SEC Announces Agenda and Panelists for Roundtable on Microcap Securities
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:
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)
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.
S-1 LEFT BEHIND GAMES INC., 25060 HANCOCK AVE, STE 103, BOX 110, MURRIETA, CA, 92562, 951-894-6597 - 200,000,000 ($40,000.00) Equity, (File 333-177232 - Oct. 11) (BR. 03B) S-4 IPAYMENT INC, 40 BURTON HILLS BLVD, SUITE 415, NASHVILLE, TN, 37215, 6156651856 - 0 ($525,000,000.00) Non-Convertible Debt, (File 333-177233 - Oct. 11) (BR. 03B) S-4 IPALCO ENTERPRISES, INC., ONE MONUMENT CIRCLE, PO BOX 1595, 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) S-4 SYMBION INC/TN, 40 BURTON HILLS BOULEVARD, SUITE 500, NASHVILLE, TN, 37215, 615-234-5900 - 0 ($341,000,000.00) Debt, (File 333-177236 - Oct. 11) (BR. 01C) S-8 WORTHINGTON INDUSTRIES INC, 200 OLD WILSON BRIDGE ROAD, COLUMBUS, OH, 43085, 6144383210 - 500,000 ($7,475,000.00) Equity, (File 333-177237 - Oct. 11) (BR. 06B) S-1 China Growth CORP, C/O STUARTS CORPORATE SERVICES, CAYMAN FINANCIAL CENTER, P.O. BOX 2510, GEORGE TOWN, GRAND CAYMAN, E9, KY1-1104, 281-488-3883 - 4,757,537 ($11,671,824.00) Equity, (File 333-177238 - Oct. 11) (BR. 04) S-8 OCEANFIRST FINANCIAL CORP, 975 HOOPER AVE, TOMS RIVER, NJ, 08753-8396, 7322404500 - 0 ($28,632,000.00) Equity, (File 333-177243 - Oct. 11) (BR. 07A) S-1 GUIDED THERAPEUTICS INC, 4955 AVALON RIDGE PKWY, SUITE 300, NORCROSS, 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) S-8 TERADYNE, INC, 600 RIVERPARK DRIVE, NORTH READING, MA, 01864, 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:
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 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 3.03,5.01,5.02,5.03, 9.01 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 5.01,5.02,5.06,8.01, 9.01 BLUESKY SYSTEMS CORP 1.01,3.02,5.01,5.02, 10/04/11 9.01 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 9.01 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 9.01 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 5.01,5.02 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 5.02,5.03,5.06 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 9.01 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 5.02,5.03,5.06,7.01, 9.01 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 9.01 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 9.01 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 9.01 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 5.01,5.02,5.03,5.06, 9.01 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 5.02,5.03,5.06,9.01 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 5.02,9.01 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