SEC News Digest, December 28, 2011

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Commission announcements

Agencies Extend Comment Period on Volcker Rule Proposal

On December 23, 2011, four federal agencies extended until February 13, 2012, the comment period on a proposal to implement the so-called Volcker Rule of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The Dodd-Frank Act requires regulators to implement certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund. The comment period was extended as part of a coordinated interagency effort to allow interested persons more time to analyze the issues and prepare their comments. Originally, comments were due by January 13, 2012.

The proposal was issued by the Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities and Exchange Commission. (Press Rel. 2011-278)

Enforcement proceedings

In the Matter of Andrew Caccioppoli

On December 28, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Andrew Caccioppoli, age 51 and a resident of Mahopac, New York. The Order finds that from December 1991 to July 2005, he was a securities lending representative associated with Janney Montgomery Scott, LLC (Janney), a broker-dealer registered with the Commission. The Order further finds that on September 24, 2007, the Commission filed an amended complaint against Caccioppoli in the United States District Court for the Eastern District of New York alleging that he violated the antifraud provisions of the federal securities laws, SEC v. Joseph Simone, et al., 07-cv-3928 (JG)(RML). The Commission’s complaint alleges, among other things, that between 2002 and 2005, Caccioppoli knowingly engaged in a scheme to defraud Janney in connection with the lending and borrowing of securities. On December 13, 2011, the court entered a judgment which, among other things, permanently enjoined Caccioppoli from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

Based on the above, the Order bars Caccioppoli from association with any broker or dealer. Caccioppoli consented to the issuance of the Order without admitting or denying any of the Commission’s findings, except the court’s entry of the final consent judgment on December 13, 2011. (Rel. 34-66060; File No. 3-14679)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-074) to extend the pilot period regarding the use of multiple MPIDs on FINRA facilities 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 December 26. (Rel. 34-66033)

A proposed rule change filed by The New York Stock Exchange LLC to extend for an additional 12 months the pilot program that provides an exception to NYSE Rule 2B by permitting the Exchange’s equity ownership interest in BIDS Holdings L.P. 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 December 26. (Rel. 34-66059)

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     AVEO PHARMACEUTICALS INC, 75 SIDNEY STREET, 4TH FLOOR, CAMBRIDGE, MA, 
        02139, 6172995000 - 0 ($211,162,082.50) Unallocated (Universal) Shelf, 
        (File 333-178756 - Dec. 27) (BR. 01A)

S-3     Daimler Trust, 36455 CORPORATE DRIVE, FARMINGTON HILLS, MI, 48331, 
        248 991 6700 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, 
        (File 333-178761 - Dec. 27) (BR. OSF)

S-3     Anacor Pharmaceuticals Inc, 1020 E. MEADOW CIRCLE, PALO ALTO, CA, 
        94303, 650-543-7500 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-178766 - Dec. 27) (BR. 01A)

S-8     CRYO CELL INTERNATIONAL INC, 3165 MCMULLEN BOOTH RD, BLDG B, 
        CLEARWATER, FL, 33761, 7277230333 - 1,000,000 ($1,800,000.00) Equity, 
        (File 333-178768 - Dec. 27) (BR. 11A)

S-1     VANTONE INTERNATIONAL GROUP, INC., 195 ZHONGSHAN ROAD, HEPING DISTRICT, 
        SHENYANG, F4, 00000, 86-2422866686 - 0 ($10,000,000.00) Equity, 
        (File 333-178769 - Dec. 27) (BR. 01B)

S-8     CONCEPTUS INC, 334 E EVELYN AVE, MOUNTAIN VIEW, CA, 94041, 
        650 962 4000 - 750,000 ($11,711,250.00) Equity, (File 333-178770 - 
        Dec. 27) (BR. 10A)

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

ACACIA RESEARCH CORP                    DE       8.01                 12/22/11

ACCELRYS, INC.                          DE       5.02,9.01            12/27/11

AgFeed Industries, Inc.                 NV       5.02                 12/20/11

AGY Holding Corp.                       DE       5.02                 12/20/11

Alexza Pharmaceuticals Inc.             DE       5.02                 12/22/11

Allied World Assurance Co Holdings, A            5.03,9.01            12/23/11

Alpha Natural Resources, Inc.           DE       5.03,9.01            12/20/11

ALTERA CORP                             DE       5.02                 12/22/11

AMERICAN MEDICAL ALERT CORP             NY       1.02,2.01,3.01,3.03, 12/21/11
                                                 5.01,5.02,5.03,5.07,
                                                 9.01
   
American Realty Capital Properties, I   MD       7.01,9.01            12/27/11

Ampio Pharmaceuticals, Inc.             DE       8.01                 12/20/11

Applied Minerals, Inc.                  DE       1.01,3.02,9.01       12/22/11

ARCA biopharma, Inc.                    DE       1.01                 12/22/11    AMEND

As Seen On TV, Inc.                     FL       5.02,9.01            12/22/11

BANCORP RHODE ISLAND INC                         5.02,9.01            12/20/11

BANK OF THE JAMES FINANCIAL GROUP INC   VA       5.03,9.01            12/20/11

BANKUNITED FINANCIAL CORP               FL       8.01,9.01            12/20/11

Behringer Harvard Opportunity REIT II   MD       1.01,2.01,2.03,8.01, 12/20/11
                                                 9.01
          
BEST BUY CO INC                         MN       8.01,9.01            12/23/11

BioDrain Medical, Inc.                  MN       1.01,5.02            12/27/11

BLAST ENERGY SERVICES, INC.             CA       1.01,2.01,3.02,9.01  12/16/11

Blink Couture Inc.                      DE       1.01,9.01            12/27/11

Brownshire Holdings, Inc.                        1.01,2.03            12/21/11

CADENCE PHARMACEUTICALS INC                      1.01,2.03,3.02,9.01  12/22/11

CALYPSO WIRELESS INC                    DE       5.02                 12/23/11

CAMBIUM LEARNING GROUP, INC.                     5.02,9.01            12/20/11

CAPITAL TRUST INC                       MD       5.02                 12/22/11

Cardium Therapeutics, Inc.              DE       1.01,3.02,9.01       12/20/11

CARRIAGE SERVICES INC                   DE       5.02                 12/22/11

CARROLS RESTAURANT GROUP, INC.                   5.02,9.01            12/22/11

CATASYS, INC.                           DE       1.01,9.01            12/20/11

CAVIUM, INC.                            DE       2.02,9.01            12/27/11

CELL THERAPEUTICS INC                   WA       2.02,7.01,9.01       12/27/11

CENTURY PROPERTIES FUND XVI             CA       1.01,2.01,9.01       12/21/11

CHESAPEAKE MIDSTREAM PARTNERS LP        DE       1.01,2.03,9.01       12/20/11

China Energy CORP                                5.02                 12/19/11

China Information Technology, Inc.               3.01,9.01            12/27/11

CIGNA CORP                              DE       5.02                 12/21/11

Cogdell Spencer Inc.                    MD       1.01,8.01,9.01       12/24/11

COLLECTIVE BRANDS, INC.                 DE       5.02                 12/20/11

COMMUNITY WEST BANCSHARES /             CA       5.02,9.01            12/23/11

COMPUTER SCIENCES CORP                  NV       2.06,8.01            12/27/11

COMVERGE, INC.                          DE       1.01,7.01,9.01       12/20/11

CONCEPTUS INC                           DE       1.01,2.03,3.02,8.01, 12/20/11
                                                 9.01
          
CRACKER BARREL OLD COUNTRY STORE, INC            5.07                 12/20/11

CYBEX INTERNATIONAL INC                 NY       8.01                 12/23/11

DemandTec, Inc.                         DE       2.02,9.01            12/27/11

Deyu Agriculture Corp.                  NV       2.01,9.01            12/20/11

DRINKS AMERICAS HOLDINGS, LTD           DE       5.03,8.01            12/20/11

DUNE ENERGY INC                         DE       1.01,1.02,2.03,3.02, 12/21/11
                                                 3.03,5.03,8.01,9.01
        
DYNAMIC VENTURES CORP.                           1.01,3.02,9.01       12/20/11

DYNEGY INC.                             DE       1.01,8.01,9.01       12/23/11

EARTHSTONE ENERGY INC                   DE       8.01,9.01            12/27/11

EASTMAN KODAK CO                        NJ       5.02                 12/21/11

Echo Therapeutics, Inc.                 DE       1.01,9.01            12/20/11

EMCORE CORP                             NJ       2.02,7.01,9.01       12/27/11

ENDEAVOUR INTERNATIONAL CORP            NV       7.01,9.01            12/27/11

Energy Telecom, Inc.                    FL       5.02,9.01            12/19/11

ENTECH SOLAR, INC.                      DE       2.03,3.02,9.01       12/22/11

Envision Solar International, Inc.      NV       1.01,2.03,9.01       12/23/11

EQUITY ONE, INC.                                 2.01,9.01            12/20/11

EV Energy Partners, LP                  DE       1.01,2.01,2.03,7.01, 12/21/11
                                                 9.01
          
Expedia, Inc.                                    1.01,1.02,2.01,2.04, 12/20/11
                                                 5.02,5.03,8.01,9.01
        
Federal Home Loan Bank of Atlanta       X1       2.03                 12/21/11

Federal Home Loan Bank of Chicago       X1       2.03                 12/22/11

Federal Home Loan Bank of Chicago       X1       7.01                 12/27/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            12/27/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            12/21/11

Federal Home Loan Bank of Topeka                 2.03,9.01            12/21/11

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            12/27/11

FOCUS GOLD Corp                                  5.02                 12/18/11

FRANKLIN WIRELESS CORP                  NV       5.02                 12/22/11

FULTON FINANCIAL CORP                   PA       5.02,9.01            12/27/11

Gevo, Inc.                              DE       5.02,9.01            12/21/11

GRAN TIERRA ENERGY, INC.                NV       1.02                 12/22/11    AMEND

Granite Falls Energy, LLC               MN       2.02,9.01            12/15/11

Gulf United Energy, Inc.                NV       1.01,8.01,9.01       12/23/11

HARDINGE INC                            NY       1.01,2.03            12/20/11

HARMAN INTERNATIONAL INDUSTRIES INC /   DE       5.02                 12/21/11

HEARTLAND PAYMENT SYSTEMS INC           DE       5.02                 12/27/11

HeartWare International, Inc.           DE       5.02,9.01            12/26/11

HIGHWATER ETHANOL LLC                            7.01,9.01            12/27/11

Home Federal Bancorp, Inc. of Louisia   LA       5.02,5.07,7.01,9.01  12/23/11

HOUSING PROGRAMS LTD                    CA       8.01                 12/21/11

Houston Wire & Cable CO                          5.02,9.01            12/20/11

ICAHN ENTERPRISES L.P.                  DE       7.01,9.01            12/27/11

Inova Technology Inc.                   NV       8.01                 12/27/11

INSIGNIA SYSTEMS INC/MN                 MN       8.01                 12/14/11

INTEGRATED ELECTRICAL SERVICES INC      DE       2.02                 12/15/10    AMEND

James River Coal CO                     VA       8.01                 12/21/11

K12 INC                                 DE       5.07                 12/22/11

KBS Real Estate Investment Trust III,   MD       2.01,9.01            10/28/11    AMEND

KRANEM CORP                             CO       1.01,2.01,3.02,7.01, 12/27/11
                                                 9.01
          
LEHMAN BROTHERS HOLDINGS INC            DE       7.01,9.01            12/27/11

Leo Motors, Inc.                                 1.01                 12/22/11

LIGAND PHARMACEUTICALS INC              DE       1.01                 12/22/11

LIGHTPATH TECHNOLOGIES INC              DE       5.02,9.01            12/27/11

Lone Star Gold, Inc.                    NV       3.02                 12/27/11

MENTOR GRAPHICS CORP                    OR       1.01,3.03,5.03,9.01  12/23/11

MENTOR GRAPHICS CORP                    OR       5.02                 12/23/11

MERCURY COMPUTER SYSTEMS INC            MA       1.01,7.01,9.01       12/22/11

METLIFE INC                             DE       7.01,9.01            12/27/11

METTLER TOLEDO INTERNATIONAL INC/       DE       1.02,2.03,9.01       12/20/11

MGT CAPITAL INVESTMENTS INC             DE       8.01,9.01            12/23/11

NABI BIOPHARMACEUTICALS                 DE       5.02                 12/27/11

NATIONAL MENTOR HOLDINGS, INC.          DE       2.02,9.01            12/27/11

NAVARRE CORP /MN/                       MN       1.01,9.01            12/23/11

NEOGEN CORP                             MI       2.02,9.01            12/22/11

Neuralstem, Inc.                        DE       8.01,9.01            12/27/11

NEUSTAR INC                                      5.02                 12/20/11

NEW JERSEY MINING CO                    ID       2.01,9.01            12/22/11

NEW PEOPLES BANKSHARES INC              VA       2.03,9.01            12/21/11

NEW YORK TIMES CO                       NY       1.01,9.01            12/27/11

NEXTERA ENERGY INC                      FL       2.03                 12/21/11

NTS MORTGAGE INCOME FUND                DE       1.01,9.01            12/22/11

NXXI Inc.                               NY       1.03,9.01            12/23/11

ORMAT TECHNOLOGIES, INC.                DE       1.01,8.01,9.01       12/20/11

PennyMac Mortgage Investment Trust      MD       1.01,2.03            12/20/11

PEPCO HOLDINGS INC                      DE       5.02,9.01            12/27/11

PG&E CORP                               CA       5.02                 12/27/11

PHH CORP                                MD       7.01,9.01            12/27/11

Phillips Edison - ARC Shopping Center   MD       9.01                 10/14/11    AMEND

Plures Technologies, Inc./DE            DE       2.01,3.02,5.01,5.02, 08/10/11    AMEND
                                                 5.06,9.01
     
PNC FINANCIAL SERVICES GROUP, INC.      PA       8.01                 12/19/11

PREMIER FINANCIAL BANCORP INC           KY       2.03,9.01            12/23/11

Prestige Brands Holdings, Inc.                   1.01,9.01            12/20/11

Quad/Graphics, Inc.                     WI       5.02                 12/23/11

QUICKSILVER RESOURCES INC               DE       1.01,2.03,9.01       12/22/11

QUICKSILVER RESOURCES INC               DE       1.01,2.03,9.01       12/23/11

RADISYS CORP                            OR       1.01,9.01            12/22/11

REALPAGE INC                            DE       1.01,2.03,8.01,9.01  12/22/11

RED HAT INC                             DE       5.02                 12/27/11

REPROS THERAPEUTICS INC.                DE       8.01,9.01            12/27/11

REPROS THERAPEUTICS INC.                DE       8.01,9.01            12/27/11

REPUBLIC SERVICES, INC.                 DE       8.01,9.01            12/27/11

ROGERS CORP                             MA       5.02                 12/27/11

SABA SOFTWARE INC                       DE       5.02,9.01            12/23/11

SALIX PHARMACEUTICALS LTD                        2.01,8.01,9.01       12/20/11

Samson Oil & Gas LTD                    C3       5.02,9.01            12/20/11

SANDRIDGE ENERGY INC                    DE       5.02,9.01            12/20/11

SAVE THE WORLD AIR INC                  NV       8.01,9.01            12/19/11

SEALED AIR CORP/DE                      DE       8.01,9.01            12/27/11

SEARS HOLDINGS CORP                     DE       2.06                 12/26/11

SENESCO TECHNOLOGIES INC                DE       3.01,9.01            12/22/11

SHUFFLE MASTER INC                      MN       2.02,9.01            12/20/11

SHUTTERFLY INC                          DE       7.01                 12/23/11    AMEND

SIGA TECHNOLOGIES INC                   DE       1.01,5.02,9.01       12/21/11

SIGMA LABS, INC.                        NV       1.01,8.01,9.01       12/21/11

Silicon Graphics International Corp     DE       5.02,9.01            12/27/11

SINOCOKING COAL & COKE CHEMICAL INDUS   FL       8.01,9.01            12/23/11

SOLAZYME INC                            DE       5.02                 12/20/11

SONOSITE INC                                     5.02,9.01            12/27/11

SOONER HOLDINGS INC /OK/                OK       8.01,9.01            12/27/11

Stewart & Stevenson LLC                 DE       1.01,2.03,9.01       12/23/11

Sunshine Biopharma, Inc                 CO       1.01,8.01,9.01       12/21/11

SYNERGY PHARMACEUTICALS, INC.           FL       7.01,9.01            12/27/11

SYNERGY RESOURCES CORP                  CO       8.01,9.01            12/27/11

TAYLOR CAPITAL GROUP INC                DE       3.03,5.03,5.07,8.01, 12/27/11 
                                                 9.01
          
TEXTRON INC                             DE       5.02                 12/22/11

TNP Strategic Retail Trust, Inc.        MD       9.01                 10/11/11    AMEND

Tonix Pharmaceuticals Holding Corp.     NV       1.01,2.01,3.02,4.01, 10/07/11    AMEND
                                                 5.01,5.02,5.06,8.01,
                                                 9.01
   
Tower International, Inc.               DE       5.02,9.01            12/20/11

TripAdvisor, Inc.                       DE       1.01,1.02,2.01,2.03, 12/20/11 
                                                 5.01,5.02,5.03,9.01
        
Ubiquiti Networks, Inc.                 DE       1.01,9.01            12/27/11

UNION BANKSHARES INC                    VT       8.01,9.01            12/21/11

UNITED SECURITY BANCSHARES              CA       5.02                 12/27/11

UROLOGIX INC                            MN       9.01                 09/06/11    AMEND

Vanda Pharmaceuticals Inc.              DE       8.01                 12/22/11

VENTAS INC                              DE       1.01,7.01,9.01       12/24/11

Viacom Inc.                             DE       8.01                 12/19/11

W P CAREY & CO LLC                      DE       2.01,9.01            05/02/11    AMEND

WASHINGTON POST CO                      DE       8.01                 12/23/11

West End Indiana Bancshares, Inc.       MD       7.01,9.01            12/26/11

WESTMORELAND COAL Co                    DE       1.01,7.01,8.01,9.01  12/23/11

Willdan Group, Inc.                     DE       1.01,2.03,9.01       12/23/11

Wizard World, Inc.                      DE       1.01,3.02            12/21/11

WORKSTREAM INC                          A6       1.01,8.01,9.01       12/27/11

ZIONS BANCORPORATION /UT/               UT       9.01                 12/27/11

http://www.sec.gov/news/digest/2011/dig122811.htm

SEC News Digest