SEC News Digest, October 25, 2011

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Commission announcements

SEC Announces Agenda For First Meeting of Advisory Committee on Small and Emerging Companies

The Securities and Exchange Commission today announced the agenda for next week’s first meeting of the SEC Advisory Committee on Small and Emerging Companies.

The October 31 meeting, announced earlier this month, will feature discussions of the Advisory Committee’s agenda and organization with a focus on certain capital formation issues relevant to small and emerging companies.

The meeting will begin at 9 a.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 will be viewable by live webcast, which will be archived on the SEC website for later viewing.

Members of the public who wish to provide their views on the matters to be considered by the Advisory Committee 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 265-27 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 265-27.

Any comments submitted will be made available to the public. (Press Rel. 2011-222)

rules and related matters

Order Approving Filing Fees for Exempt Reporting Advisers and Private Fund Advisers

The Commission has issued an order approving filing fees for exempt reporting advisers filing Form ADV with the Commission and, consistent with one of its recent rule proposals, private fund advisers filing Form PF. The fee for exempt reporting advisers would apply starting with the date the order approving the fee is published in the Federal Register. If the Form PF proposal is adopted, the fees for private fund advisers would apply starting with the effective date of Rule 204(b)-1 under the Investment Advisers Act of 1940. (Rel. IA-3305; File No.: S7-42-11)

Cancellation of Investment Adviser Registration

A notice has been issued giving interested persons until November 18, 2011, to request a hearing on the cancellation of the investment adviser registration of Creative Investment Research, Inc. The order would cancel the registration because Creative Investment Research, Inc. is prohibited from registering as an investment adviser under Section 203A of the Investment Advisers Act of 1940.

For further information contact: Jennifer Porter, Senior Counsel, Office of Investment Adviser Regulation, at (202) 551-6787. (Rel. IA-3306; File No.: 801-35969)

Enforcement proceedings

In the Matter of Amit V. Patel

On October 21, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Amit V. Patel.

The Order finds that, on September 16, 2011, a final judgment was entered by consent against Minnesota-resident Amit V. Patel in the civil action entitled Securities and Exchange Commission v. Amit V. Patel, Civil Action Number 0:10-cv-04937-RHK-FLN, in the United States District Court for the District of Minnesota. The final judgment permanently enjoined Amit V. Patel from future violations of Section 17(a) of the Securities Act of 1933; Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder; and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940, and Rule 206(4)-8 thereunder.

Based on the above, the Order provides that Amit V. Patel is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Amit V. Patel consented to the issuance of the Order without admitting or denying the findings in the Order, except that he admitted the entry of the injunction. (Rel. IA-3303; File No. 3-14598)

Commission Revokes Registration of Securities of Austral Pacific Energy Ltd. For Failure to Make Required Periodic Filings

On October 25, 2011, the Commission revoked the registration of each class of registered securities of Austral Pacific Energy Ltd. (Austral Pacific) 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, Austral Pacific 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 Austral Pacific Energy Ltd. 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-16 thereunder and revoking the registration of each class of Austral Pacific’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Austral Pacific in In the Matter of American Capital Partners Limited, Inc., et al., Administrative Proceeding File No. 3-14534.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .

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 American Capital Partners Limited, Inc., et al., Administrative Proceeding File No. 3-14534, Exchange Act Release No. 65274, September 7, 2011. (Rel. 34-65616; File No. 3-14534)

Self-regulatory organizations

Approval of Proposed Rule Change

The Commission approved a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2011-63) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the United States Metals Index Fund, the United States Agriculture Index Fund and the United States Copper Index Fund under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65601)

Proposed Rule Changes

NASDAQ OMX BX, Inc. filed a proposed rule change (SR-BX-2011-071) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, with respect to an amendment to the By-Laws of The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65603)

The NASDAQ Stock Market LLC filed a proposed rule change (SR-NASDAQ-2011-143) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, relating to amending the By-Laws of The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65604)

NASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2011-141) to introduce the Minimum Life Order as a new order type. Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65610)

Boston Stock Exchange Clearing Corporation (BSECC) filed a proposed rule change (SR-BSECC-2011-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 with respect to an amendment to the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65613)

Stock Clearing Corporation of Philadelphia (SCCP) filed a proposed rule change (SR-SCCP-2011-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 with respect to an amendment to the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65614)

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) to adopt revisions to certain CME rules in connection with its clearing of contracts listed by the Eris Exchange, LLC (Eris) to reflect the pending change in regulatory status of Eris from an “EBOT” to a designated contract market (SR-CME-2011-13) 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 24. (Rel. 34-65612)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-3     ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 
        8474025000 - 8,000,000 ($8,000,000.00) Non-Convertible Debt, 
        (File 333-177476 - Oct. 24) (BR. 01A)

S-3     ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 
        8474025000 - 0 ($1.00) Non-Convertible Debt, (File 333-177477 - 
        Oct. 24) (BR. 01A)

S-3     ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 
        8474025000 - 0 ($1.00) Non-Convertible Debt, (File 333-177478 - 
        Oct. 24) (BR. 01A)

S-3     ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 
        8474025000 - 0 ($1.00) Non-Convertible Debt, (File 333-177479 - 
        Oct. 24) (BR. 01A)

S-3     ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 
        8474025000 - 0 ($1.00) Non-Convertible Debt, (File 333-177480 - 
        Oct. 24) (BR. 01A)

S-3     ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 
        8474025000 - 0 ($1.00) Non-Convertible Debt, (File 333-177481 - 
        Oct. 24) (BR. 01A)

S-1     Adelman Enterprises, Inc., 798 MOORPARK AVENUE, MOORPARK, CA, 93021, 
        818-436-0410 - 0 ($3,000,000.00) Equity, (File 333-177482 - Oct. 24) 
        (BR. 02)

S-3     NETSOL TECHNOLOGIES INC, 23901 CALABASAS ROAD, SUITE 2072, CALABASAS, 
        CA, 91302, 8182229195 - 6,771,580 ($44,333,812.00) Equity, 
        (File 333-177483 - Oct. 24) (BR. 03A)

S-8     UNIFIRST CORP, 68 JONSPIN RD, WILMINGTON, MA, 01887, (978) 658-8888 - 
        600,000 ($29,430,000.00) Equity, (File 333-177485 - Oct. 24) (BR. 11A)

S-3     MAGNUM HUNTER RESOURCES CORP, 777 POST OAK BLVD #910, HOUSTON, TX, 
        77056, 832-369-6986 - 0 ($139,161,173.00) Equity, (File 333-177486 - 
        Oct. 24) (BR. 04A)

S-8     MAGNUM HUNTER RESOURCES CORP, 777 POST OAK BLVD #910, HOUSTON, TX, 
        77056, 832-369-6986 - 0 ($20,750,000.00) Equity, (File 333-177488 - 
        Oct. 24) (BR. 04A)

S-3ASR  SAFEWAY INC, 5918 STONERIDGE MALL RD, PLEASANTON, CA, 94588, 
        9254673000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-177489 - Oct. 24) (BR. 02A)

Recent 8K Filings

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

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.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

1st United Bancorp, Inc.                FL       7.01,9.01            10/21/11

1st United Bancorp, Inc.                FL       1.01,2.01,7.01,9.01  10/21/11

ACACIA RESEARCH CORP                    DE       8.01                 10/21/11

ACNB CORP                               PA       8.01,9.01            10/18/11

ADA-ES INC                              CO       8.01,9.01            10/05/11

ADVANCED ENVIRONMENTAL RECYCLING TECH   DE       2.03,9.01            10/20/11

ADVENT SOFTWARE INC /DE/                DE       2.02,9.01            10/24/11

AFFILIATED MANAGERS GROUP INC           DE       8.01                 10/18/11

ALBEMARLE CORP                          VA       2.02,9.01            10/24/11

Alexza Pharmaceuticals Inc.             DE       8.01,9.01            10/24/11

ALLDIGITAL HOLDINGS, INC.               NV       1.01,9.01            10/19/11

ALLIANCE RESOURCE PARTNERS LP           DE       8.01                 10/18/11

ALLIANT ENERGY CORP                     WI       2.02,9.01            10/24/11

ALLOS THERAPEUTICS INC                  DE       1.02,5.07,8.01,9.01  10/21/11

AMERICAN BAR ASSOCIATION MEMBERS / NO   IL       1.01,9.01            10/18/11

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            10/24/11

AMERICAN NATIONAL INSURANCE CO /TX/     TX       2.02,9.01            10/24/11

American Realty Capital Properties, I   MD       7.01                 10/17/11

American Sands Energy Corp.             DE       5.03,5.07,9.01       10/19/11

AMERICAS CARMART INC                    TX       1.01,2.03,9.01       10/19/11

AMERISOURCEBERGEN CORP                  DE       8.01                 10/24/11

AMGEN INC                               DE       2.02,9.01            10/24/11

ANAREN  INC                             NY       2.02,9.01            10/24/11

Anchor Bancorp                          WA       2.02,9.01            10/24/11

Andatee China Marine Fuel Services Co   DE       5.07,9.01            10/21/11

AON CORP                                DE       5.02                 10/18/11

ARENA PHARMACEUTICALS INC               DE       8.01,9.01            10/19/11

ARROWHEAD RESEARCH CORP                 DE       1.01,2.01,3.02,9.01  10/21/11

ARTHROCARE CORP                         DE       8.01,9.01            10/13/11

Aspect Software Group Holdings Ltd.     DE       5.02                 10/18/11

Bacterin International Holdings, Inc.   DE       7.01,9.01            10/24/11

BANK OF HAWAII CORP                     DE       2.02,9.01            10/24/11

Bank of Marin Bancorp                   CA       2.02,8.01,9.01       10/21/11

BigBand Networks, Inc.                  DE       2.02,9.01            10/24/11

BofI Holding, Inc.                      DE       5.07,7.01            10/20/11

BRAINY BRANDS COMPANY, INC.             DE       1.01,2.01,3.02,4.01, 11/24/10    AMEND
                                                 5.01,5.02,5.06,9.01
        
BRIGGS & STRATTON CORP                  WI       5.07                 10/19/11

C&J Energy Services, Inc.               DE       7.01,9.01            10/24/11

CAMERON INTERNATIONAL CORP              DE       5.02                 10/19/11

Cape Bancorp, Inc.                      MD       2.02,9.01            10/21/11

CATERPILLAR FINANCIAL SERVICES CORP     DE       2.02,9.01            10/24/11

CATERPILLAR INC                         DE       2.02,9.01            10/24/11

CATERPILLAR INC                         DE       7.01                 10/24/11

CENTER FINANCIAL CORP                   CA       2.02,9.01            10/24/11

CenterState Banks, Inc.                 FL       2.02,9.01            10/24/11

CH ENERGY GROUP INC                     NY       1.01,2.03,9.01       10/19/11

China Advanced Construction Materials   DE       1.01,8.01,9.01       10/24/11

CHINA EDUCATION INTERNATIONAL, INC.              1.01,3.02            10/14/11    AMEND

China Pharmaceuticals Inc               NV       4.01                 10/08/11

China YCT International Group, Inc.     FL       1.01,9.01            10/21/11

CIGNA CORP                              DE       7.01                 10/24/11

CIGNA CORP                              DE       2.02                 10/24/11

Cinedigm Digital Cinema Corp.           DE       5.02,9.01            10/19/11

Cinedigm Digital Cinema Corp.           DE       1.01,8.01,9.01       10/18/11

Citi Trends Inc                                  5.02,9.01            10/24/11

CITIZENS FINANCIAL SERVICES INC         PA       2.02,9.01            10/24/11

CITIZENS HOLDING CO /MS/                MS       2.02,7.01,9.01       10/21/11

CITIZENS SOUTH BANKING CORP             DE       2.02,9.01            10/24/11

CMS Bancorp, Inc.                       DE       5.02                 10/24/11

CNS RESPONSE, INC.                      DE       1.01,2.03,3.02,9.01  10/18/11

COASTAL CARIBBEAN OILS & MINERALS LTD   D0       1.01,3.02,9.01       10/17/11

COLOMBIA CLEAN POWER & FUELS, INC       NV       7.01,9.01            10/18/11

COMMUNICATION INTELLIGENCE CORP         DE       5.02,9.01            10/19/11

Community Partners Bancorp              NJ       2.02,9.01            10/24/11

COMPUTER TASK GROUP INC                 NY       2.02,9.01            10/24/11

COMVERSE TECHNOLOGY INC/NY/             NY       3.02                 10/21/11

Constellation Energy Partners LLC       DE       5.02,5.07            10/24/11

Convenience TV Inc.                     NV       1.01,3.02,9.01       10/18/11

Cooper-Standard Holdings Inc.           DE       8.01,9.01            10/24/11

CORNERSTONE HEALTHCARE PLUS REIT, INC   MD       1.01,8.01            10/18/11

CRANE CO /DE/                           DE       2.02,8.01,9.01       10/24/11

CROSSTEX ENERGY INC                     DE       7.01,9.01            10/21/11

CROSSTEX ENERGY LP                      DE       7.01,9.01            10/21/11

CTM MEDIA HOLDINGS, INC.                DE       8.01                 10/18/11

CubeSmart                               MD       1.01,2.02,3.02,7.01, 10/24/11
                                                 9.01
          
CUBIST PHARMACEUTICALS INC              DE       1.01,8.01,9.01       10/24/11

CYBERDEFENDER CORP                      CA       1.01,3.02,9.01       10/18/11

CYBEROPTICS CORP                        MN       2.02,9.01            10/24/11

DAM HOLDINGS INC                        NV       2.01,3.02,5.01,5.02, 10/19/11
                                                 9.01
          
DAWSON GEOPHYSICAL CO                   TX       8.01,9.01            10/24/11

DEGARO INNOVATIONS CORP.                NV       5.02                 10/21/11

Development Capital Group, Inc.         FL       4.01,9.01            10/21/11

Dot VN, Inc.                            DE       8.01,9.01            10/24/11

DOVER MOTORSPORTS INC                   DE       2.04,2.05,2.06,3.01, 10/24/11 
                                                 7.01
          
DRI CORP                                NC       1.01,2.03,9.01       10/19/11

DUNKIN' BRANDS GROUP, INC.              DE       5.02,9.01            10/24/11

EAGLE BANCORP INC                       MD       2.02,8.01,9.01       10/24/11

EATON CORP                              OH       2.02,9.01            10/24/11

ELLIE MAE INC                           DE       5.02                 10/19/11

EMC INSURANCE GROUP INC                 IA       7.01,9.01            10/21/11

EMCORE CORP                             NJ       7.01,9.01            10/24/11

EMERSON ELECTRIC CO                     MO       7.01                 10/24/11

ENCISION INC                            CO       2.02,9.01            10/24/11

ENERNOC INC                             DE       5.07                 06/01/11    AMEND

ENTERPRISE BANCORP INC /MA/             MA       2.02,9.01            10/24/11

ENTEST BIOMEDICAL, INC.                 NV       1.01,9.01            10/19/11

Environmental Infrastructure Holdings   DE       1.01,3.03,5.03,9.01  08/22/11

EQUITY LIFESTYLE PROPERTIES INC         MD       2.01,9.01            10/21/11

EXTREME NETWORKS INC                    DE       8.01,9.01            10/20/11

Fabrinet                                E9       7.01                 10/24/11

FACTSET RESEARCH SYSTEMS INC            DE       5.02,9.01            10/24/11

Federal Home Loan Bank of Dallas                 2.03,9.01            10/18/11

FEDERAL HOME LOAN MORTGAGE CORP                  5.02,9.01            10/18/11

FFD FINANCIAL CORP/OH                   OH       5.07                 10/18/11

FIDELITY SOUTHERN CORP                  GA       2.02,9.01            10/20/11

FIRST INTERSTATE BANCSYSTEM INC         MT       2.02,9.01            10/24/11

First Trinity Financial CORP                     1.01,9.01            10/20/11

FIRST TRUST SPECIALTY FINANCE & FINAN            7.01,9.01            10/24/11

FLEXTRONICS INTERNATIONAL LTD.          U0       1.01,2.03,9.01       10/19/11

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            10/19/11

FORTINET INC                                     2.02                 10/24/11

FS Energy & Power Fund                  DE       2.02                 10/24/11

FS Investment CORP                      MD       2.02                 10/24/11

GALECTIN THERAPEUTICS INC               NV       1.01                 10/18/11

GARDNER DENVER INC                      DE       2.02,9.01            10/20/11

GENCO SHIPPING & TRADING LTD                     1.01,3.03,9.01       10/24/11

GEORESOURCES INC                        CO       5.07                 06/07/11    AMEND

GLADSTONE CAPITAL CORP                  MD       2.02                 10/24/11

Global Aviation Holdings Inc.           DE       7.01                 10/24/11

Green Energy Management Services Hold   DE       3.03,5.03,5.07       10/18/11

GREENE COUNTY BANCORP INC               DE       8.01                 10/20/11

GRYPHON GOLD CORP                       NV       7.01,9.01            10/24/11

HANCOCK HOLDING CO                      MS       2.02,7.01,9.01       10/24/11

HARLEY DAVIDSON INC                     WI       8.01                 10/24/11

HEALTH MANAGEMENT ASSOCIATES INC        DE       2.02,9.01            10/24/11

HealthSpring, Inc.                      DE       8.01,9.01            10/24/11

HealthSpring, Inc.                      DE       8.01,9.01            10/24/11

HEALTHSTREAM INC                        TN       2.02,7.01,9.01       10/24/11

HEALTHWAYS, INC                         DE       2.02,9.01            10/24/11

HEARTLAND FINANCIAL USA INC             DE       2.02,9.01            10/24/11

HEXCEL CORP /DE/                        DE       2.02,7.01,8.01,9.01  10/24/11

Homeland Security Capital CORP          DE       7.01                 10/21/11

HXT HOLDINGS, INC.                      DE       1.01,2.01,3.02,5.01, 09/02/11    AMEND
                                                 5.02,9.01
     
IDT CORP                                DE       5.02,9.01            10/19/11

INDEPENDENT BANK CORP                   MA       8.01,9.01            10/21/11

INSIGNIA SYSTEMS INC/MN                 MN       8.01                 10/18/11

Interactive Intelligence Group, Inc.    IN       2.02,9.01            09/30/11

Invesco Ltd.                            D0       2.02                 10/24/11

JAGGED PEAK, INC.                       NV       5.02                 10/24/11

KAISER ALUMINUM CORP                    DE       2.02,9.01            10/24/11

Kennedy-Wilson Holdings, Inc.           DE       8.01,9.01            10/21/11

KIMBALL INTERNATIONAL INC               IN       5.07                 10/24/11

KIMBERLY CLARK CORP                     DE       9.01                 10/24/11

KIT digital, Inc.                       DE       5.03,5.07,9.01       10/21/11

LAKES ENTERTAINMENT INC                 MN       1.01,9.01            10/18/11

LANDMARK ENERGY ENTERPRISE, INC.        NV       5.03                 10/20/11

LANDSTAR SYSTEM INC                     DE       2.02,9.01            10/24/11

LaSalle Hotel Properties                MD       5.02                 10/18/11

LEE ENTERPRISES, INC                    DE       2.02,9.01            10/24/11

Liberator, Inc.                         FL       1.01,9.01            10/21/11

Location Based Technologies, Inc.       NV       8.01,9.01            10/20/11

LORILLARD, INC.                         DE       2.02,9.01            10/24/11

LUCAS ENERGY, INC.                      NV       9.01                 10/24/11

MAC-GRAY CORP                           DE       8.01,9.01            10/24/11

Marina Biotech, Inc.                    DE       8.01                 10/21/11

MASCO CORP /DE/                         DE       2.02,9.01            10/24/11

MATTEL INC /DE/                         DE       1.01,7.01,9.01       10/23/11

Max Sound Corp                          DE       1.01,3.02,9.01       08/02/11

MEDNAX, INC.                            FL       1.01,2.03,7.01,9.01  10/21/11

METRO BANCORP, INC.                              2.02                 10/24/11

MINDSPEED TECHNOLOGIES, INC             DE       5.02                 10/20/11

MIPS TECHNOLOGIES INC                   DE       1.01,9.01            10/24/11

MOBILE STAR CORP                        DE       5.03,9.01            10/24/11

Molycorp, Inc.                          DE       7.01                 10/24/11

Monarch Financial Holdings, Inc.        VA       8.01,9.01            10/24/11

MOSAIC CO                                        8.01,9.01            10/24/11

MSC INDUSTRIAL DIRECT CO INC            NY       8.01,9.01            10/24/11

NARA BANCORP INC                        DE       2.02,9.01            10/24/11

NARA BANCORP INC                        DE       8.01,9.01            10/24/11

NAVISTAR INTERNATIONAL CORP             DE       1.01,8.01,9.01       10/18/11

NETFLIX INC                             DE       2.02,9.01            10/24/11

NEW ENGLAND REALTY ASSOCIATES LIMITED   MA       5.02,9.01            10/19/11

NEWS CORP                                        7.01,9.01            10/21/11

NEWS CORP                                        8.01,9.01            10/24/11

NEWS CORP                                        5.07                 10/21/11

NewStar Financial, Inc.                          7.01                 10/20/11

NORTHLAND CABLE PROPERTIES EIGHT LIMI   WA       1.01                 10/21/11

NORTHLAND CABLE PROPERTIES SEVEN LIMI   WA       1.01                 10/21/11

Northwest Bancshares, Inc.              MD       2.02,9.01            10/24/11

Nuance Communications, Inc.             DE       1.01,2.03,3.02,8.01, 10/18/11
                                                 9.01
          
OCWEN FINANCIAL CORP                    FL       1.01,9.01            10/19/11

PARK NATIONAL CORP /OH/                 OH       2.02,7.01,8.01,9.01  10/24/11

Patriot Coal CORP                       DE       5.02,9.01            10/18/11

PAULSON CAPITAL CORP                    OR       3.01                 10/21/11

PETMED EXPRESS INC                      FL       8.01,9.01            10/24/11

PLAINS ALL AMERICAN PIPELINE LP         DE       8.01,9.01            10/24/11

PLUM CREEK TIMBER CO INC                DE       2.02,9.01            10/24/11

PLX TECHNOLOGY INC                      DE       2.02,9.01            10/24/11

PMI GROUP INC                           DE       1.03,8.01,9.01       10/21/11

POTLATCH CORP                           DE       2.02,9.01            10/24/11

POWERWAVE TECHNOLOGIES INC              DE       1.01,2.01            10/21/11

PREMIER ALLIANCE GROUP, INC.            NV       5.02                 10/24/11

PUBLIC MEDIA WORKS INC                  DE       5.02                 10/24/11

QLT INC/BC                              A1       5.07                 10/24/11    AMEND

Radius Health, Inc.                     DE       9.01                 04/25/11    AMEND

Radius Health, Inc.                     DE       9.01                 05/17/11    AMEND

RED MOUNTAIN RESOURCES, INC.            FL       9.01                 05/26/11    AMEND

REGENERON PHARMACEUTICALS INC           NY       1.01,2.03,3.02,9.01  10/18/11

REINSURANCE GROUP OF AMERICA INC        MO       2.02,9.01            10/24/11

REPRO MED SYSTEMS INC                   NY       4.01,9.01            10/20/11

RESMED INC                              DE       2.02,9.01            10/24/11

REVA Medical, Inc.                      DE       7.01,9.01            10/24/11

REVA Medical, Inc.                      DE       7.01,9.01            10/24/11

RIGHTNOW TECHNOLOGIES INC               MT       1.01,8.01,9.01       10/23/11

RIGHTNOW TECHNOLOGIES INC               MT       2.02,9.01            10/24/11

ROPER INDUSTRIES INC                    DE       2.02,9.01            10/24/11

Rosetta Resources Inc.                  DE       5.02,7.01            10/21/11

RUSH ENTERPRISES INC \TX\               TX       2.02,9.01            10/24/11

S&T BANCORP INC                         PA       2.02,9.01            10/24/11

SAIC, Inc.                                       5.02,9.01            10/24/11

SAN JUAN BASIN ROYALTY TRUST            TX       2.02,9.01            10/24/11

SCHWEITZER MAUDUIT INTERNATIONAL INC    DE       8.01,9.01            10/24/11

SECURITY FEDERAL CORP                   SC       2.02,9.01            10/24/11

SGB International Holdings Inc.         A1       2.01,3.02,5.01,5.02, 05/11/11    AMEND
                                                 5.03,5.06,9.01

SHAW GROUP INC                          LA       5.02                 10/20/11

SHERWIN WILLIAMS CO                     OH       8.01,9.01            10/24/11

SIERRA BANCORP                          CA       2.02,9.01            10/24/11

SinoCubate, Inc                         NV       5.02                 10/20/11

SMUCKER J M CO                          OH       7.01,9.01            10/24/11

Solera National Bancorp, Inc.           DE       2.02,9.01            10/24/11

SOUTHERN CONNECTICUT BANCORP INC        CT       8.01                 10/18/11

SOUTHERN MICHIGAN BANCORP INC           MI       2.02,9.01            10/24/11

SOUTHERN MISSOURI BANCORP INC           MO       2.02,9.01            10/19/11

STANCORP FINANCIAL GROUP INC            OR       2.02,9.01            10/24/11

Strategic Mining Corp                            5.02                 10/19/11

SunGame Corp                            DE       8.01,9.01            10/17/11

SUNVALLEY SOLAR, INC.                   NV       1.01,2.03,3.02,9.01  10/18/11

SUNVALLEY SOLAR, INC.                   NV       1.01,2.03,3.02,9.01  10/18/11

SWORDFISH FINANCIAL, INC.               MN       8.01,9.01            10/24/11

SYNERGY PHARMACEUTICALS, INC.           FL       7.01,9.01            10/24/11

TANDY BRANDS ACCESSORIES INC            DE       5.07                 10/18/11

Targa Resources Corp.                   DE       2.02,9.01            10/19/11    AMEND

TELEPHONE & DATA SYSTEMS INC /DE/       DE       8.01,9.01            10/19/11

TEXAS INSTRUMENTS INC                   DE       2.02,9.01            10/24/11

TGC INDUSTRIES INC                      TX       8.01,9.01            10/24/11

TherapeuticsMD, Inc.                    UT       1.01,3.02,9.01       10/18/11

TIDELANDS BANCSHARES INC                         2.02,9.01            10/24/11

Tonix Pharmaceuticals Holding Corp.     NV       5.02                 10/20/11

Tower Group, Inc.                       DE       1.01,5.02,9.01       10/18/11

TRI VALLEY CORP                                  4.02,9.01            10/18/11

TRIPLE-S MANAGEMENT CORP                         1.01,8.01,9.01       10/17/11

TUESDAY MORNING CORP/DE                 DE       2.02,9.01            10/24/11

ULTRA CLEAN HOLDINGS INC                DE       2.02,9.01            10/24/11

ULTRATECH INC                           DE       5.07                 07/19/11    AMEND

Uni-Pixel                               DE       8.01,9.01            10/24/11

UNISYS CORP                             DE       2.02,9.01            10/24/11

UNITED BANCORP INC /OH/                 OH       2.02,9.01            10/21/11

United States 12 Month Natural Gas Fu            1.01,9.01            10/20/11

United States 12 Month Oil Fund, LP              1.01,9.01            10/20/11

United States Gasoline Fund, LP         DE       1.01,9.01            10/20/11

United States Heating Oil Fund, LP      DE       1.01,9.01            10/20/11

United States Natural Gas Fund, LP               1.01,9.01            10/20/11

United States Oil Fund, LP              DE       1.01,9.01            10/20/11

United States Short Oil Fund, LP        DE       1.01,9.01            10/20/11

V F CORP                                PA       2.02,7.01,9.01       10/24/11

VECTREN CORP                            IN       8.01                 10/21/11

VEECO INSTRUMENTS INC                   DE       2.02,5.03,9.01       10/20/11

VENTAS INC                              DE       1.01,1.02,2.03,9.01  10/18/11

Vera Bradley, Inc.                               5.02                 05/20/11    AMEND

Vera Bradley, Inc.                               5.07                 05/25/11    AMEND

Vera Bradley, Inc.                               5.02                 07/29/11    AMEND

Vera Bradley, Inc.                               5.02                 10/12/11    AMEND

VISTA GOLD CORP                         B0       7.01,9.01            10/19/11

VLOV INC.                               NV       8.01,9.01            10/24/11

VOLTERRA SEMICONDUCTOR CORP                      2.02,9.01            10/24/11

VOLTERRA SEMICONDUCTOR CORP                      8.01,9.01            10/24/11

WABCO Holdings Inc.                     DE       5.02,9.01            10/18/11

WASHINGTON FEDERAL INC                  WA       2.02,7.01,9.01       10/20/11

WASHINGTON TRUST BANCORP INC            RI       2.02,9.01            10/24/11

WAUSAU PAPER CORP.                      WI       2.02,5.02,8.01,9.01  10/24/11

WELLS FARGO & CO/MN                     DE       8.01                 10/24/11

Wesco Aircraft Holdings, Inc                     5.02,9.01            10/24/11

WEST COAST BANCORP /NEW/OR/             OR       1.01,9.01            10/18/11

Westinghouse Solar, Inc.                DE       8.01                 10/21/11

ZIONS BANCORPORATION /UT/               UT       2.02,8.01,9.01       10/24/11

Zoo Entertainment, Inc                  DE       2.04                 10/07/11    AMEND

http://www.sec.gov/news/digest/2011/dig102511.htm

SEC News Digest