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Commission announcementsSEC Suspends Trading in the Securities of MaxLife Fund Corp.The United States Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of MaxLife Fund Corp. (MaxLife) of Toronto, Ontario, Canada, commencing at 9:30 a.m. EDT, April 8, 2011, and terminating at 11:59 p.m. EDT, on April 21, 2011. The Commission temporarily suspended trading in the securities of MaxLife due to a lack of current and accurate information about the company concerning, among other thing, the control of its stock, its market price, and trading in the stock. The order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934. The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to MaxLife’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-64256) Commission Announces a Roundtable Discussion Regarding Money Market Funds and Systemic RiskThe Securities and Exchange Commission announced today that it will host a roundtable discussion in May on money market funds and systemic risk. The roundtable will include participants from the Financial Stability Oversight Council (FSOC). The roundtable will take place on May 10, 2011, and will provide a forum for various stakeholders in money market funds to exchange views on the potential effectiveness of certain options in mitigating systemic risks associated with money market funds. These will include, but are not limited to, options raised in the President’s Working Group report on possible money market fund reforms that was issued in October 2010 (http://www.treasury.gov/press-center/press-releases/Documents/10.21%20PWG%20Report%20Final.pdf). Roundtable panelists are expected to include sponsors of money market funds, short-term debt issuers, investors, and the academic community. A list of participants will be published closer to the date of the roundtable. The roundtable discussion will begin at 2:00 p.m. The roundtable will be webcast on the Commission’s website at www.sec.gov and will be archived for later viewing. Seating for the public will not be available. Members of the public who wish to provide their views on the matters to be considered at the roundtable discussion may submit comments to the comment file for the President’s Working Group Report on Money Market Fund Reform, as noted below. Comments to the Commission may be submitted by any of the following methods: Electronic Comments
Paper Comments
All submissions should refer to File Number 4-619. This file number should be included on the subject line if e-mail is used. To help process and review your submissions more efficiently, please use only one method. The Commission will post all comments on the Commission’s website at www.sec.gov. Please note that all comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. (Press Rel. 2011-88) Enforcement proceedingsCommission Revokes Registration of Securities of Chief Consolidated Mining Co. for Failure to Make Required Periodic FilingsOn April 8, 2011, the Commission revoked the registration of each class of registered securities of Chief Consolidated Mining Co. (Chief Consolidated Mining) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Chief Consolidated Mining consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Chief Consolidated Mining Co. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Chief Consolidated Mining’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Chief Consolidated Mining in In the Matter of C-3D Digital, Inc., et al., Administrative Proceeding File No. 3-14164. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of C-3D Digital, Inc., et al., Administrative Proceeding File No. 3-14164, Exchange Act Release No. 63570, December 17, 2010. (Rel. 34-64255; File No. 3-14164) In the Matter of Frank L. ConstantinoAn Administrative Law Judge issued an Initial Decision in Frank L. Constantino, Admin. Proc. No. 3-14051. On February 3, 2010, Respondent was found guilty of six counts of antifraud and registration violations of the Georgia Securities Act, involving the offer and sale of securities; three counts of theft of investor funds; and four counts relating to racketeering violations and exploitation of an elder person. On February 18, 2010, he was sentenced to twenty years in prison and ordered to pay restitution of $2.5 million. The Initial Decision finds that, in light his violations, it is in the public interest to bar Respondent from association with any broker or dealer. (Initial Decision No. 414; File No. 3-14051) In the Matter of Powder River Petroleum International, Inc.The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities (Order) against Powder River Petroleum International, Inc. (Powder River), an Oklahoma oil-and-gas company. The Order finds that while its common stock was registered with the Commission, Powder River failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder because it has failed to file any periodic reports since April 14, 2008. The Order further finds that Powder River failed to comply with Section 10(b) of the Exchange Act and Rules 10b-5 and 12b-20 thereunder, by including materially false and misleading information in filings, including financial statements, in its annual reports for the calendar years ended December 31, 2004, 2005, 2006 and 2007, and in its quarterly reports for the quarters from March 31, 2005 through March 31, 2008. The Order also finds that Powder River failed to comply with Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act by failing to make and keep books, records, and accounts, which, in reasonable detail, accurately and fairly reflected the transactions and disposition of its assets, and by failing to maintain a system of internal accounting controls sufficient to provide reasonable assurances that transactions are recorded as necessary to permit preparation of financial statements in conformity with generally accepted accounting principles. Based on the above, the Order revokes the registration of each class of Powder River’s securities pursuant to Section 12 of the Exchange Act. Powder River consented to the issuance of the Order without admitting or denying any of the findings in the Order. (34-64257; File No. 3-14330) In the Matter of Nicole Rae Kaplan, CPAThe United States Securities and Exchange Commission (Commission) today issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions against Nicole Rae Kaplan (Order), who was the Director of Finance for Vitesse Semiconductor Corporation. The Order finds that on March 22, 2011, a final judgment was entered against Kaplan, permanently enjoining her from future violations of Section 17(a) of the Securities Act of 1933; Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2-1, and 13b2-2 thereunder, and aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) and Rules 12b-20, 13a-1, and 13a-13 thereunder, in the civil action entitled Securities and Exchange Commission v. Nicole R. Kaplan, et al., Civil Action Number 10-CV-9239, in the United States District Court for the Southern District of New York. Kaplan was also ordered to pay $31,050 in disgorgement of ill-gotten gains and $16,445 in prejudgment interest. According to the Order, the Commission’s complaint alleged, among other things, that Vitesse engaged in fraudulent revenue recognition practices that resulted in the Company filing with the Commission materially false and misleading financial statements in annual reports on Form 10-K and quarterly reports on Forms 10-Q from at least late 2001 through early 2006. The complaint alleges that Kaplan participated in prematurely and improperly recording revenues on product shipments to Vitesse’s distributors and customers; failed to timely and properly record customer credits from the return of unwanted product; and directed the misapplication of cash to account receivable balances in order to obscure the true age of the receivables. The complaint alleges that Kaplan engaged in the foregoing misconduct from late 2001 through 2005. As a result, the complaint alleges that Kaplan, among other violations: engaged in fraudulent accounting practices that materially misstated the company’s annual and quarterly financial statements, which she reviewed or participated in preparing; knowingly circumvented or failed to implement Vitesse’s system of internal accounting controls and falsified Vitesse’s books, records, or accounts; and made material misrepresentations to Vitesse’s independent auditor. Based on the above, the Order suspends Kaplan from appearing or practice before the Commission as an accountant. Kaplan consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the Commission’s jurisdiction over her and the subject matter of the proceeding, and the fact that the federal court entered the injunction against her. (Rel. 34-64271; AAE Rel. 3262; File No. 3-14331) In the Matter of Yatin Dilip Mody, CPAThe United States Securities and Exchange Commission (Commission) today issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions against Yatin Dilip Mody (Order), who was the Chief Financial Officer, and Vice President, Finance and Controller of Vitesse Semiconductor Corporation. The Order finds that on March 22, 2011, a final judgment was entered against Mody, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933; Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13a-14, 13b2-1, and 13b2-2 thereunder, and aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) and Rules 12b-20, 13a-1, and 13a-13 thereunder, in the civil action entitled Securities and Exchange Commission v. Yatin D. Mody, et al., Civil Action Number 10-CV-9239, in the United States District Court for the Southern District of New York. The final judgment also prohibited Mody from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act or that is required to file reports pursuant to Section 15(d) of the Exchange Act, and ordered him to pay $105,604 in disgorgement of ill-gotten gains and $56,716 in prejudgment interest, for a total of $162,320. According to the Order, the Commission’s complaint alleged, among other things, that Vitesse engaged in fraudulent revenue recognition practices that resulted in the Company filing with the Commission materially false and misleading financial statements in annual reports on Form 10-K and quarterly reports on Forms 10-Q from at least late 2001 through early 2006. The complaint alleges that Mody participated in prematurely and improperly recording revenues on product shipments to Vitesse’s distributors and customers and failed to timely and properly record customer credits from the return of unwanted product. The complaint alleges that Mody engaged in the foregoing misconduct from late 2001 through 2005. As a result, the complaint alleges that Mody, among other violations: engaged in fraudulent accounting practices that materially misstated the company’s annual and quarterly financial statements, which he reviewed and participated in preparing; knowingly circumvented or failed to implement Vitesse’s system of internal accounting controls and falsified Vitesse’s books, records, or accounts; and made material misrepresentations to Vitesse’s independent auditor. The complaint further alleges that, as part of his misconduct, Mody signed and certified annual and quarterly reports containing false and misleading financial statements, including Vitesse’s 2005 Form 10-K filed on December 13, 2005 and three Vitesse Forms 10-Q filed between May 2005 and February 2006, and that Mody signed in 2005 and 2006 certain Vitesse registration statements filed on Form S-8 and Form S-3 that incorporated by reference materially false and misleading Forms 10-K and/or Forms 10-Q. Based on the above, the Order suspends Mody from appearing or practice before the Commission as an accountant. Mody consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the Commission’s jurisdiction over him and the subject matter of the proceeding, and the fact that the federal court entered the injunction against him. (Rel. 34-64272; AAE Rel. 3263; File No. 3-14332) In the Matter of Troy F. Nilson, CPAOn April 8, 2011, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Troy F. Nilson, CPA. The Order finds that Nilson violated Sections 10A(a)(1) and 10A(a)(3) of the Exchange Act, and was a cause of violations by Powder River Petroleum International, Inc., of Section 13(a) of the Exchange Act and Rules 13a-1, 13a-13, and 12b-20 promulgated thereunder, and that based on the foregoing, Nilson engaged in improper professional conduct pursuant to Rules 102(e)(1)(ii) and 102(e)(1)(iv)(B)(2) of the Commission’s Rules of Practice. Based on the above, the Order requires Nilson to cease and desist from committing or causing any violations and any future violations of Sections 10A(a)(1) and 10A(a)(3)of the Exchange Act and from committing or causing any violations and any future violations of Section 13(a) of the Exchange Act and Rules 13a-1, 13a-13, and 12b-20 promulgated thereunder. Furthermore, the Order denies Nilson the privilege of appearing or practicing before the Commission as an accountant with the right to apply for reinstatement after five years. Nilson consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-64277; AAE Rel. 3264; File No. 3-14333) In the Matter of Jeffery Q. Johnson, CPA and Steven M. Hanni, CPAOn April 8, 2011, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order). The Order finds that Jeffery Q. Johnson (Johnson), the former CFO of Powder River Petroleum International, Inc. (Powder River), and Steven M. Hanni, assisting Johnson as a de facto co-CFO, supervised and directed the company’s improper recording of its assets and its revenue from working-interest conveyances. In addition, the Order finds that in March 2008, Johnson authorized Powder River’s use of proceeds from current working-interest conveyances to pay guaranteed returns to earlier investors. Based on the above, the Order finds that Johnson willfully committed violations, and requires him to cease and desist from committing or causing violations and any future violations, of Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13a-14, 13b2-1 and 13b2-2 promulgated thereunder. The Order further finds that Johnson willfully aided and abetted and caused, and requires him to cease and desist from committing or causing, violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 13a-1, 13a-11, 13a-13, and 12b-20 promulgated thereunder. The Order further prohibits Johnson, for five years, from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act, or that is required to file reports pursuant to Section 15(d) of the Exchange Act. Furthermore, the Order denies Johnson the privilege of appearing or practicing before the Commission as an accountant, with a right to apply for reinstatement after five years. The Order also finds that Hanni willfully aided and abetted and caused, and requires him to cease and desist from committing or causing, violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 13a-1, 13a-13, and 12b-20 promulgated thereunder. The Order further denies Hanni the privilege of appearing or practicing before the Commission as an accountant, with a right to apply for reinstatement after two years. Johnson and Hanni consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-64278; AAE Rel. 3265; File No. 3-14334) In the Matter of Todd D. Chisholm, CPAOn April 8, 2011, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order). The Order finds that from year-end 2004 through the third quarter of 2007, Todd D. Chisholm (Chisholm) was the engagement partner on audits and reviews of the financial statements of Powder River Petroleum International, Inc. (Powder River). The Order finds that Chisholm engaged in improper professional conduct pursuant to Rules 102(e)(1)(ii) and 102(e)(1)(iv)(B)(2) of the Commission’s Rules of Practice by failing to conduct these engagements in accordance with Public Company Accounting Oversight Board Standards and that he violated Section 10A(a)(1) of the Exchange Act by failing to have adequate procedures in place during the audits to reasonably assure detection of illegal acts, such as Powder River’s material overstatement of revenues. The Order also finds that Chisholm was a cause of Powder River’s filing of false and misleading quarterly and annual reports with the Commission in violation of Section 13(a) of the Exchange Act and Rules 13a-1, 13a-13, and 12b-20 promulgated thereunder. Based on the above, the Order requires Chisholm to cease and desist from committing or causing any violations and any future violations of Section 10A(a)(1) of the Exchange Act and from committing or causing any violations and any future violations of Section 13(a) of the Exchange Act, and Rules 13a-1, 13a-13, and 12b-20, promulgated thereunder. Furthermore, the Order denies Chisholm the privilege of appearing or practicing before the Commission as an accountant, with the right to apply for reinstatement after five years. Chisholm consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-64279; AAE Rel. 3266; File No. 3-14335) In the Matter of Chisholm, Bierwolf, Nilson and Morrill, LLCOn April 8, 2011, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Chisholm, Bierwolf, Nilson and Morrill, LLC, (Chisholm Bierwolf). The Order finds that from year-end 2004 through the first quarter of 2008, Chisholm Bierwolf audited and reviewed the financial statements of Powder River Petroleum International, Inc. (Powder River). The Order finds that Chisholm Bierwolf engaged in improper professional conduct pursuant to Rules 102(e)(1)(ii) and 102(e)(1)(iv)(B)(2) of the Commission’s Rules of Practice by failing to conduct these engagements in accordance with Public Company Accounting Oversight Board Standards. The Order also finds that Chisholm Bierwolf violated Sections 10A(a)(1) and 10A(a)(3) of the Exchange Act by failing to have adequate procedures in place during its audits of Powder River to reasonably assure detection of illegal acts and by failing to include an evaluation of whether there is a substantial doubt about the ability of the issuer to continue as a going concern. In addition, the Order finds that Chisholm Bierwolf was a cause of Powder River’s filing of false and misleading quarterly and annual reports with the Commission in violation of Section 13(a) of the Exchange Act and Rules 13a-1, 13a-13, and 12b-20 promulgated thereunder. Based on the above, the Order requires Chisholm Bierwolf to cease and desist from committing or causing any violations and any future violations of Sections 10A(a)(1) and 10A(a)(3) of the Exchange Act and from committing or causing any violations and any future violations of Section 13(a) of the Exchange Act, and Rules 13a-1, 13a-13, and 12b-20 promulgated thereunder. Furthermore, the Order denies Chisholm Bierwolf the privilege of appearing or practicing before the Commission as an accountant. Chisholm Bierwolf consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-64280; AAE Rel. 3267; File No. 3-14336) SEC Charges Investment Adviser, Fund Manager and Two Individuals With Securities Fraud Involving Client FundsThe Securities and Exchange Commission announced the filing of a civil injunctive action in U.S. District Court in Los Angeles, California against MAM Wealth Management, LLC (MAM), MAMW Real Estate General Partner, LLC (MAMW), Alex Martinez and Ralph Sanchez, alleging fraud in connection with client investments in a $10.3 million risky real estate venture. According to the Commission's complaint, from July 2007 through March 2009, Martinez, a MAM and MAMW principal, and Ralph Sanchez, a MAM registered representative and MAMW principal, had 50 of their advisory clients invest in MAM Wealth Management Real Estate Fund, LLC (Fund). The complaint alleges that Martinez and Sanchez misrepresented to some clients that the Fund was a safe, relatively liquid investment, was earning 9% per year, and would show profits in three years. The complaint alleges that they used their discretionary authority over other clients’ funds to invest them in the Fund, even though it was unsuitable for their conservative investment goals. The complaint alleges that many accounts were retirement accounts and that the Fund was an unsuitable investment for clients who did not have the ability and willingness to accept the risks of losing their entire investment. The complaint further alleges that the defendants caused the Fund to use client funds to make risky mortgage loans. The complaint alleges that the defendants have violated the antifraud provisions of the federal securities laws, including violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder by MAM, MAMW, Martinez and Sanchez and Sections 206(1) and 206(2) of the Investment Advisers Act by MAM and Martinez and aiding and abetting violations of Sections 206(1) and 206(2) of the Investment Advisers Act by Sanchez. The SEC seeks permanent injunctions, disgorgement of ill-gotten gains plus prejudgment interest, and monetary penalties. [SEC v. MAM Wealth Management, LLC, Civil Action No. CV 11-2934 SJO (JCx) (C.D. Ca.)] (LR-21921) Johnson & Johnson to Pay More Than $70 Million in Settled FCPA Enforcement ActionThe Securities and Exchange Commission today announced a settlement with Johnson and Johnson (J&J) to resolve SEC charges that the New Brunswick, NJ-based global pharmaceutical, consumer product, and medical device company violated the Foreign Corrupt Practices Act (FCPA) by bribing public doctors in several European countries and paying kickbacks to Iraq to illegally obtain business. The SEC alleges that, since at least 1998, J&J’s subsidiaries paid bribes to public doctors in Greece who selected J&J surgical implants, paid bribes to public doctors and hospital administrators in Poland who awarded tenders to J&J, and paid bribes to public doctors in Romania to prescribe J&J pharmaceutical products. J&J also paid kickbacks to Iraq in order to obtain contracts under the United Nations Oil for Food Program (Program). J&J has agreed to pay more than $48.6 million in disgorgement and prejudgment interest to settle the SEC’s charges and to pay a $21.4 million fine to the U.S. Department of Justice to settle criminal charges. A resolution of a related investigation by the United Kingdom Serious Fraud Office is anticipated. The SEC’s complaint alleges that J&J subsidiaries, employees, and agents paid bribes to public doctors and administrators in Greece, Poland, and Romania. Doctors who ordered or prescribed J&J products were rewarded in a variety of ways, including cash and inappropriate travel. A variety of schemes were used to carry-out the bribery, including the use of slush funds, sham civil contracts with doctors, and off-shore companies in the Isle of Man. A J&J executive was involved in the Greek conduct, and MD&D Poland executives running three business lines oversaw the creation of sham contracts, travel documents, and the creation of slush funds in Poland. The SEC’s complaint also alleges that J&J’s agent paid secret kickbacks to Iraq to obtain nineteen Oil for Food contracts. Without admitting or denying the SEC’s allegations, J&J has consented to the entry of a court order permanently enjoining it from future violations of Sections 30A, 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934; ordering it to pay $38,227,826 in disgorgement and $10,438,490 in prejudgment interest; and ordering it to comply with certain undertakings regarding its FCPA compliance program. J&J voluntarily disclosed some of the violations by its employees, and conducted a thorough internal investigation to determine the scope of the bribery and other violations, including proactive investigations in more than a dozen countries by both its internal auditors and outside counsel. J&J’s internal investigation and its ongoing compliance programs were essential in gathering facts regarding the full extent of J&J’s FCPA violations. Kelly G. Kilroy and Tracy L. Price of the Enforcement Division’s FCPA Unit and Brent S. Mitchell and Reid A. Muoio conducted the SEC’s investigation. The SEC acknowledges the assistance of the U.S. Department of Justice, Fraud Section; the Federal Bureau of Investigation; the Serious Fraud Office in the United Kingdom; and 5th Investigation Department of the Regional Prosecutor’s Office in Radom, Poland. The SEC's investigation is continuing. [SEC v. Johnson & Johnson, Civil Action No. 1: 11-CV-00686 (D.D.C.) (E.F.H.)] (LR-21922; AAE Rel. 3261) Investment company act releasesNational Life Insurance Company, et al.A notice has been issued giving interested persons until April 28, 2011, to request a hearing on an application filed by National Life Insurance Company, National Variable Annuity Account II, and National Variable Life Insurance Account (collectively, Applicants). Applicants request an order under Section 26(c) of the Investment Company Act of 1940 to permit the substitution of certain securities issued by a certain registered investment company for shares of a certain other registered investment company. (Rel. IC-29627 – April 7) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-ISE-2011-16) filed by the International Securities Exchange relating to a Market Maker incentive plan for foreign currency options has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64202) A proposed rule change filed by BATS Y-Exchange to extend the pilot program related to trading pauses due to extraordinary market volatility (SR-BYX-2011-007) 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 April 11, 2011. (Rel. 34-64214) A proposed rule change filed by NYSE Arca (SR-NYSEArca-2011-16) modifying credits for posting liquidity for certain transactions and imposing routing fees to defray the costs of routing orders to away markets has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64216) A proposed rule change filed by Chicago Board Options Exchange relating to PAR Official Fees (SR-CBOE-2011-030) 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 April 11, 2011. (Rel. 34-64217) A proposed rule change filed by Chicago Board Options Exchange related to the extension of a CBSX clearly erroneous policy pilot program (SR-CBOE-2011-032) 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 April 11, 2011. (Rel. 34-64227) A proposed rule change filed by Chicago Stock Exchange to extend the pilot program relating to clearly erroneous transactions (SR-CHX-2011-06) 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 April 11, 2011. (Rel. 34-64228) A proposed rule change filed by NYSE Arca amending NYSE Arca Rule 7.10, Clearly Erroneous Executions, to extend the effective date of the pilot until the earlier of August 11, 2011 or the date on which a limit up/limit down mechanism to address extraordinary market volatility, if adopted, applies (SR-NYSEArca-2011-15) 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 April 11, 2011. (Rel. 34-64234) A proposed rule change filed by BATS Exchange to extend the pilot program related to clearly erroneous execution reviews (SR-BATS-2011-010) has become immediately 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 April 11, 2011. (Rel. 34-64235) A proposed rule change filed by the Financial Industry Regulatory Authority to extend the pilot period of amendments to FINRA Rule 11892 governing clearly erroneous transactions (SR-FINRA-2011-014) has become immediately 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 April 11, 2011. (Rel. 34-64237) A proposed rule change filed by The NASDAQ Stock Market to extend the pilot period of amendments to the clearly erroneous rule (SR-NASDAQ-2011-043) has become immediately 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 April 11, 2011. (Rel. 34-64238) A proposed rule change filed by NASDAQ OMX PHLX to extend the pilot period of amendments to the clearly erroneous rule (SR-Phlx-2011-45) has become immediately 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 April 11, 2011. (Rel. 34-64239) A proposed rule change filed by the Chicago Board Options Exchange regarding close of trading hours for expiring End of Week and End of Month expirations (SR-CBOE-2011-038) 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 April 11, 2011. (Rel. 34-64243) The Options Clearing Corporation filed a proposed rule change (File No. SR-OCC-2011-04) under Section 19(b)(1) of the Securities Exchange Act of 1934 to provide legal certainty for the trading of futures on the CBOE Gold ETF Volatility Index. The rule change became effective upon filing. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64247) A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-47) to amend PHLX Rule 1080 to establish a Qualified Contingent Cross Order has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64249) Proposed Rule ChangesNYSE Arca has filed a proposed rule change (SR-NYSEArca-2011-11) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the Guggenheim Enhanced Core Bond ETF and Guggenheim Enhanced Ultra-Short Bond ETF. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64224) NASDAQ OMX PHLX has filed a proposed rule change (SR-Phlx-2011-46), pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to expand the number of components in the PHLX Gold/Silver SectorSM known as XAUSM, on which options are listed and traded. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64244) Chicago Board Options Exchange has filed a proposed rule change (SR-CBOE-2011-026), pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to trade options on individual stock based volatility indexes and certain exchange-traded fund based volatility indexes. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64245) Securities Act RegistrationsThe 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 PETSMART INC, 19601 N 27TH AVE, PHOENIX, AZ, 85027, 6235806100 -
0 ($94,172,680.00) Equity, (File 333-173342 - Apr. 7) (BR. 02B)
S-3 GLOBAL TRAFFIC NETWORK, INC., 880 THIRD AVENUE, 6TH FLOOR, NEW YORK,
NY, 10017, 212-896-1255 - 301,782 ($3,730,025.52) Equity,
(File 333-173343 - Apr. 7) (BR. 11C)
S-4 ACCURAY INC, 1310 CHESAPEAKE TERRACE, SUNNYVALE, CA, 94089,
4087164600 - 0 ($85,843,819.00) Equity, (File 333-173344 - Apr. 7)
(BR. 10A)
S-8 HCC INSURANCE HOLDINGS INC/DE/, 13403 NORTHWEST FRWY, HOUSTON, TX,
77040-6094, 7136907300 - 0 ($10,000,000.00) Other, (File 333-173346 -
Apr. 7) (BR. 01C)
S-3ASR GAP INC, TWO FOLSOM STREET, SAN FRANCISCO, CA, 94105, 6509524400 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-173348 - Apr. 7)
(BR. 09A)
S-8 KINGSTONE COMPANIES, INC., 1158 BROADWAY, HEWLETT, NY, 11557,
516 374-7600 - 250,000 ($772,500.00) Equity, (File 333-173351 - Apr. 7)
(BR. 01B)
S-3 Triangle Petroleum Corp, 1250, 521 ? 3RD AVE SW,, CALGARY, A0, T2P3T3,
(403) 262-4471 - 0 ($12,313,891.94) Equity, (File 333-173357 - Apr. 7)
(BR. 04C)
S-8 NEUROLOGIX INC/DE, ONE BRIDGE PLAZA, FORT LEE, NJ, 07024,
201-592-6451 - 4,200,000 ($2,936,160.00) Equity, (File 333-173358 -
Apr. 7) (BR. 01B)
S-1 T & G APOTHECARY INC, 906 THAYER DRIVE, COLUMBUS, OH, 43230,
614-475-6055 - 3,000,000 ($30,000.00) Equity, (File 333-173359 -
Apr. 7) (BR. )
S-8 Discover Financial Services, 2500 LAKE COOK ROAD, RIVERWOODS, IL,
60015, 224-405-0900 - 0 ($12,215,000.00) Equity, (File 333-173360 -
Apr. 7) (BR. 07A)
S-8 AbitibiBowater Inc., 1155 METCALF STREET, SUITE 800, MONTREAL, A8,
H3B 5H2, 514-875-2160 - 0 ($30,000,000.00) Equity, (File 333-173361 -
Apr. 7) (BR. 09)
S-8 AbitibiBowater Inc., 1155 METCALF STREET, SUITE 800, MONTREAL, A8,
H3B 5H2, 514-875-2160 - 0 ($30,000,000.00) Equity, (File 333-173362 -
Apr. 7) (BR. 09)
S-3ASR CATERPILLAR FINANCIAL SERVICES CORP, 2120 WEST END AVE, NASHVILLE, TN,
37203, 6153411000 - 0 ($0.00) Debt, (File 333-173364 - Apr. 7) (BR. 07C)
S-3 HOVNANIAN ENTERPRISES INC, 110 WEST FRONT STREET, PO BOX 500, RED BANK,
NJ, 07701, 7327477800 - 0 ($1.00) Other, (File 333-173365 - Apr. 7)
(BR. 06C)
S-3ASR SCHLUMBERGER LTD /NV/, 5599 SAN FELIPE, 17TH FLOOR, HOUSTON, TX, 77056,
7135132000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-173368 - Apr. 7) (BR. 04C)
S-3ASR Spirit AeroSystems Holdings, Inc., 3801 SOUTH OLIVER, WICHITA, KS,
67210, 316.526.9000 - 0 ($0.00) Equity, (File 333-173369 - Apr. 7)
(BR. 05C)
S-1 Advaxis, Inc., TECHNOLOGY CENTRE OF NEW JERSEY, 675 ROUTE 1,
NORTH BRUNSWICK, NJ, 08902, 732 545 1590 -
25,560,000 ($3,514,500.00) Equity, (File 333-173370 - Apr. 7) (BR. 01A)
S-8 REVA Medical, Inc., 5751 COPLEY DRIVE, SUITE B, SAN DIEGO, CA, 92111,
(858) 966-3000 - 0 ($70,324,961.00) Equity, (File 333-173371 - Apr. 7)
(BR. 10C)
S-4 CPI International, Inc., 811 HANSEN WAY, PALO ALTO, CA, 94303,
650-846-2900 - 0 ($215,000,000.00) Debt, (File 333-173372 - Apr. 7)
(BR. )
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
3M CO DE 2.02,9.01 04/07/11
57th Street General Acquisition Corp 1.01,8.01,9.01 04/07/11
ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 04/07/11
ADVANCED ANALOGIC TECHNOLOGIES INC DE 1.01,9.01 03/31/11
Advaxis, Inc. DE 1.01,3.02,9.01 04/04/11
AEP INDUSTRIES INC DE 1.01,8.01,9.01 04/07/11
AETHLON MEDICAL INC NV 1.01,3.02,9.01 04/01/11
AFS SenSub Corp. 8.01,9.01 04/04/11
AIS FUTURES FUND IV LP DE 3.02 03/31/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/07/11
ALNYLAM PHARMACEUTICALS, INC. 8.01,9.01 04/06/11
ALTERRA CAPITAL HOLDINGS Ltd 8.01,9.01 04/06/11
AMBASSADORS INTERNATIONAL INC DE 1.01,1.03,2.04,3.01, 04/01/11
8.01,9.01
AMERCO /NV/ NV 8.01,9.01 04/06/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 04/07/11
AMERICAN INDEPENDENCE CORP DE 5.02 04/01/11
AML COMMUNICATIONS INC DE 8.01,9.01 04/06/11
AMSURG CORP TN 7.01,9.01 04/07/11
API Technologies Corp. DE 9.01 01/21/11 AMEND
APOGEE ENTERPRISES INC MN 2.02,9.01 04/06/11
Apple REIT Ten, Inc. VA 1.01 04/04/11
ARGENTEX MINING CORP DE 3.02 04/05/11
ARMSTRONG WORLD INDUSTRIES INC PA 5.02,9.01 04/07/11
ARRAY BIOPHARMA INC DE 8.01,9.01 04/07/11
ASHFORD HOSPITALITY TRUST INC MD 5.02,9.01 03/31/11
ATHENA SILVER CORP CA 3.02 03/15/11
AUTHENTIDATE HOLDING CORP DE 2.01,8.01,9.01 04/01/11
AXCELIS TECHNOLOGIES INC DE 5.02 04/03/11
AZZ INC TX 2.02,8.01,9.01 04/07/11
BALLY TECHNOLOGIES, INC. NV 5.02,9.01 03/17/11 AMEND
BANCFIRST CORP /OK/ OK 7.01 04/07/11
BIGLARI HOLDINGS INC. IN 8.01 04/06/11
BIOLARGO, INC. DE 3.02 03/31/11
BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 04/07/11
BlackRock Inc. DE 5.02,9.01 04/07/11
BRAINSTORM CELL THERAPEUTICS INC 5.02 04/04/11
BUCKLE INC NE 5.02,9.01 04/07/11
Bullion Monarch Mining, Inc. (NEW) UT 1.01,2.01,3.02,9.01 04/01/11 AMEND
CA, INC. DE 5.02,9.01 04/07/11
CAPITAL TRUST INC MD 2.02,9.01 04/04/11
CAPTERRA FINANCIAL GROUP, INC. CO 3.03,9.01 04/04/11
CASCADE CORP OR 7.01,9.01 04/07/11
CASCADE MICROTECH INC 5.02,9.01 04/04/11
CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 04/07/11
Celanese CORP DE 8.01,9.01 04/06/11
CEPHALON INC DE 8.01,9.01 03/28/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 04/07/11
China Energy Recovery, Inc. DE 1.01,9.01 03/30/11
China Intelligent Lighting & Electron DE 3.01,4.01,7.01,9.01 04/01/11
CHINA RUITAI INTERNATIONAL HOLDINGS C DE 2.02,9.01 04/01/11
CLAIBORNE LIZ INC DE 1.01,2.03,8.01,9.01 04/01/11
CLEAN HARBORS INC MA 1.01,9.01 04/05/11
CombiMatrix Corp DE 1.01,3.02,5.02,9.01 04/04/11
COMDISCO HOLDING CO INC DE 1.01,9.01 04/05/11
COMMERCETEL CORP NV 2.01,9.01 04/01/11
COMVERSE TECHNOLOGY INC/NY/ NY 7.01 04/07/11
CONSTELLATION BRANDS, INC. DE 2.02,7.01,9.01 04/07/11
Crestwood Midstream Partners LP DE 8.01 04/01/11
CROSS BORDER RESOURCES, INC. NV 9.01 01/03/11 AMEND
CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 04/07/11
Cryoport, Inc. NV 5.02 04/04/11
DG FastChannel, Inc DE 7.01,9.01 04/01/11
Discovery Communications, Inc. DE 8.01,9.01 04/06/11
DJSP Enterprises, Inc. D8 2.06 03/31/11
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01 04/04/11
Dot VN, Inc. DE 8.01,9.01 04/07/11
EDGEWATER TECHNOLOGY INC/DE/ DE 4.01,9.01 04/01/11
ELEPHANT TALK COMMUNICATIONS INC CA 5.02,9.01 04/01/11
ELITE PHARMACEUTICALS INC /DE/ DE 8.01,9.01 04/04/11
Ellington Financial LLC DE 7.01,9.01 04/07/11
EMERGING VISION INC NY 5.01,9.01 04/04/11
Encore Energy Partners LP DE 1.01,9.01 04/07/11
ENCORIUM GROUP INC NV 1.01,1.02,2.03,5.02 01/12/11
Energy Telecom, Inc. FL 7.01,9.01 04/06/11
Excel Trust, Inc. MD 2.01,7.01,9.01 04/05/11
Expedia, Inc. 8.01,9.01 04/07/11
FAUQUIER BANKSHARES, INC. VA 7.01,9.01 04/07/11
Federal Home Loan Bank of Atlanta X1 2.03 04/07/11
Federal Home Loan Bank of Boston X1 2.03 04/04/11
Federal Home Loan Bank of Chicago X1 2.03 04/04/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/04/11
Federal Home Loan Bank of Dallas 2.03,9.01 04/01/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/05/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/05/11
Federal Home Loan Bank of New York X1 2.03,9.01 04/04/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/04/11
Federal Home Loan Bank of San Francis X1 2.03 04/04/11
Federal Home Loan Bank of Seattle 2.03 04/04/11
Federal Home Loan Bank of Topeka 2.03,9.01 04/04/11
Fibrocell Science, Inc. DE 8.01,9.01 04/06/11
First American Financial Corp DE 5.02,7.01,9.01 04/06/11
FIRST ASIA HOLDINGS Ltd A6 1.01,2.01,9.01 03/31/11
FIRST REAL ESTATE INVESTMENT TRUST OF NJ 5.07 04/06/11
FRANKLIN COVEY CO UT 5.02 04/04/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03 04/07/11
GANNETT CO INC /DE/ DE 8.01 04/07/11
GAP INC DE 1.01,1.02,2.03,9.01 04/07/11
GAP INC DE 7.01,9.01 04/07/11
GateHouse Media, Inc. DE 1.01,9.01 04/01/11
GenMark Diagnostics, Inc. DE 5.02,9.01 03/17/11 AMEND
GeoMet, Inc. DE 5.02,7.01,9.01 04/04/11
GEOPETRO RESOURCES CO CA 1.01 04/01/11
GOLD STANDARD MINING CORP. NV 4.02 04/05/11
GOLDEN ENTERPRISES INC DE 8.01,9.01 04/07/11
GOODRICH PETROLEUM CORP DE 5.02,7.01,9.01 04/05/11
GRAMERCY CAPITAL CORP MD 3.01,9.01 04/01/11
Great Lakes Dredge & Dock CORP DE 7.01,9.01 04/07/11
GREENBRIER COMPANIES INC DE 2.02,9.01 04/07/11
GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 04/07/11
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 04/06/11
Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 04/07/11
HARRIS INTERACTIVE INC DE 5.02,9.01 04/06/11
HEALTH CARE REIT INC /DE/ DE 2.01,9.01 04/01/11
Heartland Bridge Capital, Inc. DE 4.01,4.02,9.01 03/16/11 AMEND
Heckmann CORP 5.03,9.01 04/06/11
HERCULES OFFSHORE, INC. DE 8.01 04/07/11
Hoku Corp DE 1.01,2.03,9.01 04/06/11
HOOPER HOLMES INC NY 8.01,9.01 04/04/11
HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 3.01,8.01,9.01 04/01/11
IDENIX PHARMACEUTICALS INC 5.02,9.01 04/01/11
IDENIX PHARMACEUTICALS INC 1.01,8.01,9.01 04/06/11
IDEX CORP /DE/ DE 5.07,7.01,9.01 04/05/11
IMAGE SENSING SYSTEMS INC MN 5.02,9.01 04/05/11
INDEPENDENCE HOLDING CO DE 5.02 04/07/11
InfuSystem Holdings, Inc DE 1.01,9.01 04/01/11
INHIBITEX, INC. DE 1.01,8.01,9.01 04/07/11
INTEGRATED FREIGHT Corp FL 2.01,3.02,7.01,9.01 04/01/11
INTERMOUNTAIN COMMUNITY BANCORP ID 1.01,3.02,7.01,9.01 04/06/11
INUVO, INC. NV 8.01 04/01/11
ITRONICS INC TX 1.01,9.01 04/01/11
JEFFERIES GROUP INC /DE/ DE 1.01,9.01 04/06/11
JONES SODA CO WA 5.02 04/01/11
Kennedy-Wilson Holdings, Inc. DE 1.01,2.03,7.01,9.01 04/05/11
KOHLS Corp WI 2.02,9.01 04/07/11
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,2.03,8.01,9.01 04/01/11
LAKELAND INDUSTRIES INC DE 2.02,9.01 04/07/11
Lawson Software, Inc. DE 1.01,9.01 04/01/11
LianDi Clean Technology Inc. NV 8.01,9.01 04/06/11
LITHIUM TECHNOLOGY CORP DE 1.01,3.02,5.02,5.03, 04/01/11
9.01
LIVEPERSON INC DE 5.02,9.01 03/29/11
LUBRIZOL Corp OH 8.01,9.01 04/07/11
MABCURE INC. NV 4.01,9.01 03/09/11 AMEND
MACE SECURITY INTERNATIONAL INC DE 8.01,9.01 04/07/11
MAINLAND RESOURCES INC. 7.01,9.01 04/07/11
MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01,9.01 04/07/11
MENTOR GRAPHICS CORP OR 8.01 04/04/11
MERCER GOLD CORP. NV 3.02,5.02,7.01,9.01 03/28/11
MetroCorp Bancshares, Inc. TX 4.01,9.01 11/23/10 AMEND
MEXICO FUND INC MD 7.01,9.01 03/31/11
MINES MANAGEMENT INC ID 8.01,9.01 04/04/11
Molycorp, Inc. DE 1.01,2.01,3.02,9.01 04/01/11
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 04/07/11
MONSANTO CO /NEW/ DE 1.01,1.02,2.03,9.01 04/07/11
Morgans Hotel Group Co. DE 1.01 04/02/11
MOTORCAR PARTS AMERICA INC NY 1.01,9.01 04/04/11
MOVADO GROUP INC NY 1.01,2.02,5.02,9.01 04/05/11
Mueller Water Products, Inc. DE 7.01,9.01 04/07/11
MV Oil Trust DE 2.02,9.01 04/07/11
NATIONAL HOUSING PARTNERSHIP REALTY F MD 8.01 04/04/11
NCO Group, Inc. DE 2.02,7.01,9.01 04/05/11
Neiman Marcus, Inc. DE 2.02,7.01 04/07/11
Neuralstem, Inc. DE 7.01,9.01 04/06/11
NEW ENERGY TECHNOLOGIES, INC. 1.01,7.01,9.01 03/18/11 AMEND
NEWMONT MINING CORP /DE/ DE 8.01,9.01 04/05/11
Next 1 Interactive, Inc. NV 5.02,9.01 03/24/11
NORDSTROM INC WA 7.01,9.01 04/07/11
NORTEL NETWORKS CORP 1.01,8.01 04/04/11
ONEOK INC /NEW/ OK 1.01,1.02,2.03,7.01, 04/05/11
9.01
ORASURE TECHNOLOGIES INC DE 5.02,9.01 04/06/11
ORION ENERGY SYSTEMS, INC. WI 5.02 04/01/11
OSAGE EXPLORATION & DEVELOPMENT INC DE 1.01,2.03,3.02,9.01 04/06/11
OXIGENE INC DE 3.01 04/07/11
PARAMETRIC TECHNOLOGY CORP MA 1.01,7.01,9.01 04/06/11
PARKER DRILLING CO /DE/ DE 1.01,2.03 04/01/11
PATHFINDER BANCORP INC DE 8.01,9.01 04/06/11
Patriot Coal CORP DE 7.01 04/07/11
PCS EDVENTURES COM INC ID 2.03,9.01 03/31/11
Pebblebrook Hotel Trust MD 8.01,9.01 04/07/11
PENFORD CORP WA 2.02,9.01 04/07/11
PENN MILLERS HOLDING CORP 5.02,9.01 04/04/11
PEOPLES EDUCATIONAL HOLDINGS MN 2.02,9.01 04/07/11
PHOTRONICS INC CT 5.07 04/01/11
PIER 1 IMPORTS INC/DE DE 1.01,2.02,2.03,7.01, 04/04/11
9.01
PMI GROUP INC DE 8.01,9.01 04/01/11
POLYMEDIX, INC DE 1.01,9.01 04/07/11 AMEND
POP N GO INC DE 8.01 04/07/11
POWER ONE INC DE 2.01,9.01 04/06/11
PREFERRED APARTMENT COMMUNITIES INC MD 1.01,3.02,5.02,8.01, 04/05/11
9.01
PRICESMART INC DE 2.02,9.01 04/07/11
PrimeCare Systems, Inc. DE 8.01 04/07/11
PrimeCare Systems, Inc. DE 8.01 04/07/11
Protalix BioTherapeutics, Inc. FL 7.01,9.01 04/07/11
PRUDENTIAL FINANCIAL INC NJ 2.03,7.01,8.01,9.01 04/06/11
PURADYN FILTER TECHNOLOGIES INC DE 2.02,7.01,9.01 04/07/11
QUALITY SYSTEMS, INC CA 8.01,9.01 03/30/11
Quamtel, Inc. NV 5.02 04/01/11
QUICK-MED TECHNOLOGIES INC 1.01,9.01 04/01/11
RADIAN GROUP INC DE 1.01,1.02,9.01 04/05/11
Raptor Pharmaceutical Corp DE 5.07 04/07/11
RASER TECHNOLOGIES INC UT 8.01 04/06/11
Real Mex Restaurants, Inc. DE 5.02,9.01 03/28/11
Regenicin, Inc. NV 1.01,2.03,9.01 03/14/11
Regenicin, Inc. NV 8.01,9.01 03/14/11
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 04/06/11
RITE AID CORP DE 2.02,9.01 04/07/11
Riverview Financial Corp PA 5.03,9.01 04/06/11
RIVIERA HOLDINGS CORP NV 1.01,1.02,2.03,3.02, 04/01/11
3.03,5.02,5.03,9.01
Rockville Financial, Inc. /CT/ CT 8.01 04/04/11
RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 04/07/11
SABINE ROYALTY TRUST TX 2.02,9.01 04/05/11
SAKS INC TN 7.01,9.01 04/07/11
SANUWAVE Health, Inc. NV 1.01,1.02,3.02,9.01 04/04/11
SCHLUMBERGER LTD /NV/ P8 5.07,9.01 04/07/11
SCHLUMBERGER LTD /NV/ P8 8.01,9.01 04/07/11
Seagate Technology plc L2 2.02,8.01,9.01 04/07/11
SHENGRUI RESOURCES CO. LTD NV 5.07,9.01 04/04/11
Silver Falcon Mining, Inc. DE 8.01 04/07/11
SIONIX CORP NV 8.01,9.01 04/01/11
SkyShop Logistics, Inc. 8.01,9.01 04/07/11
Solar Thin Films, Inc. DE 5.02 04/01/11
Sono Resources, Inc. NV 1.01,5.02,9.01 03/14/11
Sorrento Therapeutics, Inc. DE 5.02 04/01/11
SOUTHWEST AIRLINES CO TX 2.02,9.01 03/31/11
Spirit AeroSystems Holdings, Inc. DE 8.01,9.01 04/07/11
STIFEL FINANCIAL CORP DE 5.02,9.01 04/07/11
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 03/29/11
SUBAYE, INC. 4.01,9.01 04/01/11
SUN RIVER ENERGY, INC CO 8.01,9.01 04/05/11
SUPERGEN INC DE 1.01,8.01,9.01 04/06/11
TAL International Group, Inc. DE 1.01,2.03 04/01/11
TARGACEPT INC 8.01,9.01 04/07/11
TELECOM HOLDRS TRUST NY 8.01,9.01 04/07/11
Teliphone Corp NV 1.01,9.01 04/06/11
TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 04/07/11
TERREMARK WORLDWIDE INC. DE 3.02,5.01,5.02,8.01 04/01/11
TETRA TECHNOLOGIES INC DE 1.01,9.01 04/01/11
THERAPEUTIC SOLUTIONS INTERNATIONAL, NV 1.01,9.01 04/07/11
TIDELANDS BANCSHARES INC 5.02,9.01 04/04/11
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 7.01,9.01 04/06/11
TPG Specialty Lending, Inc. DE 5.02 04/01/11
TRANS ENERGY INC NV 1.01,9.01 04/06/11
TRIM HOLDING GROUP NV 4.01 04/06/11
Tundra Gold Corp. NV 1.01,8.01,9.01 04/04/11
UMH PROPERTIES, INC. MD 7.01,9.01 04/06/11
UNITED AMERICAN HEALTHCARE CORP MI 1.01,8.01 04/04/11
US ENERGY CORP WY 8.01,9.01 04/07/11
US ENERGY CORP WY 8.01,9.01 04/07/11
US GEOTHERMAL INC DE 5.02,9.01 04/01/11
VAPOR CORP. NV 1.01,9.01 12/01/10
VERTEX PHARMACEUTICALS INC / MA MA 1.01 04/04/11
VISTEON CORP DE 1.01,2.03,8.01,9.01 04/06/11
Vitamin Shoppe, Inc. DE 5.02 04/04/11
Vyteris, Inc. NV 1.01,2.01,2.03,3.02, 04/01/11
8.01,9.01
WAUSAU PAPER CORP. WI 2.03 04/04/11
WELLS CORE OFFICE INCOME REIT INC 1.01 04/05/11
WESTMORELAND COAL Co DE 5.02 03/09/11 AMEND
Win Gaming Media, Inc. NV 5.02 04/07/11
XENOPORT INC DE 8.01 04/06/11
XO HOLDINGS INC DE 8.01,9.01 04/07/11
Xun Energy, Inc. NV 1.01,9.01 04/01/11
Zayo Group LLC DE 2.01,9.01 04/01/11
http://www.sec.gov/news/digest/2011/dig040811.htm
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