SEC News Digest, February 28, 2012

	Home \| Previous Page

commission announcements

SEC Proposes Rules to Help Prevent and Detect Identity Theft

The Securities and Exchange Commission today announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.

The SEC issued the proposal jointly with the Commodity Futures Trading Commission (CFTC). Section 1088 of the Dodd-Frank Act transferred authority over certain parts of the Fair Credit Reporting Act from the Federal Trade Commission (FTC) to the SEC and CFTC for entities they regulate. The proposed rules are substantially similar to rules adopted in 2007 by the FTC and other federal financial regulatory agencies that were previously required to adopt such rules.

The rule proposal would require SEC-regulated entities to adopt a written identity theft program that would include reasonable policies and procedures to:

Identify relevant red flags.
Detect the occurrence of red flags.
Respond appropriately to the detected red flags.
Periodically update the program.

The proposed rule would include guidelines and examples of red flags to help firms administer their programs.

The proposal will be published in the Federal Register with a 60-day public comment period. (Press Rel. 2012-34)

Enforcement proceedings

Commission Sustains Disciplinary Action Against Howard Braff

The Commission has sustained disciplinary action against Howard Braff, formerly registered as a general securities representative, general securities principal, and options principal with various FINRA member firms. The Commission found that Braff violated NASD Rule 3050(c) and Rule 2110 because he failed to provide written notice of his outside brokerage accounts to three member firms with which he was associated, and failed to provide written notice of his association with the member firms to the brokerage firms where he maintained the outside accounts. FINRA also found that Braff violated Rule 2110 because he falsely stated on certain employment documents that he had no outside brokerage accounts.

In sustaining the $25,000 fine and two year suspension imposed on Braff, the Commission agreed with FINRA that "Braff purposely thwarted safeguards intended to protect the integrity and transparency of the securities industry, and in so doing, created an environment ripe for customer abuse." The Commission found that the sanctions are remedial because they will deter Braff and others from failing to disclose information about outside brokerage accounts and firm associations thereby protecting the investing public by facilitating more direct and early detection of potential rule violations, such as a conflict of interest with a firm or its customers. (Rel. 34-66467; File No. 3-14417)

In the Matter of Robert Chiu (a/k/a Chi Hung Chiu)

On February 27, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (“Order”) against Robert Chiu. The Order finds that Chiu was an audit partner at a major public accounting firm and served as its Relationship Partner for the Syntax-Brillian Corporation engagement for the fiscal year ended June 30, 2006, and the fiscal quarter ended September 30, 2006.

The Order further finds that on February 20, 2012, a final judgment was entered against Chiu, by consent, enjoining him from aiding and abetting violations of Sections 10(b), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”), and Exchange Act Rules 10b-5, 13b2-1, and 13b2-2.

Based on the above, the Order suspends Robert Chiu from appearing or practicing before the Commission as an accountant with the right to apply for reinstatement after a period of five years. Chiu consented to the issuance of the Order without admitting or denying any of the findings in the Order, except that he admitted to the entry of the injunction. (Rel. 34-66479; AAE Rel. 3367; File No. 3-14780)

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of Telos, Inc., Tianrong Building Material Holdings, Ltd. (f/k/a MAS Acquisition XVIII Corp.), TSS Ltd., Tuff Coat Manufacturing, Inc. (f/k/a Osage Acquisition Corp.), Tultex Corp., TVA, Inc., Tyger Holding, Inc., and U.S. Energy Systems, 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. 34-66480; File No. 3-14744)

In the Matter of Damian Omar Valdez

On February 27, 2012, 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 Damian Omar Valdez.

The Order finds that on December 22, 2011, following a contested evidentiary hearing, a permanent injunction was entered against Valdez, permanently enjoining him from future violations of 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, in the civil action styled Securities and Exchange Commission v. Evolution Capital Advisors, et al, Civ. Action No. 4:11-CV-02945, In the United States District Court for the Southern District of Texas.

Based on the above, the Order bars Valdez from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Valdez consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the entry of the permanent injunction against him which he admits. (Rel. IA-3378; File No. 3-14773)

In the Matter of Donald Anthony Walker Young

An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Donald Anthony Walker Young, a/k/a/ D.A. Walker Young, Admin. Proc. No. 3-14654. The Default Order finds that the allegations in the Order Instituting Proceeding are true, and that Respondents were enjoined from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5 and Sections 204, 206(1), (2), and (4) of the Investment Advisers Act of 1940 (Advisers Act) in SEC v. Young, No. 09-cv-01634 (E.D. Pa. Apr. 12, 2011). The Default Order also finds that Donald Anthony Walker Young pled guilty on July 20, 2010, to one count of mail fraud and one count of money laundering in a related proceeding, in which the defendants were charged with operating a Ponzi scheme that obtained more than $95 million from investors. Young is serving a prison sentence of seventeen and one half years.

Based on these findings and public interest considerations, the Default Order (1) bars Young from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent; and (2) revokes the investment adviser registration of Acorn Capital Management, LLC, pursuant to Section 203 of the Advisers Act. (Rel. IA-3379; File No. 3-14654)

Investment company act releases

Notice of Applications for Deregistration Under the Investment Company Act of 1940

For the month of February 2012, a notice has been issued giving interested persons until March 20, 2012, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:

DWS Technology Fund [File No. 811-547]
DWS Mutual Funds, Inc. [File No. 811-5565]
DWS Advisor Funds [File No. 811-4760]
DWS RREEF World Real Estate Fund, Inc. [File No. 811-22046]
Old RMR Real Estate Income Fund [File No. 811-22234]
DWS Blue Chip Fund [File No. 811-5357]
DWS Strategic Government Securities Fund [File No. 811-2719]
DWS Strategic Income Fund [File No. 811-2743]
DWS High Income Series [File No. 811-2786]
DWS State Tax Free Trust [File No. 811-3749]
AllianceBernstein Global Growth Fund, Inc. [File No. 811-21064]
Coventry Funds Trust [File No. 811-8644]
Oppenheimer Balanced Fund [File No. 811-3864]
Oppenheimer Principal Protected Trust II [File No. 811-21414]
TS&W/Claymore Tax-Advantage Balanced Fund [File No. 811-21515]
Ameritor Security Trust [File No. 811-18]
DWS Communications Fund, Inc. [File No. 811-3883]
York Enhanced Strategies Fund, LLC [File No. 811-21834]
Our Street Funds, Inc. [File No. 811-22279]
Kiewit Investment Fund LLLP [File No. 811-21632]
Public Facility Loan Trust [File No. 811-5608]
American Equity Life Annuity Account [File No. 811-8663]

(Rel. IC-29966 - February 24)

Northwestern Mutual Series Fund, Inc.

Mason Street Advisors, LLC

An order has been issued on an application filed by Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29967 - February 27)

Medley Capital Corporation, et al.

A notice has been issued giving interested persons until March 23, 2012, to request a hearing on an application filed by Medley Capital Corporation, et al., for an order to permit a business development company to co-invest with certain affiliated investment funds in portfolio companies. (Rel. IC-29968 - February 27)

Self-Regulatory Organizations

Orders Cancelling Clearing Agency Registration

Pursuant to Section 19(a)(3) of the Exchange Act of 1934, on February 24, 2012, the Commission issued an order (File No. 600-9) cancelling the clearing agency registration of the Midwest Clearing Corporation. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66458)

Pursuant to Section 19(a)(3) of the Exchange Act of 1934, on February 24, 2012, the Commission issued an order (File No. 600-11) cancelling the clearing agency registration of the Pacific Clearing Corporation. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66459)

Pursuant to Section 19(a)(3) of the Exchange Act of 1934, on February 24, 2012, the Commission issued an order (File No. 600-10) cancelling the clearing agency registration of the Pacific Securities Depository Trust Company. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66460)

Pursuant to Section 19(a)(3) of the Exchange Act of 1934, on February 24, 2012, the Commission issued an order (File No. 600-7) cancelling the clearing agency registration of the Midwest Securities Trust Company. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66461)

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-8     STANLEY BLACK & DECKER, INC., 1000 STANLEY DR, P O BOX 7000, 
        NEW BRITAIN, CT, 06053, 8602255111 - 
        4,000,000 ($302,640,000.00) Equity, (File 333-179699 - Feb. 27) 
        (BR. 06C)

S-8     ZIMMER HOLDINGS INC, 345 EAST MAIN STREET, WARSAW, IN, 46580, 
        5742676131 - 0 ($63,860,214.00) Equity, (File 333-179700 - Feb. 27) 
        (BR. 10C)

S-8     AES CORP, 4300 WILSON BOULEVARD, ARLINGTON, VA, 22203, 7035221315 - 
        0 ($137,500,000.00) Equity, (File 333-179701 - Feb. 27) (BR. 02B)

S-8     TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, 
        CHICAGO, IL, 60602, 3126301900 - 0 ($175,192,000.00) Equity, 
        (File 333-179702 - Feb. 27) (BR. 11A)

S-8     TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, 
        CHICAGO, IL, 60602, 3126301900 - 0 ($172,320,000.00) Equity, 
        (File 333-179703 - Feb. 27) (BR. 11A)

S-8     TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, 
        CHICAGO, IL, 60602, 3126301900 - 0 ($1,565,929.00) Equity, 
        (File 333-179704 - Feb. 27) (BR. 11A)

S-3D    TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, 
        CHICAGO, IL, 60602, 3126301900 - 0 ($6,948,431.00) Equity, 
        (File 333-179705 - Feb. 27) (BR. 11A)

S-1     InvenSense Inc, 1197 BORREGAS AVENUE, SUNNYVALE, CA, 94089, 
        650) 493-9300 - 0 ($110,000,000.00) Equity, (File 333-179706 - Feb. 27) 
        (BR. 10B)

S-8     COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 - 
        0 ($687,800,000.00) Equity, (File 333-179707 - Feb. 27) (BR. 09A)

S-8     COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 - 
        0 ($4,814,600.00) Equity, (File 333-179708 - Feb. 27) (BR. 09A)

S-3ASR  QEP RESOURCES, INC., 1050 17TH STREET, SUITE 500, DENVER, CO, 80265, 
        303-672-6961 - 0 ($0.00) Other, (File 333-179709 - Feb. 27) (BR. 04B)

S-3ASR  WYNDHAM WORLDWIDE CORP, 22 SYLVAN WAY, PARSIPPANY, NJ, 07054, 
        973-428-9700 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179710 - Feb. 27) (BR. 08C)

S-3ASR  ARMSTRONG WORLD INDUSTRIES INC, 2500 COLUMBIA AVE, LANCASTER, PA, 
        17603, 7173970611 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179711 - Feb. 27) (BR. 06A)

S-3ASR  TECO ENERGY INC, 702 N FRANKLIN ST, TECO PLAZA, TAMPA, FL, 33602, 
        8132284111 - 0 ($0.00) Other, (File 333-179719 - Feb. 27) (BR. 02A)

S-3ASR  AVALONBAY COMMUNITIES INC, 671 N. GLEBE ROAD, SUITE 800, ARLINGTON, VA, 
        22203, 7033296300 - 0 ($0.00) Equity, (File 333-179720 - Feb. 27) 
        (BR. 08B)

S-8     PROS Holdings, Inc., 3100 MAIN STREET, SUITE 900, HOUSTON, TX, 77002, 
        713-335-5151 - 0 ($16,560,000.00) Equity, (File 333-179721 - Feb. 27) 
        (BR. 03C)

S-3ASR  IPG PHOTONICS CORP, 50 OLD WEBSTER ROAD, OXFORD, MA, 01540, 
        5083731100 - 0 ($0.00) Equity, (File 333-179722 - Feb. 27) (BR. 10B)

S-3ASR  LUFKIN INDUSTRIES INC, P O BOX 849, LUFKIN, TX, 75902-0849, 
        9366342211 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179723 - Feb. 27) (BR. 10B)

S-3ASR  WASTE CONNECTIONS, INC., WATERWAY PLAZA TWO, 
        10001 WOODLOCH FOREST DRIVE, SUITE 400, THE WOODLANDS, TX, 77380, 
        8324422200 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179724 - Feb. 27) (BR. 06B)

S-3ASR  VIRGIN MEDIA FINANCE PLC, MEDIA HOUSE, BARTLEY WOOD BUSINESS PARK, 
        HOOK, HAMPSHIRE, X0, RG27 9UP, 0044 (0) 1256754344 - 0 ($0.00) Debt, 
        (File 333-179725 - Feb. 27) (BR. 11A)

F-10    Pretium Resources Inc., 570 GRANVILLE STREET, SUITE 1600, VANCOUVER, 
        A1, V6C 3P1, 604-558-1784 - 0 ($180,216,260.00) Equity, 
        (File 333-179726 - Feb. 27) (BR. 09)

S-3ASR  SNYDER'S-LANCE, INC., 13024 BALLANTYNE CORPORATE PL, SUITE 900, 
        CHARLOTTE, NC, 28277, 7045541421 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-179727 - Feb. 27) 
        (BR. 04A)

S-3ASR  INTERNATIONAL PAPER CO /NEW/, 6400 POPLAR AVENUE, MEMPHIS, TN, 38197, 
        901-419-7000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179728 - Feb. 27) (BR. 04B)

S-8     EXAR CORP, 48720 KATO ROAD, 48720 KATO ROAD, FREMONT, CA, 94538, 
        5106687000 - 1,200,000 ($7,716,000.00) Equity, (File 333-179730 - 
        Feb. 27) (BR. 10A)

S-3ASR  SOUTHERN CO, 30 IVAN ALLEN JR. BLVD., N.W., ATLANTA, GA, 30308, 
        4045065000 - 27,511,002 ($1,211,859,638.10) Equity, (File 333-179734 - 
        Feb. 27) (BR. 02A)

F-10    STUDENT TRANSPORTATION INC., 160 SAUNDERS ROAD, UNIT 6, BARRIE, A6, 
        L4N 9A4, 732-280-4200 - 0 ($86,353,625.00) Equity, (File 333-179736 - 
        Feb. 27) (BR. 05C)

S-3ASR  SBA COMMUNICATIONS CORP, ONE TOWN CENTER RD, THIRD FLOOR, BOCA RATON, 
        FL, 33486, 5619957670 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179737 - Feb. 27) (BR. 11C)

S-1     FERMO GROUP, INC., 2360 CORPORATE CIRCLE STE 400, HENDERSON, NV, 
        89074-7722, 7029970504 - 3,000,000 ($90,000.00) Equity, 
        (File 333-179738 - Feb. 27) (BR. )

S-8     Ceres, Inc., 1535 RANCHO CONEJO BLVD., THOUSAND OAKS, CA, 91320, 
        805-376-6500 - 0 ($32,835,856.57) Equity, (File 333-179739 - Feb. 27) 
        (BR. 05)

S-8     BLUE NILE INC, 411 FIRST AVE S, STE 700, SEATTLE, WA, 98104, 
        2063366700 - 0 ($27,958,115.00) Equity, (File 333-179741 - Feb. 27) 
        (BR. 02C)

S-8     SolarWinds, Inc., 3711 SOUTH MOPAC EXPRESSWAY, BUILDING TWO, AUSTIN, 
        TX, 78746, 512-682-9500 - 0 ($63,835,000.00) Equity, (File 333-179742 - 
        Feb. 27) (BR. 03A)

S-3ASR  AQUA AMERICA INC, 762 W. LANCASTER AVE, BRYN MAWR, PA, 19010-3489, 
        610-527-8000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179743 - Feb. 27) (BR. 02C)

S-3ASR  HESS CORP, 1185 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 
        2129978500 - 0 ($0.00) Other, (File 333-179744 - Feb. 27) (BR. 04A)

S-1     Stevia Corp, 7117 US 31 S, INDIANAPOLIS, IN, 46227, 888-250-2566 - 
        20,000,000 ($20,000,000.00) Equity, (File 333-179745 - Feb. 27) 
        (BR. 05C)

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

11 GOOD ENERGY INC                      DE       5.02                 02/06/12

8X8 INC /DE/                            DE       5.02,9.01            02/21/12

AARON'S INC                             GA       5.02,7.01,9.01       02/21/12

Access Plans Inc                                 1.01,5.07,8.01,9.01  02/24/12

Access Plans Inc                                 1.01,9.01            02/22/12

ADVENTRX PHARMACEUTICALS INC            DE       5.02,9.01            02/23/12

AECOM TECHNOLOGY CORP                   DE       5.02,9.01            02/27/12

AEP INDUSTRIES INC                      DE       1.01,2.03,9.01       02/22/12

AES CORP                                DE       2.02,7.01,9.01       02/27/12

AFFYMAX INC                             DE       1.01,8.01,9.01       02/24/12

ALEXANDRIA REAL ESTATE EQUITIES INC     MD       8.01,9.01            02/22/12

Allied Nevada Gold Corp.                DE       2.02,7.01,9.01       02/27/12

Allied Nevada Gold Corp.                DE       7.01,9.01            02/27/12

ALLSTATE CORP                           DE       5.02,9.01            02/27/12

Alpha Natural Resources, Inc.           DE       7.01,9.01            02/27/12

AMERICAN PARAMOUNT GOLD CORP.           NV       5.02,7.01,9.01       02/24/12

AMERICAN POWER CORP.                    NV       1.01,3.02,9.01       02/21/12

American Realty Capital Properties, I   MD       7.01,9.01            02/27/12

American Water Works Company, Inc.      DE       2.02,9.01            02/27/12

AMERIGON INC                            MI       5.02,9.01            02/23/12

AMN HEALTHCARE SERVICES INC             DE       8.01,9.01            02/24/12

AMPAL-AMERICAN ISRAEL CORP              NY       8.01                 02/27/12

AMYRIS, INC.                            DE       2.02,9.01            02/27/12

ANALYSTS INTERNATIONAL CORP                      7.01,9.01            02/24/12

Antero Resources LLC                    DE       8.01,9.01            02/27/12

AOL Inc.                                DE       5.02                 02/22/12

APPLE INC                               CA       5.07                 02/23/12

APPLIANCE RECYCLING CENTERS OF AMERIC   MN       2.02,9.01            02/27/12

ARES CAPITAL CORP                       MD       1.01,8.01,9.01       02/27/12

ARMSTRONG WORLD INDUSTRIES INC          PA       2.02,7.01,9.01       02/27/12

ARMSTRONG WORLD INDUSTRIES INC          PA       5.02                 02/24/12

ARQULE INC                              DE       9.01                 02/23/12    AMEND

ARROW ELECTRONICS INC                   NY       8.01,9.01            02/27/12

ASSOCIATED BANC-CORP                    WI       8.01,9.01            02/27/12

ASSOCIATED BANC-CORP                    WI       7.01,9.01            02/27/12

ATC Ventures Group, Inc.                NV       3.01,9.01            02/21/12

ATHERSYS, INC / NEW                     DE       5.02                 02/24/12

AtriCure, Inc.                          DE       2.02,9.01            02/27/12

AUTOLIV INC                             DE       5.02,9.01            02/24/12

BERKSHIRE HATHAWAY INC                  DE       7.01,9.01            02/25/12

Bio-Solutions Corp.                     NV       5.02,9.01            02/15/12

BIOMIMETIC THERAPEUTICS, INC.           DE       1.01,9.01            02/21/12

BlackRock Inc.                          DE       5.03,9.01            02/23/12

BLUEGREEN CORP                          MA       1.01                 02/21/12

Boardwalk Pipeline Partners, LP         DE       7.01,9.01            02/27/12

BRINKS CO                               VA       7.01,9.01            02/27/12

BROADSOFT, INC.                         DE       5.02                 02/17/12

CALGON CARBON CORPORATION               DE       2.02,9.01            02/27/12

Capital Group Holdings, Inc.            MN       5.02                 06/28/11

Carbonite Inc                           DE       7.01,9.01            02/22/12    AMEND

CAREER EDUCATION CORP                   DE       2.02,9.01            02/27/12

CBIZ, Inc.                              DE       8.01                 02/27/12

Celanese CORP                           DE       5.02                 02/23/12

CEMPRA, INC.                            DE       8.01,9.01            02/27/12

Cereplast Inc                           NV       5.02,9.01            02/21/12

Chaparral Energy, Inc.                  DE       2.02                 02/27/12

CHARTER COMMUNICATIONS, INC. /MO/       DE       2.02,9.01            02/27/12

Chatham Lodging Trust                   MD       5.02                 02/21/12

CHEESECAKE FACTORY INC                  DE       8.01,9.01            02/27/12

Chemtura CORP                           DE       2.02,9.01            02/27/12

CHENIERE ENERGY INC                     DE       8.01,9.01            02/25/12

Cheniere Energy Partners, L.P.          DE       1.01,8.01,9.01       02/25/12

China Energy CORP                                5.02                 02/26/12

CIMAREX ENERGY CO                       DE       3.03                 02/22/12

CLAIRES STORES INC                      DE       8.01,9.01            02/27/12

CLAIRES STORES INC                      DE       8.01,9.01            02/27/12

CleanTech Innovations, Inc.             NV       8.01,9.01            02/21/12

Cleantech Solutions International, In   DE       7.01,9.01            02/24/12

CLICKER INC.                            NV       5.02,8.01,9.01       02/27/12

CN Resources Inc.                       NV       5.02                 02/27/12

COLE CREDIT PROPERTY TRUST IV, INC.     MD       5.03,5.07,8.01,9.01  02/23/12

COLUMBIA LABORATORIES INC               DE       7.01,9.01            02/27/12

COMMUNITY TRUST BANCORP INC /KY/        KY       7.01,9.01            12/31/11

Compressco Partners, L.P.               DE       2.02,9.01            02/27/12

CONCHO RESOURCES INC                    DE       5.02                 02/21/12

COOPER TIRE & RUBBER CO                 DE       2.02,9.01            02/27/12

Cooper-Standard Holdings Inc.           DE       2.02,7.01,9.01       02/27/12

Coronus Solar Inc.                      A1       1.01,2.03,3.02,7.01, 02/27/12
                                                 9.01
          
CRAY INC                                WA       2.02,9.01            02/27/12

CUBIST PHARMACEUTICALS INC              DE       9.01                 12/12/11    AMEND

CVR ENERGY INC                          DE       2.02,9.01            02/27/12

CYBERDEFENDER CORP                      CA       1.01,1.03,8.01,9.01  02/23/12

CYTODYN INC                             CO       8.01                 02/15/12

DealerTrack Holdings, Inc.              DE       7.01,8.01,9.01       02/07/12

Debut Broadcasting Corporation, Inc.    NV       5.02,9.01            02/27/12

DEERE JOHN CAPITAL CORP                 DE       9.01                 02/27/12

DENDREON CORP                           DE       2.02,9.01            02/27/12

DENMARK BANCSHARES INC                  WI       5.03,9.01            02/21/12

DIAMOND HILL INVESTMENT GROUP INC       OH       2.02,9.01            02/27/12

Digital Systems, Inc.                   CO       7.01,9.01            02/20/12

DILLARDS INC                            DE       2.02,9.01            02/23/12

DIME COMMUNITY BANCSHARES INC           DE       8.01,9.01            02/24/12

DOVER SADDLERY INC                               2.02,7.01,9.01       02/22/12

EDIETS COM INC                          DE       1.01,5.02,9.01       02/23/12

Edwards Lifesciences Corp               DE       4.02                 02/21/12

EL PASO CORP/DE                         DE       1.01                 02/24/12

EL PASO CORP/DE                         DE       2.02,9.01            02/27/12

El Paso Pipeline Partners, L.P.         DE       2.02,9.01            02/27/12

Employers Holdings, Inc.                NV       2.02,8.01,9.01       02/27/12

ENDO PHARMACEUTICALS HOLDINGS INC       DE       7.01,9.01            02/27/12

Energy Telecom, Inc.                    FL       1.01,9.01            02/21/12

ENERNOC INC                             DE       2.02,9.01            02/27/12

ENTECH SOLAR, INC.                      DE       2.03,3.02,9.01       02/22/12

ENTRAVISION COMMUNICATIONS CORP         DE       1.01,9.01            02/24/12

ENVESTNET, INC.                         DE       9.01                 12/13/11    AMEND

EOG RESOURCES INC                       DE       5.02,9.01            02/21/12

ERESEARCHTECHNOLOGY INC /DE/            DE       2.02,9.01            02/27/12

ERIE INDEMNITY CO                       PA       2.02,8.01,9.01       02/27/12

EVERFLOW EASTERN PARTNERS LP            DE       2.01,9.01            02/21/12

EVERTEC, Inc.                           PR       5.02,7.01,9.01       02/22/12

FBL FINANCIAL GROUP INC                 IA       1.01,5.05,8.01,9.01  02/26/12

Federal Home Loan Bank of Pittsburgh    PA       2.02,7.01,9.01       02/27/12

FIRST COLOMBIA GOLD CORP.               NV       5.02                 02/24/12

FLEETCOR TECHNOLOGIES INC               DE       2.01,9.01            12/13/11    AMEND

FREQUENCY ELECTRONICS INC               DE       1.01,2.01,8.01,9.01  02/21/12

FRESH START PRIVATE MANAGEMENT, INC.    NV       1.01,1.02,2.01       10/31/11    AMEND

FTI CONSULTING INC                      MD       7.01,9.01            02/27/12

G REIT Liquidating Trust                         2.04,8.01            12/20/11

GALECTIN THERAPEUTICS INC               NV       8.01                 02/23/12

GASCO ENERGY INC                        NV       1.01,7.01,9.01       02/23/12

GBS Enterprises Inc                     NV       2.02,9.01            02/27/12

General Finance CORP                    DE       8.01,9.01            02/27/12

General Finance CORP                    DE       8.01,9.01            02/27/12

GEO GROUP INC                           FL       2.02,7.01,9.01       02/21/12

GFI Group Inc.                          DE       4.01,9.01            02/21/12

Giggles N' Hugs, Inc.                   NV       5.02,8.01,9.01       02/23/12

GLOBAL NUTECH, INC.                     NV       7.01,9.01            02/24/12

GLOBAL POWER EQUIPMENT GROUP INC.       DE       1.01,1.02,9.01       02/21/12

GLOBALSCAPE INC                         DE       7.01                 02/27/12

GOLD AMERICAN MINING CORP.              NV       1.02                 02/21/12

GOLDFIELD CORP                          DE       8.01,9.01            02/24/11

GRAN TIERRA ENERGY, INC.                NV       2.02,9.01            02/27/12

GRANDPARENTS.COM, INC.                  DE       1.01,2.01,3.03,4.01, 02/22/12
                                                 5.01,5.02,5.03,5.06,
                                                 9.01
   
GREAT PLAINS ENERGY INC                 MO       2.02,9.01            02/27/12

GUIDED THERAPEUTICS INC                 DE       7.01,9.01            02/27/12

GULF ISLAND FABRICATION INC             LA       2.02,9.01            02/27/12

GULF ISLAND FABRICATION INC             LA       8.01,9.01            02/24/12

GULF POWER CO                           ME       8.01                 02/27/12

GULFMARK OFFSHORE INC                   DE       7.01,9.01            02/23/12

HARBINGER GROUP INC.                    DE       5.02,9.01            02/24/12

HARRIS CORP /DE/                        DE       2.05,2.06,7.01,8.01, 02/24/12
                                                 9.01
          
HEADWATERS INC                          DE       5.07,9.01            02/23/12

HEALTH CARE REIT INC /DE/               DE       8.01,9.01            02/21/12

HERTZ CORP                              DE       2.02,9.01            02/23/12

HERTZ GLOBAL HOLDINGS INC                        2.02,9.01            02/23/12

HOLLY ENERGY PARTNERS LP                DE       8.01,9.01            02/27/12

Horsehead Holding Corp                           7.01,9.01            02/27/12

HUMAN GENOME SCIENCES INC               DE       2.02,9.01            02/27/12

ICF International, Inc.                 DE       5.02                 02/21/12

IMMUCOR INC                             GA       5.02                 02/12/12

Industrial Income Trust Inc.            MD       1.01,3.03,9.01       02/21/12

INFOSONICS CORP                                  1.01,5.02            02/21/12

INTEGRATED ELECTRICAL SERVICES INC      DE       3.01,9.01            02/22/12

INTERGROUP CORP                         DE       5.07                 02/22/12

INTERNATIONAL BANCSHARES CORP           TX       2.02,8.01,9.01       02/27/12

IntraLinks Holdings, Inc.               DE       2.02,9.01            02/27/12

InvenSense Inc                          DE       7.01                 02/27/12

J C PENNEY CO INC                       DE       2.02,5.02,5.03,9.01  02/21/12

Jazz Pharmaceuticals plc                DE       2.02,9.01            02/27/12

JBI, INC.                               NV       7.01,8.01,9.01       02/27/12

JONES LANG LASALLE INC                  MD       7.01,9.01            02/27/12

KAMAN CORP                              CT       2.02,9.01            02/27/12

KANSAS CITY SOUTHERN                    DE       1.01,2.03,3.03,5.02, 02/22/12
                                                 7.01,9.01
     
KEY ENERGY SERVICES INC                 MD       5.03,9.01            02/22/12

KINDER MORGAN ENERGY PARTNERS L P       DE       1.01,9.01            02/27/12

KINDER MORGAN, INC.                     DE       1.01,8.01,9.01       02/24/12

LAKES ENTERTAINMENT INC                 MN       7.01,9.01            02/24/12

LEMAITRE VASCULAR INC                            2.02,9.01            02/27/12

LEUCADIA NATIONAL CORP                  NY       8.01,9.01            02/27/12

Liberty Global, Inc.                    DE       7.01                 02/24/12

Liberty Interactive Corp                         2.02,7.01,8.01,9.01  02/21/12

Liberty Media Corp                      DE       2.02,7.01,9.01       02/21/12

Life Technologies Corp                  DE       5.02,9.01            02/22/12

LILLY ELI & CO                          IN       5.03,9.01            02/21/12

LIMITED BRANDS INC                      DE       2.02                 02/22/12

LIONS GATE ENTERTAINMENT CORP /CN/      A1       1.01,5.02,9.01       02/23/12

Lone Star Gold, Inc.                    NV       5.03,9.01            02/24/12

LOUISIANA-PACIFIC CORP                  DE       2.02                 02/27/12

LOWES COMPANIES INC                     NC       2.02,9.01            02/27/12

LTC PROPERTIES INC                      MD       2.02,9.01            02/27/12

LUFKIN INDUSTRIES INC                   TX       2.01,9.01            12/31/11    AMEND

Lumos Networks Corp.                    VA       2.02,2.06,9.01       02/27/12

MAINSOURCE FINANCIAL GROUP              IN       8.01,9.01            02/27/12

MAKO Surgical Corp.                     DE       5.02,9.01            02/23/12

Manitex International, Inc.             MI       2.04,9.01            02/21/12

MARRIOTT INTERNATIONAL INC /MD/         DE       8.01,9.01            02/22/12

MATERION Corp                                    2.02,9.01            02/27/12

MAYDAO Corp                             UT       8.01                 02/27/12

MDC PARTNERS INC                        A6       2.02,9.01            02/27/12

MEDICINES CO /DE                        DE       5.02                 02/21/12

MEDICIS PHARMACEUTICAL CORP             DE       2.02,9.01            02/27/12

MERIDIAN INTERSTATE BANCORP INC                  5.02,9.01            02/27/12

MGM Resorts International               DE       1.01,2.03,9.01       02/24/12

MICROVISION INC                         DE       2.02,9.01            02/27/12

MID AMERICA APARTMENT COMMUNITIES INC   TN       7.01,9.01            02/27/12

Mid-Con Energy Partners, LP             DE       7.01,9.01            02/24/12

Midway Gold Corp                        A1       7.01,9.01            02/27/12

Mogul Energy International, Inc.        DE       5.07,7.01,9.01       02/27/12

MOLEX INC                               DE       5.02,9.01            02/22/12

MOLSON COORS BREWING CO                 DE       5.02,9.01            02/23/12

Motorola Solutions, Inc.                DE       1.01,5.02,8.01,9.01  02/26/12

NABORS INDUSTRIES LTD                   D0       5.02,9.01            02/24/12

NCI BUILDING SYSTEMS INC                DE       5.07                 02/27/12

NEWS CORP                                        8.01,9.01            02/27/12

NNN 2002 VALUE FUND LLC                          2.04,8.01            12/20/11

NORTHSTAR REALTY FINANCE CORP.          MD       1.01,9.01            02/21/12

NYXIO TECHNOLOGIES Corp                 NV       1.01,3.02,8.01,9.01  02/21/12

Oldwebsites.com, Inc.                   UT       8.01                 02/27/12

OLIN CORP                               VA       7.01,9.01            02/27/12

OneBeacon Insurance Group, Ltd.         D0       5.02,9.01            02/21/12

Opexa Therapeutics, Inc.                TX       2.02,9.01            02/27/12

OPNEXT INC                                       5.07                 02/21/12

Optex Systems Holdings Inc              DE       8.01,9.01            02/21/12

ORASURE TECHNOLOGIES INC                DE       1.01,9.01            02/24/12

ORBCOMM Inc.                            DE       1.01,2.03,9.01       02/22/12

ORMAT TECHNOLOGIES, INC.                DE       2.02,9.01            02/23/12

ORRSTOWN FINANCIAL SERVICES INC         PA       5.02                 02/22/12

OSI SYSTEMS INC                         DE       8.01,9.01            02/27/12

Pacific Ethanol, Inc.                   DE       2.02,9.01            02/27/12

PARKWAY PROPERTIES INC                  MD       5.02                 02/27/12

PEABODY ENERGY CORP                     DE       7.01,9.01            02/27/12

PENSECO FINANCIAL SERVICES CORP         PA       5.03,9.01            02/21/12

PEOPLES BANCORP INC                     OH       5.02,9.01            02/27/12

Phillips Edison - ARC Shopping Center   MD       1.01,2.01,7.01,8.01, 02/20/12
                                                 9.01
          
PIPER JAFFRAY COMPANIES                 DE       5.02                 02/22/12

Polypore International, Inc.                     8.01,9.01            02/03/12

Polypore International, Inc.                     2.02,9.01            02/23/12

PORTSMOUTH SQUARE INC                   CA       5.07                 02/23/12

POWER INTEGRATIONS INC                  CA       1.01                 02/21/12

PPL Corp                                         1.01,7.01,9.01       02/23/12

PPL Corp                                         2.02,7.01,9.01       02/10/12    AMEND

PROSPERITY BANCSHARES INC               TX       1.01,7.01,9.01       02/26/12

PROVIDENT FINANCIAL HOLDINGS INC        DE       5.02,9.01            02/24/12

QLIK TECHNOLOGIES INC                   DE       5.02                 02/21/12

QUESTCOR PHARMACEUTICALS INC            CA       2.02,9.01            02/22/12

QUESTCOR PHARMACEUTICALS INC            CA       7.01,9.01            02/27/12

QUICKSILVER RESOURCES INC               DE       2.02,9.01            02/27/12

RACKSPACE HOSTING, INC.                          5.02                 02/21/12

RADIANT LOGISTICS, INC                  DE       8.01,9.01            02/27/12

RANGE RESOURCES CORP                    DE       1.01,7.01,9.01       02/24/12

RAYMOND JAMES FINANCIAL INC             FL       5.02,5.07,7.01,9.01  02/23/12

RBS GLOBAL INC                          DE       7.01                 02/27/12

REALOGY CORP                            DE       2.02                 02/24/12

REALOGY CORP                            DE       5.02                 02/27/12

REALPAGE INC                            DE       5.02,9.01            02/22/12

REDWOOD TRUST INC                       MD       2.02,5.02,7.01,9.01  02/22/12

REGAL ONE Corp                          FL       4.01,9.01            02/24/12

RENAISSANCERE HOLDINGS LTD              D0       5.02,9.01            02/21/12

REPROS THERAPEUTICS INC.                DE       8.01,9.01            02/27/12

REYNOLDS AMERICAN INC                            1.01,2.03,9.01       02/24/12

RIMAGE CORP                             MN       5.02                 02/21/12

RITE AID CORP                           DE       1.01,2.03,8.01,9.01  02/24/12

ROBERTS REALTY INVESTORS INC            GA       1.01,2.03,9.01       02/21/12

ROLLINS INC                             DE       7.01,9.01            02/24/12

Rosetta Resources Inc.                  DE       2.02,9.01            02/24/12

Rouse Properties, Inc.                  DE       5.02,9.01            02/21/12

ROWAN COMPANIES INC                     DE       7.01,9.01            02/27/12

SALIX PHARMACEUTICALS LTD                        2.02,9.01            02/27/12

San West, Inc                           CA       5.02,5.03,9.01       01/26/12

SANDRIDGE ENERGY INC                    DE       8.01,9.01            02/27/12

SANTA FE FINANCIAL CORP                 NV       5.07                 02/23/12

SBA COMMUNICATIONS CORP                 FL       1.01,3.02,7.01,9.01  02/18/12

Scrap China CORP                        UT       8.01                 02/27/12

SELECT COMFORT CORP                     MN       5.02,9.01            02/27/12

SELECT COMFORT CORP                     MN       7.01,9.01            02/27/12

SELECT MEDICAL HOLDINGS CORP                     7.01,9.01            02/27/12

SEVERN BANCORP INC                      MD       5.02,9.01            02/27/12

SHERWIN WILLIAMS CO                     OH       1.01,2.03,9.01       02/27/12

Shire plc                                        8.01,9.01            02/23/12

SHORE BANCSHARES INC                    MD       5.02                 02/24/12

SIGNATURE GROUP HOLDINGS, INC.          NV       8.01                 02/24/12

SIMMONS FIRST NATIONAL CORP             AR       8.01,9.01            02/27/12

SMITHFIELD FOODS INC                    VA       2.02,9.01            02/27/12

SMSA Treemont Acquisition Corp          NV       1.01,2.01,3.02,4.01, 05/13/11    AMEND
                                                 5.01,5.02,5.06,9.01
        
Somaxon Pharmaceuticals, Inc.           DE       5.02,9.01            02/23/12

SOUTHWEST GAS CORP                      CA       8.01                 02/27/12

SOUTHWESTERN ENERGY CO                  DE       5.02,5.03            02/24/12

SP Bancorp, Inc.                        MD       8.01,9.01            02/27/12

SPRINT NEXTEL CORP                      KS       8.01,9.01            02/27/12

SPRINT NEXTEL CORP                      KS       8.01,9.01            02/27/12

ST JOE CO                               FL       2.02,9.01            02/27/12

STEVEN MADDEN, LTD.                     DE       2.01                 02/21/12

Stevia Corp                             NV       1.01,8.01,9.01       02/21/12

STONE ENERGY CORP                       DE       9.01                 12/28/11    AMEND

STRATEGIC HOTELS & RESORTS, INC                  5.02,9.01            02/21/12

STRATTEC SECURITY CORP                  WI       5.02,9.01            02/27/12

Swank, Inc.                             DE       2.02,9.01            02/27/12

SYKES ENTERPRISES INC                   FL       2.02,9.01            02/27/12

Synutra International, Inc.             DE       5.07                 02/23/12

T REIT LIQUIDATING TRUST                VA       2.04,8.01            12/20/11

TANDY BRANDS ACCESSORIES INC            DE       5.02                 02/22/12

TearLab Corp                            DE       1.01,8.01,9.01       02/22/12

TECHE HOLDING CO                        LA       8.01,9.01            02/23/12

TELETOUCH COMMUNICATIONS INC            DE       2.04,9.01            02/21/12

TESCO CORP                                       2.02,9.01            02/23/12

TGC INDUSTRIES INC                      TX       2.02,9.01            02/27/12

Thompson Creek Metals CO Inc.           A6       2.02,9.01            02/27/12

TMST, Inc.                              MD       7.01,9.01            02/23/12

TORCHMARK CORP                          DE       5.02,9.01            02/21/12

Tower Group, Inc.                       DE       2.02,9.01            02/27/12

TRANSDEL PHARMACEUTICALS INC            DE       5.03,8.01            02/23/12

Transocean Ltd.                         V8       2.02,9.01            02/27/12

Transocean Ltd.                         V8       7.01,9.01            02/27/12

TRANSUNION CORP.                                 7.01,9.01            02/27/12

TREX CO INC                             DE       2.02,9.01            02/27/12

TRIDENT MICROSYSTEMS INC                DE       8.01                 02/24/12

TRIMAS CORP                             DE       2.02,9.01            02/27/12

UNIFIED GROCERS, INC.                   CA       5.07                 02/22/12

UNISOURCE ENERGY CORP                   AZ       2.02,9.01            02/27/12

UNIVERSAL HEALTH SERVICES INC           DE       2.02,9.01            02/27/12

URS CORP /NEW/                          DE       2.02,8.01,9.01       02/24/12

USA Mobility, Inc                       DE       7.01,9.01            02/23/12

Valeant Pharmaceuticals International   A6       2.02,9.01            02/27/12

VALERO ENERGY CORP/TX                   DE       5.02,9.01            02/22/12

VALERO ENERGY CORP/TX                   DE       5.02,9.01            02/23/12

VALIDUS HOLDINGS LTD                             7.01,9.01            02/27/12

VECTOR GROUP LTD                        DE       1.01,2.03,5.02       02/21/12

VEECO INSTRUMENTS INC                   DE       5.02                 02/24/12

VERISIGN INC/CA                         DE       5.02                 02/21/12

VERTICAL HEALTH SOLUTIONS INC           FL       1.01,2.03,3.02,9.01  02/21/12

VIASAT INC                              DE       5.02                 02/24/12

VIASAT INC                              DE       1.01,2.03,9.01       02/27/12

VIRGINIA COMMERCE BANCORP INC                    5.02                 02/21/12

VISTEON CORP                            DE       2.02,7.01,9.01       02/27/12

VISTEON CORP                            DE       4.01,9.01            01/27/12    AMEND

VOLT INFORMATION SCIENCES, INC.         NY       5.02                 02/22/12

WASTE CONNECTIONS, INC.                 DE       9.01                 02/13/12    AMEND

WELLS FARGO & CO/MN                     DE       9.01                 02/27/12

WESCO INTERNATIONAL INC                          1.02,5.02            02/27/12

WEST PHARMACEUTICAL SERVICES INC        PA       5.02,6.05,9.01       02/21/12

Western Gas Partners LP                 DE       2.02,9.01            02/27/12

Westinghouse Solar, Inc.                DE       5.02                 02/22/12

WINN DIXIE STORES INC                   FL       8.01                 02/27/12

XZERES Corp.                            NV       3.02,7.01            02/24/12

YA ZHU SILK, INC.                       NV       1.01,2.01,3.02,5.01, 02/20/12
                                                 5.06,9.01
     
YESDTC HOLDINGS, INC.                   NV       5.02,8.01            02/27/12

ZIPCAR INC                                       5.02,9.01            02/22/12

http://www.sec.gov/news/digest/2012/dig022812.htm

SEC News Digest