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Enforcement ProceedingsCommission Revokes Registration of Securities of Quantum Group, Inc. (The) For Failure to Make Required Periodic FilingsOn October 17, 2011, the Commission revoked the registration of each class of registered securities of Quantum Group, Inc. (The) (QNGP) 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, QNGP 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 Quantum Group, Inc. (The) 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 QNGP’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against QNGP in In the Matter of Dialpoint Communications Corp., et al., Administrative Proceeding File No. 3-14539. 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 Dialpoint Communications Corp., et al., Administrative Proceeding File No. 3-14539, Exchange Act Release No. 65288 (September 8, 2011). (Rel. 34-65578; File No. 3-14539) SEC v. Joseph P. CilloOn October 14, 2011, the Securities and Exchange Commission (“Commission”) filed a Complaint for Injunctive and Other Relief (“Complaint”) in the United States District Court for the Middle District of Florida in Tampa against Joseph P. Cillo (“Cillo”). This matter involves repeated violations of a penny stock bar by Cillo over a three year period from December 2007 through December 2010. The Complaint alleges that in November 2007, through a reverse merger with a penny-stock shell company, Cillo became the CEO and controlling shareholder of eFUEL EFN Corp. (“eFUEL”), a purported web development company then based in Tampa, Florida and listed on the OTC Market Group’s “OTC Pink” market tier (formerly the “Pink Sheets”) under the symbol “EFUL.” It further alleges that in connection with an ongoing market manipulation investigation involving eFUEL and other related entities and individuals, the SEC determined that Cillo engaged in various activities related to, and for the purpose of, issuing, trading, and inducing the purchase of eFUEL’s stock. Specifically, Cillo (1) offered and/or issued hundreds of millions of shares of eFUEL stock to third-parties as purported payment for debts and services, (2) drafted and approved multiple press releases touting the company’s business plan and development prospects, and (3) prepared, signed, and submitted periodic reports to the OTC Markets Group in order to comply with the Pink Sheets’ minimal requirements for “adequate current information.” These activities constituted violations of a 1995 Commission order barring Cillo from participating in the offering of any penny stock. The Complaint alleges that the defendant has violated Sections 21(d)(1) and (e) of the Securities Exchange Act of 1934 (“Exchange Act”) based on his violations of the previous Commission order and Section 15(b)(6)(B)(i) of the Exchange Act. The Commission seeks permanent injunctive relief, an order commanding future compliance with the Commission’s bar, disgorgement plus prejudgment interest, and civil penalties. [SEC v. Joseph P. Cillo, Civil Action No. 8:11-cv-02320 (M.D. Fla.)] (LR-22126) District Court Enters Final Judgment of Permanent Injunction and Other Relief Against Daniel W. NodurftThe Securities and Exchange Commission announced that on October 14, 2011, the United States District Court for the Middle District of Florida entered a final judgment against Daniel W. Nodurft permanently restraining and enjoining him from future violation of Section 5 and Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933 (“Securities Act”). The Court also ordered Nodurft to pay a civil penalty in the amount of $50,000. The Commission’s complaint alleged that Nodurft, a resident of Louisiana and the former vice-president and general counsel of Aerokinetic Energy Corporation (“Aerokinetic”), a Sarasota-based company purportedly in the business of developing and marketing alternative power technologies and products, violated the registration and antifraud provisions of the securities laws in connection with Aerokinetic’s fraudulent unregistered securities offering. On July 24, 2008, the U.S. District Court for the Middle District of Florida issued a temporary restraining order against Aerokinetic and its then president, Randolph E. Bridwell in a related case (Securities and Exchange Commission v. Aerokinetic Energy Corporation, Case No. 8:08-cv-1409-T27TGW). On January 19, 2011, the Court entered a final judgment against Aerokinetic and Bridwell imposing disgorgement of ill-gotten proceeds, jointly and severally, in the amount of $555,000, plus prejudgment interest in the amount of $59,571.09. Additionally, Aerokinetic and Bridwell were ordered to pay civil penalties of $250,000 and $130,000, respectively. Aerokinetic’s judgment was upheld on appeal to the Eleventh Circuit Court of Appeals. [SEC v. Daniel W. Nodurft, Case No. 8:09-cv-866-T26/TGW (M.D. Fla.)] (LR-22127A) Investment company act releasesHighland Capital Management, L.P., et al..An order has been issued on an application filed by Highland Capital Management, L.P., et al. under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29832 - October 12) Stone Harbor Emerging Markets Income Fund and Stone Harbor Investment Partners LPAn order has been issued on an application filed by Stone Harbor Emerging Markets Income Fund and Stone Harbor Investment Partners LP under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order permits a registered closed-end management investment company to make periodic distributions of long-term capital gains with respect to its outstanding common stock as frequently as monthly in any taxable year, and as frequently as distributions are specified by or in accordance with the terms of any outstanding preferred stock that such investment company may issue. (Rel. IC-29834 - October 12) Legg Mason Partners Equity Trust, et al.An order has been issued on an application filed by Legg Mason Partners Equity Trust, et al., for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29835 - October 12) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-ISE-2011-58) filed by the International Securities Exchange, LLC relating to Competitive Market Maker trading rights has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65534) A proposed rule change filed by NASDAQ OMX BX, Inc. to modify the minimum quantity order (SR-BX-2011-069) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65535) A proposed rule change filed by The NASDAQ Stock Market LLC to modify the minimum quantity order (SR-NASDAQ-2011-140) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65536) A proposed rule change filed by NASDAQ OMX PHLX LLC to modify the minimum quantity order (SR-Phlx-2011-132) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65537) A proposed rule change filed by NASDAQ OMX BX, Inc. to amend the BOX Fee Schedule (SR-BX-2011-070) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65538) The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2011-07) under Section 19(b)(1) of the Securities Exchange Act of 1934 to make technical corrections to the Schedule of Timeframes, GCF Schedule of Timeframes, and fee structure in the GSD Rules. The rule change became effective upon filing. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65539) A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2011-31) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65541) A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2011-32) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65542) A proposed rule change filed by NYSE ARCA, Inc. adopting the text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and making certain conforming changes (SR-NYSEARCA-2011-69) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65544) A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-77) regarding amendments to the NYSE Amex Options Fee Schedule relating to Electronic Complex Orders has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65549) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-65) relating to fees and rebates for certain orders executed on the Exchange has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65550) A proposed rule change submitted by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-056), to amend Rule 7730 regarding TRACE reporting fees for transactions in Agency Pass-Through Mortgage-Backed Securities traded “to be announced,” has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65551) A proposed rule change (SR-Phlx-2011-139) filed by NASDAQ OMX PHLX LLC to extend a pilot period for receiving orders routed from The NASDAQ Stock Market LLC into NASDAQ OMX PSX has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65552) A proposed rule change (SR-Phlx-2011-138) filed by NASDAQ OMX PHLX LLC for the NASDAQ OMX PSX facility to accept inbound orders routed from the NASDAQ OMX BX Equities Market of NASDAQ OMX BX, Inc. has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65553) A proposed rule change (SR-NASDAQ-2011-142) filed by The NASDAQ Stock Market LLC to accept inbound orders routed from its affiliates has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65554) A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-141) to modify its interpretation of Rule 4120(a)(11) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65575) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-ISE-2011-39) submitted by the International Securities Exchange, LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to complex orders. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65548) The Commission approved a proposed rule change (SR-NYSEAmex-2011-61) filed by NYSE Amex LLC to add Commentary .01 to Rule 925.1NY concerning market maker continuous quoting obligations and adjusted series. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65572) The Commission approved a proposed rule change (SR-NYSEArca-2011-59) filed by NYSE Arca, Inc. to add Commentary .01 to Rule 6.37B concerning market maker continuous quoting obligations and adjusted series. Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65573) Proposed Rule ChangeThe Financial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2011-058) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities). Publication is expected in the Federal Register during the week of October 17. (Rel. 34-65568) 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 Ubiquiti Networks, Inc., 91 E. TASMAN DRIVE, SAN JOSE, CA, 95134, 408-942-3085 - 12,502,255 ($109,597,819.06) Equity, (File 333-177310 - Oct. 14) (BR. 11C) S-8 Lux Digital Pictures, Inc., 510-948-4000 - 50,000,000 ($500,000.00) Equity, (File 333-177311 - Oct. 14) (BR. 05A) S-8 MCDONALDS CORP, ONE MCDONALD'S PLZ, DEPT 332, OAK BROOK, IL, 60523, 6306233154 - 200,000,000 ($200,000,000.00) Debt, (File 333-177314 - Oct. 14) (BR. 05B) S-8 TECHPRECISION CORP, 3477 CORPORATE PARKWAY, CENTER VALLEY, PA, 18034, 484-693-1700 - 2,300,000 ($2,415,000.00) Equity, (File 333-177315 - Oct. 14) (BR. 06A) S-11 Summit Hotel Properties, Inc., 2701 S. MINNESOTA AVENUE, SUITE 6, SIOUX FALLS, SD, 57105, 605 361-9566 - 0 ($57,500,000.00) Equity, (File 333-177317 - Oct. 14) (BR. 08C) S-1 MMAX MEDIA, INC., 511 N.E. 3RD AVENUE,, FIRST FLOOR, FORT LAUDERDALE,, FL, 33301, (972) 719-0170 - 37,033,145 ($9,258,286.00) Equity, (File 333-177318 - Oct. 14) (BR. 07B) S-8 Omagine, Inc., 350 FIFTH AVENUE, SUITE 1103, NEW YORK, NY, 10118, 212-563-4141 - 2,500,000 ($7,700,000.00) Equity, (File 333-177320 - Oct. 14) (BR. 02) S-1 Minerco Resources, Inc., 16225 PARK TEN PLACE, SUITE 500, HOUSTON, TX, 77084, 281-994-4187 - 144,500,000 ($144,500.00) Equity, (File 333-177321 - Oct. 14) (BR. 10B) S-3ASR EVEREST RE GROUP LTD, WESSEX HOUSE - 2ND FLOOR, 45 REID STREET PO BOX HM 845, HAMILTON, D0, HM DX, 4412950006 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177322 - Oct. 14) (BR. 01C) S-8 OCZ TECHNOLOGY GROUP INC, 6373 SAN IGNACIO AVENUE, SAN JOSE,, CA, 95119-1200, 408-733-8400 - 4,500,000 ($23,760,000.00) Equity, (File 333-177323 - Oct. 14) (BR. 03A) S-3 RAIT Financial Trust, 1818 MARKET, 28TH FL, PHILADELPHIA, PA, 19103, 2158617900 - 0 ($25,954,123.00) Equity, (File 333-177324 - Oct. 14) (BR. 08C) S-8 BERKELEY COFFEE & TEA, INC., SUITE 214, 1662 HIGHWAY 395 N., MINDEN, NV, 89423, 011-86 15021337898 - 700,000 ($140,000.00) Equity, (File 333-177325 - Oct. 14) (BR. 02) S-8 CHS INC, 5500 CENEX DRIVE, INVER GROVE HEIGHTS, MN, 55077, 651-355-6000 - 0 ($100,000,000.00) Other, (File 333-177326 - Oct. 14) (BR. 05B) S-3 Cardiovascular Systems Inc, 651 CAMPUS DRIVE, ST. PAUL, MN, 55112, 651-259-1600 - 328,988 ($2,460,831.00) Equity, (File 333-177327 - Oct. 14) (BR. 10C) S-4 Shea Homes Limited Partnership, 655 BREA CANYON ROAD, WALNUT, CA, 91789, 909-594-9500 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-177328 - Oct. 14) (BR. ) S-1 SKM Media Corp., 6001 BROKEN SOUND PARKWAY NW, SUITE 510, BOCA RATON, FL, 33487, 561-404-1040 - 6,100,000 ($1,830,000.00) Equity, (File 333-177329 - Oct. 14) (BR. ) S-8 PRECISION OPTICS CORPORATION INC, 22 EAST BROADWAY, GARDNER, MA, 01440-3338, 9786301800 - 0 ($862,908.00) Equity, (File 333-177330 - Oct. 14) (BR. 10C) S-3 MAGELLAN PETROLEUM CORP /DE/, 10 COLUMBUS BLVD, 10 FLOOR, HARTFORD, CT, 06106, 8602932006 - 0 ($1,419,290.40) Equity, (File 333-177331 - Oct. 14) (BR. 04B) S-1 ChemoCentryx, Inc., 850 MAUDE AVENUE, MOUNTAIN VIEW, CA, 94043, 650-210-2900 - 0 ($69,000,000.00) Equity, (File 333-177332 - Oct. 14) (BR. 01A) S-3 LIGAND PHARMACEUTICALS INC, 11085 NORTH TORREY PINES ROAD, SUITE 300, LA JOLLA, CA, 92037, 858-550-7500 - 0 ($30,000,000.00) Unallocated (Universal) Shelf, (File 333-177338 - Oct. 14) (BR. 01B) S-8 BIOLASE TECHNOLOGY INC, 4 CROMWELL, IRVINE, CA, 92618, 949-361-1200 - 1,000,000 ($3,360,000.00) Equity, (File 333-177339 - Oct. 14) (BR. 10A) S-1 ROI Acquisition Corp., 9 WEST 57TH STREET, NEW YORK, NY, 10019, (212) 825-0400 - 0 ($86,250,000.00) Equity, (File 333-177340 - Oct. 14) (BR. ) S-4 ENDO PHARMACEUTICALS HOLDINGS INC, 100 ENDO BOULEVARD, CHADDS FORD, PA, 19317, 6105589800 - 0 ($1,300,000,000.00) Non-Convertible Debt, (File 333-177341 - Oct. 14) (BR. 01C) S-4 Heckmann CORP, 75080 FRANK SINATRA DRIVE, PALM DESERT, CA, 92211, 760-341-3606 - 0 ($81,150,000.00) Equity, (File 333-177343 - Oct. 14) (BR. 04B) 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 99 CENTS ONLY STORES CA 2.02,9.01 10/13/11 AAR CORP DE 1.01,2.03,5.07,8.01, 10/11/11 9.01 ABM INDUSTRIES INC /DE/ DE 1.02,9.01 10/11/11 ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/14/11 ADVANCED ENERGY INDUSTRIES INC DE 5.02 10/13/11 AEP INDUSTRIES INC DE 2.01,9.01 10/14/11 ALCOA INC PA 2.02,9.01 10/11/11 Aleris International, Inc. DE 8.01,9.01 10/13/11 ALLOS THERAPEUTICS INC DE 8.01,9.01 10/13/11 Ally Master Owner Trust 1.01,8.01,9.01 10/13/11 Amarantus BioSciences, Inc. DE 5.03,9.01 10/07/11 AMEREN CORP MO 5.02,7.01,9.01 10/14/11 American Petroleum Tankers Parent LLC DE 5.02,9.01 10/11/11 American Renal Associates Holdings, I DE 5.02,9.01 10/13/11 American Renal Holdings Inc. DE 5.02,9.01 10/13/11 AMERINST INSURANCE GROUP LTD D0 7.01,9.01 10/14/11 AMES NATIONAL CORP IA 2.02,7.01,9.01 10/14/11 AMGEN INC DE 5.02,9.01 10/13/11 ANAVEX LIFE SCIENCES CORP. NV 1.01,5.02,9.01 10/10/11 APPLIED MICRO CIRCUITS CORP DE 5.02,9.01 10/10/11 ARES CAPITAL CORP MD 1.01,2.03,9.01 10/14/11 Ascent Capital Group, Inc. DE 2.02,7.01,9.01 10/13/11 Avenue South Ltd. NV 2.05,3.02,5.01,5.03, 10/14/11 8.01 AVI BIOPHARMA INC OR 8.01 10/12/11 AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 10/14/11 BANCFIRST CORP /OK/ OK 2.02,9.01 10/14/11 BANKATLANTIC BANCORP INC FL 5.03,9.01 10/14/11 BGC Partners, Inc. DE 8.01,9.01 10/14/11 Bluefire Renewables, Inc. NV 8.01 10/13/11 Bluerock Enhanced Multifamily Trust, MD 1.01 10/14/11 Blugrass Energy, Inc. NV 5.02 09/30/11 Border Management, Inc. NV 4.01 09/23/11 BRIDGFORD FOODS CORP CA 5.02,9.01 10/14/11 Brooklyn Federal Bancorp, Inc. X1 5.07 09/20/11 CALYPTE BIOMEDICAL CORP DE 1.01,9.01 10/10/11 Capstone Therapeutics Corp. DE 5.02,7.01,8.01,9.01 10/13/11 Carroll Bancorp, Inc. MD 8.01,9.01 10/11/11 CARVER BANCORP INC DE 5.04,9.01 10/13/11 Catalent Pharma Solutions, Inc. DE 5.02 10/11/11 CELGENE CORP /DE/ DE 5.02 10/12/11 CENTERLINE HOLDING CO DE 8.01 10/13/11 CENTERPOINT ENERGY INC 8.01 10/13/11 CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02,9.01 10/06/11 CEPHALON INC DE 2.01,2.03,3.01,3.03, 10/14/11 5.01,5.02,8.01,9.01 CHINA AUTOMOTIVE SYSTEMS INC DE 5.07 10/12/11 China Bio-Energy Corp. DE 2.01,3.02,5.01,5.02, 02/11/11 AMEND 5.03,5.06,9.01 China Chemical Corp. DE 1.01,8.01,9.01 10/12/11 CHURCHILL DOWNS INC KY 5.02 10/10/11 CIRCLE STAR ENERGY CORP. NV 1.01,3.02,5.02,9.01 10/14/11 CITIZENS & NORTHERN CORP PA 2.02,9.01 10/14/11 CLECO CORP LA 1.01,2.03,9.01 10/07/11 CMG HOLDINGS GROUP, INC. NV 8.01 10/14/11 COMSCORE, INC. DE 9.01 08/11/11 AMEND CONCEPTUS INC DE 5.07 05/25/11 AMEND CONCHO RESOURCES INC DE 1.01,2.03,9.01 10/12/11 Convio, Inc. DE 1.01,2.03 10/10/11 COOPER COMPANIES INC DE 8.01,9.01 10/13/11 Coronus Solar Inc. A1 1.01,7.01,9.01 10/14/11 CORPORATE OFFICE PROPERTIES TRUST MD 2.02,7.01,9.01 10/14/11 COSI INC DE 2.02,9.01 10/14/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 1.01,9.01 10/11/11 CYBERDEFENDER CORP CA 5.02 10/10/11 CYBERDEFENDER CORP CA 1.01,2.03,3.02,9.01 07/25/11 AMEND Deep Down, Inc. NV 1.01,7.01,9.01 10/07/11 DISCOVERY LABORATORIES INC /DE/ DE 5.02 10/07/11 DOLE FOOD CO INC DE 1.01,2.01,9.01 10/11/11 DORAL FINANCIAL CORP PR 5.02 10/12/11 DOW CHEMICAL CO /DE/ DE 1.01,9.01 10/08/11 DYNEGY INC. DE 7.01,8.01,9.01 10/14/11 EDIETS COM INC DE 3.01,9.01 10/13/11 ELECTRO RENT CORP CA 5.07 10/13/11 ENB Financial Corp PA 2.02,9.01 10/13/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 9.01 10/14/11 ENOVA SYSTEMS INC CA 2.02,7.01 10/12/11 Exelis Inc. IN 5.02,5.03,7.01,9.01 10/11/11 Federal Home Loan Bank of Dallas 2.03,9.01 10/07/11 Federal Home Loan Bank of Topeka 5.02 10/14/11 First American Silver Corp. NV 1.01,7.01,9.01 09/22/11 Fixed Income Client Solutions LLC 8.01,9.01 10/14/11 Ford Credit Floorplan Master Owner Tr DE 1.01,9.01 10/12/11 General Growth Properties, Inc. DE 8.01 10/14/11 GLOBALSCAPE INC DE 8.01 10/14/11 GOLD HORSE INTERNATIONAL, INC. FL 5.02,9.01 09/29/11 GREATBATCH, INC. DE 5.02,9.01 10/13/11 Greektown Superholdings, Inc. DE 5.02 10/12/11 GRYPHON GOLD CORP NV 7.01,9.01 10/14/11 HF FINANCIAL CORP DE 5.02,8.01,9.01 10/14/11 HKN, Inc. DE 5.07 10/12/11 Hoku Corp DE 1.01,2.03,9.01 10/12/11 HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 10/13/11 HUNTINGTON INGALLS INDUSTRIES, INC. DE 8.01 09/28/11 IMAGEWARE SYSTEMS INC DE 5.03,8.01,9.01 10/13/11 Imperial Holdings, Inc. 8.01 10/07/11 India Globalization Capital, Inc. MD 5.07 10/12/11 INLAND REAL ESTATE CORP MD 8.01,9.01 10/14/11 INSMED INC VA 8.01,9.01 10/14/11 INTL FCSTONE INC. DE 1.01,9.01 10/11/11 Invesco Ltd. D0 5.02 10/10/11 INVIVO THERAPEUTICS HOLDINGS CORP. NV 5.02,8.01,9.01 10/14/11 James River Coal CO VA 8.01 10/13/11 JANUS CAPITAL GROUP INC DE 1.01,2.03 10/14/11 JUNIPER NETWORKS INC DE 5.07 05/18/11 AMEND KIT digital, Inc. DE 8.01,9.01 10/14/11 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 10/13/11 LA JOLLA PHARMACEUTICAL CO DE 8.01 10/13/11 Laufer Bridge Enterprises, Inc. NV 5.02 09/26/11 LAYNE CHRISTENSEN CO DE 3.03,5.03,9.01 10/10/11 Legend Mining Inc. 5.03,7.01,9.01 10/10/11 Liberty Interactive Corp 3.01 10/10/11 LINDSAY CORP DE 2.02,9.01 10/13/11 LIONS GATE ENTERTAINMENT CORP /CN/ 1.01,7.01,9.01 10/13/11 Live Nation Entertainment, Inc. DE 5.02,9.01 10/10/11 LOCAL.COM DE 7.01,9.01 10/14/11 Location Based Technologies, Inc. NV 8.01,9.01 10/14/11 MANHATTAN ASSOCIATES INC GA 5.07 05/19/11 AMEND MATTEL INC /DE/ DE 2.02,7.01,8.01,9.01 10/14/11 MAYS J W INC NY 5.02 10/14/11 Mead Johnson Nutrition Co DE 2.02,9.01 10/13/11 MERCER GOLD CORP. NV 8.01,9.01 10/13/11 MESABI TRUST NY 2.02,9.01 10/14/11 METLIFE INC DE 8.01,9.01 10/12/11 MICRON TECHNOLOGY INC DE 8.01 10/12/11 Midwest Energy Emissions Corp. DE 3.02,5.02,5.03,5.07, 10/07/11 8.01,9.01 mLight Tech, Inc. FL 8.01 10/14/11 MONTPELIER RE HOLDINGS LTD 7.01,9.01 10/13/11 Motorola Mobility Holdings, Inc 8.01,9.01 10/14/11 MPG Office Trust, Inc. MD 1.01,5.02,7.01,9.01 10/11/11 Nano Mask, Inc. NV 4.01,9.01 10/14/11 AMEND NanoTech Entertainment, Inc. NV 4.01,9.01 05/06/11 AMEND Neuralstem, Inc. DE 7.01,9.01 10/12/11 NEWS CORP 8.01,9.01 10/14/11 NGA Holdco, LLC NV 2.01,9.01 08/05/11 AMEND NORTHEAST UTILITIES MA 8.01 10/14/11 NSTAR/MA 8.01 10/14/11 NTELOS HOLDINGS CORP 8.01,9.01 10/14/11 NVIDIA CORP DE 5.07 08/23/11 AMEND Ocean Shore Holding Co. 9.01 08/01/11 AMEND OFFICEMAX INC DE 1.01,1.02,2.03,9.01 10/07/11 OLD NATIONAL BANCORP /IN/ IN 2.01,9.01 07/29/11 AMEND ONEOK INC /NEW/ OK 7.01,9.01 10/14/11 ONEOK Partners LP DE 7.01,9.01 10/05/11 ORACLE CORP 5.07 10/12/11 ORAGENICS INC FL 5.02,9.01 10/12/11 OTELCO INC. DE 1.01,2.01,9.01 10/14/11 OXIGENE INC DE 1.02 10/14/11 OXIGENE INC DE 7.01,9.01 10/13/11 OXYGEN BIOTHERAPEUTICS, INC. DE 3.01 10/12/11 PANERA BREAD CO DE 5.02 10/10/11 PARKWAY PROPERTIES INC MD 5.02,8.01 10/13/11 PAYCHEX INC DE 5.07 10/11/11 PIER 1 IMPORTS INC/DE DE 7.01,9.01 10/14/11 Placer Del Mar, Ltd. NV 4.01,9.01 10/11/11 Plures Technologies, Inc./DE DE 1.01,2.03,9.01 10/13/11 PNC FINANCIAL SERVICES GROUP INC PA 8.01,9.01 10/14/11 POPULAR INC 8.01,9.01 10/14/11 POWELL INDUSTRIES INC NV 5.02 10/07/11 PRINCIPAL FINANCIAL GROUP INC DE 7.01 09/30/11 PROCTER & GAMBLE CO OH 5.07 10/14/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03,3.02 10/12/11 QUANTUM MATERIALS CORP. NV 4.01,9.01 09/28/11 AMEND QUEPASA CORP NV 5.02 10/10/11 RAILAMERICA INC /DE DE 8.01 10/13/11 RAMTRON INTERNATIONAL CORP DE 5.02,7.01,9.01 10/07/11 RENAISSANCE LEARNING INC WI 8.01,9.01 10/14/11 REXNORD LLC DE 8.01 10/14/11 Sagebrush Gold Ltd. NV 7.01,9.01 10/13/11 SCHULMAN A INC DE 2.02,7.01,9.01 10/14/11 SEVERN BANCORP INC MD 2.02,9.01 10/14/11 Shire plc 8.01,9.01 10/13/11 Skilled Healthcare Group, Inc. DE 2.02,2.06 10/14/11 SMART ONLINE INC DE 2.03,3.02 10/11/11 SMG Indium Resources Ltd. DE 4.02 10/14/11 STAR SCIENTIFIC INC DE 5.02 10/07/11 STARRETT L S CO MA 5.02 10/14/11 STEIN MART INC FL 1.01,9.01 10/10/11 STEIN MART INC FL 5.02,9.01 09/16/11 AMEND Summit Hotel Properties, Inc. MD 2.04,7.01,8.01,9.01 05/20/11 SunOpta Inc. 5.02,9.01 10/14/11 SUNRISE SENIOR LIVING INC DE 8.01,9.01 10/12/11 SYNERGY PHARMACEUTICALS, INC. FL 1.01,9.01 10/14/11 TAMANDARE EXPLORATIONS INC. NV 1.01,2.01,3.02,4.01, 10/07/11 5.01,5.02,5.06,8.01, 9.01 TARGET CORP MN 1.01,1.02,2.03 10/14/11 TIDELANDS BANCSHARES INC 4.02 10/14/11 Titan Iron Ore Corp. NV 1.02,8.01,9.01 10/12/11 TNP Strategic Retail Trust, Inc. MD 1.01,2.01,2.03,7.01, 10/11/11 9.01 Todays Alternative Energy Corp NY 1.01,3.02,9.01 10/10/11 TORTOISE CAPITAL RESOURCES CORP 2.02,9.01 10/13/11 TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 10/14/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 10/14/11 TYCO INTERNATIONAL LTD V8 5.02,9.01 10/14/11 VALMONT INDUSTRIES INC DE 2.02,9.01 10/13/11 WATERSIDE CAPITAL CORP VA 5.02 10/07/11 WATTS WATER TECHNOLOGIES INC DE 8.01 10/13/11 WD 40 CO DE 5.02,9.01 10/11/11 WEBSTER FINANCIAL CORP DE 2.02,9.01 10/14/11 WELLS REAL ESTATE FUND X L P GA 7.01,9.01 10/14/11 WINDSTREAM CORP DE 8.01 10/14/11 X-CHANGE CORP NV 5.06,9.01 06/01/11 AMEND Xenith Bankshares, Inc. VA 2.01,9.01 07/29/11 AMEND Zoo Entertainment, Inc DE 2.04 10/07/11 Zoro Mining Corp. NV 3.02 10/05/11
http://www.sec.gov/news/digest/2011/dig101711.htm
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