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Commission announcementsCFTC and SEC Staffs to Host Public Roundtable Discussion on Dodd-Frank ImplementationThe staffs of the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) today announced that they intend to hold a two-day joint public roundtable on May 2-3, 2011, to discuss the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Dodd-Frank Act gives the CFTC and SEC certain flexibility to set effective dates and a schedule for compliance with rules implementing Title VII of the Act, which involves oversight of swaps and security-based swaps, so that market participants have time to develop the policies, procedures, systems and processes needed to comply with the new regulatory requirements. Public comments on Title VII have helped inform the Commissions as to what requirements can be met sooner and which ones will take more time. The roundtable is intended to supplement the comments received to date and help inform the Commissions as they proceed with rulemaking. The order in which the Commissions finalize the rules need not determine the order in which the rules become effective or the applicable compliance dates. The roundtable will provide the public with the opportunity to comment on whether to phase implementation of the new requirements based on factors such as: the type of swap or security-based swap, including by asset class; the type of market participants that engage in such trades; the speed with which market infrastructures can meet the new requirements; and whether registered market infrastructures or participants might be required to have policies and procedures in place ahead of compliance with such policies and procedures by non-registrants. The roundtable is expected to include panel discussions of (1) compliance dates for new rules for existing trading platforms and clearinghouses and the registration and compliance with rules for new platforms, such as swap and security-based swap execution facilities, and data repositories for swaps and security-based swaps; (2) compliance dates for new requirements for dealers and major participants in swaps and security-based swaps; (3) implementation of clearing mandates; (4) compliance dates for financial entities such as hedge funds, asset managers, insurance companies and pension funds subject to a clearing mandate and other requirements; and (5) considerations with regard to non-financial end users. The roundtable will be held from 9:30 am to 4:00 pm each day in the Conference Center at the CFTC’s Headquarters, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC. The discussion will be open to the public with seating on a first-come, first-served basis. Members of the public also may listen by telephone. (Press Rel. 2011-90) Enforcement proceedingsIn the Matter of Jason K. FifieldOn April 8, 2011, the Commission issued an Order Instituting Administrative Proceedings pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Jason K. Fifield. The Order finds that From February 2007 through July 2008 Fifield, acting as a broker-dealer offered and sold promissory notes to investors. During that time, Fifield was neither registered as a broker-dealer nor associated with a registered broker dealer. On March 23, 2011, a final judgment was entered by consent against Fifield, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Jason K. Fifield, Civil Action Number CV-10-7709 RGK (OPx), in the United States District Court for the Central District of California. The Commission’s complaint in that matter alleged that Fifield raised approximately $5.88 million through the fraudulent sale of the promissory notes to more than 70 investors. The Commission’s complaint further alleged that Fifield also misused and misappropriated investor funds. Based on the above, the Order bars Fifield from association with any broker, dealer, or investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock. Fifield consented to the issuance of the Order without admitting or denying any of the findings, except he admitted the final judgment. (Rel. 34-64281; File No. 3-14337) Commission Revokes Registration of Securities of Commercial International Corp. for Failure to Make Required Periodic FilingsOn April 12, 2011, the Commission revoked the registration of each class of registered securities of Commercial International Corp. (Commercial International) 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, Commercial International 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 Commercial International Corp. 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 Commercial International’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Commercial International in In the Matter of Clarion Internet, Inc., et al., Administrative Proceeding File No. 3-14312. 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 Clarion Internet, Inc., et al., Administrative Proceeding File No. 3-14312, Exchange Act Release No. 64139, March 28, 2011. (Rel. 34-64293; File No. 3-14312) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by EDGX Exchange to amend EDGX Rule 11.13 to extend the operation of a pilot (SR-EDGX-2011-11) 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. (Rel. 34-64229) A proposed rule change filed by EDGA Exchange to amend EDGA Rule 11.13 to extend the operation of a pilot (SR-EDGA-2011-12) 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. (Rel. 34-64230) A proposed rule change filed by International Securities Exchange to amend ISE Rule 2128 to extend the pilot program (SR-ISE-2011-19) 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. (Rel. 34-64231) A proposed rule change filed by New York Stock Exchange amending NYSE Rule 128, 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-NYSE-2011-17) 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. (Rel. 34-64232) A proposed rule change filed by NYSE Amex amending NYSE Amex Equities Rule 128, 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-NYSEAmex-2011-24) 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. (Rel. 34-64233) A proposed rule change filed by BATS Y-Exchange to extend the pilot program related to clearly erroneous execution reviews (SR-BYX-2011-006) 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. (Rel. 34-64236) A proposed rule change filed by NASDAQ OMX BX to extend the pilot period of amendments to the clearly erroneous rule (SR-BX-2011-019) 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. (Rel. 34-64240) A proposed rule change filed by National Stock Exchange to amend its rules to extend the pilot program regarding clearly erroneous executions (SR-NSX-2011-05) 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. (Rel. 34-64242) A proposed rule change filed by The NASDAQ Stock Market to modify fees for Members using the NASDAQ Market Center (SR-NASDAQ-2011-048) 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. (Rel. 34-64246) A proposed rule change filed by EDGX Exchange (SR-EDGX-2011-08) to amend EDGX Rule 11.9 to introduce additional routing options to the rule 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. (Rel. 34-64250) A proposed rule change filed by EDGA Exchange (SR-EDGA-2011-09) to amend EDGA Rule 11.9 to introduce additional routing options to the rule 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. (Rel. 34-64252) A proposed rule change filed by the EDGX Exchange (SR-EDGX-2011-09) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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. (Rel. 34-64253) A proposed rule change filed by New York Stock Exchange amending NYSE Rule 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, 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-NYSE-2011-16) 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. (Rel. 34-64254) A proposed rule change filed by the International Securities Exchange to expand the $2.50 Strike Price Program (SR-ISE-2011-23) 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. (Rel. 34-64258) A proposed rule change filed by NASDAQ OMX BX to amend Rules 2360, 2361, 2370, and 6951 to reflect changes to corresponding FINRA Rules (SR-BX-2011-021) 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. (Rel. 34-64261) A proposed rule change filed by NASDAQ OMX PHLX relating to permit fees (SR-Phlx-2011-43) 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. (Rel. 34-64265) A proposed rule change filed by the EDGA Exchange (SR-EDGA-2011-10) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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. (Rel. 34-64267) A proposed rule change filed by the International Securities Exchange (SR-ISE-2011-21) relating API fees has become immediately 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. (Rel. 34-64269) The Commission issued notice of filing and immediate effectiveness of proposed rule change (SR-ISE-2011-24) filed by the International Securities Exchange under Rule 19b-4 of the Securities Exchange Act of 1934 relating to enhancements to the exchange's electronic trading platform. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64275) A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-48) to update provisions regarding the dress code and trade verification has become immediately 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. (Rel. 34-64284) A proposed rule change filed by NASDAQ OMX PHLX relating to singly listed and multiply listed indexes (SR-Phlx-2011-50) 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. (Rel. 34-64286) A proposed rule change filed by the International Securities Exchange (SR-ISE-2011-22) relating to network fees has become immediately 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. (Rel. 34-64292) Proposed Rule ChangeThe New York Stock Exchange filed a proposed rule change (SR-NYSE-2011-15) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to NYSE Rule 1401 to modify the initial trading market value for Debt Securities. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64287) Designation of a Longer Period for Commission Action on Proposed Rule ChangesThe Commission has issued a notice designating a longer time period for Commission action on proceedings to determine whether to approve or disapprove a proposed rule change (SR-NASDAQ-2010-134) filed by The Nasdaq Stock Market to adopt additional criteria for listing commodity stockpiling companies that have indicated that their business plan is to buy and hold commodities. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64259) The Commission has designated a longer period within which to take action on the proposed rule change (SR-FINRA-2011-008), submitted by the Financial Industry Regulatory Authority pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to require public disclosure of any access or post-transaction fees for executions against a public quotation in an OTC Equity Security. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64264) A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-051) to modify the effective hours of Rule 4753(c) 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. (Rel. 34-64268) A proposed rule change filed by the International Securities Exchange (SR-ISE-2011-13) to adopt a fee cap and a service fee has become immediately 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. (Rel. 34-64270) The Commission has designated a longer period within which to take action on a proposed rule change (SR-NYSE-2011-09), submitted by New York Stock Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, amending Exchange Rule 103B to modify the application of the Exchange’s Designated Market Maker allocation policy in the event of a merger involving one or more listed companies. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64273) The Commission has designated a longer period within which to take action on a proposed rule change (SR-NYSEAmex-2011-11), submitted by NYSE Amex pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, amending Rule 103B -- NYSE Amex Equities to modify the application of the Exchange’s Designated Market Maker allocation policy in the event of a merger involving one or more listed companies. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64274) The Commission has designated a longer period within which to take action on a proposed rule change (SR-Phlx-2011-13), submitted by NASDAQ OMX PHLX pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, relating to amendments to NASDAQ OMX PHLX LLC’s Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64276) The Commission has designated a longer period within which to take action on a proposed rule change (SR-Phlx-2011-28), submitted by NASDAQ OMX PHLX pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to expand the number of components in the PHLX Oil Service SectorSM known as OSXSM, on which options are listed and traded. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64282) The Commission has designated a longer period within which to take action on a proposed rule change (SR-FINRA-2011-012), submitted by Financial Industry Regulatory Authority pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, relating to TRACE reporting of asset-backed securities. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64283) Approval of Proposed Rule ChangesThe Commission has approved a proposed rule change (SR-FINRA-2011-006), filed by the Financial Industry Regulatory Authority to amend FINRA Rules 12206, 12503, and 12504 of the Code of Arbitration Procedure for Customer Disputes and Rules 13206, 13503, and 13504 of the Code of Arbitration Procedure for Industry Disputes (collectively, “Codes”), to provide moving parties with a five-day period to reply to responses to motions. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64225) The Commission approved a proposed rule change submitted by The NASDAQ Stock Market (SR-NASDAQ-2011-025), pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, to amend The NASDAQ OMX Group, Inc. By-Laws. Publication is expected in the Federal Register during the week of April 11. (Rel. 34-64285) 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-1 22nd Century Group, Inc., 11923 SW 37 TERRACE, MIAMI,, FL, 33175,
212.400.6900 - 5,434,446 ($6,793,057.50) Equity, (File 333-173420 -
Apr. 11) (BR. 05A)
S-8 VERINT SYSTEMS INC, 330 SOUTH SERVICE ROAD, MELVILLE, NY, 11747,
6319629600 - 0 ($1,308,859.18) Equity, (File 333-173421 - Apr. 11)
(BR. 03A)
S-4 VENTAS INC, 111 SOUTH WACKER DRIVE, SUITE 4800, CHICAGO, IL, 60606,
(877) 483-6827 - 0 ($5,501,401,914.00) Equity, (File 333-173434 -
Apr. 11) (BR. 08C)
S-4 Interactive Intelligence Group, Inc., 7601 INTERACTIVE WAY,
INDIANAPOLIS, IN, 46278, (317) 872-3000 -
18,656,183 ($719,942,101.97) Equity, (File 333-173435 - Apr. 11)
(BR. 03)
S-1 Vu1 CORP, 469 SEVENTH AVENUE,, SUITE 356, NEW YORK,, NY, 10018,
888-985-8881 - 10,166,002 ($4,574,701.00) Equity, (File 333-173436 -
Apr. 11) (BR. 11C)
F-1 Brainsway Ltd., 19 Hartum Street, Bynet Building, 1st Fl,
Har HaHotzvim, Jerusalem, L3, 91451, (+972-2)-581-3140 -
0 ($30,000,000.00) Equity, (File 333-173437 - Apr. 11) (BR. 10A)
S-1 DogInn Inc., 1380 LOUGAR AVE, SARNIA, A6, N7S 5N7, (519) 381-7086 -
3,340,000 ($3,340.00) Equity, (File 333-173438 - Apr. 11) (BR. )
S-1 Kior Inc, 13001 BAY PARK ROAD, PASADENA, TX, 77507, 281-694-8700 -
0 ($100,000,000.00) Equity, (File 333-173440 - Apr. 11) (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
A123 SYSTEMS, INC. DE 5.02,8.01,9.01 04/07/11
ABRAXAS PETROLEUM CORP NV 7.01,9.01 04/11/11
ACADIA PHARMACEUTICALS INC DE 1.01,9.01 04/08/11
ACORDA THERAPEUTICS INC 8.01 04/11/11
ADA-ES INC CO 8.01,9.01 04/11/11
ADEONA PHARMACEUTICALS, INC. DE 1.01,9.01 04/06/11
Ads In Motion, Inc. DE 1.01,2.01,9.01 02/08/11 AMEND
ADVANCED MICRO DEVICES INC DE 8.01 04/11/11
ADVENTRX PHARMACEUTICALS INC DE 1.01,2.01,3.02,5.02, 04/08/11
9.01
ALEXANDRIA REAL ESTATE EQUITIES INC MD 5.03,9.01 04/05/11
Allied Nevada Gold Corp. DE 2.02,9.01 04/08/11
American Realty Capital Trust, Inc. DE 8.01,9.01 04/08/11
Ancestry.com Inc. DE 5.02 04/11/11
ANGIOTECH PHARMACEUTICALS INC 8.01,9.01 04/07/11
Answers CORP 8.01,9.01 04/08/11
Apartment Trust of America, Inc. 7.01 04/04/11
Approach Resources Inc DE 7.01,9.01 04/11/11
Armour Residential REIT, Inc. MD 1.01,8.01,9.01 04/08/11
Ascent Media CORP DE 5.02 04/05/11
ASHFORD HOSPITALITY TRUST INC MD 1.01,9.01 04/11/11
AUTOLIV INC DE 2.02,9.01 04/11/11
AUXILIUM PHARMACEUTICALS INC 7.01,8.01,9.01 04/11/11
Bacterin International Holdings, Inc. DE 2.02,9.01 04/08/11
BALLY TECHNOLOGIES, INC. NV 5.02,9.01 04/07/11
BANCORPSOUTH INC MS 5.02,9.01 04/08/11
BCS Solutions, Inc. FL 5.01,5.02,9.01 04/05/11
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 3.02 04/11/11
BEL FUSE INC /NJ NJ 8.01,9.01 04/11/11
Bella Petrellas Holdings, Inc. FL 5.02,7.01,9.01 04/06/11
BENCHMARK ELECTRONICS INC TX 2.02,9.01 04/11/11
BIOFIELD CORP \DE\ DE 1.01,8.01,9.01 04/05/11
BIOPACK ENVIRONMENTAL SOLUTIONS INC. NV 5.02 04/06/11
BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 04/11/11
Blackwater Midstream Corp. 8.01,9.01 04/05/11 AMEND
BNC BANCORP NC 5.02 04/05/11
CAGLES INC GA 2.03 04/11/11
CAL MAINE FOODS INC DE 1.02 04/06/11
CALIFORNIA STEEL INDUSTRIES INC 8.01 04/11/11
Calumet Specialty Products Partners, DE 8.01,9.01 04/11/11
CAMPBELL FUND TRUST DE 3.02 04/11/11
CARDINAL HEALTH INC OH 5.02 04/05/11
CASCADE TECHNOLOGIES CORP WY 5.02 04/08/11
CATALYST HEALTH SOLUTIONS, INC. DE 1.01,7.01,9.01 04/07/11
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.02 04/08/11
CEPHALON INC DE 5.02,8.01 04/08/11
CHANCELLOR GROUP INC/ NV 5.02 04/06/11
CHEMUNG FINANCIAL CORP NY 6.03,8.01 04/11/11
CHESAPEAKE MIDSTREAM PARTNERS LP DE 1.01,2.03,8.01,9.01 04/11/11
CHEVRON CORP DE 2.02 04/11/11
CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 04/08/11
CHINA ELECTRIC MOTOR, INC. DE 3.01,8.01,9.01 04/06/11
CMS ENERGY CORP MI 7.01,9.01 04/11/11
COMARCO INC CA 4.01,9.01 04/05/11
COMMERCETEL CORP NV 1.01,2.01,3.02 04/11/11
COMMERCIAL METALS CO DE 5.02,7.01,9.01 04/06/11
COMMUNITY BANK SYSTEM INC DE 8.01,9.01 04/11/11
COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 04/11/11
COMPOSITE TECHNOLOGY CORP NV 1.03,2.04,9.01 04/05/11
Cooper Industries plc 8.01 04/05/11
Cooper Industries plc 5.02 04/05/11
COWEN GROUP, INC. 8.01 04/11/11
CREDO PETROLEUM CORP DE 5.07 04/07/11
CreXus Investment Corp. MD 2.01 04/08/11
Discovery Communications, Inc. DE 5.02,9.01 04/11/11
DURECT CORP DE 8.01,9.01 04/11/11
DYNEGY INC. DE 5.02,7.01,9.01 04/08/11
E-Debit Global Corp. CO 8.01 04/08/11
Eco Energy Pumps, Inc. NV 1.01,2.01,5.01,5.02, 10/25/10 AMEND
5.03,9.01
ELECTRONICS FOR IMAGING INC DE 2.02,9.01 04/11/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 04/10/11
EPICEPT CORP 3.01,9.01 04/06/11
Euramerica Holdings Corp. DE 8.01 04/08/11
EVERGREEN ENERGY INC DE 5.02,7.01,9.01 04/05/11
EXPRESS, INC. 1.01,8.01,9.01 04/06/11
EXTREME NETWORKS INC DE 2.02 04/11/11
Farrallon, Inc NV 3.02,4.02,5.01,5.02, 04/05/11
8.01,9.01
FASTENAL CO MN 7.01,9.01 04/11/11
FIRST CORP /CN/ CO 1.01,3.02,9.01 04/05/11
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02 04/07/11
FLOTEK INDUSTRIES INC/CN/ DE 2.02,7.01,9.01 04/11/11
FORD MOTOR CO DE 8.01 04/11/11
FORD MOTOR CREDIT CO LLC DE 8.01 04/11/11
FREDERICK COUNTY BANCORP INC MD 8.01,9.01 04/11/11
FRISCHS RESTAURANTS INC OH 1.01,9.01 04/06/11
General Finance CORP DE 7.01,8.01,9.01 04/11/11
Glen Rose Petroleum CORP DE 1.01 03/18/11
Glen Rose Petroleum CORP DE 5.02 04/05/11
GLIMCHER REALTY TRUST MD 1.01,2.03 04/08/11
GLOBAL CROSSING LTD 8.01,9.01 04/10/11
Global Pharm Holdings Group, Inc. DE 8.01,9.01 04/11/11
Golden State Water CO CA 7.01,9.01 04/11/11
GOLDMAN SACHS GROUP INC DE 9.01 04/11/11
GRANITE CITY FOOD & BREWERY LTD MN 1.01,8.01,9.01 04/05/11
GRAPHIC PACKAGING HOLDING CO DE 2.02,8.01,9.01 04/11/11
Greektown Superholdings, Inc. DE 8.01 03/29/11
Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 04/11/11
Grubb & Ellis Healthcare REIT II, Inc MD 9.01 01/31/11 AMEND
Guanwei Recycling Corp. NV 8.01,9.01 04/05/11
GULF ISLAND FABRICATION INC LA 8.01,9.01 04/08/11
HANCOCK HOLDING CO MS 3.01 04/07/11
HARBINGER GROUP INC. DE 2.01,9.01 04/06/11
HARRIS INTERACTIVE INC DE 3.01 04/05/11
HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 04/11/11
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 04/11/11
HELI ELECTRONICS CORP. NV 5.02 04/11/11
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 5.03,9.01 04/05/11
HONEYWELL INTERNATIONAL INC DE 2.02,9.01 04/11/11
Horizon Lines, Inc. 7.01 04/11/11
HORMEL FOODS CORP /DE/ DE 9.01 04/11/11
Howard Hughes Corp DE 2.02,7.01,9.01 04/07/11
HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 5.02,9.01 04/06/11
iBOS, INC. DE 1.01,2.01,5.01,5.02, 04/05/11
9.01
IDENIX PHARMACEUTICALS INC 1.01,3.02,8.01,9.01 04/08/11
INFOSPACE INC DE 7.01 04/11/11
Ingersoll-Rand plc L2 7.01,9.01 04/07/11
INLAND REAL ESTATE CORP MD 8.01,9.01 04/11/11
INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 04/11/11
Intelimax Media Inc. 1.01,9.01 04/06/11
Intellect Neurosciences, Inc. DE 9.01 04/04/11 AMEND
INTERACTIVE INTELLIGENCE INC IN 1.01,7.01,8.01,9.01 04/11/11
INTERCONTINENTALEXCHANGE INC 8.01,9.01 04/10/11
IntraLinks Holdings, Inc. DE 1.01,9.01 04/06/11
ISLE OF CAPRI CASINOS INC DE 3.03,5.02,5.07,9.01 04/08/11
Jacksonville Bancorp, Inc. MD 2.02,9.01 04/11/11
JOE'S JEANS INC. DE 2.02,9.01 04/11/11
KAISER ALUMINUM CORP DE 8.01,9.01 04/07/11
KILROY REALTY CORP MD 7.01,8.01,9.01 04/06/11
KINDRED HEALTHCARE, INC DE 8.01,9.01 04/08/11
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 9.01 03/25/11 AMEND
KUNEKT CORP NV 1.01,9.01 03/31/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 04/08/11
LEE ENTERPRISES, INC DE 2.02,8.01,9.01 04/11/11
LendingClub Corp DE 4.01,9.01 04/05/11
LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 04/11/11
LIGAND PHARMACEUTICALS INC DE 2.01,9.01 01/14/11 AMEND
M & F WORLDWIDE CORP DE 1.01,1.02,8.01,9.01 04/05/11
MARCHEX INC DE 1.01,2.01,7.01,9.01 04/07/11
MEDGENICS, INC. DE 1.01,5.03,9.01 04/07/11
MEDICIS PHARMACEUTICAL CORP DE 8.01 04/05/11
MEDIFAST INC DE 8.01 04/07/11
MEDIVATION, INC. DE 8.01,9.01 04/11/11
MELA SCIENCES, INC. /NY 1.01 04/08/11
Merchants & Marine Bancorp, Inc. MS 5.07 04/07/11
MICREL INC CA 2.02,9.01 04/11/11
MPHASE TECHNOLOGIES INC NJ 8.01,9.01 04/08/11 AMEND
MUSTANG GEOTHERMAL CORP 5.02 04/08/11
NASDAQ OMX GROUP, INC. DE 8.01,9.01 04/10/11
NASH FINCH CO DE 5.02,9.01 04/11/11
NEKTAR THERAPEUTICS DE 5.03,8.01,9.01 04/05/11
NEW YORK MORTGAGE TRUST INC MD 7.01 04/11/11
NGAS Resources Inc A1 5.07,9.01 04/08/11
NIVS IntelliMedia Technology Group, I DE 3.01,4.01,7.01,9.01 04/05/11
NORTHWESTERN CORP DE 5.02 04/08/11
NOVELOS THERAPEUTICS, INC. DE 1.01,2.01,3.02,5.01, 04/08/11
5.02,5.03,7.01,9.01
NOVINT TECHNOLOGIES INC DE 1.01,2.01,3.02,5.02, 03/31/11
5.03,8.01,9.01
NYSE Euronext DE 8.01,9.01 04/10/11
ORAGENICS INC FL 1.01,9.01 04/05/11
PAB BANKSHARES INC GA 3.01,9.01 04/05/11
PAXTON ENERGY INC NV 1.01,9.01 04/07/11
PAYCHEX INC DE 5.02 04/06/11
PENGRAM CORP NV 7.01 04/10/11
PepperBall Technologies, Inc. CO 5.02 04/08/11
PETROQUEST ENERGY INC DE 8.01,9.01 04/11/11
Pharma-Bio Serv, Inc. 5.07 04/06/11
PINNACLE AIRLINES CORP DE 1.01,5.02,9.01 04/04/11
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,8.01,9.01 04/11/11
POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 04/11/11
PPL Corp 9.01 04/11/11
PRO DEX INC CO 1.01,9.01 04/06/11
PROCTER & GAMBLE CO OH 7.01 04/11/11
ProPhase Labs, Inc. NV 7.01,9.01 04/08/11
PULSE ELECTRONICS CORP PA 7.01,9.01 04/01/11
Pzena Investment Management, Inc. DE 4.01 04/05/11
RAYMOND JAMES FINANCIAL INC FL 8.01,9.01 04/11/11
RED METAL RESOURCES, LTD. 1.01,3.02,7.01,9.01 04/07/11
REGEN BIOLOGICS INC DE 1.01,1.03,2.04 04/07/11
REHABCARE GROUP INC DE 8.01,9.01 04/11/11
ROCKWELL MEDICAL TECHNOLOGIES INC MI 5.02 04/07/11
Rongfu Aquaculture, Inc. NV 4.01,9.01 03/23/11 AMEND
Rosetta Resources Inc. DE 7.01,9.01 04/11/11
SANGAMO BIOSCIENCES INC DE 1.01,9.01 04/08/11
SEALED AIR CORP/DE DE 5.02,9.01 04/07/11
SHAW GROUP INC LA 2.02,9.01 04/11/11
Silver Falcon Mining, Inc. DE 1.01,3.02,9.01 04/11/11
Sky Harvest Windpower Corp. NV 5.01,8.01,9.01 04/11/11
SM Energy Co DE 1.01,2.03,9.01 04/11/11
SOLTA MEDICAL INC DE 5.02 04/06/11
SPANISH BROADCASTING SYSTEM INC DE 8.01 04/05/11
Spartan Gold Ltd. 1.01,9.01 03/28/11
SquareTwo Financial Corp DE 8.01 04/08/11
ST JOE CO FL 5.02,9.01 04/11/11
STRATEGIC HOTELS & RESORTS, INC 8.01,9.01 04/07/11
SUBAYE, INC. 4.01,9.01 04/01/11 AMEND
SUN RIVER ENERGY, INC CO 8.01,9.01 04/11/11
SUN RIVER ENERGY, INC CO 7.01,9.01 04/08/11 AMEND
TASTY BAKING CO PA 1.01,8.01,9.01 04/10/11
TEMPLE INLAND INC DE 5.02 04/11/11
TENET HEALTHCARE CORP NV 8.01,9.01 04/11/11
TERREMARK WORLDWIDE INC. DE 3.01,3.03,5.02,5.03, 04/11/11
9.01
Tower International, Inc. DE 8.01,9.01 04/11/11
Towers Watson & Co. DE 5.02 04/07/11
TRI VALLEY CORP DE 7.01,9.01 04/11/11
TRIUMPH GROUP INC DE 1.01,1.02,2.03 04/05/11
Tuffnell Ltd. NV 3.02,9.01 04/08/11
TWO RIVERS WATER Co CO 4.01 04/07/11
U. S. Premium Beef, LLC 7.01,9.01 04/11/11
UNISYS CORP DE 8.01,9.01 04/11/11
United Community Bancorp X1 2.02,9.01 04/11/11
UNITED SECURITY BANCSHARES CA 2.02,9.01 04/08/11
United States Oil & Gas Corp DE 3.02 04/11/11
VAIL RESORTS INC DE 8.01,9.01 04/11/11
VAIL RESORTS INC DE 8.01,9.01 04/11/11
VENTAS INC DE 8.01,9.01 04/11/11
VERISIGN INC/CA DE 8.01 04/11/11
VERIZON COMMUNICATIONS INC DE 8.01,9.01 04/11/11
VHGI HOLDINGS, INC. DE 5.02 05/20/10 AMEND
VIVUS INC CA 8.01,9.01 04/11/11
VSE CORP DE 5.02,9.01 04/08/11
WARP 9, INC. NV 1.01,3.02,9.01 04/06/11
World Energy Solutions, Inc. DE 1.01 04/11/11
Xinde Technology Co NV 5.07 04/07/11
Zhongbao International, Inc. NV 5.03,5.06,9.01 03/10/11
Zyto Corp NV 7.01 04/11/11
http://www.sec.gov/news/digest/2011/dig041211.htm
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