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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-220
November 16, 2012

Commission Announcements

Fee Rate Advisory #2 for Fiscal Year 2013

The Securities and Exchange Commission is operating under a continuing resolution through March 27, 2013. Accordingly, the fees paid under Section 31 of the Securities Exchange Act will remain at their current rate until 60 days after the enactment of a regular appropriation for the Commission.

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Commission will be required to publish a revised fee rate 30 days after the Commission’s regular appropriation for FY 2012 is enacted, and this new fee rate will become effective 60 days after the appropriation is enacted. Until this time, the Section 31 fee rate will remain at the current rate of $22.40 per million. The Section 31 assessment on round turn transactions in security futures also will remain at $0.0042 per transaction.

The Office of Interpretation and Guidance in the Commission’s Division of Trading and Markets is available for questions on Section 31 at (202) 551-5777 or by e-mail at tradingandmarkets@sec.gov.

The Commission will issue further notices as appropriate to keep the public informed of developments relating to the effective dates of the fee rates under Section 31. These notices will be posted at the SEC’s website. (Press Rel. 2012-232)

Commission Meetings

Closed Meeting on Tuesday, November 20, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; 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.

Enforcement Proceedings

SEC Charges J.P. Morgan and Credit Suisse With Misleading Investors in RMBS Offerings

In coordination with the federal-state Residential Mortgage-Backed Securities Working Group, the Securities and Exchange Commission today charged J.P. Morgan Securities LLC and Credit Suisse Securities (USA) with misleading investors in offerings of residential mortgage-backed securities (RMBS). The firms agreed to settlements in which they will pay more than $400 million combined, and the SEC plans to distribute the money to harmed investors.

The SEC alleges that J.P. Morgan misstated information about the delinquency status of mortgage loans that provided collateral for an RMBS offering in which it was the underwriter. J.P. Morgan received fees of more than $2.7 million, and investors sustained losses of at least $37 million on undisclosed delinquent loans. J.P. Morgan also is charged for Bear Stearns’ failure to disclose its practice of obtaining and keeping cash settlements from mortgage loan originators on problem loans that Bear Stearns had sold into RMBS trusts. The proceeds from this bulk settlement practice were at least $137.8 million.

J.P. Morgan has agreed to pay $296.9 million to settle the SEC’s charges.

According to the SEC’s order against Credit Suisse, the firm similarly failed to accurately disclose its practice of retaining cash for itself from the settlement of claims against mortgage loan originators for problems with loans that Credit Suisse had sold into RMBS trusts and no longer owned. Credit Suisse also made misstatements in SEC filings about when it would repurchase mortgage loans from trusts if borrowers missed the first payment due. The firm made $55.7 million in profits and losses avoided from its bulk settlement practice, and its investors lost more than $10 million due to Credit Suisse’s practices concerning first payment defaults.

Credit Suisse has agreed to pay $120 million to settle the SEC’s charges.

“In many ways, mortgage products such as RMBS were ground zero in the financial crisis,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “Misrepresentations in connection with the creation and sale of mortgage securities contributed greatly to the tremendous losses suffered by investors once the U.S. housing market collapsed. Today’s actions involving RMBS securities are a continuation of the SEC’s strong efforts to pursue wrongdoing committed in connection with the financial crisis.”

Mr. Khuzami is a co-chair of the RMBS Working Group, which brings together federal and state agencies to investigate those responsible for misconduct that contributed to the financial crisis through the pooling and sale of RMBS.

RMBS Working Group Co-Chair and U.S. Attorney for the District of Colorado John Walsh said, “Today’s filings represent significant steps towards the accomplishment of the Working Group’s mission – to investigate and confront the abuses in the residential mortgage-backed securities market that significantly contributed to the Financial Crisis. The Working Group model allows the Department of Justice to lend a hand to other enforcement partners around the country who, in turn, have their own unique resources, talents, and legal tools to contribute to the effort. And the Justice Department’s efforts in this area have benefited from SEC’s work on its own cases.”

RMBS Working Group Co-Chair and New York State Attorney General Andrew Schneiderman said, “Today’s actions are another step forward in the process of bringing accountability for the misconduct that led to the collapse of the housing market. We will continue to work together on behalf of consumers and investors to ensure that it never happens again.”

According to the SEC’s complaint against J.P. Morgan filed in federal court in Washington D.C., federal regulations under the securities laws require the disclosure of delinquency information related to assets that provide collateral for an asset-backed securities offering. Information about the delinquency status of mortgage loans in an RMBS transaction is important to investors because those loans are the primary source of funds by which investors can earn interest and obtain repayment of their principal.

The SEC alleges that in the prospectus supplement for the $1.8 billion RMBS offering that occurred in December 2006, J.P. Morgan made materially false and misleading statements about the loans that provided collateral for the transaction. The firm represented that only four loans (.04 percent of the total loans collateralizing the transaction) were delinquent by 30 to 59 days, and that those four were the only loans that had had an instance of delinquency of 30 or more days in the 12 months prior to the “cut-off date” for the transaction. However, at the time J.P. Morgan made these representations, the firm actually had information showing that more than 620 loans (above 7 percent of the total loans collateralizing the transaction) were, and had been, 30 to 59 days delinquent, and the four loans represented as being 30 to 59 days delinquent were in fact 60 to 89 days delinquent.

The SEC’s complaint also alleges that Bear Stearns’ bulk settlements covered loans collateralizing 156 different RMBS transactions issued from 2005 to 2007. Loan originators were usually required by contract to buy back loans that suffered early payment defaults or had other defects. However, Bear Stearns frequently negotiated discounted cash settlements with these loan originators in lieu of a buy-back on loans that were owned by the RMBS trusts. The firm – both before and after the merger with J.P. Morgan – then kept most of the bulk settlement proceeds. The firm failed to disclose the practice to investors who owned the loans. Bear Stearns repurchased only about 13 percent of these defective bulk settlement loans from the trusts, compared to a nearly 100 percent repurchase rate when loan originators agreed to buy back the defective loans. For most loans covered by bulk settlements, the firm collected money from originators without paying anything to the trusts.

J.P. Morgan settled the SEC’s charges by consenting to pay $50.5 million in disgorgement and prejudgment interest and a $24 million penalty for the delinquency misstatements, which the SEC will seek to distribute to harmed investors in the transaction through a Fair Fund. J.P. Morgan agreed to pay $162,065,536 in disgorgement and prejudgment interest and a $60.35 million penalty for the bulk settlement practice misconduct, and the SEC will seek to distribute these funds to harmed investors through a separate Fair Fund. J.P. Morgan consented, without admitting or denying the allegations, to the entry of a final judgment permanently enjoining them from violating Section 17(a)(2) and (3) of the Securities Act of 1933. The settlement is subject to court approval.

According to the SEC’s order instituting a settled administrative proceeding against Credit Suisse, the firm and its affiliated entities misled investors in 75 different RMBS transactions through the bulk settlement practice. From 2005 to 2010, Credit Suisse frequently negotiated bulk settlements with loan originators in lieu of a buy-back of loans that were owned by the RMBS trusts. Credit Suisse kept the bulk settlement proceeds for itself and failed to disclose the practice to investors who owned the loans. In nine of the 75 RMBS trusts, Credit Suisse failed to comply with offering document provisions that required it to repurchase certain early defaulting loans. Credit Suisse also applied different quality review procedures for loans that it sought to put back to originators, instituted a practice of not repurchasing such loans from trusts unless the originators had agreed to repurchase them, and failed to disclose the bulk settlement practice when answering investor questions about early payment defaults.

The SEC’s order also found that Credit Suisse made misleading statements about a key investor protection known as the First Payment Default (FPD) provision in two RMBS offerings. The FPD provision required the mortgage loan originator to repurchase or substitute loans that missed payments shortly before or after they were securitized. Credit Suisse misled investors by falsely claiming that “all First Payment Default Risk” was removed from its RMBS, and at the same time limiting the number of FPD loans that were put back to the originator.

Credit Suisse settled the SEC’s charges by consenting to pay $68,747,769 in disgorgement and prejudgment interest and a $33 million penalty, which the SEC will seek to distribute through a Fair Fund to harmed investors in the 75 RMBS transactions affected by the bulk settlement practice. Credit Suisse agreed to pay $12,256,651 in disgorgement and prejudgment interest and a $6 million penalty, which the SEC will seek to distribute through a separate Fair Fund to harmed investors in the two transactions affected by the FPD misstatements. Credit Suisse agreed to an order, without admitting or denying the allegations, requiring them to cease and desist from violations of Section 17(a)(2) and (3) of the Securities Act and Section 15(d) of the Securities Exchange Act of 1934.

These investigations were conducted by members of the SEC Enforcement Division’s Structured and New Products Unit in both the Denver and Washington, D.C. offices, including Zachary Carlyle, Mark Cave, Sarra Cho, Allison Herren Lee, Laura Metcalfe, Colin Rand, Thomas Silverstein, John Smith, Andrew Sporkin, Amy Sumner, and Jeffrey Weiss. The trial unit members assigned to this matter were Dugan Bliss, Kyle DeYoung, Jan Folena, and Christian Schultz. The Enforcement Division was assisted by Eugene Canjels and Vance Anthony in the Division of Risk, Strategy and Financial Innovation. The SEC thanks the other agencies who are members of the RMBS Working Group for their assistance and cooperation regarding these enforcement actions.

“These actions demonstrate that we intend to hold accountable those who misled investors through poor disclosures in the sale of RMBS and other financial products commonly marketed and sold during the financial crisis. Our efforts in that regard continue,” said Kenneth Lench, Chief of the SEC Enforcement Division’s Structured and New Products Unit. (Press Rel. 2012-233); (Rels. 33-9368; 34-68251; File No. 3-15098); [SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I, Civil Action No. 1:12-cv-01872 (RLW) (D.D.C. filed Nov. 16, 2012)] (LR-22533)

Commission Revokes Registration of Securities of Wonder Auto Technology, Inc. for Failure to Make Required Periodic Filings

On November 16, 2012, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Wonder Auto Technology, Inc. (“Wonder Auto”) (stock symbol WATG.PK) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings of the Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (“Order”), except as to jurisdiction, which Wonder Auto admitted, Wonder Auto consented to the entry of the Order finding that Wonder Auto failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Wonder Auto’s securities pursuant to Section 12(j) of the Exchange Act . The Order found that Wonder Auto has not filed an annual report on Form 10-K since March 15, 2010, or quarterly reports on Form 10-Q for any fiscal period subsequent to its fiscal quarter ending September 30, 2010. Based on the above, the Order revoked the registration of each class of Wonder Auto’s securities registered pursuant to Section 12 of the Exchange Act.

Brokers and dealers should be alert to the fact that Section 12(j) of the Exchange Act provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked…..

(Rel. 34-68249; File No. 3-15097)

Commission Revokes Registration of Securities of Dominion Minerals Corp. for Failure to Make Required Periodic Filings

On November 16, 2012, the Commission revoked the registration of each class of registered securities of Dominion Minerals Corp. ( DMNM) 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, DMNM 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 Dominion Minerals Corp. 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 DMNM’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against DMNM in In the Matter of Diomed Holdings, Inc., et al., Administrative Proceeding File No. 3- 15047.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .

For further information see Corrected Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Diomed Holdings, Inc., et al., Administrative Proceeding File No. 3- 15047, Exchange Act Release No. 67932 ( September 27, 2012). (Rel. 34-68250; File No. 3- 15047)

Court Enters Final Judgment By Consent Against SEC Defendant Bruce Grossman

The Securities and Exchange Commission announced that on November 13, 2012, the Honorable Paul G. Gardephe, United States District Court Judge for the Southern District of New York, entered a final judgment by consent against Defendant Bruce Grossman. The final judgment permanently enjoins Grossman from future violations of Sections 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and orders Grossman liable for disgorgement of $76,000, which liability is deemed fully satisfied by Grossman’s criminal forfeiture order in United States v. Grossman, 09-cr-136 (PGG) (SDNY). The final judgment also bars Grossman from participating in an offering of penny stock.

On September 10, 2008, the SEC filed its complaint against Bruce Grossman and Jonathan Curshen (collectively, the “Defendants”) alleging that from at least June 2008, the Defendants engaged in a fraudulent broker bribery scheme designed to manipulate the market for the common stock of Industrial Biotechnology Corp. The complaint alleges that the Defendants engaged in an undisclosed kickback arrangement with an individual who claimed to represent a group of registered representatives with trading discretion over the accounts of wealthy customers.

For further information, please see Litigation Release Number 20712 (September 11, 2008) [SEC Charges Two Stock Promoters with Market Manipulation].

The SEC acknowledges the assistance of the United States Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation in this matter. [SEC v. Bruce L. Grossman and Jonathan R. Curshen, Civil Action No. 08-cv-7893 (PGG) (SDNY)] (LR-22532)

SELF-REGULATORY ORGANIZATIONS

Approval of Proposed Rule Change

The Commission approved a proposed rule change submitted by NYSE Arca, Inc. ( SR-NYSEArca-2012-103) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending NYSE Arca, Inc. Rules 3.2 and 3.3 and NYSE Arca Equities, Inc. Rules 3.2 and 3.3 to expand the eligibility requirements for service on certain boards of directors and committees. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68233)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NYSE Arca, Inc. amending NYSE Arca Equities Rule 7.31(x) to clarify that when there is an early scheduled close, the 3:45 p.m. ET time specified in the rule is adjusted to 15 minutes before the early scheduled close (SR-NYSEARCA-2012-125) 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 November 19. (Rel. 34-68239)

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-88) to amend the schedule of fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68240)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2012-107) 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 November 19. (Rel. 34-68241)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Weekly Options Program ( SR-CBOE-2012- 110) 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 November 19. (Rel. 34-68242)

Proposed Rule Change

The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2012-07) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to enhancements that the Mortgage-Backed Securities Division intends to implement to its services and certain other clarifications and corrections to its rules. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68245)

Withdrawal of Proposed Rule Changes

The Commission issued notice of withdrawal of a proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-068) to amend the customer large trade discount. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68246)

The Commission issued notice of withdrawal of a proposed rule change (SR-ISE-2012-22), as modified by Amendment No. 1, filed by the International Securities Exchange, LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade options on the ISE Max SPY Index. Publication is expected in the Federal Register during the week of November 19. (Rel. 34-68247)

 

SECURITIES ACT REGISTRATIONS

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-8  OVERLAND STORAGE INC, 9112  SPECTRUM CENTER BOULEVARD, SAN DIEGO, CA, 
        92123, 8585715555 - 0 ($413,000.00) Equity, (File 333-184949 - Nov. 15) 
        (BR. 03C)

S-8     BIOCLINICA INC, 826 NEWTOWN-YARDLEY ROAD, NEWTOWN, PA, 18940-1721, 
        2677573000 - 0 ($2,865,000.00) Equity, (File 333-184952 - Nov. 15) 
        (BR. 09B)

S-3ASR  NATIONAL OILWELL VARCO INC, 7909 PARKWOOD CIRCLE DR, HOUSTON, TX, 
        77036, 713-375-3700 - 0 ($0.00) Non-Convertible Debt, 
        (File 333-184953 - Nov. 15) (BR. 04B)

S-3ASR  ROPER INDUSTRIES INC, 6901 PROFESSIONAL PKWY EAST, SUITE 200, SARASOTA, 
        FL, 34240, 9415562601 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-184954 - Nov. 15) (BR. 10B)

S-8     Cellcom Israel Ltd., 10 HAGAVISH STREET, NETANYA, L3, 42140, 
        972-52-999-0052 - 3,400,000 ($37,896,410.00) Equity, (File 333-184955 - 
        Nov. 15) (BR. 11A)

S-8     Fortress International Group, Inc., 7226 LEE DEFOREST DRIVE,, 
        SUITE 203, COLUMBIA, MD, 21046, (410) 312-9988 - 
        350,000 ($168,000.00) Equity, (File 333-184956 - Nov. 15) (BR. 08C)

S-3     HARVEST NATURAL RESOURCES, INC., 1177 ENCLAVE PARKWAY, STE 300, 
        HOUSTON, TX, 77077, 281-899-5700 - 686,761 ($5,899,276.99) Equity, 
        686,761 ($300,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-184957 - Nov. 15) (BR. 04B)

S-8     TETRA TECH INC, 3475 EAST FOOTHILL BOULEVARD, PASADENA, CA, 91107, 
        6263514664 - 0 ($25,030,000.00) Equity, (File 333-184958 - Nov. 15) 
        (BR. 06A)

S-8     STREAMLINE HEALTH SOLUTIONS INC., 10200 ALLIANCE ROAD, SUITE 200, 
        CINCINNATI, OH, 45242, 5137947100 - 0 ($2,500,000.00) Equity, 
        (File 333-184959 - Nov. 15) (BR. 03B)

S-1     LIBERTY SILVER CORP, 181 BAY STREET, SUITE 2330, TORONTO, A6, M5J 3T3, 
        888-749-4916 - 12,610,833 ($9,205,908.09) Equity, (File 333-184962 - 
        Nov. 15) (BR. 09B)

S-4     BDH Acquisition Corp., 555 NE 15TH STREET, SUITE 200, MIAMI, FL, 33132, 
        305-981-6888 - 0 ($52,625,366.57) Equity, (File 333-184963 - Nov. 15) 
        (BR. )

S-1     BOISE CASCADE, L.L.C., 1111 WEST JEFFERSON STREET, P. O. BOX 50, BOISE, 
        ID, 83728, (208) 384-6161 - 0 ($200,000,000.00) Equity, 
        (File 333-184964 - Nov. 15) (BR. )

F-10    TASEKO MINES LTD, SUITE 1500, 1040 WEST GEORGIA STREET, VANCOUVER, A1, 
        V6E 4H1, 604-684-6365 - 341,020,180 ($341,020,180.00) Equity, 
        (File 333-184965 - Nov. 15) (BR. 09A)

S-8     Pendrell Corp, 2300 CARILLON POINT, KIRKLAND, WA, 98033, 
        (425) 278-7100 - 0 ($43,436,226.00) Equity, (File 333-184966 - Nov. 15) 
        (BR. 03C)

S-3ASR  WELLS FARGO & COMPANY/MN, 420 MONTGOMERY STREET, SAN FRANCISCO, CA, 
        94163, 6126671234 - 9,000,000 ($290,520,000.00) Equity, 
        (File 333-184967 - Nov. 15) (BR. 12A)

S-8     Park Sterling Corp, 1043 E. MOREHEAD STREET, SUITE 201, CHARLOTTE, NC, 
        28204, 704-716-2134 - 1,148,714 ($8,995,238.87) Equity, 
        (File 333-184968 - Nov. 15) (BR. 07C)

N-2     NUVEEN CALIFORNIA SELECT QUALITY MUNICIPAL FUND INC, 333 W WACKER DR, 
        CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($17,460.00) Equity, 
        (File 333-184969 - Nov. 15) (BR. 18)

N-2     NUVEEN CALIFORNIA QUALITY INCOME MUNICIPAL FUND INC, 
        333 WEST WACKER DR, CHICAGO, IL, 60606, 3129178200 - 
        1,000 ($17,490.00) Equity, (File 333-184970 - Nov. 15) (BR. 18)

N-2     NUVEEN CALIFORNIA AMT-FREE MUNICIPAL INCOME FUND, 333 WEST WACKER DR., 
        CHICAGO, IL, 60606, 3129178146 - 1,000 ($15,930.00) Equity, 
        (File 333-184971 - Nov. 15) (BR. 18)

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

-----------------------------------------------------------------------------------------
A123 SYSTEMS, INC.                      DE       5.02                 11/15/12
ABBOTT LABORATORIES IL 2.03,9.01 11/08/12 ACCENTURE SCA 5.07 11/15/12 ACELRX PHARMACEUTICALS INC DE 8.01,9.01 11/15/12 AEROPOSTALE INC 8.01 11/13/12 AK STEEL HOLDING CORP DE 7.01,9.01 11/14/12 AKAMAI TECHNOLOGIES INC DE 7.01 11/14/12 ALASKA AIR GROUP, INC. DE 7.01,9.01 11/14/12 ALBEMARLE CORP VA 8.01,9.01 11/15/12 Allegiant Travel CO NV 7.01,9.01 11/15/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/15/12 ALLIANCE DATA SYSTEMS CORP DE 8.01 11/15/12 ALLSTATE CORP DE 7.01,9.01 11/15/12 AMC ENTERTAINMENT INC DE 8.01 11/15/12 AMEREN CORP MO 1.01,1.02,2.03,9.01 11/14/12 AMERICAN APPAREL, INC DE 1.01,9.01 11/12/12 AMERICAN CRYSTAL SUGAR CO /MN/ MN 5.07 11/15/12 American Electric Technologies Inc FL 2.02,9.01 11/12/12 AMERICAN EXPRESS CO NY 7.01 11/15/12 American Midstream Partners, LP DE 9.01 11/15/12 American Realty Capital Trust III, In MD 1.01 11/13/12 AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 11/15/12 AMERICAN TOWER CORP /MA/ DE 7.01,8.01,9.01 11/14/12 Ameris Bancorp GA 7.01,9.01 11/15/12 AMSURG CORP TN 7.01,9.01 11/15/12 ANGIOTECH PHARMACEUTICALS INC 5.02 11/14/12 Antero Resources LLC DE 8.01,9.01 11/14/12 ANTS SOFTWARE INC DE 5.02 11/13/12 ANTS SOFTWARE INC DE 5.02 11/13/12 APPLIED MATERIALS INC /DE DC 2.02,9.01 11/15/12 ARCH COAL INC DE 1.01,7.01,9.01 11/14/12 Argo Group International Holdings, Lt 8.01 11/13/12 ARUBA NETWORKS, INC. DE 2.02,9.01 11/15/12 ATWOOD OCEANICS INC TX 2.02,9.01 11/15/12 AUTODESK INC DE 2.02,9.01 11/15/12 AUTOMATIC DATA PROCESSING INC DE 5.07 11/15/12 BALLY TECHNOLOGIES, INC. NV 7.01,9.01 11/14/12 BANCFIRST CORP /OK/ OK 7.01 11/15/12 BANCORPSOUTH INC MS 7.01,9.01 11/15/12 BANK OF SOUTH CAROLINA CORP SC 8.01,9.01 11/15/12 Beneficial Mutual Bancorp Inc X1 7.01,9.01 11/15/12 BERKSHIRE HILLS BANCORP INC DE 7.01,9.01 11/14/12 BEST BUY CO INC MN 5.02,9.01 11/09/12 Big Three Restaurants, Inc. FL 1.02,2.01,2.05,5.06 11/15/12 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 11/15/12 Biota Pharmaceuticals, Inc. DE 2.01,3.02,5.01,5.02, 11/08/12 5.03,9.01 BIOTIME INC CA 8.01,9.01 11/15/12 BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 11/15/12 BLUEGREEN CORP MA 1.01,1.02,8.01,9.01 11/14/12 BOINGO WIRELESS INC DE 5.02,7.01,9.01 11/15/12 BON TON STORES INC PA 2.02,9.01 11/15/12 BORGWARNER INC DE 5.02,7.01,9.01 11/14/12 BRADY CORP WI 2.02,5.07,7.01,9.01 11/14/12 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01,9.01 11/15/12 BROWN FORMAN CORP DE 7.01,9.01 11/15/12 BSQUARE CORP /WA WA 5.02 11/13/12 BUCKLE INC NE 2.02,9.01 11/15/12 BUTLER NATIONAL CORP DE 5.07 11/15/12 CABELAS INC DE 7.01,9.01 11/15/12 CAESARS ENTERTAINMENT Corp DE 5.02,9.01 11/15/12 CAMBIUM LEARNING GROUP, INC. 2.02,9.01 11/08/12 CAMERON INTERNATIONAL CORP DE 8.01,9.01 11/15/12 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 11/14/12 Carbonite Inc DE 7.01,9.01 11/15/12 CARLISLE COMPANIES INC DE 8.01 11/15/12 CARMIKE CINEMAS INC DE 2.01,7.01,9.01 11/15/12 CARVER BANCORP INC DE 2.02 11/13/12 CASEYS GENERAL STORES INC IA 7.01 11/15/12 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 11/15/12 Cellteck Inc. NV 4.01,9.01 11/14/12 Cereplast Inc NV 1.01,9.01 11/13/12 Chaparral Energy, Inc. DE 1.01,2.03,9.01 11/15/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/14/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/14/12 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 11/15/12 ChemoCentryx, Inc. DE 2.02,9.01 11/13/12 CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 11/15/12 CHINA BAK BATTERY INC NV 8.01,9.01 11/15/12 CHINA EDUCATION ALLIANCE INC. NC 2.02,9.01 11/15/12 CITY NATIONAL CORP DE 8.01,9.01 11/15/12 CLICKER INC. NV 1.01,2.03,3.02,9.01 10/26/12 CLIFFS NATURAL RESOURCES INC. OH 8.01 11/09/12 CNO Financial Group, Inc. DE 7.01,9.01 11/15/12 COCA-COLA ENTERPRISES, INC. DE 8.01 11/15/12 COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 09/30/12 Compressco Partners, L.P. DE 7.01,9.01 11/15/12 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 11/15/12 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 11/15/12 AMEND CONOLOG CORP DE 5.02,9.01 11/13/12 CONTANGO OIL & GAS CO DE 2.02,9.01 11/15/12 Copano Energy, L.L.C. 7.01,9.01 11/14/12 COPsync, Inc. DE 5.02 11/09/12 CORCEPT THERAPEUTICS INC DE 8.01 11/09/12 CorMedix Inc. DE 1.01,9.01 11/13/12 COSI INC DE 2.02,7.01,9.01 11/15/12 Crestwood Midstream Partners LP DE 7.01 11/15/12 CROSSTEX ENERGY INC DE 7.01 11/15/12 CROSSTEX ENERGY LP DE 7.01 11/15/12 CROWN CRAFTS INC DE 7.01,9.01 11/15/12 CSG SYSTEMS INTERNATIONAL INC DE 1.01,2.03 11/09/12 CU Bancorp CA 2.02,9.01 11/14/12 CUMMINS INC IN 1.01,1.02,2.03,9.01 11/09/12 CVB FINANCIAL CORP CA 5.02,9.01 11/14/12 CYS Investments, Inc. MD 8.01 11/15/12 DAWSON GEOPHYSICAL CO TX 7.01,9.01 11/14/12 Delek US Holdings, Inc. 1.01,1.02,2.01,2.03, 11/07/12 9.01 DELL INC DE 2.02,9.01 11/15/12 DENDREON CORP DE 5.02 11/09/12 DGSE COMPANIES INC NV 8.01,9.01 11/15/12 Dignyte, Inc. NV 4.01,9.01 11/01/12 AMEND Dolby Laboratories, Inc. DE 5.02,9.01 11/12/12 DOLE FOOD CO INC DE 2.02,7.01,8.01,9.01 11/15/12 DOLLAR TREE INC VA 2.02,7.01,9.01 11/15/12 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 11/15/12 DYNEX CAPITAL INC VA 7.01,9.01 11/15/12 DYNEX CAPITAL INC VA 8.01,9.01 11/12/12 E TRADE FINANCIAL Corp DE 5.02 11/14/12 EAGLE BANCORP INC MD 7.01,9.01 11/15/12 EDISON INTERNATIONAL CA 8.01 11/15/12 EDISON MISSION ENERGY DE 8.01 11/15/12 EGAIN Corp DE 5.07 11/15/12 EGPI FIRECREEK, INC. NV 1.01,2.01,3.02,9.01 09/30/12 EGPI FIRECREEK, INC. NV 1.01,2.01,3.02,9.01 09/30/12 El Paso Pipeline Partners, L.P. DE 7.01 11/14/12 El Paso Pipeline Partners, L.P. DE 1.01,9.01 11/08/12 ELITE PHARMACEUTICALS INC /NV/ NV 8.01,9.01 11/14/12 Encom Group, Inc. 9.01 11/15/12 ENCORE CAPITAL GROUP INC DE 8.01,9.01 11/15/12 Endeavor Power Corp NV 1.01,2.01,3.02,5.01, 11/13/12 5.02,8.01,9.01 ENDO HEALTH SOLUTIONS INC. DE 7.01,9.01 11/15/12 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 11/15/12 ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 09/30/12 ENERGY XXI (BERMUDA) LTD D0 5.07 11/15/12 Enphase Energy, Inc. DE 5.02 11/12/12 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 08/15/12 ESCALADE INC IN 2.02,9.01 11/15/12 FARMERS NATIONAL BANC CORP /OH/ OH 7.01,9.01 11/15/12 FBL FINANCIAL GROUP INC IA 8.01 11/15/12 Federal Home Loan Bank of Atlanta X1 2.03 11/09/12 Federal Home Loan Bank of Boston X1 2.03 11/09/12 Federal Home Loan Bank of Chicago X1 2.03 11/13/12 Federal Home Loan Bank of Dallas 5.02,5.07 11/09/12 Federal Home Loan Bank of Dallas 2.03,9.01 11/08/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/13/12 Federal Home Loan Bank of Indianapoli X1 2.03,8.01 11/13/12 Federal Home Loan Bank of New York X1 2.03,9.01 11/09/12 Federal Home Loan Bank of New York X1 8.01,9.01 11/15/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/09/12 Federal Home Loan Bank of Pittsburgh PA 5.02,5.07,7.01,9.01 11/14/12 Federal Home Loan Bank of San Francis X1 2.03 11/09/12 Federal Home Loan Bank of Seattle 2.03 11/13/12 Federal Home Loan Bank of Seattle 5.02,5.07 11/09/12 Federal Home Loan Bank of Topeka 2.03,9.01 11/13/12 FEI CO OR 5.03,9.01 11/14/12 FEI CO OR 8.01,9.01 11/15/12 First American Financial Corp DE 1.01,9.01 11/14/12 FIRST BANCORP /PR/ PR 2.02,7.01,9.01 11/15/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 11/15/12 FIRST FINANCIAL SERVICE CORP KY 1.02,9.01 11/14/12 FIRST SECURITY GROUP INC/TN TN 2.02,9.01 11/15/12 FONAR CORP DE 2.02 09/30/12 FORWARD INDUSTRIES INC NY 5.02 11/08/12 Fox Chase Bancorp Inc 7.01,9.01 11/15/12 FREEBUTTON, INC. NV 8.01 11/09/12 FS Investment Corp II MD 1.01,9.01 11/15/12 FSP 303 East Wacker Drive Corp. 7.01,9.01 11/15/12 FSP 50 South Tenth Street Corp 7.01,9.01 11/15/12 FSP GALLERIA NORTH CORP 7.01,9.01 11/15/12 FSP PHOENIX TOWER CORP 7.01,9.01 11/15/12 Fuelstream INC DE 5.02 11/13/12 FULL HOUSE RESORTS INC DE 1.01,1.02,5.02,9.01 11/12/12 FutureFuel Corp. DE 7.01,9.01 11/15/12 GameStop Corp. DE 2.02,8.01,9.01 11/13/12 GAP INC DE 2.02,9.01 11/15/12 GASCO ENERGY INC NV 2.02,7.01,9.01 11/14/12 GENERAL CABLE CORP /DE/ DE 5.02,7.01 11/13/12 GenOn Energy, Inc. DE 5.07,7.01,9.01 11/09/12 GEORGIA POWER CO GA 8.01,9.01 11/08/12 GLOBAL AXCESS CORP NV 1.01,2.02,2.03,2.06, 11/12/12 5.02,9.01 GOLD RESOURCE CORP CO 2.02,9.01 11/15/12 GRAFTECH INTERNATIONAL LTD DE 8.01,9.01 11/15/12 GRANDPARENTS.COM, INC. DE 8.01 11/15/12 Great Wolf Resorts, Inc. DE 5.02,9.01 11/09/12 GREEN DOT CORP DE 5.02,9.01 11/15/12 GRYPHON GOLD CORP NV 7.01,9.01 11/15/12 GUIDED THERAPEUTICS INC DE 2.02,7.01,9.01 11/15/12 HARBINGER GROUP INC. DE 1.01,9.01 11/14/12 HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 11/15/12 HELICOS BIOSCIENCES CORP DE 1.03,2.04 11/15/12 HELMERICH & PAYNE INC DE 2.02,9.01 11/15/12 HollyFrontier Corp DE 5.02,7.01,9.01 11/13/12 Home Federal Bancorp, Inc. of Louisia LA 5.07 11/14/12 HOME LOAN SERVICING SOLUTIONS, LTD. E9 8.01 11/15/12 Horsehead Holding Corp 5.02,7.01,9.01 11/15/12 HORTON D R INC /DE/ DE 5.02,9.01 11/08/12 HPC POS SYSTEM, CORP. NV 4.01 11/15/12 AMEND INCYTE CORP DE 8.01 11/15/12 INGRAM MICRO INC DE 5.02,7.01,9.01 11/15/12 INNOSPEC INC. DE 8.01,9.01 11/15/12 INTERGROUP CORP DE 8.01,9.01 11/15/12 INTUIT INC DE 2.02,8.01,9.01 11/15/12 JAVA EXPRESS INC NV 5.07 11/12/12 JAVELIN MORTGAGE INVESTMENT CORP. MD 7.01,9.01 11/14/12 JDA SOFTWARE GROUP INC DE 8.01,9.01 11/15/12 JETBLUE AIRWAYS CORP DE 7.01,9.01 11/15/12 KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 11/15/12 KIMBERLY CLARK CORP DE 5.02,9.01 11/15/12 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 11/14/12 KINDER MORGAN MANAGEMENT LLC DE 7.01 11/14/12 KINDER MORGAN, INC. DE 7.01 11/14/12 KINGSTONE COMPANIES, INC. DE 2.02,9.01 11/14/12 LANTRONIX INC DE 1.01,5.02,5.03,5.07, 11/12/12 8.01,9.01 LASERLOCK TECHNOLOGIES INC NV 5.07 11/12/12 Lazard Group LLC DE 5.02 11/09/12 Lazard Ltd D0 5.02 11/09/12 LEAP WIRELESS INTERNATIONAL INC DE 5.02 11/12/12 LEGACY RESERVES LP DE 1.01,9.01 11/08/12 Liberty Global, Inc. DE 7.01 11/14/12 LIBERTY STAR URANIUM & METALS CORP. NV 1.01,1.02,9.01 11/13/12 LIN TV CORP. DE 7.01 11/15/12 Linkwell CORP FL 5.01,5.03,9.01 11/15/12 LOCKHEED MARTIN CORP MD 5.03,8.01,9.01 11/09/12 LRR Energy, L.P. DE 7.01,9.01 11/15/12 LSB INDUSTRIES INC DE 8.01,9.01 11/14/12 M&F BANCORP INC /NC/ NC 5.02 11/15/12 MABCURE INC. NV 5.02 11/14/12 MAKO Surgical Corp. DE 1.01,9.01 11/14/12 MANHATTAN BRIDGE CAPITAL, INC NY 8.01,9.01 11/13/12 MARVELL TECHNOLOGY GROUP LTD D0 2.02,8.01,9.01 11/15/12 MB FINANCIAL INC /MD 7.01 11/14/12 MCDONALDS CORP DE 5.02,9.01 11/12/12 METLIFE INC DE 8.01,9.01 11/15/12 MGP INGREDIENTS INC KS 2.02,7.01,9.01 11/08/12 AMEND MICHAELS STORES INC DE 2.02,9.01 11/15/12 MONDIAL VENTURES, INC. NV 1.01,2.01,3.02,9.01 10/30/12 AMEND MONRO MUFFLER BRAKE INC NY 1.01,1.02 11/09/12 Moody National REIT I, Inc. MD 1.01,2.01,2.03,9.01 11/13/12 MRC GLOBAL INC. DE 1.01,9.01 11/08/12 MTS SYSTEMS CORP MN 2.02,9.01 11/15/12 MULTIBAND CORP MN 2.02,9.01 11/14/12 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 2.02,7.01,9.01 11/15/12 MUTUALFIRST FINANCIAL INC MD 8.01,9.01 11/15/12 MY CATALOGS ONLINE, INC. NV 5.02 11/09/12 MY CATALOGS ONLINE, INC. NV 5.02 11/09/12 MY CATALOGS ONLINE, INC. NV 5.02 11/09/12 MY CATALOGS ONLINE, INC. NV 5.02 11/09/12 MY CATALOGS ONLINE, INC. NV 5.02 11/09/12 NASH FINCH CO DE 2.02,5.02,9.01 11/15/12 NATIONAL PENN BANCSHARES INC PA 7.01,9.01 11/15/12 NATIONAL SECURITY GROUP INC DE 7.01,9.01 11/14/12 Natural Grocers by Vitamin Cottage, I DE 2.02,9.01 11/15/12 Naugatuck Valley Financial Corp 5.02,8.01,9.01 11/13/12 NEW JERSEY RESOURCES CORP NJ 5.02,9.01 11/13/12 NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 11/13/12 NEWS CORP 8.01,9.01 11/15/12 NIKE INC OR 8.01,9.01 11/15/12 NORD RESOURCES CORP DE 7.01,9.01 11/15/12 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 10/31/12 Northfield Bancorp, Inc. X1 1.01,9.01 11/08/12 Novelis Inc. A6 1.02 11/15/12 NTS, INC. NV 2.02,9.01 11/15/12 NUTRI SYSTEM INC /DE/ DE 5.02,9.01 11/12/12 Nuveen Real Asset Income & Growth Fun MA 8.01,9.01 11/15/12 OCWEN FINANCIAL CORP FL 7.01,9.01 11/15/12 OHIO LEGACY CORP OH 2.02,9.01 11/14/12 Omega Flex, Inc. PA 8.01,9.01 11/15/12 ONEOK INC /NEW/ OK 7.01,9.01 11/12/12 ONEOK Partners LP DE 7.01,9.01 11/12/12 OVERSEAS SHIPHOLDING GROUP INC DE 1.03,2.04,3.01,5.02, 11/15/12 8.01,9.01 OxySure Systems Inc 7.01,9.01 11/15/12 PACIFIC MERCANTILE BANCORP CA 2.02,9.01 11/08/12 PACIFICHEALTH LABORATORIES INC DE 2.02 11/06/12 PALATIN TECHNOLOGIES INC DE 7.01,9.01 11/14/12 PARKERVISION INC FL 5.02 11/08/12 Patriot Coal CORP DE 7.01,9.01 11/15/12 Pernix Group, Inc. 4.01 11/13/12 PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,2.02,3.02,8.01, 11/13/12 9.01 PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 11/15/12 PERVASIVE SOFTWARE INC DE 5.07 11/12/12 PETROQUEST ENERGY INC DE 5.02,9.01 11/15/12 PG&E Corp CA 8.01 11/15/12 PGT, Inc. DE 1.01,8.01,9.01 11/15/12 PHARMACYCLICS INC DE 5.03,5.07 11/09/12 PHAZAR CORP DE 5.02 11/15/12 PIONEER POWER SOLUTIONS, INC. DE 2.02,9.01 11/14/12 PIZZA INN HOLDINGS, INC /MO/ MO 5.02,8.01,9.01 11/08/12 Point.360 CA 3.01,9.01 11/14/12 POZEN INC /NC 8.01 11/15/12 PRECISION CASTPARTS CORP OR 1.01,9.01 11/09/12 Primoris Services Corp DE 1.01,7.01,9.01 11/08/12 PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,2.03,8.01,9.01 11/14/12 PROCTER & GAMBLE Co OH 7.01 11/14/12 PROGRESS ENERGY INC NC 7.01,9.01 09/30/12 PROVIDENT FINANCIAL SERVICES INC DE 7.01,9.01 11/15/12 PVR PARTNERS, L P DE 7.01,9.01 11/15/12 PYRAMID OIL CO CA 2.02,9.01 11/14/12 Pzena Investment Management, Inc. DE 8.01,9.01 10/31/12 Raptor Pharmaceutical Corp DE 2.02,9.01 11/14/12 RDA Holding Co. 1.01,9.01 11/09/12 RECOVERY ENERGY, INC. NV 2.02,5.02,7.01,9.01 11/12/12 Regency Energy Partners LP DE 7.01,9.01 11/15/12 Resource Real Estate Opportunity REIT MD 7.01 11/15/12 RESPONSE BIOMEDICAL CORP A1 2.02,9.01 11/14/12 RLI CORP IL 8.01,9.01 11/14/12 Rockville Financial, Inc. /CT/ CT 7.01,9.01 11/15/12 ROPER INDUSTRIES INC DE 9.01 11/15/12 ROSS STORES INC DE 2.02,9.01 11/15/12 ROTECH HEALTHCARE INC DE 2.02,9.01 11/14/12 Sally Beauty Holdings, Inc. 2.02,7.01,9.01 11/15/12 SANDRIDGE ENERGY INC DE 8.01,9.01 11/15/12 AMEND SCBT FINANCIAL CORP SC 8.01,9.01 11/15/12 SEALED AIR CORP/DE DE 8.01,9.01 11/14/12 SEARS HOLDINGS CORP DE 2.02,9.01 11/15/12 SENESCO TECHNOLOGIES INC DE 2.02,9.01 11/15/12 ServisFirst Bancshares, Inc. DE 1.01,2.03,8.01,9.01 11/08/12 Shire plc 8.01,9.01 11/14/12 Shutterstock, Inc. 2.02,9.01 11/15/12 Sino Agro Food, Inc. NV 3.02 11/15/12 Sino Agro Food, Inc. NV 2.02,7.01,9.01 11/15/12 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 11/13/12 SKYWORKS SOLUTIONS, INC. DE 5.02 11/08/12 SL GREEN REALTY CORP MD 1.01,2.03,9.01 11/09/12 Snap Interactive, Inc DE 7.01,9.01 11/14/12 Solar Power, Inc. CA 7.01,9.01 11/14/12 SONO TEK CORP NY 5.02 11/08/12 SOUTHERN MICHIGAN BANCORP INC MI 7.01,9.01 11/15/12 SOUTHERN STATES SIGN Co NV 9.01 11/01/12 AMEND SOUTHERN STATES SIGN Co NV 9.01 11/01/12 AMEND SPHERIX INC DE 2.02,9.01 11/15/12 STARBUCKS CORP WA 1.01,9.01 11/14/12 STATE BANK FINANCIAL CORP GA 7.01,9.01 11/15/12 Steadfast Income REIT, Inc. MD 7.01,9.01 11/15/12 STEEL PARTNERS HOLDINGS L.P. DE 2.02,9.01 11/14/12 STEIN MART INC FL 8.01,9.01 11/15/12 SUBURBAN PROPANE PARTNERS LP DE 5.02,9.01 11/13/12 SUMMIT FINANCIAL SERVICES GROUP INC FL 5.07 11/14/12 SUN COMMUNITIES INC MD 1.01,3.03,5.03,9.01 11/09/12 SUPERTEL HOSPITALITY INC VA 2.02,9.01 11/14/12 TagLikeMe Corp. NV 4.01,9.01 11/05/12 AMEND Targa Resources Partners LP DE 1.01,7.01,9.01 11/14/12 TARGET CORP MN 2.02,9.01 11/15/12 Teavana Holdings Inc 1.01,5.07,9.01 11/14/12 Territorial Bancorp Inc. MD 8.01,9.01 11/15/12 TESORO CORP /NEW/ DE 1.01,2.01,8.01,9.01 11/15/12 TESORO LOGISTICS LP DE 1.01,2.01,3.02,5.03, 11/15/12 7.01,8.01,9.01 TG THERAPEUTICS, INC. DE 1.01,5.02,9.01 11/15/12 TheraBiogen, Inc. NV 5.02,8.01 11/14/12 Theron Resource Group WY 4.01,5.01,9.01 07/31/12 AMEND THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 11/15/12 THUNDER MOUNTAIN GOLD INC NV 1.01,2.03,3.02,8.01, 11/09/12 9.01 Thwapr, Inc. NV 3.01,5.02,8.01 11/15/12 TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 11/15/12 TOTAL SYSTEM SERVICES INC GA 8.01,9.01 11/15/12 TPC Group Inc. DE 8.01,9.01 11/15/12 TPC Group Inc. DE 8.01,9.01 11/15/12 TRANSATLANTIC PETROLEUM LTD. D0 2.02,9.01 11/14/12 TransDigm Group INC DE 2.02,9.01 11/15/12 TRANZYME INC DE 8.01,9.01 11/15/12 TRESORO MINING CORP. NV 8.01,9.01 11/14/12 TrovaGene Inc. DE 2.02,9.01 11/14/12 Trunkbow International Holdings Ltd NV 2.02,9.01 11/14/12 TRUSTCO BANK CORP N Y NY 8.01,9.01 11/15/12 TRUSTMARK CORP MS 7.01,9.01 11/15/12 TTM TECHNOLOGIES INC WA 7.01,9.01 11/15/12 UBS Commercial Mortgage Trust 2012-C1 DE 9.01 05/08/12 ULURU INC. NV 2.02,9.01 11/15/12 UMH PROPERTIES, INC. MD 7.01,9.01 11/15/12 UMPQUA HOLDINGS CORP OR 8.01,9.01 11/15/12 Unilava Corp WY 4.01,9.01 08/28/12 UNILENS VISION INC 5.07 11/15/12 UNION PACIFIC CORP UT 8.01,9.01 11/15/12 Universal Business Payment Solutions DE 8.01,9.01 11/13/12 UNIVERSAL INSURANCE HOLDINGS, INC. DE 1.01,9.01 11/15/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 11/15/12 Unseen Solar Inc DE 2.01,3.02,4.01,5.01, 11/13/12 5.02,5.03,9.01 US CONCRETE INC DE 7.01,9.01 11/15/12 US DATAWORKS INC NV 2.02,9.01 11/14/12 UWHARRIE CAPITAL CORP NC 2.02,9.01 11/14/12 V Media Corp DE 2.02,8.01,9.01 11/15/12 Vanguard Natural Resources, LLC DE 1.01,7.01,9.01 11/15/12 VARIAN MEDICAL SYSTEMS INC DE 5.02 11/09/12 VEECO INSTRUMENTS INC DE 7.01,9.01 11/15/12 VelaTel Global Communications, Inc. NV 3.02 11/07/12 Venoco, Inc. DE 5.02 11/13/12 Viacom Inc. DE 2.02,9.01 11/15/12 Viacom Inc. DE 1.01,2.03 11/09/12 WAL MART STORES INC DE 2.02,8.01,9.01 11/15/12 WARWICK VALLEY TELEPHONE CO NY 1.01,2.03,9.01 11/08/12 WATSCO INC FL 5.02 11/12/12 WELLS FARGO & COMPANY/MN DE 9.01 11/15/12 White River Capital Inc IN 1.01,8.01,9.01 11/15/12 Willbros Group, Inc.\NEW\ 2.02,9.01 11/08/12 WireCo WorldGroup Inc. 2.02 11/15/12 WisdomTree Investments, Inc. DE 1.01,9.01 11/14/12 World Moto, Inc. NV 1.01,2.01,3.02,5.01, 11/14/12 5.02,5.06,9.01 World Moto, Inc. NV 5.03,8.01,9.01 11/15/12 World Surveillance Group Inc. DE 1.01,3.02,9.01 11/13/12 XCEL ENERGY INC MN 8.01 11/15/12 XENONICS HOLDINGS, INC. NV 5.07 11/14/12 XTRA-GOLD RESOURCES CORP 7.01,9.01 11/15/12 YTB International, Inc. DE 5.02 11/07/12 ZAP CA 5.02,9.01 10/18/12 ZAP CA 5.02,9.01 10/18/12 ZAP CA 5.02 10/18/12 ZAP CA 5.02 10/18/12 Zayo Group LLC DE 9.01 08/31/12 AMEND ZYGO CORP DE 5.07 11/14/12

 

http://www.sec.gov/news/digest/2012/dig111612.htm


Modified: 11/16/2012