SEC News Digest, April 7, 2011

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Commission announcements

Commission Meetings

Closed Meeting on Thursday, April 14, 2011 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, April 14, 2011 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

In the Matter of Capital Financial Services, Inc. and Brian W. Boppre

On April 6, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 (Order), against Capital Financial Services, Inc. and Brian W. Boppre. The Division of Enforcement alleges that Capital Financial Services, Inc. (Capital Financial), a broker-dealer registered with the Commission, failed to perform reasonable due diligence on numerous private placement offerings sold by Capital Financial that turned out to be a classic Ponzi scheme and offering fraud. From at least September 2006 through January 2009, Capital Financial sold preferred stock and limited partnership interests in a series of fraudulent private placements offered by Provident Royalties, LLC (Provident). Capital Financial, through its registered principal, Brian W. Boppre (Boppre), failed to conduct due diligence on the offerings sufficient to establish reasonable basis suitability before recommending the securities to their customers. Boppre conducted no independent due diligence and relied exclusively on documents provided by Provident for all offerings prior to marketing Provident’s offering. Capital Financial received third-party due diligence reports only after Capital Financial started recommending Provident securities to their customers. Capital Financial also failed to disclose to customers that although it was receiving a 1% due diligence fee for each offering, the firm was in fact, not conducting any meaningful due diligence on its own. Finally, Capital Financial omitted to share with its customers negative information identified in the limited third-party due diligence reports it did receive.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Capital Financial and Boppre an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order directs the administrative law judge to issue an initial decision within 300 days from the date of service of the Order Instituting Proceedings. (Rels. 34-64218; IC-29624; File No. 3-14324)

In the Matter of Jeffrey A. Lindsey

On April 6, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist (Order) against Jeffrey A. Lindsey. The Order finds that Jeffrey A. Lindsey (Lindsey), a registered representative with Capital Financial Services, Inc. (Capital Financial), a broker-dealer registered with the Commission, failed to perform reasonable due diligence on numerous private placement offerings sold by Capital Financial that turned out to be a classic Ponzi scheme and offering fraud. From at least September 2006 through January 2009, Capital Financial sold preferred stock and limited partnership interests in a series of fraudulent private placements offered by Provident Royalties, LLC (Provident). Lindsey failed to conduct due diligence on the offerings sufficient to establish reasonable basis suitability before recommending the securities to their customers. Lindsey conducted no independent due diligence and relied exclusively on documents provided by Provident for all offerings prior to marketing Provident’s offering.

Based on the above, the Order orders Lindsey to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and bars him from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and prohibits him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, and bars him from participating in any offering of a penny stock, for a period of two (2) years. Lindsey consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rels. 34-64219; IC-29625; File No. 3-14325)

In the Matter of Marc A. Ellis

On April 7, 2011, the Commission announced an enforcement action against Mark A. Ellis, who served as the Chief Compliance Officer of GunnAllen Financial, Inc. (GunnAllen), for violations arising from his failure as CCO to ensure that GunnAllen had adequate policies and procedures reasonably designed to protect confidential customer information. GunnAllen was a Tampa-based broker-dealer that operated approximately 190 branch offices nationwide before filing for bankruptcy in April 2010.

Rule 30(a) of Regulation S-P (the Safeguard Rule), requires every broker and dealer registered with the Commission to adopt written policies and procedures that are reasonably designed to ensure the confidentiality and the physical security of customer information. The Commission’s order instituting administrative and cease-and-desist proceedings against Ellis finds that from at least July 2005, GunnAllen lacked adequate policies and procedures reasonably designed to safeguard customer information. GunnAllen’s policies and procedures concerning customer information were contained in a provision (less than a page long) that was general and vague. The provision simply recited the Safeguard Rule, provided a few examples of safeguards that “may be adopted” by GunnAllen, but did not specify any safeguards actually adopted by the firm, and failed to instruct registered representatives how to protect customer information or set forth procedures in the event of a breach of security.

The Commission’s order also found that between July 2005 and February 2009, GunnAllen experienced several serious security breaches including the theft of three laptop computers belonging to its registered representatives and the unlawful access of its e-mail system by a terminated employee using stolen password credentials. Although Ellis, who served as GunnAllen’s CCO at the time, was responsible for the adequacy of the firm’s procedures for the protection of customer information and its compliance with Regulation S-P, he failed to revise or supplement GunnAllen’s policies and procedures for safeguarding customer information in response to the security breaches.

The Commission’s order found that Ellis willfully aided and abetted and caused GunnAllen’s violations of Rule 30(a) of Regulation S-P under the Securities Exchange Act of 1934. Without admitting or denying the SEC’s finding, Ellis consented to the entry of a Comission order that censuring him and requiring him to cease and desist from committing or causing any violations or future violations of the provisions charged. Ellis has also been ordered to pay a $15,000 civil penalty. (Rel. 34-64220; File No. 3-14328)

In the Matters of Frederick O. Kraus and David C. Levine

On April 2, 2011, the Commission announced enforcement actions against Frederick O. Kraus and David C. Levine, the former President and former National Sales Manager of GunnAllen Financial, Inc. (GunnAllen), for violations arising from their transfer of confidential customer information for 16,000 customers to another broker-dealer without providing sufficient notice and opt out procedures under Regulation S-P, and placing the customer information at risk of unauthorized access and misuse. GunnAllen was a Tampa-based broker-dealer that operated approximately 190 branch offices nationwide before filing for bankruptcy in April 2010.

Rule 30(a) of Regulation S-P requires every broker and dealer registered with the Commission to adopt written policies and procedures that are reasonably designed to ensure the confidentiality and the physical security of customer information. Rule 10(a)(1) of Regulation S-P prohibits broker-dealers from disclosing nonpublic personal information they collect from customers to nonaffiliated third parties unless they notify their customers of their right to opt out of the disclosure in accordance with Rule 7(a) of Regulation S-P.

The Commission’s orders instituting administrative and cease-and-desist proceedings against Kraus and Levine find that as GunnAllen was winding down its business operations in 2010, Kraus authorized Levine to take records for more than 16,000 direct application accounts from GunnAllen to any broker-dealer with whom he became associated. On or shortly before April 23, 2010, when Levine accepted employment with a new firm, he downloaded the customer information to a portable thumb drive, including customer names and addresses, account numbers and asset values. Several weeks after resigning from GunnAllen, Levine provided the records to his new employer. The Commission’s order further found that the transfer of records did not comply with Regulation S-P because Kraus and Levine failed to provide the account holders with adequate notice of the transfer and an opportunity to opt out. The account holders received a letter only after the transfer occurred and were given insufficient information and time to effectively object to the transfer. The Commission’s order further found that Kraus and Levine also placed the customer information contained in the records at risk of unauthorized access and misuse because GunnAllen did not have policies or procedures in place to safeguard information that its registered representatives might transfer to other firms.

The Commission’s orders found that Kraus and Levine willfully aided and abetted and caused GunnAllen’s violations of Rules 7(a), 10(a) and 30(a) of Regulation S-P under the Securities Exchange Act of 1934. Without admitting or denying the Commission’s finding, Kraus and Levine consented to the entry of a Commission order that censures them and requires them to cease and desist from committing or causing any violations or future violations of the provisions charged. Kraus and Levine have also each been ordered pay a $20,000 civil penalty. (Kraus - 34-64221; File No. 3-14326 and Levine - 34-64222; File No. 3-14327)

In the Matter of Delta Global Advisors, Inc. and Charles P. Hanlon

On April 7, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing (Order) against Delta Global Advisors, Inc. (Delta) and Charles P. Hanlon (Hanlon).

In the Order, the Division of Enforcement alleges that Delta’s Form ADV filings with the Commission from September 2006 to March 2008 claimed that the firm was eligible for registration with the Commission because it advised a registered investment company. Delta had entered into several consulting agreements with the sponsor of unit investment trusts (UITs) that were registered under the Investment Company Act of 1940. The Division of Enforcement alleges that, contrary to what it represented in its Form ADV filings, Delta was not acting as an investment adviser to the UITs and was not eligible for Commission registration on that basis.

The Division of Enforcement further alleges that from March 2007 to July 2008, Delta’s Form ADV filings improperly included the UITs’ assets as Delta’s advisory assets under management, which vastly overstated the firm’s size. In four filings, Delta claimed to manage between $656 million and $1.49 billion, when in reality Delta’s assets under management dropped as low as $9 million during this period. For nearly every period reflected in Delta’s Form ADV filings, Delta did not have $25 million or more in advisory assets under management and therefore was not eligible for Commission registration. Delta similarly misrepresented its assets under management by posting on its website a number of articles indicating that Delta managed assets of $1 billion or more.

According to the Commission’s Order, Delta’s financial condition was seriously impaired in 2009 and 2010 because the firm had minimal liquid assets, overdue bills, and an unsatisfied court judgment in a breach of fiduciary duty lawsuit filed by one of Delta’s clients that ordered Delta and Hanlon to pay $353,706 in damages. Delta and Hanlon did not disclose Delta’s precarious financial condition to clients as required, nor did they disclose the court judgment or the fact that FINRA had suspended Hanlon from acting in any registered capacity for failing to comply with an arbitration award.

As alleged in the Order, Delta willfully violated Sections 203A, 206(1), 206(2), 206(4), and 207 of the Investment Advisers Act of 1940 (Advisers Act) and Rules 206(4)-1(a)(5) and 206(4)-4(a)(1) and (2) thereunder; and Hanlon willfully violated Sections 206(1), 206(2), and 207 of the Advisers Act and aided, abetted and caused Delta’s violations of Sections 203A and 206(4) of the Advisers Act and Rules 206(4)-1(a)(5) and 206(4)-4(a)(1) and (2) thereunder.

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to afford the Respondents an opportunity to establish defenses to the allegations, and to determine whether remedial action is appropriate and in the public interest.

The Order requires the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rels. 34-64241; IA-3185; IC-29626; File No. 3-14329)

SEC Obtains Final Judgments Against Hedgelender LLC, Daniel W. Stafford, and Fred R. Wahler, Jr. for Their Roles in a Fraudulent Stock-Based Loan Scheme

The Securities and Exchange Commission announced today that on March 31, 2011, the Honorable Edmund A. Sargus, Jr. of the United States District Court for the Southern District of Ohio entered final judgments against HedgeLender LLC (HedgeLender), Daniel W. Stafford (Stafford), and Fred R. Wahler, Jr. (Wahler) in connection with their roles in a fraudulent stock-based loan scheme run by Michael and Melissa Spillan (Spillans) through One Equity Corporation and other companies (One Equity). The final judgment permanently enjoins HedgeLender, Stafford, and Wahler from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. Pursuant to the final judgments, Judge Sargus ordered HedgeLender to disgorge $1,719,567 with prejudgment interest of $347,741, for a total of $2,067,308; Stafford to disgorge $356,085 with prejudgment interest of $76,332, for a total of $432,417; and Wahler to disgorge $298,065 with prejudgment interest of $60,081, for a total of $358,146. Judge Sargus also imposed a third tier civil penalty of $1,065,417 against HedgeLender and second tier civil penalties of $50,000 each against Stafford and Wahler.

On September 30, 2009, the Commission filed a complaint against HedgeLender, a stock-based loan broker located in Philadelphia, and its two principals, Stafford and Wahler, alleging that they made material misrepresentations to clients in connection with a fraudulent scheme operated by the Spillans through One Equity. Specifically, the complaint alleged that from February 2006 through at least November 2007, HedgeLender—through its website and affiliates—marketed One Equity’s stock-based loan program and referred clients to One Equity in exchange for commissions on successful transactions. One Equity was not, however, a legitimate lender. Rather, the Spillans, through One Equity, induced borrowers to transfer ownership of publicly traded stock to them as collateral for purported non-recourse loans based on a false promise to return the shares upon repayment. In fact, the Spillans generally liquidated the shares before funding the loans and failed to maintain adequate cash reserves necessary to repurchase and return the shares to borrowers. The Spillans used the money to pay expenses, including over $1 million in salaries and benefits to themselves.

According to the complaint, HedgeLender, Stafford, and Wahler misrepresented to potential clients that it had certified One Equity’s stock-based loan programs, vetted the professional reputations of those who administered the programs, and ensured the security of borrowers’ shares. In reality, Stafford, a resident of Gaithersburg, Maryland, and Wahler, a resident of Philadelphia, conducted minimal due diligence and failed to investigate “red flags” that cast doubt on One Equity’s ability to administer and fund its stock-based loans. Adequate due diligence would have revealed that One Equity had no funding source and that the Spillans had never run a legitimate stock-based lending enterprise. The complaint further alleges that from February 2006 through at least November 2007, HedgeLender referred approximately 54 borrowers to One Equity and received approximately $1.7 million in commission payments. [SEC v. HedgeLender LLC, et al., Case No. 2:09-CV-859 (S.D. Ohio)] (LR-21918)

Court Fines Promoter Jason Jadidian $50,000 for Tecton Stock Manipulation Scheme

The Securities and Exchange Commission today announced that on March 31, 2011, the Honorable Paul G. Gardephe of the United States District Court for the Southern District of New York granted in part the Commission’s motion for summary judgment against defendant Jason Jadidian, and issued a final judgment finding Jadidian liable for violations of Sections 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The court imposed a $50,000 civil penalty against Jadidian, a resident of Cliffside Park, New Jersey.

The Commission’s complaint, filed on September 18, 2008, alleged that Jadidian, a stock promoter, engaged in a fraudulent broker-bribery scheme designed to manipulate the market for the common stock of Tecton Corporation. The complaint charged Jadidian with violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.

After considering the undisputed facts, the court found a clear record of Jadidian’s violations of the anti-fraud provisions of the federal securities laws and imposed a $50,000 civil penalty. The court declined to impose injunctive relief or issue a penny stock bar. [SEC v. Jason Jadidian, Civil Action No. 08 Civ. 8079 (PGG) (S.D.N.Y.)] (LR-21919)

SEC Files Settled FCPA Case Against Comverse Technology

The Securities and Exchange Commission today filed a settled enforcement action against Comverse Technology, Inc., alleging violations of the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA). Comverse’s proposed settlement offer has been submitted to the Court for its consideration. Comverse has offered to pay approximately $1.6 million as part of its settlement with the SEC. Without admitting or denying the Commission’s allegations, Comverse has consented to a conduct-based injunction that prohibits Comverse from having books and records that do not accurately reflect, or from having internal controls that do not prevent or detect, any illegal payments made to obtain or retain business. In addition, Comverse consented to pay $1,249,614 in disgorgement and $358,887 in prejudgment interest. In a related action, Comverse will pay a $1.2 million criminal fine to the U.S. Department of Justice.

The SEC acknowledges the assistance of DOJ in its investigation. [SEC v. Comverse Technology, Inc., Case No. 11-CV-1704-LDW (E.D.N.Y.)] (LR-21920)

Investment company act releases

Russell Investment Company, et al.

A notice has been issued giving interested persons until May 2, 2011 to request a hearing on an application filed by Russell Investment Company, et al., for an order under Section 6(c) of the Investment Company Act for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29623 – April 6)

Self-regulatory organizations

Approval of Proposed Rule Changes

The Commission approved a proposed rule change (SR-DTC-2010-15) filed by The Depository Trust Company under Section 19(b)(1) of the Exchange Act. The approved rule change will amend DTC’s rules relating to its FAST program to eliminate the requirement for certain transfer agents to custody a balance certificate. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64191)

The Commission approved a proposed rule change (SR-NSCC-2010-15) under Section 19(b)(1) of the Exchange Act by The National Securities Clearing Corporation. The rule change will allow NSCC to add a new automated service to process transfers, replacements, and exchanges of insurance and retirement products through NSCC’s Insurance and Retirement Processing Service. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64196)

Immediate Effectiveness of Proposed Rule Changes

A International Securities Exchange proposed rule change to amend ISE Rule 2102 to extend the pilot program (SR-ISE-2011-17) has become effective. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64193)

A Chicago Board Options Exchange proposed rule change related to the extension of the CBSX individual stock trading pause pilot program (SR-CBOE-2011-031) has become effective. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64194)

A proposed rule change filed by NYSE Amex to amend the Exchange price list (SR-NYSEAmex-2011-21) 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 April 11, 2011. (Rel. 34-64195)

A proposed rule change (SR-CBOE-2011-034) filed by the Chicago Board Options Exchange relating to extension of waiver of transaction fee for public customer orders in SPY options executed in open outcry or in the Automated Improvement Mechanismhas 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 April 11, 2011. (Rel. 34-64197)

A proposed rule change filed by NASDAQ OMX BX (SR-BX-2011-020) to amend the Fee Schedule of the Boston Options Exchange Facility 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 April 11, 2011. (Rel. 34-64198)

A proposed rule change filed by the Chicago Board Options Exchange to amend CBSX maker and taker transaction fees and rebates for transactions in securities priced $1 or greater (SR-CBOE-2011-035) 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 April 11, 2011. (Rel. 34-64199)

A proposed rule change filed by Chicago Board Options Exchange (SR-CBOE-2011-036) to amend CBSX Rule 52.6 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 April 11, 2011. (Rel. 34-64200)

A Chicago Stock Exchange proposed rule change to extend the pilot program relating to individual securities circuit breakers (SR-CHX-2011-05) has become effective. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64203)

A EDGA Exchange proposed rule change to amend EDGA Rule 11.14 to extend the operation of the single stock circuit breaker pilot program (SR-EDGA-2011-11) has become effective. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64204)

A EDGX Exchange proposed rule change to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker pilot program (SR-EDGX-2011-10) has become effective. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64205)

A NYSE Amex proposed rule change, amending NYSE Amex Equities Rule 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to extend the effective date of the pilot until the earlier of August 11, 2011 or the date on which a limit up/limit down mechanism to address extraordinary market volatility, if adopted, applies (SR-NYSEAmex-2011-23) has become effective. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64206)

A BATS Exchange proposed rule change to extend the pilot program related to trading pauses due to extraordinary market volatility (SR-BATS-2011-011) has become effective. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64207)

A proposed rule change filed by National Stock Exchange (SR-NSX-2011-02) to amend the NSX Fee and Rebate Schedule and NSX Rule 16.4 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 April 11, 2011. (Rel. 34-64208)

A NYSE Arca proposed rule change, amending NYSE Arca Equities Rule 7.11, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to extend the effective date of the pilot until the earlier of August 11, 2011 or the date on which a limit up/limit down mechanism to address extraordinary market volatility, if adopted, applies (SR-NYSEArca-2011-14) has become effective. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64209)

A proposed rule change (SR-NASDAQ-2011-046) filed by The NASDAQ Stock Market relating to rebates and fees in penny pilot and non-penny pilot options 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 April 11, 2011. (Rel. 34-64210)

A proposed rule change filed by BATS Exchange (SR-BATS-2011-012) related to fees for use of BATS Exchange, Inc. 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 April 11, 2011. (Rel. 34-64211)

A proposed rule change filed by the Chicago Board Options Exchange (SR-CBOE-2011-033) relating to CBOE’s marketing fee program 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 April 11, 2011. (Rel. 34-64212)

A proposed rule change filed by National Stock Exchange to amend its rules to extend a pilot program regarding trading pauses in individual securities due to extraordinary market volatility (SR-NSX-2011-04) 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 April 11, 2011. (Rel. 34-64213)

A proposed rule change filed by the NASDAQ Stock Market (SR-NASDAQ-2011-045) to amend NASDAQ Rule 3011 to reflect changes to a corresponding Financial Industry Regulatory Authority, Inc. rule 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 April 11, 2011. (Rel. 34-64215)

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-1     China Growth Equity Investment Ltd, 
        A12 JIANGUOMENWAI AVE NCI TOWER STE 1100, CHAOYANG DISTRICT, BEIJING, 
        F4, 100022, 86-10-6569-3988 - 0 ($69,000,000.00) Equity, 
        (File 333-173323 - Apr. 6) (BR. 02)

S-1     Artisan Partners Asset Management Inc., 875 E. WISCONSIN AVENUE, 
        SUITE 800, MILWAUKEE, WI, 53202, 414-390-6100 - 
        0 ($250,000,000.00) Equity, (File 333-173324 - Apr. 6) (BR. )

S-8     Entertainment Gaming Asia Inc., UNIT 3705, 37/F, THE CENTRIUM, 
        60 WYNDHAM STREET, CENTRAL, HONG KONG, F4, 999999, 312-867-0848 - 
        0 ($3,500,000.00) Equity, (File 333-173325 - Apr. 6) (BR. 06C)

S-8     JOHNSON CONTROLS INC, 5757 N GREEN BAY AVENUE, P O BOX 591, MILWAUKEE, 
        WI, 53201, 4145241200 - 0 ($836,600,000.00) Equity, (File 333-173326 - 
        Apr. 6) (BR. 06A)

S-8     Adecoagro S.A., 13-15 Avenue de la Liberte, N/A, N4, L-1931, 
        352 2689-8213 - 6,558,009 ($71,306,784.85) Equity, (File 333-173327 - 
        Apr. 6) (BR. 09)

S-8     MINDSPEED TECHNOLOGIES, INC, 4000 MACARTHUR BOULEVARD, EAST TOWER, 
        NEWPORT BEACH, CA, 92660, 9495793000 - 0 ($24,939,285.84) Equity, 
        (File 333-173328 - Apr. 6) (BR. 10B)

S-1     FIRST FEDERAL BANCSHARES OF ARKANSAS INC, 1401 HWY 62-65 NORTH, 
        PO BOX 550, HARRISON, AR, 72602, 8707417641 - 0 ($8,724,213.00) Equity, 
        (File 333-173333 - Apr. 6) (BR. 07A)

N-2     ENERGY INCOME & GROWTH FUND, FIRST TRUST PORTFOLIOS L P, 
        120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 
        1,936,270 ($55,996,929.00) Equity, (File 333-173334 - Apr. 6) (BR. 18)

N-2     ENERGY INCOME & GROWTH FUND, FIRST TRUST PORTFOLIOS L P, 
        120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 
        3,832,382 ($94,966,377.00) Equity, (File 333-173335 - Apr. 6) (BR. 18)

S-8     Walter Energy, Inc., 4211 W. BOY SCOUT BLVD., TAMPA, FL, 33607, 
        8138714811 - 0 ($9,679,464.13) Equity, (File 333-173336 - Apr. 6) 
        (BR. 04A)

S-3     GENESIS ENERGY LP, 919 MILAM, SUITE 2100, HOUSTON, TX, 77002, 
        7138602500 - 0 ($753,978,910.62) Limited Partnership Interests, 
        (File 333-173337 - Apr. 6) (BR. 04B)

N-2     ClearBridge Energy MLP Opportunity Fund Inc., 55 WATER STREET, 
        NEW YORK, NY, 10041, 888-777-0102 - 50,000 ($1,000,000.00) Equity, 
        (File 333-173338 - Apr. 6) (BR. )

S-1     Intelsat (Luxembourg) S.A., 4 RUE ALBERT BORSCHETTE, LUXEMBOURG, N4, 
        L-1246, (352) 27 84 1600 - 0 ($1,215,570,241.00) Non-Convertible Debt, 
        (File 333-173339 - Apr. 6) (BR. 11)

S-1     Revolutions Medical CORP, 670 MARINA DRIVE, 3RD FLOOR, CHARLESTON, SC, 
        29492, 8439714848 - 10,000,000 ($4,400,000.00) Equity, 
        (File 333-173340 - Apr. 6) (BR. 10C)

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.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

3M CO                                   DE       5.02                 04/05/11

4 KIDS ENTERTAINMENT INC                NY       1.03,8.01,9.01       04/05/11

A123 SYSTEMS, INC.                      DE       1.01,7.01,8.01,9.01  03/31/11

ADCARE HEALTH SYSTEMS INC               OH       1.01,2.03,3.02,9.01  04/06/11

ADVANCED ANALOGIC TECHNOLOGIES INC      DE       5.02,9.01            03/31/11

AGENUS INC                              DE       8.01,9.01            04/06/11

ALION SCIENCE & TECHNOLOGY CORP         DE       3.02                 03/31/11

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            04/06/11

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       1.01,7.01,9.01       03/31/11

Altegris QIM Futures Fund, L.P.         DE       3.02                 04/01/11

ALTERNET SYSTEMS INC                    NV       5.02                 04/06/11

AMERICA SERVICE GROUP INC /DE           DE       8.01,9.01            04/05/11

AMERICAN DENTAL PARTNERS INC            DE       5.02,9.01            03/31/11

AMERICAN LEARNING Corp                  NY       1.01,2.01,8.01,9.01  03/31/11

American Retail Group, Inc.             NV       8.01,9.01            04/05/11

AMERICAN SAFETY INSURANCE HOLDINGS LT            7.01,9.01            04/06/11

AMSURG CORP                             TN       7.01,9.01            04/06/11

ANAREN  INC                             NY       8.01,9.01            04/06/11

Anchor Bancorp                          WA       2.06,9.01            04/05/11

ANGIODYNAMICS INC                       DE       2.02,9.01            04/05/11

ANGIOTECH PHARMACEUTICALS INC                    8.01,9.01            04/04/11

ANNALY CAPITAL MANAGEMENT INC           MD       8.01,9.01            04/06/11

APARTMENT INVESTMENT & MANAGEMENT CO    MD       7.01,9.01            04/06/11

APOLLO GROUP INC                        AZ       8.01                 03/31/11

Archipelago Learning, Inc.              DE       3.01,5.02,9.01       04/05/11

ARDEN GROUP INC                         DE       8.01                 04/05/11

ARTHROCARE CORP                         DE       1.01,2.05            04/04/11

ARTIFICIAL LIFE INC                     DE       4.01,9.01            03/30/11

Ascent Solar Technologies, Inc.         DE       2.05,5.02,9.01       03/31/11

ASHFORD HOSPITALITY TRUST INC           MD       9.01                 03/10/11    AMEND

ASIAINFO-LINKAGE, INC                   DE       5.02                 04/01/11

ASSOCIATED BANC-CORP                    WI       8.01,9.01            04/06/11

ASSURANCEAMERICA CORP                   NV       2.02,9.01            04/04/11

Aurum, Inc.                             DE       1.01,9.01            03/29/11

AVI BIOPHARMA INC                       OR       8.01,9.01            04/06/11

AXESSTEL INC                            NV       1.01,5.02,9.01       04/01/11

BALDWIN TECHNOLOGY CO INC               DE       2.05,2.06,8.01,9.01  03/31/11

BALTIA AIR LINES INC                    NY       4.02                 12/31/09

BALTIA AIR LINES INC                    NY       4.01                 12/31/10

BankFinancial CORP                               5.02,9.01            04/06/11

BED BATH & BEYOND INC                   NY       2.02,9.01            04/06/11

BigString CORP                          DE       1.01,2.01,9.01       03/31/11

BIOFIELD CORP \DE\                      DE       4.01,9.01            04/05/11

BIOLASE TECHNOLOGY INC                  DE       2.02,7.01,9.01       04/06/11

BIOLIFE SOLUTIONS INC                   DE       8.01,9.01            04/06/11

BIOTIME INC                             CA       7.01,9.01            04/05/11

BLACKBOARD INC                          DE       1.01,9.01            04/04/11

BLUE DOLPHIN ENERGY CO                  DE       2.02,9.01            04/05/11

Blue Earth, Inc.                        DE       9.01                 12/30/10    AMEND

BRAINY BRANDS COMPANY, INC.             DE       5.03,9.01            04/04/11

C H ROBINSON WORLDWIDE INC              DE       8.01                 03/30/11

CANYON COPPER CORP.                              7.01,9.01            04/04/11

CAPITAL GOLD CORP                       NV       5.07                 04/01/11

CARVER BANCORP INC                      DE       5.07,9.01            04/04/11

CENTURY ALUMINUM CO                     DE       1.01,9.01            04/05/11

CENTURYLINK, INC                        LA       2.01,5.02,8.01,9.01  04/01/11

CHEESECAKE FACTORY INC                  DE       8.01,9.01            04/06/11

CHINA GENGSHENG MINERALS, INC.          NV       1.01,9.01            04/06/11

China Green Agriculture, Inc.           NV       5.02                 03/31/11

China MediaExpress Holdings, Inc.       DE       3.01,9.01            04/01/11

China MediaExpress Holdings, Inc.       DE       9.01                 03/11/11    AMEND

China PharmaHub Corp.                            2.01,5.01,5.02,5.03, 08/13/10    AMEND
                                                 9.01
          
China Tel Group Inc                     NV       1.01,9.01            04/01/11

China Tel Group Inc                     NV       1.01,9.01            04/04/11

China XD Plastics Co Ltd                NV       2.02,9.01            03/31/11

CIBER INC                               DE       5.02,9.01            03/10/11    AMEND

Clean Energy Fuels Corp.                DE       1.01                 03/31/11

Clear Skies Solar, Inc                  DE       3.02,9.01            04/06/11

CMG HOLDINGS, INC.                      NV       3.02,5.03,9.01       03/31/11

CMS ENERGY CORP                         MI       1.01,9.01            03/31/11

CNA FINANCIAL CORP                      DE       5.02,9.01            04/04/11

CNL LIFESTYLE PROPERTIES INC            MD       1.01,2.03,9.01       03/31/11

COLE KENNETH PRODUCTIONS INC            NY       1.02                 04/06/11

COMARCO INC                             CA       5.02,5.03,7.01,9.01  04/05/11

CONSUMER PORTFOLIO SERVICES INC         CA       1.01,2.03            04/06/11

CONVERSION SERVICES INTERNATIONAL INC   DE       5.02                 03/31/11

COPsync, Inc.                           DE       3.02                 03/31/11

COSTAR GROUP INC                        DE       5.03,9.01            04/06/11

CUBIST PHARMACEUTICALS INC              DE       1.01                 04/05/11

DELTEK, INC                             DE       8.01                 03/31/11

DEPOMED INC                             CA       1.01,1.02,5.02       04/01/11

Desert Hawk Gold Corp.                           2.03                 04/04/11

DigitalPost Interactive, Inc.           NV       1.01                 01/13/11    AMEND

DISH Network CORP                       NV       8.01,9.01            04/06/11

DRI CORP                                NC       1.01,2.03,7.01,9.01  03/31/11

E TRADE FINANCIAL CORP                  DE       5.02                 04/05/11

EBIX INC                                DE       8.01,9.01            03/31/11

EFL OVERSEAS, INC.                      NV       1.01,2.01,3.02,5.06, 03/31/11
                                                 9.01
          
EFT BIOTECH HOLDINGS INC                NV       5.02                 03/31/11

ELANDIA INTERNATIONAL INC.              DE       1.01,2.01,9.01       03/31/11

ELITE PHARMACEUTICALS INC /DE/          DE       3.02,8.01,9.01       03/31/11

Encore Energy Partners LP               DE       4.01                 04/06/11    AMEND

EnergyConnect Group Inc                 OR       2.02,9.01            04/01/11

Enertopia Corp.                         NV       1.01,7.01,9.01       04/06/11

Environmental Infrastructure Holdings   DE       3.02,9.01            04/05/11

EPICOR SOFTWARE CORP                    DE       1.01,8.01,9.01       04/04/11

EXACTECH INC                            FL       1.01,5.02,9.01       03/31/11

Exmovere Holdings, Inc.                 NV       5.02,9.01            03/31/11

EZENIA INC                              DE       5.02                 04/01/11

FARMER BROTHERS CO                      CA       1.01,1.02,5.02,8.01, 03/31/11
                                                 9.01
          
FBC Holding, Inc.                                1.01,3.02,3.03,5.03, 03/31/11
                                                 9.01
          
Fifth Season International, Inc.        DE       2.01,3.02,5.01,5.02, 04/06/11
                                                 5.06,9.01
     
FIRST CHINA PHARMACEUTICAL GROUP, INC   NV       1.01,3.02,9.01       03/31/11

FIRST NIAGARA FINANCIAL GROUP INC       DE       8.01,9.01            04/06/11

FLEXIBLE SOLUTIONS INTERNATIONAL INC    NV       2.02                 04/01/11

FOOTSTAR INC                            DE       1.01,2.01,2.03,8.01, 04/05/11
                                                 9.01
          
Forex International Trading Corp.       NV       2.02,7.01,9.01       04/05/11

Fortress Investment Group LLC           DE       7.01                 04/06/11

Freescale Semiconductor Holdings I, L   D0       2.05,2.06,8.01,9.01  04/05/11

FUELCELL ENERGY INC                     DE       1.01,3.03,9.01       03/31/11

FutureFuel Corp.                        DE       5.02,8.01,9.01       04/05/11

FX ENERGY INC                           NV       8.01,9.01            04/06/11

GelTech Solutions, Inc.                 DE       7.01                 04/06/11

General Motors Co                                8.01                 04/01/11

General Motors Co                                1.01,9.01            03/31/11

GENEREX BIOTECHNOLOGY CORP              DE       7.01,9.01            03/30/11

GenMark Diagnostics, Inc.               DE       5.02,9.01            04/05/11

Genpact LTD                             D0       1.01,9.01            04/05/11

GEOGLOBAL RESOURCES INC.                DE       8.01,9.01            04/04/11

GETTY REALTY CORP /MD/                  MD       2.01,9.01            03/31/11

GLOBAL GSM SOLUTIONS                    NV       5.02                 04/01/11

GLOBE SPECIALTY METALS INC                       5.02                 03/31/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 04/06/11

GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       7.01                 04/06/11

GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       3.02                 04/06/11

GREAT PLAINS ENERGY INC                 MO       2.03                 04/01/11

Greatmat Technology Corp                NV       4.02                 04/01/11

Grid Petroleum Corp.                    NV       1.01,9.01            01/20/11    AMEND

HANCOCK HOLDING CO                      MS       5.07                 03/31/11

HARRIS CORP /DE/                        DE       2.01,7.01,9.01       04/04/11

HASCO Medical, Inc.                     FL       5.02                 04/01/11

HealthMarkets, Inc.                     DE       5.02                 04/04/11

Hermes Jets, Inc.                                5.01,5.02            03/31/11

Horizon Lines, Inc.                              1.01,9.01            03/31/11

HUB GROUP INC                           DE       1.01                 03/31/11

HUDSON HOLDING CORP                     DE       8.01,9.01            04/05/11

IMAGE SENSING SYSTEMS INC               MN       5.02                 04/05/11

IMMUCOR INC                             GA       2.02,9.01            04/06/11

ImmunoCellular Therapeutics, Ltd.       DE       5.02                 03/31/11

INHIBITEX, INC.                         DE       8.01,9.01            04/06/11

INLAND REAL ESTATE CORP                 MD       8.01,9.01            04/06/11

INSITUFORM TECHNOLOGIES INC             DE       1.01,2.03,9.01       03/31/11

InspireMD, Inc.                         DE       2.01,3.02,4.01,5.01, 03/31/11
                                                 5.02,5.06,7.01,9.01
        
INTERNATIONAL SPEEDWAY CORP             FL       5.02,7.01,8.01,9.01  04/06/11

Invesco Ltd.                            D0       5.02                 04/01/11

IRVINE SENSORS CORP/DE/                 DE       1.01,2.03,3.02,3.03, 03/31/11
                                                 9.01
          
ISTA PHARMACEUTICALS INC                DE       7.01                 04/05/11

JARDEN CORP                             DE       1.01,1.02,2.03,9.01  03/31/11

KB HOME                                 DE       5.02                 04/06/11

KEATING CAPITAL INC                              7.01                 03/31/11

KELLY SERVICES INC                      DE       1.01,2.03,9.01       03/31/11

Kraton Performance Polymers, Inc.       DE       5.02,8.01,9.01       04/06/11

KULICKE & SOFFA INDUSTRIES INC          PA       1.01,1.02            04/04/11

LABARGE INC                             DE       1.01,3.03,5.02,9.01  04/03/11

LAMAR ADVERTISING CO/NEW                DE       7.01                 04/05/11

LEAGUE NOW HOLDINGS CORP                FL       8.01                 04/06/11

LECG CORP                               DE       1.01,2.01,3.02,5.02  03/31/11

LEE ENTERPRISES, INC                    DE       8.01,9.01            03/02/11

Legacy Bancorp, Inc.                             7.01,9.01            04/06/11

LHC Group, Inc                                   8.01,9.01            04/06/11

LRAD Corp                               DE       2.02,9.01            04/06/11

MARTIN MARIETTA MATERIALS INC           NC       1.01,2.03,9.01       03/31/11

Mass Hysteria Entertainment Company,    NV       1.01,3.02,9.01       03/31/11

MATERION Corp                                    1.01,9.01            03/31/11

MedQuist Holdings Inc.                  DE       5.02,8.01,9.01       03/31/11

MedQuist Holdings Inc.                  DE       2.05                 03/31/11

MEDQUIST INC                            NJ       5.02,8.01,9.01       03/31/11

MEDQUIST INC                            NJ       2.05,8.01            03/31/11

MONSANTO CO /NEW/                       DE       2.02,9.01            04/06/11

MONTPELIER RE HOLDINGS LTD                       7.01,9.01            04/06/11

Moody National REIT I, Inc.             MD       1.01,8.01,9.01       04/06/11

MORRIS PUBLISHING GROUP LLC             GA       4.02                 04/01/11

MOSAIC CO                               DE       2.02,9.01            03/31/11

MSC INDUSTRIAL DIRECT CO INC            NY       2.02,9.01            04/06/11

NATHANS FAMOUS INC                      DE       1.01,9.01            03/31/11

NAVARRE CORP /MN/                       MN       5.02,7.01,9.01       04/06/11

NAVARRE CORP /MN/                       MN       9.01                 03/31/11    AMEND

NEW CENTURY BANCORP INC                 NC       2.02,9.01            03/31/11

NGP Capital Resources Co                MD       1.01,2.03,9.01       03/31/11

Northumberland Resources, Inc.          NV       2.01                 03/31/11

NORTHWEST BIOTHERAPEUTICS INC           DE       1.01,2.03,3.02       03/30/11    AMEND

NTS MORTGAGE INCOME FUND                DE       8.01,9.01            04/05/11

NU SKIN ENTERPRISES INC                 DE       2.02,9.01            04/06/11

NUTRACEA                                CA       5.02                 04/06/11

OCEAN BIO CHEM INC                      FL       5.07                 04/06/11

OMNIVISION TECHNOLOGIES INC             DE       1.01,7.01,9.01       03/31/11

OPPENHEIMER HOLDINGS INC                A6       1.01,8.01,9.01       04/06/11

OPTIMER PHARMACEUTICALS INC                      8.01                 04/05/11

OPTIMER PHARMACEUTICALS INC                      1.01                 04/05/11

ORAMED PHARMACEUTICALS INC.             NV       1.02,2.01,8.01,9.01  04/06/11

ORCHID CELLMARK INC                              1.01,3.03,8.01,9.01  04/05/11

Oro East Mining, Inc.                   DE       4.01,9.01            04/05/11

OXIGENE INC                             DE       3.01,5.02            03/31/11

P&F INDUSTRIES INC                      DE       2.02,9.01            03/28/11    AMEND

PACER INTERNATIONAL INC                 TN       1.01                 04/01/11

PACIFIC GAS & ELECTRIC Co               CA       5.02                 04/05/11

PACIFIC MERCANTILE BANCORP              CA       2.02,9.01            04/01/11

PALM HARBOR HOMES INC /FL/              FL       5.02                 04/04/11

PATHFINDER BANCORP INC                  DE       5.02                 03/30/11

PATHFINDER BANCORP INC                  DE       5.02                 04/06/11

PediatRx Inc.                           NV       8.01,9.01            04/06/11

PENN VIRGINIA CORP                      VA       1.01,7.01,9.01       04/05/11

PEOPLESTRING CORP                       DE       8.01,9.01            04/06/11

PEP BOYS MANNY MOE & JACK               PA       2.02,9.01            04/06/11

PERFECTENERGY INTERNATIONAL LTD         NV       5.02                 04/01/11

PG&E CORP                               CA       5.02                 04/05/11

PHH CORP                                MD       8.01                 04/04/11

PHOTOMEDEX INC                          DE       2.02,9.01            04/06/11

PLURISTEM THERAPEUTICS INC              NV       8.01,9.01            04/06/11

POLYMEDIX, INC                          DE       1.01,9.01            04/06/11

POST PROPERTIES INC                     GA       1.01,5.02            04/04/11

Premier Power Renewable Energy, Inc.    DE       1.01,9.01            03/31/11

PRO PHARMACEUTICALS INC                 NV       5.02,9.01            03/31/11

PROGENICS PHARMACEUTICALS INC           DE       5.02                 04/06/11

PSM HOLDINGS INC                        NV       3.02,5.02,9.01       03/31/11

Public Storage                          MD       1.01,3.03,5.03,9.01  04/05/11

QLIK TECHNOLOGIES INC                   DE       5.02,9.01            04/01/11

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       3.02                 03/25/11

RADIO ONE, INC.                         DE       1.01,1.02,2.03,9.01  03/31/11

RAINMAKER SYSTEMS INC                   CA       5.02                 03/31/11

RAMCO GERSHENSON PROPERTIES TRUST       MD       5.03,9.01            04/05/11

RAMCO GERSHENSON PROPERTIES TRUST       MD       1.01,8.01,9.01       03/31/11

RAPTOR NETWORKS TECHNOLOGY INC                   8.01                 03/31/11

ReachLocal Inc                          DE       5.02                 04/04/11

RECOVERY ENERGY, INC.                   NV       1.01,3.02,9.01       03/31/11

REFLECT SCIENTIFIC INC                  UT       3.02                 04/04/11

Regency Energy Partners LP              DE       7.01,9.01            04/06/11

Regency Energy Partners LP              DE       7.01,9.01            04/06/11

REUNION INDUSTRIES INC                  DE       8.01                 12/31/10

REX ENERGY CORP                         DE       7.01,9.01            04/06/11

ROCKWALL HOLDINGS, INC.                 NV       4.01,9.01            01/04/11    AMEND

ROLLINS INC                             DE       8.01,9.01            04/01/11

Rosetta Resources Inc.                  DE       7.01,9.01            04/06/11

RPM ADVANTAGE, INC.                     NV       4.01                 04/06/11    AMEND

RUBY TUESDAY INC                        GA       2.02,9.01            04/06/11

SALIX PHARMACEUTICALS LTD                        1.01,8.01,9.01       03/31/11

Secure Luggage Solutions Inc.                    7.01,9.01            03/31/11

Select Notes Trust LT 2004-1            DE       8.01,9.01            04/01/11

SHENGRUI RESOURCES CO. LTD              NV       5.02,8.01            03/31/11

Shire plc                                        8.01,9.01            04/06/11

Sino Clean Energy Inc                   NV       2.02,9.01            04/04/11

SkyPeople Fruit Juice, Inc              FL       8.01,9.01            04/01/11

SMITHFIELD FOODS INC                    VA       8.01,9.01            04/06/11

SOLAR ENERTECH CORP                     DE       5.02                 04/01/11

SOUTHERN COMMUNITY FINANCIAL CORP                3.01,9.01            04/01/11

SPECTRUM CONTROL INC                    PA       5.07                 04/04/11

STANDARD MICROSYSTEMS CORP              DE       2.02,9.01            04/06/11

STARWOOD PROPERTY TRUST, INC.                    7.01                 04/06/11

Stone Harbor Investments, Inc.          NV       1.01,2.01,3.02,5.01, 03/31/11
                                                 5.02,5.06,9.01

STRUCTURED PRODUCTS CORP CORTS TR FOR   DE       8.01                 04/05/11

Summit Hotel Properties, Inc.           MD       1.01,2.03,9.01       03/31/11

SUN RIVER ENERGY, INC                   CO       1.01,9.01            04/05/11

SUNESIS PHARMACEUTICALS INC             DE       1.01,8.01,9.01       03/31/11

Sunshine Financial Inc                  MD       8.01,9.01            04/05/11

Sunstone Hotel Investors, Inc.          MD       3.03,5.03,8.01,9.01  04/01/11

SUNVALLEY SOLAR, INC.                   NV       1.01,2.03,3.02,9.01  03/31/11

SYNTHESIS ENERGY SYSTEMS INC            DE       1.01,5.02,9.01       04/01/11    AMEND

T3 Motion, Inc.                         DE       1.01,5.07,9.01       03/31/11

TAL International Group, Inc.           DE       8.01,9.01            03/31/11

TAPIMMUNE INC                           NV       4.02                 04/06/11

TEKELEC                                 CA       5.02                 03/31/11

TERADATA CORP /DE/                               1.01,2.01,2.03,8.01, 04/05/11
                                                 9.01
          
TESSERA TECHNOLOGIES INC                DE       7.01,9.01            04/06/11

TEXAS INDUSTRIES INC                    DE       7.01,9.01            04/06/11

THERAPEUTIC SOLUTIONS INTERNATIONAL,    NV       2.01,3.02,5.01,5.02, 04/06/11
                                                 5.03
          
Timberline Resources Corp               DE       7.01,9.01            04/06/11

Todays Alternative Energy Corp          NY       5.07                 04/04/11

TOFUTTI BRANDS INC                      DE       4.02                 04/01/11

Total Nutraceutical Solutions, Inc.     NV       1.01,9.01            03/15/11

TOWER BANCORP INC                       PA       5.02                 04/06/11

TRANSATLANTIC PETROLEUM LTD.            D0       1.01,2.02,3.01,9.01  04/01/11

Tree.com, Inc.                          DE       1.01,1.02,8.01,9.01  03/31/11

TRI VALLEY CORP                         DE       3.03,5.02,5.03,7.01, 04/01/11
                                                 8.01,9.01
     
TRICO MARINE SERVICES INC               DE       7.01,9.01            04/06/11

U S PHYSICAL THERAPY INC /NV            NV       5.02,9.01            03/31/11

U-Store-It Trust                        MD       5.02,9.01            04/04/11

UIL HOLDINGS CORP                       CT       7.01,9.01            04/06/11

Umami Sustainable Seafood Inc.          NV       2.03                 03/31/11

UniTek Global Services, Inc.            DE       2.02,9.01            03/31/11

URANIUM ENERGY CORP                     NV       7.01,9.01            04/06/11

US CONCRETE INC                         DE       2.02,9.01            04/06/11

VALUEVISION MEDIA INC                   MN       5.02,8.01,9.01       04/05/11

VASCO DATA SECURITY INTERNATIONAL INC   DE       8.01,9.01            04/01/11

Verecloud, Inc.                         NV       1.01,2.03,3.02,9.01  03/31/11

Verisk Analytics, Inc.                  DE       1.01,2.03,9.01       04/06/11

VHGI HOLDINGS, INC.                     DE       1.01,5.02,9.01       04/01/11

VIASPACE Inc.                                    5.02                 03/31/11

VISA INC.                               DE       8.01,9.01            03/31/11

Walter Energy, Inc.                     DE       1.01,1.02,2.01,2.03, 04/01/11
                                                 3.02,5.02,8.01,9.01
       
WARREN RESOURCES INC                    MD       7.01,9.01            04/06/11

WD 40 CO                                DE       2.02,9.01            04/06/11

Wellstar International, Inc.            NV       8.01                 04/06/11

WENDY'S/ARBY'S GROUP, INC.              DE       5.02                 04/06/11

WESTELL TECHNOLOGIES INC                DE       5.02,9.01            04/04/11

Western Iowa Energy, L.L.C.             IA       5.02                 03/31/11

Winthrop Realty Trust                   OH       1.01,8.01,9.01       04/01/11

WINTON FUTURES FUND LP (US)             CO       3.02                 04/01/11

XCEL ENERGY INC                         MN       8.01                 04/05/11

ZION OIL & GAS INC                      DE       5.02                 03/31/11

Zoro Mining Corp.                       NV       1.01,9.01            03/31/11

Zumiez Inc                              WA       7.01,9.01            04/06/11

http://www.sec.gov/news/digest/2011/dig040711.htm

SEC News Digest