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Commission AnnouncementsSEC to Hold National Compliance Event for Broker-Dealers The Securities and Exchange Commission today announced the opening of registration for its National Compliance Outreach Program for Broker-Dealers that will take place in Washington D.C. on April 9. The event is sponsored by the SEC’s Office of Compliance Inspections and Examinations in coordination with the SEC’s Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA). It provides a forum for open discussions about effective compliance practices for broker-dealers and will focus on topics of interest to compliance, risk, and audit officers of large broker-dealers with multiple and complex business lines. “To be effective, compliance and ethics programs cannot exist in silos. They need to be ingrained in the DNA of the organization and the decision-making framework of the organization. They need to be part of the way business is done,” said Carlo di Florio, Director of the SEC’s National Examination Program. “Compliance and risk management programs add tremendous business value. They protect the business. They enhance the brand. They ensure that reputation is protected. Our National Compliance Outreach Program is one of the ways that we try to support and enhance the compliance and risk management functions of firms.” FINRA Member Regulation EVP Susan Axelrod added, “FINRA is pleased to continue the partnership with the SEC to provide this opportunity for broker-dealer compliance professionals and regulators to foster two-way communication and work together to protect investors. Given the pace of change in the industry, face-to-face meetings of this kind are more valuable than ever.” There is no cost to attend the event, which will be held at the SEC’s headquarters at 100 F Street NE in Washington. Registration for in-person attendance is limited to 500 people on a first-come, first-serve basis. There will be a maximum of 10 attendees per firm. The event also will be webcast on the SEC website. To register for the 2013 National Compliance Outreach Program for Broker Dealers, visit the SEC website at www.sec.gov/info/complianceoutreach-bd.htm. (Press Rel. 2013-9) enforcement proceedingsIn the Matter of in China Wesen Recycling Technology, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in China Wesen Recycling Technology, Inc., Admin. Proc. No. 3-15111. The Order Instituting Proceedings (OIP) alleged that China Wesen Recycling Technology, Inc., Chopin Venture Group, Inc., Cogito Media Group, Inc., and Crescendo Acquisition Corp. 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 and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondents Crown International, Inc., and Crysler Corp. See China Wesen Recycling Tech., Inc., Exchange Act Release No. 68466 (Dec. 19, 2012); China Wesen Recycling Tech., Inc., Exchange Act Release No. 68623 (Jan. 11, 2013). Respondent Crosswave Communications, Inc., has not been served with the OIP and remains in the proceeding. (Rel. 34-68706; File No. 3-15111) In the of Matter of Andrew J. FranzAn Administrative Law Judge has issued an Initial Decision in Andrew J. Franz, Admin. Proc. File No. 3-14960. The Order Instituting Proceedings (OIP) alleged that on March 16, 2012, the United States District Court for the Northern District of Ohio enjoined Andrew J. Franz (Franz) from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act) in SEC v. Franz, No. 5:12-cv-00642, based on his misappropriation of funds from clients of an investment adviser over the course of several years. The Initial Decision finds the allegations of the OIP to be true and concludes that, pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Advisers Act, it is in the public interest to bar Franz from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, or from participating in an offering of penny stock. (Initial Decision No. 480; File No. 3-14960) INVESTMENT COMPANY ACT RELEASESSymetra Life Insurance Company, et al.A notice has been issued giving interested persons until February 18, 2013 to request a hearing on an application filed by Symetra Life Insurance Company, et al., for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The requested order would permit (a) certain series of registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) certain series of registered open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30353 - January 22) Securian Funds Trust, et al.A notice has been issued giving interested persons until February 18, 2013 to request a hearing on an application filed by Securian Funds Trust, et al., for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30354 - January 22) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by C2 Options Exchange, Incorporated relating to the BBO Data Feed for C2 listed options (SR-C2-2013-001) 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 January 21. (Rel. 34-68697) 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-3 Cellceutix CORP, 100 CUMMING CENTER, SUITE 151-B, BEVERLY, MA, 01915, (978)-633-3623 - 12,348,084 ($23,955,282.96) Equity, (File 333-186107 - Jan. 22) (BR. 01A) S-1 RECOVERY ENERGY, INC., 1515 WYNKOOP STREET, SUITE 200, DENVER, CO, 80202, 888-991-1114 - 1,630,096 ($3,333,546.00) Equity, (File 333-186108 - Jan. 22) (BR. 04A) F-1 FleetMatics Group plc, 70 WALNUT STREET, SUITE 200, WELLESLEY, MA, 02481, 1-866-844-2235 - 8,050,000 ($211,876,000.00) Equity, (File 333-186109 - Jan. 22) (BR. 03A) S-1 Performant Financial Corp, 333 North Cayons Parkway, Livermore, CA, 94551, 925-960-4800 - 0 ($90,965,000.00) Equity, (File 333-186110 - Jan. 22) (BR. 11A) S-11 ARC Realty Finance Trust, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, 212-969-3000 - 96,842,105 ($2,399,999,993.75) Equity, (File 333-186111 - Jan. 22) (BR. 08) S-3ASR DENBURY RESOURCES INC, 5320 LEGACY DRIVE, PLANO, TX, 75024, 9726732000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186112 - Jan. 22) (BR. 04A) S-8 Focus Media Holding LTD, 28-30/F, ZHAO FENG WORLD TRADE BUILDING, 369 JIANGSU ROAD, SHANGHAI, F4, 100032, 86 21 3212 4661 - 0 ($55,864,747.40) ADRs/ADSs, (File 333-186113 - Jan. 22) (BR. 11C) S-8 Telanetix,Inc, 11201 SE 8TH STREET, SUITE 200, BELLEVUE, WA, 98004, (206) 621-3500 - 140,000 ($2,564,800.00) Equity, (File 333-186114 - Jan. 22) (BR. 11C) S-1 Seven Arts Entertainment Inc., 1801 CENTURY PARK EAST, #1830, LOS ANGELES, CA, 90067, 44 020 7043 5394 - 20,346,990 ($610,410.00) Equity, (File 333-186120 - Jan. 22) (BR. 05A) S-8 COURIER Corp, 15 WELLMAN AVENUE, NORTH CHELMSFORD, MA, 01863, 978-251-6000 - 0 ($3,504,000.00) Equity, (File 333-186122 - Jan. 22) (BR. 05A) S-3ASR EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 - 1,400,198 ($28,269,997.62) Equity, (File 333-186123 - Jan. 22) (BR. 02C) S-8 Stereotaxis, Inc., 4320 FOREST PARK AVENUE, SUITE 100, ST.LOUIS, MO, 63108, 314-678-6100 - 0 ($1,647,545.00) Equity, (File 333-186124 - Jan. 22) (BR. 10B) S-8 Digital Development Group Corp, 6630 SUNSET BLVD., LOS ANGELES,, CA, 90028, 1-800-783-3128 - 3,700,000 ($277,500.00) Equity, (File 333-186127 - Jan. 22) (BR. 09B) S-1 COMMUNITY FINANCIAL SHARES INC, 357 ROOSEVELT ROAD, GLEN ELLYN, IL, 60137, 6305450900 - 19,684,700 ($28,542,815.00) Equity, (File 333-186128 - Jan. 22) (BR. 07C) S-3 GOODRICH PETROLEUM CORP, 801 LOUISIANA, SUITE 700, HOUSTON, TX, 77002, 7137809494 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-186129 - Jan. 22) (BR. 04B) F-3 Kimber Resources Inc., 215-800 WEST PENDER STREET, VANCOUVER, A1, V6C 2V6, 604-669-2251 - 0 ($25,000,000.00) Equity, (File 333-186130 - Jan. 22) (BR. 09A) S-3 CARDINAL FINANCIAL CORP, 8270 GREENSBORO DRIVE, SUITE 500, MCLEAN, VA, 22102, 7035843400 - 0 ($100,000,000.00) Other, (File 333-186133 - Jan. 22) (BR. 07B) S-1 Pacific Green Technologies Inc., 5205 PROSPECT ROAD, SUITE 135-226, SAN JOSE, CA, 95129, (408) 538-3373 - 1,950,000 ($1,950,000.00) Equity, (File 333-186134 - Jan. 22) (BR. 06A) S-8 CONCEPTUS INC, 334 E EVELYN AVE, MOUNTAIN VIEW, CA, 94041, 650 962 4000 - 50,200 ($1,086,586.00) Equity, (File 333-186135 - Jan. 22) (BR. 10A) S-8 ICEWEB INC, 22900 SHAW ROAD, SUITE 111, STERLING, VA, 20166, 571-287-2400 - 55,000,000 ($2,992,000.00) Equity, (File 333-186140 - Jan. 22) (BR. 03B) 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
-----------------------------------------------------------------------------------------
1ST SOURCE CORP IN 2.02,9.01 01/22/13
ACCELERATED ACQUISITIONS XXI DE 4.01,9.01 12/18/12 AMEND
ACE MARKETING & PROMOTIONS INC NY 3.02 01/11/13
ADVANCED MICRO DEVICES INC DE 2.02,2.05,7.01,9.01 01/22/13
AEP INDUSTRIES INC DE 2.02,9.01 01/22/13
AETNA INC /PA/ PA 8.01,9.01 01/22/13
AFS SenSub Corp. 8.01,9.01 01/16/13
ALBEMARLE CORP VA 2.02,9.01 01/22/13
ALL AMERICAN PET COMPANY, INC. NV 8.01,9.01 01/21/13
ALLEGHANY CORP /DE DE 5.02,8.01,9.01 01/18/13
ALR TECHNOLOGIES INC. NV 1.01,2.03,5.01,5.02, 01/22/13
8.01,9.01
AMERICAN BIO MEDICA CORP NY 1.01,1.02,5.02,9.01 01/16/13
AMERICAN MEDIA INC DE 5.02 01/16/13
American Natural Energy Corp OK 5.02,5.07,9.01 12/18/12
American Realty Capital Global Trust, 8.01,9.01 01/22/13
American Realty Capital Global Trust, 8.01,9.01 01/22/13 AMEND
American Realty Capital Properties, I MD 8.01,9.01 01/22/13
American Realty Capital Properties, I MD 8.01,9.01 01/22/13
American Realty Capital Properties, I MD 8.01,9.01 01/22/13
American Realty Capital Properties, I MD 9.01 01/08/13 AMEND
American Realty Capital Trust III, In MD 8.01,9.01 01/22/13
American Realty Capital Trust, Inc. DE 5.07 01/22/13
American Realty Capital Trust, Inc. DE 3.01,3.03,5.01,5.02, 01/22/13
5.03
AMERISERV FINANCIAL INC /PA/ PA 2.02 01/22/13
ANAREN INC NY 2.02,9.01 01/22/13
ANIKA THERAPEUTICS INC MA 2.02,5.02,9.01 01/17/13
Annie's, Inc. DE 7.01,9.01 01/22/13
Antero Resources LLC DE 5.02 01/18/13
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 01/18/13 AMEND
APOGEE ENTERPRISES, INC. MN 7.01,9.01 01/22/13
APPLIED DNA SCIENCES INC DE 8.01 01/22/13
ARENA PHARMACEUTICALS INC DE 8.01 01/22/13
ARROW FINANCIAL CORP NY 2.02,9.01 01/22/13
ARX Gold Corp 2.01,9.01 05/22/12 AMEND
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 01/22/13
ASSOCIATED BANC-CORP WI 5.02,8.01,9.01 01/22/13
ASSURANT INC 2.06 01/15/13
ATLANTIC TELE NETWORK INC /DE DE 1.01,8.01,9.01 01/21/13
Atlas Financial Holdings, Inc. E9 2.02,9.01 01/22/13
ATWOOD OCEANICS INC TX 7.01,9.01 01/21/13
AVAYA INC DE 7.01,9.01 01/22/13
Bacterin International Holdings, Inc. DE 7.01,9.01 01/22/13
Bank of Marin Bancorp CA 2.02,8.01,9.01 01/17/13
BAZI INTERNATIONAL, INC. NV 5.03,8.01,9.01 01/18/13
BAZI INTERNATIONAL, INC. NV 1.01,2.03,3.02,9.01 01/18/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 01/22/13
BioDrain Medical, Inc. MN 5.03,5.07,9.01 01/15/13
BIOLASE, INC DE 2.02,9.01 01/22/13
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 01/22/13
Bizzingo, Inc. NV 5.02,7.01,9.01 01/16/13
Bluefire Equipment Corp DE 8.01 12/31/12
BPZ RESOURCES, INC. TX 7.01,9.01 01/22/13
BRINKER INTERNATIONAL INC DE 2.02,9.01 01/22/13
BROCADE COMMUNICATIONS SYSTEMS INC DE 1.01,2.03,5.02,8.01, 01/15/13
9.01
CA, INC. DE 2.02,9.01 01/22/13
CASCADE BANCORP OR 5.02 01/16/13
CASTLE A M & CO MD 2.05,5.02,9.01 01/15/13
CCFNB BANCORP INC PA 2.02,9.01 01/22/13
CDEX INC NV 5.02 01/17/13
Celsion CORP DE 7.01,9.01 01/18/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02 01/22/13
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01 01/16/13
CENTRAL VALLEY COMMUNITY BANCORP CA 5.02 01/16/13
Cereplast Inc NV 1.01 01/15/13
Chanticleer Holdings, Inc. DE 7.01,9.01 01/22/13
CHEMED CORP DE 1.01,2.03,9.01 01/18/13
Cheniere Energy Partners, L.P. DE 7.01,9.01 01/22/13
Cheniere Energy Partners, L.P. DE 8.01,9.01 01/22/13
CHINA BAK BATTERY INC NV 4.01 01/22/13
CHINA FUND INC MD 7.01,9.01 12/31/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 4.01,9.01 01/16/13
Chino Commercial Bancorp CA 9.01 01/18/13 AMEND
CITIZENS FINANCIAL SERVICES INC PA 2.02,9.01 01/22/13
CITIZENS REPUBLIC BANCORP, INC. MI 2.02,9.01 01/22/13
CITIZENS REPUBLIC BANCORP, INC. MI 7.01,9.01 01/22/13
CLEARSIGN COMBUSTION CORP WA 5.02 01/17/13
ClubCorp Club Operations, Inc. DE 1.01,2.03 01/16/13
CMG HOLDINGS GROUP, INC. NV 7.01 01/21/13
Cole Credit Property Trust II Inc MD 7.01,8.01,9.01 01/22/13
COMPLIANCE SYSTEMS CORP 2.01 10/30/12 AMEND
Compressco Partners, L.P. DE 8.01,9.01 01/18/13
COMSTOCK RESOURCES INC NV 7.01,9.01 01/22/13
CONCEPTUS INC DE 5.02,7.01,9.01 01/21/13
CONNECTICUT LIGHT & POWER CO CT 2.03,9.01 01/15/13
Constellation Energy Partners LLC DE 5.02 01/18/13
Core-Mark Holding Company, Inc. DE 5.02 01/18/13
Coronus Solar Inc. A1 1.01,2.03,7.01,8.01, 01/21/13
9.01
COURIER Corp MA 2.02,8.01,9.01 01/22/13
CREE INC NC 2.02,9.01 01/22/13
Crestwood Midstream Partners LP DE 5.02 01/18/13
CROSSTEX ENERGY INC DE 7.01,9.01 01/22/13
CROSSTEX ENERGY LP DE 7.01,9.01 01/22/13
CSX CORP VA 2.02,9.01 01/22/13
CTC Media, Inc. 5.02 01/16/13
CVR ENERGY INC DE 5.02 01/16/13
CVR PARTNERS, LP DE 5.02 01/16/13
DATA I/O CORP WA 5.02,9.01 01/18/13
DATAWATCH CORP DE 2.02,9.01 01/22/13
DELTA AIR LINES INC /DE/ DE 2.02,9.01 01/22/13
DELTA AIR LINES INC /DE/ DE 2.02,9.01 01/22/13 AMEND
Demandware Inc DE 5.02 01/22/13
DiamondRock Hospitality Co 8.01 01/18/13
DIGITAL ANGEL CORP DE 8.01 01/17/13
DIGITALGLOBE, INC. DE 8.01,9.01 01/22/13
DIGITALGLOBE, INC. DE 2.02,7.01,9.01 01/22/13
DIMECO INC PA 2.02,9.01 01/22/13
DOCUMENT SECURITY SYSTEMS INC NY 1.01,1.02,9.01 01/21/13
Dolan Co. DE 1.01,8.01,9.01 01/22/13
DUPONT E I DE NEMOURS & CO DE 2.02,9.01 01/22/13
DYNEGY INC. DE 8.01,9.01 01/21/13
EastBridge Investment Group Corp AZ 1.01,5.07,8.01,9.01 01/15/13
EASTMAN KODAK CO NJ 7.01 01/22/13
EFL OVERSEAS, INC. NV 5.02 01/15/13
EMC INSURANCE GROUP INC IA 1.01,9.01 01/21/13
EMERSON ELECTRIC CO MO 7.01 01/22/13
ENERGY & TECHNOLOGY CORP. DE 4.01,9.01 01/11/13
Energy Future Holdings Corp /TX/ TX 7.01 01/22/13
Energy Transfer Partners, L.P. DE 1.01,9.01 01/22/13
EnerSys DE 7.01,9.01 01/22/13
Enhance Skin Products Inc NV 1.02 01/14/13
ENTERPRISE BANCORP INC /MA/ MA 5.03,9.01 01/15/13
ENTEST BIOMEDICAL, INC. NV 4.01 12/04/12 AMEND
ENZO BIOCHEM INC NY 5.03,5.07,9.01 01/17/13
EQUAL ENERGY LTD. A0 5.02,9.01 01/17/13
ETHAN ALLEN INTERIORS INC DE 2.02,9.01 01/22/13
EZCORP INC DE 2.02,9.01 01/22/13
FARMERS & MERCHANTS BANCORP INC OH 8.01,9.01 01/18/13
Federal Home Loan Bank of Atlanta X1 2.03 01/16/13
Federal Home Loan Bank of Chicago X1 2.03 01/16/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/16/13
Federal Home Loan Bank of New York X1 2.03,9.01 01/16/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/16/13
Federal Home Loan Bank of San Francis X1 2.03 01/17/13
Federal Home Loan Bank of Seattle 2.03 01/16/13
FERRO CORP OH 5.02 01/22/13
FIDELITY SOUTHERN CORP GA 2.02,5.02,9.01 01/17/13
Fifth & Pacific Companies, Inc. DE 3.02 01/15/13
FIRST BANCSHARES INC /MS/ MS 5.02,9.01 01/17/13
FIRST REGIONAL BANCORP CA 8.01,9.01 01/15/13
FIRSTMERIT CORP /OH/ OH 2.02,9.01 01/22/13
FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 01/22/13
FRONTIER OILFIELD SERVICES INC TX 1.01,9.01 01/15/13 AMEND
FUEL DOCTOR HOLDINGS, INC. DE 8.01 01/17/13
Fuel Systems Solutions, Inc. 7.01 01/22/13
GARDNER DENVER INC DE 2.02,7.01,9.01 01/21/13
GENSPERA INC DE 7.01 01/22/13
GLOBAL GREEN INC. FL 5.01,7.01,8.01,9.01 01/16/13
GLOBAL PARTNERS LP 7.01,9.01 01/22/13
GLOBALWISE INVESTMENTS INC NV 1.01,2.03,9.01 01/15/13
GlyEco, Inc. NV 5.02 01/15/13
GlyEco, Inc. NV 9.01 10/29/12 AMEND
Gold Bullion Acquisition, Inc. DE 1.01,4.01,5.01,5.02, 01/18/13
5.03,9.01
GOLDFIELD CORP DE 1.01,2.03,9.01 01/15/13
GOLDMAN SACHS GROUP INC DE 9.01 01/22/13
Google Inc. DE 2.02,8.01,9.01 01/22/13
GREENTECH MINING INTERNATIONAL, INC. DE 1.01,5.06,9.01 09/19/12 AMEND
GroveWare Technologies Ltd. NV 1.01,5.02,9.01 01/22/13
Guidewire Software, Inc. DE 5.03,9.01 01/17/13
Guidewire Software, Inc. DE 5.02 09/05/12 AMEND
Guidewire Software, Inc. DE 5.02 12/05/12 AMEND
Gulf United Energy, Inc. NV 1.01,2.03,3.02,8.01, 01/15/13
9.01
HAMPSHIRE GROUP LTD DE 2.02,5.02,9.01 01/15/13
HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 01/18/13
HealthWarehouse.com, Inc. DE 2.04 01/15/13
HEARTLAND PAYMENT SYSTEMS INC DE 5.02 01/15/13
HERCULES OFFSHORE, INC. DE 7.01,9.01 01/22/13
HKN, Inc. DE 8.01,9.01 01/22/13
HOLOGIC INC DE 5.02,7.01,9.01 01/22/13
HomeTrust Bancshares, Inc. MD 5.02,5.07,9.01 01/17/13
HYPERION THERAPEUTICS INC DE 8.01 01/22/13
ICU MEDICAL INC/DE DE 8.01,9.01 01/22/13
IEC ELECTRONICS CORP DE 7.01,9.01 01/22/13
II-VI INC PA 2.02,9.01 01/22/13
IMPAX LABORATORIES INC DE 8.01,9.01 01/21/13
Infinity Resources Holdings Corp. NV 1.01,2.02,9.01 01/15/13
INNOVUS PHARMACEUTICALS, INC. NV 2.03,5.02,7.01,9.01 01/15/13
Intcomex, Inc. DE 2.02,7.01,9.01 01/22/13
INTERMUNE INC DE 1.01,2.03,8.01,9.01 01/15/13
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 01/22/13
INTERNATIONAL GAME TECHNOLOGY NV 2.02,9.01 01/22/13
INTERNATIONAL LEASE FINANCE CORP CA 7.01,9.01 01/22/13
INTUITIVE SURGICAL INC DE 2.02,9.01 01/22/13
INVACARE CORP OH 2.01,7.01,9.01 01/18/13
Ironwood Gold Corp. 4.02 12/17/12
ISLAND BREEZE INTERNATIONAL, INC. DE 8.01,9.01 01/22/13
IsoRay, Inc. MN 8.01 01/22/13
iTALK Inc. NV 5.02 01/16/13
iTALK Inc. NV 8.01,9.01 01/22/13
Jazz Pharmaceuticals plc L2 8.01 01/18/13
JOE'S JEANS INC. DE 8.01,9.01 01/17/13
JOHNSON & JOHNSON NJ 2.02,9.01 01/22/13
JOHNSON & JOHNSON NJ 7.01 01/22/13
KANSAS CITY SOUTHERN DE 2.02,9.01 01/22/13
KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 01/22/13
KBS Real Estate Investment Trust II, MD 8.01 01/16/13
Kraton Performance Polymers, Inc. DE 5.02 01/16/13
KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 01/15/13
Legal Life Plans, Inc. DE 2.05,4.01,8.01,9.01 01/10/13
LEGG MASON, INC. MD 8.01 01/22/13
LEHMAN ABS CORP HSBC DEBENTURE BACKED DE 8.01,9.01 01/15/13
LIGAND PHARMACEUTICALS INC DE 5.02 01/18/13
LIGAND PHARMACEUTICALS INC DE 5.02 01/22/13 AMEND
Lightlake Therapeutics Inc. NV 4.01,9.01 01/22/13
Limelight Networks, Inc. DE 5.02,9.01 01/22/13
Lustros Inc. UT 8.01 01/18/13
MAGELLAN PETROLEUM CORP /DE/ DE 5.02,5.07 01/22/13 AMEND
Memorial Production Partners LP DE 7.01 01/22/13
MERIDIAN INTERSTATE BANCORP INC 2.02,9.01 01/22/13
META FINANCIAL GROUP INC DE 5.07 01/18/13
MILLER HERMAN INC MI 8.01 01/16/13
MoSys, Inc. DE 5.02 01/15/13
Motors Liquidation Co DE 8.01,9.01 01/22/13
MPHASE TECHNOLOGIES INC NJ 3.02 01/22/13
MRI INTERVENTIONS, INC. DE 1.01,3.02,7.01,9.01 01/18/13
MVB FINANCIAL CORP WV 5.02 01/22/13
MVB FINANCIAL CORP WV 5.02,9.01 01/22/13
MVB FINANCIAL CORP WV 3.02 01/22/13
MVB FINANCIAL CORP WV 5.02,9.01 01/22/13
National CineMedia, Inc. DE 5.02 01/15/13
NATIONAL HEALTHCARE CORP DE 8.01 01/16/13
NATIONAL SECURITY GROUP INC DE 8.01,9.01 01/18/13
NETWORK CN INC DE 5.02 01/22/13
NEUSTAR INC 1.01,1.02,2.03,9.01 01/22/13
NEW ENERGY TECHNOLOGIES, INC. 1.01,7.01,9.01 01/16/13
NEW JERSEY RESOURCES CORP NJ 7.01,9.01 01/22/13
NEW MEDIA INSIGHT GROUP, INC. NV 5.02 12/31/12
NEWMONT MINING CORP /DE/ DE 2.02,9.01 01/22/13
NEWS CORP 8.01,9.01 01/21/13
NGL Energy Partners LP DE 9.01 11/02/12 AMEND
NISSAN AUTO RECEIVABLES CORP II DE 1.01,9.01 01/16/13
Noranda Aluminum Holding CORP DE 5.02 01/16/13
NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 01/22/13
Northern Tier Energy LP DE 1.01,7.01,9.01 01/16/13
Northwest Bancshares, Inc. MD 2.02,9.01 01/22/13
NORTHWEST BIOTHERAPEUTICS INC DE 7.01,9.01 01/22/13
NUMEREX CORP /PA/ PA 8.01,9.01 01/22/13
NuStar Energy L.P. DE 1.01,2.03,9.01 01/22/13
OCZ TECHNOLOGY GROUP INC DE 1.01 01/15/13
OCZ TECHNOLOGY GROUP INC DE 3.01,9.01 01/17/13
OM GROUP INC DE 1.01,8.01,9.01 01/21/13
Omagine, Inc. DE 7.01,9.01 01/22/13
OMNOVA SOLUTIONS INC OH 2.02,9.01 01/22/13
ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,7.01 01/22/13
Onstream Media CORP FL 5.02 01/15/13
ORAMED PHARMACEUTICALS INC. DE 8.01,9.01 01/22/13
OSAGE EXPLORATION & DEVELOPMENT INC DE 5.02,9.01 01/17/13
PACKAGING CORP OF AMERICA 2.02,9.01 01/22/13
PARK NATIONAL CORP /OH/ OH 5.02 01/16/13
PASSPORT POTASH INC A8 5.02,7.01,8.01 12/31/12
PC TEL INC DE 8.01 01/17/13
PCS EDVENTURES COM INC ID 7.01,9.01 01/22/13
PEDEVCO CORP TX 4.02,9.01 01/15/13 AMEND
PEOPLES BANCORP INC OH 2.02,9.01 01/22/13
Personality Software Systems, Inc. NV 4.01,9.01 01/10/13 AMEND
PETSMART INC DE 5.02 01/18/13
Phillips Edison - ARC Shopping Center MD 1.01,2.01,8.01,9.01 01/15/13
Post Holdings, Inc. MO 5.03,9.01 01/18/13
PREMIERE GLOBAL SERVICES, INC. GA 5.02 01/22/13
PRIVATEBANCORP, INC DE 2.02,9.01 01/22/13
PRO DEX INC CO 5.07,9.01 01/17/13
PROGENICS PHARMACEUTICALS INC DE 1.01,2.01,3.02,8.01, 01/22/13
9.01
Progressive Care Inc. DE 5.02,9.01 01/17/13
PROSPER MARKETPLACE INC DE 1.01,3.02,5.02 01/14/13
PROTALEX INC DE 1.01,2.03,9.01 01/18/13
PULSE ELECTRONICS CORP PA 3.02,5.03,5.07,9.01 01/21/13
Quad/Graphics, Inc. WI 2.01,9.01 01/16/13
R F INDUSTRIES LTD NV 2.02,9.01 01/22/13
RALCORP HOLDINGS INC /MO MO 8.01 01/18/13
RAYONIER INC NC 8.01,9.01 01/22/13
RECOVERY ENERGY, INC. NV 5.02,7.01 01/18/13
REGENCY CENTERS CORP FL 7.01 01/18/13
REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 01/22/13
RELIV INTERNATIONAL INC DE 5.02 01/17/13
RENASANT CORP MS 5.03,9.01 01/15/13
REXAHN PHARMACEUTICALS, INC. DE 5.02,9.01 01/22/13
RF MICRO DEVICES INC NC 2.02,9.01 01/22/13
Rhino Resource Partners LP DE 5.02,7.01,9.01 01/21/13
ROBBINS & MYERS, INC. OH 8.01,9.01 01/18/13
San Lotus Holding Inc NV 1.01,9.01 01/18/13
San Lotus Holding Inc NV 1.01,9.01 01/19/13
SANDRIDGE ENERGY INC DE 8.01 12/19/12 AMEND
Santa Fe Petroleum, Inc. DE 5.02 01/22/13 AMEND
SCBT FINANCIAL CORP SC 8.01,9.01 01/22/13
SENIOR HOUSING PROPERTIES TRUST MD 9.01 01/22/13
Seven Seas Cruises S. DE R.L. R1 2.02 01/22/13
Shire plc 8.01,9.01 01/21/13
SIERRA BANCORP CA 2.02,9.01 01/22/13
Silicon Graphics International Corp DE 5.02,9.01 01/18/13
SIRIUS XM RADIO INC. DE 5.01,5.02,8.01 01/18/13
SLM Student Loan Trust 2005-5 8.01 01/22/13
SLM Student Loan Trust 2005-8 8.01 01/22/13
SLM Student Loan Trust 2005-9 DE 8.01 01/22/13
SMART ABS Series 2013-1US Trust C3 1.01,8.01,9.01 01/16/13
Snap Interactive, Inc DE 7.01,9.01 01/22/13
SONIC CORP DE 5.07 01/17/13
SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 01/22/13
SOUTHERN FIRST BANCSHARES INC SC 2.02,8.01,9.01 01/22/13
SPIRIT REALTY CAPITAL, INC. MD 7.01,8.01,9.01 01/22/13
STAG Industrial, Inc. 1.01,9.01 01/16/13
STAR BUFFET INC DE 8.01,9.01 01/17/13
Star Gold Corp. NV 3.02 01/18/13
STEWART INFORMATION SERVICES CORP DE 3.02 01/17/13
STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 01/22/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 01/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 01/15/13
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 01/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 01/15/13
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 01/15/13
STUDIO II BRANDS INC FL 5.02 12/31/12
Super Micro Computer, Inc. CA 2.02,9.01 01/22/13
SUPERMEDIA INC. DE 8.01,9.01 01/18/13
SUPERTEL HOSPITALITY INC VA 1.01,9.01 01/17/13
SUPERTEX INC CA 2.02,9.01 01/22/13
SYNAGEVA BIOPHARMA CORP DE 1.01,2.03 01/15/13
SYNIVERSE HOLDINGS INC DE 7.01 01/22/13
SYNOVUS FINANCIAL CORP GA 2.02,7.01,9.01 01/22/13
TAMM Oil & Gas Corp. NV 5.02 01/21/13
TD AMERITRADE HOLDING CORP DE 1.01,1.02,2.02,9.01 01/17/13
TECTON CORP NV 1.03,2.03,3.03,4.01, 04/27/11
5.01,5.02,9.01
TECUMSEH PRODUCTS CO MI 5.02,9.01 01/22/13
Telanetix,Inc DE 1.01,5.07,8.01,9.01 01/18/13
TENET HEALTHCARE CORP NV 7.01,8.01,9.01 01/22/13
Terreno Realty Corp MD 1.01,2.03,9.01 01/17/13
TEXAS INSTRUMENTS INC DE 2.02,9.01 01/22/13
TG THERAPEUTICS, INC. DE 5.08 01/18/13
THERAPEUTIC SOLUTIONS INTERNATIONAL, NV 5.01,8.01 01/17/13
TIMBERLAND BANCORP INC WA 2.02,9.01 01/21/13
TOTAL SYSTEM SERVICES INC GA 2.02,7.01,9.01 01/22/13
TRAVELCENTERS OF AMERICA LLC 8.01 01/18/13
TRAVELERS COMPANIES, INC. MN 2.02,9.01 01/22/13
Trucept, Inc. NV 5.02,9.01 01/16/13
TRUSTCO BANK CORP N Y NY 2.02,9.01 01/22/13
TRUSTMARK CORP MS 2.02,9.01 01/22/13
TUESDAY MORNING CORP/DE DE 5.02,7.01,9.01 01/22/13
TUESDAY MORNING CORP/DE DE 2.02,9.01 01/22/13
TWIN DISC INC WI 2.02,7.01,9.01 01/22/13
U S GLOBAL INVESTORS INC TX 7.01,9.01 01/18/13
ULURU INC. NV 1.01,5.02,7.01,9.01 01/22/13
UNITED SURGICAL PARTNERS INTERNATIONA DE 5.02,9.01 01/18/13
Universal Business Payment Solutions DE 8.01 01/16/13
UNIVERSAL FOREST PRODUCTS INC MI 5.02,9.01 01/18/13
UNS Energy Corp AZ 8.01,9.01 01/22/13
URANIUM RESOURCES INC /DE/ DE 3.01,7.01,9.01 01/15/13
Urban Barns Foods Inc. 7.01,9.01 01/17/13
VENTRUS BIOSCIENCES INC DE 8.01,9.01 01/22/13
Verastem, Inc. DE 5.02 01/18/13
VERIZON COMMUNICATIONS INC DE 2.02,9.01 01/22/13
Victor Technologies Group, Inc. DE 2.05 01/16/13
VOLTERRA SEMICONDUCTOR CORP 2.02,8.01,9.01 01/22/13
WATERS CORP /DE/ DE 2.02,9.01 01/22/13
WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 01/22/13
Wellness Center USA, Inc. NV 1.01,2.01,3.02,5.01, 08/02/12 AMEND
5.06,9.01
WESTERN ALLIANCE BANCORPORATION NV 1.01,9.01 01/18/13
WEX Inc. 1.01,2.03,3.03,7.01, 01/18/13
8.01,9.01
WEX Inc. 8.01,9.01 01/22/13
Wiless Controls Inc. NV 7.01,9.01 01/18/13
Woodward, Inc. DE 2.02,9.01 01/22/13
YOUNG INNOVATIONS INC MO 8.01,9.01 01/22/13
Z TRIM HOLDINGS, INC IL 7.01,9.01 01/22/13
ZAP CA 8.01 01/19/13
ZAP CA 8.01,9.01 01/18/13
http://www.sec.gov/news/digest/2013/dig012313.htm
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