SEC News Digest, September 13, 2011

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Commission Announcements

SEC Announces Formation of Advisory Committee on Small and Emerging Companies

The Securities and Exchange Commission today announced the formation of the Advisory Committee on Small and Emerging Companies to focus on interests and priorities of small businesses and smaller public companies.

The committee is intended to provide a formal mechanism through which the Commission can receive advice and recommendations specifically related to privately held small businesses and publicly traded companies with less than $250 million in public market capitalization.

“Our capital markets are a critical source of funding for emerging companies and smaller public companies,” said SEC Chairman Mary Schapiro. “That is why a key component in our agency’s mission is to facilitate capital formation while at the same time protecting investors. This new advisory committee will increase the input we receive from the small business community.”

The advisory committee will advise and consult with the Commission on such issues as:

Capital raising through private placements and public securities offerings.
Trading in the securities of small and emerging and small publicly traded companies.
Public reporting requirements of such companies.

The co-chairpersons of the committee are Stephen M. Graham, Partner at Fenwick & West LLP in Seattle, and M. Christine Jacobs, CEO and Chairman at Theragenics Corp. in Buford, Ga.

Other committee members include:

David A. Bochnowski, Chairman and CEO, Northwest Indiana Bancorp, Munster, Ind.
John J. Borer III, Senior Managing Director and Head of Investment Banking, Rodman & Renshaw LLC, New York, N.Y.
Dan Chace, Manager, Wasatch Micro Cap Fund, Salt Lake City, Utah
Milton Chang, Managing Director, Incubic Venture Fund, Menlo Park, Calif.
Joseph (Leroy) Dennis, Partner, McGladrey & Pullen, Bloomington, Minn.
Shannon L. Greene, CFO, Tandy Leather Factory, Fort Worth, Texas
Kara B. Jenny, CFO, BlueFly Inc., New York, N.Y.
Steven R. LeBlanc, Senior Managing Director of External Private Market, Teacher Retirement System of Texas, Austin, Texas
Richard L. Leza, Chairman of the Board, Exar Corp., Fremont, Calif.
Paul Maeder, General Partner, Highland Capital Partners, Lexington, Mass.
Kathleen A. McGowan, Vice President - Finance, Tobira Therapeutics Inc., Manalapan, N.J.
Catherine V. Mott, CEO and Founder, Blue Tree Capital Group, Pittsburgh, Pa.
Karyn Smith, Deputy General Counsel, Zynga Inc., San Francisco, Calif.
Dan Squiller, CEO, PowerGenix, San Diego, Calif.
Charlie Sundling, Chairman and CEO, Pipeline Software, Orange County, Calif.
Timothy Walsh, Director, State of New Jersey Division of Investment, Trenton, N.J.
Gregory C. Yadley, Partner, Shumaker, Loop & Kendrick LLP, Tampa, Fla.

The committee also will include as observer members:

Sean Greene, Associate Administrator for Investment and Special Advisor for Innovation, U.S. Small Business Administration
A. Heath Abshure, Arkansas Securities Commissioner and Chairman of the Corporation Finance Section of the North American Securities Administrators Association.

The SEC regularly takes steps to reduce the regulatory burdens on small businesses in raising capital in a manner consistent with investor protection. The committee will provide the Commission with advice in connection with this important ongoing process.

Recently, the staff of the Commission began a review of the SEC’s rules related to the triggers for public reporting and rules restricting general solicitation in private securities offerings. The Commission will seek input from the committee in these two areas among others.

The SEC also is in the process of re-establishing an Investor Advisory Committee. That committee, mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, would replace an earlier Investor Advisory Committee that the Commission had set up in June 2009 under the Federal Advisory Committee Act. (Press Rel. 2011-182)

Enforcement Proceedings

SEC Charges Solicitor in Investment Scheme Targeting Deaf Community

On September 9, 2011, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the Eastern District of Texas against Jody Dunn (Dunn).

The complaint alleges that, over a three-year period, Dunn, who is deaf, solicited investments from others in the deaf community for Imperia Invest IBC (Imperia). The Commission previously charged Imperia with securities fraud and obtained an emergency court order to freeze its assets.

According to the complaint, Dunn solicited more than $3.45 million as part of Imperia’s investment scheme from several thousand deaf investors. Dunn failed to tell investors that he was using a portion of their funds to pay his mortgage, car loans, car insurance and a variety of other personal expenses. Dunn sent the remaining amounts to Imperia’s offshore bank accounts in Costa Rica, Panama, the British Virgin Islands, Cyprus and New Zealand. Investors have never been paid any interest after giving their money to Dunn to invest, nor were their funds ever invested. Even after the Commission charged Imperia and issued an investor alert about the scheme, Dunn continued to reassure investors that Imperia was legitimate and they would be paid.

The Commission alleges that Dunn did not attempt to verify whether Imperia was actually investing the money as promised. He also failed to verify whether Imperia was licensed to sell securities in any state, whether any registration statements relating to the offers or sales of Imperia securities were filed with the Commission, or whether Imperia was registered with the Commission in any capacity.

The Commission’s complaint charges Dunn with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. The Commission also seeks civil penalties and disgorgement against Dunn. SEC v. Jody Dunn, Case No. 4:11-CV-00577 (USDC E.D. Tex.)] (LR-22090)

Self-regulatory organizations

Proposed Rule Changes

The Depository Trust Company filed a proposed rule change (SR-DTC-2011-07) under Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. The proposed rule change would add new Daily Report and Commercial Paper Family Report subscription categories to DTC’s Security Position Report Service. Publication is expected in the Federal Register during the week of September 12. (Rel. 34-65286)

EDGX Exchange, Inc. filed a proposed rule change (SR-EDGX-2011-28) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to amendments to EDGA rules regarding the registration and obligations of Market Makers. Publication is expected in the Federal Register during the week of September 12. (Rel. 34-65315)

EDGA Exchange, Inc. filed a proposed rule change (SR-EDGA-2011-29) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to amendments to EDGA rules regarding the registration and obligations of Market Makers. Publication is expected in the Federal Register during the week of September 12. (Rel. 34-65316)

A proposed rule change (SR-NASDAQ-2011-124) filed by The NASDAQ Stock Market LLC to modify fees for members using the NASDAQ Options Market 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 September 12. (Rel. 34-65318)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-69) amending its options fee schedule to add clarifying language with respect to marketing charges generally and marketing charges for directed orders, and to add new and clarifying language with respect to marketing charges for electronic complex orders 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 September 12. (Rel. 34-65314)

A proposed rule change (SR-NASDAQ-2011-127) filed by The NASDAQ Stock Market LLC to modify fees for members using the NASDAQ Options Market 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 September 12. (Rel. 34-65317)

Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change

The Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Securities Exchange Act of 1934 to determine whether to disapprove a proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-073) to adopt additional listing requirements for reverse mergers. Publication is expected in the Federal Register during the week of September 12. (Rel. 34-65319)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-11    Inland Core Assets Real Estate Trust, Inc., 2901 BUTTERFIELD ROAD, 
        OAK BROOK, IL, 60523, 6302188000 - 0 ($1,785,000,000.00) Equity, 
        (File 333-176775 - Sep. 12) (BR. 08)

S-4     General Motors Financial Company, Inc., 801 CHERRY STREET, SUITE 3500, 
        FORT WORTH, TX, 76102, 8173027000 - 
        0 ($500,000,000.00) Non-Convertible Debt, (File 333-176784 - Sep. 12) 
        (BR. 07B)

S-3ASR  NUCOR CORP, 1915 REXFORD RD, CHARLOTTE, NC, 28211, 7043667000 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-176786 - Sep. 12) 
        (BR. 06A)

S-3ASR  INTERMUNE INC, 3280 BAYSHORE, BLVD, BRISBANE, CA, 94005, 415 466 2200 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-176787 - Sep. 12) 
        (BR. 01A)

F-10    TELUS CORP, 3777 KINGSWAY, BURNABY, D1, 00000, 
        0 ($2,529,596,276.00) Unallocated (Universal) Shelf, (File 333-176788 - 
        Sep. 12) (BR. 11C)

S-8     STONEMOR PARTNERS LP, 311 VETERANS HIGHWAY, SUITE B, LEVITTOWN, PA, 
        19056, 2158262800 - 0 ($14,450,000.00) Equity, (File 333-176789 - 
        Sep. 12) (BR. 11A)

S-4     AURORA DIAGNOSTICS HOLDINGS LLC, 114 VIA VERDE WAY, PALM BEACH GARDENS, 
        FL, 33418, 561-624-5947 - 0 ($200,000,000.00) Non-Convertible Debt, 
        (File 333-176790 - Sep. 12) (BR. )

S-8     Vantage Drilling CO, C/O M&C CORPORATE SVC LTD., PO BOX 309GT, 
        UGLAND HOUSE, S CHURCH ST., GEORGE TOWN, GRAND CAYMAN, E9, KY1-1104, 
        (281) 404-4709 - 0 ($22,575,000.00) Equity, (File 333-176791 - Sep. 12) 
        (BR. 04C)

S-8     VISTA GOLD CORP, 7961 SHAFFER PKWY, LITTLETON, CO, 80127, 
        720-981-1185 - 1,679,757 ($6,299,088.75) Equity, (File 333-176792 - 
        Sep. 12) (BR. 04A)

S-1     Cheviot Financial Corp., 3723 GLENMORE AVENUE, CHEVIOT, OH, 45211, 
        (513) 661-0457 - 0 ($94,559,008.00) Equity, (File 333-176793 - Sep. 12) 
        (BR. )

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

11 GOOD ENERGY INC                      DE       1.01,8.01,9.01       07/11/11    AMEND

Accretive Health, Inc.                  DE       5.02                 09/08/11

ACTIVE NETWORK INC                      DE       7.01                 09/12/11

ADA-ES INC                              CO       7.01,9.01            09/12/11

ADCARE HEALTH SYSTEMS INC               OH       1.01,2.03            09/06/11

ADPT Corp                               DE       5.02,8.01,9.01       09/06/11

AFS SenSub Corp.                                 1.01,8.01,9.01       09/08/11

AGILYSYS INC                            OH       2.02,7.01,9.01       09/12/11

AISystems, Inc.                                  1.02                 09/07/11

AISystems, Inc.                                  5.02                 09/09/11

Aleris International, Inc.              DE       8.01,9.01            09/12/11

Allied World Assurance Co Holdings, A            8.01,9.01            09/12/11

Ally Auto Receivables Trust 2011-4      DE       1.01,8.01,9.01       09/08/11

ALSERES PHARMACEUTICALS INC /DE         DE       1.01                 09/08/11

AMERICAN DEFENSE SYSTEMS INC            DE       5.02,8.01,9.01       09/06/11

American Midstream Partners, LP         DE       2.02,9.01            09/09/11

American Nano Silicon Technologies, I   CA       2.01,3.02,5.02       09/06/11

AMTECH SYSTEMS INC                      AZ       8.01                 09/09/11    AMEND

APD ANTIQUITIES, INC.                   NV       1.01,9.01            09/06/11

Approach Resources Inc                  DE       7.01,9.01            09/12/11

ARCH CAPITAL GROUP LTD.                          8.01                 09/08/11

ARCH CHEMICALS INC                      VA       5.02                 09/06/11

Armour Residential REIT, Inc.           MD       7.01,9.01            08/12/11

AROTECH CORP                            DE       5.07                 09/12/11

ASSOCIATED BANC-CORP                    WI       8.01,9.01            09/07/11

ASSOCIATED MATERIALS, LLC               DE       5.02,9.01            09/12/11

AUTOMATIC DATA PROCESSING INC           DE       5.02                 09/12/11

AVIS BUDGET GROUP, INC.                 DE       1.01,2.03,7.01,9.01  09/10/11

BE Resources Inc.                       CO       1.01,3.02,5.02,8.01, 09/12/11
                                                 9.01
          
BigBand Networks, Inc.                  DE       5.02,9.01            09/07/11

BIOLASE TECHNOLOGY INC                  DE       7.01,9.01            09/12/11

BIOMARIN PHARMACEUTICAL INC             DE       3.02                 09/08/11

BIOTIME INC                             CA       7.01,9.01            09/12/11

BODISEN BIOTECH, INC                    DE       4.01,9.01            09/06/11

BOSTON SCIENTIFIC CORP                  DE       8.01                 09/07/11

BROADCOM CORP                           CA       1.01,7.01,8.01,9.01  09/11/11

BURZYNSKI RESEARCH INSTITUTE INC        DE       5.02                 09/08/11

CALIBRUS, INC.                          NV       8.01,9.01            09/12/11

Calumet Specialty Products Partners,    DE       9.01                 07/25/11    AMEND

CAMAC Energy Inc.                       DE       7.01,9.01            09/12/11

Carey Watermark Investors Inc                    1.01,2.01,9.01       09/06/11

CAROLINA POWER & LIGHT CO               NC       8.01,9.01            09/12/11

CHENIERE ENERGY INC                     DE       5.07                 09/08/11    AMEND

Cheniere Energy Partners, L.P.          DE       4.02                 09/12/11

China Bilingual Technology & Educatio   NV       7.01,8.01,9.01       09/12/11

CHINA GENGSHENG MINERALS, INC.          NV       7.01,9.01            09/12/11

CHINA PEDIATRIC PHARMACEUTICALS, INC.   NV       4.01,9.01            09/12/11

China Pharmaceuticals Inc               NV       4.01,9.01            09/06/11

China Shandong Industries, Inc.         DE       5.02,9.01            09/12/11

CHIQUITA BRANDS INTERNATIONAL INC       NJ       5.02                 09/08/11

CITADEL BROADCASTING CORP               DE       8.01,9.01            09/09/11

CITIZENS SOUTH BANKING CORP             DE       5.03,9.01            09/06/11

Cleantech Solutions International, In   DE       3.01,9.01            09/08/11

Clenergen Corp                          NV       1.01,2.01,5.02,8.01, 09/05/11
                                                 9.01
          
CMSF Corp                               DE       5.02                 09/11/11

COCA-COLA ENTERPRISES, INC.             DE       8.01                 09/12/11

Colfax CORP                             DE       8.01,9.01            09/12/11

COLOMBIA CLEAN POWER & FUELS, INC       NV       7.01,9.01            09/08/11

COMPASS MINERALS INTERNATIONAL INC      DE       5.02                 09/09/11

CONSOLIDATED GRAPHICS INC /TX/          TX       7.01                 09/12/11

Cord Blood America, Inc.                FL       5.02,9.01            09/12/11

CORNERSTONE REALTY FUND LLC             CA       1.01,9.01            09/08/11

Cornerworld Corp                        NV       1.01,9.01            09/06/11

COWEN GROUP, INC.                                2.01,9.01            06/27/11    AMEND

Coyote Resources, Inc.                  NV       5.02                 09/08/11

CREDO PETROLEUM CORP                    DE       2.02,9.01            09/08/11

CROWN HOLDINGS INC                      PA       5.07                 04/28/11    AMEND

CTC Media, Inc.                                  8.01,9.01            09/12/11

CUMULUS MEDIA INC                       DE       8.01,9.01            09/09/11

CYS Investments, Inc.                   MD       7.01,9.01            09/12/11

DANA HOLDING CORP                       DE       2.01,9.01            06/30/11    AMEND

DAVE & BUSTERS INC                      MO       5.02,9.01            09/09/11

DEL MONTE CORP                                   5.02                 09/09/11

DEL TORO SILVER CORP.                   NV       5.02                 08/24/11

DELTATHREE INC                          DE       1.01,2.03,9.01       09/12/11

DENNYS CORP                             DE       8.01                 09/09/11

DIGAGOGO VENTURES CORP                  DE       8.01,9.01            09/09/11

Digerati Technologies, Inc.             NV       8.01,9.01            09/07/11

DJSP Enterprises, Inc.                  D8       5.02                 09/06/11

DOCUMENT CAPTURE TECHNOLOGIES, INC.              5.02                 09/06/11

DOUBLE EAGLE PETROLEUM CO               MD       7.01,8.01,9.01       09/12/11

Douglas Lake Minerals Inc.              NV       8.01,9.01            09/09/11

Douglas Lake Minerals Inc.              NV       7.01,9.01            09/12/11

DREW INDUSTRIES INC                     DE       5.02,9.01            09/08/11

DYNEGY INC.                             DE       1.01,3.03,7.01,9.01  09/09/11

EchoStar CORP                           NV       2.02,7.01,9.01       09/12/11

Electromed, Inc.                        MN       2.02,9.01            09/12/11

EMC METALS CORP.                        A1       5.02                 09/01/11

Emrise CORP                             DE       7.01,9.01            09/12/11

ENER1 INC                               FL       1.01,7.01,9.01       09/09/11

Energy Future Holdings Corp /TX/        TX       8.01                 09/12/11

Explortex Energy Inc.                   NV       9.01                 09/12/11

EXPONENT INC                            DE       5.07                 08/09/11    AMEND

FARMERS NATIONAL BANC CORP /OH/         OH       8.01,9.01            09/12/11

FERRO CORP                              OH       7.01,9.01            09/12/11

FIRST BANCORP /PR/                      PR       5.07                 09/09/11

FIRST COMMONWEALTH FINANCIAL CORP /PA   PA       7.01,9.01            09/12/11

FIRST NIAGARA FINANCIAL GROUP INC       DE       7.01,9.01            09/12/11

FIRSTMERIT CORP /OH/                    OH       7.01,9.01            09/12/11

FLOW INTERNATIONAL CORP                 WA       5.02,5.07            09/07/11

Fortune Brands Home & Security, Inc.    DE       5.02                 09/06/11

FORTUNE BRANDS INC                      DE       5.02                 07/27/11    AMEND

FriendFinder Networks Inc.              NV       1.01,3.02,9.01       09/12/11

FriendFinder Networks Inc.              NV       7.01,9.01            09/12/11

FusionTech, Inc.                        NV       2.04                 09/06/11

GALLAGHER ARTHUR J & CO                 DE       8.01,9.01            09/12/11

GEOGLOBAL RESOURCES INC.                DE       8.01,9.01            09/07/11

GLOBAL CROSSING LTD                              2.02,7.01,9.01       09/12/11

GLOBAL INDUSTRIES LTD                   LA       1.01,8.01,9.01       09/11/11

GLOBALSCAPE INC                         DE       8.01                 09/12/11

GOLDRICH MINING CO                      AK       8.01                 09/12/11

Greektown Superholdings, Inc.           DE       8.01,9.01            09/12/11

Greenhouse Solutions Inc.               NV       5.02                 09/09/11

GULFMARK OFFSHORE INC                   DE       7.01,9.01            09/06/11

HANGER ORTHOPEDIC GROUP INC             DE       5.02,9.01            09/12/11

HARBINGER GROUP INC.                    DE       8.01,9.01            09/09/11

HARLEY DAVIDSON INC                     WI       5.03,9.01            09/08/11

HAWAIIAN HOLDINGS  INC                  DE       7.01,9.01            09/12/11

HCA Holdings, Inc.                               2.02,7.01,9.01       09/12/11

HD SUPPLY, INC.                         DE       7.01                 09/09/11

HEINZ H J CO                            PA       8.01,9.01            09/07/11

HUIHENG MEDICAL, INC.                   NV       1.01                 09/06/11    AMEND

HUMANA INC                              DE       7.01                 09/12/11

ICAD INC                                DE       1.02,9.01            09/09/11

INFINITE GROUP INC                      DE       1.01,9.01            09/06/11

INFINITY PHARMACEUTICALS, INC.          DE       7.01,9.01            09/12/11

Inland American Real Estate Trust, In   MD       7.01,9.01            09/12/11

INTEGRA LIFESCIENCES HOLDINGS CORP      DE       7.01,9.01            09/12/11

INTERMUNE INC                           DE       7.01                 09/12/11

INTERMUNE INC                           DE       8.01                 09/12/11

INTERMUNE INC                           DE       8.01,9.01            09/12/11

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       8.01                 09/09/11

INTERSIL CORP/DE                        DE       2.02,7.01,9.01       09/12/11

K12 INC                                 DE       2.02,9.01            09/12/11

KEATING CAPITAL INC                              7.01,9.01            09/06/11

KULICKE & SOFFA INDUSTRIES INC          PA       8.01,9.01            09/12/11

L 3 COMMUNICATIONS HOLDINGS INC         DE       8.01,9.01            09/06/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 09/12/11

LEE ENTERPRISES, INC                    DE       1.01,8.01,9.01       09/08/11

LIBERTY SILVER CORP                     NV       3.02                 09/08/11

LIFE PARTNERS HOLDINGS INC              TX       5.02                 08/31/11    AMEND

LOCAL.COM                               DE       7.01,9.01            09/12/11

LOGITECH INTERNATIONAL SA                        5.07                 09/07/11

Lone Star Gold, Inc.                    NV       8.01,9.01            09/12/11

LSB INDUSTRIES INC                      DE       8.01                 09/12/11

LUFKIN INDUSTRIES INC                   TX       1.01,7.01,9.01       09/06/11

M & F WORLDWIDE CORP                    DE       1.01,9.01            09/12/11

M&T BANK CORP                           NY       7.01,9.01            09/12/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01                 09/12/11

MARINE GROWTH VENTURES INC                       5.02,9.01            09/06/11

MAXIM INTEGRATED PRODUCTS INC           DE       5.02                 09/06/11

MCDONALDS CORP                          DE       7.01,9.01            09/09/11

MCGRAW-HILL COMPANIES INC               NY       7.01,9.01            09/12/11

MILLER ENERGY RESOURCES, INC.                    2.02,7.01,9.01       09/09/11

Monarch Financial Holdings, Inc.        VA       8.01,9.01            09/12/11

MONSTER WORLDWIDE INC                   DE       5.07                 06/07/11    AMEND

MPHASE TECHNOLOGIES INC                 NJ       1.01                 09/12/11

MVB FINANCIAL CORP                      WV       1.01,3.02,3.03,5.03, 09/08/11 
                                                 9.01
          
Myrexis, Inc.                           DE       5.02,8.01,9.01       09/06/11

N-VIRO INTERNATIONAL CORP               DE       1.02                 08/23/11

NATIONAL INTELLIGENCE ASSOCIATION INC   NV       5.02                 09/12/11

NATIONAL MENTOR HOLDINGS, INC.          DE       5.02                 09/09/11

NATIONAL RETAIL PROPERTIES, INC.        MD       8.01,9.01            09/06/11

NATIONAL TECHNICAL SYSTEMS INC /CA/     CA       3.03,9.01            09/08/11

NeoStem, Inc.                           DE       7.01,9.01            09/12/11

NETLOGIC MICROSYSTEMS INC               DE       1.01,3.03,8.01,9.01  09/11/11

NETREIT, INC.                           MD       1.01                 09/06/11

NewPage Holding CORP                    DE       1.01,1.03,2.03,2.04, 09/06/11
                                                 7.01,8.01,9.01

NEWS CORP                                        8.01,9.01            09/12/11

NORFOLK SOUTHERN CORP                   VA       8.01,9.01            09/09/11

NORTHERN TRUST CORP                     DE       7.01,9.01            09/12/11

NOVAVAX INC                             DE       5.02                 09/07/11

NRG ENERGY, INC.                        DE       5.02,9.01            08/17/11    AMEND

OICCO ACQUISITION I, INC.               DE       1.01,9.01            09/09/11

Oilsands Quest Inc                               8.01,9.01            09/12/11

OMEGA PROTEIN CORP                      NV       1.01,7.01,9.01       09/09/11

Oncothyreon Inc.                        DE       8.01,9.01            09/09/11

OPENWAVE SYSTEMS INC                    DE       5.02,5.03,9.01       09/09/11

Opexa Therapeutics, Inc.                TX       8.01,9.01            09/07/11

OPTI INC                                CA       8.01                 09/09/11

ORAMED PHARMACEUTICALS INC.             NV       8.01,9.01            09/12/11

Orbitz Worldwide, Inc.                  DE       8.01                 09/12/11

PACIFIC GOLD CORP                       NV       1.01                 09/12/11

People's United Financial, Inc.         DE       7.01,9.01            09/12/11

PG&E CORP                               CA       8.01,9.01            09/12/11

PHARMACYCLICS INC                       DE       2.02,9.01            09/12/11

PHAZAR CORP                             DE       8.01,9.01            09/12/11

PLAINS ALL AMERICAN PIPELINE LP         DE       7.01                 09/12/11

PNC FINANCIAL SERVICES GROUP INC        PA       2.02,9.01            09/12/11

POTASH AMERICA, INC.                    NV       1.01,9.01            08/31/11

POTASH CORP OF SASKATCHEWAN INC         Z4       5.02                 09/12/11

POWERSECURE INTERNATIONAL, INC.         DE       7.01,9.01            09/06/11

PRESIDENTIAL REALTY CORP/DE/            DE       3.01,8.01,9.01       09/06/11

PRINCETON REVIEW INC                    DE       5.02                 09/06/11

PROGRESS SOFTWARE CORP /MA              MA       5.02,7.01,9.01       09/06/11

pSivida Corp.                           DE       8.01,9.01            09/12/11

pSivida Corp.                           DE       2.02,9.01            09/12/11

PUBLIC MEDIA WORKS INC                  DE       5.02                 09/09/11

PULASKI FINANCIAL CORP                  MO       8.01                 09/12/11

QR Energy, LP                           DE       1.01,3.02,7.01,9.01  09/12/11

QUEPASA CORP                            NV       7.01                 09/12/11

QUESTCOR PHARMACEUTICALS INC            CA       7.01,9.01            09/09/11

QUICKSILVER RESOURCES INC               DE       1.01,1.02,2.03,9.01  09/06/11

R F INDUSTRIES LTD                      NV       5.02                 09/06/11

REGIONS FINANCIAL CORP                  DE       7.01,9.01            09/12/11

REPROS THERAPEUTICS INC.                DE       7.01,9.01            09/12/11

REPROS THERAPEUTICS INC.                DE       8.01,9.01            09/12/11

Rockville Financial, Inc. /CT/          CT       8.01,9.01            09/12/11

Rockwood Holdings, Inc.                 DE       7.01,9.01            09/12/11

Sagebrush Gold Ltd.                     NV       8.01,9.01            09/07/11

Sara Lee Corp                           MD       5.02                 09/09/11

SINOCOKING COAL & COKE CHEMICAL INDUS   FL       1.01,9.01            09/09/11

SMITH & WESSON HOLDING CORP             NV       5.02,8.01            09/09/11

Solar Senior Capital Ltd.               MD       7.01,9.01            09/12/11

SOLAZYME INC                            DE       5.02                 09/12/11

Solera National Bancorp, Inc.           DE       7.01,9.01            09/12/11

Spectra Energy Corp.                    DE       1.01,9.01            09/06/11

STANDARD PACIFIC CORP /DE/              DE       5.02,9.01            09/12/11

STERLING FINANCIAL CORP /WA/            WA       7.01,9.01            09/12/11

STREAMLINE HEALTH SOLUTIONS INC.        DE       2.02,9.01            09/12/11

SUNPOWER CORP                           DE       8.01,9.01            09/12/11

SupportSave Solutions Inc                        1.01,9.01            09/09/11

SYNTHESIS ENERGY SYSTEMS INC            DE       7.01,9.01            09/12/11

SYNTROLEUM CORP                         DE       5.07                 09/08/11

TEMPLE INLAND INC                       DE       1.01,9.01            09/06/11

Territorial Bancorp Inc.                MD       5.02,9.01            09/01/11

TIBET PHARMACEUTICALS, INC.             D8       4.01,9.01            09/06/11

TIME WARNER CABLE INC.                  DE       1.01,9.01            09/07/11

TIVO INC                                DE       5.02,8.01,9.01       09/07/11

TRANSATLANTIC HOLDINGS INC              DE       8.01,9.01            09/12/11

TWO RIVERS WATER Co                     CO       1.01                 09/07/11

UNIGENE LABORATORIES INC                DE       7.01,9.01            09/12/11

UNITED AMERICAN HEALTHCARE CORP         MI       5.02                 09/06/11

UNITEDHEALTH GROUP INC                  MN       7.01                 09/12/11

URANIUM ENERGY CORP                     NV       7.01,9.01            09/12/11

US ENERGY CORP                          WY       7.01,9.01            09/12/11

US ENERGY CORP                          WY       7.01,9.01            09/12/11

VANGUARD HEALTH SYSTEMS INC             DE       1.01                 09/09/11

Vanguard Natural Resources, LLC         DE       1.01,9.01            09/08/11

VASCO DATA SECURITY INTERNATIONAL INC   DE       8.01                 09/05/11

VASOMEDICAL INC                         DE       2.01,9.01            09/04/11

VENTRUS BIOSCIENCES INC                 DE       7.01,9.01            09/12/11

Vicor Technologies, Inc.                DE       8.01                 09/06/11

VISHAY INTERTECHNOLOGY INC              DE       7.01,9.01            09/12/11

VistaGen Therapeutics, Inc.             NV       5.02                 09/06/11

Vringo Inc                              DE       7.01,9.01            09/08/11

WABASH NATIONAL CORP /DE                DE       7.01,9.01            09/12/11

WaferGen Bio-systems, Inc.              NV       2.02,9.01            09/12/11

WASTE MANAGEMENT INC                    DE       7.01,9.01            09/12/11

WatchIt Technologies Inc.               TX       5.02                 09/09/11

WELLPOINT, INC                          IN       7.01                 09/12/11

WESBANCO INC                            WV       7.01,9.01            09/12/11

Western Refining, Inc.                  DE       7.01,9.01            09/12/11

WIRELESS RONIN TECHNOLOGIES INC         MN       5.02                 08/15/11    AMEND

WOLVERINE WORLD WIDE INC /DE/           MI       5.02                 09/09/11

WYNN RESORTS LTD                                 1.01                 09/09/11

XCEL ENERGY INC                         MN       7.01                 09/12/11

XCEL ENERGY INC                         MN       8.01,9.01            09/12/11

YAHOO INC                               DE       5.02                 09/09/11

YESDTC HOLDINGS, INC.                   NV       1.01,3.02,5.03,9.01  08/25/11

http://www.sec.gov/news/digest/2011/dig091311.htm

SEC News Digest