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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-197
October 12, 2011

Commission Announcements

SEC Announces Agenda and Panelists for Roundtable on Microcap Securities

On October 11, 2011, Securities and Exchange Commission announced the panelists and final agenda for a public roundtable on microcap securities to be held next week.

The October 17 roundtable, announced last month, is being sponsored by the SEC’s Microcap Fraud Working Group and will feature three panels discussing key regulatory issues, including anti-money laundering monitoring, compliance challenges, and potential changes to the microcap regulatory framework. 

The event will begin at 1 p.m. in the multi-purpose room at the SEC’s Washington D.C. headquarters, with public seating on a first-come, first-served basis.  The event also can be viewed by live webcast, and will be archived on the website for later viewing.

Members of the public who wish to provide their views on the matters to be considered at the roundtable discussion may submit comments through one of the following methods:

Electronic Comments

Use the SEC’s Internet comment form or send an e-mail to rule-comments@sec.gov and include File Number 4-639 on the subject line.

Paper Comments

Send paper submissions in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090, and refer to File Number 4-639.

Any comments submitted in connection with the roundtable will be made available to the public. (Press Rel. 2011-203)

SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading

The Securities and Exchange Commission today voted to propose a rule implementing the so-called “Volcker Rule” requirements. The requirements stem from Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The SEC is issuing the proposal jointly with the Federal Deposit Insurance Corporation, the Federal Reserve Board, and the Office of the Comptroller of the Currency.

“This proposal is intended to curb the proprietary trading of commercial banks and their affiliates in order to protect taxpayers and consumers by prohibiting insured depository institutions from engaging in risky proprietary trading,” said SEC Chairman Mary L. Schapiro. Public comments on the joint proposal should be submitted by Jan. 13, 2012. (Press Rel. 2011-204)

SEC Proposes Rules for Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants

The Securities and Exchange Commission today voted to propose rules that lay out the process by which security-based swap dealers and security-based swap participants must register with the Commission.

The rules stem from Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

“Registering the major market participants in the largely unregulated security-based swap markets is a critical step toward better protecting investors,” SEC Chairman Mary L. Schapiro said in her remarks during today’s SEC open meeting. “Today’s proposal draws from our experience with registration rules regarding broker-dealers – rules that are familiar to many market participants.”

Public comments on the SEC’s proposal should be submitted within 60 days after it is published in the Federal Register. (Press Rel. 2011-205)

Commission Meetings

Closed Meeting on Wednesday, October 19, 2011 at 10:00 a.m.

The subject matter of the Closed Meeting scheduled for Wednesday, October 19, 2011, will be: institution of administrative proceedings; and other matters relating to enforcement proceedings.

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.


In the Matter of Shepaug Corp.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Shepaug Corp., Admin. Proc. No. 3-14513. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Simone Group, Inc., Skynet Holdings, Inc., Skyview Development Corp., Sonora Diamond Corp., and Sonus Communication Holdings, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934.

Respondent SMC Ventures, Inc. (f/k/a GenSci Regeneration Sciences, Inc.), remains in the proceeding. The proceeding has ended as to Respondent Shepaug Corp. (Rel. 34-65532; File No. 3-14513)

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of SCNV Acquisition Corp., SCS Solars Computing Systems, Inc., Secured Communication Canada 95, Inc., and Select Software Tools, PLC, 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. 34-65533; File No. 3-14503)

Commission Dismisses Action Against New Hampshire Resident in Connection With Fraudulent Scheme After Sentenced to Up to 75 Years in Prison

On October 6, 2011, the Honorable Joseph A. DiClerico for the United States District Court for the District of New Hampshire granted the Commission’s Motion for Voluntary Dismissal of Defendant Koji Goto and Relief Defendant Shaleen Cassily in an enforcement action the Commission filed in 2003. The Commission moved to dismiss the action after Goto was sentenced to up to 75 years in prison and ordered to pay $3.2 million in restitution in a parallel state criminal proceeding, was found incompetent by a court to face further trials, and had all of his assets liquidated and distributed through a bankruptcy proceeding.

The Commission originally filed its action against Goto on November 14, 2003, alleging that Goto misappropriated more than $5 million of investor funds by falsely stating that the money would be invested in a Boston-based hedge fund and in a food services business.  Instead of investing the funds in the businesses he purported to represent, Goto diverted investor funds to his own bank accounts for his own personal gain.  Cassily, who was then Goto’s wife, was named as a relief defendant in the Commission’s action based on her alleged receipt of some proceeds of Goto’s fraud.  On November 14, 2003, the U.S. District Court issued a temporary restraining order that, among other things froze defendant Goto’s and relief defendant Cassily’s assets.  On December 3, 2003, the District Court issued a preliminary injunction and asset freeze against Goto and Cassily.  The asset freeze was modified by the court on September 13, 2004 to allow two creditors to conduct a foreclosure sale of Goto’s house. 

In a related criminal case, a New Hampshire state grand jury indicted Goto on 68 counts for his role in several fraudulent schemes.  From December 1994 until November 2001, Goto had been employed in Concord, New Hampshire by subsidiaries of the John Hancock Financial Services Co., including Signator Investors, Inc., a registered investment adviser and broker-dealer, and Hancock- related insurance agencies as both a registered representative and licensed insurance broker.  The indictment charged that Goto committed theft by misapplication of property, theft by deception, criminal solicitation, unlawful securities practice, and witness tampering. The case was filed in New Hampshire Superior Court and is entitled State of New Hampshire v. Koji Goto, (Docket #04-S-0492-0559) (Superior Court, Hillsborough County-North). 

Among other things, the indictment charged that Goto, beginning in June 1999 and continuing until March 2002, successfully solicited certain individuals to invest their money in purported Hancock investments. According to the indictment, Goto then gained control over that money, but never invested it with Hancock. Instead, Goto stole approximately $3.2 million from his purported Hancock clients.   For purposes of trial the New Hampshire state court segregated the charges into five separate schemes including the two schemes alleged in the Commission’s Complaint as well as the scheme involving the purported Hancock investments. 

On September 27, 2004, Goto was found guilty by a jury in the criminal action of the 23 counts concerning the purported Hancock investments. The verdict found Goto guilty of: (a) nine counts of theft by deception in violation of New Hampshire Revised Statutes Annotated ("RSA") 637:4; (b) one count of theft by misapplication in violation of RSA 637:10; and (c) 13 counts of unlawful securities practice in violation of RSA 421-B:6.  On March 22, 2006, Goto was sentenced on the 23 guilty verdicts to 25 to 75 years in prison and ordered to pay $3.2 million in restitution.  Subsequent to trial, the New Hampshire state court found Goto incompetent to stand trial on the remaining charges. 

On December 9, 2004, based on Goto’s criminal conviction, the Commission instituted public administrative proceedings against Goto pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 based on his criminal conviction.  On March 21, 2005, Goto was permanently barred from association with any broker, dealer, and investment adviser.

On October 20, 2004 Goto filed for bankruptcy, which was resolved as a fully administered Chapter 7 bankruptcy on April 1, 2011. [SEC v. Koji Goto et al., United States District Court for the District of Massachusetts, Civil Action No. 03 CV 490] (LR-22123)

SEC Charges Mastermind of $11 Million Ponzi Scheme

On October 11, 2011, the Securities and Exchange Commission filed a complaint alleging that Jerry Aubrey used his now-defunct company Progressive Energy Partners, LLC to contact investors through cold calls and high-pressure sales tactics. PEP salespeople falsely claimed that investors’ money would be used to develop and support oil and gas wells in West Virginia. Investors were misled to believe they could expect annual returns of greater than 50 percent. The SEC also charged Aubrey’s brother and two PEP salesmen in its complaint filed in U.S. District Court in Orange County, Calif.

The SEC’s complaint alleges that PEP never engaged in any profitable business operations. Instead, from approximately 2005 to April 2010, Aubrey paid existing investors with money raised from new investors.

The SEC also alleges that Aubrey and his brother Tim Aubrey diverted more than $3.2 million of investor funds for their personal use, including: rent for the Aubrey family’s lavish house equipped with giant fish aquariums with miniature sharks, a hot tub, pool, and tennis court; box seats at Los Angeles Lakers basketball games and limousine rides to and from the games; and vacations to Hawaii, Las Vegas, and Palm Springs.

According to the SEC’s complaint, Jerry and Tim Aubrey and PEP salesmen Brian Cherry and Aaron Glasser failed to inform investors that up to 35 percent of their money would be used to pay sales commissions. Jerry Aubrey paid more than $2.2 million in commissions to PEP salespeople. Glasser received nearly $750,000 and Cherry received more than $300,000. Jerry Aubrey is currently serving a five-year sentence in Florida state prison for a securities fraud he perpetrated in Florida.

The SEC’s complaint charges all defendants with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and also charges Jerry Aubrey with aiding and abetting his company’s Section 10(b) and Rule 10b-5 violations. The SEC also seeks permanent injunctions against all defendants and a conduct based injunction against Jerry Aubrey prohibiting him or any entity he owns or controls from offering unregistered securities in the future. In addition, the SEC seeks disgorgement plus prejudgment interest and civil penalties against Tim Aubrey, Cherry, and Glasser. [SEC v. Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser, Civil Action No. SACV 11-1564 JVS (RNBx) (C.D. Cal.)] (LR-22124)


Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by New York Stock Exchange LLC deleting NYSE Rules 132A, 132B, and 132C, adopting the text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and making certain conforming changes (SR-NYSE-2011-49) 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 10. (Rel. 34-65523)

A proposed rule change filed by NYSE Amex LLC deleting NYSE Amex Equities Rules 132A, 132B, and 132C, adopting the text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and making certain conforming changes (SR-NYSEAMEX-2011-74) 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 10. (Rel. 34-65524)

A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-139) to establish a fee for the NASDAQ MatchView Feed has become effective under 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 10. (Rel. 34-65525)

A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-130) to re-institute the fees for NASDAQ Basic and to offer an optional NASDAQ Basic Non-Professional Enterprise License Fee has become effective under 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 10. (Rel. 34-65526)

A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-129) to make permanent the pilot for Nasdaq Basis has become effective under 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 10. (Rel. 34-65527)

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-66) relating to a market maker incentive plan for foreign currency options has become effective under 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 10. (Rel. 34-65530)

Proposed Rule Changes

The NASDAQ Stock Market LLC has filed a proposed rule change (SR-NASDAQ-2011-138) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 regarding Expansion of the Short Term Option Series Program. Publication is expected to in the Federal Register during the week of October 10. (Rel. 34-65528)

NASDAQ OMX PHLX LLC has filed a proposed rule change (SR-Phlx-2011-131) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to expand the Short Term Option Program. Publication is expected to in the Federal Register during the week of October 10. (Rel. 34-65529)


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.

        CA, 92562, 951-894-6597 - 200,000,000 ($40,000.00) Equity, 
        (File 333-177232 - Oct. 11) (BR. 03B)

        6156651856 - 0 ($525,000,000.00) Non-Convertible Debt, 
        (File 333-177233 - Oct. 11) (BR. 03B)

        INDIANAPOLIS, IN, 46204, 3172618261 - 
        400,000,000 ($400,000,000.00) Other, (File 333-177234 - Oct. 11) 
        (BR. 02B)

S-8     TEXAS INSTRUMENTS INC, P.O. BOX 660199, DALLAS, TX, 75266, 9729953773 - 
        6,201,057 ($155,857,619.00) Equity, (File 333-177235 - Oct. 11) 
        (BR. 10C)

        37215, 615-234-5900 - 0 ($341,000,000.00) Debt, (File 333-177236 - 
        Oct. 11) (BR. 01C)

        43085, 6144383210 - 500,000 ($7,475,000.00) Equity, (File 333-177237 - 
        Oct. 11) (BR. 06B)

        KY1-1104, 281-488-3883 - 4,757,537 ($11,671,824.00) Equity, 
        (File 333-177238 - Oct. 11) (BR. 04)

        7322404500 - 0 ($28,632,000.00) Equity, (File 333-177243 - Oct. 11) 
        (BR. 07A)

        GA, 30071, 7702428723 - 2,600,000 ($1,846,000.00) Other, 
        (File 333-177244 - Oct. 11) (BR. 10C)

S-1     Medical Care Technologies Inc., ROOM 815, NO. 2 BUILDING, 
        BEIXIAOJIE, DONGZHIMEN NEI, BEIJING, F4, 10009, (8610)6407 0580 - 
        60,000,000 ($600,000.00) Equity, (File 333-177245 - Oct. 11) (BR. 09B)

        978-370-2700 - 2,828,344 ($7,608,245.36) Equity, (File 333-177246 - 
        Oct. 11) (BR. 10C)

S-8     IDT CORP, 520 BROAD ST, NEWARK, NJ, 07102, 973 438 1000 - 
        0 ($22,836,200.00) Equity, (File 333-177247 - Oct. 11) (BR. 11A)


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


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


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


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


Cost Associated with Exit or Disposal Activities


Material Impairments


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


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


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


Changes in Control of Registrant


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


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


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


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


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

99 CENTS ONLY STORES                    CA       1.01,9.01            10/11/11

AARON'S INC                             GA       5.02                 10/05/11

AbitibiBowater Inc.                     DE       5.02                 10/04/11

Access to Money, Inc.                   OR       1.01,2.03,9.01       10/06/11

ACL SEMICONDUCTORS INC                           5.07                 10/10/11

Advance America, Cash Advance Centers   DE       1.01,8.01,9.01       10/10/11

AES CORP                                DE       2.06,7.01            10/07/11

AF OCEAN INVESTMENT MANAGEMENT Co       FL       5.02                 10/07/11

AGENUS INC                              DE       8.01                 10/11/11

ALBANY INTERNATIONAL CORP /DE/          DE       2.05                 10/07/11

ALL AMERICAN PET COMPANY, INC.          MD       5.02                 10/03/11

ALLIANT ENERGY CORP                     WI       5.02                 07/26/11    AMEND

ALLOS THERAPEUTICS INC                  DE       8.01,9.01            10/07/11

Ally Financial Inc.                     DE       8.01,9.01            10/11/11

ALPS ETF Trust                                   7.01                 10/06/11

Altisource Portfolio Solutions S.A.     N4       5.07                 05/18/11    AMEND

Alto Group Holdings Inc.                NV       4.01,9.01            10/10/11    AMEND

AMAG PHARMACEUTICALS INC.               DE       8.01                 10/07/11

Amarantus BioSciences, Inc.             DE       1.01,2.03,3.02,9.01  10/04/11

AMERICAN AIRLINES INC                   DE       2.02,8.01            10/11/11

AMERICAN APPAREL, INC                   DE       5.02,9.01            10/07/11

American Standard Energy Corp.          DE       7.01,9.01            10/11/11

AMR CORP                                DE       2.02,8.01            10/11/11

Anoteros, Inc.                          NV       1.01,9.01            10/11/11

Apple REIT Nine, Inc.                   VA       8.01,9.01            10/06/11

Apple REIT Ten, Inc.                    VA       8.01,9.01            10/06/11

Approach Resources Inc                  DE       1.01,2.03,7.01,9.01  10/07/11

Armour Residential REIT, Inc.           MD       7.01,9.01            10/11/11

ARRIS GROUP INC                         DE       8.01,9.01            10/10/11

ARRIS GROUP INC                         DE       2.02                 10/11/11

ASB Bancorp Inc                         NC       8.01,9.01            10/11/11

BAY BANKS OF VIRGINIA INC               VA       5.02,9.01            10/06/11

BEACON ENTERPRISE SOLUTIONS GROUP INC   NV       1.01,9.01            10/06/11

Bidfish.com, Inc.                       NV       1.01,9.01            10/05/11

BigBand Networks, Inc.                  DE       1.01,8.01,9.01       10/10/11

BIOCRYST PHARMACEUTICALS INC            DE       5.02,7.01,9.01       10/05/11

Biodel Inc                                       2.01,5.02,9.01       10/08/11

Biostar Pharmaceuticals, Inc.           MD       7.01,9.01            10/11/11

BIOTIME INC                             CA       7.01,9.01            10/10/11

BLACKBAUD INC                                    1.01,9.01            10/06/11

BLACKBOARD INC                          DE       1.01,1.02,2.03,3.01, 10/04/11
BLACKBOARD INC                          DE       8.01                 10/04/11

Blue Earth, Inc.                        NV       1.01,9.01            10/05/11

Blue Moose Media Inc                    NV       1.01,2.01,3.02,4.01, 08/23/11    AMEND
BLUESKY SYSTEMS CORP                             1.01,3.02,5.01,5.02, 10/04/11 
Boston Therapeutics, Inc.               DE       8.01,9.01            10/11/11

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       7.01,9.01            10/07/11

BROWN SHOE CO INC                       NY       5.02,5.03,9.01       10/11/11

Burlington Coat Factory Investments H            1.01,2.03,8.01,9.01  09/02/11    AMEND

BUTLER NATIONAL CORP                    DE       8.01,9.01            10/10/11

CABLEVISION SYSTEMS CORP /NY            DE       5.07                 05/24/11    AMEND

CAI International, Inc.                          5.07                 06/03/11    AMEND

CALL NOW INC                            FL       8.01,9.01            10/11/11

Calumet Specialty Products Partners,    DE       1.01                 10/05/11

CAMBIUM LEARNING GROUP, INC.                     5.07                 05/17/11    AMEND

CAPELLA EDUCATION CO                             5.02,9.01            10/06/11

Cardium Therapeutics, Inc.              DE       8.01,9.01            10/10/11

CATASYS, INC.                           DE       1.01                 10/05/11    AMEND

CEDAR SHOPPING CENTERS INC              MD       1.01                 10/04/11

CEPHALON INC                            DE       8.01,9.01            10/07/11

CHARTER COMMUNICATIONS, INC. /MO/       DE       5.02,9.01            10/11/11

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            10/11/11

CHEVRON CORP                            DE       2.02                 10/11/11

China Executive Education Corp                   4.01,9.01            10/09/11

CHINA GENGSHENG MINERALS, INC.          NV       5.02                 10/11/11

CINCINNATI FINANCIAL CORP               OH       2.02,9.01            10/11/11

Cinedigm Digital Cinema Corp.           DE       8.01,9.01            10/05/11

CINTAS CORP                             WA       1.01,9.01            10/07/11

CKX LANDS, INC.                         LA       2.01                 10/07/11

CLEAN DIESEL TECHNOLOGIES INC           DE       1.01,2.02,3.02,7.01, 10/07/11
Cleartronic, Inc.                       FL       7.01,9.01            10/11/11

CMS ENERGY CORP                         MI       7.01,9.01            10/11/11

CNL LIFESTYLE PROPERTIES INC            MD       2.01,9.01            08/02/11    AMEND

Compass Diversified Holdings            DE       8.01,9.01            10/10/11

Complete Production Services, Inc.      DE       1.01,7.01,9.01       10/09/11

CompuCredit Holdings Corp               GA       1.01,2.01,2.03       10/04/11

Comstock Homebuilding Companies, Inc.   DE       1.01,2.03            10/11/11

Comstock Mining Inc.                    NV       7.01,9.01            10/11/11

Consorteum Holdings, Inc.               NV       1.01,2.01,2.03,3.02, 10/07/11
CONTANGO OIL & GAS CO                   DE       8.01,9.01            10/03/11

CONTINUCARE CORP                                 2.01,2.03,3.01,3.03, 10/04/11
CORE LABORATORIES N V                   P7       7.01,9.01            10/11/11

CRC Health CORP                         DE       4.02                 10/11/11

Cyber Supply Inc.                       NV       1.01,2.01,3.02,5.01, 10/03/11

CYBERONICS INC                          DE       5.02                 10/11/11

DARDEN RESTAURANTS INC                  FL       8.01,9.01            10/05/11

DATALINK CORP                           MN       1.02                 10/03/11

Delek US Holdings, Inc.                          8.01                 10/07/11

DemandTec, Inc.                         DE       5.02                 10/05/11

DEX ONE Corp                            DE       3.01,9.01            10/10/11

Diamond Foods Inc                       DE       1.01                 10/05/11

Divine Skin Inc.                        FL       1.01,3.02,9.01       10/04/11

DOLLAR THRIFTY AUTOMOTIVE GROUP INC     DE       2.02,7.01,9.01       10/11/11

DOLLAR TREE INC                         VA       5.02,5.03,7.01,9.01  10/06/11

DOLLAR TREE INC                         VA       5.07                 10/06/11    AMEND

Domark International Inc.               NV       1.01,5.02,9.01       10/11/11

Dot VN, Inc.                            DE       8.01,9.01            10/11/11

DYNAVAX TECHNOLOGIES CORP               DE       8.01,9.01            10/07/11

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01,8.01,9.01       10/11/11

EASTMAN CHEMICAL CO                     DE       5.02                 10/05/11

ECOTALITY, INC.                         NV       8.01                 10/06/11

Ellington Financial LLC                 DE       7.01,9.01            10/07/11

Encore Brands, Inc.                     NV       1.01,5.02,9.01       10/07/11

ENERCORP INC                            CO       5.02                 10/11/11

Energizer Resources, Inc.               MN       1.01,9.01            10/05/11

Enertopia Corp.                         NV       1.01,3.02,7.01,9.01  10/11/11

ENTECH SOLAR, INC.                      DE       1.01,3.02,9.01       10/04/11

ENTECH SOLAR, INC.                      DE       5.02                 10/10/11

ENVIRONMENTAL TECTONICS CORP            PA       2.02,9.01            10/07/11

EXIDE TECHNOLOGIES                      DE       5.02                 10/04/11

EXTREME NETWORKS INC                    DE       8.01                 10/04/11

Federal Home Loan Bank of Atlanta       X1       2.03                 10/11/11

Federal Home Loan Bank of Boston        X1       2.03                 10/06/11

Federal Home Loan Bank of Chicago       X1       2.03                 10/05/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            10/11/11

Federal Home Loan Bank of New York      X1       2.03,9.01            10/05/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            10/05/11

Federal Home Loan Bank of San Francis   X1       2.03                 10/06/11

Federal Home Loan Bank of Seattle                2.03                 10/05/11

FEMALE HEALTH CO                        WI       7.01,9.01            10/07/11

FIRST BANCORP /PR/                      PR       5.02,8.01,9.01       10/07/11

FIRST CITIZENS BANC CORP /OH            OH       2.02,9.01            10/07/11

FIRST CITIZENS BANCSHARES INC /DE/      DE       8.01                 10/05/11

Fortune Brands Home & Security, Inc.    DE       2.03,2.05,5.02,9.01  10/04/11

FOSTER L B CO                           PA       5.02                 10/11/11

FRANKLIN ELECTRIC CO INC                IN       1.01,9.01            10/07/11

Fuelstream INC                          DE       4.01,9.01            10/10/11    AMEND

GABRIEL TECHNOLOGIES CORP               DE       1.01,2.03,3.02,8.01, 09/16/11
Galaxy Gaming, Inc.                              1.01,8.01,9.01       10/03/11

GARDNER DENVER INC                      DE       1.01,7.01,9.01       10/06/11

General Moly, Inc                       DE       7.01,9.01            10/11/11

Genesis Biopharma, Inc                  NV       1.01,9.01            10/05/11

GLADSTONE CAPITAL CORP                  MD       5.02                 10/11/11

Global Investor Services, Inc.          UT       1.01,3.02,9.01       09/29/11

Golden Minerals Co                               1.01,3.02,9.01       10/07/11

Golub Capital BDC, Inc.                 DE       2.02,9.01            10/11/11

GOODYEAR TIRE & RUBBER CO /OH/          OH       5.03,9.01            10/04/11

GRAFTECH INTERNATIONAL LTD              DE       1.01,2.03,9.01       10/11/11

GROEN BROTHERS AVIATION INC /UT/        UT       3.03,5.03,9.01       10/07/11

GROUP 1 AUTOMOTIVE INC                  DE       8.01,9.01            10/11/11

GS Mortgage Securities Trust 2011-GC5   DE       9.01                 10/11/11

HANMI FINANCIAL CORP                    DE       5.02,9.01            10/07/11

Harbin Electric, Inc                             1.01,8.01,9.01       10/05/11

HARLEYSVILLE GROUP INC                  DE       8.01,9.01            10/11/11

HARLEYSVILLE GROUP INC                  DE       8.01                 09/28/11

HARRIS CORP /DE/                        DE       5.02,7.01,8.01,9.01  10/08/11

HECLA MINING CO/DE/                     DE       1.01,2.02,9.01       10/10/11

HENRY SCHEIN INC                        DE       5.02,9.01            10/05/11

High Plains Gas, Inc.                   NV       5.02                 10/11/11

HILLMAN COMPANIES INC                   DE       5.02,8.01,9.01       10/05/11

Hubei Minkang Pharmaceutical Ltd.       NV       2.01,3.02,4.01,5.01, 07/08/11    AMEND
HUTCHINSON TECHNOLOGY INC               MN       8.01,9.01            10/10/11

HUTCHINSON TECHNOLOGY INC               MN       8.01,9.01            10/11/11

HUTCHINSON TECHNOLOGY INC               MN       5.02,9.01            10/07/11

HXT HOLDINGS, INC.                      DE       4.01,9.01            10/07/11

ICONIX BRAND GROUP, INC.                DE       5.02,9.01            10/07/11

IMAGEWARE SYSTEMS INC                   DE       5.02                 10/07/11

IMAGING3 INC                            CA       2.03,9.01            10/04/11

IMAX CORP                               A6       5.02                 10/08/11

iMetrik M2M Solutions Inc.              NV       7.01,9.01            08/31/11

IMPERIAL PETROLEUM INC                  NV       4.02                 10/06/11

Incoming, Inc.                          NV       5.02                 10/05/11

INLAND REAL ESTATE CORP                 MD       8.01,9.01            10/11/11

INLAND WESTERN RETAIL REAL ESTATE TRU   MD       7.01,9.01            10/11/11

INLAND WESTERN RETAIL REAL ESTATE TRU   MD       5.07,7.01,9.01       10/11/11

INOVIO PHARMACEUTICALS, INC.                     1.01,9.01            10/07/11

INSMED INC                              VA       8.01,9.01            10/11/11

InspireMD, Inc.                         DE       1.01,9.01            10/04/11

INTEGRATED BIOPHARMA INC                         1.01,9.01            10/11/11

INTERNATIONAL GAME TECHNOLOGY           NV       8.01,9.01            10/06/11

INUVO, INC.                             NV       7.01,9.01            10/05/11

INVESTMENT TECHNOLOGY GROUP INC         DE       8.01,9.01            10/10/11

IPARTY CORP                             DE       1.01,3.03,5.03,8.01, 10/07/11
ITT Corp                                IN       5.02,5.03,8.01,9.01  10/05/11

JA Energy                                        3.02                 09/30/11

JAMBA, INC.                             DE       8.01,9.01            10/05/11

Jazz Technologies, Inc.                 DE       8.01,9.01            10/11/11

JOE'S JEANS INC.                        DE       2.02,9.01            10/11/11

K12 INC                                 DE       2.02,9.01            10/07/11

KAISER ALUMINUM CORP                    DE       8.01,9.01            10/11/11

KATY INDUSTRIES INC                     DE       1.01,2.01,2.03,9.01  10/04/11

KEATING CAPITAL INC                              7.01,9.01            10/11/11

KENEXA CORP                                      2.02,9.01            10/11/11

KILROY REALTY CORP                      MD       7.01                 10/10/11

KINETIC CONCEPTS INC                    TX       9.01                 09/30/11

KINETIC CONCEPTS INC                    TX       7.01,8.01,9.01       10/07/11

Kiwibox.Com, Inc.                       DE       5.02                 10/05/11

KORE NUTRITION, INC.                    NV       5.02                 10/01/11

KOSS CORP                               DE       5.07                 10/05/11

KRANEM CORP                             CO       4.02,7.01,8.01,9.01  10/11/11

KRATOS DEFENSE & SECURITY SOLUTIONS,    DE       9.01                 07/29/11    AMEND

LANDMARK BANCORP INC                    DE       7.01,9.01            10/11/11

Legend Mining Inc.                               5.02,8.01,9.01       10/09/11

LEVI STRAUSS & CO                       DE       2.02,9.01            10/11/11

LEVIATHAN MINERALS GROUP INC.           DE       4.02                 10/07/11

LIGAND PHARMACEUTICALS INC              DE       1.01,8.01,9.01       10/07/11

LITHIA MOTORS INC                       OR       7.01,9.01            10/10/11

LKQ CORP                                DE       8.01,9.01            10/11/11

LyondellBasell Industries N.V.          P7       5.02,9.01            10/05/11

MAGELLAN HEALTH SERVICES INC            DE       8.01,9.01            10/10/11

MAGNACHIP SEMICONDUCTOR Corp            DE       2.02,8.01,9.01       10/11/11

MATTHEWS INTERNATIONAL CORP             PA       5.02                 10/11/11

MAXYGEN INC                             DE       8.01,9.01            10/10/11

MAYS J W INC                            NY       5.02                 10/11/11

MCMORAN EXPLORATION CO /DE/             DE       1.01,2.03,3.02,8.01, 10/06/11
MEDICINOVA INC                          DE       8.01                 10/10/11

MENDOCINO BREWING CO INC                CA       5.07                 10/04/11

MILLER HERMAN INC                       MI       5.07                 10/10/11

MINERALS TECHNOLOGIES INC               DE       5.07                 05/17/11    AMEND

MINES MANAGEMENT INC                    ID       1.01                 10/06/11

MISCOR GROUP, LTD.                      IN       1.01,9.01            10/10/11

Mistras Group, Inc.                     DE       2.02,9.01            10/10/11

MONSANTO CO /NEW/                       DE       4.02                 10/11/11

MS STRUCTURED SATURNS SERIES 2001-6     DE       8.01,9.01            09/30/11

NanoTech Entertainment, Inc.            NV       4.01,9.01            05/06/11

NATUS MEDICAL INC                       DE       2.02,9.01            10/10/11

NCO Group, Inc.                         DE       8.01                 10/06/11

NCR CORP                                MD       8.01                 10/04/11

NEOGEN CORP                             MI       2.02,9.01            09/27/11

NEOGEN CORP                             MI       5.07                 10/06/11

Neohydro Technologies Corp.             NV       5.02                 09/27/11

NEOPHOTONICS CORP                       DE       2.02,9.01            10/06/11

NETLIST INC                             DE       5.02,9.01            10/11/11

NEUSTAR INC                                      1.01,2.02,7.01,8.01, 10/10/11
New York & Company, Inc.                         7.01                 10/11/11

NEWMONT MINING CORP /DE/                DE       5.02                 10/10/11

NEWS CORP                                        8.01,9.01            10/10/11

NEWTEK BUSINESS SERVICES INC            NY       1.01,2.03,9.01       10/06/11

NHS Health Solutions Inc                NV       1.01,3.02,5.01       10/11/11

NORDSTROM INC                           WA       1.01,8.01,9.01       10/05/11

NTN BUZZTIME INC                        DE       1.01                 10/04/11

Ocean Power Technologies, Inc.          NJ       5.07                 10/06/11

OGE ENERGY CORP.                        OK       5.02                 10/05/11

Oncologix Tech Inc.                     NV       3.02                 10/06/11

ONCOR ELECTRIC DELIVERY CO LLC          DE       1.01,9.01            10/11/11

Onyx Service & Solutions, Inc           DE       8.01,9.01            10/10/11

OVERLAND STORAGE INC                    CA       8.01                 09/15/11

PALADIN REALTY INCOME PROPERTIES INC    MD       9.01                 07/28/11    AMEND

PARK BANCORP INC                        DE       8.01                 10/11/11

PDI INC                                          5.02,9.01            10/10/11

Perfumania Holdings, Inc.               FL       7.01                 10/06/11

POLYONE CORP                                     5.02,8.01            10/10/11

POWERSECURE INTERNATIONAL, INC.         DE       8.01,9.01            10/11/11

PRICESMART INC                          DE       5.02                 10/07/11

PROCTER & GAMBLE CO                     OH       7.01                 10/11/11

PROCTER & GAMBLE CO                     OH       7.01                 10/11/11

PROFESSIONAL VETERINARY PRODUCTS LTD    NE       7.01,9.01            10/07/11

PROGRESS ENERGY INC                     NC       8.01                 10/07/11

PRUDENTIAL FINANCIAL INC                NJ       2.03                 10/11/11

PUMA BIOTECHNOLOGY, INC.                DE       1.01,2.01,3.02,4.01, 10/04/11
Pzena Investment Management, Inc.       DE       8.01,9.01            09/30/11

RADIANT LOGISTICS, INC                  DE       2.02,9.01            10/07/11

RAIT Financial Trust                    MD       1.01,2.03            10/05/11

RAM ENERGY RESOURCES INC                DE       2.05,5.02,9.01       10/07/11

RBC Bearings INC                                 5.02,9.01            10/05/11

READING INTERNATIONAL INC               NV       4.01                 10/06/11

REALPAGE INC                            DE       9.01                 07/29/11    AMEND

Regency Energy Partners LP              DE       7.01,9.01            10/11/11

REGIS CORP                              MN       2.02,9.01            10/10/11

RENAISSANCE LEARNING INC                WI       8.01,9.01            10/07/11

Resource Real Estate Opportunity REIT   MD       1.01                 10/06/11

REX ENERGY CORP                         DE       5.02,9.01            10/10/11

ROBBINS & MYERS, INC.                   OH       5.02,9.01            10/05/11

ROBERTS REALTY INVESTORS INC            GA       2.01,5.07            09/29/11

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       2.02,9.01            10/11/11

Rosetta Resources Inc.                  DE       7.01,9.01            10/04/11

SANTANDER DRIVE AUTO RECEIVABLES LLC    DE       1.01,8.01,9.01       10/06/11

SAVANNAH BANCORP INC                    GA       1.01,7.01            10/11/11

SCHULMAN A INC                          DE       5.02                 10/04/11

SecureAlert, Inc.                       UT       1.02,8.01,9.01       10/04/11

SELECTIVE INSURANCE GROUP INC           NJ       2.02,9.01            10/11/11

SensiVida Medical Technologies, Inc.    NJ       5.02                 10/10/11

SEYCHELLE ENVIRONMENTAL TECHNOLOGIES    NV       7.01,9.01            10/10/11

SITEL Worldwide Corp                    DE       5.02,9.01            10/06/11

SITESEARCH CORP                                  8.01,9.01            10/06/11

SKYWORKS SOLUTIONS, INC.                DE       8.01                 10/07/11

SOLUTIA INC                             DE       1.01,8.01,9.01       10/06/11

Somaxon Pharmaceuticals, Inc.           DE       7.01                 10/11/11

SONIC FOUNDRY INC                       MD       5.03,9.01            10/06/11

SOONER HOLDINGS INC /OK/                OK       4.02,9.01            10/04/11

SOONER HOLDINGS INC /OK/                OK       4.02,9.01            10/04/11

SOONER HOLDINGS INC /OK/                OK       1.01,2.01,3.02,5.01, 02/14/11    AMEND
SOUTH JERSEY INDUSTRIES INC             NJ       1.01,9.01            10/07/11

SOUTHERN CALIFORNIA EDISON CO           CA       8.01,9.01            10/06/11

SOUTHWALL TECHNOLOGIES INC /DE/         DE       1.01,8.01,9.01       10/06/11

SPX CORP                                DE       1.01,2.03,9.01       10/05/11

Standard Gold                           CO       5.02,9.01            10/06/11

Steel Excel Inc.                        DE       5.02                 10/10/11

STEINWAY MUSICAL INSTRUMENTS INC        DE       5.02,9.01            10/05/11

STERLING GROUP VENTURES INC             NV       2.01,9.01            07/08/11    AMEND

STR HOLDINGS, INC.                      DE       1.01,2.03,9.01       10/07/11

STRATS (SM) TRUST FOR JPMORGAN CHASE             8.01,9.01            10/03/11

STRATS SM TRUST FOR IBM CORP SEC SERI            8.01,9.01            09/29/11

Strats(SM) Trust for JPMorgan Chase C            8.01,9.01            10/03/11

STRATS(SM) Trust For Morgan Stanley S            8.01,9.01            10/03/11

STRUCTURED PROD CORP TIERS CORP BND-B   DE       8.01,9.01            10/03/11

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            10/03/11

Sunstone Hotel Investors, Inc.          MD       1.01,2.03,7.01,9.01  10/07/11

SUPERIOR ENERGY SERVICES INC            DE       8.01,9.01            10/10/11

SYNERGETICS USA INC                              2.02,9.01            10/11/11

SYNTHESIS ENERGY SYSTEMS INC            DE       7.01,9.01            10/10/11

TECHPRECISION CORP                               7.01,9.01            10/11/11

TELEPHONE & DATA SYSTEMS INC /DE/       DE       5.07,8.01,9.01       10/06/11

TENGION INC                             DE       8.01                 10/04/11

TESLA MOTORS INC                        DE       1.01,9.01            10/05/11

TEXADA VENTURES INC                     NV       8.01,9.01            10/10/11

TherapeuticsMD, Inc.                    UT       1.01,2.01,3.02,5.01, 10/04/11
TouchIT Technologies, Inc.              NV       4.01,9.01            09/30/11

TRANSATLANTIC HOLDINGS INC              DE       8.01,9.01            10/07/11

TRANSATLANTIC HOLDINGS INC              DE       8.01,9.01            10/11/11

TRANSUNION CORP.                                 5.02,5.07            10/06/11

Travelport LTD                          D0       1.01,2.03,9.01       10/06/11

TRC COMPANIES INC /DE/                  DE       8.01                 10/05/11

TUESDAY MORNING CORP/DE                 DE       2.02,9.01            10/11/11

ULTRA PETROLEUM CORP                             1.01,1.02,2.03,9.01  10/06/11

ULTRA PETROLEUM CORP                             5.07                 05/25/11    AMEND

UMB FINANCIAL CORP                      MO       7.01,9.01            10/11/11

United Continental Holdings, Inc.       DE       8.01,9.01            10/07/11

United Development Funding III, LP      DE       7.01,9.01            10/11/11

UNIVERSAL BIOSENSORS INC                DE       1.01                 10/11/11

UNIVERSAL SECURITY INSTRUMENTS INC      MD       5.07,8.01            10/10/11

USA Mobility, Inc                       DE       5.07                 05/18/11    AMEND

UTAH MEDICAL PRODUCTS INC               UT       5.07                 05/06/11    AMEND

VALUE LINE INC                          NY       8.01                 10/06/11

Verdant Automotive Corp                 DE       1.01,9.01            09/30/11

VERMILLION, INC.                        DE       5.02                 10/05/11

Verso Paper Corp.                       DE       2.05,9.01            10/11/11

Voyager Oil & Gas, Inc.                 DE       5.07                 05/27/11    AMEND

Vulcan Materials CO                     NJ       1.01,5.02,9.01       10/10/11

WET SEAL INC                            DE       5.07                 05/18/11    AMEND

WIDEPOINT CORP                          DE       1.01,2.03,9.01       10/05/11



Modified: 10/12/2011