovid). The Order finds that Ovid was the Chief Executive Officer of Jadis Capital, Inc. (Jadis Capital), a New York corporation. Jadis Capital was the sole owner of Jadis Investments, LLC (Jadis Investments), a Delaware limited liability company and Uniondale, Long Island-based investment adviser registered with the Commission.

The Order further finds that Ovid pled guilty to conspiracy to commit securities fraud, in violation of Title 18 United States Code, Section 371 before the United States District Court for the Eastern District of New York. On August 30, 2010, a judgment was entered against Ovid. He was sentenced to a prison term of 60 months followed by three years of supervised release and ordered to make restitution in the amount of $12,334,614.41.

Based on the above, the Order bars Ovid from association with any investment adviser. Ovid 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, which he admitted. (Rel. IA-3182; File No. 3-14313)

Court Enters Final Judgments By Consent Against Two Defendants in Fraudulent Bond Funding Scheme

On March 28, 2011, the Honorable Nancy F. Atlas of the United States District Court for the Southern District of Texas entered two final judgments in a civil action involving Navigators International Management Co., Ltd., a Bahamian corporation. Navigators, without admitting or denying the Commission's allegations, consented to entry of a Final Judgment that (i) enjoins it from violating Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act), and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and (ii) finds the corporation liable for payment of $45,000 under Securities Act Section 20(d) and Exchange Act Section 21(d)(3). James R. Spurger, the company's former president, without admitting or denying the Commission's allegations, consented to entry of a Final Judgment that (i) enjoins him from violating Securities Act Sections 5 and 17(a), and Exchange Act Sections 10(b) and 15(a), and Rule 10b-5 thereunder, and (ii) finds him liable for payment of $25,000 under Securities Act Section 20(d) and Exchange Act Section 21(d)(3).

According to the Commission's complaint, Navigators, its officers, and persons acting on their behalf, solicited investors to participate in an unregistered and fraudulent bond funding program. Investors were promised returns of 67% or more and were assured that their principal was safe and collateralized. The complaint alleged that investors' funds were not safe and collateralized and that none of the investors received a return of principal or payment of the promised profits.

The litigation against Benjamin R. Young, the remaining defendant named in the complaint, is continuing. [SEC v. Navigators International Management Co., Ltd., James R. Spurger and Benjamin W. Young, Jr., Case No.07-cv-04518 (S.D. Texas)] (LR-21908)

SEC Obtains Permanent Injunction Against Tennessee Investment Adviser

The Securities and Exchange Commission (Commission) announced today that the Honorable Thomas W. Phillips, United States District Court Judge for the Eastern District of Tennessee, entered a judgment against LandOak Securities, LLC (LandOak Securities) and Patrick L. Martin (Martin). The judgment restrained and enjoined LandOak Securities and Martin from future violations of Sections 204, 206(1),(2) and(4), and 207 of the Investment Advisers Act of 1940 (Advisers Act) [15 U.S.C. 80b-4, b-6(1), (2) & (4), and 80b-7] and Rule 206(4)-2 and 204-2 thereunder [17 C.F.R. 275.206(4)-2 and 275.204-2]. LandOak Securities and Martin also were ordered to pay disgorgement in the amount of $880,512.16, plus prejudgment interest thereon in the amount of $111,628.38. The judgment further provides that if the parties cannot agree on whether a civil penalty should be imposed or the amount of any such civil penalty, the Commission may file a motion requesting that the Court determine the civil penalty and for purposes of that motion, the allegations of the Commission’s Complaint shall be deemed true. LandOak Securities and Martin consented to the entry of the order without admitting or denying the allegations of the Commission’s Complaint.

The Complaint, filed on May 22, 2008, alleged that between July 1997 and July 1998, Martin and his co-defendant Michael A. Atkins (Atkins) offered and sold to investors approximately $3.6 million in promissory notes and membership interests in LandOak Mortgage, LLC (LandOak Mortgage), a Tennessee entity they founded and controlled. According to the Complaint, thirteen of the approximately thirty-five investors in LandOak Mortgage were also LandOak Securities advisory clients, who together invested a total of $1.8 million in LandOak Mortgage. As represented to investors at the time of the offering, LandOak Mortgage loaned the raised funds to LandOak Development, LLC (LandOak Development), another Tennessee entity partly owned by Martin and Atkins. According to the Complaint, LandOak Development used the funds to purchase and develop commercial property, but when LandOak Development repaid those funds, Martin and Atkins misappropriated over $2.8 million of funds due to LandOak Mortgage investors. In July 2002, Martin and Atkins misappropriated over $1.5 million from LandOak Mortgage’s bank account and diverted the funds to Atmospheric Glow Technologies, Inc., a public company in which each owned a substantial interest and were both members of its board of directors. Further, the Complaint alleged that Martin and LandOak Securities made false statements in LandOak Securities’ Commission filings and failed to maintain certain required advisory books and records. [SEC v. LandOak Securities, LLC, et al., Civil Action No. 3:08CV209 (E.D.TN)] (LR-21909)

SEC Charges South Florida Man and Woman in $30 Million Ponzi Scheme

The Securities and Exchange Commission today charged two South Florida residents for conducting a $30 million Ponzi scheme with funds primarily raised by offering and selling unregistered investment contracts and promissory notes to hundreds of investors nationwide from 2005 until the summer of 2007.

The SEC alleges that James Clements and Zeina Smidi of Plantation, Florida, through the companies they jointly controlled: MRT, LLC; MRT Holdings, LTD; and Maximum Return Transaction, LLC, collectively “MRT”; operated a Ponzi scheme that offered investors guaranteed monthly returns as high as 11%.

The SEC complaint alleges that from 2005 until the end of 2006, MRT, Clements and Smidi told investors that MRT used investor proceeds to trade foreign currencies. In June 2007, Clements told account managers that MRT would no longer trade foreign currencies. Clements and Smidi instead claimed that they wanted MRT’s money working with the best Swiss banks and advisors, allowing investors to roll over their existing investment and make future ones into a fixed rate account with a one-year holding period that earned up to 25% annually or a high-yield savings account that earned up to 15% annually.

The SEC alleges that MRT’s claims were baseless and fraudulent and Clements and Smidi actually operated a Ponzi scheme with investors’ monies. Further, Clements and Smidi also siphoned approximately $3 million of MRT investor monies to their personal bank accounts and paid out approximately $3 million for travel, expenses, and luxury items.

The SEC’s complaint charges Clements with violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC’s complaint charges Smidi with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC seeks a permanent injunction, sworn accounting, disgorgement of ill-gotten gains with prejudgment interest, and a civil money penalty against Clements and Smidi.

The SEC appreciates the assistance in this matter by the State of Florida Office of Financial Regulation. . [SEC v. James Clements and Zeina Smidi, Civil Action No. 11-cv-60673-LSS, (S.D. Fla.)] (LR-21910)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-37) relating to complex order fees 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 April 4, 2011. (Rel. 34-64137)

A proposed rule change filed by NASDAQ OMX PHLX relating to Inactive Nominees and dividend and merger strategy definitions (SR-Phlx-2011-32) 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 April 4, 2011. (Rel. 34-64141)

Proposed Rule Change

The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2011-037) under Section 19(b)(1) of the Securities Exchange Act of 1934 modifying Chapter VI, Section 8 of the Exchange’s rules. Publication is expected in the Federal Register during the week of April 4, 2011. (Rel. 34-64143)

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-3     ASR  AMARIN CORP PLC\UK, FIRST FLOOR, BLOCK 3, THE OVAL,, 
        SHELBOURNE ROAD, BALLSBRIDGE, DUBLIN, L2, 00000, 353 1 6699 020 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-173132 - Mar. 29) 
        (BR. 01A)

S-4     TUTOR PERINI Corp, 15901 OLDEN STREET, SYLMAR, CA, 91342, 
        818-362-8391 - 0 ($300,000,000.00) Debt, (File 333-173133 - Mar. 29) 
        (BR. 06B)

S-8     China Tel Group Inc, 12520 HIGH BLUFF ROAD, SUITE 145, SAN DIEGO, CA, 
        92130, 858-259-6614 - 423,077 ($82,500.00) Equity, (File 333-173134 - 
        Mar. 29) (BR. 11A)

S-3     ASR  Verisk Analytics, Inc., 545 WASHINGTON BOULEVARD, JERSEY CITY, NJ, 
        07310-1686, 201-469-2000 - 0 ($0.00) Other, (File 333-173135 - Mar. 29) 
        (BR. 03B)

S-8     BP PLC, 1 ST JAMES'S SQUARE, LONDON, SW1Y 4PD, X0, 00000, 
        442074964000 - 360,000 ($2,724,084.00) Equity, (File 333-173136 - 
        Mar. 29) (BR. 04B)

S-1     Guardian 8 Holdings, 11900 COLLEGE BLVD, SUITE 204, OVERLAND PARK, KS, 
        66210, 9133178887 - 13,401,144 ($3,350,286.00) Equity, 
        (File 333-173142 - Mar. 29) (BR. 11C)

S-8     Zoom Telephonics, Inc., 207 SOUTH STREET, BOSTON, MA, 02111, 
        617-423-1072 - 2,900,000 ($1,395,660.00) Equity, (File 333-173143 - 
        Mar. 29) (BR. 11C)

S-3     CURRENCYSHARES CANADIAN DOLLAR TRUST, 
        C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, 
        ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($506,375,000.00) Other, 
        (File 333-173145 - Mar. 29) (BR. 08B)

S-8     GAP INC, TWO FOLSOM STREET, SAN FRANCISCO, CA, 94105, 6509524400 - 
        0 ($546,250.00) Equity, (File 333-173146 - Mar. 29) (BR. 09A)

S-3     ASR  MEMC ELECTRONIC MATERIALS INC, 501 PEARL DRIVE (CITY OF O'FALLON), 
        ST. PETERS, MO, 63376, 6364745000 - 2,729,921 ($2,108,102.00) Equity, 
        (File 333-173147 - Mar. 29) (BR. 10B)

S-3     IGI LABORATORIES, INC, 105 LINCOLN AVENUE, BUENA, NJ, 08310, 
        6096971441 - 6,263,633 ($10,021,812.80) Equity, (File 333-173148 - 
        Mar. 29) (BR. 01A)

F-3     ASR  Banco Santander, S.A., NEW YORK BRANCH, 45 EAST 53RD STREET, NEW YORK, 
        NY, 10022, 2124505098 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-173149 - Mar. 29) (BR. 07A)

S-3     ASR  WABASH NATIONAL CORP /DE, 1000 SAGAMORE PARKWAY SOUTH, LAFAYETTE, IN, 
        47905, 7657715310 - 0 ($0.00) Debt, 0 ($0.00) Equity, 0 ($0.00) Other, 
        (File 333-173150 - Mar. 29) (BR. 05C)

S-8     Bio-Solutions Corp., 14517, JOSEPH MARC VERMETTE, MIRABEL, A8, J7J 1X2, 
        888-686-2611 - 20,000,000 ($1,300,000.00) Equity, (File 333-173152 - 
        Mar. 29) (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.C. Moore Arts & Crafts, Inc.          PA       2.02,7.01,9.01       03/29/11

AbitibiBowater Inc.                     DE       5.02                 03/23/11

ACACIA RESEARCH CORP                    DE       1.01,9.01            03/24/11

Access to Money, Inc.                   OR       2.02,9.01            03/29/11

ADA-ES INC                              CO       7.01,9.01            03/29/11

ADCARE HEALTH SYSTEMS INC               OH       1.01,2.02,8.01,9.01  03/29/11

ALBANY INTERNATIONAL CORP /DE/          DE       5.02,9.01            03/25/11

Alliance Holdings GP, L.P.              DE       8.01,9.01            03/29/11

ALTAIR NANOTECHNOLOGIES INC                      1.01,7.01,9.01       03/28/11

AMERICAN ELECTRIC POWER CO INC          NY       7.01                 03/29/11

AMERICAN MEDICAL ALERT CORP             NY       2.02,9.01            03/29/11

AMERICAN SCIENTIFIC RESOURCES INC       NV       1.01,2.03,3.02,5.03, 02/16/11
                                                 5.07,9.01
     
AMERICAN TELSTAR INC                    NV       4.01,9.01            03/25/11

AMERIGO ENERGY, INC.                    DE       4.02                 03/29/11

AMERIGO ENERGY, INC.                    DE       8.01,9.01            03/29/11

AMERIGO ENERGY, INC.                    DE       4.01,8.01,9.01       03/29/11    AMEND

AMP Holding Inc.                        NV       7.01,9.01            03/24/11

ANDAIN, INC.                            NV       1.01,1.02,3.02,9.01  03/29/11

Anthera Pharmaceuticals Inc             DE       1.01,2.03,3.02,9.01  03/25/11

AP PHARMA INC /DE/                      DE       2.02,9.01            03/28/11

Apextalk Holdings Inc                   DE       2.01,9.01            03/25/11

APOLLO GROUP INC                        AZ       2.02,5.02,8.01,9.01  03/24/11

Apple REIT Ten, Inc.                    VA       2.01,9.01            03/25/11

ARENA PHARMACEUTICALS INC               DE       1.01,3.02,9.01       03/28/11

ARES CAPITAL CORP                       MD       7.01,9.01            03/29/11

ARGENTEX MINING CORP                    DE       3.02                 03/25/11

Art Design, Inc.                        CO       4.01,9.01            03/28/11

ART DIMENSIONS, INC.                    CO       4.01,9.01            03/28/11

ASSURANCEAMERICA CORP                   NV       5.02,9.01            03/25/11

AT&T INC.                               DE       5.02,9.01            03/04/11    AMEND

AUTODESK INC                            DE       5.02,5.03,9.01       03/23/11

AXESSTEL INC                            NV       2.02,9.01            03/29/11

AXIS CAPITAL HOLDINGS LTD                        7.01,9.01            03/29/11

Bacterin International Holdings, Inc.   DE       2.02,9.01            03/28/11

BANK OF HAWAII CORP                     DE       5.02                 03/25/11

BARRETT BUSINESS SERVICES INC           MD       4.02                 03/11/11    AMEND

BERKSHIRE HILLS BANCORP INC                      8.01,9.01            03/28/11

BEST BUY CO INC                         MN       7.01                 03/26/11

BIO RAD LABORATORIES INC                DE       5.02                 03/23/11

BioMed Realty Trust Inc                 MD       8.01,9.01            03/23/11

Blackwater Midstream Corp.                       1.01,8.01,9.01       03/28/11

BOSTON BEER CO INC                      MA       8.01                 03/24/11

BRIDGE BANCORP INC                      NY       8.01,9.01            03/29/11

BROADWIND ENERGY, INC.                  DE       5.02,8.01,9.01       03/25/11

Bullion Monarch Mining, Inc. (NEW)      UT       5.02,9.01            03/24/11

CALGON CARBON CORPORATION               DE       7.01,9.01            03/29/11

CAMDEN NATIONAL CORP                    ME       8.01,9.01            03/29/11

CAMERON INTERNATIONAL CORP              DE       2.02,9.01            03/29/11

CAMPBELL ALTERNATIVE ASSET TRUST        DE       8.01                 03/29/11

Capstone Therapeutics Corp.             DE       8.01,9.01            03/29/11

Cardiogenesis Corp /CA                  CA       1.01,3.03,8.01,9.01  03/28/11

CB RICHARD ELLIS REALTY TRUST           MD       1.01,2.01,2.03,8.01, 12/17/10    AMEND
                                                 9.01
          
Chanticleer Holdings, Inc.                       7.01,9.01            03/24/11

CHARMING SHOPPES INC                    PA       5.02,9.01            03/23/11

CHARMING SHOPPES INC                    PA       5.02,9.01            03/23/11

CHEROKEE INC                            DE       5.02                 03/23/11

CHICAGO RIVET & MACHINE CO              IL       2.02,9.01            03/28/11

CHINA GENGSHENG MINERALS, INC.          NV       8.01,9.01            03/29/11

China Intelligent Lighting & Electron   DE       4.01,4.02,5.02,7.01, 03/23/11
                                                 8.01,9.01
     
China MediaExpress Holdings, Inc.       DE       4.01,4.02,9.01       03/11/11    AMEND

China TransInfo Technology Corp.        NV       2.02,7.01,9.01       03/29/11

CHUGACH ELECTRIC ASSOCIATION INC        AK       5.02                 03/23/11

CITIGROUP INC                           DE       9.01                 03/29/11

Clean Energy Fuels Corp.                DE       1.01,9.01            03/25/11

Coleman Cable, Inc.                     DE       1.01,9.01            03/28/11

COMMUNICATION INTELLIGENCE CORP         DE       2.02,9.01            03/29/11

COSI INC                                DE       2.02,7.01,9.01       03/28/11

CRYOLIFE INC                            FL       1.01,8.01,9.01       03/28/11

CUI Global, Inc.                        CO       4.02                 03/28/11

CVR ENERGY INC                          DE       7.01                 03/29/11

Cyalume Technologies Holdings, Inc.     DE       5.02                 03/25/11

Cyalume Technologies Holdings, Inc.     DE       8.01                 03/28/11

CYBERMESH INTERNATIONAL CORP.                    1.01,9.01            03/28/11

CYBERONICS INC                          DE       5.02,9.01            03/29/11

CYTEC INDUSTRIES INC/DE/                DE       8.01                 03/29/11

Daedalus Ventures, Inc.                 DE       5.01,5.02,9.01       03/29/11

DCP Midstream Partners, LP              DE       7.01                 03/29/11

dELiAs, Inc.                            DE       1.01,5.02,8.01,9.01  03/24/11

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01,9.01            03/29/11

DigitalPost Interactive, Inc.           NV       1.02,8.01            03/23/11

Domtar CORP                             DE       2.05,9.01            03/29/11

DOVER SADDLERY INC                               2.02,7.01,9.01       03/29/11

Dresser-Rand Group Inc.                 DE       7.01                 03/29/11

DUOYUAN PRINTING, INC.                  WY       3.01,9.01            03/24/11

EDUCATION MANAGEMENT CORPORATION                 3.01,5.02            03/28/11

EL PASO CORP/DE                         DE       8.01,9.01            03/29/11

ELEPHANT TALK COMMUNICATIONS INC        CA       7.01,9.01            03/04/11

EMCORE CORP                             NJ       8.01                 03/28/11

Emrise CORP                             DE       2.02,7.01,9.01       03/29/11

ENDURANCE SPECIALTY HOLDINGS LTD                 7.01,9.01            03/29/11

EnerSys                                 DE       1.01,1.02,2.03,8.01, 03/29/11
                                                 9.01
          
EPOCRATES INC                           DE       2.02,9.01            03/29/11

EVANS BOB FARMS INC                     DE       1.01,2.03,9.01       03/29/11

FBR CAPITAL MARKETS CORP                VA       5.02                 03/24/11

Federal Home Loan Bank of Atlanta       X1       2.03                 03/29/11

Federal Home Loan Bank of Boston        X1       2.03                 03/24/11

Federal Home Loan Bank of Chicago       X1       2.03                 03/23/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            03/25/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            03/25/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            03/29/11

Federal Home Loan Bank of New York      X1       2.03,9.01            03/23/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            03/23/11

Federal Home Loan Bank of San Francis   X1       2.03                 03/23/11

Federal Home Loan Bank of Seattle                2.03                 03/23/11

Federal Home Loan Bank of Topeka                 2.03,9.01            03/23/11

FIDELITY D & D BANCORP INC              PA       5.02,9.01            03/23/11

FIRST DEFIANCE FINANCIAL CORP           OH       1.01,8.01,9.01       03/23/11

FIRST POTOMAC REALTY TRUST              MD       3.02,8.01            03/25/11

FLATBUSH FEDERAL BANCORP INC                     1.01,9.01            03/28/11

FOOT LOCKER INC                         NY       5.02,9.01            03/23/11

FORTUNE BRANDS INC                      DE       8.01                 03/29/11

FUELCELL ENERGY INC                     DE       5.02,9.01            03/25/11

FUQI INTERNATIONAL, INC.                DE       3.01,7.01,9.01       03/28/11

Fushi Copperweld, Inc.                  NV       4.02                 03/24/11

GAMETECH INTERNATIONAL INC              DE       3.01,9.01            03/23/11

Gaming Partners International CORP      NV       2.02,9.01            03/29/11

GENCO SHIPPING & TRADING LTD                     2.01,9.01            03/29/11

GENERAL EMPLOYMENT ENTERPRISES INC      IL       5.07                 03/24/11

GENESCO INC                             TN       7.01                 03/29/11

GENSPERA INC                            DE       7.01                 03/28/11

GENWORTH FINANCIAL INC                  DE       2.02,9.01            03/29/11

Global Aviation Holdings Inc.           DE       1.01,2.03,3.03,7.01, 03/29/11
                                                 9.01
          
Global Cash Access Holdings, Inc.       DE       5.02,9.01            03/29/11

Global Pharm Holdings Group, Inc.       DE       4.02,9.01            03/29/11

GLOBALSCAPE INC                         DE       2.02,9.01            03/29/11

Great Spirits Inc                                4.01,9.01            02/01/11

Great Wolf Resorts, Inc.                DE       1.01,1.02            03/23/11

Growth Technologies International, In   NV       5.03                 02/15/11

GULFMARK OFFSHORE INC                   DE       7.01,9.01            03/29/11

GULFMARK OFFSHORE INC                   DE       5.02                 03/24/11

H & H Imports, Inc.                     FL       5.02                 03/23/11

HANCOCK HOLDING CO                      MS       8.01,9.01            03/25/11

HEALTHCARE TRUST OF AMERICA, INC.       MD       2.02,9.01            03/29/11

HealthSpring, Inc.                      DE       1.01,9.01            03/24/11

HERITAGE FINANCIAL CORP /WA/            WA       8.01,9.01            03/24/11

HERLEY INDUSTRIES INC /NEW              DE       5.01,5.02            03/25/11

HSW International, Inc.                 DE       2.02,9.01            03/29/11

HUNT J B TRANSPORT SERVICES INC         AR       2.03,9.01            03/28/11

HYPERDYNAMICS CORP                      DE       1.01,9.01            03/25/11

ICAD INC                                DE       2.02,9.01            03/23/11

ICO Global Communications (Holdings)    DE       5.01,9.01            03/23/11

IKANOS COMMUNICATIONS                   CA       1.01,2.03            03/25/11

Imperial Holdings, Inc.                          2.02,9.01            03/29/11

INDUSTRIAL SERVICES OF AMERICA INC /F   FL       2.02,9.01            03/28/11

INSMED INC                              VA       8.01,9.01            03/29/11

INSPIRE PHARMACEUTICALS INC             DE       8.01                 03/29/11

INTEGRAL SYSTEMS INC /MD/               MD       5.02                 03/23/11

INTERNAP NETWORK SERVICES CORP          DE       5.02,5.03,9.01       03/24/11

INTERNATIONAL PAPER CO /NEW/            NY       1.01,8.01,9.01       03/29/11

International Stem Cell CORP                     4.01,9.01            03/25/11

IRVINE SENSORS CORP/DE/                 DE       3.02                 03/22/11

IVANHOE ENERGY INC                               7.01,9.01            03/28/11

IVT SOFTWARE INC                                 1.01,2.01,3.02,5.01, 12/28/10    AMEND
                                                 5.02,5.03,5.06,8.01,
                                                 9.01
  
JABIL CIRCUIT INC                       DE       5.02,7.01,9.01       03/24/11

JACKSONVILLE BANCORP INC /FL/           FL       2.02,9.01            03/29/11

James River Coal CO                     VA       1.01,2.03,9.01       03/23/11

KEYW HOLDING CORP                       MD       8.01                 03/14/11

KLEVER MARKETING INC                    DE       4.01                 03/29/11    AMEND

KNIGHT TRANSPORTATION INC               AZ       4.01,9.01            03/23/11

Koppers Holdings Inc.                   PA       1.01,9.01            03/25/11

KRATOS DEFENSE & SECURITY SOLUTIONS,    DE       1.01,2.01,2.03,9.01  03/25/11

L & L ENERGY, INC.                      NV       9.01                 03/29/11

LANDEC CORP \CA\                        CA       2.02,9.01            03/29/11

LANDMARK LAND CO INC/DE                 DE       5.02                 03/29/11

LENNAR CORP /NEW/                       DE       2.02,9.01            03/29/11

Lightwave Logic, Inc.                   NV       7.01,9.01            03/29/11

Lightyear Network Solutions, Inc.       NV       3.02                 03/28/11

LIVEDEAL INC                            NV       5.02,9.01            03/24/11

LOCAL.COM                               DE       1.02,9.01            03/23/11

LRAD Corp                               DE       8.01                 03/24/11

Macquarie CNL Global Income Trust, In   MD       1.01,2.03,9.01       03/24/11

Magnolia Solar Corp                     NV       2.02,8.01,9.01       03/29/11

MAINLAND RESOURCES INC.                          7.01,9.01            03/29/11

MAM SOFTWARE GROUP, INC.                DE       1.01,3.02,8.01       03/25/11

MARKWEST ENERGY PARTNERS L P                     7.01,9.01            03/29/11

MCCORMICK & CO INC                      MD       2.02,9.01            03/29/11

MCG CAPITAL CORP                        DE       1.02                 03/29/11

MEMC ELECTRONIC MATERIALS INC           DE       8.01,9.01            03/29/11

MEMC ELECTRONIC MATERIALS INC           DE       8.01                 03/29/11

MENTOR GRAPHICS CORP                    OR       8.01,9.01            03/29/11

MID AMERICA APARTMENT COMMUNITIES INC   TN       7.01,9.01            03/29/11

MIDAMERICAN ENERGY CO                   IA       7.01,9.01            03/29/11

MIDAMERICAN ENERGY HOLDINGS CO /NEW/    IA       7.01,9.01            03/29/11

MIDWEST BANC HOLDINGS INC               DE       1.03                 03/24/11

MIMEDX GROUP, INC.                      FL       2.02,9.01            03/28/11

Mount Knowledge Holdings, Inc.          NV       9.01                 03/29/11    AMEND

MS STRUCTURED ASSET CORP CBT SERIES 2   DE       8.01,9.01            03/25/11

Myrexis, Inc.                           DE       2.05,5.02,8.01,9.01  03/17/11

National Automation Services Inc        NV       1.01,9.01            03/25/11

NAUTILUS, INC.                          WA       1.01                 03/23/11

NEAH POWER SYSTEMS, INC.                NV       3.02                 03/09/11

NEW ENERGY SYSTEMS GROUP                NV       2.02,9.01            03/29/11

NEW ENERGY TECHNOLOGIES, INC.                    7.01,9.01            03/29/11

NII HOLDINGS INC                        DE       1.01,2.03,9.01       03/24/11

NORCRAFT COMPANIES LP                            2.02,9.01            03/29/11

NOVADEL PHARMA INC                      DE       2.02,9.01            03/29/11

NYTEX Energy Holdings, Inc.             DE       8.01,9.01            03/29/11

OCCIDENTAL PETROLEUM CORP /DE/          DE       7.01,9.01            03/28/11

ONCURE HOLDINGS INC                              5.02                 03/23/11

OXFORD INDUSTRIES INC                   GA       2.02,9.01            03/29/11

P&F INDUSTRIES INC                      DE       2.02,4.02,9.01       03/28/11

PACIFICORP /OR/                         OR       7.01,9.01            03/29/11

PALMDALE EXECUTIVE HOMES, CORP.         NV       4.01,9.01            03/25/11

PAM TRANSPORTATION SERVICES INC         DE       5.02                 03/23/11

PATHFINDER BANCORP INC                  DE       8.01,9.01            03/24/11

PATRIOT NATIONAL BANCORP INC            CT       2.01,9.01            03/24/11

PENSECO FINANCIAL SERVICES CORP         PA       5.02                 03/25/11

PHARMOS CORP                            NV       5.02                 03/29/11

PHOTRONICS INC                          CT       1.01,2.03,8.01,9.01  03/28/11

PINNACLE AIRLINES CORP                  DE       5.02,9.01            03/24/11

PINNACLE DATA SYSTEMS INC               OH       1.01,1.02,2.03,9.01  03/24/11

PINNACLE ENTERTAINMENT INC.             DE       5.02,8.01,9.01       03/28/11

PIONEER POWER SOLUTIONS, INC.           DE       5.02                 03/24/11

PLAINS EXPLORATION & PRODUCTION CO      DE       1.01,9.01            03/24/11

Portlogic Systems Inc.                  NV       4.01                 12/30/10

PPL Corp                                         1.01,2.03,9.01       03/25/11

Prime Sun Power Inc                     NV       5.03,9.01            03/18/11

PrimeCare Systems, Inc.                 DE       8.01                 03/29/11

PRIMUS TELECOMMUNICATIONS GROUP INC     DE       5.02,8.01,9.01       03/23/11

PURE BIOSCIENCE, INC.                   DE       5.02                 03/25/11

RADIANT SYSTEMS INC                     GA       5.02                 03/23/11

RCLC, INC.                              NJ       7.01,9.01            03/23/11

REALNETWORKS INC                        WA       5.02,9.01            03/28/11

REALTY INCOME CORP                      MD       1.01,2.03            03/25/11

RESPONSE GENETICS INC                            2.02,9.01            03/29/11

REX AMERICAN RESOURCES Corp             DE       2.02,9.01            03/29/11

RF MONOLITHICS INC /DE/                 DE       2.02,9.01            03/29/11

ROME BANCORP INC                        DE       8.01,9.01            03/28/11

RURAL/METRO CORP /DE/                   DE       1.01,3.03,8.01,9.01  03/28/11

RURBAN FINANCIAL CORP                   OH       2.02,2.06            03/29/11

SANUWAVE Health, Inc.                   NV       2.02,9.01            03/28/11

SCOLR Pharma, Inc.                      DE       4.02                 03/24/11

SCOLR Pharma, Inc.                      DE       2.02,9.01            03/29/11

SEALY CORP                              DE       2.02,9.01            03/29/11

Shire plc                                        8.01,9.01            03/29/11

SILVER BUTTE Co.                        NV       1.01,2.01,3.02,5.01, 01/12/11    AMEND
                                                 5.02,5.03,5.06,9.01
       
Silver Dragon Resources Inc.            DE       7.01,9.01            03/29/11

SOLIGENIX, INC.                         DE       2.02,9.01            03/29/11

Somaxon Pharmaceuticals, Inc.           DE       8.01                 03/29/11

SORL Auto Parts Inc                     DE       7.01,9.01            03/29/11

SPECTRUM CONTROL INC                    PA       1.01,2.02,5.02,9.01  03/27/11

SPECTRUM CONTROL INC                    PA       5.02,9.01            03/27/11    AMEND

SRA INTERNATIONAL INC                   DE       5.02,9.01            03/23/11

Stewart & Stevenson LLC                 DE       2.01                 03/24/11

STONEMOR PARTNERS LP                    DE       2.02,9.01            03/29/11

Strategic Storage Trust, Inc.           MD       9.01                 11/23/10    AMEND

Strategic Storage Trust, Inc.           MD       9.01                 12/16/10    AMEND

Summit Hotel Properties, Inc.           MD       1.02,2.04,8.01       03/23/11

SUN HEALTHCARE GROUP INC                DE       7.01,9.01            03/29/11

SUNESIS PHARMACEUTICALS INC             DE       2.02,9.01            03/29/11

Sunstone Hotel Investors, Inc.          MD       2.02,9.01            03/29/11

Sunstone Hotel Investors, Inc.          MD       1.01,9.01            03/29/11

SUNWIN INTERNATIONAL NEUTRACEUTICALS,            7.01,9.01            03/29/11

SUPERTEL HOSPITALITY INC                VA       1.01,9.01            03/29/11

TAYLOR CAPITAL GROUP INC                DE       3.02,5.03,5.07,8.01, 03/25/11
                                                 9.01
          
TC Global, Inc.                                  1.01,5.02,9.01       03/24/11

TENET HEALTHCARE CORP                   NV       8.01                 03/28/11

TENNECO INC                             DE       1.01,2.03,9.01       03/25/11

THOMAS GROUP INC                        DE       5.02,9.01            03/15/11

THOR INDUSTRIES INC                     DE       8.01,9.01            03/25/11

TIBCO SOFTWARE INC                      DE       2.02,9.01            03/29/11

TIME WARNER INC.                        DE       8.01,9.01            03/10/11

TPC Group Inc.                          DE       5.02                 03/28/11

TRANSATLANTIC HOLDINGS INC              DE       5.02,9.01            03/23/11

TRI COUNTY FINANCIAL CORP /MD/          MD       8.01,9.01            03/25/11

Tri-Tech Holding, Inc.                  E9       8.01,9.01            03/29/11

TRICO MARINE SERVICES INC               DE       7.01,9.01            03/29/11

UNICO AMERICAN CORP                     NV       2.02                 03/29/11

United American Petroleum Corp.         NV       7.01,8.01,9.01       03/28/11

United States 12 Month Natural Gas Fu            7.01,9.01            03/29/11

United States 12 Month Oil Fund, LP              7.01,9.01            03/29/11

United States Brent Oil Fund, LP        DE       7.01,9.01            03/29/11

United States Commodity Index Funds T   DE       7.01,9.01            03/29/11

United States Gasoline Fund, LP         DE       7.01,9.01            03/29/11

United States Heating Oil Fund, LP      DE       7.01,9.01            03/29/11

United States Natural Gas Fund, LP               7.01,9.01            03/29/11

United States Oil Fund, LP              DE       7.01,9.01            03/29/11

United States Short Oil Fund, LP        DE       7.01,9.01            03/29/11

UNITIL CORP                             NH       5.02,7.01,9.01       03/24/11

UNIVERSAL HEALTH SERVICES INC           DE       5.02                 03/25/11

UNIWELL ELECTRONIC Corp                          1.02                 03/26/11

Vantage Health                          NV       5.06                 03/29/11    AMEND

Vaughan Foods, Inc.                     OK       1.01,2.03            03/28/11

Verisk Analytics, Inc.                  DE       8.01,9.01            03/29/11

Verisk Analytics, Inc.                  DE       7.01                 03/29/11

VIAD CORP                               DE       5.02,9.01            03/23/11

WABASH NATIONAL CORP /DE                DE       5.02,8.01,9.01       03/28/11

Walker & Dunlop, Inc.                   MD       2.02,9.01            03/29/11

WASHINGTON FEDERAL INC                  WA       5.02,9.01            03/28/11

WELLS CORE OFFICE INCOME REIT INC                2.02,9.01            03/16/11

WELLS FARGO & CO/MN                     DE       8.01                 03/24/11

WELLS FARGO & CO/MN                     DE       9.01                 03/29/11

WELLS REAL ESTATE INVESTMENT TRUST II   MD       8.01,9.01            03/29/11

Western Gas Partners LP                 DE       1.01,1.02,2.03,9.01  03/24/11

WET SEAL INC                            DE       8.01,9.01            03/23/11

WHITE MOUNTAIN TITANIUM CORP            NV       1.01,3.02            03/29/11

Wilber CORP                                      8.01                 03/25/11

Wilber CORP                                      8.01                 03/25/11    AMEND

Willdan Group, Inc.                     DE       2.02,9.01            03/29/11

Willow Creek Enterprises Inc.                    8.01,9.01            03/28/11

WPCS INTERNATIONAL INC                  DE       1.01,9.01            03/28/11

XcelMobility Inc.                       NV       5.03,8.01,9.01       03/29/11

Zalicus Inc.                            DE       8.01,9.01            03/29/11

ZOOM TECHNOLOGIES INC                   DE       2.02,9.01            03/29/11

ZORAN CORP \DE\                         DE       8.01,9.01            03/28/11

 

http://www.sec.gov/news/digest/2011/dig033011.htm


Modified: 03/30/2011