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RULES AND RELATED MATTERSAdoption of Updated EDGAR Filer ManualEDGAR system was updated to Release 11.3 on November 21, 2011 and, as such, the EDGAR Filer Manual was updated to share the appropriate information with filers. The revisions were being made primarily to support the updates to submission form types ABS-15G and ABS-15G/A, to support changes in XBRL validations for filings containing Exhibit 101 documents, to update the OMB information on EDGARLite Form TA-W, and to add a new applicant type to the Form ID. In addition, the filer manual was also revised to address changes previously made in EDGAR. (Rels. 33-9281; 34-65803; 39-2481; IC-29868) ENFORCEMENT PROCEEDINGSDelinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Advanced Remote Communication Solutions, Inc., American Aircraft Corp. (a/k/a Codima, Inc.), Blowout Entertainment, Inc., and Bytewatch Technologies, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-65802; File No. 3-14608) In the Matter of Barry J. MinkowOn November 22, 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 against Barry J. Minkow. The Order finds that from at least 2007 until 2011, Minkow was the founder and principal of Fraud Discovery Institute, Inc., an unregistered investment adviser, and that on March 22, 2011, Minkow pled guilty to one count of conspiracy to commit securities fraud, in violation of 18 U.S.C. § 371 before the United States District Court for the Southern District of Florida in U.S. v. Barry Minkow, Case No. 11-20209-CR-SEITZ. The count of the criminal information to which Minkow pled guilty alleged, inter alia, that Minkow knowingly and intentionally conspired to execute a scheme and artifice to defraud in connection with Lennar Corporation (Lennar) common stock and obtained, by means of false and fraudulent pretenses, representations, and promises, money and property in connection with the purchase and sale of Lennar securities, that the purpose of the conspiracy was to artificially manipulate and depress Lennar’s stock price to induce Lennar to make payments of cash and common stock to Minkow’s co-conspirator, and that Minkow induced a law enforcement agency to open a criminal investigation against Lennar with a false and misleading report, and subsequently misappropriated that information by trading in Lennar securities for his own personal benefit. On July 21, 2011, Minkow was sentenced to five years in prison, and ordered to pay restitution in the amount of $583,500,000. Based on the above, the Commission deemed it appropriate and in the public interest to impose the sanctions agreed to in Minkow’s offer of settlement. Without admitting or denying the findings, except as to the above referenced criminal conviction, which is admitted, Minkow consented to a Commission Order barring him from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent. (Rel. IA-3320; File No. 3-14638) SEC Obtains Judgments Against Former CEO of China Voice Holding Corp.On November 22, 2011, the Securities and Exchange Commission announced that the Honorable Reed O’Connor, United States District Judge for the Northern District of Texas, entered a final judgment against William F. Burbank IV, the former Chief Executive Officer and President of China Voice Holding Corp. to settle charges that he made false and misleading statements and material omissions regarding China Voice and selectively disclosed material, non-public information regarding the company. Without admitting or denying the allegations in the SEC’s complaint, Burbank agreed to entry of a Final Judgment permanently enjoining him from violating Section 17(a) of the Securities Act of 1933, 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rule 10b-5 thereunder and from aiding and abetting violations of Section 13(a) of the Exchange Act and Regulation FD thereunder. The Final Judgment, entered on November 21, also orders Burbank to pay $60,333 in disgorgement and prejudgment interest and a civil penalty of $60,000. In addition, Burbank is barred from ten years from serving as an officer or director of a public company and from participating in an offering of a penny stock. The Commission filed an emergency action on April 28, 2011, alleging that China Voice’s co-founder and former Chief Financial Officer, David Ronald Allen, with the assistance of Alex Dowlatshahi and Christopher Mills, and numerous related entities, launched what became a Ponzi scheme that sought to raise at least $8.6 million from investors across the country. The Commission alleged that, contrary to what investors were told, proceeds were used to pay back earlier investors; to make payments to Allen, Dowlatshahi, and Mills; and to make payments to Allen-affiliated business, including China Voice. The Commission’s complaint alleged that Burbank also received ill-gotten gains from this Ponzi scheme. The SEC’s complaint further charged Burbank and Allen for a series of fraudulent statements about China Voice’s financial condition and business prospects and with selectively disclosing material, non-public information regarding the company to certain shareholders. In addition, the SEC charged China Voice shareholders Ilya Drapkin and Gerald Patera with financing stock promotion campaigns regarding China Voice, including a blast fax campaign conducted by Robert Wilson. The Commission’s case is still pending against remaining defendants China Voice, Allen, Wilson, and various of their related entities. [SEC v David Ronald Allen, et al., Civil Action No. 3:11-CV-882 –O (N.D. Tex.)] (LR-22165) INVESTMENT COMPANY ACT RELEASESJohn Hancock Variable Insurance Trust, et al.A notice has been issued giving interested persons until December 13, 2011, to request a hearing on an application filed by John Hancock Variable Insurance Trust, et al., for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 18(f) and 21(b) of the Act; under Section 12(d)(1)(J) of the Act for an exemption from Section 12(d)(1) of the Act; under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Act; and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint arrangements. The order would permit certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-29865 - November 18) SEI Investments Management Corporation, et al.A notice has been issued giving interested persons until December 13, 2011 to request a hearing on an application filed by SEI Investments Management Corporation, 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 would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29866 - November 18) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the Chicago Stock Exchange, Inc. (SR-CHX-2011-31) to amend the Trade Processing Fee 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 November 21. (Rel. 34-65792) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-83) regarding fees and rebates relating to executed Qualified Contingent Cross orders 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 November 21. (Rel. 34-65797) A proposed rule change filed by the C2 Options Exchange, Incorporated related to a temporary Quote Risk Monitor Mechanism rule (SR-C2-2011-035) 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 November 21. (Rel. 34-65800) JOINT INDUSTRY PLAN RELEASESNotice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Implement New Policies Regarding Reporting and Usage-Based Vendor FeesThe Options Price Reporting Authority filed a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2011-03) to revise the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to implement new policies regarding Reporting and Usage-Based Vendor Fees. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65794) Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Modify the Datafeed PolicyThe Options Price Reporting Authority filed a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2011-04) to revise the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to implement the Datafeed Policy. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65795) Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan to Adopt a Policy named “Policy with respect to Disaster Recovery Facilities”The Options Price Reporting Authority filed a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2011-05) to revise the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to adopt a policy named “Policy with respect to Disaster Recovery Facilities.” Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65796) 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-3 Compass Diversified Holdings, 61 WILTON ROAD, WESTPORT, CT, 06880, 203-221-1703 - 0 ($412,711,500.00) Other, (File 333-178071 - Nov. 21) (BR. 11A) S-3 ARROWHEAD RESEARCH CORP, 201 SOUTH LAKE AVENUE, SUITE 703, PASADENA, CA, 91101, 626-304-3400 - 0 ($11,189,479.00) Equity, (File 333-178072 - Nov. 21) (BR. 01B) S-3 ARROWHEAD RESEARCH CORP, 201 SOUTH LAKE AVENUE, SUITE 703, PASADENA, CA, 91101, 626-304-3400 - 0 ($9,630,344.16) Equity, (File 333-178073 - Nov. 21) (BR. 01B) S-3 Pioneer Southwest Energy Partners L.P., 5205 N. O'CONNOR BLVD., SUITE 200, IRVING, TX, 75039, (972) 444-9001 - 0 ($606,709,278.00) Other, (File 333-178074 - Nov. 21) (BR. 04B) S-8 CINCINNATI FINANCIAL CORP, 6200 S GILMORE RD, FAIRFIELD, OH, 45014, 5138702000 - 250,000 ($7,182,500.00) Equity, (File 333-178075 - Nov. 21) (BR. 01A) S-8 NetQin Mobile Inc., No. 4 Building, 11 Heping Li East Street, Dongcheng District, Beijing, F4, 100013, (86-10) 8565-5555 - 0 ($77,448,013.42) ADRs/ADSs, (File 333-178076 - Nov. 21) (BR. 03B) S-8 Northwest Bancshares, Inc., 100 LIBERTY STREET, WARREN, PA, 16365, (814) 726-2140 - 9,821,816 ($119,944,025.00) Equity, (File 333-178077 - Nov. 21) (BR. 07C) S-3 CINCINNATI FINANCIAL CORP, 6200 S GILMORE RD, FAIRFIELD, OH, 45014, 5138702000 - 6,160,000 ($1.00) Equity, (File 333-178080 - Nov. 21) (BR. 01A) S-3ASR MORGAN STANLEY, 1585 BROADWAY, NEW YORK, NY, 10036, 212-761-4000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178081 - Nov. 21) (BR. 12A) S-1 GENERAL AIRCRAFT INC., 5389 GOLDEN BARREL AVE, LAS VEGAS, NV, 89141, 702-493-5038 - 3,500,000 ($35,000.00) Equity, (File 333-178082 - Nov. 21) (BR. 05) N-2 Reaves Global Utility & Energy Income Fund, 1290 BROADWAY, SUITE 1100, DENVER, CO, 80203, 303-623-2577 - 50,000 ($1,000,000.00) Equity, (File 333-178083 - Nov. 21) (BR. ) S-4 NABORS INDUSTRIES INC, 515 W GREEN RD STE 1200, HOUSTON, TX, 77067, 2818740035 - 0 ($700,000,000.01) Non-Convertible Debt, (File 333-178084 - Nov. 21) (BR. 04B) S-8 New York & Company, Inc., 450 WEST 33RD ST 5TH FL, NEW YORK, NY, 10001, 212-884-2110 - 0 ($9,920,000.00) Equity, (File 333-178085 - Nov. 21) (BR. 09B) S-3ASR KANSAS CITY SOUTHERN, 427 W 12TH STREET, KANSAS CITY, MO, 64105, 8169831303 - 0 ($0.00) Other, (File 333-178086 - Nov. 21) (BR. 05B) S-3ASR SLM CORP, 300 CONTINENTAL DRIVE, NEWARK, DE, 19713, (302) 283-8000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178087 - Nov. 21) (BR. 12A) S-11 Independence Mortgage Trust, Inc., CIRA CENTRE, 2929 ARCH STREET, PHILADELPHIA, PA, 19104, 215-243-9000 - 0 ($1,650,000,000.00) Equity, (File 333-178088 - Nov. 21) (BR. ) S-3ASR NETFLIX INC, 100 WINCHESTER CIRCLE, ., LOS GATOS, CA, 95032, 408-540-3700 - 0 ($0.00) Equity, (File 333-178091 - Nov. 21) (BR. 05C) S-8 American Rare Earths & Materials, Corp., 200 QUEENS QUAY EAST, UNIT 1, TORONTO,, A6, M5A 4K9, 416-362-2121 - 9,000,000 ($742,500.00) Equity, (File 333-178092 - Nov. 21) (BR. 05A) S-3ASR OGE ENERGY CORP., 321 N HARVEY, P.O. BOX 321, OKLAHOMA CITY, OK, 73101-0321, 4055533000 - 2,647,793 ($137,155,677.40) Equity, (File 333-178093 - Nov. 21) (BR. 02C) F-3ASR BANCO SANTANDER CHILE, BANDERA 140, PISO 19, SANTIAGO CHILE, F3, 562-320-8284 - 0 ($121,630.96) Equity, (File 333-178094 - Nov. 21) (BR. 07C) S-8 UNITED FIRE & CASUALTY CO, 118 SECOND AVE SE, CEDAR RAPIDS, IA, 52407, 3193995700 - 150,000 ($2,673,000.00) Equity, (File 333-178095 - Nov. 21) (BR. 01A) 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 1st Century Bancshares, Inc. DE 5.02 11/17/11 3D SYSTEMS CORP DE 7.01,9.01 11/21/11 ABERCROMBIE & FITCH CO /DE/ DE 2.02,5.03,8.01,9.01 11/15/11 ACCELRYS, INC. DE 8.01 11/18/11 ADEONA PHARMACEUTICALS, INC. DE 1.01,3.02,9.01 11/18/11 ADVANCED BATTERY TECHNOLOGIES, INC. DE 3.01 11/21/11 ADVANT E CORP DE 8.01,9.01 11/21/11 AEROFLEX HOLDING CORP. DE 5.02,5.07,9.01 11/16/11 AeroGrow International, Inc. NV 2.03,9.01 11/15/11 AIR LEASE CORP DE 3.02 11/21/11 ALLEGHANY CORP /DE DE 1.01,8.01,9.01 11/20/11 ALPHA & OMEGA SEMICONDUCTOR Ltd 5.07 11/18/11 American Eagle Energy Inc. NV 8.01,9.01 11/21/11 AMERICAN EXPRESS CREDIT CORP DE 9.01 11/21/11 American Lorain CORP NV 2.02,9.01 11/21/11 American Lorain CORP NV 5.07 11/21/11 AMERICAN REALTY CAPITAL NEW YORK RECO MD 8.01 11/14/11 AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.02 11/15/11 AMICO GAMES CORP. NV 5.02 11/09/11 AMICUS THERAPEUTICS INC DE 5.07 11/21/11 ANALOG DEVICES INC MA 2.02,9.01 11/21/11 APD ANTIQUITIES, INC. NV 1.01,9.01 11/15/11 APOLLO GROUP INC AZ 8.01 11/17/11 Apple REIT Eight, Inc. VA 8.01 11/21/11 Apple REIT Nine, Inc. VA 8.01 11/21/11 Apple REIT Seven, Inc. VA 8.01 11/21/11 APPLE REIT SIX INC 8.01 11/21/11 APRICUS BIOSCIENCES, INC. NV 5.02,9.01 11/17/11 As Seen On TV, Inc. FL 1.01,3.02,8.01 11/18/11 AspenBio Pharma, Inc. CO 1.02,9.01 11/15/11 ASTORIA FINANCIAL CORP DE 8.01,9.01 11/21/11 ATHENA SILVER CORP CA 7.01,9.01 11/18/11 ATLAS PIPELINE PARTNERS LP DE 1.01,2.03,9.01 11/16/11 AvStar Aviation Group, Inc. CO 2.03,3.02 05/05/11 Bacterin International Holdings, Inc. DE 5.02,7.01 11/17/11 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 11/21/11 BEACON ROOFING SUPPLY INC DE 5.02 11/18/11 Behringer Harvard Opportunity REIT I, MD 1.01,2.03 11/15/11 BENIHANA INC DE 7.01,9.01 11/21/11 BOB EVANS FARMS INC DE 2.02,9.01 11/15/11 Book Merge Technology, Inc. NV 1.01,2.01,3.02,5.01, 11/29/10 AMEND 5.02,5.06,9.01 BORDERS GROUP INC MI 7.01,9.01 11/21/11 BOSTON BEER CO INC MA 8.01 11/16/11 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 5.02,5.07,9.01 11/17/11 BRIDGE BANCORP INC NY 1.01,8.01,9.01 11/21/11 Bridgepoint Education Inc DE 5.02,8.01 11/17/11 BRINKS CO VA 5.02,5.03,9.01 11/13/11 AMEND BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 11/21/11 BROWN FORMAN CORP DE 1.01,1.02,2.03,9.01 11/18/11 BROWN SHOE CO INC NY 2.02,9.01 11/21/11 BSD MEDICAL CORP DE 7.01,9.01 11/21/11 Business Marketing Services Inc DE 2.01,9.01 11/21/11 Business Marketing Services Inc DE 2.01,9.01 11/21/11 CALGON CARBON CORPORATION DE 1.01,2.03,9.01 11/17/11 CAMPBELL SOUP CO NJ 5.07 11/17/11 CARBON 612 Corp DE 5.02 11/18/11 CARDICA INC DE 5.02,5.07,9.01 11/17/11 CAREER EDUCATION CORP DE 7.01 11/14/11 CAREER EDUCATION CORP DE 8.01 11/21/11 CBRE GROUP, INC. DE 7.01,9.01 11/21/11 CEDAR FAIR L P DE 1.01 11/15/11 CENTRAL FEDERAL CORP DE 8.01,9.01 11/21/11 CENTRAL PACIFIC FINANCIAL CORP HI 5.03,9.01 11/18/11 CENTRAL VALLEY COMMUNITY BANCORP CA 5.02 11/16/11 CHENIERE ENERGY INC DE 1.01,8.01,9.01 11/21/11 Cheniere Energy Partners, L.P. DE 1.01,8.01,9.01 11/21/11 CHESAPEAKE GRANITE WASH TRUST DE 1.01,3.02,5.03,9.01 11/21/11 China Agricorp, Inc NV 2.04,5.02,8.01 08/26/11 China Auto Logistics Inc NV 5.07 11/17/11 China Executive Education Corp 4.02,9.01 11/15/11 CHINA INFRASTRUCTURE CONSTRUCTION Cor CO 5.02 11/17/11 China Internet Cafe Holdings Group, I NV 8.01,9.01 11/16/11 China Pharmaceuticals Inc NV 4.02 11/18/11 CIGNA CORP DE 5.02 11/15/11 CINCINNATI FINANCIAL CORP OH 7.01,9.01 11/18/11 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01 11/21/11 CITIGROUP INC DE 9.01 11/21/11 CLAYTON WILLIAMS ENERGY INC /DE DE 2.03,9.01 11/21/11 CLX MEDICAL, INC. CO 1.01,5.01,5.02,5.03, 11/21/11 9.01 COLLECTIVE BRANDS, INC. DE 2.02,7.01,9.01 11/21/11 COMMERCE GROUP CORP /WI/ WI 8.01,9.01 11/17/11 CONOCOPHILLIPS DE 5.02 11/21/11 Copano Energy, L.L.C. 5.02,9.01 11/15/11 COPsync, Inc. DE 3.02 11/15/11 CYBEX INTERNATIONAL INC NY 8.01,9.01 11/21/11 DEBT RESOLVE INC DE 5.02 11/15/11 DEL TORO SILVER CORP. NV 1.01,7.01,9.01 11/14/11 Digital Systems, Inc. CO 7.01,9.01 11/19/11 Discover Card Execution Note Trust DE 1.01,8.01,9.01 11/21/11 DRI CORP NC 2.02,7.01,9.01 11/21/11 EARTHLINK INC DE 1.02 11/15/11 EDGAR ONLINE INC DE 8.01,9.01 11/21/11 Edgen Murray II, L.P. DE 2.02 11/21/11 Elevate, Inc. NV 5.02 11/18/11 EMCOR GROUP INC DE 1.01,1.02,9.01 11/21/11 ENERGY PARTNERS LTD DE 2.01,2.02,9.01 11/17/11 Epazz Inc IL 1.01,2.01,2.03,9.01 10/26/11 EPOCRATES INC DE 3.01,5.02 11/16/11 Eternal Energy Corp. 8.01,9.01 11/21/11 EWaste Systems, Inc. NV 1.01,2.03,3.02,9.01 05/02/11 Expedia, Inc. 8.01,9.01 11/21/11 Feihe International Inc UT 9.01 09/30/11 AMEND FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 11/21/11 FIRST MID ILLINOIS BANCSHARES INC DE 2.03,9.01 11/21/11 FIRST NORTHERN COMMUNITY BANCORP CA 8.01 11/18/11 FIRST QUANTUM VENTURES INC NV 4.01,9.01 11/10/11 AMEND FIRST SOLAR, INC. DE 5.02,9.01 11/15/11 AMEND FIRSTFED FINANCIAL CORP DE 8.01,9.01 11/15/11 FLOWSERVE CORP NY 5.02,5.03,9.01 11/17/11 FLUOROPHARMA MEDICAL, INC. NV 4.01 11/01/11 AMEND FOREVER VALUABLE COLLECTIBLES, INC. CO 4.01 11/21/11 AMEND FULTON FINANCIAL CORP PA 7.01,9.01 11/21/11 Fushi Copperweld, Inc. NV 8.01,9.01 11/21/11 FUSION TELECOMMUNICATIONS INTERNATION DE 2.02,7.01,9.01 11/17/11 FutureFuel Corp. DE 8.01,9.01 11/17/11 GARDNER DENVER INC DE 7.01,8.01,9.01 11/17/11 GARDNER DENVER INC DE 5.02 11/16/11 AMEND GENCORP INC OH 1.01,2.03,8.01,9.01 11/18/11 GENUINE PARTS CO GA 8.01,9.01 11/21/11 GILEAD SCIENCES INC DE 8.01,9.01 11/21/11 GLOBAL INDUSTRIES LTD LA 8.01,9.01 11/21/11 GLOBAL PARTNERS LP 7.01,9.01 11/21/11 GLOBAL PARTNERS LP 7.01,9.01 11/21/11 GLOBECOMM SYSTEMS INC 5.07 11/17/11 GoldLand Holdings Corp. DE 5.02 11/21/11 GOLDMAN SACHS GROUP INC DE 8.01,9.01 11/21/11 GT Advanced Technologies Inc. DE 1.01 11/18/11 HAMPSHIRE GROUP LTD DE 2.02,9.01 11/15/11 HASTINGS ENTERTAINMENT INC TX 2.02,9.01 11/21/11 HEALTH MANAGEMENT ASSOCIATES INC DE 1.01,1.02,2.02,2.03, 11/18/11 2.06,9.01 HEALTHSTREAM INC TN 1.01,8.01,9.01 11/17/11 HEWLETT PACKARD CO DE 2.02,9.01 11/21/11 HILLS BANCORPORATION IA 8.01 11/15/11 HollyFrontier Corp DE 5.02,5.03,9.01 11/15/11 HOLLYWOOD MEDIA CORP FL 2.02,9.01 11/21/11 Homeland Security Capital CORP DE 5.03 11/16/11 HORNE INTERNATIONAL, INC. DE 8.01,9.01 11/21/11 HSW International, Inc. DE 4.02 11/10/11 Ideal Financial Solutions Inc 4.02 11/21/11 IEC ELECTRONICS CORP DE 1.01,2.03,9.01 11/17/11 INLAND REAL ESTATE CORP MD 1.01,2.03,9.01 11/21/11 INUVO, INC. NV 7.01,9.01 11/21/11 JACK IN THE BOX INC /NEW/ DE 2.02,9.01 11/21/11 JEFFERIES GROUP INC /DE/ DE 7.01,9.01 11/21/11 KEMET CORP DE 2.05,9.01 11/15/11 KIMBERLY CLARK CORP DE 5.02,9.01 11/20/11 KRONOS WORLDWIDE INC 7.01,9.01 11/18/11 LACLEDE GROUP INC MO 5.02,7.01,9.01 11/17/11 LAS VEGAS SANDS CORP NV 1.02,2.03 11/15/11 LEAPFROG ENTERPRISES INC 8.01 11/16/11 Liberator, Inc. FL 2.02,9.01 11/18/11 LIGHTING SCIENCE GROUP CORP DE 1.01,3.02,5.03,9.01 11/17/11 Lithium Exploration Group, Inc. NV 1.01,9.01 11/18/11 LOCAL.COM DE 5.07,9.01 07/20/11 AMEND MARRIOTT INTERNATIONAL INC /MD/ DE 1.01,2.01,9.01 11/17/11 MATRIX SERVICE CO DE 5.07 11/17/11 MATTEL INC /DE/ DE 5.02,7.01,9.01 11/19/11 MDU RESOURCES GROUP INC DE 5.03,8.01,9.01 11/17/11 MEDICAL INTERNATIONAL TECHNOLOGY INC CO 7.01,9.01 11/18/11 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 11/15/11 MET PRO CORP PA 5.07 11/21/11 AMEND MICROS SYSTEMS INC MD 5.07 11/18/11 MINE SAFETY APPLIANCES CO PA 1.01,9.01 11/16/11 MISCOR GROUP, LTD. IN 1.01,9.01 11/21/11 Monarch Financial Holdings, Inc. VA 8.01,9.01 11/21/11 Monarch Financial Holdings, Inc. VA 5.02,9.01 11/21/11 MOTORCAR PARTS AMERICA INC NY 3.01,9.01 11/15/11 MOVE INC DE 3.03,5.03,8.01,9.01 11/18/11 NCO Group, Inc. DE 2.02,7.01,9.01 11/15/11 NETFLIX INC DE 1.01,3.02 11/21/11 NEXTERA ENERGY INC FL 2.03 11/18/11 NIKE INC OR 5.07 11/17/11 AMEND NUTRITION 21 INC NY 7.01,9.01 11/21/11 PACIFIC MERCANTILE BANCORP CA 5.02,7.01,9.01 11/15/11 PALADIN REALTY INCOME PROPERTIES INC MD 2.01,2.03,9.01 11/15/11 PANERA BREAD CO DE 8.01 11/17/11 Paradigm Oil & Gas, Inc. NV 1.01,9.01 11/17/11 PARK OHIO HOLDINGS CORP OH 5.02 11/16/11 Park Place Energy Corp. NV 4.01,9.01 11/21/11 PATRIOT NATIONAL BANCORP INC CT 5.02,9.01 11/16/11 PDI INC 1.01,5.02,9.01 11/16/11 PERCEPTRON INC/MI MI 5.07 11/15/11 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 11/18/11 Pharmasset Inc 1.01,8.01,9.01 11/21/11 PIONEER DRILLING CO TX 1.01,2.03,8.01,9.01 11/21/11 PIONEER POWER SOLUTIONS, INC. DE 1.01,2.03,9.01 10/31/11 POLYONE CORP 5.02 11/16/11 POWERSECURE INTERNATIONAL, INC. DE 1.01,2.03,9.01 11/17/11 PowerShares DB Commodity Index Tracki 8.01,9.01 11/21/11 PowerShares DB G10 Currency Harvest F DE 8.01,9.01 11/21/11 PowerShares DB Multi-Sector Commodity DE 8.01,9.01 11/21/11 PowerShares DB US Dollar Index Trust DE 8.01,9.01 11/21/11 PPLUS Trust Series GSC-2 DE 8.01,9.01 11/15/11 PRICESMART INC DE 5.02,5.05,9.01 11/21/11 RADIOSHACK CORP DE 5.02,9.01 11/21/11 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 11/21/11 REALNETWORKS INC WA 5.07 11/16/11 RED MOUNTAIN RESOURCES, INC. FL 5.02 11/21/11 REGENERON PHARMACEUTICALS INC NY 8.01,9.01 11/18/11 RESPONSE GENETICS INC 3.01 11/15/11 River Rock Entertainment Authority XX 7.01,9.01 11/18/11 Riverview Financial Corp PA 5.02,8.01,9.01 11/16/11 ROCKWELL COLLINS INC DE 1.01,2.03,8.01,9.01 11/16/11 ROCKWELL COLLINS INC DE 8.01,9.01 11/16/11 ROYAL GOLD INC DE 5.05,5.07 11/15/11 ROYAL GOLD INC DE 5.02 11/15/11 AMEND SABA SOFTWARE INC DE 5.02,5.07,9.01 11/16/11 SAFEGUARD SCIENTIFICS INC PA 8.01,9.01 11/21/11 SALEM COMMUNICATIONS CORP /DE/ DE 1.01,2.03,9.01 11/15/11 SALIX PHARMACEUTICALS LTD 8.01,9.01 11/16/11 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 11/21/11 SBT Bancorp, Inc. CT 7.01,9.01 11/17/11 SCIENTIFIC INDUSTRIES INC DE 9.01 11/14/11 AMEND SED INTERNATIONAL HOLDINGS INC 2Q 5.02 11/18/11 Silver Falcon Mining, Inc. DE 5.02,8.01 11/21/11 Sinobiopharma, Inc. NV 1.01,9.01 10/25/11 SinoCubate, Inc NV 1.01,9.01 09/26/11 AMEND SLM CORP DE 3.01,5.03,9.01 11/17/11 SMF ENERGY CORP DE 5.02,7.01,9.01 11/16/11 SOUTH JERSEY GAS Co NJ 5.02,5.03,9.01 11/18/11 SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 11/21/11 SOUTH JERSEY INDUSTRIES INC NJ 5.02,5.03,9.01 11/18/11 SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 11/17/11 SOUTHERN CONNECTICUT BANCORP INC CT 5.02 11/15/11 SOUTHWEST GAS CORP CA 5.04 11/18/11 SPECTRUM PHARMACEUTICALS INC DE 8.01,9.01 11/21/11 STEELE RESOURCES CORP NV 8.01,9.01 11/17/11 STEIN MART INC FL 2.02,9.01 11/17/11 STELLAR PHARMACEUTICALS INC 2.02,9.01 11/14/11 STERLING GROUP VENTURES INC NV 8.01,9.01 11/16/11 STONE ENERGY CORP DE 1.01,7.01,9.01 11/18/11 Summer Infant, Inc. DE 5.02,5.03,9.01 11/15/11 SUNTRUST BANKS INC GA 8.01 11/21/11 SUPERIOR ENERGY SERVICES INC DE 8.01,9.01 11/21/11 SUPERMEDIA INC. DE 7.01 11/21/11 SURMODICS INC MN 2.01,7.01,9.01 11/17/11 SXC Health Solutions Corp. A6 1.01,2.03,7.01 11/17/11 SYSCO CORP DE 5.07 11/16/11 TC PIPELINES LP DE 3.01,7.01,9.01 11/21/11 TECH DATA CORP FL 2.02,9.01 11/21/11 TELETECH HOLDINGS INC DE 5.02,9.01 10/27/11 AMEND THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 11/21/11 TMST, Inc. MD 7.01,9.01 11/18/11 Tops Holding Corp DE 2.02,9.01 11/21/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 11/18/11 tw telecom inc. DE 8.01,9.01 11/16/11 TYSON FOODS INC DE 2.02,9.01 11/21/11 U S GOLD CORP CO 7.01,9.01 11/18/11 U S GOLD CORP CO 8.01,9.01 11/21/11 UNITED BANCORP INC /MI/ MI 2.02,7.01,9.01 11/21/11 UNITED FIRE & CASUALTY CO IA 7.01,8.01,9.01 11/18/11 UNITED SECURITY BANCSHARES CA 4.02 11/21/11 UNIVERSAL POWER GROUP INC. TX 2.02,9.01 11/09/11 UNIVERSAL POWER GROUP INC. TX 5.07 11/17/11 VALERO ENERGY CORP/TX DE 7.01,9.01 11/16/11 AMEND VLOV INC. NV 2.02,9.01 11/21/11 VW CREDIT LEASING LTD 8.01,9.01 11/16/11 WACCAMAW BANKSHARES INC NC 3.01,9.01 11/15/11 WaferGen Bio-systems, Inc. NV 2.02,9.01 11/21/11 WEIGHT WATCHERS INTERNATIONAL INC VA 3.03,9.01 11/19/11 WELLCARE HEALTH PLANS, INC. DE 5.02,9.01 11/17/11 WELLS FARGO & CO/MN DE 9.01 11/21/11 WESCORP ENERGY INC DE 5.02,9.01 11/15/11 WESTERN DIGITAL CORP DE 7.01,9.01 11/21/11 Western Refining, Inc. DE 8.01,9.01 11/21/11 WESTMOUNTAIN INDEX ADVISOR INC CO 2.03,9.01 11/15/11 WGL HOLDINGS INC VA 2.02,9.01 11/18/11 Wikifamilies, Inc. NV 4.01 05/20/11 WILLIS LEASE FINANCE CORP DE 1.01,2.03,7.01,9.01 11/18/11 XPO Logistics, Inc. DE 5.02,9.01 11/21/11 Xylem Inc. IN 2.02,7.01,9.01 11/21/11 ZALE CORP DE 2.02,9.01 11/21/11 ZIONS BANCORPORATION /UT/ UT 9.01 11/21/11 ZYGO CORP DE 5.07 11/16/11 AMEND
http://www.sec.gov/news/digest/2011/dig112211.htm
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