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SEC News Digest
Issue 2011-181
September 19, 2011
Commission Announcements
Change in the Meeting: Deleted Item
The following item was not considered during the Commission’s Open Meeting on September 19, 2011 at 10:00 a.m.
The Commission will consider whether to propose new rules under Section 764(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act to provide for the registration of security-based swap dealers and major security-based swap participants.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.
James Brigagliano, Deputy Director of SEC Division of Trading and Markets, to Leave SEC After 25 Years of Service
The Securities and Exchange Commission today announced that James Brigagliano, a Deputy Director of the Division of Trading and Markets, will leave the agency at the end of this month after 25 years of public service.
Mr. Brigagliano has worked in the Division of Trading and Markets for the past 13 years and has managed oversight of trading practices, market structure reforms, and recent Dodd-Frank Act rulemakings. He served as Co-Acting Director of the Division from April 2009 to January 2010. Mr. Brigagliano previously worked in the SEC’s Office of the General Counsel for a dozen years representing the Commission in a wide range of litigation in federal district and appellate courts.
“Jamie’s commitment to protecting investors and promoting fair and efficient markets has served this agency well during challenging times,” said SEC Chairman Mary Schapiro. “He has led initiatives to strengthen regulation of initial public offerings, research, short selling, issuer repurchases, broker-dealer conduct, market structure, and most recently over-the-counter derivatives under Dodd-Frank. Jamie always seeks to serve the interests of the investing public.”
Robert W. Cook, Director of the SEC’s Division of Trading and Markets, added, “Jamie has played a significant and valuable role as a senior manager in the Division during his tenure as Deputy and Co-Acting Director, and we will miss his dedication and commitment.”
Mr. Brigagliano said, “It has been a privilege to work at the SEC with such a dedicated and talented group of professionals unified in the cause of promoting investor protection and strong capital markets.”
Mr. Brigagliano, who will leave the agency for the private sector, has received a number of awards for his work at the SEC, including the Capital Markets Award, the Jay Manning Award, and the Supervisory Excellence Award. He joined the SEC staff in 1986 after three years in private practice. Mr. Brigagliano received his law degree from Georgetown University and undergraduate degree from Amherst College. (Press Rel. 2011-184)
SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Asset-Backed Securities Transactions
The Securities and Exchange Commission today voted unanimously to propose a rule intended to prohibit certain material conflicts of interest between those who package and sell asset-backed securities (ABS) and those who invest in them.
The proposal, which is not intended to prohibit traditional securitization practices, implements Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
The proposed rule would prohibit securitization participants of an ABS for a designated time period from engaging in certain transactions that would involve or result in any material conflict of interest. Two criteria to determine whether the transaction involves a material conflict of interest are set out in the rule proposal.
“This proposed rule is designed to ensure that those who create and sell asset-backed securities cannot profit by betting against those same securities at the expense of those who buy them,” said SEC Chairman Mary L. Schapiro. “At the same time, the proposed rule is not intended to interfere with traditional securitization practices in which loans are originated, packaged into asset-backed securities, and offered to investors in different structures.”
The SEC has made significant progress in writing rules required by the Dodd-Frank Act. Of the nearly 100 mandatory rulemaking provisions, the SEC has now proposed or adopted rules for about three-quarters of them. Today’s proposal is just one of several rulemaking efforts aimed at addressing issues associated with asset-backed securities.
The public comment period on the proposal will last 90 days. (Press Rel. 2011-185)
SEC Announces Roundtable on Microcap Securities
The Securities and Exchange Commission today announced that it will host a public roundtable next month to discuss the unique regulatory issues surrounding the execution, clearance, and settlement of microcap securities.
The roundtable is being sponsored by the SEC’s Microcap Fraud Working Group, a joint initiative of the Division of Enforcement and Office of Compliance Inspections and Examinations. The Working Group is the Commission’s primary resource for issues relating to market participants and trading practices concerning securities primarily quoted on the OTC Bulletin Board (OTCBB) or OTC Quote (previously Pink Sheets).
The event will take place on October 17 from 1 p.m. to 5 p.m. at the SEC’s Washington D.C. headquarters. It will feature in-depth discussions of key regulatory issues including Anti-Money Laundering monitoring, compliance challenges, and potential changes to the regulatory framework. Panelists will include representatives from The Deposit Trust Company, broker-dealers, the Financial Industry Regulatory Authority and others.
The roundtable is part of an ongoing SEC effort to focus on the particular challenges facing issuers and regulated entities within the changing business and regulatory climates. The purpose of the roundtable is to enable Commission staff to gather ideas and request input for regulatory measures surrounding the execution, clearance and settlement of low-priced securities.
The event is open to the public with seating available on a first-come, first-served basis. The roundtable also will be webcast live on the SEC website and archived for later viewing. For more information about the roundtable, contact the Division of Enforcement at 202-551-6607. (Press Rel. 2011-186)
Enforcement Proceedings
In the Matter of Stanley J. Kowalewski
On September 19, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Stanley J. Kowalewski. On June 29, 2011, an Order Permanently Enjoining Defendant Kowalewski and Ordering Other Relief was entered by consent against Kowalewski, permanently enjoining him from future violations 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder in the civil action entitled Securities and Exchange Commission v. Stanley J. Kowalewski and SJK Investment Management, LLC., Civil Action No. 1:11-CV-0056-TCB, in the United States District Court for the Northern District of Georgia.
Based on the above, Respondent Kowalewski is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Stanley J. Kowalewski consented to the issuance of the Order without admitting or denying any of the findings except he admitted the Commission’s jurisdiction over him and the subject matter of these proceedings, and the entry of the injunction against him. (Rel. IA-3281; File No. 3-14553)
Final Default Judgment Entered Against Relief Defendant Erin O’Malley, f/k/a Erin O. Mowen and Former Spouse of Convicted Ponzi Scheme Operator Jeffrey L. Mowen
The Securities and Exchange Commission announced today that the United States District Court for the District of Utah entered a final judgment, dated September 16, 2011, against Erin O’Malley, f/k/a Erin O. Mowen. Ms. O’Malley is the former spouse of convicted felon and securities law recidivist, Jeffrey L. Mowen. On May 4, 2011, Mowen pled guilty to committing wire fraud in a related criminal action, United States of America v. Mowen, Case No. 2:09-cr-00098-DB (D. Utah). In pleading guilty, Mowen acknowledged operating a Ponzi scheme from around October 2006 to around October 2008, wherein he received over $18 million from investors for use in a purported foreign currency trading program. The SEC Complaint alleges that the investor funds provided to Mowen were raised by Thomas Fry and the other defendants, Fry’s promoters, from the unregistered offer and sale of high-yield promissory notes to over 150 investors in several states. Mowen acknowledged in his guilty plea that, rather than using investor funds for their intended purpose, he used the money for his personal benefit, misappropriating over $8 million.
According to the SEC’s Complaint, Mowen transferred approximately $650,000 of the misappropriated funds to his then wife, relief defendant Erin O’Malley. The SEC sought the return of those funds in its complaint from Ms. O’Malley, whom it alleged had no bona fide right to the funds. The SEC did not allege that Ms. O’Malley personally committed any securities law violation. Ms. O’Malley did not respond to the SEC’s allegations and the court therefore ordered the default judgment against her, ordering her to disgorge $654,101 in funds that the SEC had shown, through bank records, Mowen had transferred to her. The SEC’s action is continuing against Mowen, Fry, and Fry’s promoters. [SEC v. Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett, Defendants, and Erin O’Malley, f/k/a Erin O. Mowen, Relief Defendant, Case No. 2:09-cv-00786-DB/PMW (D. Utah)] (LR-22096)
Court Enters Default Judgment Against SEC Defendants Christopher W. Bass and His Companies
The Securities and Exchange Commission announced that on September 14, 2011, the Honorable Lawrence E. Kahn, United States District Court Judge for the Northern District of New York, entered a default judgment against Defendants Christopher W. Bass, Swiss Capital Harbor-USA, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P. and Swiss Capital Harbor Fund C Partners, L.P. (collectively, the “Defendants”). The default judgment permanently enjoins the Defendants from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The default judgment also grants leave to the SEC to file for disgorgement, prejudgment interest, and civil monetary penalties against the Defendants following sentencing in the pending criminal case against Bass, U.S. v. Christopher Bass, 10-cr-166 (N.D.N.Y) (LEK).
On May 24, 2010, the SEC filed its complaint against the Defendants alleging that from at least January 2007 through at least June 2009, the Defendants conducted a Ponzi scheme, through which they fraudulently obtained approximately $5.9 million from over 400 investors. Bass told prospective investors that he would pool their money to be invested in various enterprises by European money managers. Bass claimed that these managers historically had generated monthly returns ranging from 2.8 % to 6 %. According to the SEC’s complaint, Bass’s representations were false, and Bass did not invest investors’ money as claimed. Instead, Defendants used most of the funds to pay Bass’s personal expenses, to pay Defendants’ corporate operating expenses, and to satisfy certain investors’ redemption requests. For further information, please see Litigation Release Number 21533 (May 25, 2010) [SEC Charges Albany, NY Resident with Conducting $5.9 Million Ponzi Scheme].
The SEC acknowledges the assistance of the United States Attorney’s Office for the Northern District of New York. [SEC v. Christopher W. Bass,Swiss Capital Harbor-Usa, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P., and Swiss Capital Harbor Fund C Partners, L.P., Civil Action No. 1 0-cv-00606 (LEK) (DRH) (NDNY)0 (LR-22097)
SEC Charges Operators of Investment Frauds based in Massachusetts, Florida and Indiana
On September 19, 2011, the Securities and Exchange Commission filed an enforcement action in federal court in Massachusetts against Diane Glatfelter of Billerica, Massachusetts, Robert Rice of Tallahassee, Florida, and Robert Anderson of Madison, Indiana, charging each of them with participating in fraudulent schemes involving the promotion and sale of fictitious financial instruments and trading programs. The Commission also charged two entities controlled by Glatfelter and Rice, K2 Unlimited, Inc. and 211 Ventures, LLC, in connection with the scheme.
The Commission's Complaint alleges that beginning in 2007, Glatfelter and Rice, through K2 Unlimited and 211 Ventures, offered fraudulent venture capital financing, which was purportedly to be raised through the use of “bank guarantees.” According to the Commission’s Complaint, Glatfelter, Rice and 211 Ventures also offered direct investments involving fictitious securities and trading programs, promising sky-high returns with guarantees against loss. In fact, the Commission alleges that the bank guarantees were non-existent fictional instruments and that the defendants defrauded investors of at least $1.8 million.
The Commission’s Complaint also alleges that in early 2009, Glatfelter became associated with Anderson and the two began to offer fraudulent investments to investors, also based in part on the use of various fictitious financial instruments. The Commission's Complaint alleges that Glatfelter and Anderson offered these fraudulent investments through an entity called E-Trust Clearing House, KB. The Commission alleges that Glatfelter and Anderson caused at least $425,000 in investor losses through the E-Trust scheme.
The Commission's Complaint alleges that Glatfelter, Rice, Anderson, K2 Unlimited and 211 Ventures violated various anti-fraud, broker-dealer and securities registration provisions of the federal securities laws. Specifically, the complaint alleges that Glatfelter, Rice, Anderson and 211 Ventures violated Sections 5(a) and 5(c) of the Securities Act of 1933; that all defendants violated Section 17(a) of the Securities Act; that all defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; that Glatfelter and Rice aided and abetted K2 Unlimited and 211 Ventures’ violations of Section 10(b) and Rule 10b-5 thereunder; and that Glatfelter, Rice and K2 Unlimited violated Section 15(a) of the Exchange Act. The Commission seeks permanent injunctions, disgorgement and prejudgment interest, and civil penalties against each defendant, and a bar prohibiting Glatfelter from serving as an officer or director of a public company.
The Commission’s Complaint alleges that the defendants in this matter purported to offer investment using the so-called “bank guarantees,” stand-by letters of credit, or mid-term notes, among others. The Complaint alleges these instruments are fictitious and are not legitimate investments. Investors who are offered investments similar to those alleged in the Commission's complaint may want to consult the SEC's website concerning "Warning to All Investors about Bogus "Prime Bank" and Other Banking-Related Investment Schemes," at: http://www.sec.gov/divisions/enforce/primebank.shtml; or, "How Prime Bank Frauds Work," at: http://www.sec.gov/divisions/enforce/primebank/howtheywork.shtml. [SEC v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson, Case No. 11cv11649 (U.S. District Court, D. Mass.)] (LR-22098)
Investment Company Act Releases
Highland Capital Management, L.P., et al.
A notice has been issued giving interested persons until October 11, 2011 to request a hearing on an application filed by Highland Capital Management, L.P., et al., for an order under Section 6(c) of the Investment Company Act for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29790 - September 15)
Self-regulatory organizations
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by the Municipal Securities Rulemaking Board to extend the effective date of the amendment to the Continuing Disclosure Service of EMMA to provide for the posting of credit rating and related information on the EMMA public website (SR-MSRB-2011-16) 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 19. (Rel. 34-65346)
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-3 DAEGIS INC., 1420 ROCKY RIDGE DRIVE, SUITE 380, ROSEVILLE, CA, 95661,
9162184700 - 2,016,667 ($4,214,834.03) Equity, (File 333-176861 -
Sep. 16) (BR. 03B)
S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706,
4085264000 - 164,984 ($2,071,149.19) Equity, (File 333-176862 -
Sep. 16) (BR. 03C)
S-8 Himax Technologies, Inc., NO. 26, ZIH LIAN ROAD,
SINSHIH DISTRICT, TAINAN CITY 74148, TAIWAN, F5, -, 866 (6) 505-0880 -
20,000,000 ($12,400,000.00) Other, (File 333-176863 - Sep. 16) (BR. 10B)
S-3 CONNECTICUT WATER SERVICE INC / CT, 93 W MAIN ST, CLINTON, CT, 06413,
8606698630 - 250,000 ($6,522,500.00) Equity, (File 333-176867 -
Sep. 16) (BR. 02C)
F-1 DRAGON BRIGHT MINTAI BOTANICAL TECHNOLOGY CAYMAN LTD,
ROOM B, 19/F, HILLER COMMERCIAL BUILDING, 89-91 WING LOK STREET,
SHEUNG WAN, K3, 00000, (852) 3568-1829 -
131,000,000 ($15,720,000.00) Equity, (File 333-176868 - Sep. 16)
(BR. 05)
S-8 AMERISERV FINANCIAL INC /PA/, MAIN & FRANKLIN STS, PO BOX 430,
JOHNSTOWN, PA, 15907, 8145335300 - 800,000 ($1,576,000.00) Equity,
(File 333-176869 - Sep. 16) (BR. 07A)
S-3 GREAT SOUTHERN BANCORP INC, 1451 E BATTLEFIELD, SPRINGFIELD, MO, 65804,
417-887-4400 - 57,943 ($57,943,000.00) Equity, (File 333-176871 -
Sep. 16) (BR. 07B)
S-3 United States 12 Month Oil Fund, LP, 1320 HARBOR BAY PARKWAY,
SUITE 145, ALAMEDA, CA, 94502, (510) 522-9600 - 0 ($1.00) Other,
(File 333-176873 - Sep. 16) (BR. 08C)
S-4 TMX Finance LLC, 15 BULL STREET, SUITE 200, SAVANNAH, GA, 31401,
912-525-2675 - 60,000,000 ($60,000,000.00) Non-Convertible Debt,
(File 333-176874 - Sep. 16) (BR. 07)
N-2 BlackRock Kelso Capital CORP, 40 EAST 52ND STREET, NEW YORK, NY, 10022,
212-754-5300 - 0 ($1,500,000,000.00) Unallocated (Universal) Shelf,
(File 333-176875 - Sep. 16) (BR. 17)
S-8 CENTURY NEXT FINANCIAL Corp, 505 NORTH VIENNA STREET, RUSTON, LA,
71270, 318-255-3733 - 105,800 ($1,581,739.00) Equity,
(File 333-176876 - Sep. 16) (BR. 07A)
S-8 AMARIN CORP PLC\UK, FIRST FLOOR, BLOCK 3, THE OVAL,,
SHELBOURNE ROAD, BALLSBRIDGE, DUBLIN, L2, 00000, 353 1 6699 020 -
0 ($39,612,700.00) Equity, (File 333-176877 - Sep. 16) (BR. 01A)
S-1 ProShares Trust II, 7501 WISCONSIN AVE, SUITE 1000, BETHESDA, MD,
20814, 240-497-6400 - 0 ($1.00) Other, (File 333-176878 - Sep. 16)
(BR. 08B)
S-1 Petrus Resources Corp, 3211 OCEAN DRIVE, VERO BEACH, FL, 32963,
772-234-9999 - 500,000 ($500,000.00) Equity, (File 333-176879 -
Sep. 16) (BR. )
S-1 Mascoma Corp, 67 ETNA ROAD, SUITE 300, LEBANON, NH, 03766,
603-676-3320 - 0 ($100,000,000.00) Equity, (File 333-176881 - Sep. 16)
(BR. )
S-1 Chino Commercial Bancorp, 14245 PIPELINE AVENUE, CHINO, CA, 91710,
909-393-8880 - 0 ($2,368,412.00) Equity, (File 333-176882 - Sep. 16)
(BR. 07C)
S-3 ENTERPRISE FINANCIAL SERVICES CORP, 150 NORTH MERAMEC,
150 NORTH MERAMEC, CLAYTON, MO, 63105, 3147255500 -
0 ($45,000,000.00) Equity, (File 333-176883 - Sep. 16) (BR. 07C)
S-8 AMERIGON INC, 21680 HAGGERTY ROAD, NORTHVILLE, MI, 48167-8994,
248-504-0500 - 0 ($10,931,000.00) Equity, (File 333-176884 - Sep. 16)
(BR. 05A)
S-3ASR CubeSmart, 460 E. SWEDESFORD ROAD, SUITE 3000, WAYNE, PA, 19087,
610-293-5700 - 0 ($0.00) Other, (File 333-176885 - Sep. 16) (BR. 08C)
S-3 AMERIGON INC, 21680 HAGGERTY ROAD, NORTHVILLE, MI, 48167-8994,
248-504-0500 - 0 ($100,000,000.00) Other, (File 333-176887 - Sep. 16)
(BR. 05A)
S-8 COMMUNITY HEALTH SYSTEMS INC, 4000 MERIDIAN BOULEVARD, FRANKLIN, TN,
37067, 615-465-7000 - 0 ($20,964,000.00) Equity, (File 333-176893 -
Sep. 16) (BR. 01A)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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
AAR CORP DE 2.02,9.01 09/15/11
Adamis Pharmaceuticals Corp DE 1.01,5.02,5.07 09/15/11
ADVANCED ANALOGIC TECHNOLOGIES INC DE 8.01,9.01 09/16/11
ADVANCED MEDICAL ISOTOPE Corp DE 8.01 09/16/11
ADVOCAT INC DE 5.02,9.01 09/16/11
AISystems, Inc. 5.02 09/16/11
Alkermes plc. L2 1.01,2.01,2.03,4.01, 09/15/11
5.05,8.01,9.01
All American Gold Corp. WY 1.01,5.02,9.01 09/09/11
Alliance HealthCare Services, Inc CA 5.02 09/12/11
ALLIANCE RESOURCE PARTNERS LP DE 8.01 09/14/11
Allied Nevada Gold Corp. DE 7.01,9.01 09/15/11
Allied World Assurance Co Holdings, A 1.02,8.01,9.01 09/15/11
ALLOS THERAPEUTICS INC DE 5.07 06/21/11 AMEND
Ally Master Owner Trust 1.01,8.01,9.01 09/14/11
Alpha Natural Resources, Inc. DE 8.01 09/16/11
Amincor, Inc. NV 5.02 09/01/11
ANALOG DEVICES INC MA 5.02,9.01 09/13/11
ANTS SOFTWARE INC DE 5.02,9.01 09/12/11
ANTS SOFTWARE INC DE 1.01,9.01 09/16/11
ARCH COAL INC DE 8.01 09/13/11
ARGAN INC DE 2.02,9.01 09/14/11
Arista Power, Inc. NY 7.01,9.01 09/15/11
Atlantic Coast Financial CORP MD 5.02,9.01 09/16/11
AUTOBYTEL INC DE 3.01 09/15/11
AUTONATION, INC. DE 7.01 09/16/11
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 5.02,9.01 09/16/11
bebe stores, inc. CA 5.02 09/16/11
BEHRINGER HARVARD MULTIFAMILY REIT I 8.01,9.01 09/16/11
BENIHANA INC DE 5.07,8.01 09/16/11
BI-OPTIC VENTURES INC 1.01,7.01,9.01 09/16/11
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 09/16/11
Bitzio, Inc. NV 1.01,1.02 09/14/11
Black Tusk Minerals Inc. NV 5.02 09/12/11
BLACKBOX SEMICONDUCTOR, INC. NV 1.01,2.01,3.02,4.01, 09/15/11 AMEND
7.01,8.01,9.01
BlackRock Inc. DE 3.02 09/16/11
BROADWIND ENERGY, INC. DE 1.01,8.01,9.01 09/16/11
BRUKER CORP DE 5.02,9.01 09/14/11
BRUKER CORP DE 5.07 05/12/11 AMEND
CAGLES INC GA 2.03 09/13/11
CANANDAIGUA NATIONAL CORP NY 5.07 09/14/11
CAPITAL BANK CORP NC 2.01,9.01 06/30/11 AMEND
Catalent Pharma Solutions, Inc. DE 2.02,9.01 09/16/11
CATERPILLAR FINANCIAL SERVICES CORP DE 1.01,2.03,9.01 09/16/11
CATERPILLAR INC DE 1.01,2.03,9.01 09/15/11
CEC ENTERTAINMENT INC KS 5.02 09/15/11
CERNER CORP /MO/ DE 5.07 09/15/11 AMEND
CHART INDUSTRIES INC DE 8.01,9.01 09/15/11
CHARTER FINANCIAL CORP/GA 9.01 09/09/11 AMEND
China Forestry Industry Group, Inc. CA 1.01,2.01,3.02,5.01, 09/16/11 AMEND
5.02,5.03,5.06,5.07,
9.01
CHINA SECURITY & SURVEILLANCE TECHNOL DE 3.01,3.03,5.01,5.02, 09/16/11
5.03,9.01
CIFC Corp. DE 1.01,9.01 09/16/11
CITADEL BROADCASTING CORP DE 5.07,8.01,9.01 09/15/11
CITY HOLDING CO WV 7.01,9.01 09/16/11
City Media, Inc. UT 8.01,9.01 09/14/11
CLAIBORNE LIZ INC DE 5.02 09/15/11
CLOROX CO /DE/ DE 5.02 09/12/11
CMG HOLDINGS GROUP, INC. NV 8.01 09/16/11
COEUR D ALENE MINES CORP ID 5.02,9.01 09/12/11
COLLECTORS UNIVERSE INC DE 7.01,9.01 09/15/11
COMMUNITY BANK SHARES OF INDIANA INC IN 1.01,3.02,3.03,5.02, 09/15/11
9.01
COMPUTER SCIENCES CORP NV 5.02,9.01 09/16/11
COMVERGE, INC. DE 5.02 09/12/11
CONSUMERS BANCORP INC /OH/ OH 5.02,9.01 09/16/11
CORPORATE OFFICE PROPERTIES TRUST MD 1.01,5.02,9.01 09/15/11
CROGHAN BANCSHARES INC OH 5.02,8.01,9.01 09/13/11
CubeSmart MD 5.03,9.01 09/14/11
CubeSmart MD 1.01,5.02,9.01 09/13/11
CURIS INC DE 5.02,8.01,9.01 09/13/11
CVB FINANCIAL CORP CA 7.01,8.01,9.01 09/16/11
DECKERS OUTDOOR CORP DE 5.02,5.03,9.01 09/12/11
DEL TORO SILVER CORP. NV 4.01,9.01 09/07/11 AMEND
DGSE COMPANIES INC NV 1.01,2.01,3.02,9.01 09/12/11
Diamond Information Institute NJ 1.01,3.02 09/16/11
DIGITAL ALLY INC 3.01 09/13/11
DIGITAL POWER CORP CA 5.02 09/12/11
Disability Access Corp 8.01 09/09/11
Dolan Co. DE 1.01,3.03,9.01 09/15/11
DYNAMICS RESEARCH CORP MA 9.01 06/30/11 AMEND
DYNEGY INC. DE 7.01,9.01 09/15/11
ENER1 INC FL 1.01,9.01 09/12/11
ENERGY CONVERSION DEVICES INC DE 3.01 09/16/11
Ensco plc 7.01,9.01 09/16/11
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 09/15/11
EVERGREEN ENERGY INC DE 4.02 09/16/11
EXCELSIOR LASALLE PROPERTY FUND INC 7.01 09/14/11
Federal Home Loan Bank of Dallas 2.03,9.01 09/12/11
FERRELLGAS PARTNERS L P DE 7.01 09/16/11
First Bancorp, Inc /ME/ ME 8.01 09/15/11
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 4.02,7.01,9.01 09/13/11
FIRST M&F CORP/MS MS 8.01,9.01 09/15/11
First Titan Corp. FL 5.06 09/16/11
FOSTER WHEELER AG V8 5.02 09/14/11
FOX PETROLEUM INC. NV 2.01,2.03,2.05,5.02, 09/13/11 AMEND
9.01
FRANKLIN RESOURCES INC DE 5.03,9.01 09/15/11
FreightCar America, Inc. DE 5.02,9.01 09/16/11
FUSION-IO, INC. DE 5.02 09/13/11
Game Plan Holdings, Inc. NV 1.01,3.02,9.01 09/13/11
Gamma Pharmaceuticals Inc DE 5.02,8.01 09/16/11
GANNETT CO INC /DE/ DE 5.02,9.01 09/15/11
General Finance CORP DE 8.01,9.01 09/16/11
GENTA INC DE/ DE 8.01 09/16/11
GEOKINETICS INC DE 7.01,9.01 09/15/11
Global Indemnity plc L2 5.02 09/16/11 AMEND
Global Telecom & Technology, Inc. DE 5.02,9.01 09/12/11
GOLDMAN SACHS GROUP INC DE 9.01 09/16/11
Greenfield Farms Food, Inc. NV 1.01,3.02,7.01,9.01 09/13/11
Grubb & Ellis Healthcare REIT II, Inc MD 9.01 06/30/11 AMEND
HARBINGER GROUP INC. DE 5.02,5.07,9.01 09/15/11
HELEN OF TROY LTD 5.02,9.01 09/13/11
HENRY SCHEIN INC DE 1.01,9.01 09/14/11
HERSHA HOSPITALITY TRUST MD 5.02 09/12/11
HOLLYWOOD MEDIA CORP FL 1.01,3.03,9.01 09/16/11
HORIZON BANCORP /IN/ IN 8.01,9.01 09/13/11
Horizon Lines, Inc. 1.01,8.01,9.01 09/13/11
HSBC Finance Corp 8.01,9.01 09/16/11
HUNTINGTON BANCSHARES INC/MD MD 8.01 09/15/11
IDACORP INC ID 8.01 09/13/11
IDERA PHARMACEUTICALS, INC. DE 5.02 09/13/11
INERGETICS INC DE 8.01 09/16/11
INTERNATIONAL BANCSHARES CORP TX 8.01,9.01 09/16/11
ITT Corp IN 8.01 09/15/11
JAKKS PACIFIC INC DE 8.01,9.01 09/16/11
KBS Real Estate Investment Trust III, MD 1.01 09/14/11
KEYCORP /NEW/ OH 5.02,9.01 09/16/11
KIT digital, Inc. DE 1.01,9.01 09/15/11
KOPIN CORP DE 1.01,5.02,9.01 09/12/11
Legend Oil & Gas, Ltd. CO 1.01,5.03,8.01,9.01 09/12/11
Legend Oil & Gas, Ltd. CO 1.01,3.02,5.03,9.01 08/11/11 AMEND
Liberty Global, Inc. DE 7.01 09/16/11
Liberty Global, Inc. DE 7.01 09/16/11
LIFEPOINT HOSPITALS, INC. 8.01,9.01 09/16/11
LIONS GATE ENTERTAINMENT CORP /CN/ 5.07 09/13/11
LMI AEROSPACE INC MO 1.01,8.01,9.01 09/12/11
LML PAYMENT SYSTEMS INC A1 1.01,8.01,9.01 09/14/11
Marine Drive Mobile Corp. NV 5.02 09/15/11
MATERION Corp 1.01,9.01 09/13/11
Mattersight Corp DE 5.07 05/17/11 AMEND
MERCER GOLD CORP. NV 7.01,9.01 09/15/11 AMEND
MERIDIAN BIOSCIENCE INC OH 8.01 09/14/11
MET PRO CORP PA 8.01,9.01 09/14/11
MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 09/14/11
MILESTONE SCIENTIFIC INC. DE 5.02 09/12/11
MOLINA HEALTHCARE INC DE 7.01,9.01 09/15/11
Motors Liquidation Co DE 8.01,9.01 09/16/11
MPHASE TECHNOLOGIES INC NJ 1.01 09/16/11
NeoStem, Inc. DE 8.01,9.01 09/16/11
NETSOL TECHNOLOGIES INC NV 2.02,9.01 09/16/11
NEWS CORP 8.01,9.01 09/16/11
NHS Health Solutions Inc NV 1.01 09/15/11
NON INVASIVE MONITORING SYSTEMS INC / FL 1.01,2.03 09/12/11
Northumberland Resources, Inc. NV 5.03 09/07/11
Obscene Jeans Corp. FL 1.01,1.02,9.01 09/12/11
Oculus Innovative Sciences, Inc. CA 5.07 09/12/11
ONE LIBERTY PROPERTIES INC MD 8.01 08/25/11
OPNET TECHNOLOGIES INC DE 5.07 09/12/11
OptimumBank Holdings, Inc. FL 5.02 09/11/11
ORAGENICS INC FL 8.01 09/09/11
Pacific Ethanol, Inc. DE 3.01 09/13/11
PACIFIC WEBWORKS INC NV 4.02 09/12/11
PALL CORP NY 2.02,9.01 09/14/11
Patriot Coal CORP DE 2.02,9.01 09/16/11
PAYCHEX INC DE 5.02,9.01 09/15/11
PC MALL INC DE 5.07 09/16/11
PEOPLES EDUCATIONAL HOLDINGS MN 7.01,9.01 09/16/11
PETROLEUM DEVELOPMENT CORP NV 5.07 06/10/11 AMEND
PHC INC /MA/ MA 9.01 09/15/11 AMEND
PINNACLE ENTERTAINMENT INC. DE 1.01,9.01 09/15/11
PLAINS EXPLORATION & PRODUCTION CO DE 3.03,5.03,9.01 09/14/11
POSITIVEID Corp DE 1.01 09/16/11
PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02 09/16/11
PRINCIPAL FINANCIAL GROUP INC DE 2.02,7.01,9.01 09/15/11
PUBLIC SERVICE CO OF NEW HAMPSHIRE NH 2.03,9.01 09/13/11
QCR HOLDINGS INC DE 1.01,3.02,3.03,5.03, 09/15/11
9.01
Quadrant 4 Systems Corp FL 7.01,9.01 09/13/11
Rand Logistics, Inc. DE 8.01,9.01 09/16/11
RAYONIER INC NC 1.01,9.01 09/16/11
RPX Corp DE 8.01,9.01 09/12/11
RR Donnelley & Sons Co DE 5.07 05/19/11 AMEND
RTI Biologics, Inc. DE 5.07 05/05/11 AMEND
S&T BANCORP INC PA 1.01,8.01,9.01 09/14/11
SAN DIEGO GAS & ELECTRIC CO CA 5.02 09/13/11
San West, Inc CA 5.03,9.01 09/16/11
Santander Drive Auto Receivables Trus DE 1.01,9.01 09/15/11
Savoy Energy Corp NV 1.01,2.03,3.02,8.01, 09/09/11
9.01
SELECT COMFORT CORP MN 1.01,9.01 09/14/11
SEMPRA ENERGY CA 5.02,9.01 09/13/11
Shengkai Innovations, Inc. FL 8.01,9.01 09/16/11
SILGAN HOLDINGS INC DE 5.02 09/14/11
SKY PETROLEUM, INC. NV 7.01,9.01 09/16/11
SOUTHERN CALIFORNIA GAS CO CA 5.02 09/13/11
Spansion Inc. DE 3.02 09/16/11
SPECTRANETICS CORP DE 8.01 09/13/11
ST JOE CO FL 1.01,5.02 09/12/11
ST JOSEPH INC CO 4.01,9.01 09/14/11
Strategic Storage Trust, Inc. MD 1.01,9.01 09/12/11
STRYKER CORP MI 1.01,2.03,9.01 09/13/11
SULPHCO INC NV 1.03,5.02 09/16/11
SUNPOWER CORP DE 5.02 09/12/11
TaxMasters, Inc. NV 4.02,9.01 09/08/11 AMEND
TC PIPELINES LP DE 5.02 09/15/11
TELEMETRIX INC DE 1.03 09/14/11
TESSERA TECHNOLOGIES INC DE 5.03,9.01 09/14/11
TESSERA TECHNOLOGIES INC DE 5.07 09/15/11 AMEND
TIB FINANCIAL CORP. FL 2.01,9.01 06/30/11 AMEND
Titan Energy Worldwide, Inc. NV 5.02,9.01 09/15/11
TJX COMPANIES INC /DE/ DE 5.04 09/16/11
TK Star Design, Inc. NV 4.01,9.01 09/16/11
TRANSATLANTIC HOLDINGS INC DE 1.01,1.02,5.02,8.01, 09/15/11
9.01
TRANSCAT INC OH 5.07 09/13/11
TRANSGENOMIC INC DE 7.01,9.01 09/13/11
TRI COUNTY FINANCIAL CORP /MD/ MD 5.03,9.01 09/12/11
Tropicana Las Vegas Hotel & Casino, I DE 1.01,5.02,9.01 09/15/11
TUTOR PERINI Corp MA 1.01,5.02,7.01,9.01 09/13/11
TUTOR PERINI Corp MA 5.07 06/01/11 AMEND
TUTOR PERINI Corp MA 9.01 07/01/11 AMEND
TYCO INTERNATIONAL LTD V8 8.01,9.01 09/15/11
VALUE LINE INC NY 5.07 09/15/11
Vanguard Natural Resources, LLC DE 9.01 09/16/11 AMEND
Vaughan Foods, Inc. OK 7.01,9.01 09/15/11
VISTA GOLD CORP B0 7.01,9.01 09/12/11
WEBSTER PREFERRED CAPITAL CORP CT 8.01 09/14/11
WELLCARE HEALTH PLANS, INC. DE 5.02,8.01 09/16/11
WELLS REAL ESTATE FUND X L P GA 7.01 09/16/11
WEST MARINE INC DE 5.02,9.01 09/15/11
WESTAR ENERGY INC /KS KS 8.01,9.01 09/16/11
WEYERHAEUSER CO WA 7.01,9.01 09/15/11
Willbros Group, Inc.\NEW\ 1.01,9.01 09/16/11
WILLIAM LYON HOMES DE 8.01 09/14/11
Wolverine Bancorp, Inc. MD 5.02,9.01 09/12/11
WORLD FUEL SERVICES CORP FL 8.01,9.01 09/16/11
YAHOO INC DE 5.02 09/14/11
YRC Worldwide Inc. DE 5.07 09/16/11
YRC Worldwide Inc. DE 3.01,5.03,9.01 09/12/11
ZAP CA 7.01,9.01 09/15/11
http://www.sec.gov/news/digest/2011/dig091911.htm
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