News Digest, September 3, 2013

Commission announcements

Advisory Committee on Small and Emerging Companies Meeting Announcement: Tuesday, September 17, 2013 at 9:30 a.m.

The Securities and Exchange Commission ("Commission") published notice of the Advisory Committee on Small and Emerging Companies meeting (Release No. 33-9445), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. For further information, please contact the Office of the Secretary at (202) 551-5400.

ENFORCEMENT PROCEEDINGS

Commission Charges Purported Money Manager with Defrauding Investors and Brokerage Firms

The Commission today charged a purported money manager in New York with conducting a free-riding scheme to defraud three brokerage firms, and then bilking several investors out of nearly a half-million dollars that he stole to fund his luxurious lifestyle that included a Bentley automobile, summers in the Hamptons, and casino junkets.

The SEC alleges that Ronald Feldstein caused more than $2 million in losses for the brokerage firms that he victimized in the free-riding scheme, which occurs when customers buy or sell securities in their brokerage accounts without having the money or shares to actually pay for them. Feldstein opened three separate brokerage accounts in the names of two purported investment funds that he created. He had no intention to pay for the stocks that he purchased if they resulted in big losses. Feldstein planned to walk away from any transactions where the price declined substantially after the trade date, and planned to use sales proceeds to pay for the purchases if the price of a stock increased.

The SEC further alleges that Feldstein later began soliciting investments by targeting owners of businesses that he had frequented for decades, including a dry cleaner and a car leasing and servicing company. Feldstein convinced them to provide funds for him to invest on their behalf, promising such profitable opportunities as a successful hedge fund, a promising penny stock, and an initial public offering (IPO) of a fashion company. However, Feldstein never invested this money, instead converting it for his personal use without their knowledge.

"Without sufficient assets to pay for his stock purchases, Feldstein illegally arranged trades in which he got the profits if he won and left brokerage firms holding the bag if he lost," said Andrew M. Calamari, Director of the SEC&'s New York Regional Office. "Then Feldstein used blatantly false promises to lure longtime acquaintances to pour their life savings into his investment schemes that were footing the bill for his luxurious lifestyle."

According to the SEC&'s complaint filed in U.S. District Court in the Southern District of New York, Feldstein and the two purported investment funds - Mara Capital Management LLC and Vita Health of America LLC - traded through a type of account that brokerage firms offer to customers with the understanding that the customer has sufficient assets held with a third-party custodial bank to cover the cost of the trades. Feldstein and the funds never disclosed to three broker-dealers that they were simply gambling with the brokerage firms&' money. Their plan was to refuse to issue instructions to settle the trades, and stick the broker-dealers with the unprofitable positions. The free-riding scheme began in September 2008 and continued until February 2009. (Press Rel. 2013-171; LR- 22791)

Commission Charges Former Chairman and CEO of CECO Environmental Corp. and API Technologies Corp. with Insider Trading and Other Violations

The Commission has charged Phillip J. DeZwirek (DeZwirek), the former CEO, Chairman, and 10% beneficial owner of both CECO Environmental Corp. (CECO) and API Technologies Corp. (API), with insider trading on three separate occasions and engaging in hundreds of violations of the trade reporting and ownership disclosure rules of the federal securities laws. DeZwirek has agreed to settle the charges, without admitting or denying the allegations in the Commission&'s complaint, by, among other things, paying a total of over $1.5 million in disgorgement of ill-gotten gains, prejudgment interest, and a civil penalty. He also agreed to be barred from serving as an officer or director of a public company for five years.

The Commission&'s complaint, filed August 30, 2013, in the U.S. District Court for the Southern District of New York, alleges that DeZwirek engaged in insider trading by purchasing CECO stock ahead of two press releases issued in March and October 2008 announcing new contract bookings. The Complaint further alleges that DeZwirek bought API stock before the company announced the acquisition of a privately held company in January 2011. The Complaint also alleges that DeZwirek failed to file amended Schedules 13D and Forms 4 and 5 disclosing 268 purchases and sales of CECO and API stock that he executed between 2008 and 2010.

DeZwirek has consented to the entry of a final judgment that permanently enjoins him from future violations of Sections 10(b), 13(d), and 16(a) of the Securities Exchange Act of 1934, and Rules 10b-5, 13d-2, and 16a-3 thereunder. The final judgment also orders DeZwirek to pay disgorgement of $151,278, plus prejudgment interest of $11,714.50, a civil money penalty of $1,361,278, and imposes upon him a five-year officer-and-director bar.

The Commission acknowledges the assistance of the Financial Industry Regulatory Authority. [SEC v. Phillip J. DeZwirek, Civil Action No. 13-CIV-6135 (S.D.N.Y.)] (LR- 22790).

In the Matter of Gary A. Collyard

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Gary A. Collyard ("Collyard").

The Division of Enforcement alleges in the Order that, on February 27, 2012, Collyard pled guilty to one count of conspiracy to commit securities fraud in violation of 18 U.S.C. 371, and one count of conspiracy to commit bank fraud in violation of 18 U.S.C. 371, before the United States District Court for the District of Minnesota in United States v. Gary A. Collyard, 12-CR-58 (SRN). The Division further alleges that, on August 1, 2013, the court entered a judgment against Collyard, which sentenced him to a prison term of 120 months followed by three years of supervised release and ordered him to make restitution in the amount of $5,672,994.44. The counts of the criminal information to which Collyard pled guilty alleged, inter alia, that Collyard, conspiring with others, and by the use of means and instrumentalities of interstate commerce, used and employed manipulative and deceptive devices and contrivances in connection with the sale of the securities of Bixby Energy Systems, Inc. ("Bixby"), and made untrue statements of material facts and omitted to state material facts necessary in order to make the statements not misleading in connection with the sale of such securities. Finally, the Division alleges that for a portion of the time that he was engaged in the conduct underlying the criminal information, Collyard acted as an unregistered broker or dealer in connection with the offer and sale of Bixby securities.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Collyard an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate. The Order directs the Administrative Law Judge to issue an initial decision within 210 days after service of the Order. (Rel. 34-70300)

Investment company orders

Notice of Applications for Deregistration under the Investment Company Act of 1940

For the month of August 2013, a notice has been issued giving interested persons until September 24, 2013, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:

Morgan Stanley Frontier Emerging Markets Fund, Inc. [File No. 811-22202]
Clarity Fund, Inc. [File No. 811-22372]
Malaysia Fund, Inc. [File No. 811-5082]
Mill City Ventures III, Ltd. [File No. 811-22778]
UBS Municipal Money Market Series [File No. 811-6173]
Claymore Emerging Markets Opportunities Fund [File No. 811-22088]
Guggenheim Limited Duration Total Return Trust [File No. 811-22343]
Monetta Fund, Inc. [File No. 811-4466]
Seligman Pennsylvania Municipal Fund Series [File No. 811-4666]
Seligman High Income Fund Series [File No. 811-4103]
Seligman Income and Growth Fund, Inc. [File No. 811-525]
Seligman New Jersey Municipal Fund, Inc. [File No. 811-5126]
Seligman Core Fixed Income Fund, Inc. [File No. 811-10423]
Seligman Common Stock Fund, Inc. [File No. 811-234]
Seligman Municipal Series Trust [File No. 811-4250]
RiverSource California Tax-Exempt Trust [File No. 811-4646]
Seligman Municipal Fund Series Inc. [File No. 811-3828]
RiverSource Tax-Exempt Money Market Series, Inc. [File No. 811-3003]
American Israeli Shared Values Trust [File No. 811-22119]
RiverSource LaSalle International Real Estate Fund, Inc. [File No. 811-22031]
Separate Account VA EE [File No. 811-22182]
Separate Account VA W [File No. 811-21594]
Separate Account VA C [File No. 811-09503]
Separate Account VA Y [File No. 811-21858]
Separate Account VA X [File No. 811-21776]
Separate Account VA M [File No. 811-22622]
Separate Account VA HNY [File No. 811-22183]
Separate Account VA WNY [File No. 811-21663]
Separate Account VA YNY [File No. 811-22138]
Separate Account VA N [File No. 811-22623]
Separate Account VA PP [File No. 811-22531]

(Rel. IC-30683 - August 30, 2013)

Aspiriant Global Equity Trust
Aspiriant, LLC

An order has been issued on an application filed by Aspiriant Global Equity Trust and Aspiriant, LLC under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 15(a) of the Act and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30684 - September 3, 2013)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-082) relating to the Options Regulatory Fee has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70302)

A proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2013-032) relating to the Options Regulatory Fee has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70301)

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     Opko Health, Inc., 4400 BISCAYNE BLVD., SUITE 900, MIAMI, FL, 33137, 
        305-575-6015 - 0 ($65,410,003.00) Equity, (File 333-190899 - Aug. 30) 
        (BR. 01A)

S-8     Opko Health, Inc., 4400 BISCAYNE BLVD., SUITE 900, MIAMI, FL, 33137, 
        305-575-6015 - 0 ($171,400,000.00) Equity, (File 333-190900 - Aug. 30) 
        (BR. 01A)

S-8     Telenav, Inc., 950 DE GUIGNE DRIVE, SUNNYVALE, CA, 94085, 
        (408) 245-3800 - 1,573,651 ($9,205,858.35) Equity, (File 333-190901 - 
        Aug. 30) (BR. 05C)

S-4     Fidelity National Financial, Inc., 601 RIVERSIDE AVENUE, JACKSONVILLE, 
        FL, 32204, 904-854-8100 - 0 ($855,790,319.00) Equity, 
        (File 333-190902 - Aug. 30) (BR. 01B)

S-1     Marketo, Inc., 901 MARINERS ISLAND BLVD., SUITE 200, SAN MATEO, CA, 
        94404, 650 376-2300 - 0 ($248,538,000.00) Equity, (File 333-190903 - 
        Aug. 30) (BR. 03A)

S-1     AMC ENTERTAINMENT HOLDINGS, INC., 920 MAIN STREET, KANSAS CITY, MO, 
        64105, 816-221-4000 - 0 ($400,000,000.00) Equity, (File 333-190904 - 
        Aug. 30) (BR. 05B)

S-3D    TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, 
        CHICAGO, IL, 60602, 3126301900 - 1,500,000 ($42,180,000.00) Equity, 
        (File 333-190907 - Aug. 30) (BR. 11A)

F-3     PRANA BIOTECHNOLOGY LTD, LEVEL 2, 369 ROYAL PARADE, 
        PARKVILLE, VICTORIA, C3, 3052, 61-3-9349-4906 - 
        0 ($7,864,000.00) ADRs/ADSs, (File 333-190908 - Aug. 30) (BR. 01B)

S-3ASR  ENTERGY CORP /DE/, 639 LOYOLA AVE, NEW ORLEANS, LA, 70113, 5045764000 - 
        0 ($0.00) Debt, (File 333-190911 - Aug. 30) (BR. 02C)

S-4     Midstates Petroleum Company, Inc., 4400 POST OAK PARKWAY, SUITE 1900, 
        HOUSTON, TX, 77027, 713-595-9400 - 0 ($700,000,000.00) Debt, 
        (File 333-190914 - Aug. 30) (BR. 04B)

S-4     Midstates Petroleum Company, Inc., 4400 POST OAK PARKWAY, SUITE 1900, 
        HOUSTON, TX, 77027, 713-595-9400 - 0 ($600,000,000.00) Debt, 
        (File 333-190915 - Aug. 30) (BR. 04B)

S-4     Healthcare Trust of America Holdings, LP, 
        16427 N. SCOTTSDALE ROAD, SUITE 440, SCOTTSDALE, AZ, 85254, 
        480-998-3478 - 300,000,000 ($300,000,000.00) Debt, (File 333-190916 - 
        Aug. 30) (BR. )

S-3ASR  PEPCO HOLDINGS INC, SUITE 1300, 701 NINTH STREET, NW, WASHINGTON, DC, 
        20068, 202-872-2000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-190917 - Aug. 30) (BR. 02A)

S-8     QIWI, 12-14 KENNEDY AVE., KENNEDY BUSINESS CENTRE, OFFICE 203, NICOSIA, 
        G4, 1087, 01135722653390 - 0 ($80,071,331.00) Equity, 
        (File 333-190918 - Aug. 30) (BR. 02)

S-8     PACIFIC MERCANTILE BANCORP, 949 SOUTH COAST DRIVE, THIRD FLOOR, 
        COSTA MESA, CA, 92626, 714-438-2500 - 0 ($4,808,000.00) Equity, 
        (File 333-190919 - Aug. 30) (BR. 07C)

S-8     Sprouts Farmers Market, Inc., 11811 N. TATUM BOULEVARD SUITE 2400, 
        PHOENIX, AZ, 85028, 480-814-8016 - 0 ($402,280,689.60) Equity, 
        (File 333-190920 - Aug. 30) (BR. 02)

S-1     RMG Networks Holding Corp, 615 N. WABASH, CHICAGO, IL, 60611, 
        972-543-9502 - 63,000 ($519,750.00) Equity, (File 333-190921 - Aug. 30) 
        (BR. 03C)

N-2     Nuveen Energy MLP Total Return Fund, 333 WEST WACKER DRIVE, CHICAGO, 
        IL, 60606, 312-917-8146 - 1,000 ($19,450.00) Equity, (File 333-190922 - 
        Aug. 30) (BR. 18)

S-3ASR  PEPCO HOLDINGS INC, SUITE 1300, 701 NINTH STREET, NW, WASHINGTON, DC, 
        20068, 202-872-2000 - 0 ($123,565,000.00) Equity, (File 333-190923 - 
        Aug. 30) (BR. 02A)

S-4     BLUE RIDGE REAL ESTATE CO, PO BOX 707, ROUTE 940 AND MOSEYWOOD RD, 
        BLAKESLEE, PA, 18610, 5704438433 - 5,464,884 ($48,090,979.00) Equity, 
        (File 333-190924 - Aug. 30) (BR. 08C)

S-3ASR  Booz Allen Hamilton Holding Corp, 8283 GREENSBORO DRIVE, MCLEAN, VA, 
        22102, 703-902-5000 - 20,000,000 ($405,800,000.00) Equity, 
        (File 333-190925 - Aug. 30) (BR. 08C)

S-3     SLM FUNDING LLC, 12061 BLUEMONT WAY, V3419, RESTON, VA, 20190, 
        703-810-3000 - 1,000,000 ($1,000,000.00) Other, (File 333-190926 - 
        Aug. 30) (BR. OSF)

S-1     Imperial Holdings, Inc., 701 PARK OF COMMERCE BOULEVARD, SUITE 301, 
        BOCA RATON, FL, 33487, 561-995-4200 - 0 ($60,000,000.00) Debt, 
        (File 333-190927 - Aug. 30) (BR. 01B)

S-3ASR  Extra Space Storage Inc., 2795 COTTONWOOD PARKWAY, SUITE 400, 
        SALT LAKE CITY, UT, 84121, 801-562-5556 - 0 ($243,288,248.50) Equity, 
        (File 333-190928 - Aug. 30) (BR. 08B)

S-1     Arco-Iris Gold Corp, SUITE 22, POSTNET PRIVATE BAG X1006, 
        PLETTENBERG BAY, T3, 6600, 277-64965865 - 0 ($30,000.00) Equity, 
        (File 333-190929 - Aug. 30) (BR. )

S-8     OMNICELL, Inc, 590 E. MIDDLEFIELD ROAD, MOUNTAIN VIEW, CA, 94043, 
        6502516100 - 0 ($54,675,000.00) Equity, (File 333-190930 - Aug. 30) 
        (BR. 03C)

S-3     GLADSTONE COMMERCIAL CORP, 1521 WESTBRANCH DRIVE, SUITE 200, MCLEAN, 
        VA, 22102, 703-287-5853 - 0 ($243,896,665.00) Equity, 
        (File 333-190931 - Aug. 30) (BR. 08C)

S-8     OncoMed Pharmaceuticals Inc, 800 CHESAPEAKE DRIVE, REDWOOD CITY, CA, 
        94063, 650-995-8200 - 0 ($24,586,267.55) Equity, (File 333-190932 - 
        Aug. 30) (BR. 01B)

S-4     RITE AID CORP, 30 HUNTER LANE, CAMP HILL OWN, PA, 17011, 7177612633 - 
        0 ($810,000,000.00) Debt, (File 333-190933 - Aug. 30) (BR. 01A)

S-4     PMC COMMERCIAL TRUST /TX, 17950 PRESTON RD, SUITE 600, DALLAS, TX, 
        75252, 972-349-3200 - 0 ($1,435,551,001.00) Other, (File 333-190934 - 
        Aug. 30) (BR. 08C)

S-8     ALPHA & OMEGA SEMICONDUCTOR Ltd, 475 OAKMEAD PARKWAY, SUNNYVALE, CA, 
        94085, 408-830-9742 - 2,826,000 ($20,799,360.00) Equity, 
        (File 333-190935 - Aug. 30) (BR. 10A)

S-3     Neuralstem, Inc., 9700 GREAT SENECA HIGHWAY, ROCKVILLE, MD, 20850, 
        3013664841 - 0 ($50,000,000.00) Equity, (File 333-190936 - Aug. 30) 
        (BR. 01B)

S-1     Daniels Corporate Advisory Company, Inc., 
        104-60 QUEENS BLVD, SUITE 12-B, FOREST HILLS, NY, 11375, 372-242-3148 - 
        7,590,250 ($3,795,125.00) Equity, (File 333-190937 - Aug. 30) (BR. 08C)

S-3     SLM EDUCATION CREDIT FUNDING LLC, 20 HEMINGWAY DRIVE, PROVIDENCE, RI, 
        02915, 7038107677 - 1,000,000 ($1,000,000.00) Other, (File 333-190938 - 
        Aug. 30) (BR. OSF)

S-3     OvaScience, Inc., 215 FIRST STREET, SUITE 240, CAMBRIDGE, MA, 02142, 
        617-500-2802 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-190939 - Aug. 30) (BR. 01A)

S-1     GEO JS Tech Group Corp., 6360 CORPORATE CRIVE, HOUSTON, TX, 77036, 
        3473410731 - 57,930,000 ($5,793,000.00) Equity, (File 333-190941 - 
        Aug. 30) (BR. )

S-3     Mandalay Digital Group, Inc., 2811 CAHUENGA BOULEVARD WEST, 
        LOS ANGELES, CA, 90068, (323) 472-5461 - 
        6,531,436 ($15,675,446.00) Equity, (File 333-190943 - Aug. 30) (BR. 03B)

S-1     ORION FINANCIAL GROUP Inc, 1739 CREEKSTONE CIRCLE, SAN JOSE, CA, 95133, 
        408 691 0806 - 1,600,000 ($160,000.00) Equity, (File 333-190944 - 
        Aug. 30) (BR. 08C)

S-8     SOPHIRIS BIO INC., 1258 PROSPECT STREET, LA JOLLA, CA, 92037, 
        858-777-1760 - 0 ($10,792,797.00) Equity, (File 333-190945 - Aug. 30) 
        (BR. 01B)

S-4     Independent Bank Group, Inc., 1600 REDBUD BOULEVARD, SUITE 400, 
        MCKINNEY, TX, 75069, (972) 562-9004 - 0 ($6,192,147.00) Equity, 
        (File 333-190946 - Aug. 30) (BR. 07)

S-1     LEGEND INTERNATIONAL HOLDINGS INC, LEVEL 8 580 ST KILDA RD, MELBOURNE, 
        VICTORIA, C3, 8008, 61392341000 - 444,047,971 ($22,202,399.00) Equity, 
        (File 333-190947 - Aug. 30) (BR. 09B)

S-1     Arista Power, Inc., 1999 MOUNT READ BLVD, ROCHESTER, NY, 14615, 
        585-243-4040 - 8,080,000 ($4,040,000.00) Equity, (File 333-190948 - 
        Aug. 30) (BR. 10A)

F-3     Box Ships Inc., 15, Karamanli Avenue, Voula, Athens, J3, 16673, 
        011 30 210 8914 600 - 0 ($14,489,063.00) Equity, (File 333-190949 - 
        Aug. 30) (BR. 05C)

S-1     GREAT WEST LIFE & ANNUITY INSURANCE CO, 8515 E ORCHARD RD, 
        GREENWOOD VILLAGE, CO, 80111, 303-737-3000 - 0 ($1.00) Other, 
        (File 333-190950 - Aug. 30) (BR. 29)

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


3D SYSTEMS CORP                         DE       7.01,9.01            08/29/13

A5 Laboratories Inc.                    NV       7.01,9.01            08/29/13

ADGS Advisory, Inc.                     DE       1.01,2.01,3.02,	 04/12/13    AMEND
						5.01,5.02,5.03,5.06,9.01   

AgFeed Industries, Inc.                 NV       1.01,8.01,9.01       08/26/13

AIR INDUSTRIES GROUP, INC.              DE       1.01,3.03,5.03,9.01  08/30/13

ALASKA COMMUNICATIONS SYSTEMS GROUP I   DE       3.02                 08/29/13

ALLIANCE FIBER OPTIC PRODUCTS INC       CA       8.01,9.01            08/30/13

ALLIANCE ONE INTERNATIONAL, INC.        VA       8.01,9.01            08/30/13

ALTAIR NANOTECHNOLOGIES INC             Z4       5.02                 08/26/13

ALTEX INDUSTRIES INC                    DE       4.01,9.01            08/27/13

AMC ENTERTAINMENT INC                   DE       7.01,9.01            08/30/13

American Heritage International Inc.    NV       1.01,2.01,3.02,	 08/26/13
						3.03,5.01,5.02,5.03,8.01,9.01   

American Magna Corp                     FL       1.01,5.02,9.01       08/26/13

American Realty Capital Trust V, Inc.   MD       8.01,9.01            08/30/13

Antaga International Corp               NV       1.01,9.01            08/29/13

Apple REIT Ten, Inc.                    VA       9.01                 07/26/13    AMEND

Ares Commercial Real Estate Corp        MD       1.01,2.01,3.02,9.01  08/30/13

ARKANSAS BEST CORP /DE/                 DE       8.01                 08/30/13

ARKANSAS BEST CORP /DE/                 DE       7.01,9.01            08/30/13

ARTS WAY MANUFACTURING CO INC           DE       5.07                 04/25/13    AMEND

ATMEL CORP                              DE       5.02                 08/23/13    AMEND

AUTOZONE INC                            NV       5.02,9.01            08/30/13

Avery Dennison Corp                     DE       5.02                 08/27/13

AVIANA, CORP.                           NV       1.01,3.02,5.01,	 08/27/13
						5.02,8.01,9.01     

BASIC ENERGY SERVICES INC                        1.01,9.01            08/29/13

BBX CAPITAL CORP                        FL       7.01,9.01            08/30/13

BFC FINANCIAL CORP                      FL       7.01,9.01            08/30/13

BIGLARI HOLDINGS INC.                   IN       5.07                 04/04/13    AMEND

BIOJECT MEDICAL TECHNOLOGIES INC        OR       1.01,2.03,9.01       08/28/13

BIOLASE, INC                            DE       8.01                 08/26/13

BIOZONE PHARMACEUTICALS, INC.           NV       3.02,9.01            08/26/13

BJs RESTAURANTS INC                     CA       8.01                 08/28/13

BLUE DOLPHIN ENERGY CO                  DE       7.01,9.01            08/30/13

BLUE RIDGE REAL ESTATE CO               PA       1.01,9.01            08/29/13

Blue Water Petroleum Corp.                       7.01,9.01            08/30/13

Bnet Media Group, Inc.                  NV       5.03,9.01            08/30/13

BreitBurn Energy Partners L.P.          DE       9.01                 07/15/13    AMEND

BSQUARE CORP /WA                        WA       1.01,9.01            08/26/13

CAMCO FINANCIAL CORP                    DE       4.01,9.01            08/27/13

CAREER EDUCATION CORP                   DE       5.02                 08/27/13

CARTERS INC                             DE       1.01                 08/29/13

CATERPILLAR FINANCIAL SERVICES CORP     DE       8.01,9.01            08/30/13

CECO ENVIRONMENTAL CORP                 DE       1.01,1.02,2.01,	 08/26/13
						2.03,5.02,5.07,9.01

CEL SCI CORP                            CO       5.02,9.01            08/30/13

CHINA MARINE FOOD GROUP LTD             NV       5.02,9.01            08/30/13

CHS INC                                 MN       8.01                 08/30/13

CIENA CORP                              DE       1.01,9.01            08/29/13

CITIGROUP INC                           DE       8.01,9.01            08/30/13

ClubCorp Club Operations, Inc.          DE       1.01                 08/30/13

CODESMART HOLDINGS, INC.                FL       1.01,2.01,3.02,	 05/03/13    AMEND
						5.01,5.02,5.03,5.06,9.01        

COMARCO INC                             CA       1.01                 08/26/13

COMMERCE GROUP CORP /WI/                         8.01                 08/28/13

Commercial Vehicle Group, Inc.          DE       5.02,9.01            08/27/13

COOPER TIRE & RUBBER CO                 DE       8.01,9.01            08/30/13

CORONADO BIOSCIENCES INC                DE       8.01,9.01            08/30/13

COUNTERPATH CORP                        NV       5.02                 06/30/13

Coyote Resources, Inc.                  NV       5.02,9.01            08/25/13

CROSSTEX ENERGY INC                     DE       1.01,2.03,9.01       08/28/13

CROSSTEX ENERGY LP                      DE       1.01,2.03,9.01       08/28/13

CTS CORP                                IN       8.01                 08/30/13

CUMULUS MEDIA INC                       DE       7.01,8.01,9.01       08/30/13

Curry Gold Corp                                  8.01                 08/30/13

Cyclone Uranium Corp                    NV       2.04                 08/26/13

CYTORI THERAPEUTICS, INC.               DE       5.07                 08/28/13

DEL TORO SILVER CORP.                   NV       1.01,3.02,9.01       08/26/13

DESTINATION XL GROUP, INC.              DE       7.01                 08/29/13

Discover Card Execution Note Trust      DE       1.01,8.01,9.01       08/30/13

Discovery Energy Corp.                  NY       1.01,2.03,9.01       08/26/13

Dividend Capital Diversified Property   MD       8.01                 08/01/13

Duke Energy CORP                        DE       5.02                 08/30/13

EASTGROUP PROPERTIES INC                MD       1.01,2.03,8.01,9.01  08/28/13

EDUCATION MANAGEMENT CORPORATION                 5.02                 08/27/13

EDUCATIONAL DEVELOPMENT CORP            DE       8.01,9.01            08/30/13

ELECTRO RENT CORP                       CA       8.01,9.01            08/30/13

ELECTRONICS FOR IMAGING INC             DE       5.02                 08/29/13

EMCORE CORP                             NJ       1.01,2.03,9.01       08/26/13

Energy Transfer Partners, L.P.          DE       5.02                 08/27/13

EPIQ SYSTEMS INC                        MO       1.01,1.02,2.03,9.01  08/27/13

EQCO2, INC.                                      5.01,5.02,8.01       08/26/13

Esio Water & Beverage Development Cor   NV       5.02,8.01            08/26/13

EVANS BANCORP INC                       NY       7.01                 08/28/13

Evolucia Inc.                           NV       1.01,2.03,3.02,9.01  04/22/13    AMEND

EXACT SCIENCES CORP                     DE       5.02                 08/26/13

Federal Home Loan Bank of Atlanta       X1       5.02,7.01            08/30/13

FIRST REAL ESTATE INVESTMENT TRUST OF   NJ       2.02,9.01            08/30/13

Freescale Semiconductor, Ltd.           D0       8.01                 08/29/13

FRIEDMAN INDUSTRIES INC                 TX       5.02,5.07            08/29/13

FULL HOUSE RESORTS INC                  DE       1.01,2.03,9.01       08/26/13

FX ENERGY INC                           NV       7.01,9.01            08/30/13

Galaxy Gaming, Inc.                              5.02,9.01            08/29/13

GENERAL STEEL HOLDINGS INC              NV       2.02,7.01,9.01       08/30/13

Global Eagle Entertainment Inc.         DE       8.01,9.01            08/29/13

GLOBAL MOBILETECH, INC.                 NV       4.01,9.01            08/26/13

Global Seed Corp                        TX       4.01,9.01            08/30/13

GOLDEN PHOENIX MINERALS INC             NV       5.02                 08/26/13

GREEN DOT CORP                          DE       8.01                 08/28/13

HD Supply Holdings, Inc.                DE       5.02                 08/27/13

HEALTH ENHANCEMENT PRODUCTS INC         NV       5.02,9.01            08/28/13

HELEN OF TROY LTD                                5.07                 08/27/13

HORNBECK OFFSHORE SERVICES INC /LA      DE       2.01,8.01,9.01       08/28/13

HPEV, INC.                              NV       7.01,9.01            08/30/13

Imperial Holdings, Inc.                          8.01,9.01            08/30/13

INERGY L P                              DE       1.01,2.03,9.01       08/28/13

InfuSystem Holdings, Inc                DE       5.07                 08/29/13

InspireMD, Inc.                         DE       8.01,9.01            08/29/13

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       5.02,9.01            08/29/13

Investors Bancorp Inc                   DE       5.02                 08/27/13

INVESTORS REAL ESTATE TRUST             ND       8.01,9.01            08/30/13

ISABELLA BANK CORP                      MI       8.01,9.01            08/29/13

ISABELLA BANK CORP                      MI       5.02,9.01            08/28/13

IsoRay, Inc.                            MN       1.01                 08/30/13

IZEA, Inc.                              NV       3.02                 08/26/13

J C PENNEY CO INC                       DE       8.01,9.01            08/26/13

JBI, INC.                               NV       1.01,2.03,		 08/29/13
						3.02,8.01,9.01          
KEMPER Corp                             DE       5.03,9.01            08/29/13

Lightwave Logic, Inc.                   NV       5.02,9.01            08/29/13

LIME ENERGY CO.                         DE       3.01                 08/27/13

LIQUIDITY SERVICES INC                  DE       5.02                 08/28/13

LKA GOLD Inc /DE/                       DE       5.02,8.01            08/29/13

LSB INDUSTRIES INC                      DE       1.01,9.01            08/28/13

MACERICH CO                             MD       5.02                 08/28/13

MAJESCO ENTERTAINMENT CO                DE       8.01                 08/29/13

MAXYGEN INC                             DE       3.01,3.03,		 08/29/13
						5.02,8.01,9.01          

McEwen Mining Inc.                      CO       7.01,9.01            08/30/13

Media Analytics Corp                    FL       5.03,8.01            08/28/13

MET PRO CORP                            PA       1.02,2.01,3.01,3.03, 08/26/13
						5.01,5.02,5.03,5.07,9.01   

METROSPACES, INC.                       FL       2.02,9.01            08/26/13

MICHAEL BAKER CORP                      PA       1.01,8.01,9.01       08/30/13

MICROSOFT CORP                          WA       8.01,9.01            08/28/13

MILAGRO OIL & GAS, INC.                 DE       8.01,9.01            08/30/13

MISSISSIPPI POWER CO                    MS       7.01                 08/30/13

MOCON INC                               MN       2.02,9.01            08/30/13

MONROE CAPITAL Corp                     MD       7.01,9.01            08/30/13
 
MONSANTO CO /NEW/                       DE       5.02,9.01            08/30/13

MOTORCAR PARTS AMERICA INC              NY       1.01,9.01            08/26/13

MSB FINANCIAL CORP.                     X1       2.02,9.01            08/30/13

MULTIBAND CORP                          MN       1.02,2.01,3.01,3.03, 08/29/13
						5.01,5.02,5.03,5.07,8.01   

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       8.01                 08/29/13

MusclePharm Corp                        NV       1.01,9.01            08/26/13

MVP REIT, Inc.                          MD       9.01                 08/30/13    AMEND

National American University Holdings   DE       5.03,8.01,9.01       08/26/13

NEOMEDIA TECHNOLOGIES INC               DE       5.02,9.01            08/30/13

NEOPHOTONICS CORP                       DE       5.02                 08/26/13

NETSCOUT SYSTEMS INC                    DE       5.07                 08/26/13

Neurotrope, Inc.                        NV       2.01,3.02,4.01,	 08/23/13    AMEND
						5.01,5.02,5.06,9.01

NORTHROP GRUMMAN CORP /DE/                       1.01,1.02,2.03,9.01  08/29/13

NORTHWEST INDIANA BANCORP               IN       8.01,9.01            08/30/13

O REILLY AUTOMOTIVE INC                          8.01                 08/30/13

Opko Health, Inc.                       DE       2.01,5.07,8.01,9.01  08/28/13

Pacific Green Technologies Inc.         DE       1.01,2.01,3.02,9.01  08/27/13

PAULSON CAPITAL CORP                    OR       1.01,3.02,5.02,9.01  07/18/13    AMEND

PEABODY ENERGY CORP                     DE       5.02                 08/30/13

PENSKE AUTOMOTIVE GROUP, INC.           DE       7.01,9.01            08/30/13

PEPCO HOLDINGS INC                      DE       8.01                 08/30/13

PERCEPTRON INC/MI                       MI       1.01,2.02,5.02,9.01  08/27/13

Petro River Oil Corp.                   DE       8.01,9.01            08/30/13

Phillips Edison - ARC Shopping Center   MD       2.01,9.01            06/24/13    AMEND

Physicians Realty Trust                 MD       2.02,9.01            08/30/13

Plandai Biotechnology, Inc.                      1.01,2.03,3.02       08/30/13

PMC COMMERCIAL TRUST /TX                TX       1.01,5.02,9.01       08/30/13

Polar Petroleum Corp.                            1.01,2.03,9.01       06/25/13

POSITIVEID Corp                         DE       1.01,3.02,9.01       08/26/13

Premier Brands, Inc.                    WY       7.01,9.01            08/29/13

PROCYON CORP                            CO       5.02                 01/08/13

PROLOR Biotech, Inc.                    NV       2.01,3.01,3.03,	 08/29/13
						5.01,5.03,9.01     

PRUDENTIAL ANNUITIES LIFE ASSURANCE C   CT       5.03,8.01,9.01       08/30/13

PSM HOLDINGS INC                        DE       1.02,5.02,9.01       08/28/13

RADIAN GROUP INC                        DE       1.01,9.01            08/29/13

Radiation Therapy Services Holdings,    DE       1.01,2.03,8.01,9.01  08/28/13

REDFIN NETWORK, INC.                    NV       5.02,9.01            08/30/13

REPUBLIC FIRST BANCORP INC              PA       1.01                 08/26/13

RMG Networks Holding Corp               DE       5.02,9.01            08/14/13

SAExploration Holdings, Inc.            DE       5.07                 06/21/13    AMEND

Saleen Automotive, INC.                 NV       1.01,2.01,2.03,3.02, 06/26/13    AMEND
						3.03,4.01,5.01,5.02,5.06   

SALESFORCE COM INC                      DE       9.01                 07/11/13    AMEND

Samson Oil & Gas LTD                    C3       8.01,9.01            08/26/13

SANDERSON FARMS INC                     MS       2.02,9.01            08/27/13

SANDY SPRING BANCORP INC                MD       5.02                 08/27/13

SearchCore, Inc.                        NV       3.02,9.01            08/28/13

Sears Hometown & Outlet Stores, Inc.    DE       1.01,2.02,8.01,9.01  08/29/13

Selway Capital Acquisition Corp.        DE       2.01,9.01            04/10/13    AMEND

Shire plc                                        8.01,9.01            08/30/13

SIFCO INDUSTRIES INC                    OH       2.05                 08/28/13

SKYLINE CORP                            IN       8.01,9.01            08/30/13

Skyline Medical Inc.                    MN       1.01,3.02            08/30/13

SLM FUNDING LLC                         DE       6.01,9.01            08/30/13

SLM Student Loan Trust 2006-7           DE       8.01,9.01            08/30/13

SOLAR WIND ENERGY TOWER, INC.           NV       1.01,2.03,3.02,9.01  08/23/13

SPO Medical Inc                         DE       1.01,3.02,3.03,5.01  08/26/13

SunCoke Energy Partners, L.P.           DE       1.01,2.03,9.01       08/28/13

TEL OFFSHORE TRUST                      TX       8.01,9.01            08/30/13

Telanetix,Inc                           DE       3.03,5.01,5.02,9.01  08/30/13

TESARO, Inc.                            DE       5.02,9.01            08/29/13

TORCH ENERGY ROYALTY TRUST              DE       1.01,2.01,9.01       08/30/13

Trade Street Residential, Inc.          MD       1.01,2.01,2.03,	 08/26/13
						5.02,7.01,9.01     

Triangle Capital CORP                   MD       5.02                 08/30/13    AMEND

Triangle Petroleum Corp                 DE       1.01,2.01,5.02,	 08/28/13
						5.07,8.01,9.01     

TripAdvisor, Inc.                       DE       8.01                 08/28/13

TUESDAY MORNING CORP/DE                 DE       5.02                 08/28/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            08/30/13

TWENTY-FIRST CENTURY FOX, INC.                   5.02                 08/28/13    AMEND

Unilife Corp                            DE       2.02,9.01            08/29/13

UNIVERSAL ELECTRONICS INC               DE       8.01,9.01            08/28/13

Unum Group                              DE       1.01,2.03,9.01       08/29/13

VALOR GOLD CORP.                        DE       3.02,9.01            08/29/13

Vansen Pharma Inc.                      NV       5.03,8.01,9.01       08/20/13

Victory Electronic Cigarettes Corp      NV       1.01,7.01,9.01       07/29/13

Vocus, Inc.                             DE       5.03,9.01            08/28/13

VOIS Inc.                               FL       3.03,5.03,9.01       08/28/13

Vu1 CORP                                CA       5.02,9.01            08/26/13

Webfolio Inc.                           DE       4.01                 08/26/13

WELLS FARGO & COMPANY/MN                DE       9.01                 08/30/13

WESTMOUNTAIN GOLD, INC.                 CO       2.03,9.01            08/29/13

Wheeler Real Estate Investment Trust,   MD       8.01                 08/29/13

Wheeler Real Estate Investment Trust,   MD       8.01                 08/27/13

WINDSTREAM HOLDINGS, INC.                        8.01,9.01            08/30/13

WNC Housing Tax Credit Fund VI, L.P.,   CA       2.02,9.01            08/30/13

WVS FINANCIAL CORP                      PA       5.02,9.01            08/27/13

WYNDHAM WORLDWIDE CORP                  DE       1.01                 08/29/13

WYNN RESORTS LTD                                 7.01                 08/30/13

SEC NEWS DIGEST

Commission announcements

Advisory Committee on Small and Emerging Companies Meeting Announcement: Tuesday, September 17, 2013 at 9:30 a.m.

ENFORCEMENT PROCEEDINGS

Commission Charges Purported Money Manager with Defrauding Investors and Brokerage Firms

Commission Charges Former Chairman and CEO of CECO Environmental Corp. and API Technologies Corp. with Insider Trading and Other Violations

In the Matter of Gary A. Collyard

Investment company orders

Notice of Applications for Deregistration under the Investment Company Act of 1940

Aspiriant Global Equity Trust
Aspiriant, LLC

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

Securities Act Registrations

Recent 8K Filings

Modified: 09/09/2013

SEC NEWS DIGEST

Commission announcements

Advisory Committee on Small and Emerging Companies Meeting Announcement: Tuesday, September 17, 2013 at 9:30 a.m.

ENFORCEMENT PROCEEDINGS

Commission Charges Purported Money Manager with Defrauding Investors and Brokerage Firms

Commission Charges Former Chairman and CEO of CECO Environmental Corp. and API Technologies Corp. with Insider Trading and Other Violations

In the Matter of Gary A. Collyard

Investment company orders

Notice of Applications for Deregistration under the Investment Company Act of 1940

Aspiriant Global Equity Trust Aspiriant, LLC

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

Securities Act Registrations

Recent 8K Filings

Modified: 09/09/2013

Aspiriant Global Equity Trust
Aspiriant, LLC