Agencies Request Comment on Proposed Risk Retention Rule
Six federal agencies on Wednesday issued a notice revising a proposed rule requiring sponsors of securitization transactions to retain risk in those transactions. The new proposal revises a proposed rule the agencies issued in 2011 to implement the risk retention requirement in the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
This proposal is being issued jointly by the Board of Governors of the Federal Reserve System, the Department of Housing and Urban Development, the Federal Deposit Insurance Corporation, the Federal Housing Finance Agency, the Office of the Comptroller of the Currency, and the Securities and Exchange Commission (Commission). As provided under the statute, the Secretary of the Treasury, as Chairperson of the Financial Stability Oversight Council, played a coordinating role in the rulemaking. The rule would provide asset-backed securities (ABS) sponsors with several options to satisfy the risk retention requirements. The original proposal generally measured compliance with the risk retention requirements based on the par value of securities issued in a securitization transaction and included a so-called premium capture provision. The agencies are now proposing that risk retention generally be based on fair value measurements without a premium capture provision.
As required by the Dodd-Frank Act, the proposal would define "qualified residential mortgage" (QRM) and exempt securitizations of QRMs from risk retention. The new proposal would define QRMs to have the same meaning as the term qualified mortgages as defined by the Consumer Financial Protection Bureau. The new proposal also requests comment on an alternative definition of QRM that would include certain underwriting standards in addition to the qualified mortgage criteria.
Similar to the original proposal, under the new proposal, securitizations of commercial loans, commercial mortgages, or automobile loans of low credit risk would not be subject to risk retention. Further, the rule would recognize the full guarantee on payments of principal and interest provided by Fannie Mae and Freddie Mac for their residential mortgage-backed securities as meeting the risk retention requirements while Fannie Mae and Freddie Mac are in conservatorship or receivership and have capital support from the U.S. government. This provision also is unchanged from the original proposal.
Closed Meeting on Wednesday, September, 2013 at 10:00 a.m.
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory matter; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.
In the Matter of First Georgia Community Corp.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Two Respondents (Default Order) in First Georgia Community Corp., Admin. Proc. File No. 3-15378. 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 First Georgia Community Corp. and NHS Health Solutions, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
This proceeding has ended as to all other Respondents. See First Georgia Community Corp., Exchange Act Release No. 70233 (Aug. 20, 2013). (Rel. 34-70275)
In the Matter of Hausmann-Alain Banet
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing ("Order") against Hausmann-Alain Banet (Banet).
The Order alleges that in October 2012, the United States Attorney for the Northern District of California unsealed an indictment against Banet in the criminal proceeding United States of America v. Hausmann-Alain Banet, Case No. CR-12-715-WHA (the "Criminal Proceeding"). On May 22, 2013, Banet entered a written plea agreement in the Criminal Proceeding whereby Banet pled guilty to two counts of wire fraud in violation of 18 U.S.C. § 1343 and two counts of mail fraud in violation of 18 U.S.C. § 1341. Banet admitted that from November 2008 through July 2012, he induced numerous individuals to deposit money in bank accounts that he controlled through false and fraudulent representations that Lion Capital would invest the money. Subsequently, on August 15, 2013, the Court entered a Criminal Judgment sentencing Banet to fifty-six months of incarceration and an additional thirty-six months of supervised release. The Court also ordered Banet to pay $1,217,668.40 in restitution and to forfeit certain assets.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Banet with an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, an administrative law judge shall issue an initial decision in this matter no later than 210 days from the date of service of the Order. (Rel. IA-3657)
In the Matter of Brian Solomon
The Commission announced today the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 as to Brian Solomon (the Order).
On July 6, 2011, the Commission filed a complaint against Solomon in the United States District Court for the Southern District of New York, in a civil action entitled Securities and Exchange Commission v. Joshua Constantin, et al., Civil Action Number 11-cv-4642. The complaint alleged that Solomon and others engaged in a fraudulent investment scheme and misappropriated approximately $1.2 million from seven investors. On July 3, 2012, the Commission moved for summary judgment against Solomon on all of its claims against him. On April 2, 2013, the District Court issued a Memorandum & Order granting the Commission's motion for summary judgment. On May 7, 2013, the District Court entered a final judgment against Solomon, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder.
On May 23, 2013, the Commission instituted administrative proceedings against Solomon based on the entry of a permanent injunction against him. Today's Order bars Solomon from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and bars him 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. Solomon consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted entry of the injunction. (Rel. 34-70280.)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NASDAQ OMX PHLX LLC to amend the commentary to Rule 1080 to add a new PIXL ISO order type (SR-Phlx-2013-87) 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 September 2nd, 2013. (Rel. 34-70278)
Notice of Proposed Rule Change
Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2013-036), relating to wash sale transactions and FINRA Rule 5210 (Publication of Transactions and Quotations). Publication is expected in the Federal Register during the week of September 2nd, 2013. (Rel. 34-70276)
The Options Clearing Corporation (OCC) filed a proposed rule change (File No. SR-OCC-2013-14) under Section 19(b)(1) of the Securities Exchange Act of 1934 to give OCC discretion not to grant a particular clearing member margin credit for an otherwise eligible security. Publication is expected in the Federal Register during the week of September 2nd, 2013. (Rel. 34-70279)
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 Commissions Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commissions 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.
-4 RENT A CENTER INC DE, 5501 HEADQUARTERS DRIVE, PLANO, TX, 75024, 972-801-1100 - 0 ($250,000,000.00) Debt, (File 333-190830 - Aug. 27) (BR. 06B) S-1 DMC Beverage Corp., 19563 EAST MAINSTREET, SUITE 206, PARKER, CO, 80138, 720-206-4411 - 8,000,000 ($4,000,000.00) Equity, (File 333-190831 - Aug. 27) (BR. 04B) S-8 QLOGIC CORP, 26650 ALISO VIEJO PARKWAY, ALISO VIEJO, CA, 92656, (949) 389-6000 - 3,000,000 ($33,810,000.00) Equity, (File 333-190832 - Aug. 27) (BR. 03C) S-1 Key Link Assets Corp., 216 SOUTH JEFFERSON STREET, LL1, CHICAGO, IL, 60661, 312-397-9300 EXT 204 - 590,000 ($59,000.00) Equity, (File 333-190836 - Aug. 27) (BR. 02) S-1 REAL HIP-HOP NETWORK, INC, 1455 PENNSYLVANIA AVENUE NW,, SUITE 400, WASHINGTON, DC, 20004, (202) 379-3115 - 8,176,050 ($40,880,250.00) Equity, (File 333-190837 - Aug. 27) (BR. 11C) S-3 MINES MANAGEMENT INC, 905 W RIVERSIDE AVENUE, SUITE 311, SPOKANE, WA, 99201, 5098386050 - 0 ($65,000,000.00) Other, (File 333-190838 - Aug. 27) (BR. 09B) S-8 Independence Bancshares, Inc., 500 E. WASHINGTON STREET, P.O. BOX 1776, GREENVILLE, SC, 29602, 864-672-1776 - 192,250 ($205,707.50) Equity, (File 333-190839 - Aug. 27) (BR. 07B) S-3ASR BRIGGS & STRATTON CORP, 12301 W WIRTH ST, WAUWATOSA, WI, 53222, 4142595333 - 0 ($0.00) Debt, (File 333-190840 - Aug. 27) (BR. 10A) F-1 Globant S.A., Calle velazquez 157, Floor 5 C, Madrid, U3, 28002, 34-91-426-1155 - 0 ($86,250,000.00) Equity, (File 333-190841 - Aug. 27) (BR. 03A) S-4 QUIKSILVER INC, 15202 GRAHAM STREET, HUNTINGTON BEACH, CA, 92649, 714-889-2200 - 0 ($225,000,000.00) Debt, (File 333-190842 - Aug. 27) (BR. 09B) S-8 1st United Bancorp, Inc., ONE NORTH FEDERAL HIGHWAY, BOCA RATON, FL, 33432, (561) 362-3400 - 1,704,403 ($12,510,318.00) Equity, (File 333-190843 - Aug. 27) (BR. 07B) S-8 PAREXEL INTERNATIONAL CORP, 195 WEST ST, WALTHAM, MA, 02451, 7814879900 - 3,000,000 ($144,690,000.00) Equity, (File 333-190844 - Aug. 27) (BR. 01B) S-4 FIRST FEDERAL BANCSHARES OF ARKANSAS INC, 1401 HWY 62-65 NORTH, PO BOX 550, HARRISON, AR, 72602, 8707417641 - 6,252,400 ($75,352,000.00) Equity, (File 333-190845 - Aug. 27) (BR. 07C) S-8 ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 - 144,164 ($1,614,483.00) Equity, (File 333-190846 - Aug. 27) (BR. 03C) S-8 MCKESSON CORP, ONE POST ST, MCKESSON PLAZA, SAN FRANCISCO, CA, 94104, 4159838300 - 33,583,970 ($4,116,051,363.20) Equity, (File 333-190847 - Aug. 27) (BR. 09B) S-8 MCKESSON CORP, ONE POST ST, MCKESSON PLAZA, SAN FRANCISCO, CA, 94104, 4159838300 - 5,000,000 ($612,800,000.00) Equity, (File 333-190848 - Aug. 27) (BR. 09B) S-8 MCKESSON CORP, ONE POST ST, MCKESSON PLAZA, SAN FRANCISCO, CA, 94104, 4159838300 - 0 ($5,000,000.00) Other, (File 333-190849 - Aug. 27) (BR. 09B) N-2 PROSPECT CAPITAL CORP, 10 EAST 40TH STREET 44TH FL, NEW YORK, NY, 10016, 212-448-0702 - 0 ($3,430,796,511.64) Other, (File 333-190850 - Aug. 27) (BR. 16) S-4 CUBIST PHARMACEUTICALS INC, 65 HAYDEN AVENUE, LEXINGTON, MA, 02421, 781-860-8660 - 0 ($98,878,240.00) Other, (File 333-190851 - Aug. 27) (BR. 01A) S-1 ENVESTNET, INC., 35 E WACKER DR STE 2400, CHICAGO, IL, 60601, 312-827-2800 - 0 ($149,040,000.00) Equity, (File 333-190852 - Aug. 27) (BR. 02C)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commissions Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commissions 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 3M CO DE 1.01,2.03,9.01 08/23/13 ACCURAY INC DE 2.02,9.01 08/27/13 Actinium Pharmaceuticals, Inc. NV 1.01,2.01,3.02,9.01 08/22/13 Advanced Emissions Solutions, Inc. 5.02 08/21/13 AeroVironment Inc DE 2.02,9.01 08/27/13 AIRGAS INC DE 2.04,7.01,9.01 08/27/13 AKORN INC LA 8.01,9.01 08/27/13 ALLETE INC MN 5.02 08/26/13 American Magna Corp FL 2.03,9.01 08/27/13 American Realty Capital Properties, I MD 7.01,9.01 08/27/13 American Realty Capital Trust V, Inc. MD 8.01,9.01 08/25/13 Ancestry.com LLC DE 8.01,9.01 08/26/13 ARCH COAL INC DE 1.04 08/21/13 As Seen On TV, Inc. FL 1.01,9.01 08/23/13 ASSOCIATED BANC-CORP WI 5.02 08/26/13 Atkore International Holdings Inc. DE 1.01 08/27/13 ATMOS ENERGY CORP TX 1.01,2.03,9.01 08/22/13 AUTHENTIC TEAS INC. NV 1.01,5.01,5.02,9.01 08/23/13 Avago Technologies LTD U0 2.02,7.01,9.01 08/27/13 AVIS BUDGET GROUP, INC. DE 1.01,9.01 08/23/13 Bacterin International Holdings, Inc. DE 7.01,9.01 08/27/13 BANCFIRST CORP /OK/ OK 4.01,7.01,9.01 08/22/13 Behringer Harvard Mid-Term Value Enha TX 2.01,9.01 08/21/13 BioScrip, Inc. DE 2.01,2.03,8.01,9.01 08/23/13 BOSTON BEER CO INC MA 7.01 08/26/13 AMEND Bristow Group Inc DE 7.01 08/23/13 Bristow Group Inc DE 7.01 08/27/13 BROADVIEW INSTITUTE INC MN 5.07 08/27/13 BROWN SHOE CO INC NY 2.02,9.01 08/27/13 BRT REALTY TRUST MA 9.01 06/21/13 BSQUARE CORP /WA WA 8.01,9.01 08/27/13 CAMBIUM LEARNING GROUP, INC. 5.02,9.01 08/14/13 AMEND CAPSTONE COMPANIES, INC. FL 8.01,9.01 08/14/13 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 08/27/13 Celator Pharmaceuticals Inc DE 5.02,9.01 08/26/13 CENVEO, INC CO 1.01,3.02,9.01 08/21/13 CLAIRES STORES INC DE 2.02,9.01 08/26/13 CNL Healthcare Properties, Inc. MD 1.01,9.01 08/27/13 CNL Healthcare Properties, Inc. MD 1.01,9.01 08/21/13 CODESMART HOLDINGS, INC. FL 7.01 08/27/13 COLUMBIA PROPERTY TRUST, INC. MD 7.01,9.01 08/26/13 AMEND CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 08/27/13 CorEnergy Infrastructure Trust, Inc. 1.01,9.01 08/26/13 CORNERSTONE BANCSHARES INC 7.01 08/27/13 CVR Refining, LP DE 7.01,9.01 08/27/13 CYCLONE POWER TECHNOLOGIES INC FL 2.02,9.01 08/21/13 Cyto Wave Technologies Inc. NV 1.02,9.01 08/21/13 DARLING INTERNATIONAL INC DE 8.01,9.01 08/27/13 DAVITA HEALTHCARE PARTNERS INC. DE 8.01,9.01 08/23/13 Dealertrack Technologies, Inc DE 7.01,8.01,9.01 08/27/13 DEEP WELL OIL & GAS INC NV 8.01,9.01 08/19/13 dELiAs, Inc. DE 2.02,9.01 08/27/13 DENTSPLY INTERNATIONAL INC /DE/ DE 2.03,9.01 08/27/13 DONALDSON CO INC DE 2.02,9.01 08/27/13 DSW Inc. OH 2.02,8.01,9.01 08/27/13 E-Debit Global Corp. CO 8.01,9.01 08/22/13 ELECTRONICS FOR IMAGING INC DE 5.02,8.01,9.01 08/24/13 EMERGING CTA PORTFOLIO LP NY 1.01 08/21/13 EMPIRE RESORTS INC DE 1.01,9.01 08/23/13 ENCORE CAPITAL GROUP INC DE 5.02 08/23/13 ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 06/30/13 ENTERGY CORP /DE/ DE 2.06,7.01,8.01,9.01 08/27/13 Eos Petro, Inc. NV 1.01,7.01,9.01 08/21/13 ESCALADE INC IN 8.01,9.01 08/22/13 Esperion Therapeutics, Inc. DE 1.01,9.01 08/26/13 ExOne Co DE 8.01,9.01 08/27/13 EXTERRAN HOLDINGS INC. DE 5.02 08/22/13 EXTERRAN PARTNERS, L.P. DE 5.02 08/22/13 Federal Home Loan Bank of Atlanta X1 2.03 08/21/13 Federal Home Loan Bank of Chicago X1 2.03 08/21/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/22/13 Federal Home Loan Bank of Dallas 2.03,9.01 08/21/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/23/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/27/13 Federal Home Loan Bank of New York X1 2.03,9.01 08/21/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/21/13 Federal Home Loan Bank of San Francis X1 2.03 08/22/13 Federal Home Loan Bank of Seattle 2.03 08/21/13 Federal Home Loan Bank of Topeka 2.03,9.01 08/23/13 First Connecticut Bancorp, Inc. MD 8.01,9.01 08/27/13 FIRST FINANCIAL BANCORP /OH/ OH 5.02 08/21/13 FIRST KEYSTONE CORP PA 5.05,9.01 08/27/13 FIRSTBANK CORP MI 8.01,9.01 08/27/13 Fossil Group, Inc. DE 5.02,9.01 08/21/13 FRANKLIN STREET PROPERTIES CORP /MA/ 1.01,2.03,9.01 08/26/13 FS Investment CORP MD 8.01,9.01 08/27/13 FS Investment Corp II MD 8.01,9.01 08/27/13 FX ENERGY INC NV 8.01,9.01 08/27/13 G&K SERVICES INC MN 5.02,9.01 08/22/13 General Finance CORP DE 8.01,9.01 08/27/13 GOODRICH PETROLEUM CORP DE 1.01,2.03,3.02,8.01, 08/21/13 9.01 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/23/13 GRAPHON CORP/DE DE 1.01,5.02,9.01 08/21/13 GSI TECHNOLOGY INC 5.07 08/22/13 HANMI FINANCIAL CORP DE 5.07 08/23/13 HARRIS CORP /DE/ DE 5.02 08/22/13 Hartman Short Term Income Properties MD 1.01 08/27/13 Hartman Short Term Income Properties MD 5.02 08/27/13 AMEND HEALTH ENHANCEMENT PRODUCTS INC NV 5.07 08/21/12 HI TECH PHARMACAL CO INC NY 1.01,5.03,8.01,9.01 08/26/13 HomeTrust Bancshares, Inc. MD 8.01,9.01 08/27/13 Howard Bancorp Inc MD 8.01,9.01 08/16/13 ICAHN ENTERPRISES L.P. DE 7.01 08/27/13 IMMUNOGEN INC MA 5.02,9.01 08/27/13 INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02,9.01 08/22/13 INTEGRATED DEVICE TECHNOLOGY INC DE 5.02,9.01 08/26/13 Inteliquent, Inc. 8.01,9.01 08/27/13 Intellicell Biosciences, Inc. NV 8.01 08/26/13 ISSUER DIRECT CORP 1.01,2.01,3.02,5.02, 08/22/13 8.01,9.01 JAGGED PEAK, INC. NV 8.01,9.01 08/27/13 John Bean Technologies CORP DE 5.02,9.01 08/26/13 KIRKLAND'S, INC 2.02,9.01 08/22/13 KITE REALTY GROUP TRUST MD 1.01,2.03,9.01 08/21/13 LANDAUER INC IL 8.01,9.01 08/27/13 LAWSON PRODUCTS INC/NEW/DE/ DE 7.01,9.01 08/27/13 LIFE TIME FITNESS, INC. MN 5.02,9.01 08/27/13 LNB BANCORP INC OH 7.01,9.01 08/27/13 LUCID INC NY 1.01,3.02,9.01 08/22/13 Lumos Networks Corp. VA 8.01,9.01 08/27/13 Madison County Financial, Inc. MD 5.02,9.01 08/26/13 MamaMancini's Holdings, Inc. NV 1.01,3.02,9.01 08/23/13 MEDIENT STUDIOS, INC. NV 1.01,2.03,9.01 08/21/13 MEDTRONIC INC MN 5.02,5.07,9.01 08/22/13 MeetMe, Inc. DE 5.02,9.01 08/22/13 MERGE HEALTHCARE INC DE 5.02 08/26/13 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01 08/26/13 META FINANCIAL GROUP INC DE 8.01,9.01 08/26/13 MIAMI DAYS CORP. NV 5.02 08/26/13 Monarchy Resources, Inc. NV 5.02,9.01 08/23/13 Mondelez International, Inc. VA 7.01,9.01 08/27/13 Mondelez International, Inc. VA 8.01,9.01 08/27/13 MOVADO GROUP INC NY 2.02,9.01 08/27/13 MULTI COLOR Corp OH 5.07 08/21/13 NF Energy Saving Corp DE 4.02 08/21/13 OCLARO, INC. DE 1.01,2.03 08/21/13 OGLETHORPE POWER CORP GA 7.01,9.01 08/27/13 Orexigen Therapeutics, Inc. DE 8.01 08/27/13 Pacific Coast Oil Trust DE 2.02,9.01 08/27/13 PACWEST BANCORP DE 8.01,9.01 08/27/13 PEABODY ENERGY CORP DE 5.02,9.01 08/21/13 Petro River Oil Corp. DE 8.01,9.01 08/27/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 08/19/13 Physicians Realty Trust MD 1.01 08/21/13 PREMIERE GLOBAL SERVICES, INC. GA 1.01,2.03,9.01 08/27/13 Q LOTUS HOLDINGS INC NV 1.01,9.01 08/20/13 QAD INC DE 2.02,9.01 08/27/13 RADIANT LOGISTICS, INC DE 8.01 08/27/13 REGIS CORP MN 2.02,9.01 08/27/13 RESOURCE AMERICA, INC. DE 7.01 08/22/13 Revolution Lighting Technologies, Inc DE 1.01,2.01,2.03,3.02, 08/22/13 3.03,5.03,9.01 Rich Pharmaceuticals, Inc. 5.03,9.01 08/26/13 Roadrunner Transportation Systems, In DE 7.01,9.01 08/27/13 SaasMAX, Inc. NV 3.02,5.02,7.01,9.01 08/19/13 SAExploration Holdings, Inc. DE 3.01,9.01 08/20/13 SAFETY INSURANCE GROUP INC DE 1.01,9.01 08/21/13 SAIC, Inc. 5.04,9.01 08/21/13 Saker Aviation Services, Inc. NV 8.01 08/21/13 Santander Holdings USA, Inc. VA 8.01,9.01 08/22/13 SCHNITZER STEEL INDUSTRIES INC OR 7.01,9.01 08/27/13 SELECTICA INC DE 3.01,5.02,8.01 08/21/13 SHFL entertainment Inc. MN 8.01,9.01 08/27/13 Shire plc 8.01,9.01 08/23/13 ShopEye, Inc. CA 4.01,9.01 08/13/13 SIEBERT FINANCIAL CORP NY 5.01,5.02,9.01 08/26/13 SKINVISIBLE INC NV 1.01,2.03,3.02,9.01 08/21/13 SONO TEK CORP NY 5.02,5.07 08/22/13 SOPHIRIS BIO INC. A1 5.02 08/23/13 SOUTHERN CO DE 8.01,9.01 08/21/13 SPX CORP DE 5.02,7.01,9.01 08/26/13 STANDEX INTERNATIONAL CORP/DE/ DE 2.02,2.05,9.01 08/27/13 Starz DE 5.02 08/21/13 STEWART INFORMATION SERVICES CORP DE 7.01,9.01 08/27/13 SWORDFISH FINANCIAL, INC. MN 9.01 08/27/13 TANDY BRANDS ACCESSORIES INC DE 5.02,9.01 08/27/13 Tennessee Valley Authority 5.02 08/22/13 THERMOENERGY CORP DE 1.01,2.03,9.01 08/21/13 TIFFANY & CO DE 2.02,9.01 08/27/13 TIVO INC DE 2.02,9.01 08/27/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/27/13 UIL HOLDINGS CORP CT 2.06,7.01 08/26/13 AMEND Uni-Pixel DE 8.01,9.01 08/27/13 UNITED COMMUNITY FINANCIAL CORP OH 8.01,9.01 08/27/13 UNITED INSURANCE HOLDINGS CORP. DE 5.02,9.01 08/26/13 UNITED INSURANCE HOLDINGS CORP. DE 7.01,9.01 08/27/13 United States 12 Month Natural Gas Fu 7.01,9.01 08/27/13 United States 12 Month Oil Fund, LP 7.01,9.01 08/27/13 United States Brent Oil Fund, LP DE 7.01,9.01 08/27/13 United States Commodity Index Funds T DE 7.01,9.01 08/27/13 United States Diesel-Heating Oil Fund DE 7.01,9.01 08/27/13 United States Gasoline Fund, LP DE 7.01,9.01 08/27/13 United States Natural Gas Fund, LP 7.01,9.01 08/27/13 United States Oil Fund, LP DE 7.01,9.01 08/27/13 United States Short Oil Fund, LP DE 7.01,9.01 08/27/13 Univest Tech Inc. CO 5.03,8.01 08/27/13 URANERZ ENERGY CORP. NV 1.01,7.01,9.01 08/27/13 VALENCE TECHNOLOGY INC DE 8.01,9.01 08/21/13 VECTREN CORP IN 8.01 08/22/13 VISHAY INTERTECHNOLOGY INC DE 3.02,8.01 08/26/13 VOZ MOBILE CLOUD LTD WA 5.02,8.01 08/26/13 WATERS CORP /DE/ DE 5.02,9.01 08/23/13 WELLS CORE OFFICE INCOME REIT INC 8.01 08/22/13 Western Union CO DE 5.02,9.01 08/27/13 WET SEAL INC DE 2.02,9.01 08/27/13 Willbros Group, Inc.\NEW\ 1.01 08/21/13 Workday, Inc. DE 2.02,9.01 08/27/13 XIAN RESOURCES, LTD. 4.01,9.01 06/26/13 XPO Logistics, Inc. 7.01,9.01 08/26/13 ZIONS BANCORPORATION /UT/ UT 9.01 08/27/13 Zoom Telephonics, Inc. DE 8.01,9.01 08/27/13