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Rules and Related MattersSEC Adopts Interim Final Rule to Amend Rule Filing Requirements for Dually-Registered Clearing AgenciesThe Securities and Exchange Commission adopted an interim final rule to amend Rule 19b-4 under the Securities Exchange Act of 1934 (Exchange Act) to expand the list of categories of proposed rule changes that qualify for summary effectiveness under Section 19(b)(3)(A) of the Exchange Act to include any matter effecting a change in an existing service of a clearing agency registered with the SEC that both (i) primarily affects the futures clearing operations of the clearing agency with respect to futures that are not security futures and (ii) does not significantly affect any securities clearing operations of the clearing agency or any related rights or obligations of the clearing agency or persons using such service. The interim final rule also would make a corresponding technical modification to the General Instructions for Form 19b-4. The amendments to Rule 19b-4 and Form 19b-4 are intended to streamline the rule filing process in areas involving certain activities concerning non-security products that may be subject to overlapping regulation as a result of, in part, certain provisions under Section 763(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 that would deem some clearing agencies to be registered with the SEC as of July 16, 2011. Publication of the interim final rule is expected in the Federal Register during the week of July 11, 2011. (Rel. 34-64832) Enforcement ProceedingsCommission Sustains FINRA Disciplinary Action Against FCS Securities and Dale Edward KleinserThe Commission has sustained FINRA disciplinary action against FINRA member firm FCS Securities (FCS) and its sole proprietor, Dale Edward Kleinser (together, Applicants). The Commission found that Applicants failed to file audited annual reports for fiscal years 2006 and 2007, and that they further failed to show that FCS qualified for an exemption that allows registered brokers and dealers to file unaudited annual reports with the Commission if their "securities business has been limited to buying and selling evidences of indebtedness secured by mortgage, deed or trust, or other lien upon real estate or leasehold interest." The Commission sustained the sanctions imposed by FINRA: a $5,000 fine and a four-month suspension of FCS's FINRA membership, which will convert to expulsion from membership if Applicants fail to file audited annual reports for 2006 and 2007 during the period of the suspension. (Rel. 34-64852; File No. 3-14015) Telecommunications Stock Promoter Alfred Louis “Bobby” Vassallo, Jr. Indicted for Wire FraudThe Securities and Exchange Commission announced that on July 6, 2011, a federal grand jury in Santa Ana, California, returned an indictment against Alfred Louis “Bobby” Vassallo, Jr. at the request of the United States Attorney’s Office for the Central District of California, charging him with three felony counts of wire fraud. Vassallo, age 61, is a resident of La Jolla, California. The indictment charges Vassallo with making false representations to an investor in connection with an investment in a wireless communication venture including failing to disclose that he had been sued by the Commission and that a permanent injunction and monetary judgment had been entered against him in the Commission’s action. United States of America v. Alfred Louis Vassallo, Jr. aka “Bobby Vassallo,” U. S. District Court, Central District of California, case no. 8:11-CR-00150 (filed July 6, 2011). The Commission filed a civil complaint against Vassallo and his former company, Presto Telecommunications, Inc., in the U. S. District Court, Southern District of California, on Jan. 27, 2004 that charged Vassallo with violating the securities registration and antifraud provisions of the federal securities laws for his role in perpetrating a fraudulent scheme through Presto, which raised approximately $26 million from more than 500 investors. The Court entered a Final Judgment of Permanent Injunction and Other Relief against Vassallo on Aug. 24, 2005 that permanently enjoined him from violating the securities registration and antifraud provisions and ordered him to pay a total of $2,009,082 in disgorgement plus prejudgment interest, civil penalties, and the costs and expenses of the permanent receiver for Presto. The Commission filed an application for an order to show cause re civil contempt against Vassallo on Sept. 21, 2010 which alleged that Vassallo violated the Final Judgment by offering and selling unregistered securities of wireless ventures and telecommunications companies, by committing fraud in connection with the offer and sale of those securities, and by failing to pay any of the monetary relief he was ordered to pay. The Court issued an order to show cause on Sept. 24, 2010 why Vassallo should not be held in civil contempt of the Final Judgment. The Court issued an order on Oct. 26, 2011 referring Vassallo’s alleged violations of the permanent injunction to the United States Attorney for the Southern District of California for prosecution for criminal contempt. The Court subsequently stayed the civil contempt proceeding. [SEC v. Presto Telecommunications, Inc. and Alfred Louis Vassallo, Jr., United States District Court, Southern District of California, Case No. 04CV00162IEG] (LR-22032) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX BX to amend rule 7034 to extend the waiver of certain co-location installation fees for an additional month (SR-BX-2011-043) 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 July 11. (Rel. 34-64840) A proposed rule change filed by Financial Industry Regulatory Authority to implement revolving door restrictions on former officers of FINRA (SR-FINRA-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 July 11. (Rel. 34-64841) A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-97) to extend the waiver of certain co-location installation fees for an additional month 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 July 11. (Rel. 34-64842) A proposed rule change filed by BATS Y-Exchange (SR-BYX-2011-013) related to fees for use of BATS Y-Exchange, Inc. 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 July 11. (Rel. 34-64846) A proposed rule change filed by BATS Exchange (SR-BATS-2011-019) related to fees for use of BATS Exchange, Inc. 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 July 11. (Rel. 34-64847) A proposed rule change filed by the EDGX Exchange (SR-EDGX-2011-19) 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 July 11. (Rel. 34-64848) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-NYSE-2011-22) submitted by The New York Stock Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend NYSE Rule 70.40(3) to permit member organizations to engage in proprietary trading from their approved booth premises in certain OTC Bulletin Board and OTC Markets securities. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64843) The Commission approved a proposed rule change (SR-NYSEAmex-2011-34) submitted by NYSE Amex pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend NYSE Amex Equities Rule 70.40(3) to permit member organizations to engage in proprietary trading from their approved booth premises in certain OTC Bulletin Board and OTC Markets securities. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64844) Proposed Rule ChangeNASDAQ OMX PHLX filed a proposed rule change (SR-Phlx-2011-90) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to Board of Director qualifications. Publication is expected in the Federal Register during the week of July 11. (Rel. 34-64845) 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-3 PSEG POWER LLC, 80 PARK PLAZA T-6, `, NEWARK, NJ, 07111, 9734307000 - 0 ($1.00) Debt, (File 333-175397 - Jul. 8) (BR. 02B) S-4 Allied World Assurance Co Holdings, AG, LINDENSTRASSE 8, BAAR/ZUG, V8, 6340, 441-278-5400 - 0 ($3,172,184,251.20) Equity, (File 333-175398 - Jul. 8) (BR. 01C) S-3 ReachLocal Inc, 21700 OXNARD STREET, SUITE 1600, WOODLAND HILLS, CA, 91367, 8189369906 - 0 ($120,960,000.00) Equity, (File 333-175399 - Jul. 8) (BR. 11C) S-1 Enterologics, Inc., 20 EAST SUNRISE HWY, SUITE 202, VALLEY STREAM, NY, 11581, 516-568-7007 - 1,660,000 ($83,300.00) Equity, (File 333-175403 - Jul. 8) (BR. 01B) S-8 APOGEE ENTERPRISES, INC., 4400 WEST 78TH STREET, SUITE 520, MINNEAPOLIS, MN, 55435, 6128351874 - 0 ($7,658,700.00) Equity, (File 333-175404 - Jul. 8) (BR. 06A) S-8 URSTADT BIDDLE PROPERTIES INC, C/O URSTADT BIDDLE PROPERTIES INC., 321 RAILROAD AVENUE, GREENWICH, CT, 06830, 2038638200 - 1,000,000 ($17,635,000.00) Equity, (File 333-175405 - Jul. 8) (BR. 08C) S-8 MECHANICAL TECHNOLOGY INC, 431 NEW KARNER ROAD, BUILDING #4, ALBANY, NY, 12205, 5185332200 - 600,000 ($384,000.00) Equity, (File 333-175406 - Jul. 8) (BR. 10B) S-3 Yongye International, Inc., 6TH FLR, STE 608 XUE YUAN INT'L TOWER, NO. 1 ZHICHUN ROAD,HAIDIAN DISTRICT,, BEIJING,, F4, 000000, 86-10-8232-8866 - 9,869,205 ($86,849,004.00) Equity, (File 333-175407 - Jul. 8) (BR. 05C) S-3 57th Street General Acquisition Corp, 110 WEST 40TH STREET, SUITE 2100, NEW YORK, NY, 10018, 212-221-7105 - 0 ($8,434,331.00) Equity, (File 333-175408 - Jul. 8) (BR. 07C) S-8 GULFMARK OFFSHORE INC, 10111 RICHMOND AVE, STE 340, HOUSTON, TX, 77042, 7139639522 - 266,659 ($11,964,989.33) Equity, (File 333-175409 - Jul. 8) (BR. 04B) S-4 Prestige Brands Holdings, Inc., 90 NORTH BROADWAY, IRVINGTON, NY, 10533, (914) 524-6810 - 0 ($100,024,000.00) Debt, (File 333-175411 - Jul. 8) (BR. 01B) S-8 BANK OF MONTREAL /CAN/, 1 FIRST CANADIAN PLACE, TORONTO, ONTARIO CANADA, A6, M5X 1A1, 4168677191 - 0 ($739,297,645.00) Equity, (File 333-175412 - Jul. 8) (BR. 07A) S-8 BANK OF MONTREAL /CAN/, 1 FIRST CANADIAN PLACE, TORONTO, ONTARIO CANADA, A6, M5X 1A1, 4168677191 - 0 ($15,562,657.00) Equity, (File 333-175413 - Jul. 8) (BR. 07A) S-8 EBAY INC, 2145 HAMILTON AVENUE, SAN JOSE, CA, 95125, 408-376-7400 - 5,097,657 ($164,450,414.82) Equity, (File 333-175416 - Jul. 8) (BR. 02A) S-8 EBAY INC, 2145 HAMILTON AVENUE, SAN JOSE, CA, 95125, 408-376-7400 - 4,749,035 ($153,203,869.10) Equity, (File 333-175417 - Jul. 8) (BR. 02A) S-3 NATIONAL TECHNICAL SYSTEMS INC /CA/, 24007 VENTURA BLVD, CALABASAS, CA, 91302, 8185910776 - 1,233,333 ($8,238,664.44) Equity, (File 333-175418 - Jul. 8) (BR. 09A) S-3 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 425-936-6847 - 0 ($35,000,000.00) Equity, (File 333-175419 - Jul. 8) (BR. 10B) S-3 iBio, Inc., 9 INNOVATION WAY, SUITE 100, NEWARK, DE, 19711, 302 355-0650 - 0 ($100,000,000.00) Equity, (File 333-175420 - Jul. 8) (BR. 01A) S-3 DERMA SCIENCES, INC., 214 CARNEGIE CENTER, SUITE 300, PRINCETON, NJ, 08540, 6095144744 - 5,286,357 ($49,744,621.00) Equity, (File 333-175421 - Jul. 8) (BR. 10A) S-1 GREEN ENVIROTECH HOLDINGS CORP., 5300 CLAUS RD. P.O. BOX 692, RIVERBANK, CA, 95367, 209-863-9000 - 14,606,826 ($1,533,716.73) Equity, (File 333-175422 - Jul. 8) (BR. 04B) S-1 GREAT WEST LIFE & ANNUITY INSURANCE CO, 8515 E ORCHARD RD, GREENWOOD VILLAGE, CO, 80111, 303-737-3000 - 0 ($50,000,000.00) Other, (File 333-175423 - Jul. 8) (BR. 28) S-8 AMERICAN GREETINGS CORP, ONE AMERICAN ROAD, CLEVELAND, OH, 44144, 2162527300 - 1,300,000 ($30,992,000.00) Equity, (File 333-175424 - Jul. 8) (BR. 05A) S-4 URANIUM ENERGY CORP, 1111 WEST HASTINGS STREET, SUITE 320, VANCOUVER, A1, V6E 2J3, 604-682-9775 - 1,630,887 ($5,381,927.10) Equity, (File 333-175425 - Jul. 8) (BR. 04C) S-8 STERLING FINANCIAL CORP /WA/, 111 N WALL ST, SPOKANE, WA, 99201, 509-227-5389 - 0 ($33,430,000.00) Equity, (File 333-175426 - Jul. 8) (BR. 07A) S-1 MERRIMACK PHARMACEUTICALS INC, ONE KENDALL SQUARE, SUITE B7201, CAMBRIDGE, MA, 02139, 617-441-1000 - 0 ($172,500,000.00) Equity, (File 333-175427 - Jul. 8) (BR. ) S-8 HollyFrontier Corp, 2828 N. HARWOOD, SUITE 1300, DALLAS, TX, 75201, 2148713555 - 0 ($267,513,236.65) Equity, (File 333-175428 - Jul. 8) (BR. 04C) S-8 IMH Financial Corp, 4900 NORTH SCOTTSDALE ROAD, SUITE 5000, SCOTTSDALE, AZ, 85251, 480-840-8400 - 1,200,000 ($11,496,000.00) Equity, (File 333-175429 - Jul. 8) (BR. 08C) 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 AARON'S INC GA 1.01,2.03,9.01 07/05/11 ADVENTRX PHARMACEUTICALS INC DE 5.02,9.01 07/06/11 AEOLUS PHARMACEUTICALS, INC. DE 4.01,9.01 07/06/11 AEROFLEX HOLDING CORP. DE 2.02,9.01 07/07/11 AFFILIATED MANAGERS GROUP INC DE 8.01 07/06/11 AG Mortgage Investment Trust, Inc. MD 5.02 07/06/11 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02,9.01 07/01/11 Allezoe Medical Holdings Inc DE 5.02,5.05,9.01 07/06/11 Allied World Assurance Co Holdings, A 7.01,9.01 07/08/11 Alternative Energy & Environmental So NV 1.01,5.01,9.01 07/07/11 AMBASSADORS INTERNATIONAL INC DE 5.02,9.01 07/01/11 AMERICAN APPAREL, INC DE 3.02 07/07/11 AMERICAN LIFE HOLDING CO INC 3.02 07/05/11 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.01,9.01 06/21/11 AMEND AMERICAN SPECTRUM REALTY INC MD 5.02,9.01 07/05/11 AMERICAN SPECTRUM REALTY INC MD 8.01,9.01 07/07/11 AMSURG CORP TN 7.01,9.01 07/07/11 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 07/07/11 API Technologies Corp. DE 9.01 06/01/11 AMEND API Technologies Corp. DE 1.01 07/01/11 AMEND APOGEE TECHNOLOGY INC DE 1.01,2.03,3.02,9.01 07/06/11 Applied Natural Gas Fuels, Inc. NV 5.02,9.01 07/05/11 ARDENT MINES LTD 8.01,9.01 07/05/11 ARI NETWORK SERVICES INC /WI WI 1.01 07/01/11 Ascent Media Corp DE 5.03,9.01 07/07/11 AtheroNova Inc. DE 1.01,9.01 07/06/11 AUTOLIV INC DE 8.01,9.01 07/08/11 Behringer Harvard Opportunity REIT II MD 1.01,7.01,8.01,9.01 06/22/11 BioFuel Energy Corp. 5.07 05/19/11 Bonanza Goldfield Corp. NV 3.03,9.01 07/06/11 BPZ RESOURCES, INC. TX 1.01,2.03,7.01,9.01 07/06/11 Business Development Corp of America MD 5.03,9.01 07/01/11 CADENCE PHARMACEUTICALS INC 8.01 07/08/11 CADENCE PHARMACEUTICALS INC 7.01,9.01 07/08/11 CAGLES INC GA 2.03,8.01 07/01/11 Castle Brands Inc FL 3.01,9.01 07/05/11 CATERPILLAR INC DE 8.01,9.01 07/08/11 CAVCO INDUSTRIES INC DE 9.01 04/23/11 AMEND CDI CORP PA 5.02 07/01/11 CENTURY PROPERTIES FUND XVII CA 1.01,9.01 07/01/11 CHINA AUTOMOTIVE SYSTEMS INC DE 3.01,9.01 07/06/11 China Chemical Corp. DE 5.02,9.01 03/10/11 China Green Lighting Ltd 5.03,8.01,9.01 07/07/11 China Intelligence Information System NV 5.02,9.01 07/01/11 CHINA MEDICINE CORP NV 4.02 07/01/11 COMPUWARE CORP MI 5.02,9.01 07/01/11 COMPUWARE CORP MI 1.01,2.01,7.01,9.01 07/01/11 CRAWFORD & CO GA 5.02,9.01 07/01/11 CRC Health CORP DE 5.02,9.01 07/08/11 Crown Oil & Gas Inc. NV 5.02 07/03/11 Destination Maternity Corp DE 2.02,9.01 07/07/11 DIGITAL VALLEYS CORP NV 7.01,9.01 07/07/11 DJSP Enterprises, Inc. D8 2.01 07/05/11 EAST COAST DIVERSIFIED CORP NV 5.03,9.01 06/01/11 EAST COAST DIVERSIFIED CORP NV 1.01,3.02 07/01/11 ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 07/06/11 ECOTALITY, INC. NV 8.01,9.01 07/07/11 Ellington Financial LLC DE 7.01,9.01 07/08/11 EMC INSURANCE GROUP INC IA 7.01,9.01 07/08/11 EMMAUS HOLDINGS, INC. DE 5.02 07/07/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01 07/05/11 EnergyConnect Group Inc OR 2.01,3.01,3.03,5.01, 07/01/11 5.03,9.01 EnteroMedics Inc 1.01,5.02,9.01 07/01/11 EPOCH HOLDING CORP DE 8.01 07/08/11 EPOD Solar Inc. 1.01,9.01 07/08/11 ExamWorks Group, Inc. DE 2.02,7.01,8.01,9.01 07/07/11 EXCO RESOURCES INC TX 8.01,9.01 07/08/11 EXELIXIS INC DE 8.01 07/06/11 Exobox Technologies Corp. NV 5.02,8.01 07/05/11 FactorShares 2X: Gold Bull/S&P500 Bea 8.01 07/08/11 FactorShares 2X: Oil Bull/S&P500 Bear 8.01 07/08/11 FactorShares 2X: S&P500 Bull/TBond Be 8.01 07/08/11 FactorShares 2X: S&P500 Bull/USD Bear 8.01 07/08/11 FactorShares 2X: TBond Bull/S&P500 Be 8.01 07/08/11 FIRST CORP /CN/ CO 8.01,9.01 07/07/11 FNB CORP/FL/ FL 7.01,9.01 07/07/11 Fortegra Financial Corp DE 5.02 07/01/11 FriendFinder Networks Inc. NV 8.01,9.01 07/05/11 FXCM Inc. 8.01 07/01/11 GAMETECH INTERNATIONAL INC DE 5.02 07/07/11 GelTech Solutions, Inc. DE 7.01 07/08/11 GENSPERA INC DE 5.02,9.01 07/01/11 GENTA INC DE/ DE 8.01 07/08/11 GENTA INC DE/ DE 5.07 07/08/11 GEORESOURCES INC CO 2.02,5.02,9.01 07/01/11 GLOBAL HEALTH VENTURES INC. NV 1.01,3.02,5.03,9.01 06/15/11 Global Pharm Holdings Group, Inc. DE 1.01,2.01,8.01,9.01 07/04/11 GLOBAL SMART ENERGY, INC. DE 5.02,9.01 07/05/11 GOLDMAN SACHS GROUP INC DE 9.01 07/08/11 GOLDRICH MINING CO AK 7.01,9.01 07/06/10 Green Energy Management Services Hold DE 1.01,3.02,9.01 03/03/11 AMEND GREENBRIER COMPANIES INC DE 2.02,9.01 07/08/11 GreenChoice International, Inc. NV 5.03,9.01 07/08/11 GS FINANCIAL CORP LA 5.07,8.01,9.01 07/07/11 GULF POWER CO ME 8.01 07/08/11 H&Q HEALTHCARE INVESTORS MA 8.01,9.01 07/08/11 HAMPTON ROADS BANKSHARES INC VA 8.01,9.01 07/07/11 HANOVER INSURANCE GROUP, INC. DE 2.01,2.02,9.01 07/01/11 HARLAND CLARKE HOLDINGS CORP DE 5.02 07/08/11 HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02 07/01/11 HDS INTERNATIONAL CORP. NV 1.02 07/07/11 HEMACARE CORP /CA/ CA 1.01,9.01 07/05/11 HERCULES OFFSHORE, INC. DE 8.01,9.01 07/07/11 HERCULES OFFSHORE, INC. DE 9.01 04/27/11 AMEND HERTZ GLOBAL HOLDINGS INC 5.02,9.01 07/07/11 HollyFrontier Corp DE 1.01,1.02,2.01,2.03, 07/01/11 2.04,3.03,5.02,5.03, 9.01 Horizon Lines, Inc. 1.01,9.01 07/08/11 HYPERDYNAMICS CORP DE 5.02,9.01 07/01/11 ICO Global Communications (Holdings) DE 1.02,5.02,9.01 07/05/11 IMMUNOMEDICS INC DE 5.02,9.01 07/05/11 INFITECH VENTURES INC NV 3.02 07/04/11 Integrated Healthcare Holdings Inc 1.01 07/01/11 INVIVO THERAPEUTICS HOLDINGS CORP. NV 8.01,9.01 07/07/11 IPC The Hospitalist Company, Inc. DE 3.01 07/05/11 ISTAR FINANCIAL INC MD 5.02 07/01/11 ITP Energy Corp 1.01,2.01,3.02,4.01, 04/29/11 AMEND 5.01,5.02,5.03,5.06, 9.01 IXIA CA 2.02,9.01 07/07/11 JONES GROUP INC PA 1.01,9.01 07/08/11 K-SEA TRANSPORTATION PARTNERS LP DE 1.02,3.01,3.03,5.01, 07/01/11 5.02,5.03,5.07,9.01 KKR Financial Holdings LLC DE 2.03 07/06/11 Kohlberg Capital CORP DE 7.01,9.01 07/07/11 LA JOLLA PHARMACEUTICAL CO DE 8.01 06/24/11 LONGWEI PETROLEUM INVESTMENT HOLDING CO 8.01,9.01 07/08/11 MCCORMICK & CO INC MD 1.01,9.01 07/05/11 MEDICAL CONNECTIONS HOLDINGS, INC. FL 4.01,5.02,9.01 06/30/11 AMEND MEDIVATION, INC. DE 5.07 07/01/11 MEDL Mobile Holdings, Inc. NV 4.01,9.01 07/06/11 METLIFE INC DE 8.01,9.01 07/08/09 MEXICO FUND INC MD 7.01,9.01 06/30/11 MONAR INTERNATIONAL INC. NV 1.01,7.01,9.01 07/05/11 MS STRUCTURED SATURNS SERIES 2005-2 DE 8.01,9.01 07/01/11 MusclePharm Corp NV 1.01,2.03,9.01 06/07/11 MusclePharm Corp NV 1.01,2.03,3.02 07/01/11 MUSTANG GEOTHERMAL CORP 4.01,9.01 07/06/11 AMEND MV Oil Trust DE 2.02,9.01 07/08/11 MxEnergy Holdings Inc 1.01,1.02,5.01,5.02, 07/01/11 7.01 NATIONAL RESEARCH CORP WI 5.02,9.01 07/05/11 NATIONWIDE HEALTH PROPERTIES, LLC DE 1.02,3.01,3.03,5.01, 07/01/11 5.02,5.03,9.01 NCO Group, Inc. DE 7.01,8.01,9.01 07/07/11 Nevada Gold Holdings, Inc. DE 5.02,5.07,9.01 07/01/11 NEW MEDIA INSIGHT GROUP, INC. NV 5.03,9.01 07/08/11 NOBLE ROMANS INC IN 5.07 06/22/11 AMEND NON INVASIVE MONITORING SYSTEMS INC / FL 5.02 07/01/11 NOVADEL PHARMA INC DE 5.02,9.01 07/08/11 NYSE Euronext DE 5.07 07/07/11 OCLARO, INC. DE 1.02,5.02 07/01/11 OCONEE FINANCIAL CORP GA 5.07 05/02/11 OLYMPIC STEEL INC OH 1.01,2.01,2.03,5.02, 07/01/11 9.01 Oritani Financial Corp DE 8.01,9.01 07/08/11 OXIGENE INC DE 2.02,8.01,9.01 07/08/11 PACIFIC MERCANTILE BANCORP CA 8.01 07/01/11 PAETEC Holding Corp. 8.01 07/08/11 PennantPark Floating Rate Capital Ltd 7.01 07/08/11 PERFECTENERGY INTERNATIONAL LTD NV 5.02,9.01 07/04/11 PHC INC /MA/ MA 2.01,2.03,9.01 07/08/11 PHOTOMEDEX INC DE 1.01,5.02,9.01 07/05/11 PHYSICIANS FORMULA HOLDINGS, INC. DE 5.02 07/05/11 PINNACLE AIRLINES CORP DE 5.02 07/08/11 Portage Resources Inc. NV 1.01,2.01,3.02,5.02, 07/07/11 9.01 Porter Bancorp, Inc. KY 5.02 07/07/11 PRECISION OPTICS CORPORATION INC MA 1.01,9.01 07/06/11 PRESIDENTIAL LIFE CORP DE 9.01 07/08/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,1.02,2.03,8.01, 07/07/11 9.01 PROSPECT GLOBAL RESOURCES INC. NV 1.01,3.02,9.01 07/05/11 QUANTRX BIOMEDICAL CORP NV 1.01,8.01 07/07/11 RBS GLOBAL INC DE 7.01,9.01 07/07/11 Real Mex Restaurants, Inc. DE 5.02 07/01/11 REGIS CORP MN 2.02,9.01 07/08/11 REPLIGEN CORP DE 1.01,9.01 07/05/11 Rhino Resource Partners LP DE 8.01 07/05/11 RIDGEFIELD ACQUISITION CORP CO 4.01 07/05/11 RIVERVIEW BANCORP INC WA 8.01,9.01 07/08/11 Rock-Tenn CO GA 8.01,9.01 07/07/11 S&W Seed Co DE 1.01,2.01,8.01,9.01 07/06/11 SALON MEDIA GROUP INC DE 5.02 07/07/11 Sancon Resources Recovery, Inc. 5.02 06/30/11 SCBT FINANCIAL CORP SC 5.02,9.01 07/07/11 SEITEL INC DE 5.02 07/01/11 Silverhill Management Services Inc DE 5.02,9.01 06/30/11 SkyPeople Fruit Juice, Inc FL 8.01,9.01 07/08/11 SOLAR ENERTECH CORP DE 3.02,4.01,5.02 07/02/11 SOUTHWEST AIRLINES CO TX 2.02,9.01 06/30/11 Spectra Energy Corp. DE 5.02,9.01 07/07/11 SRA INTERNATIONAL INC DE 8.01 07/08/11 Strategic Storage Trust, Inc. MD 1.01,2.03,7.01,8.01, 07/01/11 9.01 STRONGBOW RESOURCES INC. NV 5.02 07/05/11 SuccessFactors, Inc. DE 3.01 07/06/11 SYMS CORP NJ 5.02 07/08/11 SYMS CORP NJ 8.01,9.01 07/08/11 TECHNE CORP /MN/ MN 2.01,9.01 04/28/11 AMEND TELOS CORP MD 2.01,2.03,9.01 07/01/11 TIDEWATER INC DE 8.01,9.01 07/06/11 Titan Iron Ore Corp. NV 1.01,2.01,5.01,5.02, 06/30/11 5.06,9.01 TRI VALLEY CORP DE 1.01,9.01 07/01/11 TRICO BANCSHARES / CA 1.01,3.03,8.01,9.01 07/08/11 Trunkbow International Holdings Ltd NV 5.02,8.01,9.01 07/02/11 Tryon Alpha, Inc. NV 4.02 07/01/11 Umami Sustainable Seafood Inc. NV 2.03 07/01/11 Verdant Automotive Corp 1.01,3.02,5.02,5.07, 07/07/11 7.01,9.01 VIPER POWERSPORTS INC NV 3.02,5.02,8.01 07/01/11 VIROPRO INC NV 1.01,2.01,3.02,9.01 07/01/11 AMEND VOICESERVE INC DE 7.01,9.01 06/06/11 WALTER INVESTMENT MANAGEMENT CORP MD 1.01,2.01,2.03,3.02, 07/01/11 3.03,5.03,9.01 Warner Chilcott plc 8.01 07/07/11 Warner Music Group Corp. DE 8.01 07/07/11 WEIS MARKETS INC PA 5.07 04/28/11 AMEND Wendy's Co DE 2.01,7.01,9.01 07/08/11 Western Gas Partners LP DE 3.02,5.03,8.01,9.01 07/01/11 Westway Group, Inc. DE 1.01,8.01,9.01 07/06/11 WILLIAM LYON HOMES DE 5.02,9.01 07/01/11 Willow Creek Enterprises Inc. 1.01,2.03,9.01 07/01/11 WISCONSIN ENERGY CORP WI 7.01,9.01 07/08/11 Wolverine Bancorp, Inc. MD 5.02,9.01 07/01/11 WORLDGATE COMMUNICATIONS INC DE 5.02 07/07/11 WRIGHT MEDICAL GROUP INC DE 5.05,9.01 07/06/11 Wyndstorm CORP NV 8.01 07/08/11 YRC Worldwide Inc. DE 1.01,1.02,8.01,9.01 07/07/11
http://www.sec.gov/news/digest/2011/dig071111.htm
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