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Enforcement ProceedingsRichard D. Mittasch SanctionedRichard D. Mittasch (Mittasch) has been barred from association with any broker, dealer, or investment adviser. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In June 2011, Mittasch was enjoined from violating the antifraud provisions of the federal securities laws based on his involvement in the fraudulent use of investor proceeds in a Florida-based hedge fund, Vestium Equity Fund, LLC. (Rel. 34-65461; IA-3296; File No. 3-14475) Investment Adviser SanctionedThe registration of Imperium Investment Advisors, LLC, as an investment adviser has been revoked. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against it. In June 2011, Imperium was enjoined from violating the antifraud provisions of the federal securities laws based on its involvement in the fraudulent use of investor proceeds in a Florida-based hedge fund, Vestium Equity Fund, LLC. (Rel. IA-3295; File No. 3-14471) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Interactive Therapeutics, Inc., Interchem (N.A.) Industries, Inc., International Cavitation Technologies, Inc., International Fibercom, Inc., International Gaming Management, Inc., International Meta Systems, Inc., Internet Communications Corp., InvestAmerica, Inc., and IRG Technologies, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-65462; File No. 3-14545) Commission Revokes Registration of Securities of Sonoma International, Inc. For Failure to Make Required Periodic FilingsOn October 3, 2011, the Commission revoked the registration of each class of registered securities of Sonoma International, Inc. (Sonoma International) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Sonoma International consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Sonoma International, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Sonoma International’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Sonoma International in In the Matter of Sharon Energy, Ltd., et al., Administrative Proceeding File No. 3-14556. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Sharon Energy, Ltd., et al., Administrative Proceeding File No. 3-14556, Exchange Act Release No. 65363, September 20, 2011. (Rel. 34-65463 File No. 3-14556) Commission Revokes Registration of Securities of Somerset International Group, Inc. For Failure to Make Required Periodic FilingsOn October 3, 2011, the Commission revoked the registration of each class of registered securities of Somerset International Group, Inc. (Somerset International Group) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Somerset International Group consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Somerset International Group, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Somerset International Group’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Somerset International Group in In the Matter of Somerset International Group, Inc., Administrative Proceeding File No. 3-14522. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Somerset International Group, Inc., Administrative Proceeding File No. 3-14522, Exchange Act Release No. 65221, August 30, 2011. (Rel. 34-65464; File No. 3-14522) In the Matter of Thomas Y. Jimenez, CPAThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions against Thomas Y. Jimenez, CPA. The Order finds that the Commission had filed a complaint against Jimenez that alleged, inter alia, that Jimenez created millions of dollars in false invoices in 2002-04 and that the court has entered a judgment by consent against Jimenez that permanently enjoined him from future violations of the securities laws, including Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and imposed an officer and director bar. Based on the above, the Order suspended Jimenez from appearing or practicing before the Commission as an accountant. Jimenez consented to the issuance of the Order without admitting or denying any of the findings except he admitted entry of the judgment. (Rel. 34-65466; AAE Rel. 3325; File No. 3-14575) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-089) to adopt two-day settlement on CBOE Stock Exchange has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65417) A proposed rule change filed by the Chicago Stock Exchange, Incorporated to eliminate certain references to the exchange acting as the Designated Examining Authority (SR-CHX-2011-27) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65444) A proposed rule change submitted by NASDAQ OMX BX (SR-BX-2011-067), to provide an optional functionality for a BOX Options Participant to prevent its Market Maker or proprietary broker-dealer orders entered in BOX from trading with quotes/orders originating from the same BOX Participant and were resting on the BOX Book, has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65447) A proposed rule change (SR-C2-2011-023), filed by C2 Options Exchange, Incorporated, to amend C2 Rule 8.2 concerning the market-maker registration cost for SPXPM has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65452) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-090) to amend the inactivity fee on the CBOE Stock Exchange fees schedule has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65454) Approval of Proposed Rule ChangesThe Commission granted approval of a proposed rule change (SR-NYSEAmex-2011-64) amending NYSE Amex Options Rule 993NY(b)(2) to make permanent the Pilot Program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its capacity as a facility of affiliated exchanges and to clarify the text of NYSE Amex Options Rule 993NY(b)(1)(B) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65451) The Commission granted approval of a proposed rule change (SR-NYSE-2011-45) amending NYSE Rule 17(c)(2)(B) to make permanent the Pilot Program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its capacity as a facility of affiliated exchanges and to clarify the text of NYSE Rule 17(c)(2)(A)(ii) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65453) The Commission granted approval of a proposed rule change (SR-NYSEArca-2011-61) amending NYSE Arca Equities Rule 7.45(c)(2) to make permanent the Pilot Program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its capacity as a facility of affiliated exchanges and to clarify the text of NYSE Arca Equities Rule 7.45(c)(1)(B) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65455) The Commission granted approval of a proposed rule change (SR-NYSEArca-2011-62) amending NYSE Arca Options Rule 6.96(b)(2) to make permanent the Pilot Program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its capacity as a facility of affiliated exchanges and to clarify the text of NYSE Arca Options Rule 6.96(b)(1)(B) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65456) The Commission granted approval of a proposed rule change (SR-NYSEAmex-2011-63) amending NYSE Amex Equities Rule 17(c)(2)(B) to make permanent the pilot program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its Capacity as a facility of affiliated exchanges and to clarify the NYSE Amex Equities Rule 17(c)(2)(A)(ii) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. ((Rel. 34-65457) The Commission granted approval of a proposed rule change (SR-NYSEArca-2011-54) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of the WisdomTree Dreyfus Australia & New Zealand Debt Fund under NYSE Arca Equities Rule 8.600. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65458) Proposed Rule ChangesEDGA Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-EDGA-2011-31) to amend EDGA Rule 11.14 to revise the current methodology for determining when to halt trading in all stocks due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65431) Chicago Board Options Exchange, Incorporated filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-CBOE-2011-087) related to market-wide circuit breakers. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65438) The Chicago Board Options Exchange, Incorporated has filed a proposed rule change (SR-CBOE-2011-086) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to increase the number of series permitted per class in the Short Term Option Series Program. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65445) Accelerated Approval of Proposed Rule ChangesThe BATS Y-Exchange, Inc. has filed, and the Commission has approved on an accelerated basis, a proposed rule change (SR-BYX-2011-024) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend BYX Rule 13.3 to prohibit members from voting uninstructed shares on certain matters and to align BYX Rule 13.3, concerning the forwarding of proxy and other material and proxy voting, with the rules of other self-regulatory organizations. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65448) The BATS Exchange, Inc. has filed, and the Commission has approved on an accelerated basis, a proposed rule change (SR-BATS-2011-036) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend BATS Rule 13.3 to prohibit members from voting uninstructed shares on certain matters and to align BATS Rule 13.3, concerning the forwarding of proxy and other material and proxy voting, with the rules of other self-regulatory organizations. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65449) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 SPARTAN MOTORS INC, 1000 REYNOLDS RD, P O BOX 440, CHARLOTTE, MI, 48813, 5175436400 - 750,000 ($3,251,250.00) Equity, (File 333-177088 - Sep. 30) (BR. 05C) S-3ASR FIRST POTOMAC REALTY TRUST, 7600 WISCONSIN AVENUE, 11TH FLOOR, BETHESDA, MD, 20814, 3019869200 - 0 ($6,993,601.32) Equity, (File 333-177090 - Sep. 30) (BR. 08B) S-8 ORAGENICS INC, 12085 RESEARCH DRIVE, ALACHUA, FL, 32615, 3864184018 - 500,000 ($775,000.00) Equity, (File 333-177091 - Sep. 30) (BR. 01B) F-3ASR PRUDENTIAL PLC, LAURENCE POUNTNEY HILL, LONDON ENGLAND, X0, EC4R OHH, 011442075483737 - 0 ($0.00) Debt, (File 333-177093 - Sep. 30) (BR. 01B) S-3D SBT Bancorp, Inc., 760 HOPMEADOW STREET, P.O. BOX 248, SIMSBURY, CT, 06070, 860-408-5493 - 100,000 ($2,055,000.00) Equity, (File 333-177094 - Sep. 30) (BR. 07C) S-8 ENERGY XXI (BERMUDA) LTD, CANONS COURT, 22 VICTORIA STREET PO BX HM 1179, HAMILTON, D0, 00000, 713 351 3003 - 5,000,000 ($109,000,000.00) Equity, (File 333-177095 - Sep. 30) (BR. 04B) S-3 FIRST BANCORP /NC/, 341 NORTH MAIN ST, PO BOX 508, TROY, NC, 27371-0508, 9105766171 - 63,500 ($1,000.00) Other, (File 333-177096 - Sep. 30) (BR. 07A) S-1 CENTRAL FEDERAL CORP, C/O CENTRAL FEDERAL BANK, 601 MAIN ST, WELLSVILLE, OH, 43968, 3305321517 - 0 ($37,500,000.00) Equity, (File 333-177097 - Sep. 30) (BR. 07C) S-3ASR SCANA CORP, 100 SCANA PARKWAY, MAIL CODE - B123, CAYCE, SC, 29033, 8032179000 - 0 ($158,757,078.00) Equity, (File 333-177099 - Sep. 30) (BR. 02A) S-3 IGATE CORP, 1000 COMMERCE DRIVE, SUITE 500, PITTSBURGH, PA, 15275, 4125061131 - 0 ($304,609,689.48) Equity, (File 333-177100 - Sep. 30) (BR. 03B) S-4 IGATE CORP, 1000 COMMERCE DRIVE, SUITE 500, PITTSBURGH, PA, 15275, 4125061131 - 0 ($770,000,000.00) Non-Convertible Debt, (File 333-177102 - Sep. 30) (BR. 03B) S-3 FIRST BUSEY CORP /NV/, 201 W MAIN STREET, URBANA, IL, 61801, 2173844513 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-177104 - Sep. 30) (BR. 07A) S-3 BRYN MAWR BANK CORP, 801 LANCASTER AVE, BRYN MAWR, PA, 19010, 6105252300 - 0 ($5,301,782.46) Equity, (File 333-177109 - Sep. 30) (BR. 07C) S-3ASR Prologis, Inc., PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 0 ($0.00) Other, (File 333-177112 - Sep. 30) (BR. 08C) S-3 Ampio Pharmaceuticals, Inc., 5445 DTC PARKWAY, P4, GREENWOOD VILLAGE, CO, 80111, 303-418-1000 - 0 ($87,750,000.00) Other, (File 333-177116 - Sep. 30) (BR. 01B) S-3 Golden Minerals Co, 350 INDIANA STREET, SUITE 800, GOLDEN, CO, 80401, 3038395060 - 0 ($250,000,000.00) Other, (File 333-177117 - Sep. 30) (BR. 04C) S-3 NETLIST INC, 51 DISCOVERY, STE 150, IRVINE, CA, 92618, 949-435-0025 - 0 ($40,000,000.00) Unallocated (Universal) Shelf, (File 333-177118 - Sep. 30) (BR. 10B) S-3ASR WESTLAKE CHEMICAL CORP, 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177119 - Sep. 30) (BR. 06B) S-4 Skyview Holdings Corp., 12913 42ND TERRACE WEST, CORTEZ, FL, 34215, 941-794-0394 - 25,148,263 ($502,965.00) Equity, (File 333-177120 - Sep. 30) (BR. 09) S-1 Health Advance, Inc., 3651 LINDELL ROAD, SUITE #D155, LAS VEGAS, NV, 89103, 702-943-0309 - 792,000 ($79,200.00) Equity, (File 333-177122 - Sep. 30) (BR. ) S-3 SYNERGY RESOURCES CORP, 20203 HIGHWAY 60, PLATTEVILLE, CO, 80651, 303-591-7413 - 0 ($75,000,000.00) Equity, (File 333-177123 - Sep. 30) (BR. 04C) 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 ACACIA AUTOMOTIVE INC TX 5.02 09/28/11 ACCURIDE CORP DE 2.01,9.01 09/30/11 ACELRX PHARMACEUTICALS INC DE 5.02,9.01 09/26/11 ADCARE HEALTH SYSTEMS INC OH 8.01 09/30/11 ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 09/30/11 AEROSONIC CORP /DE/ DE 1.01,2.03,9.01 09/26/11 AFFYMAX INC DE 5.07 05/25/11 AMEND AGENUS INC DE 8.01,9.01 09/30/11 AGILYSYS INC OH 5.02,9.01 09/30/11 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.03,9.01 09/27/11 ALLEGHENY TECHNOLOGIES INC DE 8.01 09/30/11 Alliance HealthCare Services, Inc CA 1.01,2.03,3.01,9.01 09/27/11 ALLOS THERAPEUTICS INC DE 8.01 09/29/11 ALPHA & OMEGA SEMICONDUCTOR Ltd 2.02,9.01 09/30/11 AMARIN CORP PLC\UK X0 1.01 09/30/11 AMCOL INTERNATIONAL CORP DE 5.02,9.01 09/30/11 American Caresource Holdings, Inc. DE 5.02,5.07 09/26/11 AMKOR TECHNOLOGY INC DE 8.01,9.01 09/29/11 Apartment Trust of America, Inc. 8.01 09/29/11 Armour Residential REIT, Inc. MD 4.01,9.01 09/26/11 ARRAY BIOPHARMA INC DE 8.01,9.01 09/30/11 ASHFORD HOSPITALITY TRUST INC MD 1.01,2.03,9.01 09/26/11 ASHFORD HOSPITALITY TRUST INC MD 5.03,8.01,9.01 09/30/11 ASSOCIATED BANC-CORP WI 5.02,9.01 09/28/11 Astex Pharmaceuticals, Inc DE 2.01,9.01 07/20/11 AMEND ATRION CORP DE 1.01,2.03 09/27/11 AUTHENTIDATE HOLDING CORP DE 2.02,8.01 09/28/11 Avago Technologies LTD U0 8.01,9.01 09/28/11 Avenue South Ltd. NV 5.02,8.01 09/30/11 AZZ INC TX 2.02,8.01,9.01 09/29/11 B2B INTERNET HOLDRSSM TRUST NY 8.01 09/30/11 BankGuam Holding Co 8.01,9.01 09/30/11 Bella Petrellas Holdings, Inc. FL 1.01 09/25/11 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 09/28/11 BIOTECH HOLDRS TRUST DE 8.01 09/30/11 BJS WHOLESALE CLUB INC DE 2.01,3.01,5.01,5.02, 09/30/11 5.03,8.01,9.01 BLUE BRIDGE CAPITAL, INC. DE 2.01,9.01 09/26/11 BLUE BRIDGE CAPITAL, INC. DE 1.01,9.01 09/27/11 BLUE BRIDGE CAPITAL, INC. DE 8.01 09/30/11 BLUE RIDGE REAL ESTATE CO PA 8.01 09/30/11 Book Merge Technology, Inc. NV 4.01,9.01 09/29/11 BOTETOURT BANKSHARES INC VA 8.01 09/30/11 AMEND BROADBAND HOLDRS TRUST 8.01 09/30/11 BSB Bancorp, Inc. MD 8.01,9.01 09/29/11 BUCKEYE PARTNERS, L.P. DE 1.01,1.02,2.03,9.01 09/26/11 BUREAU OF NATIONAL AFFAIRS INC DE 3.03,5.01,5.02,5.03, 09/29/11 9.01 CANANDAIGUA NATIONAL CORP NY 5.02,9.01 09/30/11 CATERPILLAR INC DE 8.01 09/30/11 CDI CORP PA 1.01 09/28/11 CECO ENVIRONMENTAL CORP DE 5.02 09/28/11 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 09/30/11 CENTRAL VALLEY COMMUNITY BANCORP CA 8.01 09/28/11 CEPHALON INC DE 8.01 09/28/11 Charlie GPS Inc NV 5.02 09/30/11 Cheniere Energy Partners, L.P. DE 7.01 09/30/11 CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 09/26/11 China CGame, Inc. DE 1.01 09/30/11 China Modern Agricultural Information NV 1.01,9.01 09/26/11 CHINACAST EDUCATION CORP DE 1.01,3.03,5.03,9.01 09/26/11 CHS INC MN 1.01,1.02,2.03,9.01 09/27/11 CIB MARINE BANCSHARES INC WI 5.02,8.01,9.01 09/29/11 CLAIMSNET COM INC DE 1.01,2.03,8.01,9.01 09/27/11 Clearwater Paper Corp DE 1.01,9.01 09/28/11 CNO Financial Group, Inc. DE 7.01,9.01 09/30/11 CODORUS VALLEY BANCORP INC PA 1.01,9.01 09/30/11 AMEND COLORADO GOLDFIELDS INC. NV 5.02 09/29/11 COMMONWEALTH BANKSHARES INC VA 1.02,1.03,2.04,3.01 09/30/11 COMPUSONICS VIDEO CORP CO 8.01 09/30/11 CORE LABORATORIES N V P7 1.01,2.03,9.01 09/28/11 CorMedix Inc. DE 5.02,8.01,9.01 09/30/11 DAEGIS INC. DE 5.07 09/30/11 DCB FINANCIAL CORP OH 5.02,9.01 09/30/11 Dehaier Medical Systems Ltd 5.02,9.01 09/30/11 DEL TORO SILVER CORP. NV 3.02 09/29/11 DENTSPLY INTERNATIONAL INC /DE/ DE 5.07 09/28/11 AMEND DJO Finance LLC DE 5.02 09/27/11 Dolan Co. DE 1.01,9.01 09/30/11 DUOYUAN PRINTING, INC. WY 3.01 09/27/11 Eagle Bulk Shipping Inc. 1.01 09/26/11 EdgeWave, Inc. DE 1.01,9.01 09/14/11 ELECTRO RENT CORP CA 1.01,2.03,9.01 09/28/11 EMAGIN CORP DE 1.01,2.03,9.01 09/01/11 Emergent BioSolutions Inc. DE 1.01 08/24/11 ENGLOBAL CORP NV 5.02 09/30/11 EQUITY ONE, INC. 1.01,2.06,7.01,9.01 09/26/11 EUROPE 2001 HOLDRS TRUST NY 8.01 09/30/11 EXELIXIS INC DE 5.02 09/28/11 EXELIXIS INC DE 5.07 09/30/11 AMEND EXELON CORP PA 1.01,9.01 09/28/11 EXELON CORP PA 5.07 05/03/11 AMEND FAIR ISAAC CORP DE 1.01,9.01 09/27/11 Federal Home Loan Bank of Dallas 2.03,9.01 09/26/11 Federal Home Loan Bank of New York X1 8.01 09/30/11 Feihe International Inc UT 1.01,2.01,7.01,9.01 09/30/11 FIDUS INVESTMENT Corp MD 5.02,9.01 09/29/11 FIDUS MEZZANINE CAPITAL LP DE 5.02 09/29/11 FIRST PACTRUST BANCORP INC MD 5.02,9.01 09/26/11 FIRST POTOMAC REALTY TRUST MD 3.02 09/26/11 FIRST SOLAR, INC. DE 8.01,9.01 09/30/11 FIRST SOLAR, INC. DE 8.01,9.01 09/30/11 FLEXSTEEL INDUSTRIES INC MN 5.02,9.01 09/29/11 FNB BANCORP/CA/ 8.01,9.01 09/30/11 FOREST OIL CORP NY 7.01,8.01,9.01 09/30/11 Fortune Brands Home & Security, Inc. DE 1.01,3.03,5.02,5.03, 09/27/11 9.01 FORTUNE BRANDS INC DE 1.01,5.02,9.01 09/26/11 FPIC INSURANCE GROUP INC FL 8.01 09/28/11 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 09/30/11 FULTON FINANCIAL CORP PA 5.02,9.01 09/30/11 FusionTech, Inc. NV 2.04 09/26/11 G&K SERVICES INC MN 1.01,2.03,9.01 09/28/11 General Growth Properties, Inc. DE 8.01,9.01 09/30/11 GENERAL METALS CORP DE 5.07 09/16/11 General Motors Co 8.01 09/28/11 Genesis Solar Corp CO 5.02,8.01 09/28/11 GENOMIC HEALTH INC 8.01 09/30/11 GERON CORP DE 5.02,7.01,9.01 09/29/11 GLOBAL CLEAN ENERGY, INC. MD 5.02 03/01/09 AMEND GLOBETRAC INC DE 1.01,9.01 09/30/11 GOLDEN PHOENIX MINERALS INC NV 1.01,2.03,7.01,9.01 09/26/11 GoldLand Holdings Corp. DE 5.02,5.07 09/30/11 GOLDMAN SACHS GROUP INC DE 9.01 09/30/11 Great Lakes Dredge & Dock CORP DE 5.07 05/04/11 AMEND GUESS INC DE 5.07 06/23/11 AMEND HARLEYSVILLE GROUP INC DE 1.01,8.01 09/28/11 HARLEYSVILLE GROUP INC DE 8.01,9.01 09/29/11 HARRIS CORP /DE/ DE 1.01,2.03,9.01 09/27/11 Hazlo! Technologies, Inc. NV 1.01,5.02 09/30/11 HEALTHCARE REALTY TRUST INC MD 8.01 09/30/11 HERITAGE OAKS BANCORP CA 7.01,9.01 09/30/11 HOME BANCORP, INC. LA 9.01 07/15/11 AMEND HORIZON PHARMA, INC. DE 5.02 09/29/11 Horsehead Holding Corp 1.01,2.03,8.01,9.01 09/28/11 HUMAN GENOME SCIENCES INC DE 7.01,9.01 09/30/11 HXT HOLDINGS, INC. DE 5.03 09/29/11 ICAHN ENTERPRISES L.P. DE 5.02,9.01 09/30/11 Ideal Financial Solutions Inc 5.02 09/29/11 IDEX CORP /DE/ DE 5.02 09/27/11 IMPLANT SCIENCES CORP MA 1.01,2.03,7.01,9.01 09/30/11 IN Media Corp NV 5.02,9.01 09/01/11 Industrial Income Trust Inc. MD 8.01 09/26/11 Ingersoll-Rand plc L2 7.01 09/30/11 Innophos Holdings, Inc. 5.07 09/30/11 Intellect Neurosciences, Inc. DE 1.01,9.01 09/29/11 International Gold Corp. NV 1.01,9.01 09/26/11 INTERNET ARCHITECTURE HOLDRSSM TRUST NY 8.01 09/30/11 INTERNET HOLDRS TRUST NY 8.01 09/30/11 INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 8.01 09/30/11 IVAX DIAGNOSTICS INC DE 1.02,5.02 09/26/11 J P MORGAN CHASE & CO DE 7.01,9.01 09/30/11 KBS Real Estate Investment Trust III, MD 1.01,2.01,2.03 09/27/11 KEY TECHNOLOGY INC OR 2.05,5.02,8.01,9.01 09/29/11 KRONOS WORLDWIDE INC 7.01,9.01 09/29/11 Lantheus Medical Imaging, Inc. DE 8.01 09/29/11 LATTICE SEMICONDUCTOR CORP DE 5.07 05/03/11 AMEND LBO CAPITAL CORP CO 8.01 09/30/11 LBO CAPITAL CORP CO 8.01 09/30/11 LEVI STRAUSS & CO DE 1.01,1.02,2.03,9.01 09/30/11 LHC Group, Inc 1.01,2.03 09/28/11 Lifevantage Corp CO 7.01,9.01 09/28/11 LIGAND PHARMACEUTICALS INC DE 1.01,8.01,9.01 09/29/11 LITHIUM TECHNOLOGY CORP DE 5.02,8.01,9.01 09/30/11 Live Nation Entertainment, Inc. DE 5.07 06/15/11 AMEND MAGNUM HUNTER RESOURCES CORP DE 7.01,9.01 09/20/11 MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01 09/30/11 MCDONALDS CORP DE 8.01,9.01 09/30/11 MCG CAPITAL CORP DE 8.01 09/30/11 MDC HOLDINGS INC DE 1.01,2.03,9.01 09/29/11 MEDASSETS INC DE 8.01,9.01 09/29/11 MEDIA TECHNOLOGIES, INC. NV 9.01 09/30/11 AMEND MedQuist Holdings Inc. DE 2.03 09/30/11 MEDQUIST INC NJ 2.03 09/30/11 MISCOR GROUP, LTD. IN 1.01,9.01 09/30/11 MISSION COMMUNITY BANCORP CA 5.02,9.01 09/27/11 MONARCH CASINO & RESORT INC NV 1.01,9.01 09/29/11 MONEYGRAM INTERNATIONAL INC 1.01,2.03,9.01 09/29/11 MORGANS FOODS INC OH 1.01 09/28/11 MOTRICITY INC DE 4.01 09/26/11 NARA BANCORP INC DE 8.01,9.01 09/30/11 Naugatuck Valley Financial Corp MD 5.02 09/28/11 NeoStem, Inc. DE 1.01,1.02,9.01 09/28/11 NEWFIELD EXPLORATION CO /DE/ DE 1.01,2.03,9.01 09/30/11 NEWS CORP 8.01,9.01 09/30/11 Northfield Bancorp, Inc. X1 5.07,9.01 05/25/11 AMEND NorthStar Real Estate Income Trust, I MD 8.01 09/28/11 OCEANFIRST FINANCIAL CORP DE 8.01,9.01 09/29/11 OCZ TECHNOLOGY GROUP INC DE 5.02,5.07,9.01 09/27/11 OFFICE DEPOT INC DE 7.01 09/29/11 OIL SERVICE HOLDRS TRUST NY 8.01 09/30/11 OPTIMER PHARMACEUTICALS INC 5.02 09/26/11 Pacira Pharmaceuticals, Inc. DE 5.02 09/26/11 PALL CORP NY 5.02 09/26/11 PARKERVISION INC FL 5.02,5.07,9.01 09/28/11 PediatRx Inc. NV 5.02,9.01 09/29/11 PENSKE AUTOMOTIVE GROUP, INC. DE 1.01,7.01,9.01 09/30/11 Pernix Group, Inc. 3.03,9.01 09/30/11 PG&E CORP CA 8.01 09/30/11 PHARMACEUTICAL HOLDRS TRUST 8.01 09/30/11 Pharmasset Inc 7.01,9.01 09/30/11 PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 09/30/11 PIZZA INN HOLDINGS, INC /MO/ 5.02 09/27/11 PLUG POWER INC DE 1.01,9.01 09/28/11 POPULAR INC 8.01,9.01 09/29/11 POSITIVEID Corp DE 5.02,9.01 09/30/11 POWERVERDE, INC. NV 1.01,9.01 09/29/11 PPL Corp 2.03,8.01,9.01 09/30/11 PRGX GLOBAL, INC. GA 5.07 05/24/11 AMEND Prologis, Inc. MD 8.01,9.01 09/30/11 PS BUSINESS PARKS INC/CA CA 5.02 09/26/11 QUANTUM SOLAR POWER CORP. 5.02,9.01 09/21/11 QUICKSILVER RESOURCES INC DE 8.01,9.01 09/30/11 Radius Health, Inc. DE 9.01 04/25/11 AMEND Radius Health, Inc. DE 9.01 07/15/11 AMEND Radius Health, Inc. DE 9.01 05/17/11 AMEND RAPTOR NETWORKS TECHNOLOGY INC 4.01,9.01 09/28/11 RARE ELEMENT RESOURCES LTD A1 2.02,7.01,9.01 09/28/11 REGIONAL BANK HOLDERS SM TRUST NY 8.01 09/30/11 Reshoot Production CO NV 5.01,8.01,9.01 09/27/11 RETAIL HOLDRS TRUST NY 8.01 09/30/11 RGC RESOURCES INC VA 5.03 09/28/11 RIVIERA HOLDINGS CORP NV 1.01,8.01,9.01 09/29/11 Sagent Pharmaceuticals, Inc. DE 1.01,9.01 09/26/11 SEAHAWK DRILLING, INC. DE 7.01,9.01 09/30/11 SEMICONDUCTOR HOLDRS TRUST NY 8.01 09/30/11 SEMICONDUCTOR HOLDRS TRUST NY 8.01,9.01 09/30/11 Seven Arts Entertainment Inc. NV 1.01,3.01,8.01,9.01 09/22/11 Shire plc 8.01,9.01 09/30/11 SIGNATURE GROUP HOLDINGS, INC. NV 7.01,8.01,9.01 09/30/11 SIGNET JEWELERS LTD 8.01 09/30/11 Silver Falcon Mining, Inc. DE 5.02,5.07 09/30/11 Sino Agro Food, Inc. NV 7.01,9.01 09/30/11 SMTC CORP DE 5.02,9.01 09/30/11 SOFTWARE HOLDRS TRUST NY 8.01 09/30/11 Spine Pain Management, Inc DE 5.07 05/11/11 AMEND Stalar 2, Inc. DE 1.01,9.01 09/28/11 STAR BUFFET INC DE 1.03,9.01 09/28/11 State Auto Financial CORP OH 1.01,1.02,2.03,9.01 09/29/11 STRATEGIC AMERICAN OIL CORP NV 2.01,3.02,9.01 09/26/11 SUFFOLK BANCORP NY 3.01 09/26/11 SUN HEALTHCARE GROUP INC DE 7.01,9.01 09/30/11 Surge Global Energy, Inc. DE 1.01,2.03,3.02,5.02, 09/30/11 9.01 SWIFT TRANSPORTATION Co 8.01 09/29/11 Swisher Hygiene Inc. DE 5.07 05/05/11 AMEND Symetra Financial CORP DE 5.07 09/30/11 AMEND SYNERGY RESOURCES CORP CO 1.01 09/29/11 Target Acquisitions I, Inc. DE 1.01,2.01,5.02,9.01 09/30/11 TEL OFFSHORE TRUST TX 2.02,9.01 09/30/11 TELECOM HOLDRS TRUST NY 8.01 09/30/11 Teucrium Commodity Trust 5.02,9.01 09/30/11 Teucrium Commodity Trust 5.02,9.01 09/30/11 Teucrium Commodity Trust 5.02,9.01 09/30/11 Teucrium Commodity Trust 5.02,9.01 09/30/11 Teucrium Commodity Trust 5.02,9.01 09/30/11 Teucrium Commodity Trust 5.02,9.01 09/30/11 THOR INDUSTRIES INC DE 2.02,9.01 09/28/11 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 09/30/11 TICC Capital Corp. MD 8.01,9.01 09/30/11 TIDEWATER INC DE 8.01,9.01 09/27/11 TODA INTERNATIONAL HOLDINGS INC. E9 1.01,2.01,3.02,4.01, 03/15/11 AMEND 5.01,5.02,5.06,9.01 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 09/30/11 TRANSCEND SERVICES INC DE 9.01 09/30/11 UGI CORP /PA/ PA 5.02,9.01 09/29/11 United Continental Holdings, Inc. DE 5.02 09/28/11 UNIVERSAL DISPLAY CORP \PA\ PA 1.01 09/29/11 US GEOTHERMAL INC DE 1.01,5.02,9.01 09/30/11 USEC INC DE 1.01,3.03,5.03,9.01 09/29/11 USEC INC DE 1.01,8.01,9.01 09/30/11 UTILITIES HOLDERS SM TRUST NY 8.01 09/30/11 VAIL RESORTS INC DE 5.02,9.01 09/30/11 Vertex Energy Inc. 8.01 09/23/11 VIBE RECORDS, INC. NEVADA NV 4.01 09/30/11 VIROPHARMA INC DE 1.01,8.01,9.01 09/29/11 VISTA GOLD CORP B0 7.01 09/30/11 VISTA GOLD CORP B0 5.07 05/06/11 AMEND WATSCO INC FL 5.02 09/26/11 WELLPOINT, INC IN 7.01 09/29/11 WELLS FARGO & CO/MN DE 9.01 09/30/11 WESTWOOD ONE INC /DE/ DE 5.02 09/30/11 WIRELESS HOLDRS TRUST NY 8.01 09/30/11 WORTHINGTON INDUSTRIES INC OH 8.01,9.01 09/30/11 WPCS INTERNATIONAL INC DE 1.01,9.01 09/27/11 XL GROUP PLC L2 1.01,2.03,9.01 09/30/11 ZIONS BANCORPORATION /UT/ UT 9.01 09/30/11
http://www.sec.gov/news/digest/2011/dig100311.htm
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