 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
rules and related mattersCapital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers The Securities and Exchange Commission proposed capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants. The proposed rules are required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, which authorizes the SEC and other regulators to put in place a comprehensive framework for regulating the over-the-counter swaps markets. The SEC is seeking public comment on the proposed rules for 60 days following their publication in the Federal Register. (Rel. 34-68071) SEC Issues Notice of Intent to Cancel Investment Adviser RegistrationsThe Commission today issued a notice of its intent to cancel the registrations of certain investment advisers who may no longer be eligible to remain registered with the Commission. The notice gives interested persons until December 17, 2012 to request a hearing on the cancellation of any of these registrations. An adviser’s registration will not be cancelled by Commission order if, by December 17, 2012, the adviser files either an amended Form ADV indicating that it is eligible for Commission registration or a Form ADV-W to withdraw its Commission registration. For further information or for questions about the inclusion of a registrant on this list, contact: Jennifer Porter, Senior Counsel or Melissa Roverts, Branch Chief at (202) 551-6787 (Division of Investment Management, Office of Investment Adviser Regulation). (Rel. IA-3490) Enforcement proceedingsMarco Glisson SanctionedMarco Glisson (Glisson) has been barred from association with any broker or dealer. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In April 2012, Glisson was enjoined from violating the registration provisions of the federal securities laws and barred from participating in an offering of penny stock, based on his acting as an unregistered broker or dealer in transactions in the deregistered stock of CMKM Diamonds, Inc. (Rel. 34-68077; File No. 3-14937) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-NASDAQ-2012-098) submitted by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of the Global Corporate Bond Fund of the WisdomTree Trust. Publication is expected in the Federal Register during the week of October 22. (Rel. 34-68073) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Weekly Program (SR-CBOE-2012-092) 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 October 22. (Rel. 34-68074) 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. F-10 Veris Gold Corp., SUITE 900, 688 WEST HASTINGS STREET, VANCOUVER, A1, V6B 1P1, 604-688-9427 - 0 ($61,230,737.83) Equity, (File 333-184496 - Oct. 19) (BR. 09B) S-1 ORIENTAL FINANCIAL GROUP INC, MONACILLOS 1000, SAN ROBERTO ST, RIO PIEDRAS, PR, 00926, 7877661986 - 0 ($33,000,000.00) Equity, (File 333-184497 - Oct. 19) (BR. 07C) S-4 QVC INC, 0 ($500,000,000.00) Debt, (File 333-184501 - Oct. 19) (BR. 02) S-8 M&T BANK CORP, C/O CORPORATE REPORTING, ONE M&T PLAZA 5TH FLOOR, BUFFALO, NY, 14203, 7168425390 - 0 ($9,687,000.00) Equity, (File 333-184504 - Oct. 19) (BR. 12A) S-3 WisdomTree Investments, Inc., 380 MADISON AVENUE, 21ST FLOOR, NEW YORK, NY, 10017, 212-801-2080 - 0 ($214,453,568.30) Equity, (File 333-184505 - Oct. 19) (BR. 08B) S-8 AMBARELLA INC, 2975 SAN YSIDRO WAY, SANTA CLARA, CA, 95054, 408-734-8888 - 6,316,809 ($38,880,288.33) Equity, (File 333-184506 - Oct. 19) (BR. 10A) S-1 UNIGENE LABORATORIES INC, 81 FULTON STREET, BOONTON, NJ, 07005, 973-265-1100 - 0 ($44,114,496.63) Equity, (File 333-184507 - Oct. 19) (BR. 01B) S-11 United Development Funding IV, 1301 MUNICIPAL WAY, SUITE 100, GRAPEVINE, TX, 76051, 214-370-8960 - 0 ($350,000,000.00) Equity, (File 333-184508 - Oct. 19) (BR. 08C) S-3ASR FNB Financial Services, LP, 103 FOULK ROAD, SUITE 202, WILMINGTON, DE, 19803, (302) 691-6337 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-184509 - Oct. 19) (BR. 07) S-3ASR OMNICOM GROUP INC, 437 MADISON AVE, NEW YORK, NY, 10022, 2124153600 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-184510 - Oct. 19) (BR. 11A) S-3ASR WILLIS GROUP HOLDINGS PLC, C/O WILLIS GROUP LIMITED, 51 LIME STREET, LONDON ENGLAND, X0, EC3M 7DQ, 44-20-3124-6000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184515 - Oct. 19) (BR. 01B) S-4 CAESARS ENTERTAINMENT Corp, ONE CAESARS PALACE DRIVE, LAS VEGAS, NV, 89109, 7024076000 - 0 ($1,250,000,000.00) Non-Convertible Debt, (File 333-184517 - Oct. 19) (BR. 08C) S-3 Triangle Petroleum Corp, 1200 17TH STREET, SUITE 2600, DENVER, CO, 80202, 303-260-7125 - 0 ($400,000,000.00) Unallocated (Universal) Shelf, (File 333-184519 - Oct. 19) (BR. 04A) S-3ASR PEABODY ENERGY CORP, 701 MARKET ST, ST LOUIS, MO, 63101-1826, 3143423400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184520 - Oct. 19) (BR. 09A) 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. NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- Acacia Diversified Holdings, Inc. TX 1.01,2.03,9.01 09/16/09 AMEND
ACCREDITED BUSINESS CONSOLIDATORS COR PA 2.02,2.06,4.02 10/11/12 AMEND
ACME UNITED CORP CT 2.02,9.01 10/19/12
Advanced BioEnergy, LLC DE 8.01,9.01 10/18/12
ADVENT SOFTWARE INC /DE/ DE 5.02 08/10/12 AMEND
Affinity Gaming, LLC NV 8.01,9.01 10/18/12
AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.02,9.01 10/19/12
AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.02,9.01 10/19/12
Ally Auto Assets LLC DE 1.01,8.01,9.01 10/17/12
Anchor Bancorp WA 5.07 10/17/12
AP PHARMA INC /DE/ DE 8.01,9.01 10/18/12
ARCH COAL INC DE 1.04 10/15/12
ASBURY AUTOMOTIVE GROUP INC DE 5.02,9.01 10/18/12
Ascena Retail Group, Inc. DE 7.01,9.01 10/18/12
ASSISTED LIVING CONCEPTS INC NV 8.01 10/19/12
AT&T INC. DE 8.01,9.01 10/18/12
AUTOLIV INC DE 8.01,9.01 10/19/12
BAKER HUGHES INC DE 2.02,7.01,9.01 10/19/12
BANCORPSOUTH INC MS 2.02,7.01,9.01 10/18/12
BANK MUTUAL CORP WI 2.02 10/18/12
Bank of New York Mellon CORP DE 2.02,9.01 10/17/12
BARNES & NOBLE INC DE 4.01,9.01 10/19/12
BERRY PLASTICS CORP DE 1.02,8.01 10/15/12
BERRY PLASTICS GROUP INC DE 1.02,8.01 10/15/12
BIOANALYTICAL SYSTEMS INC IN 5.02,9.01 10/15/12
BIOTIME INC CA 7.01,9.01 10/19/12
BLACKBOX SEMICONDUCTOR, INC. NV 1.01,3.02,8.01,9.01 10/13/12
BOWL AMERICA INC MD 5.02,9.01 10/19/12
BRIGGS & STRATTON CORP WI 5.07 10/17/12
BRIGHTCOVE INC DE 2.01,9.01 08/14/12 AMEND
BROWN FORMAN CORP DE 5.02,9.01 10/19/12
CAESARS ENTERTAINMENT Corp DE 8.01,9.01 10/19/12
CALGON CARBON CORPORATION DE 2.02,9.01 10/18/12
CAMPBELL SOUP CO NJ 9.01 08/06/12 AMEND
Carter Validus Mission Critical REIT, MD 2.03 10/15/12
CATERPILLAR INC DE 7.01 10/19/12
CCA INDUSTRIES INC DE 8.01,9.01 10/15/12
CEMPRA, INC. DE 1.01,2.02,3.02,8.01, 10/18/12
9.01
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01 10/17/12
Cereplast Inc NV 1.01,3.02,9.01 10/15/12
Chelsea Therapeutics International, L DE 5.02,9.01 10/17/12
China Energy CORP 4.02 10/09/12
CHINA GENGSHENG MINERALS, INC. NV 5.07,8.01,9.01 10/19/12
China Precision Steel, Inc. CO 3.01 10/18/12
CLIFFS NATURAL RESOURCES INC. OH 1.01,2.03,9.01 10/16/12
COLONY BANKCORP INC GA 2.02,9.01 10/19/12
COMMUNITY BANCORP /VT VT 2.02,9.01 10/18/12
COMMUNITY BANK SHARES OF INDIANA INC IN 8.01,9.01 10/16/12
Compressco Partners, L.P. DE 8.01,9.01 10/18/12
COMVERSE TECHNOLOGY INC/NY/ NY 2.01,8.01,9.01 10/19/12
Comverse, Inc. DE 2.01 10/19/12
Cooper Industries plc 2.02,9.01 10/19/12
Cooper Industries plc 8.01,9.01 10/19/12
CORNERSTONE THERAPEUTICS INC DE 5.02 12/01/11 AMEND
CORNERSTONE THERAPEUTICS INC DE 5.02 06/05/12 AMEND
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 10/19/12
CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 10/18/12
CYTRX CORP DE 1.01,8.01,9.01 10/17/12
Digital Domain Media Group, Inc. FL 5.02 10/17/12
DIMECO INC PA 2.02,9.01 10/19/12
Discover Card Execution Note Trust DE 8.01 10/19/12
DISCOVER CARD MASTER TRUST I DE 8.01 10/19/12
Discover Financial Services DE 8.01,9.01 10/19/12
Discovery Energy Corp. NV 1.01,3.02 10/03/12
DRIL-QUIP INC DE 5.02,9.01 10/17/12
DubLi, Inc. NV 5.02,9.01 10/15/12
EAGLE BANCORP INC MD 1.01,8.01,9.01 10/19/12
EAGLE FINANCIAL SERVICES INC VA 2.02,9.01 10/19/12
EASTERN VIRGINIA BANKSHARES INC VA 2.02,9.01 10/19/12
EATON CORP OH 8.01,9.01 10/19/12
Edwards Lifesciences Corp DE 2.02,9.01 10/19/12
EMC INSURANCE GROUP INC IA 7.01,9.01 10/18/12
EMCLAIRE FINANCIAL CORP PA 2.02,9.01 10/19/12
EMERSON RADIO CORP DE 8.01 10/11/12
EMISPHERE TECHNOLOGIES INC DE 1.01,2.03,9.01 10/15/12
Empeiria Acquisition Corp DE 1.01,9.01 10/19/12
Enduro Royalty Trust DE 2.02,9.01 10/19/12
Energy Future Holdings Corp /TX/ TX 8.01,9.01 10/18/12
ENTEST BIOMEDICAL, INC. NV 5.03,9.01 10/17/12
EnviroStar, Inc. DE 3.01,9.01 10/18/12
EPICEPT CORP 1.01 10/18/12
Epicor Software Corp 2.02,8.01,9.01 10/15/12
ETHAN ALLEN INTERIORS INC DE 2.02,9.01 10/17/12
Excel Trust, Inc. MD 2.01,7.01,9.01 10/19/12
EXTREME NETWORKS INC DE 1.01,2.03,9.01 10/15/12
Federal Home Loan Bank of Boston X1 2.02,9.01 10/18/12
Federal Home Loan Bank of Dallas 2.03,9.01 10/15/12
Federal Home Loan Bank of Pittsburgh PA 2.02,7.01 10/19/12
FEDERAL MOGUL CORP DE 2.02,5.02,7.01,9.01 10/18/12
FERRO CORP OH 7.01,9.01 10/19/12
FERRO CORP OH 5.02,9.01 10/16/12
FIRST FINANCIAL BANKSHARES INC TX 2.02,8.01,9.01 10/19/12
FIRST HORIZON NATIONAL CORP TN 2.02,9.01 10/19/12
FIRST HORIZON NATIONAL CORP TN 7.01,9.01 10/19/12
FIRST M&F CORP/MS MS 2.02,7.01,9.01 10/19/12
FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 10/19/12
FIRST NIAGARA FINANCIAL GROUP INC DE 7.01 10/19/12
FOREST LABORATORIES INC DE 2.02,9.01 10/16/12
Fuse Science, Inc. NV 5.02 10/18/12
Fushi Copperweld, Inc. NV 8.01,9.01 10/19/12
GENERAL ELECTRIC CAPITAL CORP CT 8.01,9.01 10/19/12
GENERAL ELECTRIC CO NY 2.02,9.01 10/19/12
GLATFELTER P H CO PA 8.01 10/14/12
GREAT AMERICAN ENERGY, INC. 1.01,9.01 09/25/12
GREAT CHINA INTERNATIONAL HOLDINGS, I NV 8.01 10/17/12
HANOVER INSURANCE GROUP, INC. DE 5.02,9.01 10/15/12
HARBINGER GROUP INC. DE 7.01 10/19/12
Hartman Short Term Income Properties MD 1.01,2.01,2.03,7.01, 10/19/12
9.01
HCP, INC. MD 8.01,9.01 10/16/12
Hi-Crush Partners LP de 7.01,9.01 10/19/12
HONEYWELL INTERNATIONAL INC DE 2.02,9.01 10/19/12
HPC POS SYSTEM, CORP. NV 4.01 10/19/12
HUGOTON ROYALTY TRUST TX 2.02,9.01 10/19/12
Hyundai Auto Receivables Trust 2012-C DE 1.01,9.01 10/17/12
ICAHN ENTERPRISES L.P. DE 8.01,9.01 10/19/12
IDENTIVE GROUP, INC. DE 8.01 10/18/12
IDEXX LABORATORIES INC /DE DE 2.02,9.01 10/19/12
Ignite Restaurant Group, Inc. 8.01,9.01 10/19/12
ImmunoCellular Therapeutics, Ltd. DE 1.01,8.01,9.01 10/17/12
Ingersoll-Rand plc L2 2.02,9.01 10/19/12
INTERLINE BRANDS, INC./DE DE 5.02 10/15/12
ISLE OF CAPRI CASINOS INC DE 5.02,5.07,9.01 10/16/12
ISTAR FINANCIAL INC MD 1.01,9.01 10/15/12
JBI, INC. NV 5.02,9.01 10/18/12
KANSAS CITY SOUTHERN DE 2.02,9.01 10/19/12
KEYW HOLDING CORP MD 9.01 10/01/12 AMEND
KITE REALTY GROUP TRUST MD 1.01,9.01 10/17/12
KMG CHEMICALS INC TX 5.02,9.01 10/19/12
KRONOS WORLDWIDE INC 7.01,9.01 10/18/12
KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 10/15/12
LAKES ENTERTAINMENT INC MN 9.01 08/03/12 AMEND
LAPIS TECHNOLOGIES INC DE 4.01,9.01 10/15/12
Legend Oil & Gas, Ltd. CO 5.02 10/17/12
LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 10/15/12
LENNAR CORP /NEW/ DE 8.01,9.01 10/18/12
LEUCADIA NATIONAL CORP NY 1.01 10/17/12
LEXICON PHARMACEUTICALS, INC./DE DE 1.01,9.01 10/18/12
Liberty Global, Inc. DE 7.01 10/18/12
LIGHTING SCIENCE GROUP CORP DE 5.02 10/18/12
LILLY ELI & CO IN 5.02 10/19/12
LOCAL Corp DE 1.01,9.01 10/19/12
LOJACK CORP MA 1.01,2.02,9.01 10/18/12
MAGICJACK VOCALTEC LTD L3 2.02 10/19/12
MANNKIND CORP DE 1.01,3.02,8.01,9.01 10/18/12
MANPOWER INC /WI/ WI 2.02,9.01 10/19/12
MARCUS CORP WI 5.07 10/17/12
MASTERCARD INC DE 1.01,8.01 10/19/12
MCDONALDS CORP DE 2.02,9.01 10/19/12
MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 09/30/12
MESA ROYALTY TRUST/TX TX 2.02,9.01 10/19/12
MetroCorp Bancshares, Inc. TX 2.02,9.01 10/19/12
Mobiform Software Inc DE 5.03,9.01 10/19/12
MOBIVITY HOLDINGS CORP. NV 1.01,2.03,3.02,9.01 10/12/12
Monarch Financial Holdings, Inc. VA 8.01,9.01 10/18/12
Morningstar, Inc. IL 8.01,9.01 10/19/12
MoSys, Inc. DE 2.02,9.01 10/19/12
Motors Liquidation Co DE 8.01,9.01 10/19/12
MusclePharm Corp NV 5.02,9.01 10/15/12
NABI BIOPHARMACEUTICALS DE 8.01,9.01 10/19/12
NATIONAL WESTERN LIFE INSURANCE CO CO 5.02 10/18/12
NETSCOUT SYSTEMS INC DE 5.02,9.01 10/19/12
Neuralstem, Inc. DE 8.01,9.01 10/17/12
Newport Bancorp Inc 2.02,9.01 10/19/12
NEWS CORP 8.01,9.01 10/19/12
Nexeo Solutions Holdings, LLC DE 1.01,2.03,9.01 10/16/12
Next 1 Interactive, Inc. NV 4.01,9.01 10/18/12
NISSAN AUTO LEASING LLC II DE 1.01,9.01 10/17/12
NISSAN AUTO LEASING LLC II DE 8.01,9.01 10/17/12
NITRO PETROLEUM INC. 4.01,9.01 10/18/12
NORTEK INC DE 1.01,2.03,3.03,9.01 10/18/12
NORTHWEST INDIANA BANCORP IN 5.02 10/19/12
Oak Valley Bancorp CA 2.02,7.01,9.01 10/18/12
OCEANFIRST FINANCIAL CORP DE 2.02,8.01,9.01 10/19/12
Opko Health, Inc. DE 1.01,3.01,7.01,9.01 10/18/12
ORGANOVO HOLDINGS, INC. DE 5.07 10/17/12
ORIENT EXPRESS HOTELS LTD D0 8.01,9.01 10/18/12
Owens Corning DE 7.01,9.01 10/19/12
Pacific Coast Oil Trust DE 2.02,9.01 10/19/12
PAR PETROLEUM CORP/CO DE 1.01,5.05,8.01,9.01 10/15/12
PARK CITY GROUP INC 5.02,9.01 10/19/12
PARKER HANNIFIN CORP OH 2.02,7.01 10/19/12
PENN NATIONAL GAMING INC PA 2.02,9.01 10/18/12
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02 10/15/12
People's United Financial, Inc. DE 2.02,8.01,9.01 10/18/12
PEPSICO INC NC 5.02,9.01 10/18/12
PHARMATHENE, INC DE 5.02,8.01 10/19/12
PIEDMONT NATURAL GAS CO INC NC 7.01 10/17/12
Plandel Resources, Inc. NV 4.01,9.01 10/18/12
POPULAR INC 7.01,9.01 10/19/12
POPULAR INC 2.02,9.01 10/19/12
PREMIER EXHIBITIONS, INC. FL 5.03,9.01 10/18/12
Premier Power Renewable Energy, Inc. DE 5.02,9.01 10/04/12
PROGUARD ACQUISITION CORP FL 4.01,9.01 10/18/12
QUALYS, INC. DE 5.02 10/16/12
RECOVERY ENERGY, INC. NV 8.01 10/15/12
RED MOUNTAIN RESOURCES, INC. FL 3.02 10/19/12
RED ROBIN GOURMET BURGERS INC DE 5.02 10/16/12
RICKS CABARET INTERNATIONAL INC TX 1.01,2.01,9.01 10/16/12
RICKS CABARET INTERNATIONAL INC TX 9.01 09/17/12 AMEND
RLI CORP IL 7.01,9.01 10/18/12
ROBBINS & MYERS, INC. OH 2.02,9.01 10/19/12
Rosetta Resources Inc. DE 7.01,9.01 10/19/12
S&W Seed Co NV 1.01,8.01,9.01 10/15/12
Sabine Pass LNG, L.P. DE 1.01,2.03,9.01 10/16/12
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 10/19/12
Santo Mining Corp. NV 1.01,2.01,9.01 10/12/12
SCHLUMBERGER LTD /NV/ P8 2.02,7.01,9.01 10/19/12
SCI Engineered Materials, Inc. OH 1.01,2.03 10/16/12
SCICLONE PHARMACEUTICALS INC DE 5.02 10/15/12
SEAFARER EXPLORATION CORP DE 5.03 10/19/12
SENSIENT TECHNOLOGIES CORP WI 2.02,9.01 10/19/12
SENSIENT TECHNOLOGIES CORP WI 5.02,5.03,9.01 10/18/12
Seven Arts Entertainment Inc. NV 8.01,9.01 10/19/12
SHAW GROUP INC LA 2.02,8.01,9.01 10/19/12
SHOE CARNIVAL INC IN 5.02,7.01,9.01 10/17/12
SMTC CORP DE 5.02,9.01 10/19/12
SOUPMAN, INC. DE 8.01,9.01 10/18/12
SOUTHWEST GEORGIA FINANCIAL CORP GA 2.02,9.01 09/30/12
Spectrum Brands Holdings, Inc. DE 7.01 10/19/12
Spectrum Brands, Inc. DE 7.01,9.01 10/19/12
SPINDLE, INC. NV 7.01,9.01 10/19/12
Standard Financial Corp. MD 2.02,8.01,9.01 10/18/12
STANDARD PACIFIC CORP /DE/ DE 1.01,2.03,9.01 10/19/12
STEC, INC. CA 8.01 10/18/12
STEEL DYNAMICS INC IN 2.02,9.01 10/17/12
STERLING BANCORP NY 7.01,9.01 10/18/12
STRATASYS INC DE 1.01,8.01,9.01 10/15/12
Stream Global Services, Inc. DE 8.01,9.01 10/19/12
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 10/15/12
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 10/15/12
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 10/15/12
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 10/15/12
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 10/15/12
SUPERVALU INC DE 2.02,9.01 10/18/12
Tamir Biotechnology, Inc. DE 1.01 10/18/12
Texas Gulf Energy Inc NV 5.02 10/15/12
Theron Resource Group WY 4.01,5.01,9.01 08/24/12
TITAN INTERNATIONAL INC IL 2.01,3.02,9.01 10/19/12
Titan Iron Ore Corp. NV 1.01,3.02,9.01 10/18/12
TNP Strategic Retail Trust, Inc. MD 7.01,9.01 10/18/12
TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 10/19/12
Triangle Capital CORP MD 1.01,2.03,9.01 10/19/12
U. S. Premium Beef, LLC 7.01,9.01 10/19/12
UNIFIED GROCERS, INC. CA 5.02 10/16/12
UNITED BANCSHARES INC/OH OH 7.01,8.01,9.01 10/19/12
United Development Funding IV MD 8.01 10/19/12
United Financial Bancorp, Inc. 2.02,8.01,9.01 10/19/12
UNITED INSURANCE HOLDINGS CORP. DE 5.02,9.01 10/18/12
Urban Barns Foods Inc. 3.02,9.01 10/18/12
VALASSIS COMMUNICATIONS INC DE 8.01 10/12/12
VALMONT INDUSTRIES INC DE 2.02,9.01 10/18/12
Vantiv, Inc. 5.02 10/19/12
VIROPRO INC NV 5.02 10/19/12
VISA INC. DE 1.01,8.01 10/19/12
VIVUS INC CA 8.01,9.01 10/18/12
Volcano Corp DE 8.01 10/19/12
W. P. Carey Inc. MD 8.01,9.01 10/19/12
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,8.01,9.01 10/17/12
WASTE CONNECTIONS, INC. DE 7.01 10/17/12
WebMD Health Corp. DE 1.01,3.03,9.01 10/18/12
WELLS FARGO & COMPANY/MN DE 9.01 10/19/12
Wells Fargo Commercial Mortgage Trust 9.01 09/27/12 AMEND
Westinghouse Solar, Inc. DE 1.01,3.03,8.01,9.01 10/18/12
WILLIS GROUP HOLDINGS PLC L2 5.02,9.01 10/16/12
WILLIS GROUP HOLDINGS PLC L2 8.01 10/19/12
Winthrop Realty Trust OH 8.01,9.01 10/16/12
Wonhe High-Tech International, Inc. NV 1.01,2.01,5.01,5.02, 06/27/12 AMEND
5.03,5.06,9.01
World Omni Auto Receivables Trust 201 DE 1.01,8.01,9.01 10/17/12
WVS FINANCIAL CORP PA 2.02,9.01 10/19/12
YA ZHU SILK, INC. NV 1.01,2.01,3.02,5.01, 02/20/12 AMEND
5.06,9.01
Yinfu Gold Corp. WY 1.01,9.01 10/12/12
ZION OIL & GAS INC DE 5.02,9.01 10/18/12
ZIONS BANCORPORATION /UT/ UT 8.01 10/19/12
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 10/19/12
http://www.sec.gov/news/digest/2012/dig102212.htm
|