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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-165
August 27, 2013

Commission announcements

Commission Issues Risk Alert on Investment Advisers' Business Continuity and Disaster Recovery Planning

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) today issued a Risk Alert on business continuity and disaster recovery planning for investment advisers. The alert was prompted by a review of responses to Hurricane Sandy, which caused widespread damage to Northeastern states and closed U.S. equity and options markets for two days in October 2012.

The Risk Alert follows a joint advisory issued on August 16 by OCIE, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight, and the Financial Industry Regulatory Authority on business continuity and disaster recovery planning in the aftermath of Hurricane Sandy. While the joint advisory covered a broad array of firms, the Risk Alert focuses exclusively on investment advisers. Both documents are intended to encourage firms to review their business continuity plans so as to improve responses to and reduce recovery time after significant large-scale events.

"Our staff examined approximately 40 advisers in the aftermath of Hurricane Sandy to assess their preparedness for and reaction to the storm," said OCIE Director Andrew Bowden. "We hope our observations in this Risk Alert and those in the earlier joint advisory will help industry participants better prepare for future events that threaten to disrupt market operations."

The Risk Alert makes observations in the following areas:

  • Preparation for widespread disruption
  • Planning for alternative locations
  • Preparedness of key vendors
  • Telecommunications services and technology
  • Communication plans
  • Reviewing and testing

Firms can strengthen their business continuity and disaster recovery plans by considering the observations in the Risk Alert and implementing or strengthening practices as appropriate. (Press Rel. 2013-166)

ENFORCEMENT PROCEEDINGS

Commission Sanctions Colorado-Based Portfolio Manager for Forging Documents and Misleading Chief Compliance Officer

The Securities and Exchange Commission ("Commission") today sanctioned a former portfolio manager at a Boulder, Colo.-based investment adviser for forging documents and misleading the firm's chief compliance officer to conceal his failure to report personal trades.

An SEC investigation found that Carl Johns of Louisville, Colo., failed to pre-clear or report several hundred securities trades in his personal accounts as required under the federal securities laws and the code of ethics at Boulder Investment Advisers (BIA). Johns concealed the trades in quarterly and annual trading reports that he submitted to BIA by altering brokerage statements and other documents that he attached to those reports. Johns later tried to conceal his misconduct by creating false documents that purported to be pre-trade approvals, and misled the firm's chief compliance officer in her investigation into his improper trading.

To settle the SEC's charges – which are the agency's first under Rule 38a-1(c) of the Investment Company Act for misleading and obstructing a chief compliance officer (CCO) – Johns agreed to pay more than $350,000 and be barred from the securities industry for at least five years.

"Securities industry professionals have an obligation to adhere to compliance policies, and they certainly must not interfere with the chief compliance officers who enforce those policies," said Julie Lutz, Acting Co-Director of the SEC's Denver Regional Office. "Johns set out to cover up his compliance failures by creating false documents and misleading his firm's CCO."

According to the SEC's order instituting settled administrative proceedings against Johns, the Investment Company Act required him to submit quarterly reports of his personal securities transactions and annual reports of his securities holdings. His firm's code of ethics contained further restrictions on when and how Johns could trade in securities, and required his transactions to be pre-cleared by the firm's chief compliance officer. From 2006 to 2010, Johns failed to comply with these obligations and did not pre-clear or report approximately 640 trades. These included at least 91 trades involving securities held or acquired by the funds managed by the firm. The code of ethics restricted trading in securities that the funds were buying or selling.

According to the SEC's order, Johns submitted inaccurate quarterly and annual reports and falsely certified his annual compliance with the code of ethics. Johns physically altered brokerage statements, trade confirmations, and pre-clearance approvals before submitting them to the firm along with these reports. For example, he manually deleted securities holdings listed on his brokerage statements before submitting them in order to avoid disclosing securities purchases that were not pre-cleared.

The SEC's order further finds that Johns created several documents that purported to be pre-clearance requests approved by the firm's CCO, who had never actually reviewed or approved such trades. Johns created these false pre-clearance approvals to cover up instances in his annual report when securities transactions were not pre-cleared.  Johns also altered the trade confirmations that he submitted to BIA by backdating the dates of the transactions, and he backdated trade confirmations to make it falsely appear as though pre-clearances were granted in advance of the transactions.

According to the SEC's order, the firm's CCO in late 2010 identified irregularities in the documents that Johns submitted to BIA detailing his personal securities transactions. The irregularities prompted the CCO to make inquiries about his compliance with the firm's code of ethics, and Johns misled the CCO in response. Johns falsely told the CCO that he had closed certain brokerage accounts when in fact they remained open and were involved in trading that was not pre-cleared as required. Johns also accessed the hard copy file of his previously submitted brokerage statements and physically altered them to create the false impression that his trading was in compliance.

In settling the SEC's charges, Johns has agreed to pay disgorgement of $231,169, prejudgment interest of $23,889, and a penalty of $100,000. Without admitting or denying the SEC's findings, Johns consented to a five-year bar and a cease-and-desist order.

The SEC's investigation was conducted by Michael Cates and Ian Karpel of the Denver Regional Office following an examination conducted by Craig Ellis, Bruce Ketter, and Thomas Piccone of the Denver office's investment adviser/investment company examination program. (Press Rel. 2013-165; IA-3655; IC-30675)

In the Matter of Hesed Technology Co., Ltd.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to Hesed Technology Co., Ltd. (Default Order), in Hesed Technology Co., Ltd., Admin. Proc. File No. 3-15214. The Order Instituting Proceedings alleged that Respondent Hesed Technology Co., Ltd. has repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act).

This proceeding has ended as to all other Respondents. See Hesed Technology Co., Ltd., Exchange Act Release No. 69289 (Apr. 4, 2013). (Rel. 34-70261)

In the Matter of Geo Petroleum, Inc.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Geo Petroleum, Inc., Admin. Proc. File No. 3-15388. The Order Instituting Proceedings alleged that Respondents Geo Petroleum, Inc., Global Diamond Resources, Inc., Globalsoft Acquisition Group, Inc., and Globus Wireless, Ltd., repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-70262)

Final Judgment Entered Against Jonathan C. Gilchrist in SEC Action Involving the Unregistered Offer and Sale of Securities and Stock Manipulation

On August 15, 2013, the Honorable Lynn N. Hughes of the United States District Court for the Southern District of Texas entered summary judgment in favor of the Commission and against Jonathan C. Gilchrist finding that Gilchrist had violated the antifraud and registration provisions of the federal securities laws. On August 16, 2013, Judge Hughes entered a final judgment imposing monetary and other relief.

In rendering summary judgment in favor of the Commission, the Court found that Gilchrist, acting as the president and chairman of Mortgage Xpress, Inc. (subsequently renamed The Alternative Energy Technology Center, Inc.), authorized the unregistered offer and sale of six million company shares to himself and two entities he controlled, improperly maintaining that the offer and sale were exempt from registration under Rule 504 of Regulation D of the Securities Act of 1933. The Court further found that the company could not claim a Rule 504 exemption from registration because it was a development stage company at the time of the sale in February 2008. 

The Court further found that Gilchrist effected match trades in company securities through brokerage accounts he controlled, thereby driving the per share price from $1.00 per share immediately after a reverse stock split on January 18, 2008 to $2.41 per share, at which point Gilchrist arranged for promoters to tout the company to further drive up the price to $3.75 per share before the Commission suspended trading in the stock. Into this inflated market, Gilchrist made unregistered sales of 229,661 shares, which the Court found generated illicit proceeds of $692,146.38.

The final judgment entered by the Court bars Gilchrist from serving as an officer or director of any company that is required to register its securities with the Commission, from acting as a broker or dealer, and from trading in stocks with a per share price less than five dollars. The final judgment also orders Gilchrist to pay to the Commission $842,493.40 in disgorgement and prejudgment interest. (LR-22788)

In the Matter of Bertram A. Hill

On August 27, 2013, 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 Bertram A. Hill (Hill).

The Order finds that from at least August 2010 until at least March 2011, Hill was the sole officer and director of Secure Capital Funding Corporation. On August 6, 2012, a judgment was entered by consent against Hill, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Secure Capital Funding Corporation, et al., Civil Action Number 3:11-CV-00916, in the United States District Court for the District of New Jersey. The Division of Enforcement's complaint alleged that Hill directly and/or through the use of promoters, multiple websites and offering materials fraudulently induced investors to purchase risk-free "private placement debentures" issued or to be issued by or through Secure Trust in Switzerland. The complaint further alleged that Hill misused and misappropriated investor funds, falsely stated to investors that their funds were invested, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors.

Based on the above, the Order bars Hill from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and bars him from participating in any offering of a penny stock. Hill consented to the issuance of the Order.  (Rel. 34-70265)

In the Matter of Kiavanni Pringle

On August 27, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Kiavanni Pringle (Pringle).

The Division of Enforcement alleges that from at least the third quarter of 2010 through July 15, 2011, Pringle was associated with ST Underwriters, an unregistered broker-dealer. On June 27, 2013, a judgment was entered against Pringle, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Secure Capital Funding Corporation, et al., Civil Action Number 3:11-CV-00916, in the United States District Court for the District of New Jersey. The Commission's complaint alleged that, in connection with the sale of fictitious securities, Pringle misappropriated investor funds and falsely represented to investors that their funds were invested in Swiss debentures with no risk to investors' principal.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Pringle an opportunity to respond to the allegations and to determine what, if any, remedial action is appropriate in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-70266; File No. 3-15442). (Rel. 34-70266)

In the Matter of Alan Smith

On August 27, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Alan Smith (Smith).

The Division of Enforcement alleges that from at least the third quarter of 2010 through July 15, 2011, Respondent Alan Smith, a.k.a. "H. Draudins," age, nationality and residence unknown, was associated with Secure Trust and ST Underwriters, unregistered broker-dealers. On June 27, 2013, a judgment was entered against Smith, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and permanently enjoining him from aiding and abetting future violations of Section 15(a) of the Exchange Act in the civil action entitled Securities and Exchange Commission v. Secure Capital Funding Corporation, et al., Civil Action Number 3:11-CV-00916, in the United States District Court for the District of New Jersey. The Commission's complaint alleged that, in connection with the sale of fictitious securities, Smith misappropriated investor funds, falsely represented to investors that their funds were invested in Swiss debentures with no risk to investors' principal, and otherwise engaged in a variety of conduct that operated as a fraud and deceit on investors.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Smith an opportunity to respond to the allegations and to determine what, if any, remedial action is appropriate in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-70267)

Commission Charges Oklahoma Investment Adviser and Businesswoman with Fraud

On August 27, 2013, the Commission filed a complaint in the United States District Court for the Northern District of Oklahoma, alleging that Larry J. Dearman, Sr., a former investment adviser, and Marya Gray, an Oklahoma businesswoman, committed securities fraud.

According to the SEC's complaint, from approximately December 2008 through August 2012, Tulsa-resident Dearman, an investment adviser then working in Bartlesville, Oklahoma, at the direction of his friend Gray, raised at least $4.7 million through various illegal schemes from more than 30 of Dearman's advisory clients. Dearman promised his clients that he would invest their money in entities owned or controlled by Gray, including Bartnet Wireless Internet, Inc., The Property Shoppe, Inc., and Quench Buds Holding Company, LLC. But in truth, he and Gray squandered the vast majority of those funds in gambling, personal expenses, and Ponzi payments. In addition, Dearman also stole roughly $700,000 from some of his clients through various ruses.

The complaint alleges that Dearman and Gray violated or aided and abetted violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and (2) of the Investment Advisers Act of 1940. The SEC seeks permanent injunctive relief, disgorgement plus prejudgment interest, and civil monetary penalties from both Defendants. In addition, the SEC seeks disgorgement from Gray's businesses to the extent they are in possession of funds derived from Defendants' fraud. [SEC v. Larry J. Dearman, Sr., et al., Civil Action No. 4:13-cv-553-GKF-TLW, N.D.Ok.] (LR-22789)

In the Matter of William Landberg

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against William Landberg. The Order finds that Landberg, a resident of New York, New York, was the chief executive of West End Financial Advisors (West End) from at least 2003 through June 2009. West End is a New York-based, unregistered investment adviser to a collection of hedge funds (the West End funds). West End is affiliated with Sentinel Investment Management Corporation (Sentinel), which has been registered with the Commission since 1986. The Order further finds that on January 17, 2012, a final judgment was entered by consent against Landberg, permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, Section 17(a) of the Securities Act of 1933, and Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. William Landberg, et al., 11-CV-0404 (PKC), in the United States District Court for the Southern District of New York. The Commission's amended complaint alleged, among other things, that Landberg committed securities law violations at West End and Sentinel. According to the amended complaint, from at least January 2008 to May 2009, Landberg misled West End investors into believing that their money was held in stable, safe investment vehicles designed to provide steady streams of income. In reality, throughout most of that period, West End faced deepening financial problems stemming from Landberg's failed investment strategies. Landberg misused investor assets, fraudulently obtained over $8.5 million from a German bank that provided loans to finance certain investments by West End, and used millions of dollars from an interest reserve account for unauthorized purposes. Landberg used substantial amounts of the fraudulently obtained loan proceeds to make distributions to certain West End fund investors, thereby sustaining the illusion that West End's investments were performing well. At the same time that he was committing these frauds, Landberg misappropriated at least $1.5 million for himself and his family.

Based on the above, the Order bars Landberg from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Landberg consented to the issuance of the Order. (Rel. IA-3656)

Investment company orders

GENCAP Strategies LLC, et al.

An order has been issued on an application filed by GENCAP Strategies LLC, Factor Shares Trust and Esposito Securities LLC. The order permits: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30676)

Ranger Alternative Management, L.P. and Ranger Funds Investment Trust

An order has been issued on an application filed by Ranger Alternative Management, L.P. and Ranger Funds Investment Trust to permit: (a) actively-managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30677)

ERNY Financial ETF Trust, et al.

An order has issued on an application filed by ERNY Financial ETF Trust, et al. The order permits: (a) series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30678)

Franklin Templeton International Trust, et al.

A notice has been issued giving interested persons until September 23, 2013 to request a hearing on an application filed by Franklin Templeton International Trust, et al. for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would supersede a prior order and permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30679)

Horizons ETFs Management (USA) LLC and Horizons ETF Trust

A notice has been issued giving interested persons until September 23, 2013, to request a hearing on an application filed by Horizons ETFs Management (USA) LLC and Horizons ETF Trust for an order to permit: (a) actively-managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30680)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by BATS Exchange, Inc., to establish a revenue sharing program (SR-BATS-2013-045) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934.  Publication is expected in the Federal Register during the week of August 26th. (Rel. 34-70264)

A proposed rule change filed by Financial Industry Regulatory Authority, Inc. to revise the Series 16 examination program (SR-FINRA-2013-032) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 26th. (Rel. 34-70268)

A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-106) to Amend Rule 7026 has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934.  Publication of the proposal is expected to be made in the Federal Register during the week of August 26th. (Rel. 34-70269)

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-84) to amend Phlx Rule 910 and related Phlx Rules has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934.  Publication is expected in the Federal Register during the week of August 26th. (Rel. 34-70270)

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-88) filed by NASDAQ OMX PHLX LLC to provide additional trading information and rule clarity to Phlx participants has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934.  Publication is expected in the Federal Register during the week of August 26th. (Rel. 34-70271)

Notice of Proposed Rule Change

The Financial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2013-035) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook. Publication is expected in the Federal Register during the week of August 26th. (Rel. 34-70272)

Approval of a Proposed Rule Change

The Commission granted approval of a proposed rule change (SR-NSCC-2013-09) submitted by National Securities Clearing Corporation (NSCC) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, relating to the decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service. Publication is expected in the Federal Register during the week of August 26th. (Rel. 34-70263)

National Market System Plans

A proposed amendment to the National Market System Plan to Address Extraordinary Market Volatility (File No. 4-631) filed by NYSE Euronext, on behalf of New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc., and the following parties to the National Market System Plan: BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, the Nasdaq Stock Market LLC, and National Stock Exchange, Inc. has become effective pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 of Regulation NMS thereunder. Publication of the notice is expected to be made in the Federal Register during the week of August 26th. (Rel. 34-70273)

Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 of Regulation NMS thereunder, NYSE Euronext, on behalf of New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc., and the following parties to the National Market System Plan: BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, the Nasdaq Stock Market LLC, and National Stock Exchange, Inc. filed a proposed amendment to the National Market System Plan to Address Extraordinary Market Volatility (File No. 4-631). Publication of the notice is expected to be made in the Federal Register during the week of August 26th. (Rel. 34-70274)

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-4     AMERICAN EQUITY INVESTMENT LIFE HOLDING CO, 6000 WESTOWN PARKWAY, 
        WEST DEMOINES, IA, 50266, 5152210002 - 0 ($69,735,946.79) Equity, 
        (File 333-190809 - Aug. 26) (BR. 01A)

S-4     AMERICAN EQUITY INVESTMENT LIFE HOLDING CO, 6000 WESTOWN PARKWAY, 
        WEST DEMOINES, IA, 50266, 5152210002 - 0 ($96,476,000.00) Equity, 
        (File 333-190810 - Aug. 26) (BR. 01A)

S-4     Bank of Marin Bancorp, 504 REDWOOD BOULEVARD, SUITE 100, NOVATO, CA, 
        94947, 415-763-7781 - 0 ($17,749,720.00) Equity, (File 333-190811 - 
        Aug. 26) (BR. 07C)

S-8     E-HOUSE (CHINA) HOLDINGS LTD, 17/F MERCHANDISE HARVEST BUILDING (EAST), 
        NO. 333 NORTH CHENGDU ROAD, SHANGHAI, F4, 200041, (86-21) 5298 0808 - 
        0 ($40,798,206.00) ADRs/ADSs, (File 333-190812 - Aug. 26) (BR. 08B)

S-1     RingCentral Inc, 1450 Fashion Island Blvd, Suite 680, San Mateo, CA, 
        94404, 6506556900 - 0 ($100,000,000.00) Equity, (File 333-190815 - 
        Aug. 26) (BR. 03A)

S-3     Anacor Pharmaceuticals, Inc., 1020 E. MEADOW CIRCLE, PALO ALTO, CA, 
        94303, 650-543-7500 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-190819 - Aug. 26) (BR. 01A)

S-4     Kansas City Southern de Mexico, S.A. de C.V., MONTES URALES NO. 625, 
        COL. LOMAS DE CHAPULTEPEC, MEXICO CITY, O5, 11000, 011525591785836 - 
        0 ($725,000,000.00) Debt, (File 333-190820 - Aug. 26) (BR. 05B)

S-4     FREEPORT MCMORAN COPPER & GOLD INC, 333 NORTH CENTRAL AVENUE, PHOENIX, 
        AZ, 85004, 6023668100 - 0 ($6,500,000,000.00) Debt, (File 333-190821 - 
        Aug. 26) (BR. 09B)

S-3ASR  SCHLUMBERGER LTD /NV/, 5599 SAN FELIPE, 17TH FLOOR, HOUSTON, TX, 77056, 
        7135132000 - 0 ($0.00) Debt, (File 333-190822 - Aug. 26) (BR. 04A)

S-1     Violin Memory Inc, 685 CLYDE AVE, MOUNTAIN VIEW, CA, 94043, 
        650-396-1500 - 0 ($172,500,000.00) Equity, (File 333-190823 - Aug. 26) 
        (BR. 03)

S-8     CIRTRAN CORP, 4125 SOUTH 6000 WEST, WEST VALLEY CITY, UT, 84128, 
        8019635112 - 211,800,000 ($105,900.00) Equity, (File 333-190824 - 
        Aug. 26) (BR. 09A)

S-3     Lumos Networks Corp., ONE LUMOS PLAZA, P.O. BOX 1068, WAYNESBORO, VA, 
        22980, 540-946-2000 - 5,680,837 ($91,631,900.81) Equity, 
        (File 333-190825 - Aug. 26) (BR. 11C)

S-8     STANCORP FINANCIAL GROUP INC, 1100 S W SIXTH AVENUE, PORTLAND, OR, 
        97204, 5033217000 - 0 ($119,394,000.00) Equity, (File 333-190826 - 
        Aug. 26) (BR. 01B)

S-1     TransUnion Holding Company, Inc., 555 WEST ADAMS STREET, CHICAGO, IL, 
        60661, (312) 985-2000 - 0 ($1.00) Debt, (File 333-190827 - Aug. 26) 
        (BR. 11A)

S-1     Premier, Inc., 13034 BALLANTYNE CORPORATE PLACE, CHARLOTTE, NC, 28277, 
        704-357-0022 - 0 ($100,000,000.00) Equity, (File 333-190828 - Aug. 26) 
        (BR. 08B)

S-1     LDR HOLDING CORP, 13785 RESEARCH BOULEVARD, SUITE 200, AUSTIN, TX, 
        78750, 512-344-3333 - 0 ($69,000,000.00) Equity, (File 333-190829 - 
        Aug. 26) (BR. 10A)

              

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


99 CENTS ONLY STORES                    CA       5.02                 08/23/13

AASTROM BIOSCIENCES INC                 MI       5.02,7.01,9.01       08/23/13

ABERCROMBIE & FITCH CO /DE/             DE       2.02,8.01,9.01       08/20/13

Accretive Health, Inc.                  DE       5.02                 08/24/13

ACURA PHARMACEUTICALS, INC              NY       8.01,9.01            08/26/13

ADMA BIOLOGICS, INC.                    DE       5.03,9.01            08/20/13

ADVANCED PHOTONIX INC                   DE       5.07                 08/23/13

Advanced Voice Recognition Systems, I   NV       1.01,3.02,9.01       08/21/13

AEHR TEST SYSTEMS                       CA       1.01,2.03,9.01       08/21/13

Allison Transmission Holdings Inc       DE       1.01,9.01            08/26/13

AlphaMetrix Managed Futures III LLC     DE       5.02                 08/23/13

AlphaMetrix Managed Futures LLC         DE       5.02                 08/23/13

AMERIANA BANCORP                        IN       8.01                 08/26/13

AMERICAN EAGLE ENERGY Corp              NV       7.01,9.01            08/26/13

AMERICAN EQUITY INVESTMENT LIFE HOLDI   IA       8.01,9.01            08/23/13

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            08/26/13

AMERICAN SAFETY INSURANCE HOLDINGS LT            5.07,8.01,9.01       08/26/13

AMGEN INC                               DE       1.01,2.03,8.01,9.01  08/24/13

AMR CORP                                DE       7.01,9.01            08/26/13

ARGAN INC                               DE       8.01,9.01            08/22/13

As Seen On TV, Inc.                     FL       7.01,9.01            08/26/13

BANK OF THE OZARKS INC                  AR       5.02                 08/22/13

BASIC ENERGY SERVICES INC                        5.02,9.01            08/26/13

BEL FUSE INC /NJ                        NJ       7.01,9.01            08/20/13

BEST BUY CO INC                         MN       7.01                 08/26/13

BIG LOTS INC                            OH       8.01,9.01            08/26/13

BIOGEN IDEC INC.                        DE       5.02,9.01            08/23/13

BIOMARIN PHARMACEUTICAL INC             DE       3.02                 08/22/13

BLACKBAUD INC                                    5.02                 08/23/13

BOSTON BEER CO INC                      MA       7.01                 08/26/13

C H ROBINSON WORLDWIDE INC              DE       1.01,2.03,7.01,8.01, 08/23/13
						9.01          

CAPITOL BANCORP LTD                     MI       5.02                 08/26/13

CareView Communications Inc             NV       1.01,2.03,9.01       08/20/13

CECO ENVIRONMENTAL CORP                 DE       8.01,9.01            08/26/13

CenterState Banks, Inc.                 FL       7.01                 08/26/13

CHEMUNG FINANCIAL CORP                  NY       8.01,9.01            08/26/13

CIGNA CORP                              DE       7.01                 08/26/13

CODESMART HOLDINGS, INC.                FL       1.01,2.01,3.02,9.01  08/20/13

CODESMART HOLDINGS, INC.                FL       7.01                 08/26/13

COLE REAL ESTATE INCOME STRATEGY (DAI   MD       1.01,3.03,5.03,9.01  08/26/13

COLUMBIA PROPERTY TRUST, INC.           MD       1.01,2.03,7.01,9.01  08/21/13

COMPUWARE CORP                          MI       8.01                 08/26/13

CorMedix Inc.                           DE       8.01,9.01            08/22/13

CORPORATE PROPERTY ASSOCIATES 18 GLOB   MD       2.01,9.01            08/20/13

Corporate Resource Services, Inc.       DE       8.01,9.01            08/26/13

COSI INC                                DE       3.01,9.01            08/20/13

COUPON EXPRESS, INC.                    NV       2.03,9.01            08/21/13

CRACKER BARREL OLD COUNTRY STORE, INC            5.02                 08/22/13

CRAWFORD & CO                           GA       7.01,9.01            08/26/13

CVR ENERGY INC                          DE       7.01,9.01            08/26/13

CVR Refining, LP                        DE       7.01,9.01            08/26/13

CYANOTECH CORP                          NV       8.01                 06/30/13

DAKTRONICS INC /SD/                     SD       5.02,5.07            08/26/13

DAKTRONICS INC /SD/                     SD       7.01,9.01            08/26/13

DALECO RESOURCES CORP                   NV       5.02                 08/21/13

Dana Resources                          WY       1.01,5.02,8.01       08/09/13

DARLING INTERNATIONAL INC               DE       8.01,9.01            08/26/13

DARLING INTERNATIONAL INC               DE       1.01,8.01,9.01       08/23/13

DecisionPoint Systems, Inc.             DE       2.02                 08/20/13

DOVER Corp                              DE       5.02,9.01            08/22/13

Dynacast International Inc.             DE       2.02,9.01            08/26/13

E TRADE FINANCIAL Corp                  DE       5.02                 08/26/13

EDISON INTERNATIONAL                    CA       8.01                 08/26/13

EDISON INTERNATIONAL                    CA       7.01,9.01            08/26/13

El Paso Pipeline Partners, L.P.         DE       7.01                 08/23/13

ELEPHANT TALK COMMUNICATIONS CORP       DE       2.03                 08/22/13    AMEND

ETERNITY HEALTHCARE INC.                NV       1.01,3.02            08/26/13

FBL FINANCIAL GROUP INC                 IA       1.02,8.01            08/26/13

Federal Home Loan Bank of Boston        X1       2.03                 08/20/13

Federal Home Loan Bank of Boston        X1       5.02                 08/20/13

Fibrocell Science, Inc.                 DE       5.02,9.01            08/26/13

FS Investment CORP                      MD       5.07                 08/26/13

FULLNET COMMUNICATIONS INC              OK       4.01                 08/23/13

FURNITURE BRANDS INTERNATIONAL INC      DE       3.01,9.01            08/23/13

GOLDFIELD CORP                          DE       8.01,9.01            08/26/13

Graystone Co                            DE       3.02                 08/21/13

GREEN ENERGY RENEWABLE SOLUTIONS, INC   FL       5.02,5.03            08/15/13

GRIFFIN LAND & NURSERIES INC            DE       7.01,9.01            08/26/13

GS Mortgage Securities Trust 2013-GCJ   DE       8.01,9.01            08/26/13

HANSEN MEDICAL INC                      DE       1.01,1.02,8.01,9.01  08/23/13

HERTZ GLOBAL HOLDINGS INC                        3.02                 08/20/13

HIPCRICKET, INC.                        DE       5.03,8.01,9.01       08/23/13

HOME LOAN SERVICING SOLUTIONS, LTD.     E9       7.01,9.01            08/26/13

HOPFED BANCORP INC                      DE       1.01,1.02,9.01       08/23/13

Hudson Pacific Properties, Inc.         MD       9.01                 08/26/13

Huntsman CORP                           DE       1.01,2.03,9.01       08/22/13

iGo, Inc.                               DE       5.02,8.01,9.01       08/23/13

IMMUNE PHARMACEUTICALS INC                       1.01                 08/20/13

India Globalization Capital, Inc.       MD       1.01,9.01            08/26/13

INERGY L P                              DE       5.02                 08/21/13

INERGY MIDSTREAM, L.P.                  DE       5.02                 08/21/13

InfuSystem Holdings, Inc                DE       8.01,9.01            08/26/13

InspireMD, Inc.                         DE       8.01,9.01            08/26/13

IntelGenx Technologies Corp.            DE       8.01                 08/26/13

JBI, INC.                               NV       2.05,9.01            08/20/13

JDS UNIPHASE CORP /CA/                  DE       5.02                 08/20/13

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 08/23/13

KINDER MORGAN MANAGEMENT LLC            DE       7.01                 08/23/13

KINDER MORGAN, INC.                     DE       7.01                 08/23/13

KINDRED HEALTHCARE, INC                 DE       1.01,2.03,7.01,9.01  08/21/13

LACLEDE GROUP INC                       MO       1.01,9.01            08/26/13

LANTRONIX INC                           DE       5.02,9.01            08/22/13

LEGGETT & PLATT INC                     MO       1.01,2.03,9.01       08/22/13

LEXARIA CORP.                           NV       1.01,3.02,7.01,9.01  08/26/13

LIFEPOINT HOSPITALS, INC.                        1.01,3.03,9.01       08/23/13

Lion Lam Diamond Inc                             4.01,9.01            08/26/13    AMEND

LIPOSCIENCE INC                         DE       5.02                 08/20/13

LITHIA MOTORS INC                       OR       5.03,9.01            08/20/13

LSI INDUSTRIES INC                      OH       2.02,9.01            08/22/13

LSI INDUSTRIES INC                      OH       5.02,9.01            08/20/13

Lumos Networks Corp.                    VA       8.01,9.01            08/26/13

MACROSOLVE INC                          OK       2.02,9.01            08/14/13

MAD CATZ INTERACTIVE INC                Z4       1.01,9.01            08/23/13

MAGELLAN GOLD Corp                      NV       7.01,9.01            08/26/13

MANNKIND CORP                           DE       7.01,9.01            08/26/13

MET PRO CORP                            PA       8.01,9.01            08/26/13

MILLER ENERGY RESOURCES, INC.           TN       7.01,8.01,9.01       08/17/13

MILLER ENERGY RESOURCES, INC.           TN       8.01                 08/26/13

Mount Knowledge Holdings, Inc.          NV       4.01,9.01            08/21/13

Myriad Interactive Media, Inc.          DE       3.02,5.03,9.01       08/22/13

NET 1 UEPS TECHNOLOGIES INC                      5.02                 08/21/13

NEW AMERICA ENERGY CORP.                NV       5.01,5.02,9.01       08/19/13

Nexus Enterprise Solutions, Inc.        WY       5.02                 08/23/13

NGA Holdco, LLC                         NV       1.01                 08/22/13

NORDSTROM INC                           WA       8.01,9.01            08/26/13

OFFICE DEPOT INC                        DE       5.02,5.07            08/20/13

ONLINE YEARBOOK                         NV       1.01,9.01            07/15/13

ONYX PHARMACEUTICALS INC                DE       1.01,8.01,9.01       08/24/13

ORRSTOWN FINANCIAL SERVICES INC         PA       5.02,7.01,9.01       08/22/13

OXYGEN BIOTHERAPEUTICS, INC.            DE       1.01,1.02,3.02,9.01  08/22/13

PACIFIC CONTINENTAL CORP                OR       7.01,9.01            08/23/13

Pacific Green Technologies Inc.         DE       4.01,9.01            07/22/13    AMEND

Panache Beverage, Inc.                           1.01,2.03            08/22/13

PARK CITY GROUP INC                     NV       7.01,8.01            08/26/13

Patriot Berry Farms, Inc.               NV       1.01,9.01            08/01/13

Pershing Gold Corp.                     NV       1.01,3.02            08/22/13

PHAR MOR INC                            PA       7.01                 08/26/13

Pinnacle Foods Inc.                     DE       8.01                 08/23/13

ProUroCare Medical Inc.                 NV       5.07,7.01,9.01       08/22/13

Rango Energy, Inc.                      NV       7.01,9.01            08/26/13

REALOGY HOLDINGS CORP.                  DE       5.02                 08/26/13

RED MOUNTAIN RESOURCES, INC.            FL       1.01,2.03,8.01,9.01  08/22/13

REPUBLIC SERVICES, INC.                 DE       5.02,8.01,9.01       08/26/13

RESPONSE GENETICS INC                            1.01,2.01,8.01,9.01  08/23/13

RIGEL PHARMACEUTICALS INC               DE       8.01,9.01            08/26/13

ROYAL CARIBBEAN CRUISES LTD                      1.01,2.03,9.01       08/23/13

RR Donnelley & Sons Co                  DE       8.01,9.01            08/26/13

SANGAMO BIOSCIENCES INC                 DE       1.01,9.01            08/23/13

Sanomedics International Holdings, In   DE       8.01,9.01            08/26/13

SB FINANCIAL GROUP, INC.                OH       5.02,9.01            08/21/13

SBT Bancorp, Inc.                       CT       5.02,9.01            08/26/13

SECURITY NATIONAL FINANCIAL CORP        UT       5.07                 08/23/13

SHENANDOAH TELECOMMUNICATIONS CO/VA/    VA       8.01,9.01            08/26/13

SHERWIN WILLIAMS CO                     OH       1.01                 08/21/13

SKULLCANDY, INC.                                 5.02                 08/23/13

SMARTHEAT INC.                          NV       1.01,8.01,9.01       08/23/13

SOUTHERN CO                             DE       8.01,9.01            08/23/13

Spansion Inc.                           DE       1.01,2.03,3.02,8.01, 08/20/13
						9.01          

Spectra Energy Corp.                    DE       5.03,9.01            08/20/13

Spirit AeroSystems Holdings, Inc.       DE       5.02,9.01            08/23/13

STAGE STORES INC                        NV       2.02,9.01            08/22/13

STAGE STORES INC                        NV       8.01,9.01            08/23/13

Steel Excel Inc.                        DE       8.01,9.01            08/23/13

STILLWATER MINING CO /DE/               DE       7.01,8.01            08/23/13

Strategic Realty Trust, Inc.            MD       5.03,9.01            08/22/13

TAUBMAN CENTERS INC                     MI       8.01,9.01            08/26/13

TMS International Corp.                 DE       1.01,5.07,8.01,9.01  08/23/13

True Drinks Holdings, Inc.              NV       2.03,3.02            08/23/13

tw telecom inc.                         DE       1.01,2.03,8.01,9.01  08/26/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            08/26/13

Twin Cities Power Holdings, LLC         MN       1.01,2.03,9.01       08/22/13

TWO RIVER BANCORP                       NJ       7.01,9.01            08/26/13

U.S. Well Services, LLC                 DE       7.01,9.01            08/26/13

UIL HOLDINGS CORP                       CT       2.06                 08/26/13

Unilife Corp                            DE       5.07,7.01,9.01       08/22/13

UniTek Global Services, Inc.            DE       3.01,9.01            08/26/13

VALOR GOLD CORP.                        DE       3.02,9.01            08/20/13

VECTREN CORP                            IN       1.01,9.01            08/22/13

VENZA GOLD CORP.                        A1       7.01,9.01            08/22/13

VERINT SYSTEMS INC                      DE       7.01,9.01            08/26/13

VERMILLION, INC.                        DE       1.02                 08/26/13

Vitamin Shoppe, Inc.                    DE       5.03,9.01            08/21/13

Volcano Corp                            DE       8.01,9.01            08/23/13

WABCO Holdings Inc.                     DE       1.01,2.03,9.01       08/23/13

WELLS FARGO & COMPANY/MN                DE       9.01                 08/26/13

WEST PHARMACEUTICAL SERVICES INC        PA       5.03,9.01            08/23/13

WILLIS LEASE FINANCE CORP               DE       1.01,2.03,9.01       08/21/13

Wizard World, Inc.                      DE       3.02                 08/21/13

Yosen Group, Inc.                       NV       3.02,9.01            08/23/13

ZION OIL & GAS INC                      DE       5.02                 08/26/13

ZION OIL & GAS INC                      DE       8.01,9.01            08/26/13



              

http://www.sec.gov/news/digest/2013/dig082713.htm


Modified: 08/29/2013