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Commission announcementsSEC Approves New Rule Requiring Consolidated Audit Trail to Monitor and Analyze Trading ActivityThe Securities and Exchange Commission today voted to require the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail that will significantly enhance regulators’ ability to monitor and analyze trading activity. The new rule adopted by the Commission requires the exchanges and FINRA to jointly submit a comprehensive plan detailing how they would develop, implement, and maintain a consolidated audit trail that must collect and accurately identify every order, cancellation, modification, and trade execution for all exchange-listed equities and equity options across all U.S. markets. Currently, there is no single database of comprehensive and readily accessible data regarding orders and executions. Each SRO instead uses its own separate audit trail system to track information relating to orders in its respective markets. Existing audit trail requirements vary significantly among markets, which means that regulators must obtain and merge together large volumes of disparate data from different entities when analyzing market activity. “A consolidated audit trail that accurately tracks orders throughout their lifecycle and identifies the broker-dealers handling them will provide us with an unprecedented ability to effectively oversee the markets we regulate,” said SEC Chairman Mary Schapiro. A consolidated audit trail will increase the data available to regulators investigating illegal activities such as insider trading and market manipulation, and it will significantly improve the ability to reconstruct broad-based market events in an accurate and timely manner. A consolidated audit trail also will significantly increase the ability of regulators to monitor overall market structure and assess how SEC rules are affecting the markets, and will reduce the regulatory data production burdens on SROs and broker-dealers by reducing the number of ad hoc requests from regulators presently. The new rule becomes effective 60 days after its publication in the Federal Register. SROs are required to submit the NMS plan to the Commission within 270 days of the rule’s publication in the Federal Register. Once the Commission approves the NMS plan, the SROs are required to report the required data to the central repository within one year, and members of the SROs are required to report within two years. Certain small broker-dealers will have up to three years to report the data. (Press Rel. 2012-134) Enforcement proceedingsIn the Matter of Ohio Ferro Alloys Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Ohio Ferro Alloys Corp., Admin. Proc. File No. 3-14900. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Ohio Ferro Alloys Corp., Orbcomm Corp., Outboard Marine Corp., Oz Communications, Inc., Penn-Pacific Corp., Peoples Community Bancorp, Inc., Performance Health Technologies, Inc., and Petals Decorative Accents, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-67394; File No. 3-14900) Commission Revokes Registration of Securities of Ariel Way, Inc. For Failure to Make Required Periodic FilingsOn July 11, 2012, the Commission revoked the registration of each class of registered securities of Ariel Way, Inc. (AWYI) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, AWYI consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Ariel Way, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of AWYI’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against AWYI in In the Matter of Airtrax, Inc., et al., Administrative Proceeding File No. 3-14869. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Airtrax, Inc., et al., Administrative Proceeding File No. 3-14869, Exchange Act Release No. 66908 (May 3, 2012). (Rel. 34-67395; File No. 3-14869) In the Matter of Valor Energy Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to Valor Energy Corp. (Default Order) in Quintek Technologies, Inc., Admin. Proc. File No. 3-14890. The Order Instituting Proceedings (OIP) alleged that Valor Energy Corp. (Valor) repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Valor, and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). Respondent Urigen Pharmaceuticals, Inc., has filed an Answer to the OIP and remains in the proceeding. The proceeding has ended as to Respondents Quintek Technologies, Inc., The Saint James Co., Wherify Wireless, Inc., and WinWin Gaming, Inc. See Quintek Technologies, Inc., Exchange Act Release No. 67269 (June 27, 2012). (Rel. 34-67396; File No. 3-14890) In the Matter of Andrew W. LimpertThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Andrew W. Limpert (Limpert) (Order). The Order finds that Limpert shall cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, Sections 206(1), 206(2), 204(a), 204A and 206(4) of the Advisers Act and Rules 204-2(a)(7), 204A-1 and 206(4)-7 promulgated thereunder. Based on the above, the Order (1) bars Limpert from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; (2) prohibits Limpert 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; and, (3) bars Limpert from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Limpert consented to entry of the Order without admitting or denying the Commission’s findings. (Rel. 33-9335; File No. 3-14404) In the Matter of Belsen Getty, LLC and Terry M. DeruThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, 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 as to Belsen Getty, LLC (Belsen Getty) and Terry M. Deru (Deru) (Order). The Division of Enforcement alleged that Belsen Getty, a registered investment adviser, and Deru, Belsen Getty’s managing member violated various provisions of the federal securities laws through numerous instances of failure to disclose conflicts, breaches of fiduciary duty, and misrepresentations or omissions to Belsen Getty clients. The Division of Enforcement alleged that in November 2006, Deru became involved in founding Nine Mile Software, Inc. (“Nine Mile”), a software company. Deru was a major shareholder in Nine Mile. Deru obtained start-up money for Nine Mile by selling restricted Nine Mile stock to Belsen Getty clients and others. Nine Mile commenced an initial public offering of its common stock in November 2007. The vast majority of the offering (92%) was sold to Belsen Getty clients, based on advice from Deru. In October and November 2008, Belsen Getty, using its discretionary trading authority, effected trades of Nine Mile stock in client accounts without informing the clients of risk or conflicts. Belsen Getty, through Deru, also recommended to its clients other high-risk investments in which Deru had a financial interest while making material misrepresentations or omissions about the investments. The Order finds that Deru and Belsen Getty shall cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, Sections 206(1) and 206(2) of the Advisers Act and Sections 204(a), 204A and 206(4) of the Advisers Act and Rules 204-2(a)(7), 204A-1 and 206(4)-7 promulgated thereunder. The Order further finds that Deru shall cease and desist committing or causing any violations and any future violations of Section 206(3) of the Advisers Act. Based on the above, the Order (1) bars Deru from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; (2) prohibits Deru 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; and, (3) bars Deru from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. The Order further requires Deru to pay disgorgement in the amount of $93,536.72 together with prejudgment interest thereon in the amount of $19,060.24 and a civil penalty in the amount of $65,000.00 for a total amount of $177,596.96. Additionally, based on the above, the Order (1) revokes Belsen Getty’s registration and (2) censures Beslen Getty. (Rel. 33-9336; File No. 3-14404) INVESTMENT COMPANY ACT RELEASESHirtle Callaghan & Co., LLC and HC Capital TrustAn order has been issued on an application filed by Hirtle Callaghan & Co., LLC and HC Capital Trust, exempting them from Section 15(a) of the Investment Company Act of 1940, as amended (Act), and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-30132 - July 10) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2012-04) to delete NYSE MKT LLC Rule 428(a) and amend NYSE MKT LLC Rule 429, Telemarketing, to revise and add provisions that are substantially similar to FINRA Rule 3230 and Federal Trade Commission rules that prohibit deceptive and other abusive telemarketing acts or practices, has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67371) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEARCA-2012-54) to amend NYSE Arca Rule 9.20(b), Telemarketing, to revise and add provisions that are substantially similar to FINRA Rule 3230 and Federal Trade Commission rules that prohibit deceptive and other abusive telemarketing acts or practices has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67372) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEARCA-2012-53) to amend NYSE Arca Equities Rule 9.20(b), Telemarketing, to revise and add provisions that are substantially similar to FINRA Rule 3230 and Federal Trade Commission rules that prohibit deceptive and other abusive telemarketing acts or practices has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67373) A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2012-15) to delete NYSE Rule 440A and Interpretation 440A/01, and adopt new NYSE Rule 3230, adding provisions that are substantially similar to FINRA Rule 3230 and Federal Trade Commission rules that prohibit deceptive and other abusive telemarketing acts or practices, has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67374) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2012-03) to delete NYSE MKT LLC Rule 440A – Equities, and adopt new NYSE MKT LLC Rule 3230 – Equities, adding provisions that are substantially similar to FINRA Rule 3230 and Federal Trade Commission rules that prohibit deceptive and other abusive telemarketing acts or practices, has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67375) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-26) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67379) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-29) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67380) A proposed rule change filed by Chicago Board Options Exchange, Incorporated, to amend the fees schedule (SR-CBOE-2012-063) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67383) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-032) to modify fees and transaction credits applicable to members that use the FINRA/NYSE Trade Reporting Facility has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67385) A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2012-044) to modify the Exchange’s fee schedule governing order routing has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67386) A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2012-87) to modify Phlx’s fee schedule governing order execution on its NASDAQ OMX PSX facility has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67387) National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2012-05) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to revise its fee schedule. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67390) The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2012-09) under Section 19(b)(1) of the Exchange Act, which proposed rule change became effective upon filing, to amend OCC’s Schedule of Fees to eliminate fees for certain educational brochures. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67391) Proposed Rule ChangesBATS Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change, as modified by Amendment No. 1, under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-BATS-2012-026) to adopt a new market maker peg order available to exchange market makers. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67381) BATS Y-Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change, as modified by Amendment No. 1, under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-BYX-2012-012) to adopt a new market maker peg order available to exchange market makers. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67382) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 ALPHA NETWORK ALLIANCE VENTURES INC., 11801 PIERCE ST., 2ND FLOOR, RIVERSIDE, CA, 92505, (888) 770-508 - 25,100,050 ($3,765,008.00) Equity, (File 333-182596 - Jul. 10) (BR. 08B) S-8 Consolidated Communications Holdings, Inc., 121 SOUTH 17TH STREET, MATTOON, IL, 61938, (217) 235-3311 - 0 ($4,050,000.00) Equity, (File 333-182597 - Jul. 10) (BR. 11C) S-8 SXC Health Solutions Corp., 2441 WARRENVILLE ROAD, SUITE 610, LISLE, IL, 60532, 630-577-3100 - 746,007 ($71,363,029.62) Equity, (File 333-182598 - Jul. 10) (BR. 01A) S-1 PROSPER MARKETPLACE INC, 111 SUTTER STREET, 22ND FLOOR, SAN FRANCISCO, CA, 94104, 415-593-5400 - 0 ($1.00) Equity, (File 333-182599 - Jul. 10) (BR. 07C) S-1 Galt Petroleum, Inc., 175 SO. MAIN ST., 15TH FLOOR, SALT LAKE CITY, UT, 84111, 801-303-5730 - 2,300,000 ($2,300,000.00) Equity, (File 333-182600 - Jul. 10) (BR. 04) F-3 LDK Solar Co., Ltd., HIGH-TECH INDUSTRIAL PARK, XINYU CITY, JIANGXI PROVINCE, F4, 338032, 86 790 686-0171 - 0 ($80,000,000.00) Unallocated (Universal) Shelf, (File 333-182601 - Jul. 10) (BR. 10B) S-8 LEGG MASON, INC., 100 INTERNATIONAL DRIVE, BALTIMORE, MD, 21202, 4105390000 - 2,000,000 ($52,150,000.00) Equity, (File 333-182609 - Jul. 10) (BR. 06A) S-8 Wolverine Bancorp, Inc., 5710 EASTMAN AVE, MIDLAND, MI, 48640, (989) 631-4280 - 351,050 ($5,795,835.50) Equity, (File 333-182610 - Jul. 10) (BR. 07B) S-1 Barking Applications Corp, 5114 LAKESHORE ROAD, BURLINGTON, A6, L7L 1B9, 905-464-5493 - 1,000,000 ($100,000.00) Equity, (File 333-182614 - Jul. 10) (BR. ) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT A123 SYSTEMS, INC. DE 8.01,9.01 07/10/12 ABRAXAS PETROLEUM CORP NV 5.02 07/10/12 ACACIA RESEARCH CORP DE 8.01 06/29/12 ADVANCED VENTURES CORP DE 5.02 07/06/12 AEMETIS, INC NV 1.01,2.01,3.02,9.01 07/06/12 AF OCEAN INVESTMENT MANAGEMENT Co FL 1.01,9.01 07/06/12 ALCO STORES INC KS 5.02,7.01,9.01 07/02/12 ALCOA INC PA 2.02,9.01 07/09/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/10/12 ALTAIR NANOTECHNOLOGIES INC Z4 1.01,3.01,3.03,9.01 07/06/12 AMBASSADORS GROUP INC DE 1.01,2.03,5.02,5.03, 07/09/12 9.01 AMERICAN AIRLINES INC DE 7.01,9.01 07/10/12 AMERICAN BIO MEDICA CORP NY 1.01,8.01,9.01 07/10/12 AMERICAN CAMPUS COMMUNITIES INC MD 1.01,7.01,9.01 07/09/12 Ampio Pharmaceuticals, Inc. DE 7.01,8.01,9.01 07/09/12 AMR CORP DE 7.01,9.01 07/10/12 APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 07/10/12 APPLIED ENERGETICS, INC. DE 5.02 07/08/12 ARDENT MINES LTD 5.02,8.01,9.01 07/01/12 AspenBio Pharma, Inc. CO 8.01,9.01 07/05/12 Atlas Energy, L.P. DE 9.01 04/30/12 AMEND Atlas Resource Partners, L.P. 9.01 04/30/12 AMEND ATWOOD OCEANICS INC TX 7.01,9.01 07/10/12 Augme Technologies, Inc. DE 8.01,9.01 07/10/12 AZZ INC TX 7.01,8.01,9.01 07/10/12 AZZ INC TX 5.07 07/10/12 Bacterin International Holdings, Inc. DE 7.01,9.01 07/10/12 BEACON ROOFING SUPPLY INC DE 5.02,9.01 07/09/12 Bioflamex Corp NV 4.02 06/21/12 AMEND BRAZIL FAST FOOD CORP DE 4.01 07/03/12 CALIFORNIA WATER SERVICE GROUP DE 7.01,9.01 07/09/12 CapLease, Inc. 2.02,9.01 07/10/12 Caribou Coffee Company, Inc. MN 8.01 07/09/12 CD INTERNATIONAL ENTERPRISES, INC. FL 3.01,7.01,9.01 07/09/12 CEMPRA, INC. DE 7.01,9.01 07/10/12 CHAMPION INDUSTRIES INC WV 3.01 07/05/12 CHAUS BERNARD INC NY 3.03,5.02,5.03,9.01 07/09/12 CHC Helicopter S.A. N4 2.02,9.01 07/10/12 CHEESECAKE FACTORY INC DE 8.01,9.01 07/10/12 Chesapeake Lodging Trust MD 9.01 05/10/11 AMEND CHUBB CORP NJ 7.01,9.01 07/10/12 CHURCHILL DOWNS INC KY 5.03 07/10/12 CITIBANK CREDIT CARD ISSUANCE TRUST DE 1.01,9.01 07/10/12 Clean Energy Fuels Corp. DE 1.01,2.03,3.02,9.01 07/10/12 Cloud Star CORP 4.01,9.01 07/09/12 COCA COLA CO DE 5.07,9.01 07/10/12 CODORUS VALLEY BANCORP INC PA 8.01,9.01 07/10/12 COMCAST CORP PA 1.01,9.01 07/09/12 COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 07/09/12 Compass Diversified Holdings DE 8.01,9.01 07/10/12 COMPUSONICS VIDEO CORP CO 8.01 06/30/12 COMPUTER TASK GROUP INC NY 7.01,9.01 07/10/12 COOPER COMPANIES INC DE 8.01,9.01 07/10/12 CORE LABORATORIES N V P7 7.01,9.01 07/10/12 CORE MOLDING TECHNOLOGIES INC DE 1.01,2.03,9.01 07/09/12 CUMMINS INC IN 2.02,9.01 07/10/12 Curry Gold Corp 5.01,5.02 07/05/12 CYS Investments, Inc. MD 8.01 07/10/12 CYTOMEDIX INC DE 2.02,7.01,9.01 07/09/12 DEBT RESOLVE INC DE 5.02 06/25/12 Destination Maternity Corp DE 2.02,9.01 07/10/12 DIGIRAD CORP DE 5.02 07/09/12 DIGITAL ALLY INC 8.01 07/03/12 Digital Cinema Destinations Corp. DE 8.01,9.01 07/10/12 DYNEGY INC. DE 5.02,9.01 07/05/12 EAGLE ROCK ENERGY PARTNERS L P DE 8.01,9.01 07/10/12 Echo Therapeutics, Inc. DE 1.01 07/03/12 Edgen Group Inc. DE 7.01,9.01 07/10/12 EL CAPITAN PRECIOUS METALS INC NV 5.02 07/06/12 EMPIRE GLOBAL CORP. DE 1.02 07/06/12 ENSURGE INC NV 1.01,9.01 06/13/12 ERHC Energy Inc CO 8.01,9.01 07/09/12 EURASIA DESIGN INC. NV 4.01,9.01 07/03/12 Exelis Inc. IN 5.02,9.01 07/10/12 Federal Home Loan Bank of Atlanta X1 2.03 07/10/12 Federal Home Loan Bank of Boston X1 2.03 07/05/12 Federal Home Loan Bank of Chicago X1 2.03 07/05/12 Federal Home Loan Bank of Dallas 9.01 06/25/12 AMEND Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/10/12 Federal Home Loan Bank of New York X1 2.03,9.01 07/05/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/03/12 Federal Home Loan Bank of San Francis X1 2.03 07/03/12 Federal Home Loan Bank of Topeka 2.03,9.01 07/05/12 First Savings Financial Group Inc 8.01,9.01 07/06/12 FISERV INC WI 5.02,9.01 07/09/12 Forbes Energy Services Ltd. D0 1.01,2.03,5.02,5.07, 07/03/12 9.01 FOREST OIL CORP NY 2.02,9.01 07/09/12 Francesca's Holdings CORP 5.02,5.07 07/09/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 07/10/12 FULLCIRCLE REGISTRY INC NV 5.02 06/22/12 GLOBALSCAPE INC DE 7.01 07/10/12 Golden Growers Cooperative MN 5.02 07/10/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 07/06/12 Graystone Co DE 1.01,2.01,3.02 07/06/12 HEALTHCARE TRUST OF AMERICA, INC. MD 5.07 07/09/12 HERITAGE OAKS BANCORP CA 7.01,9.01 07/10/12 hhgregg, Inc. DE 2.02,9.01 07/10/12 High Plains Gas, Inc. NV 8.01 07/10/12 HINTO ENERGY, INC WY 7.01,9.01 07/10/12 HOMEFED CORP DE 5.07,7.01,9.01 07/09/12 Homeland Security Capital CORP DE 5.02 07/05/12 IMAGEWARE SYSTEMS INC DE 1.01,8.01,9.01 07/09/12 INDEPENDENT BANK CORP MA 9.01 04/12/12 AMEND InterDigital, Inc. PA 8.01 07/09/12 INTERLINE BRANDS, INC./DE DE 2.02,7.01,9.01 07/10/12 INTERNATIONAL PAPER CO /NEW/ NY 5.02 07/09/12 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 07/10/12 IXIA CA 1.01,2.03,9.01 07/03/12 Jazz Pharmaceuticals plc L2 8.01 07/10/12 Kentucky First Federal Bancorp 8.01,9.01 07/05/12 KLA TENCOR CORP DE 8.01,9.01 07/10/12 Latitude Solutions, Inc. NV 5.02,7.01,9.01 07/10/12 LEVI STRAUSS & CO DE 2.02,9.01 07/10/12 LMI AEROSPACE INC MO 5.07,8.01 06/26/12 LORILLARD, INC. DE 1.01,1.02,2.03,9.01 07/10/12 MAGICJACK VOCALTEC LTD L3 2.02 07/10/12 Main Street Capital CORP MD 8.01,9.01 07/10/12 MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01,5.02 07/09/12 Matador Resources Co TX 5.02 07/09/12 MATTSON TECHNOLOGY INC DE 2.02,9.01 07/10/12 MBIA INC CT 8.01 07/10/12 MDU COMMUNICATIONS INTERNATIONAL INC DE 1.01,8.01,9.01 07/09/12 MEDICAL PROPERTIES TRUST INC 1.01,9.01 07/03/12 MERA PHARMACEUTICALS INC DE 1.01,2.01,3.02,5.01, 06/12/12 5.02,5.03,8.01,9.01 Meritage Homes CORP MD 1.01,9.01 07/09/12 MESA LABORATORIES INC /CO CO 5.02 07/09/12 MOLSON COORS BREWING CO DE 3.01,5.02 07/05/12 MULTIBAND CORP MN 1.01,8.01,9.01 07/09/12 NATURAL ALTERNATIVES INTERNATIONAL IN DE 1.01 07/03/12 NBCUniversal Media, LLC DE 1.01,9.01 07/09/12 NEKTAR THERAPEUTICS DE 1.01,2.03,7.01,9.01 07/03/12 Net Element, Inc. DE 1.01,2.03,9.01 07/03/12 NETWORK ENGINES INC DE 3.01 07/03/12 New Enterprise Stone & Lime Co., Inc. DE 2.02,7.01,9.01 07/10/12 NEWS CORP 8.01,9.01 07/10/12 NOVAGEN SOLAR INC. NV 1.01 07/05/12 Obagi Medical Products, Inc. DE 5.03,9.01 07/10/12 OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 07/10/12 OPENTABLE INC DE 5.02,8.01,9.01 06/08/12 ORTHOFIX INTERNATIONAL N V 8.01,9.01 07/10/12 Pebblebrook Hotel Trust MD 7.01,8.01,9.01 07/09/12 Pegasi Energy Resources Corporation. NV 8.01,9.01 07/10/12 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 07/02/12 Perfumania Holdings, Inc. FL 7.01,9.01 07/05/12 PERICOM SEMICONDUCTOR CORP CA 1.01 07/06/12 Phillips Edison - ARC Shopping Center MD 9.01 04/27/12 AMEND PINNACLE AIRLINES CORP DE 7.01,9.01 07/09/12 PITNEY BOWES INC /DE/ DE 5.02,7.01,9.01 07/09/12 PREMIER BIOMEDICAL INC NV 3.02 07/09/12 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01 07/10/12 PROCTER & GAMBLE Co OH 7.01 07/10/12 QUANTUM CORP /DE/ DE 2.02,9.01 07/09/12 REGIS CORP MN 2.02,9.01 07/10/12 Rhino Resource Partners LP DE 8.01 07/10/12 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 2.02,9.01 07/10/12 Rosetta Resources Inc. DE 5.02,7.01,9.01 07/10/12 SBA COMMUNICATIONS CORP FL 7.01 07/10/12 SCANSOURCE INC SC 2.02,9.01 07/10/12 SCHMITT INDUSTRIES INC OR 2.02,9.01 07/10/12 SCHULMAN A INC DE 2.02,9.01 07/09/12 AMEND SCI Engineered Materials, Inc. OH 1.01,2.03 07/09/12 Select Notes Trust LT 2004-1 DE 8.01,9.01 07/02/12 SemiLEDs Corp 2.02,9.01 07/10/12 SHAW GROUP INC LA 2.02,9.01 07/10/12 Shoshone Silver/Gold Mining Co ID 1.01 07/09/12 AMEND SMART ONLINE INC DE 2.03,3.02 07/03/12 SMITH & WESSON HOLDING CORP NV 8.01 07/10/12 STANDARD MICROSYSTEMS CORP DE 5.07,8.01,9.01 07/10/12 STANDEX INTERNATIONAL CORP/DE/ DE 1.01,8.01,9.01 07/09/12 Stereotaxis, Inc. DE 5.03,5.07,9.01 07/10/12 STW RESOURCES HOLDING CORP. NV 4.02 07/10/12 AMEND Symetra Financial CORP DE 5.02,9.01 07/07/12 AMEND SYNAGEVA BIOPHARMA CORP DE 8.01,9.01 07/10/12 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 07/10/12 Synthetic Biologics, Inc. NV 4.01,9.01 07/03/12 T5 Corp. 8.01,9.01 06/07/12 TherapeuticsMD, Inc. UT 7.01,9.01 07/10/12 THERAVANCE INC DE 7.01,9.01 07/10/12 Titan Iron Ore Corp. NV 5.02 07/05/12 Tonix Pharmaceuticals Holding Corp. NV 7.01,9.01 07/09/12 TUESDAY MORNING CORP/DE DE 2.02,9.01 07/10/12 Twin Cities Power Holdings, LLC MN 2.03 07/09/12 TWO RIVERS WATER Co CO 7.01 07/09/12 ULTRA CLEAN HOLDINGS INC DE 1.01,1.02,2.01,2.03, 07/03/12 3.02,9.01 United Continental Holdings, Inc. DE 8.01,9.01 07/09/12 Universal Bioenergy, Inc. 8.01,9.01 07/10/12 Vanguard Natural Resources, LLC DE 1.01,9.01 07/10/12 VAPOR CORP. NV 1.01,2.03,9.01 07/09/12 Voice Assist, Inc. NV 5.03 07/03/12 VOLT INFORMATION SCIENCES, INC. NY 7.01,9.01 07/06/12 Voyager Oil & Gas, Inc. DE 1.01,7.01,9.01 07/09/12 WACCAMAW BANKSHARES INC NC 1.02 07/03/12 WaferGen Bio-systems, Inc. NV 7.01,9.01 07/10/12 WEB.COM GROUP, INC. DE 5.07 05/04/11 AMEND WEIGHT WATCHERS INTERNATIONAL INC VA 5.02,9.01 07/05/12 WELLPOINT, INC IN 1.01,8.01,9.01 07/09/12 WEST PHARMACEUTICAL SERVICES INC PA 1.01,2.03,7.01,9.01 07/10/12 Westinghouse Solar, Inc. DE 7.01,9.01 07/09/12 WHITE MOUNTAIN TITANIUM CORP NV 8.01,9.01 07/10/12 Willdan Group, Inc. DE 1.01 07/09/12 WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 07/10/12 ZAGG Inc NV 5.02,9.01 07/10/12 Zalicus Inc. DE 8.01,9.01 07/10/12 Zep Inc. DE 2.02,7.01,9.01 07/10/12 Zumiez Inc WA 2.01,9.01 07/04/12
http://www.sec.gov/news/digest/2012/dig071112.htm
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