SEC, CFTC Staffs to Host Roundtable to Discuss International Issues Relating to Dodd-Frank Act Title VII Implementation
The staffs of the Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) will hold a joint public roundtable on August 1 from 9 a.m. to 4 p.m. to discuss international issues related to the implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Panelists will be announced at a later date.
The roundtable will be held in the Conference Center at the CFTC’s Headquarters, Three Lafayette Centre, 1155 21st Street NW, Washington, D.C. The discussion will be open to the public with seating on a first-come, first-served basis.
Members of the public also may listen by telephone and should be prepared to provide their first name, last name and affiliation.
U.S. toll free: (866) 844-9416
International toll: (203) 369-5026
A transcript of the public roundtable discussion will be published on the CFTC’s website at http://www.cftc.gov/PressRoom/Events/2011/index.htm and on the SEC’s website at http://www.sec.gov/news/press/2011/2011-151.htm.
Members of the public wishing to submit their views on the topics addressed at the roundtable may do so by:
CFTC: through the CFTC’s Comments Online application.
All submissions provided to the CFTC or SEC in any form may be published on the website of the respective agency, without review and without removal of personal identifying information. (Press Rel. 2011-151)
David Blass Named Chief Counsel in Division of Trading and Markets
The Securities and Exchange Commission today announced that David W. Blass has been named Chief Counsel and Associate Director for the SEC’s Division of Trading and Markets.
The Division’s Office of Chief Counsel provides legal and policy advice to the Commission in establishing rules on matters affecting broker-dealers and the operation of the securities markets. The office also issues interpretations regarding matters arising under the Securities Exchange Act of 1934.
Mr. Blass will begin his new role in September. He currently serves at the SEC as Associate General Counsel for Legal Policy, where he provides advice to the Commission on a wide range of matters, with a particular emphasis on trading and markets, investment management, legislative, and international matters. Mr. Blass previously served as a Branch Chief and Special Counsel in the Division of Trading and Markets, and later headed the Office of Investment Adviser Regulation in the Division of Investment Management.
In private practice, Mr. Blass was Special Counsel in the Asset Management Group at Willkie Farr & Gallagher LLP and previously practiced securities and corporate law at Davis Polk & Wardwell LLP.
“Both at the SEC and in private practice, David has distinguished himself by providing strong leadership and excellent judgment,” said Robert Cook, Director of the Division of Trading and Markets. “His demonstrated ability to analyze complex legal matters and to develop practical solutions will be invaluable to both the Division and the Commission in fulfilling our mission.”
“David will be a great asset to the Division, bringing to the job the breadth of his experience,” said SEC General Counsel Mark Cahn. “While I will miss his wise counsel, I am glad that we will be able to work with him in his new position.”
Mr. Blass said, “It is an honor to have the opportunity to serve as the Division’s Chief Counsel. I look forward to working with a talented and dedicated team of attorneys in the Office of Chief Counsel, as well as all the hard-working professionals throughout the Commission, at a time when our nation's investors and markets face unprecedented change and challenges as well as significant opportunities.”
Mr. Blass, 40, has received a number of awards during his career at the SEC, most recently the SEC’s Law and Policy Award for his efforts on implementation of financial reform legislation and the Chairman’s Award for Excellence for his work as a member of the Commission’s cross-divisional team that analyzed and reported on the events of May 6, 2010.
Mr. Blass earned his JD from Columbia University, where he was a Harlan Fiske Stone Scholar and Executive Editor of the Columbia Journal of Transnational Law. Mr. Blass earned his BA, magna cum laude, from the University of Alabama, where he was Phi Beta Kappa. (Press Rel. 2011-152)
Former Galleon Trader Michael Cardillo Settles SEC Insider Trading Charges
The Securities and Exchange Commission announced today that on July 18, 2011, the Honorable Richard J. Sullivan of the United States District Court for the Southern District of New York entered a judgment against Michael Cardillo in SEC v. Michael Cardillo, 11-CV-0549, an insider trading case the SEC filed on January 26, 2011. The SEC charged Cardillo, who was a trader at the hedge fund investment adviser Galleon Management, LP during the relevant time period, with using inside information to trade ahead of the September 2007 announced acquisition of 3Com Corp. and the November 2007 announced acquisition of Axcan Pharma Inc.
In its complaint, the SEC alleged that Arthur Cutillo and Brien Santarlas, two former attorneys with the international law firm of Ropes & Gray LLP, misappropriated from their law firm material, nonpublic information concerning the acquisitions of 3Com and Axcan, and tipped the inside information, through another attorney, to Zvi Goffer, a former proprietary trader at Schottenfeld Group LLC, in exchange for kickbacks. The SEC further alleged that Goffer tipped information about these acquisitions to Craig Drimal, a trader who worked out of the offices of Galleon, who tipped the information to Cardillo. As alleged in the complaint, Cardillo then traded in the securities of 3Com and Axcan on behalf of a Galleon hedge fund.
To settle the SEC’s charges, Cardillo consented to the entry of a judgment that: (i) permanently enjoins him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and (ii) orders him to pay disgorgement of $58,520 plus $9,523 in prejudgment interest, and a civil penalty of $29,260. In a related SEC administrative proceeding, Cardillo consented to the entry of an SEC order barring him from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent. Cardillo previously pled guilty to charges of securities fraud and conspiracy to commit securities fraud in a related criminal case, United States v. Michael Cardillo, 11-CR-0078 (S.D.N.Y.), and is awaiting sentencing. [SEC v. Michael Cardillo, Civil Action No. 11-CV-0549 (S.D.N.Y.) (RJS)] (LR-22051); (Administrative Proceeding - Rel. IA-3249; File No. 3-14479)
In the Matter of John N. Irwin (CPA)
On July 21, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against John N. Irwin (Irwin), a certified public accountant licensed to practice in the Commonwealth of Pennsylvania. The Order finds that on July 12, 2011, a Judgment was entered against Irwin permanently enjoining him from future violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, and granting other relief, in a civil action filed by the Commission in the United States District Court for the Eastern District of Pennsylvania. The Order also finds that the Complaint filed in that civil action alleged that Irwin made materially false and misleading statements to investors in connection with a Ponzi scheme orchestrated by Joseph Forte (Forte) who, from 1995 through 2008, operated the scheme through Forte, LP (the Fund), a limited partnership he established with Irwin’s assistance. Forte’s Ponzi scheme ended in January 2009 following the Commission’s filing of an emergency action charging Forte and the Fund with fraudulently raising over $50 million from approximately 80 investors. The Commission’s Complaint alleged that, in connection with the scheme, Irwin made materially false and misleading statements to investors about, among other things, the Fund’s current value and growth, historical positive performance, and trading strategy. In addition, the Complaint alleged that Irwin failed to disclose to investors that he was receiving a percentage of Forte’s fees as compensation for helping to establish the Fund.
Based on the above, the Order suspends Irwin from appearing or practicing before the Commission as an accountant. Irwin consented to the entry of the Order without admitting or denying the findings.
For further information, please see Litigation Release Number 22033. (Rel. 34-64941; AAE Rel. 3305; File No. 3-14480)
In the Matter of Glenn R. Harris
On July 21, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Glenn R. Harris (Harris). The Order finds that from August 18, 2004 through December 31, 2008, Harris was a registered representative at Advanced Planning Securities, Inc., a broker-dealer that was registered with the Commission from at least June 1, 2004 until December 31, 2008. The Order further finds that on July 12, 2011, a final judgment was entered by consent against Harris, permanently enjoining him from violating Sections 5(a) and 5(c) of the Securities Act of 1933 in the civil action entitled SEC v. Charles C. Slowey et al., Civil Action Number 09 Civ. 4547 (LDW) (ETB), in the United States District Court for the Eastern District of New York.
The Order finds that the Commission’s complaint in that action alleges that, from approximately March 2004 through August 2006, Harris offered and sold securities for which there was no registration statement in effect and for which no exemption from the registration requirements applied.
The Order bars Harris from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating agency, and from participating in any offering of a penny stock, with the right to apply for reentry after eighteen months to the appropriate self-regulatory organization, or if there is none, to the Commission. Harris consented to the issuance of the Order without admitting or denying any of the findings in the Order, except admitted to the Commission’s jurisdiction over him and the entry of the injunction. (Rel. 34-64942; File No. 3-14481)
In the Matter of Benjamin W. Young, Jr.
On July 21, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities and Exchange Act of 1934 and Notice of Hearing against Benjamin W. Young, Jr.
The Order finds that on July 5, 2011, a final judgment was entered by consent against Young in Securities and Exchange Commission v. Navigators International Management Co. Ltd., et al., Civil Action Number H-07-4518, in the United States District Court for the Southern District of Texas, Houston Division. The judgment permanently enjoined Young from future violations of 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 Commission’s complaint alleged that from at least January 2005 through sometime in 2007, Young and Navigators International Management Co., Ltd., engaged in three unregistered offerings of securities that did not meet registration exemptions. The complaint also alleged that Young acted as an unregistered broker-dealer, that he disseminated materially false and misleading information to attract investors and to facilitate the offerings, and that he engaged in transactions, practices, and courses of business which operated as a fraud or deceit upon the purchasers of securities.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, to provide Young an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-64943; File No. 3-14482)
In the Matter of Patricia Diane Gruber
On July 21, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Patricia Diane Gruber (Gruber). The Order finds that Gruber was the managing member of Elite Resources LLC (Elite) and the director of Elite3 Holding Corp (Elite3). Gruber acted as unregistered broker-dealer by representing to investors that they could acquire bank guarantees in exchange for a percentage of the face value of the guarantee or for a fee. On June 23, 2011, a judgment was entered by consent against Gruber, permanently enjoining her from future violations of Sections 5(a) and (c) and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder, in the civil action entitled Securities and Exchange Commission v. Elite Resources, et al., Civil Action Number 1:10-CV-3522, in the United States District Court for the Northern District of Georgia.
The Order finds that the Commission’s complaint alleged the following facts: From at least April 8, 2010 through at least August 20, 2010, Gruber, along with her co-defendant Kadar M. Josey, and the companies they operated, Elite and Elite3, raised approximately $2.85 million from at least nine investors. In raising these funds, the defendants represented that investors could draw upon bank issued guarantees worth millions of dollars, in one case representing a 40,000% return on investment, without having to repay the withdrawn funds. The defendants further represented that investor funds would be held in escrow until the bank guarantees were issued. Both of these representations were false in that no such bank guarantees existed and that defendants used almost all of the funds for several undisclosed purposes immediately upon receipt. When investors demanded performance, the defendants provided them with a fictitious guarantee certificate purportedly issued by Barclays Bank.
Based on the above, the Order bars Gruber from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Gruber consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-64944; File No. 3-14483
Northern Lights Variable Trust, et al.
A notice has been issued giving interested persons until August 15, 2011 to request a hearing on an application filed by Northern Lights Variable Trust (Fund) and Gemini Fund Services, LLC (Gemini) (collectively, Applicants). Applicants request an order pursuant to Section 6(c) of the Investment Company Act, as amended (1940 Act) exempting separate accounts of life insurance companies supporting variable annuity contracts and variable life insurance contracts that may invest in shares of the Fund and shares of an Insurance Fund (as defined below), from the provisions Sections 9(a), 13(a), 15(a) and 15(b) of the 1940 Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder, in situations where such shares are sold to and held by one or more of the following types of investors: (i) separate accounts registered as investment companies or separate accounts that are not registered as investment companies under the 1940 Act pursuant to exemptions from registration under Section 3(c) of the 1940 Act that fund variable annuity contracts (VA Accounts) and variable life insurance contracts (VLI Accounts) (VA Accounts and VLI Accounts together, “Separate Accounts”) issued by both affiliated life insurance companies and unaffiliated life insurance companies; (ii) trustees of qualified group pension and group retirement plans outside of the Separate Account context; (iii) investment adviser(s) or affiliated person(s) of the investment adviser(s) to a series of an Insurance Fund, for the purpose of providing seed capital to a series of an Insurance Fund; and (iv) general accounts of insurance company depositors of VA Accounts and/or VLI Accounts. An Insurance Fund is any future investment company that is designed to fund VA Accounts and/or VLI Accounts and for which Gemini or any of its affiliates may serve in the future as investment adviser, sub-adviser, manager, administrator, principal underwriter or sponsor. (Rel. IC-29729 – July 19)
Orders of Deregistration Under the Investment Company Act
Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company:
A proposed rule change filed by the Chicago Board Options Exchange (SR-CBOE-2011-065) to increase the position and exercise limits for options on the Standard & Poor’s depository receipts 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 July 18. (Rel. 34-64928)
A proposed rule change (SR-C2-2011-015) filed by the C2 Options Exchange to extend a pilot program related to the Exchange’s Automated Improvement Mechanism has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 18. (Rel. 34-64929)
A proposed rule change (SR-CBOE-2011-066) filed by the Chicago Board Options Exchange to extend two pilot programs related to the Exchange’s Automated Improvement Mechanism has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 18. (Rel. 34-64930)
A proposed rule change (SR-ISE-2011-41) filed by the International Securities Exchange relating to the extension of the Price Improvement Mechanism pilot program has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 18. (Rel. 34-64931)
A proposed rule change filed by NASDAQ OMX BX to renumber Rule 5230 (SR-BX-2011-047) 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 July 18. (Rel. 34-64933)
A proposed rule change, filed by NASDAQ OMX PHLX relating to a service fee on QCC Orders and Floor QCC Orders (SR-Phlx-2011-93) 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 July 18. (Rel. 34-64938)
Proposed Rule Changes
The Financial Industry Regulatory Authority filed a proposed rule change (SR-FINRA-2011-031) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 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 July 18. (Rel. 34-64934)
Chicago Stock Exchange filed a proposed rule change (SR-CHX-2011-17) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 regarding the submission by the Exchange of clearing-related information for trades executed on the Exchange as well as for trades executed otherwise than on the Exchange. Publication is expected in the Federal Register during the week of July 18. (Rel. 34-64937)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 ADVANTEST CORP, SHIN-MARUNOUCHI CENTER BUILDING, 1-6-2 MARUNOUCHI,, CHIYODA-KU, TOKYO 100-0005, M0, 00000, 81-3-3214-7500 - 1,014,000 ($19,499,220.00) Equity, (File 333-175666 - Jul. 20) (BR. 10A) S-1 PLESK CORP, 4014 14TH AVENUE, BROOKLYN, NY, 11218, 845 738 1142 - 2,000,000 ($100,000.00) Equity, (File 333-175667 - Jul. 20) (BR. ) S-4 VIRGIN MEDIA INC., 909 THIRD AVENUE, SUITE 2863, NEW YORK, NY, 10022, (212) 906-8440 - 0 ($1,541,950,000.00) Non-Convertible Debt, (File 333-175668 - Jul. 20) (BR. 11C) S-1 Cornerstone OnDemand Inc, 1601 CLOVERFIELD BLVD, SUITE 620, SANTA MONICA, CA, 90404, 310-752-0200 - 0 ($171,649,000.00) Equity, (File 333-175669 - Jul. 20) (BR. 03A) S-1 Apps Genius Corp, 157 BROAD STREET SUITE 109-C, RED BANK, NJ, 07771, 732-741-2840 - 0 ($5,000,000.00) Equity, (File 333-175673 - Jul. 20) (BR. 03C) S-8 AIRGAS INC, 259 N. RADNOR-CHESTER ROAD, SUITE 100, RADNOR, PA, 19087, 6106875253 - 0 ($138,060,000.00) Equity, (File 333-175676 - Jul. 20) (BR. 06C) S-8 PVF CAPITAL CORP, 30000 AURORA ROAD, SOLON, OH, 44139, 4402487171 - 500,000 ($862,500.00) Equity, (File 333-175677 - Jul. 20) (BR. 07A) S-1 BNP Paribas Exchange Traded Trust, C/O BNP PARIBAS QUANTITATIVE STRATEGIES, LLC, 787 SEVENTH AVENUE, NEW YORK, NY, 10019, 212-841-2000 - 0 ($625,000,000.01) Equity, (File 333-175678 - Jul. 20) (BR. 08A) S-8 PPL Corp, TWO N NINTH ST, ALLENTOWN, PA, 18101-1179, 610-774-5151 - 250,000 ($6,872,500.00) Equity, (File 333-175680 - Jul. 20) (BR. 02B) S-8 J P MORGAN CHASE & CO, 270 PARK AVE, 38TH FL, NEW YORK, NY, 10017, 2122706000 - 0 ($9,693,600,000.00) Equity, (File 333-175681 - Jul. 20) (BR. 07B) S-3 INUVO, INC., 15550 LIGHTWAVE DRIVE, THIRD FLOOR, CLEARWATER, FL, 33761, 727-324-0046 - 450,000 ($900,000.00) Equity, (File 333-175682 - Jul. 20) (BR. 11C) S-3 Gas Natural Inc., 1 FIRST AVE SOUTH, PO BOX 2229, GREAT FALLS, MT, 59401, 4067917500 - 800,000 ($9,336,000.00) Equity, (File 333-175683 - Jul. 20) (BR. 02B)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 8X8 INC /DE/ DE 2.02,9.01 07/20/11 ABBOTT LABORATORIES IL 2.02,9.01 07/20/11 ABSOLUTE LIFE SOLUTIONS, INC. NV 8.01,9.01 07/19/11 ACCESS NATIONAL CORP VA 2.02,7.01,9.01 07/20/11 Addus HomeCare Corp DE 1.01,5.02,9.01 07/18/11 ADEONA PHARMACEUTICALS, INC. DE 5.07 07/19/11 AE BIOFUELS, INC. NV 5.02 07/14/11 ALASKA PACIFIC BANCSHARES INC AK 8.01 07/15/11 ALIMERA SCIENCES INC DE 1.01 05/16/11 AMEND ALION SCIENCE & TECHNOLOGY CORP DE 5.02 07/20/11 Alliance Bancorp, Inc. of Pennsylvani PA 5.02,5.07,9.01 07/20/11 Allied World Assurance Co Holdings, A 8.01,9.01 07/19/11 Alliqua, Inc. FL 1.01,7.01,9.01 07/15/11 ALLOS THERAPEUTICS INC DE 2.02,8.01,9.01 07/19/11 ALTERA CORP DE 2.02,9.01 07/20/11 AMEND ALTRIA GROUP, INC. VA 2.02,9.01 07/20/11 AMAG PHARMACEUTICALS INC. DE 2.02,8.01,9.01 07/19/11 AMBIENT CORP /NY DE 2.02,8.01,9.01 07/18/11 AMERCO /NV/ NV 8.01,9.01 06/28/11 AMEREN CORP MO 2.06,8.01 07/13/11 AMEND AMERICA WEST RESOURCES, INC. NV 1.01,3.02,9.01 07/20/11 AMERICAN AIRLINES INC DE 2.02,8.01,9.01 07/20/11 AMERICAN CRYSTAL SUGAR CO /MN/ MN 5.02 07/15/11 AMERICAN EXPRESS CO NY 2.02,7.01 07/20/11 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01,8.01,9.01 07/14/11 AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,9.01 06/29/11 AMEND American Realty Capital Trust, Inc. DE 8.01 07/20/11 AMERICANWEST BANCORPORATION WA 7.01,9.01 07/15/11 AMPHENOL CORP /DE/ DE 2.02,9.01 07/20/11 AMR CORP DE 2.02,8.01,9.01 07/20/11 AMYRIS, INC. DE 5.07 05/24/11 AMEND ANGEION CORP/MN MN 5.02,9.01 07/14/11 ANGIOTECH PHARMACEUTICALS INC 1.01,9.01 07/14/11 ANN INC. DE 5.02,9.01 07/20/11 Apple REIT Ten, Inc. VA 9.01 06/02/11 AMEND Apple REIT Ten, Inc. VA 9.01 06/08/11 AMEND ASPEN TECHNOLOGY INC /DE/ DE 5.02,9.01 07/14/11 Atlas Therapeutics Corp NV 5.02 07/14/11 ATMI INC DE 2.02,9.01 07/20/11 Attitude Drinks Inc. DE 1.01,3.02,9.01 07/15/11 Augme Technologies, Inc. DE 1.01,8.01,9.01 07/20/11 AVIAT NETWORKS, INC. DE 2.02,5.02,9.01 07/18/11 BADGER METER INC WI 2.02,9.01 07/20/11 BANCFIRST CORP /OK/ OK 2.02,9.01 07/19/11 BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 07/20/11 BANK OF THE OZARKS INC AR 8.01,9.01 07/19/11 Birmingham Bloomfield Bancshares MI 5.02 07/18/11 BlackRock Inc. DE 2.02,9.01 07/20/11 Blue Wolf Mongolia Holdings Corp. D8 1.01,3.02,5.03,9.01 07/14/11 Bonds.com Group, Inc. DE 3.02,5.02 07/20/11 BORDERS GROUP INC MI 1.01,7.01,9.01 07/13/11 BRAINSTORM CELL THERAPEUTICS INC 8.01,9.01 07/18/11 CA, INC. DE 2.02,2.05,9.01 07/20/11 CANTERBURY PARK HOLDING CORP MN 8.01,9.01 07/20/11 Capitol Federal Financial Inc MD 7.01,9.01 07/20/11 Capstone Therapeutics Corp. DE 3.01 07/19/11 CARDINAL BANKSHARES CORP VA 5.02,9.01 07/20/11 CARDINAL FINANCIAL CORP VA 2.02,8.01,9.01 07/20/11 CASCADE MICROTECH INC 5.02,9.01 07/15/11 CATHAY GENERAL BANCORP DE 2.02,9.01 07/20/11 CH2M HILL COMPANIES LTD OR 9.01 07/01/11 AMEND CHEESECAKE FACTORY INC DE 2.02,9.01 07/20/11 Cheniere Energy Partners, L.P. DE 8.01,9.01 07/20/11 CHINA FUND INC MD 7.01,9.01 06/30/11 CHINA GENGSHENG MINERALS, INC. NV 5.02 07/20/11 CHINA SECURITY & SURVEILLANCE TECHNOL DE 8.01,9.01 07/20/11 CIFC Deerfield Corp. DE 5.03,8.01,9.01 07/19/11 Citi Trends Inc 8.01,9.01 07/20/11 CLOROX CO /DE/ DE 8.01,9.01 07/20/11 CLOROX CO /DE/ DE 1.01,3.03,5.03,8.01, 07/18/11 AMEND 9.01 Cogo Group, Inc. MD 1.01,2.03,9.01 07/15/11 COHEN & STEERS INC 2.02,9.01 07/20/11 COLUMBIA LABORATORIES INC DE 5.03,9.01 07/20/11 COLUMBUS MCKINNON CORP NY 1.01,9.01 07/15/11 COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 07/19/11 COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,9.01 06/30/11 CONSOLIDATED GRAPHICS INC /TX/ TX 5.02,7.01,9.01 07/19/11 Consorteum Holdings, Inc. NV 1.01,3.02,5.02,9.01 06/06/11 CORE LABORATORIES N V P7 2.02,9.01 07/20/11 CORGENIX MEDICAL CORP/CO NV 1.01,9.01 07/14/11 Cornerstone OnDemand Inc DE 1.01 05/26/11 COVANTA HOLDING CORP DE 2.02,7.01,9.01 07/20/11 CROSS A T CO RI 2.02 07/20/11 Cullen Agricultural Holding Corp DE 8.01 01/18/11 AMEND CVR ENERGY INC DE 5.03 07/14/11 CVR PARTNERS, LP DE 5.02,7.01,9.01 07/14/11 Cyalume Technologies Holdings, Inc. DE 8.01 07/18/11 Cypress Sharpridge Investments, Inc. MD 2.02,9.01 07/20/11 CYTOMEDIX INC DE 1.01,2.03,3.02,7.01, 07/15/11 9.01 DATALINK CORP MN 2.02,9.01 07/20/11 DEARBORN BANCORP INC /MI/ MI 2.02,9.01 07/19/11 DEFENSE INDUSTRIES INTERNATIONAL INC 1.01,2.01 07/14/11 DELCATH SYSTEMS INC DE 8.01,9.01 07/20/11 DELL INC DE 5.07 07/15/11 Deyu Agriculture Corp. NV 1.01,9.01 07/18/11 DIMECO INC PA 2.02,9.01 07/20/11 Discover Card Execution Note Trust DE 8.01 07/18/11 DISCOVER CARD MASTER TRUST I DE 8.01 07/18/11 DPL INC OH 8.01,9.01 07/20/11 Dresser-Rand Group Inc. DE 9.01 05/04/11 AMEND DREW INDUSTRIES INC DE 8.01,9.01 07/20/11 Duke Mountain Resources, Inc NV 5.02 07/20/11 DYAX CORP DE 1.01 07/14/11 DYNAVAX TECHNOLOGIES CORP DE 2.02,8.01,9.01 07/20/11 E TRADE FINANCIAL CORP DE 2.02,9.01 07/20/11 Eagle Ford Oil & Gas Corp NV 5.02 07/20/11 EARTHLINK INC DE 5.02,9.01 07/20/11 EAST WEST BANCORP INC 2.02,9.01 07/20/11 EASTMAN KODAK CO NJ 8.01,9.01 07/20/11 EASYLINK SERVICES INTERNATIONAL CORP DE 7.01,9.01 07/20/11 EBAY INC DE 2.02,9.01 07/20/11 ECOLAB INC DE 1.01,2.02,8.01,9.01 07/19/11 ELECTRONIC ARTS INC. DE 1.01,2.03,3.02,7.01, 07/14/11 9.01 EMC CORP MA 2.02,9.01 07/20/11 EMC INSURANCE GROUP INC IA 7.01,9.01 07/20/11 ENERGY KING, INC. 1.01,3.02,5.02,9.01 07/19/11 Energy Transfer Equity, L.P. DE 1.01,9.01 07/19/11 Energy Transfer Partners, L.P. DE 1.01,3.02,9.01 07/19/11 ENERTECK CORP DE 1.01,9.01 07/15/11 ESB FINANCIAL CORP PA 2.02,9.01 07/19/11 EWaste Systems, Inc. NV 5.02,9.01 07/20/11 EXPONENT INC DE 2.02,9.01 07/20/11 F5 NETWORKS INC WA 2.02,9.01 07/20/11 F5 NETWORKS INC WA 5.07 07/15/11 AMEND First Advantage Bancorp 8.01,9.01 07/20/11 First Bancorp, Inc /ME/ ME 2.02 06/30/11 FIRST CASH FINANCIAL SERVICES INC DE 2.02,9.01 07/20/11 FIRST M&F CORP/MS MS 2.02,7.01,9.01 07/20/11 FIRSTFED FINANCIAL CORP DE 8.01,9.01 07/15/11 FORWARD AIR CORP TN 2.02,9.01 07/20/11 Freescale Semiconductor Holdings I, L D0 2.02,9.01 07/20/11 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 07/20/11 Genesis Biopharma, Inc NV 5.02,9.01 07/18/11 GENESIS ENERGY LP DE 1.01,8.01,9.01 07/15/11 GENTOR RESOURCES, INC. FL 7.01,9.01 07/19/11 GENWORTH FINANCIAL INC DE 2.02,9.01 07/20/11 GOLDMAN SACHS GROUP INC DE 9.01 07/20/11 Golub Capital BDC, Inc. DE 2.02,9.01 07/20/11 Great Wolf Resorts, Inc. DE 1.01 07/15/11 Gryphon Resources, Inc. NV 5.02 07/20/11 GSP-2, INC. NV 5.02,9.01 07/15/11 Guaranty Bancorp DE 5.02,9.01 07/14/11 GUIDED THERAPEUTICS INC DE 7.01,9.01 07/20/11 GULFMARK OFFSHORE INC DE 7.01,9.01 07/18/11 HALF ROBERT INTERNATIONAL INC /DE/ DE 2.02,8.01,9.01 07/20/11 Hanesbrands Inc. MD 2.02,7.01,9.01 07/20/11 HARRIS INTERACTIVE INC DE 2.05 07/18/11 Hartman Short Term Income Properties MD 1.03 07/20/11 HAYNES INTERNATIONAL INC DE 1.01,2.03,9.01 07/14/11 HEMISPHERX BIOPHARMA INC DE 5.02 07/15/11 HOST HOTELS & RESORTS, INC. MD 2.02,9.01 07/20/11 HQ Global Education Inc. DE 1.01,9.01 07/13/11 HUDSON CITY BANCORP INC DE 2.02,9.01 07/20/11 ICAGEN INC DE 1.01,3.03,8.01,9.01 07/20/11 ICU MEDICAL INC/DE DE 5.07 05/13/11 AMEND IGI LABORATORIES, INC DE 5.02,9.01 07/14/11 iMetrik M2M Solutions Inc. NV 5.02,7.01,9.01 07/19/11 IMPAC MORTGAGE HOLDINGS INC MD 5.07 07/19/11 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 8.01,9.01 07/20/11 INTEL CORP DE 2.02 07/20/11 Intervia Inc. 3.02 07/14/11 IPARTY CORP DE 2.02,9.01 07/20/11 Iron Eagle Group, Inc. DE 1.01,5.02,8.01,9.01 05/19/11 ITRONICS INC TX 2.02 07/14/11 JOHNSON CONTROLS INC WI 2.02,7.01,9.01 07/20/11 K SWISS INC DE 5.07 06/01/11 KINDER MORGAN ENERGY PARTNERS L P DE 7.01,9.01 07/20/11 KINDER MORGAN, INC. DE 7.01,9.01 07/20/11 KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 07/20/11 KRONOS WORLDWIDE INC 7.01,9.01 07/20/11 LAKELAND FINANCIAL CORP IN 8.01,9.01 07/19/11 LaSalle Hotel Properties MD 2.02,9.01 07/20/11 Liberty Gold Corp. DE 1.01,1.02,9.01 07/13/11 Lightyear Network Solutions, Inc. NV 5.07 07/19/11 LINDSAY CORP DE 5.02 07/14/11 LIVEDEAL INC NV 8.01 07/19/11 LOCAL.COM DE 5.07,9.01 07/20/11 LORAL SPACE & COMMUNICATIONS INC. DE 5.02,9.01 07/14/11 LTC PROPERTIES INC MD 2.03,9.01 07/20/11 M&T BANK CORP NY 2.02,9.01 07/20/11 Man AHL FuturesAccess LLC DE 3.02 07/15/11 MANHATTAN ASSOCIATES INC GA 5.02 07/14/11 MARKWEST ENERGY PARTNERS L P 7.01,9.01 07/20/11 Massive Dynamics, Inc. NV 5.03,9.01 07/09/11 MCMORAN EXPLORATION CO /DE/ DE 2.02,5.02,9.01 07/19/11 Medefile International, Inc. NV 1.01,9.01 07/06/11 MEDIA GENERAL INC VA 2.02,9.01 07/20/11 MEDTOX SCIENTIFIC INC DE 2.02,9.01 07/14/11 Mellanox Technologies, Ltd. L3 2.02,9.01 07/20/11 MERCEDES-BENZ AUTO RECEIVABLES TRUST DE 8.01,9.01 07/18/11 MERCEDES-BENZ AUTO RECEIVABLES TRUST DE 8.01,9.01 07/20/11 MICROSEMI CORP DE 8.01,9.01 07/20/11 MIDAMERICAN ENERGY CO IA 8.01 07/20/11 Midas Medici Group Holdings, Inc. 1.01,7.01,9.01 07/15/11 MIDDLEBURG FINANCIAL CORP VA 5.02,9.01 07/18/11 MKS INSTRUMENTS INC MA 2.02,9.01 07/20/11 ML Aspect FuturesAccess LLC DE 3.02 07/15/11 ML Systematic Momentum FuturesAccess DE 3.02 07/15/11 ML Winton FuturesAccess LLC DE 3.02 07/15/11 Moggle, Inc. DE 1.02,9.01 07/15/11 MORGAN STANLEY DE 5.02,5.03,9.01 07/20/11 MRV COMMUNICATIONS INC DE 5.02 07/18/11 MSB FINANCIAL CORP. X1 5.02 07/18/11 Nalco Holding CO 2.02,8.01,9.01 07/20/11 Nalco Holding CO 2.02,9.01 07/20/11 NASB FINANCIAL INC MO 2.02,9.01 03/31/11 NATIONAL FUEL GAS CO NJ 5.07 03/10/11 AMEND NAVISTAR INTERNATIONAL CORP DE 1.01,9.01 07/19/11 NEOGENOMICS INC NV 5.05 07/14/11 NeoStem, Inc. DE 1.01,8.01,9.01 07/19/11 NET TALK.COM, INC. FL 3.02 07/20/11 AMEND NEW ENERGY TECHNOLOGIES, INC. 1.01,7.01,9.01 07/05/11 AMEND NEW FRONTIER ENERGY INC CO 7.01 07/20/11 Noble Corp / Switzerland V8 2.02,9.01 07/20/11 NORDSON CORP OH 1.01,9.01 07/15/11 North Horizon, Inc. NV 1.01,9.01 07/14/11 NORTHERN TRUST CORP DE 2.02,9.01 07/20/11 Nova Lifestyle, Inc. NV 7.01,9.01 07/20/11 NUTRACEA CA 5.02,8.01,9.01 07/15/11 NVE CORP /NEW/ MN 2.02 07/20/11 Omega Flex, Inc. PA 2.02,7.01,9.01 07/20/11 OMEGA HEALTHCARE INVESTORS INC MD 5.07 07/20/11 AMEND OPTI INC CA 8.01 07/19/11 OPTICAL CABLE CORP VA 8.01,9.01 07/15/11 ORIGINOIL INC NV 5.03,9.01 07/19/11 Orsus Xelent Technologies Inc DE 3.01,8.01,9.01 07/14/11 PARKERVISION INC FL 8.01,9.01 07/20/11 PAYCHEX INC DE 5.02 07/18/11 PENN NATIONAL GAMING INC PA 1.01,1.02,2.03,8.01, 07/14/11 9.01 Peoples Federal Bancshares, Inc. MD 8.01,9.01 07/20/11 PEPSICO INC NC 5.02,5.03,8.01,9.01 07/14/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01,9.01 07/15/11 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 07/19/11 PETMED EXPRESS INC FL 8.01,9.01 07/18/11 PETROHAWK ENERGY CORP DE 1.01,5.02,8.01,9.01 07/14/11 PHARMATHENE, INC DE 5.02 07/14/11 PHH CORP MD 1.01,9.01 07/14/11 PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 07/19/11 PIPER JAFFRAY COMPANIES DE 2.02,9.01 07/20/11 PLEXUS CORP WI 2.02 07/20/11 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 07/20/11 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 07/20/11 POPULAR INC 5.02 07/20/11 POPULAR INC 7.01,9.01 07/20/11 POPULAR INC 2.02,9.01 07/20/11 PRINCETON REVIEW INC DE 1.01,7.01,9.01 07/18/11 PROCERA NETWORKS INC NV 2.02,9.01 07/20/11 PROSPECT GLOBAL RESOURCES INC. NV 5.03,9.01 07/14/11 Public Storage MD 1.01,3.03,5.03,9.01 07/19/11 PULASKI FINANCIAL CORP MO 2.02,9.01 07/19/11 QKL Stores Inc. DE 4.01,8.01,9.01 07/08/11 AMEND QUALCOMM INC/DE DE 2.02,9.01 07/20/11 QUANTUM SOLAR POWER CORP. 1.01,9.01 07/18/11 QUEPASA CORP NV 1.01,8.01,9.01 07/19/11 QUEPASA CORP NV 7.01,9.01 07/20/11 QUEST DIAGNOSTICS INC DE 2.02,2.05,9.01 07/20/11 Radius Health, Inc. DE 1.01,2.01,3.02,4.01, 05/17/11 AMEND 5.01,5.02,5.06,9.01 RAMTRON INTERNATIONAL CORP DE 2.02,9.01 07/20/11 RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 07/20/11 RED MOUNTAIN RESOURCES, INC. FL 8.01 07/08/11 REGAL BELOIT CORP WI 1.01,2.03,9.01 07/18/11 Reliance Bancshares, Inc. MO 1.01 07/14/11 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 07/20/11 ROWAN COMPANIES INC DE 1.01,7.01,9.01 07/19/11 Ruby Creek Resources, Inc. NV 5.02,9.01 07/15/11 RUDOLPH TECHNOLOGIES INC DE 8.01,9.01 07/20/11 S Y BANCORP INC KY 2.02,9.01 07/20/11 SABA SOFTWARE INC DE 2.02,9.01 07/20/11 SARATOGA RESOURCES INC /TX TX 7.01,9.01 07/18/11 SEACHANGE INTERNATIONAL INC DE 1.01,5.02,5.07,9.01 07/20/11 Seagate Technology plc L2 2.02,9.01 07/20/11 SELECT COMFORT CORP MN 2.02,9.01 07/20/11 Selga Inc NV 1.01,9.01 07/11/11 Sensata Technologies Holding N.V. P7 2.02,9.01 07/20/11 SGreenTech Group Ltd DE 3.02,5.01,5.02,5.03 07/15/11 SHARPROCK RESOURCES INC. NV 5.03,9.01 07/20/11 Shrink Nanotechnologies, Inc. DE 1.02,7.01,9.01 07/20/11 Sino-Global Shipping America, Ltd. VA 8.01,9.01 07/20/11 Skinny Nutritional Corp. NV 1.01,3.02 07/14/11 SLM CORP DE 2.02,9.01 07/20/11 SLM Student Loan Trust 2005-5 8.01 07/20/11 SLM Student Loan Trust 2005-8 8.01 07/20/11 SmartMetric, Inc. 8.01 07/19/11 SMG Indium Resources Ltd. DE 8.01 07/20/11 SMSA Treemont Acquisition Corp NV 1.01,2.01,3.02,4.01, 05/13/11 AMEND 5.01,5.02,5.06,9.01 SOUTHERN UNION CO DE 1.01,8.01,9.01 07/19/11 SPARTAN STORES INC MI 1.01,9.01 07/19/11 Spirit AeroSystems Holdings, Inc. DE 8.01 07/20/11 SRA INTERNATIONAL INC DE 7.01,9.01 07/20/11 ST JUDE MEDICAL INC MN 2.02,9.01 07/20/11 STANLEY FURNITURE CO INC. DE 2.02,9.01 07/20/11 STATE BANCORP INC NY 2.02,9.01 07/20/11 STEEL DYNAMICS INC IN 2.02,9.01 07/18/11 STERLING BANCORP NY 7.01,9.01 07/19/11 Sugarmade, Inc. DE 4.01,9.01 07/20/11 SUPERGEN INC DE 2.01,3.02,5.02,5.03, 07/20/11 9.01 SUPERMEDIA INC. DE 7.01,9.01 07/20/11 SYNCHRONOSS TECHNOLOGIES INC 5.02 07/15/11 TAIWAN FUND INC DE 7.01,9.01 06/30/11 TE Connectivity Ltd. V8 2.02,7.01,9.01 07/20/11 TEREX CORP DE 2.02,7.01,9.01 07/20/11 TESLA MOTORS INC DE 1.01 07/15/11 TESSCO TECHNOLOGIES INC DE 2.02,9.01 07/19/11 TETRA TECH INC DE 5.02,9.01 07/15/11 TEXTRON INC DE 2.02,9.01 07/20/11 THERMOENERGY CORP DE 1.01 07/12/11 THT Heat Transfer Technology, Inc. NV 5.07 07/20/11 TIDEWATER INC DE 7.01,9.01 07/14/11 TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 07/20/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 07/19/11 TransMontaigne Partners L.P. DE 8.01,9.01 07/19/11 Transocean Ltd. V8 5.02 07/20/11 Tri-Tech Holding, Inc. E9 8.01,9.01 07/20/11 Two Harbors Investment Corp. 1.01,8.01,9.01 07/20/11 U S PHYSICAL THERAPY INC /NV NV 1.01,2.03,9.01 07/14/11 UNION BANKSHARES INC VT 2.02,8.01,9.01 07/20/11 UNITED TECHNOLOGIES CORP /DE/ DE 2.02,9.01 07/20/11 URANERZ ENERGY CORP. NV 7.01,9.01 07/20/11 URANIUM ENERGY CORP NV 5.07,8.01,9.01 07/19/11 US BANCORP \DE\ DE 2.02,9.01 07/20/11 VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 7.01,8.01,9.01 07/20/11 VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 07/20/11 VISHAY INTERTECHNOLOGY INC DE 5.02,9.01 07/19/11 Vista International Technologies Inc DE 8.01 07/14/11 VIVUS INC CA 8.01,9.01 07/20/11 VMWARE, INC. DE 5.02 07/18/11 VOC Energy Trust 2.02,9.01 07/20/11 Warner Music Group Corp. DE 2.01,3.01,3.03,5.01, 07/20/11 5.02,5.03,8.01,9.01 WASTE CONNECTIONS, INC. DE 7.01 07/20/11 Weatherford International Ltd./Switze V8 5.02,9.01 07/20/11 WEBSENSE INC DE 5.07 07/20/11 AMEND WEST MARINE INC DE 1.01,9.01 07/15/11 WESTELL TECHNOLOGIES INC DE 2.02,9.01 07/20/11 WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 07/20/11 WESTWOOD HOLDINGS GROUP INC DE 5.07 04/20/11 AMEND Willow Creek Enterprises Inc. 1.01,2.03,9.01 07/20/11 WORKSTREAM INC A6 1.01,3.02,5.02,5.03, 07/14/11 9.01 WORLDGATE COMMUNICATIONS INC DE 5.02,9.01 07/15/11 XILINX INC DE 2.02,9.01 07/20/11 ZHONE TECHNOLOGIES INC DE 2.02,9.01 07/20/11 ZION OIL & GAS INC DE 8.01,9.01 07/19/11