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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-248
December 27, 2011


Commission announcements

SEC Issues Notice of Proposed Distribution Plan and Opportunity For Comment in the Matters of Paul W. Oliver, Jr. and Mary Beth Stevens

The Securities and Exchange Commission (Commission) announced that it has given notice, pursuant to Rule 1103 of the Securities and Exchange Commission’s Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. 201.1103, that the Division of Enforcement has filed a proposed plan (Distribution Plan) for the distribution of monies in the matter of Paul W. Oliver, Jr. (Oliver) and in the matter of Mary Beth Stevens (Stevens). The Distribution Plan was developed pursuant to the Commission’s July 17, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order against Paul W. Oliver, Jr. (Oliver Order) and January 15, 2010 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 against Mary Beth Stevens (Stevens Order) (collectively, the Orders).

The Distribution Plan provides for distribution of the $284,821.89 in disgorgement, prejudgment interest and civil penalties paid by Oliver and Stevens, plus any accumulated interest, less any federal, state, or local taxes on the interest and tax administrator fees. According to the proposed Distribution Plan, the Commission previously identified six clients whose were harmed by the conduct described in the Orders. The Distribution Plan provides for a pro-rata distribution of the monies to these six clients.

A copy of the Distribution Plan may be obtained by submitting a written request to Anne C. McKinley, Assistant Regional Director, United States Securities and Exchange Commission, 175 West Jackson Boulevard, Suite 900, Chicago, IL 60604. Interested parties also may print a copy of the proposed Distribution Plan from the Commission’s public website, http://www.sec.gov. Any person or entity wishing to comment on the Distribution Plan may do so in writing by submitting their comments within 30 days of the date of the Notice (i) to the Office of the Secretary, United States Securities and Exchange Commission, 100 F Street, N.E., Washington, DC 20549-1090; or (ii) via the Commission’s Internet comment form (www.sec.gov/litigation/admin.shtml); or (iii) by sending an e-mail to rule-comments@sec.gov. Comments submitted by e-mail or via the Commission’s website should include the Administrative Proceeding File Numbers (Admin. Proc. File Nos. 3-13554 and 3-13553) in the subject line. Comments received will be publicly available. Persons should submit only information that they wish to make publicly available. (Rel. 34-66039; File No. 3-11553)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by New York Stock Exchange LLC amending Supplementary Material .26 (pegging for d-Quotes and e-Quotes) to NYSE Rule 70 (SR-NYSE-2011-62) 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 December 26. (Rel. 34-66031)

A proposed rule change filed by NYSE Amex LLC amending Supplementary Material .26 (pegging for d-Quotes and e-Quotes) to NYSE Amex Equities Rule 70 (SR-NYSEAmex-2011-99) 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 December 26. (Rel. 34-66032)

A proposed rule change filed by NYSE Amex LLC amending NYSE Amex Equities Rule 500 to extend the operation of the Pilot Program that allows NASDAQ Stock Market securities to be traded on the Exchange pursuant to a grant of Unlisted Trading Privileges until the earlier of Securities and Exchange Commission approval to make such Pilot permanent or July 31, 2012 (SR-NYSEAmex-2011-104) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66040)

A proposed rule change filed by NYSE Amex LLC extending the operation of its Supplemental Liquidity Providers Pilot under Rule 107B until the earlier of Securities Exchange Commission approval to make such Pilot permanent or July 31, 2012 (SR-NYSEAmex-2011-103) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66041)

A proposed rule change filed by NYSE Amex LLC extending the operation of its New Market Model Pilot until the earlier of Securities and Exchange Commission approval to make such Pilot permanent or July 31, 2012 (SR-NYSEAmex-2011-102) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66042)

A proposed rule change filed by NYSE Amex LLC Amending NYSE Amex Equities Rule 103B, which governs the allocation of securities to DMMs (SR-NYSEAmex-2011-100) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66044)

A proposed rule change filed by the New York Stock Exchange LLC extending the operation of its Supplemental Liquidity Providers Pilot under Rule 107B until the earlier of Securities and Exchange Commission Approval to make such Pilot permanent or July 31, 2012 (SR-NYSE-2011-66) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of December 26. ((Rel. 34-66045)

A proposed rule change filed by the New York Stock Exchange LLC extending the operation of its New Market Model Pilot, until the earlier of Securities and Exchange Commission Approval to make such Pilot permanent or July 31, 2012 (SR-NYSE-2011-65) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66046)

A proposed rule change filed by the New York Stock Exchange LLC amending Rule 103B, which governs the allocation of securities to DMMs (SR-NYSE-2011-64) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of December 26. ((Rel. 34-66047)

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-120) to amend the Fees 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 December 26. (Rel. 34-66054)

Proposed Rule Changes

Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2011-122) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 related to FLEX Options. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66035)

The Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2011-117) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, to amend its Automated Improvement Mechanism. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66038)

NYSE Amex LLC filed a proposed rule change (SR-NYSEAmex-2011-101) pursuant to Section 19(b)(1) of the Securities Exchange Act amending NYSE Amex Equities Rules 504 and 509 to modify the quoting requirements applicable to Designated Market Maker units registered in Nasdaq Stock Market securities traded on the Exchange pursuant to a grant of unlisted trading privileges. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66043)

The Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2011-116) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, to amend its Automated Improvement Mechanism. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66048)

The Financial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2011-071) pursuant to Section 19(b)(1) of the Securities Exchange Act to increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities. Publication is expected in the Federal Register during the week of December 26. (Rel. 34-66050)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-8     Golden Spirit Enterprises Ltd., 35 SOUTH OCEAN AVENUE, PATCHOGUE, NY, 
        11772, 888-488-6882 - 15,000,000 ($52,500.00) Equity, 
        (File 333-178724 - Dec. 23) (BR. 05C)

S-8     Azur Pharma Public Ltd Co, 45 FITZWILLIAM SQUARE, DUBLIN, L2, 2, 
        353 1 634 4183 - 0 ($4,681,445.50) Equity, (File 333-178725 - Dec. 23) 
        (BR. 01)

S-3     Oncothyreon Inc., 2601 FOURTH AVENUE, SUITE 500, SEATTLE, WA, 98121, 
        (206) 801-2100 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-178726 - Dec. 23) (BR. 01A)

S-1     Gogo Inc., 1250 N. ARLINGTON HEIGHTS RD, SUITE 500, ITASCA, IL, 60143, 
        (630) 647-1400 - 0 ($100,000,000.00) Equity, (File 333-178727 - 
        Dec. 23) (BR. 11)

S-3     COMPLETE GENOMICS INC, 2071 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043, 
        (650) 943-2843 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-178728 - Dec. 23) (BR. 01B)

S-4     ALTAIR NANOTECHNOLOGIES INC, 204 EDISON WAY, N/A, RENO, NV, 89502, 
        (775) 858-3744 - 73,565,143 ($64,369,500.00) Equity, (File 333-178729 - 
        Dec. 23) (BR. 06C)

S-8     WESTERN WIND ENERGY CORP, SUITE 1326 - 885 WEST GEORGIA STREET, 
        VANCOUVER, A1, V6C 3E8, 604-685-9463 - 
        11,871,107 ($17,889,712.18) Equity, (File 333-178734 - Dec. 23) 
        (BR. 02C)

N-2     Highland Premium Long/Short Healthcare Fund, 13455 NOEL RD., STE 900, 
        DALLAS, TX, 75240, (877) 665-1287 - 0 ($1,000,000.00) Equity, 
        (File 333-178735 - Dec. 23) (BR. 18)

S-1     Rocap Marketing Inc., 6490 W DESERT INN ROAD, LAS VEGAS, NV, 
        89146-6609, 213-400-0770 - 2,875,667 ($28,757.00) Equity, 
        (File 333-178738 - Dec. 23) (BR. 09)

S-1     NORTHWEST BIOTHERAPEUTICS INC, 7600 WISCONSIN AVE., SUITE 750, 
        BETHESDA, MD, 20814, 4256083008 - 7,000,000 ($2,660,000.00) Equity, 
        (File 333-178740 - Dec. 23) (BR. 01B)

S-1     GREENWIND NRG INC, 69 SAPHIRE, THE GRANGE, STILORGAN, DUBLIN, L2, 0000, 
        353871536399 - 10,000,000 ($100,000.00) Equity, (File 333-178741 - 
        Dec. 23) (BR. 10B)

S-8     Bancorp of New Jersey, Inc., 204 MAIN STREET, FORT LEE, NJ, 07024, 
        (201) 944-8600 - 250,000 ($2,422,500.00) Equity, (File 333-178744 - 
        Dec. 23) (BR. 07B)

F-1     APMEX Physical - 1 oz. Gold Redeemable Trust, 
        100 University Avenue, Suite 900, North Tower, Toronto, A6, M5J 2Y1, 
        (416) 263-9200 - 0 ($345,000,000.00) Equity, (File 333-178745 - 
        Dec. 23) (BR. 08C)

S-3     Ardea Biosciences, Inc./DE, 4939 DIRECTORS PLACE, SAN DIEGO, CA, 92121, 
        858-652-6500 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-178746 - Dec. 23) (BR. 01A)

S-8     Platinum Studios, Inc., 11400 W. OLYMPIC BOULEVARD, SUITE 1400, 
        LOS ANGELES, CA, 90064, (301) 807-8100 - 
        40,000,000 ($160,000.00) Equity, (File 333-178747 - Dec. 23) (BR. 05C)

S-3     ACADIA PHARMACEUTICALS INC, 3911 SORRENTO VALLEY BLVD, SAN DIEGO, CA, 
        92121, 858-558-2871 - 0 ($20,800,000.00) Equity, (File 333-178748 - 
        Dec. 23) (BR. 01B)

S-1     Pacific Monument Acquisition Corp, 601 13TH STREET, N.W., 
        SUITE 1050 NORTH, WASHINGTON, DC, 20005, (202) 661-7650 - 
        0 ($46,000,000.00) Equity, (File 333-178749 - Dec. 23) (BR. )

S-3     PHOTOMEDEX INC, 147 KEYSTONE DRIVE, MONTGOMERYVILLE, PA, 18936, 
        2156193600 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-178751 - Dec. 23) (BR. 10C)

S-8     HMS HOLDINGS CORP, 401 PARK AVENUE SOUTH, NEW YORK, NY, 10016, 
        2126854545 - 0 ($12,165,658.48) Equity, (File 333-178752 - Dec. 23) 
        (BR. 03A)

S-1     CHINA GLOBAL MEDIA INC, 25-26F WANXIANG ENTERPRISE BLDG, 
        NO 70 STATION NORTH RD, CHANGSHA, F4, 410001, 845-591-5467 - 
        4,305,000 ($10,762,500.00) Equity, (File 333-178753 - Dec. 23) (BR. 11A)

S-1     Red Bullet Racing Corp, 901 S. FEDERAL HIGHWAY, HALLANDALE BEACH, FL, 
        33009, 905-726-7076 - 0 ($4,050,000.00) Equity, (File 333-178754 - 
        Dec. 23) (BR. )

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

1st United Bancorp, Inc.                FL       5.02,9.01            12/20/11

ABIOMED INC                             DE       7.01                 12/22/11

ACACIA RESEARCH CORP                    DE       8.01                 12/06/11

ACACIA RESEARCH CORP                    DE       8.01                 12/21/11

AETRIUM INC                             MN       5.02,9.01            11/28/11    AMEND

ALLOS THERAPEUTICS INC                  DE       5.02,9.01            12/21/11

Alphatec Holdings, Inc.                 DE       1.01                 12/19/11

ALTERRA CAPITAL HOLDINGS Ltd                     1.01,9.01            12/19/11

AMARIN CORP PLC\UK                      X0       5.02,8.01,9.01       12/23/11

AMERICAN AXLE & MANUFACTURING HOLDING   DE       5.02                 12/22/11

American Caresource Holdings, Inc.      DE       5.02                 12/19/11

American Exploration Corp               NV       1.02,9.01            12/21/11

American Petroleum Tankers Parent LLC   DE       1.01,9.01            12/20/11

Aquilex Holdings LLC                    DE       8.01,9.01            12/23/11

Aquilex Holdings LLC                    DE       1.01,2.03,7.01,8.01, 12/20/11
                                                 9.01
         
Arista Power, Inc.                      NY       3.03,5.03,9.01       12/22/11

ASSOCIATED BANC-CORP                    WI       5.02,9.01            12/21/11

AUTHENTIDATE HOLDING CORP               DE       5.03,5.07,9.01       12/21/11

AUXILIO INC                             NV       5.02,9.01            12/19/11

AUXILIUM PHARMACEUTICALS INC                     5.02,9.01            12/23/11

Avery Dennison Corp                     DE       1.01,2.03,9.01       12/22/11

AVISTAR COMMUNICATIONS CORP             DE       1.01,2.01,2.03       12/22/11

B2B INTERNET HOLDRSSM TRUST             NY       8.01,9.01            12/22/11

Bank of New York Mellon CORP            DE       8.01                 12/23/11

BankUnited, Inc.                        DE       8.01,9.01            12/22/11

Behringer Harvard Opportunity REIT I,   MD       1.01,8.01            12/20/11

BENCHMARK ELECTRONICS INC               TX       8.01,9.01            12/21/11

BERKLEY W R CORP                        DE       5.02                 12/21/11

BERTHEL GROWTH & INCOME TRUST I         DE       2.01,8.01,9.01       12/19/11

BIOCANCELL THERAPEUTICS INC.                     5.03                 12/19/11

BioCube, INC.                           DE       1.01,8.01,9.01       12/19/11

Biostar Pharmaceuticals, Inc.           MD       9.01                 10/11/11    AMEND

Blackwater Midstream Corp.                       1.01,2.01,2.03,9.01  12/22/11

Blue Earth, Inc.                        NV       1.01,9.01            12/19/11

BOTETOURT BANKSHARES INC                VA       8.01,9.01            12/23/11

BROADBAND HOLDRS TRUST                           8.01,9.01            12/22/11

BROADWIND ENERGY, INC.                  DE       5.02                 12/20/11

CARMAX INC                              VA       5.02,9.01            12/21/11

CCFNB BANCORP INC                       PA       5.02,9.01            12/21/11

Celanese CORP                           DE       5.02                 12/20/11

CHINA EDUCATION ALLIANCE INC.           NC       3.01,9.01            12/21/11

CHINA HGS REAL ESTATE INC.              F4       1.01,4.02,9.01       03/16/11

CHINA SHEN ZHOU MINING & RESOURCES, I   NV       5.02,5.07,8.01       12/20/11

CHRISTOPHER & BANKS CORP                DE       2.02                 12/22/11    AMEND

CIG WIRELESS CORP.                      NV       1.01,3.02            12/20/11

CINCINNATI BELL INC                     OH       8.01,9.01            12/20/11

CIRCLE STAR ENERGY CORP.                NV       1.01,9.01            12/21/11

CLEAN WIND ENERGY TOWER, INC.           NV       5.02,5.07            12/16/11

COMMERCE BANCSHARES INC /MO/            MO       8.01                 12/23/11

COMMUNITYCORP                                    5.02                 12/23/11

COMPASS BIOTECHNOLOGIES INC.            NV       1.01,3.02,9.01       08/19/11

Comstock Mining Inc.                    NV       5.02,9.01            12/21/11

CPM Holdings, Inc.                               5.02                 12/21/11

CVR ENERGY INC                          DE       5.02,9.01            12/19/11

CVR PARTNERS, LP                        DE       5.02,9.01            12/20/11

Cyalume Technologies Holdings, Inc.     DE       1.01,9.01            12/22/11

CYCLONE POWER TECHNOLOGIES INC          FL       1.01,9.01            12/20/11

DGSE COMPANIES INC                      NV       5.02                 12/20/11

DITECH NETWORKS INC                     DE       1.01                 12/21/11

DYNEGY HOLDINGS, LLC                    DE       7.01,9.01            12/22/11

DYNEX CAPITAL INC                       VA       1.01,9.01            12/23/11

EAGLE BANCORP INC                       MD       5.02,9.01            12/21/11

ENOVA SYSTEMS INC                       CA       5.02                 12/19/11

ENTERCOM COMMUNICATIONS CORP            PA       7.01,9.01            12/23/11

EPICEPT CORP                                     8.01,9.01            12/20/11

EUROPE 2001 HOLDRS TRUST                NY       8.01,9.01            12/22/11

ExamWorks Group, Inc.                   DE       5.02                 12/19/11

Federal Home Loan Bank of Chicago       X1       3.03,7.01            12/23/11

FEDERAL HOME LOAN MORTGAGE CORP                  7.01,9.01            12/23/11

Feihe International Inc                 UT       4.01,9.01            12/23/11

Feihe International Inc                 UT       9.01                 12/23/11    AMEND

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            12/21/11

Fifth Season International, Inc.        DE       5.02,9.01            12/23/11

FIRST ACCEPTANCE CORP /DE/              DE       1.01,1.02,5.02,5.03, 12/21/11
                                                 8.01,9.01
     
FIRST HORIZON NATIONAL CORP             TN       8.01                 12/23/11

FIRSTCITY FINANCIAL CORP                DE       1.01,2.03,9.01       12/20/11

Freeze Tag, Inc.                        DE       3.02,9.01            11/29/11

FUELCELL ENERGY INC                     DE       5.02,9.01            12/19/11

GelTech Solutions, Inc.                 DE       1.01                 12/20/11

GENEREX BIOTECHNOLOGY CORP              DE       8.01                 12/22/11

GENTA INC DE/                           DE       8.01                 12/23/11

GERON CORP                              DE       5.02                 12/10/11

Global Growth Trust, Inc.               MD       9.01                 10/17/11    AMEND

GOLDMAN SACHS GROUP INC                 DE       9.01                 12/23/11

Graymark Healthcare, Inc.               OK       3.01                 12/21/11

Graystone Co                            DE       2.03,3.02,8.01       12/23/11

GREENMAN TECHNOLOGIES INC               DE       1.01,2.03,3.02,9.01  12/19/11

GRUBB & ELLIS CO                        DE       5.02                 12/19/11

GSP-2, INC.                             NV       1.01,3.01            12/20/11

Guardian 8 Holdings                              5.02,8.01,9.01       12/14/11

Guitammer Co                            NV       1.01,3.02,9.01       12/21/11

GulfStar Energy Corp                    CO       5.02                 12/20/11

HARLEYSVILLE GROUP INC                  DE       5.02                 12/20/11

HeartWare International, Inc.           DE       5.02                 12/21/11

HEMISPHERX BIOPHARMA INC                DE       5.02                 12/19/11

HERCULES OFFSHORE, INC.                 DE       3.02,8.01            12/22/11

Heritage Financial Group Inc            MD       8.01,9.01            12/21/11

HIBERNIA BANCORP, INC.                           5.02                 12/22/11

ICAD INC                                DE       1.01,2.03,8.01       12/22/11

INTEGRA LIFESCIENCES HOLDINGS CORP      DE       5.02,9.01            12/20/11

INTERNATIONAL ISOTOPES INC              TX       1.01,1.02            12/20/11

INTERNET ARCHITECTURE HOLDRSSM TRUST    NY       8.01,9.01            12/22/11

INTERNET HOLDRS TRUST                   NY       8.01,9.01            12/22/11

INTERNET INFRASTRUCTURE HOLDRSSM TRUS   NY       8.01,9.01            12/22/11

Invesco Ltd.                            D0       1.01,9.01            06/03/11

JBI, INC.                               NV       8.01,9.01            12/23/11

Kaiser Federal Financial Group, Inc.    MD       5.02,5.07,9.01       12/22/11

KBS Strategic Opportunity REIT, Inc.    MD       1.01,2.03            12/20/11

Lake Shore Bancorp, Inc.                X1       5.02,5.03,9.01       12/21/11

LANDAUER INC                            DE       5.02,8.01,9.01       12/21/11

LEHMAN BROTHERS HOLDINGS INC            DE       7.01,9.01            12/23/11

LIQUIDMETAL TECHNOLOGIES INC            DE       1.01                 12/20/11

LIVEDEAL INC                            NV       8.01,9.01            12/21/11

Lone Pine Holdings, Inc                 NV       5.02                 12/20/11

M & F WORLDWIDE CORP                    DE       2.01,3.01,3.03,5.02, 12/21/11
                                                 5.03,5.07,8.01,9.01
        
MAINLAND RESOURCES INC.                          1.02,8.01,9.01       12/21/11

MANHATTAN ASSOCIATES INC                GA       5.02,9.01            12/19/11

Marina Biotech, Inc.                    DE       1.01,3.02,3.03,5.03, 12/22/11
                                                 8.01,9.01
     
MARKET 2000 PLUS HOLDRS SM TRUST        NY       8.01,9.01            12/22/11

MDC HOLDINGS INC                        DE       5.02                 12/22/11

Measurement Specialties Inc             NJ       1.01,9.01            12/23/11

METLIFE INC                             DE       5.02,9.01            12/20/11

MF Global Holdings Ltd.                 DE       1.03,7.01,9.01       12/19/11

Mid-Con Energy Partners, LP             DE       1.01,2.01,2.03,3.02, 12/20/11
                                                 5.02,5.03,9.01

Midway Gold Corp                        A1       7.01,9.01            12/20/11

MINN DAK FARMERS COOPERATIVE            ND       5.02                 12/19/11

MISSION BROADCASTING INC                DE       5.02,9.01            12/19/11

MORTONS RESTAURANT GROUP INC            DE       8.01,9.01            12/23/11

MWI Veterinary Supply, Inc.             DE       5.02                 12/23/11

MYR GROUP INC.                          DE       1.01,1.02,2.03,9.01  12/21/11

N-VIRO INTERNATIONAL CORP               DE       1.02                 12/15/11

NASH FINCH CO                           DE       1.01,9.01            12/23/11

NEW CENTURY BANCORP INC                 NC       1.01,8.01,9.01       12/20/11

NEWS CORP                                        8.01,9.01            12/23/11

NF Energy Saving Corp                   DE       5.02                 12/20/11

NGL Energy Partners LP                  DE       9.01                 11/01/11    AMEND

NIKE INC                                OR       2.02,9.01            12/20/11

NORTH BAY RESOURCES INC                 DE       1.02,9.01            12/21/11

NTS MORTGAGE INCOME FUND                DE       1.01,9.01            12/22/11

NYSE Euronext                           DE       8.01,9.01            12/21/11

Obagi Medical Products, Inc.            DE       1.01,3.03,5.03,9.01  12/23/11

ON SEMICONDUCTOR CORP                   DE       1.01,2.03,9.01       12/23/11

Orange 21 Inc.                          DE       1.01,2.03,9.01       12/21/11

Orient Paper Inc.                       NV       4.01,8.01,9.01       12/23/11

Orient Paper Inc.                       NV       8.01,9.01            12/23/11

PARLUX FRAGRANCES INC                   DE       1.01,7.01,9.01       12/15/11

PATHFINDER BANCORP INC                  DE       8.01                 12/23/11

PENSECO FINANCIAL SERVICES CORP         PA       5.02,9.01            12/23/11

PEOPLES BANCORPORATION INC /SC/         SC       1.01,9.01            12/19/11

PEPTIDE TECHNOLOGIES, INC.              NV       1.01,5.02,9.01       12/14/11

PERFICIENT INC                          DE       5.02,9.01            12/22/11

Perfumania Holdings, Inc.               FL       1.01,5.03,7.01,9.01  12/23/11

Perfumania Holdings, Inc.               FL       1.01,5.03,7.01,9.01  12/23/11

PLAINSCAPITAL CORP                      TX       8.01                 12/22/11

POLYONE CORP                                     1.01,1.02,2.01,2.03, 12/21/11
                                                 9.01
          
PONIARD PHARMACEUTICALS, INC.           WA       1.01,1.02,8.01,9.01  12/21/11

POPULAR INC                                      5.02,9.01            12/22/11

PostRock Energy Corp                    DE       1.01,9.01            12/19/11

POWERDYNE INTERNATIONAL, INC.           DE       2.01,5.01,5.06,9.01  02/07/11    AMEND

Premier Beverage Group Corp             NV       2.01,3.02,4.01,5.01, 10/19/11    AMEND
                                                 5.02,5.03,9.01

PREMIER EXHIBITIONS, INC.               FL       1.01,8.01,9.01       12/20/11

PREMIER HOLDING CORP.                   NV       5.01,9.01            12/23/11

Premier Power Renewable Energy, Inc.    DE       5.02                 12/23/11

PROTECT PHARMACEUTICAL Corp             NV       5.02,9.01            12/23/11

PROVIDENT FINANCIAL SERVICES INC        DE       5.03,9.01            12/21/11

Reliance Bancshares, Inc.               MO       5.02,8.01            11/15/11

REPROS THERAPEUTICS INC.                DE       8.01,9.01            12/22/11

REPUBLIC AIRWAYS HOLDINGS INC           DE       8.01                 12/20/11

RESPONSE GENETICS INC                            5.02,8.01,9.01       12/21/11

ROBERTS REALTY INVESTORS INC            GA       5.02,9.01            12/22/11

ROBERTS REALTY INVESTORS INC            GA       1.01,9.01            12/19/11

ROCHESTER MEDICAL CORPORATION           MN       5.02,9.01            12/21/11

ROOMLINX INC                            NV       1.01,9.01            12/19/11

RUDOLPH TECHNOLOGIES INC                DE       7.01                 12/23/11

Sanchez Energy Corp                     DE       1.01,2.01,3.02,9.01  12/19/11

SATCON TECHNOLOGY CORP                  DE       3.01                 12/20/11

SCBT FINANCIAL CORP                     SC       1.01,9.01            12/19/11

SCHULMAN A INC                          DE       5.07                 12/08/11

SEALED AIR CORP/DE                      DE       8.01,9.01            12/21/11

SEARCH BY HEADLINES.COM CORP.           NV       5.02                 12/22/11

SERVICEMASTER CO                        DE       1.01,9.01            12/21/11

Shengkai Innovations, Inc.              FL       5.07,8.01,9.01       12/23/11

SHUTTERFLY INC                          DE       7.01,9.01            12/23/11

SILGAN HOLDINGS INC                     DE       5.02,9.01            12/21/11

SKY PETROLEUM, INC.                     NV       8.01                 12/23/11

SOFTWARE HOLDRS TRUST                   NY       8.01,9.01            12/22/11

Solar Energy Initiatives, Inc.          DE       5.03,9.01            12/22/11

SOLTA MEDICAL INC                       DE       8.01                 12/20/11

SPECTRUM PHARMACEUTICALS INC            DE       5.02                 12/23/11

Spirit Airlines, Inc.                   DE       3.02                 12/21/11

SPX CORP                                DE       1.01,9.01            12/22/11

Standard Gold                           CO       1.01,3.02,5.02,9.01  12/16/11    AMEND

STANDARD PACIFIC CORP /DE/              DE       1.01,3.03,9.01       12/20/11

STEIN MART INC                          FL       2.02,9.01            12/23/11

STEINWAY MUSICAL INSTRUMENTS INC        DE       5.02,9.01            12/20/11

STR HOLDINGS, INC.                      DE       5.02                 12/19/11

SUMMIT FINANCIAL GROUP INC              WV       5.02                 12/20/11

SUN RIVER ENERGY, INC                   CO       8.01,9.01            12/21/11

SUNPOWER CORP                           DE       1.01,3.02,5.02,5.07, 12/21/11
                                                 8.01,9.01
     
SUNPOWER CORP                           DE       5.02,9.01            12/23/11

Support.com, Inc.                       DE       5.07                 05/25/11    AMEND

SYNOVUS FINANCIAL CORP                  GA       5.02                 12/22/11

Tamir Biotechnology, Inc.               DE       5.02                 12/16/11

TELECOM HOLDRS TRUST                    NY       8.01,9.01            12/22/11

TELESTONE TECHNOLOGIES CORP             CO       5.02,5.07,7.01,8.01, 12/20/11
                                                 9.01
          
THQ INC                                 DE       5.07                 07/28/11    AMEND

TIER TECHNOLOGIES INC                   DE       5.02,9.01            12/20/11

TIFFANY & CO                            DE       8.01                 12/21/11

Titanium Asset Management Corp          DE       5.02                 12/19/11

TMST, Inc.                              MD       7.01,9.01            12/22/11

Total Nutraceutical Solutions, Inc.     NV       1.01,2.03,5.07,9.01  12/20/11

Transocean Ltd.                         V8       8.01                 12/23/11

TRUSTCO BANK CORP N Y                   NY       5.02,8.01            12/20/11

TurkPower Corp                          DE       1.01,9.01            12/20/11

UNITED FIRE & CASUALTY CO               IA       1.01,2.03            12/23/11

UTILITIES HOLDERS SM TRUST              NY       8.01,9.01            12/22/11

VALENCE TECHNOLOGY INC                  DE       1.01,9.01            12/22/11

VALIDUS HOLDINGS LTD                             1.01,2.03            12/20/11

Verso Paper Corp.                       DE       3.01,9.01            12/21/11

Vican Resources, Inc.                   NV       1.01,2.01,3.02,3.03, 12/20/11
                                                 5.01,5.02,5.03,5.07,
                                                 9.01
   
VIPER POWERSPORTS INC                   NV       5.02                 12/22/11

VIROPHARMA INC                          DE       1.01,8.01,9.01       12/22/11

VIRTUAL PIGGY, INC.                     DE       5.02                 12/19/11

VISA INC.                               DE       8.01,9.01            12/23/11

VistaGen Therapeutics, Inc.             NV       1.01,3.02,5.03,9.01  12/22/11

Whitestone REIT                         TX       1.01,2.01,2.03,7.01, 12/22/11
                                                 9.01
          
Whitestone REIT Operating Partnership   DE       1.01,2.01,2.03,7.01, 12/22/11
                                                 9.01
          
WIDEPOINT CORP                          DE       5.07                 12/19/11

Williams Partners L.P.                           3.02,7.01,9.01       12/21/11

WILLIS LEASE FINANCE CORP               DE       5.07                 05/18/11    AMEND

WINN DIXIE STORES INC                   FL       8.01,9.01            12/23/11

WINNER MEDICAL GROUP INC                NV       4.01,8.01,9.01       12/23/11

WIRELESS HOLDRS TRUST                   NY       8.01,9.01            12/22/11

World Energy Solutions, Inc.            DE       2.01,9.01            10/17/11    AMEND

Zep Inc.                                DE       1.01,2.03,9.01       12/19/11

ZION OIL & GAS INC                      DE       1.01                 12/20/11

 

http://www.sec.gov/news/digest/2011/dig122711.htm


Modified: 12/27/2011