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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-230
November 30, 2011

Commission Announcements

SEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) today issued a Risk Alert and a Regulatory Notice on broker-dealer branch inspections, and offered suggestions to help securities industry firms better perform this key supervisory function.

“A robust process for self-inspection of branch offices is a critical element of a firm’s compliance and supervision process, and a vital part of a comprehensive risk management program,” said Carlo di Florio, Director of OCIE.  “This Risk Alert highlights practices that are characteristic of effective branch office supervisory systems, and describes major deficiencies that SEC and FINRA examiners have found in the branch inspection process.”

“An effective risk based branch office inspection program is an important component of a broker-dealer’s supervisory system and, when constructed and implemented reasonably, it can better protect investors and the firm’s own interests,” said Stephen Luparello, Vice Chairman of FINRA. “FINRA encourages broker-dealers to review this guidance and consider enhancements to their own branch office inspection programs.”

Along with specific requirements outlined in the report, effective practices observed by examiners include:

  • Using risk analysis to identify whether individual non-supervising branches should be inspected more frequently than the FINRA-required minimum three-year cycle, with more frequent inspections of branches meeting certain risk criteria. In addition, some firms conduct “re-audits” when routine inspections reveal a high number of deficiencies, repeat deficiencies, or serious deficiencies. Typically, these re-audits and audits for cause are conducted as unannounced inspections.
  • Using surveillance reports and employing current technology and techniques to help identify risks and develop a customized approach for branch office inspections based on the type of business conducted at each branch.
  • Employing comprehensive checklists that incorporate previous inspection findings and trends noted in internal reports such as audit reports.
  • Conducting unannounced branch inspections either randomly or based on certain risk factors. “Surprise” exams may yield a more realistic picture of a broker-dealer’s supervisory system as they reduce the risk that individual RRs and principals might attempt to falsify, conceal, or destroy records in anticipation for an internal inspection.
  • Involving qualified senior personnel in several branch office examinations each year.
  • Incorporating findings of branch office inspections into management information or risk management systems and using a centralized, comprehensive compliance database that enables compliance personnel in various offices to access to information about all of the firm’s RRs and their business activities. Such a system appears to be very useful when supervising independent contractor RRs dispersed across a broad geographic area.
  • Providing branch office managers with the firm’s internal inspection findings and requiring them to take and document corrective action.
  • Tracking corrective action taken by each branch office manager in response to branch audit findings.
  • Elevating the frequency of branch inspections, or their scope, or both, in cases where registered personnel are allowed to conduct business activities other than as associated persons of a broker-dealer, for example away from the firm.

This is the second in a continuing series of Risk Alerts that the SEC’s national examination staff expects to issue. These documents are intended to alert senior management, risk management, and compliance managers in the securities industry to significant risks identified by the SEC’s national examination staff, so that industry members can more effectively address those risks.  The following SEC staff contributed substantially to preparing this Risk Alert: Julius Leiman-Carbia, Daniel Gregus, Rich Hannibal, George Kramer, Barbara Lorenzen and Karol Pollock

The following FINRA staff also contributed substantially to preparing this Risk Alert: Michael Rufino, Paul Fagone, Donald Litteau and George Walz. (Press Rel. 2011-250)

Enforcement Proceedings

In the Matter of Joseph Valko

On November 29, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing against Joseph Valko. The proceedings are based on a judgment of permanent injunction entered by default in the civil action entitled Securities and Exchange Commission v. Joseph Valko, et al., Civil Action Number 11-80038-CV-MARRA/JOHNSON, in the United States District Court for the Southern District of Florida. The judgment permanently enjoins Valko from violations of Section 17(a) of the Securities Act of 1933, Sections 15(a) and 10(b) of the Exchange Act and Rule 10b-5 thereunder.

In the Order, the Division alleges Valko through telemarketers he managed, solicited investors to purchase securities in exchange for transaction-based compensation in the form of sales commissions. The Commission’s civil complaint alleges that from March through July 2008, Petroleum Unlimited, LLC and Petroleum Unlimited II, LLC raised approximately $2.9 million through offerings of limited liability company membership interests to investors. Valko conducted the private placement offerings through sales offices in Florida and New Jersey of a related company, GPS Management, Inc. GPS Management has never been registered with the Commission in any capacity. Valko was responsible for hiring, training, and monitoring GPS Management’s sales agents. Valko managed and operated the sales offices and knew sales agents and the offering materials were not advising investors about the sales commissions of 49% to 74%.

A hearing before an administrative law judge will be scheduled to determine whether the allegations in the Order are true, to provide the Respondent an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directs the administrative law judge to issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-65848; File No. 3-14647)

In the Matter of Robert Rossi

On November 29, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing against Robert Rossi. The proceedings are based on a judgment of permanent injunction entered by default in the civil action entitled Securities and Exchange Commission v. Robert Rossi, et al., Civil Action Number 11-80038-CV-MARRA/JOHNSON, in the United States District Court for the Southern District of Florida. The judgment permanently enjoins Rossi from violations of Section 17(a) of the Securities Act of 1933, Sections 15(a) and 10(b) of the Exchange Act and Rule 10b-5 thereunder.

In the Order, the Division alleges Rossi through telemarketers he managed, solicited investors to purchase securities in exchange for transaction-based compensation in the form of sales commissions. The Commission’s civil complaint alleges that from March through July 2008, Petroleum Unlimited, LLC and Petroleum Unlimited II, LLC raised approximately $2.9 million through offerings of limited liability company membership interests to investors. Rossi conducted the private placement offerings through sales offices in Florida and New Jersey of a related company, GPS Management, Inc. Rossi was responsible for GPS Management’s day-to-day operations. GPS Management has never been registered with the Commission in any capacity. Rossi managed and operated the sales offices and knew sales agents and the offering materials were not advising investors about the sales commissions of 49% to 74%.

A hearing before an administrative law judge will be scheduled to determine whether the allegations in the Order are true, to provide the Respondent an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directs the administrative law judge to issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-65849; File No. 3-14648)

In the Matter of Hanes Morgan & Co., Inc. and Uche Akwuba

On November 29, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order. The Order finds that Respondents Hanes Morgan and Akwuba made false and misleading statements to potential advisory clients. The Order also finds that Respondents did not disclose Akwuba’s 1998 wire fraud conviction or his 1991 bar from association with any NASD member firm. The Order finds that Hanes Morgan willfully violated Sections 206(1), 206(2) and 206(4) of the Advisers Act, and Rules 206(4)-1(a)(3), 206(4)-1(a)(5) and 206(4)-4(a)(2) thereunder, and Akwuba willfully violated Sections 206(1) and 206(2) of the Advisers Act and willfully aided and abetted and caused Hanes Morgan’s violations.

Based on the above, the Order (i) requires Hanes Morgan and Akwuba to cease and desist from committing or causing any violations and any future violations of Sections 206(1), 206(2), and 206(4) and Rule 206(4)-1 promulgated thereunder; (ii) bars Akwuba from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and prohibits him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter; (iii) censures Hanes Morgan; and (iv) orders Hanes Morgan and Akwuba each to pay a civil monetary penalty in the amount of $100,000.

Hanes Morgan and Akwuba consented to the issuance of the Order without admitting or denying the Order’s findings. (Rel. IA-3326; IC-29877; File No. 3-14649)

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of Si Mei Te Food Ltd. (f/k/a China Discovery Acquisition Corp.) has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-65850; File No. 3-14432)

In the Matter of Chetan Kapur

On November 30, 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 Chetan Kapur (Kapur).

On November 16, 2011, a judgment was entered by consent against Kapur, permanently enjoining him 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 Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Chetan Kapur, Civil Action Number 11-Civ-8094, in the United States District Court for the Southern District of New York. According to the Order, the Commission’s complaint alleges that Kapur and ThinkStrategy, over nearly seven years, misrepresented to their investors various information concerning the funds’ investment performance, longevity, assets, and the credentials and experience of ThinkStrategy’s management team. The complaint further alleges that, with respect to the Multi-Strategy Fund, Kapur and ThinkStrategy misstated the scope and quality of their due diligence checks on portfolio managers and hedge funds selected for investment. Had ThinkStrategy adhered to its stated due diligence standards, the Multi-Strategy Fund may not have invested detrimentally in several hedge funds that were later revealed to be Ponzi schemes or other serious frauds.

Based on the above, the Order bars Kapur from association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization. Kapur consented to the issuance of the Order without admitting or denying the findings in the Order, except as to the entry of the injunction. (Rel. IA-3327; File No. 3-14650)

Former FDA Chemist Settles SEC Insider Trading Charges

The Commission today announced the entry of a final judgment against Cheng Yi Liang, a former chemist who worked at the U.S. Food and Drug Administration (FDA). The Commission previously alleged that Liang traded based on confidential information he obtained from the FDA in advance of at least 28 public announcements about FDA drug approval decisions for profits and losses avoided of more than $3.7 million. Liang concealed his trading by trading in eight brokerage accounts in the name of six nominees.

For example, the SEC alleged that Liang traded in advance of an FDA announcement approving Clinical Data’s application for the drug Viibryd. Liang accessed a confidential FDA database that contained critical documents and information about the FDA’s review of Clinical Data’s application, and then used that information to purchase more than 46,000 shares of Clinical Data at a cost of more than $700,000. After the markets closed on Friday, January 21, 2011, the FDA issued a press release approving Viibryd. Clinical Data’s stock price rose by more than 67 percent the following Monday, and Liang sold his entire Clinical Data position for a profit of approximately $380,000.

Without admitting or denying allegations in the amended complaint, Liang consented to entry of a final judgment enjoining him from future violations of the antifraud provisions of the federal securities laws and requiring him to pay $3,776,152 in disgorgement. Liang’s disgorgement will be deemed satisfied by the forfeiture order entered in the parallel criminal case, United States v. Cheng Yi Liang, Criminal No. 8:11-cr-00530-DKC (D. Md.), in which he pleaded guilty to charges of securities fraud and making false statements. [SEC v. Cheng Yi Liang, et al., Civil Action No. 8:11-cv-00819-DKC (D. Md.)] (LR-22171)

SEC Resolves Fraud-Based Lawsuit Against Chicago-Area Hedge Fund Adviser and Its Owner

The Securities and Exchange Commission announced today that on November 17 Judge John F. Grady of the U.S. District Court for the Northern District of Illinois entered a final judgment against Jeffrey R. Neufeld (Neufeld) and Paridon Capital Management LLC (Paridon) of Elgin, Illinois for defrauding the TCM Global Strategy Fund (TCM Fund or the fund), a hedge fund, and its investors. Without admitting or denying the Commission’s allegations, Neufeld and Paridon consented to the entry of the final judgment which imposed a $75,000 civil penalty against Neufeld.

Previously, on April 27, 2011, the Court permanently enjoined Neufeld and Paridon from violating Section 17(a) of the Securities Act of 1933, Sections 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), 206(3), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Neufeld and Paridon also consented to pay disgorgement and prejudgment interest of $53,182.33 to an injured investor.

According to the Commission’s complaint, Paridon, an investment adviser, and its owner, Neufeld, fraudulently operated the TCM Fund since 2006. Neufeld and Paridon allegedly lied about the fund’s assets under management and reported inflated returns that were not based on actual trading. They also used fictitious returns to lure investors into the TCM Fund. The complaint also alleges that Neufeld and Paridon caused the fund to use a significant portion of its investor money to buy “debt securities” issued by Paridon. Although called debt securities, this investment was in reality a loan from the fund to Paridon. The debt securities were also not permitted investments for the fund, were not disclosed and consented to by the fund, and were improperly marked up by Neufeld and Paridon to offset and hide significant trading losses. [SEC v. Jeffrey R. Neufeld and Paridon Capital Management LLC f/k/a Tritone Capital Management, LLC, Case No. 10-CV-2399 (N.D. IL)] (LR-22172)

ADDITIONS AND CORRECTIONS

A summary included in the November 4th issue of the Digest, entitled Federal Court Enters Judgments of Permanent Injunction and Other Relief Against Defendants Christopher M. Dubeau and Atlantis Technology Group, has been amended as follows:

Federal Court Enters Judgments of Permanent Injunction and Other Relief Against Defendants Christopher M. Dubeau and Atlantis Technology Group

The United States District Court for the Southern District of Florida has entered final judgments on consent against defendants Christopher M. Dubeau and Atlantis Technology Group, enjoining them from violating the antifraud provisions of the federal securities laws. The Court’s final judgments, issued on October 31, 2011, enjoin Dubeau and Atlantis from violations of Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934, and also enjoin Dubeau from violations of Section 17(a) of the Securities Act of 1933. In addition to granting injunctive relief, the Court permanently barred Dubeau from participating in an offering of a penny stock and from acting as an officer or director of any public company. The Court also ordered Dubeau to disgorge his ill-gotten gains of $312,000.00, plus prejudgment interest in the amount of $12,947.93, and pay a civil penalty of $100,000.00.

The Commission’s Complaint against Dubeau and Atlantis, filed September 30, 2010, alleges that from at least August 7, 2009 through April 5, 2010, they issued numerous false press releases claiming, among other things, that Atlantis’ subsidiary, Global Online Television Corporation (GOTV), offered internet protocol television and video phone services to consumers, and claiming that GOTV had relationships with television networks to offer their content to Atlantis subscribers. The Complaint further alleges these claims were not true because, at the time Atlantis issued its press releases, GOTV was not able to offer internet protocol television services to consumers or video phone service, and it did not have relationships with television networks to offer content to its subscribers. [Securities and Exchange Commission v. Atlantis Technology Group and Christopher M. Dubeau, Civil Action No. 10-61824-CIV-ZLOCH (S.D. Fla.)] (LR-22146A)

INVESTMENT COMPANY ACT RELEASES

AllianceBernstein Cap Fund, Inc., et al.

A notice has been issued giving interested persons until December 20, 2011, to request a hearing on an application filed by AllianceBernstein Cap Fund, Inc., 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-29876 - November 29)

SELF-REGULATORY ORGANIZATIONS

Approval of Proposed Rule Changes

The Commission granted approval of a proposed rule change (SR-PHLX-2011-140) submitted by NASDAQ OMX PHLX LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend the By-Laws of The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65841)

The Commission granted approval of a proposed rule change (SR-NASDAQ-2011-143) submitted by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend the By-Laws of The NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65844)

Proposed Rule Changes

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2011-82) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of the WisdomTree Emerging Markets Inflation Protection Bond Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65846)

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2011-81) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the listing and trading of the Guggenheim Enhanced Short Duration High Yield Bond ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of November 28. (Rel. 34-65847)

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by The NASDAQ Stock Market LLC to adopt the QView service (SR-NASDAQ-2011-157) 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 28. (Rel. 34-65851)

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-4     HUNTINGTON BANCSHARES INC/MD, HUNTINGTON CTR, 41 S HIGH ST HC0632, 
        COLUMBUS, OH, 43287, 6144808300 - 0 ($300,000,000.00) Other, 
        (File 333-178205 - Nov. 29) (BR. 12A)

S-1     SAFEDOX, INC., 588 TECHNOLOGY COURT, SUITE 200, RIVERSIDE, CA, 92507, 
        951 682 4895 - 2,947,671 ($8,843,013.00) Equity, (File 333-178206 - 
        Nov. 29) (BR. 03)

S-3ASR  MERIDIAN BIOSCIENCE INC, 3471 RIVER HILLS DR, CINCINNATI, OH, 45244, 
        5132713700 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-178207 - Nov. 29) (BR. 01B)

S-1     OLIE INC, 382 NE 191ST ST #84220, MIAMI, FL, 33179, 888 665 8884 - 
        0 ($40,000.00) Equity, (File 333-178208 - Nov. 29) (BR. 03)

S-1     Service Team Inc., 7121 ENGINEER ROAD, SAN DIEGO, CA, 92111, 
        855-830-8111 - 5,000,000 ($5,000,000.00) Equity, (File 333-178210 - 
        Nov. 29) (BR. 11)

S-1     ImmunoCellular Therapeutics, Ltd., 21900 BURBANK BLVD., 3RD FLOOR, 
        WOODLAND HILLS, CA, 91367, 818-992-2907 - 0 ($13,800,000.00) Equity, 
        (File 333-178211 - Nov. 29) (BR. 01B)

S-1     ProShares Trust II, 7501 WISCONSIN AVE, SUITE 1000, BETHESDA, MD, 
        20814, 240-497-6400 - 0 ($3,000,000.00) Other, (File 333-178212 - 
        Nov. 29) (BR. 08B)

S-8     NetApp, Inc., 495 EAST JAVA DR, SUNNYVALE, CA, 94089, 4088226000 - 
        11,200,000 ($366,695,000.00) Equity, (File 333-178213 - Nov. 29) 
        (BR. 03A)

S-3ASR  ANNALY CAPITAL MANAGEMENT INC, 1211 AVENUE OF THE AMERICAS, NEW YORK, 
        NY, 10036, 212 696 0100 - 100,000,000 ($1,579,000,000.00) Equity, 
        (File 333-178214 - Nov. 29) (BR. 08B)

F-3ASR  Melco Crown Entertainment LTD, 36TH FLOOR, THE CENTRIUM., 
        60 WYNDHAM STREET, CENTRAL, HONG KONG., K3, 00000, (852) 2598 3600 - 
        0 ($0.00) ADRs/ADSs, (File 333-178215 - Nov. 29) (BR. 08C)

S-8     HELEN OF TROY LTD, CLARENDON HOUSE, CHURCH STREET, HAMILTON BERMUDA, 
        D0, -, 915-225-8000 - 0 ($82,110,000.00) Equity, (File 333-178217 - 
        Nov. 29) (BR. 11C)

N-2     Endowment Institutional TEI Fund, L.P., 4265 SAN FELIPE, 8TH FLOOR, 
        HOUSTON, TX, 77027, 713-993-4675 - 
        0 ($0.00) Limited Partnership Interests, (File 811-22639 - Nov. 29) 
        (BR. 17)

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

'mktg, inc.'                            DE       1.01,1.02,2.03,3.03, 11/23/11
                                                 9.01
          
250 WEST 57TH ST ASSOCIATES L.L.C.      NY       8.01                 11/29/11

60 EAST 42ND STREET ASSOCIATES L.L.C.   NY       8.01                 11/29/11

AbitibiBowater Inc.                     DE       1.01,8.01,9.01       11/28/11

Abtech Holdings, Inc.                   NV       3.02,9.01            11/22/11

ADA-ES INC                              CO       1.01,9.01            11/28/11

ADVANCED BATTERY TECHNOLOGIES, INC.     DE       5.07                 11/28/11

ALLIANCE BANKSHARES CORP                         1.01,1.02,7.01,9.01  11/28/11

ALLIANCE FINANCIAL CORP /NY/            NY       8.01,9.01            11/29/11

AlumiFuel Power Corp                    NV       5.02,9.01            11/23/11

AMERICAN AIRLINES INC                   DE       1.03,2.04,5.02,8.01, 11/28/11 
                                                 9.01
          
AMERICAN ELECTRIC POWER CO INC          NY       7.01                 11/29/11

AMERICAN GREETINGS CORP                 OH       8.01,9.01            11/16/11

AMERICAN REALTY CAPITAL HEALTHCARE TR   MD       2.01,2.03,9.01       11/22/11

American Realty Capital Trust III, In   MD       2.01,9.01            11/29/11

AMERICAN SUPERCONDUCTOR CORP /DE/       DE       2.05                 11/29/11

AMERICAN TOWER CORP /MA/                DE       5.07,7.01,8.01,9.01  11/29/11

AMR CORP                                DE       1.03,2.04,5.02,8.01, 11/28/11
                                                 9.01
          
Andatee China Marine Fuel Services Co   DE       8.01,9.01            11/23/11

ARBITRON INC                            DE       7.01                 10/28/11

Arlington Asset Investment Corp.        VA       7.01,9.01            11/29/11

AspenBio Pharma, Inc.                   CO       8.01,9.01            11/28/11

ASSURED GUARANTY LTD                    D0       8.01                 11/28/11

AT&T INC.                               DE       8.01                 11/28/11

AURORA GOLD CORP                        DE       1.01,7.01,9.01       11/24/11

AUXILIUM PHARMACEUTICALS INC                     5.02,9.01            11/28/11

AVI BIOPHARMA INC                       OR       1.01                 11/23/11

BAR HARBOR BANKSHARES                   ME       5.03                 11/22/11

BEACON ROOFING SUPPLY INC               DE       2.02,9.01            11/29/11

BECTON DICKINSON & CO                   NJ       5.02                 11/28/11

BELDEN INC.                             DE       1.01,9.01            11/23/11

BENIHANA INC                            DE       3.03,5.07,7.01,9.01  11/29/11

BERKSHIRE HILLS BANCORP INC                      8.01,9.01            11/29/11

BIOGEN IDEC INC.                        DE       8.01                 11/29/11

BIOTIME INC                             CA       5.02,9.01            11/28/11

Blueknight Energy Partners, L.P.        DE       7.01,9.01            11/29/11

Bonanza Goldfield Corp.                 NV       8.01,9.01            11/15/11

BOVIE MEDICAL CORP                      DE       1.02,5.02,8.01,9.01  11/22/11

CADENCE PHARMACEUTICALS INC                      2.05                 11/28/11

Cadista Holdings Inc.                   DE       1.01,9.01            11/23/11

CAGLES INC                              GA       2.03                 11/23/11

CAMDEN NATIONAL CORP                    ME       8.01,9.01            11/29/11

Campus Crest Communities, Inc.          MD       1.01,2.03            11/23/11

CANYON COPPER CORP.                              1.01,9.01            11/25/11

CAPITAL ONE FINANCIAL CORP              DE       7.01                 11/29/11

CAREER EDUCATION CORP                   DE       5.02,9.01            11/22/11    AMEND

CHART INDUSTRIES INC                    DE       7.01,9.01            11/29/11

China Energy Recovery, Inc.             DE       1.01                 11/25/11

China Energy Recovery, Inc.             DE       5.07                 11/28/11

CHIQUITA BRANDS INTERNATIONAL INC       NJ       2.05,9.01            11/28/11

CITIZENS HOLDING CO /MS/                MS       7.01,9.01            11/28/11

CMS ENERGY CORP                         MI       7.01,9.01            11/29/11

CNO Financial Group, Inc.               DE       7.01,9.01            11/28/11

COGNIZANT TECHNOLOGY SOLUTIONS CORP              5.02                 11/28/11

Colonial Financial Services, Inc.       MD       8.01                 11/28/11

CONSOLIDATED TOMOKA LAND CO             FL       1.01,5.02,9.01       11/28/11

COPART INC                              CA       2.02,9.01            11/28/11

CORNING INC /NY                         NY       8.01                 11/29/11

Corporate Resource Services, Inc.       DE       2.01,9.01            11/29/11    AMEND

COSTCO WHOLESALE CORP /NEW              WA       5.02                 11/23/11    AMEND

CROSS COUNTRY HEALTHCARE INC            DE       2.02,7.01,9.01       11/29/11

CULP INC                                NC       2.02,9.01            11/29/11

CVS CAREMARK CORP                       DE       8.01,9.01            11/29/11

CYS Investments, Inc.                   MD       7.01,9.01            11/29/11

CYTOKINETICS INC                                 8.01,9.01            11/29/11

DATAMILL MEDIA CORP.                             9.01                 11/25/11    AMEND

Discover Card Execution Note Trust      DE       1.01,8.01,9.01       11/29/11

Douglas Lake Minerals Inc.              NV       7.01,9.01            11/29/11

DTE ENERGY CO                           MI       7.01,9.01            11/28/11

DUCOMMUN INC /DE/                       DE       5.07                 05/04/11    AMEND

DYNASIL CORP OF AMERICA                 NJ       5.02,9.01            11/22/11

DYNASIL CORP OF AMERICA                 NJ       5.02                 11/29/11

EAGLE BANCORP INC                       MD       8.01,9.01            11/29/11

EAGLE BANCORP INC                       MD       8.01,9.01            11/29/11    AMEND

ECOLOGY COATINGS, INC.                  NV       1.01                 11/29/11

EDUCATIONAL DEVELOPMENT CORP            DE       8.01,9.01            11/29/11

EINSTEIN NOAH RESTAURANT GROUP INC      DE       8.01,9.01            11/29/11

EMPIRE STATE BUILDING ASSOCIATES L.L.   NY       8.01                 11/29/11

EMULEX CORP /DE/                        DE       5.02,5.07,9.01       11/29/11

EN2GO INTERNATIONAL INC                 NV       3.02                 11/22/11

EQUITY LIFESTYLE PROPERTIES INC         MD       5.02                 11/28/11

EVANS BANCORP INC                       NY       7.01                 11/28/11

EXXON MOBIL CORP                        NJ       5.02                 11/29/11

Federal Home Loan Bank of Boston        X1       2.03                 11/22/11

Federal Home Loan Bank of Chicago       X1       2.03                 11/23/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            11/25/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            11/29/11

Federal Home Loan Bank of New York      X1       8.01,9.01            11/29/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            11/23/11

Federal Home Loan Bank of San Francis   X1       2.03                 11/23/11

Federal Home Loan Bank of Seattle                2.03                 11/23/11

FENTURA FINANCIAL INC                   MI       5.02                 11/29/11

FINISH LINE INC /IN/                    IN       5.02,9.01            11/22/11

FIRST COMMUNITY BANCSHARES INC /NV/     NV       7.01                 11/29/11

Forex International Trading Corp.       NV       2.02,7.01,9.01       11/28/11

FS Investment CORP                      MD       2.02,9.01            11/29/11

GANNETT CO INC /DE/                     DE       5.02,9.01            11/28/11

GENCORP INC                             OH       8.01                 11/23/11

General Growth Properties, Inc.         DE       5.02,9.01            11/28/11

Genesis Biopharma, Inc                  NV       9.01                 08/05/11    AMEND

GENTIVA HEALTH SERVICES INC             DE       1.01,2.03,7.01,9.01  11/28/11

GLOBE SPECIALTY METALS INC                       8.01,9.01            11/28/11

GOLDRICH MINING CO                      AK       3.02,7.01,9.01       11/21/11

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            10/31/11

Great Lakes Dredge & Dock CORP          DE       8.01,9.01            11/29/11

GREEN BANKSHARES, INC.                  TN       4.01,9.01            11/23/11

GRYPHON GOLD CORP                       NV       1.01,2.03,3.02,9.01  11/22/11

GSE SYSTEMS INC                         DE       1.01                 11/29/11

Hanesbrands Inc.                        MD       8.01,9.01            11/28/11

HAYNES INTERNATIONAL INC                DE       5.02                 10/25/11

HEALTHCARE TRUST OF AMERICA, INC.       MD       7.01,9.01            11/29/11

HELMERICH & PAYNE INC                   DE       7.01,9.01            11/29/11

Highpower International, Inc.           DE       5.07                 11/22/11

HOME BANCORP, INC.                      LA       5.07                 05/04/11    AMEND

HORACE MANN EDUCATORS CORP /DE/         DE       5.04,9.01            11/28/11

Horizon Lines, Inc.                              1.01,9.01            11/23/11

HORMEL FOODS CORP /DE/                  DE       2.03,9.01            11/22/11

HOST HOTELS & RESORTS, INC.             MD       1.01,2.03,9.01       11/22/11

ICONIX BRAND GROUP, INC.                DE       1.01,2.03,9.01       11/22/11

IDT CORP                                DE       5.02,9.01            11/22/11

IMMUNOGEN INC                           MA       7.01                 11/29/11

INFINITY PHARMACEUTICALS, INC.          DE       2.03,8.01,9.01       11/28/11

INHIBITEX, INC.                         DE       8.01,9.01            11/29/11

Innocent, Inc.                                   4.01,9.01            11/23/11

Intelimax Media Inc.                             1.01,3.02,9.01       11/28/11

INUVO, INC.                             NV       7.01,9.01            11/29/11

INVESTORS CAPITAL HOLDINGS LTD          MA       5.02                 11/22/11

J CREW GROUP INC                        DE       5.02,9.01            11/28/11

Janus Resources, Inc.                   NV       5.07,7.01,9.01       11/25/11

Kiwibox.Com, Inc.                       DE       7.01,9.01            11/29/11

LAKES ENTERTAINMENT INC                 MN       1.01,9.01            11/22/11

Li3 Energy, Inc.                        NV       1.01,9.01            11/23/11

LIGHTSTONE VALUE PLUS REAL ESTATE INV   MD       8.01,9.01            11/28/11

Lightstone Value Plus Real Estate Inv   MD       8.01,9.01            11/28/11

LITHIUM TECHNOLOGY CORP                 DE       8.01,9.01            11/29/11

M&T BANK CORP                           NY       7.01,9.01            11/29/11

Marriott Vacations Worldwide Corp       DE       5.02                 11/22/11

MATTRESS FIRM HOLDING CORP.             DE       5.03,9.01            11/23/11

Mayflower Bancorp Inc                   MA       2.02,9.01            11/22/11

MedQuist Holdings Inc.                  DE       5.02,9.01            11/21/11

MET PRO CORP                            PA       8.01,9.01            11/29/11

MTS SYSTEMS CORP                        MN       5.02,5.03,9.01       11/22/11

Mueller Water Products, Inc.            DE       7.01,9.01            11/29/11

Mueller Water Products, Inc.            DE       2.02,9.01            11/29/11    AMEND

NATIONAL FUEL GAS CO                    NJ       7.01,9.01            11/29/11

NCO Group, Inc.                         DE       8.01                 11/29/11

NET 1 UEPS TECHNOLOGIES INC                      5.07                 11/29/11

NETSCOUT SYSTEMS INC                    DE       1.01,1.02,2.03,9.01  11/22/11

NEWPARK RESOURCES INC                   DE       1.01,2.03,3.03,7.01, 11/22/11
                                                 9.01
          
NEWS CORP                                        8.01,9.01            11/29/11

NEXTERA ENERGY INC                      FL       7.01                 11/29/11

NPC INTERNATIONAL INC                   KS       7.01,9.01            11/29/11

NXT Nutritionals Holdings, Inc.         DE       1.01,2.03,3.02,9.01  11/21/11

OGE ENERGY CORP.                        OK       7.01                 11/29/11

OmniAmerican Bancorp, Inc.              MD       7.01,9.01            11/29/11

OMNIVISION TECHNOLOGIES INC             DE       2.02,9.01            11/29/11

Oraco Resources, Inc.                   NV       7.01,8.01,9.01       11/21/11

ORASURE TECHNOLOGIES INC                DE       7.01,9.01            11/29/11

ORION ENERGY SYSTEMS, INC.              WI       8.01,9.01            11/23/11

OSL HOLDINGS INC.                                8.01,9.01            11/29/11

Pendrell Corp                           DE       8.01                 11/28/11

PENN MILLERS HOLDING CORP                        5.07,8.01,9.01       11/29/11

PENNS WOODS BANCORP INC                 PA       5.03,9.01            11/22/11

PEOPLES BANCORPORATION INC /SC/         SC       5.02                 11/22/11

PG&E CORP                               CA       8.01,9.01            11/28/11

PHYTOMEDICAL TECHNOLOGIES INC           NV       5.03,7.01,9.01       11/21/11

Piedmont Office Realty Trust, Inc.      MD       1.01,2.03,9.01       11/22/11

PINNACLE BANKSHARES CORP                VA       7.01,9.01            11/29/11

PMFG, Inc.                              DE       5.02,9.01            11/29/11

PMI GROUP INC                           DE       3.01                 11/28/11

PNC FINANCIAL SERVICES GROUP, INC.      PA       8.01                 11/29/11

POWERSECURE INTERNATIONAL, INC.         DE       7.01,9.01            11/22/11

PRESIDENTIAL LIFE CORP                  DE       5.02,9.01            11/28/11

Primo Water Corp                        DE       2.03,9.01            11/23/11

PRIMUS GUARANTY LTD                              3.01,9.01            11/29/11

PROSPECT GLOBAL RESOURCES INC.          NV       1.01,3.02,9.01       11/22/11

PROSPERITY BANCSHARES INC               TX       7.01,9.01            11/29/11

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       7.01,9.01            11/29/11

PURE CYCLE CORP                         CO       8.01                 11/28/11

RADIENT PHARMACEUTICALS Corp            DE       1.01,2.03,3.02,3.03, 11/28/11
                                                 7.01,9.01
     
RAYMOND JAMES FINANCIAL INC             FL       5.02,7.01,9.01       11/22/11

Regeneca, Inc.                          NV       9.01                 08/09/11    AMEND

Resource Real Estate Opportunity REIT   MD       8.01                 09/30/11

RICI Linked - PAM Advisors Fund, LLC    DE       2.06                 11/21/11

Rockville Financial, Inc. /CT/          CT       8.01,9.01            11/29/11

RoomStore, Inc.                         VA       5.02                 11/22/11

RTI INTERNATIONAL METALS INC            OH       8.01                 11/23/11

S&W Seed Co                             DE       1.01                 11/22/11

SaveDaily Inc                           NV       1.01,3.02,8.01,9.01  11/21/11

Seagate Technology plc                  L2       7.01,9.01            11/28/11

SHOSHONE SILVER MINING CO INC           ID       4.01                 11/01/11

Solar Thin Films, Inc.                  DE       4.01,9.01            11/07/11    AMEND

SOLUTIA INC                             DE       8.01,9.01            11/28/11

SOUTHWALL TECHNOLOGIES INC /DE/         DE       3.01,3.03,5.01,5.02, 11/23/11
                                                 5.03,9.01
     
STERLING CONSTRUCTION CO INC            DE       9.01                 11/28/11

STONERIDGE INC                          OH       1.01,9.01            11/22/11

Sucampo Pharmaceuticals, Inc.                    7.01,9.01            11/29/11

SunCoke Energy, Inc.                             2.02,7.01,9.01       11/29/11

SUNOCO INC                              PA       1.01,1.02,2.03,9.01  11/22/11

SURMODICS INC                           MN       2.02,7.01            11/29/11

SURREY BANCORP                          NC       8.01,9.01            11/28/11

SYMS CORP                               NJ       5.02                 11/28/11

TC PIPELINES LP                         DE       7.01,9.01            11/29/11

TCF FINANCIAL CORP                      DE       2.02,7.01,9.01       11/29/11

TE Connectivity Ltd.                    V8       1.01,7.01,9.01       11/29/11

TEGAL CORP /DE/                         DE       8.01,9.01            11/22/11

TELEPHONE & DATA SYSTEMS INC /DE/       DE       8.01,9.01            11/29/11

TELLABS INC                             DE       4.02                 11/28/11

Tennessee Commerce Bancorp, Inc.        TN       3.01,9.01            11/22/11

TESSERA TECHNOLOGIES INC                DE       8.01,9.01            11/29/11

TIAA REAL ESTATE ACCOUNT                NY       2.02,7.01,9.01       11/29/11

TIAA REAL ESTATE ACCOUNT                NY       8.01,9.01            11/29/11

TIFFANY & CO                            DE       2.02,9.01            11/29/11

TNP Strategic Retail Trust, Inc.        MD       7.01,9.01            11/29/11

Tower Group, Inc.                       DE       7.01,9.01            11/29/11

TOWER PARK MARINA INVESTORS LP          CA       8.01                 11/28/11

TRANS WORLD ENTERTAINMENT CORP          NY       5.02,9.01            11/29/11

TRANSATLANTIC HOLDINGS INC              DE       8.01,9.01            11/28/11

TransDigm Group INC                     DE       5.02                 11/28/11

TRX INC/GA                              GA       1.01                 11/28/11

Under Armour, Inc.                      MD       8.01,9.01            11/29/11

UNIVERSAL HOSPITAL SERVICES INC         MN       7.01,9.01            11/29/11

UNIVERSAL TECHNICAL INSTITUTE INC       DE       2.02,9.01            11/29/11

VALIDUS HOLDINGS LTD                             1.01,9.01            11/23/11

VERIFONE SYSTEMS, INC.                  DE       2.02,7.01,9.01       11/28/11

VERISIGN INC/CA                         DE       1.01,2.03,9.01       11/22/11

VirnetX Holding Corp                    DE       5.02                 11/22/11

VYCOR MEDICAL INC                       DE       5.02,9.01            11/22/11

WALTER INVESTMENT MANAGEMENT CORP       MD       7.01,9.01            11/29/11

Western Refining, Inc.                  DE       7.01,9.01            11/29/11

White River Capital Inc                 IN       8.01,9.01            11/28/11

WILSHIRE BANCORP INC                             5.02                 11/25/11

WORLD ACCEPTANCE CORP                   SC       8.01                 11/29/11

XPO Logistics, Inc.                     DE       7.01,8.01,9.01       11/29/11

Your Event, Inc.                        NV       5.02                 11/29/11

Z TRIM HOLDINGS, INC                    IL       7.01,8.01,9.01       11/29/11

ZHONE TECHNOLOGIES INC                  DE       3.01                 11/28/11

 

http://www.sec.gov/news/digest/2011/dig113011.htm


Modified: 11/30/2011