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Enforcement proceedingsIn the Matter of Gregory A. SeibOn May 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Gregory A. Seib. In the Order, the Division of Enforcement alleges that on May 2, 2011, the United States District Court for the Northern District of Georgia entered a final judgment, by consent, against Seib, permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. (Securities and Exchange Commission v. Gregory Adam Seib, Civil Action Number 1:11-cv-626-RWS) The Commission’s complaint in the district court action alleged that between April 27, 2007 and July 13, 2007, Seib, while working for an unregistered investment adviser, purchased call options and shares of stock in NASDAQ-listed Cambridge Display Technology, Inc. after misappropriating confidential information about a pending merger of the company from his employer, who served as an outside director of Cambridge. The complaint further alleged that as a result of Seib’s purchases of Cambridge securities, he generated profits of $71,654.14 following the July 31, 2007 public announcement of the merger. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Seib an opportunity to respond to these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3210, File No. 3-14399) Commission Revokes Registration of Securities of Bluebook International Holding Co. (The) For Failure to Make Required Periodic FilingsOn May 23, 2011, the Commission revoked the registration of each class of registered securities of Bluebook International Holding Co. (The) (BBKH) 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, BBKH 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 Bluebook International Holding Co. (The) 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 BBKH’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against BBKH in In the Matter of Advanced Refractive Technologies, Inc., et al., Administrative Proceeding File No. 3-14363. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Advanced Refractive Technologies, Inc., et al., Administrative Proceeding File No. 3-14363, Exchange Act Release No. 64379 (May 3, 2011). (Rel. 34-64531; File No. 3-14363) In the Matter of Comedco, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations as to Five Respondents (Default Order) in Comedco, Inc., Admin. Proc. No. 3-14365. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of CoMedco, Inc., Communications/USA, Inc., Complete Wellness Centers, Inc., Consolidated Stainless, Inc., and Conus Holdings, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. On May 12, 2011, the Division of Enforcement filed a motion with the Commission to dismiss Respondent Consolidated Resources Group, Inc. from this proceeding, stating that its registration under Section 12(g) was previously revoked on Sept. 16, 2009. (Rel. 34-64532; File No. 3-14365) In the Matter of Secured Digital Applications, Inc.On May 23, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default and Setting Prehearing Conference (Default Order) in Secured Digital Applications, Inc., Admin. Proc. No. 3-14319. The Default Order revoked the registration of each class of registered securities of Secured Digital Applications, Inc., Senco Sensors Inc., Serefex Corp., Sonoma College, Inc., and Source Petroleum Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934, and set a telephonic prehearing conference on July 5, 2011, at which Sentex Sensing Technology, Inc., if it has not made the required periodic filings noted in the Order Instituting Proceedings, must show cause why the registration of its securities should not be revoked. (Rel. 34-64533; File No. 3-14319) In the Matter of John ScullinOn May 23, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions against John Scullin. The Order finds that on May 11, 2011, the Commission filed an injunctive fraud action against Scullin in SEC v. Michael Baker Corporation, et al. (Civil Action No. 11-cv-1791). On May 17, 2011, the court entered a final judgment permanently enjoining Scullin, by consent, from future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 13b2-1 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1, and 13a-13. The Order also finds that in its complaint, the Commission alleged that for the 2006 annual reporting period and the first three quarters of 2007, Scullin, who misrepresented himself as CPA to Michael Baker Corporation’s management, willfully engaged in improper accounting practices and aided and abetted Michael Baker’s fraudulent accounting practices, which resulted in Michael Baker overstating its revenue and net income. As a direct result of Scullin’s actions, the Company overstated its consolidated net income by $1.5 million or 15% for 2006 and overstated its consolidated net income by $1.5 million or 94%, $2.4 million or 39%, and $1.9 million or 42%, for the first, second and third quarters of 2007, respectively. The overstatements of revenue and net income were primarily the result of Scullin’s improper accounting practices, which he knew or should have known were improper. Scullin, without admitting or denying any of the findings in the Order except as to the jurisdiction of the Commission over him, which he admitted, consented to the entry of the Order which suspends him from appearing or practicing before the Commission as an accountant. (Rel. 34-64535; AAE Rel. 3285; File No. 3-14400) SEC Obtains Emergency Asset Freeze to Halt Fraudulent Scheme by Investment Adviser Christopher T. Vulliez and His Firm, Amphor Advisors, LLCThe Securities and Exchange Commission announced today that on Friday it charged Christopher T. Vulliez, age 38 and resident of New York, New York, and his company, Amphor Advisors, LLC. with securities fraud and obtained an emergency court order to freeze his assets and halt a fraudulent investment scheme. The Commission's complaint, filed in the Southern District of New York, alleges that, between March 2010 and January 2011, Vulliez and Amphor misappropriated at least $700,000 from his closest family and friends. According to the complaint, Vulliez made false and misleading statements to his clients that he would invest their funds in a biotech company. Instead, he and Amphor misappropriated the funds. The complaint alleges that Vulliez solicited family members and friends to invest in the biotech company through an investment vehicle managed by Amphor and that he claimed that he was making substantial personal investments alongside his investors. The complaint charges that Vulliez never invested the money that his friends and family members entrusted to him and did not make the personal investments alongside them as represented. Instead of investing his clients’ funds as he promised, Vulliez diverted them to other purposes. The Complaint charges Vulliez and Amphor with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Judge Richard M. Berman of the United States District Court for the Southern District of New York issued a temporary restraining order, which prohibits Vulliez and Amphor from committing further violations of the federal securities laws and places a freeze on their assets. In its enforcement action, the Commission is seeking additional relief, including orders enjoining Vulliez and Amphor, preliminarily and permanently, from committing future violations of the foregoing federal securities laws, and a final judgment ordering Vulliez and Amphor to disgorge their ill-gotten gains plus prejudgment interest, and assessing civil penalties against them. [SEC v. Christopher T. Vulliez, et al., Civil Action No. 11-cv-3458 (RMB) (S.D.N.Y.)] (LR-21975) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-NYSEAmex-2011-30) filed by NYSE Amex amending its Fee Schedule with respect to electronic complex order executions 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 May 23. (Rel. 34-64524) The Commission issued notice of filing and immediate effectiveness of proposed rule change (SR-NYSEArca-2011-30) filed by NYSE Arca under Rule 19b-4 of the Securities Exchange Act of 1934 amending its rules to remove the concept of an “Odd Lot Dealer.” Publication is expected in the Federal Register during the week of May 23. (Rel. 34-64525) A proposed rule change filed by NASDAQ OMX BX extending the pilot period for BOX to receive inbound routes of orders from NOS (SR-BX-2011-027) 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 May 23. (Rel. 34-64530) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 INOVIO PHARMACEUTICALS, INC., 11494 SORRENTO VALLEY ROAD, SAN DIEGO,
CA, 92121-1318, 858 597-6006 - 0 ($1,777,862.00) Equity,
(File 333-174353 - May. 20) (BR. 10B)
S-4 LEVEL 3 COMMUNICATIONS INC, 1025 ELDORADO BOULEVARD, BLDG 2000,
BROOMFIELD, CO, 80021, 7208881000 - 0 ($1,939,604,119.00) Equity,
(File 333-174354 - May. 20) (BR. 11C)
S-8 TELIK INC, 3165 PORTER DRIVE, PALO ALTO, CA, 94304, 6508457700 -
3,500,000 ($2,467,500.00) Equity, (File 333-174355 - May. 20) (BR. 01C)
S-8 CIT GROUP INC, 1 CIT DRIVE, LIVINGSTON, NJ, 07039, 9737405000 -
2,000,000 ($85,400,000.00) Equity, (File 333-174356 - May. 20) (BR. 07A)
S-1 TRI VALLEY CORP, 4550 CALIFORNIA AVE, SUITE 600, BAKERSFIELD, CA,
93309, 6618640500 - 10,070,000 ($6,243,400.00) Equity,
(File 333-174358 - May. 20) (BR. 04B)
S-3 ROTECH HEALTHCARE INC, 407-822-4600 -
0 ($6,500,000.00) Non-Convertible Debt, (File 333-174359 - May. 20)
(BR. 09A)
S-4 ROTECH HEALTHCARE INC, 407-822-4600 -
0 ($283,500,000.00) Non-Convertible Debt, (File 333-174360 - May. 20)
(BR. 09A)
S-8 CIMAREX ENERGY CO, 1700 LINCOLN STREET, SUITE 1800, DENVER, CO,
80203-4518, 303-295-3995 - 0 ($521,826,000.00) Equity,
(File 333-174361 - May. 20) (BR. 04C)
S-B CORPORACION ANDINA DE FOMENTO, TORRE CENTRAL,
AVENIDA LUIS ROCHE ALTAMIRA, CARACAS VENEZUELA, X5, 999999999,
0 ($600,000,000.00) Debt, (File 333-174368 - May. 20) (BR. DN)
S-8 EBIX INC, FIVE CONCOURSE PARKWAY, SUITE 3200, ATLANTA, 2Q, 30328,
678-281-2020 - 0 ($100,050,000.00) Equity, (File 333-174369 - May. 20)
(BR. 03A)
S-8 CAPITAL CITY BANK GROUP INC, 217 N MONROE ST, TALLAHASSEE, FL, 32301,
8506710300 - 1,618,750 ($17,158,750.00) Equity, (File 333-174372 -
May. 20) (BR. 07C)
S-8 CORELOGIC, INC., 4 FIRST AMERICAN WAY, SANTA ANA, CA, 92707,
714-250-6400 - 506,736 ($9,291,004.56) Equity, (File 333-174373 -
May. 20) (BR. 03A)
S-8 QUANTA SERVICES INC, 1360 POST OAK BLVD, SUITE 2100, HOUSTON, TX,
77056, 7133506000 - 0 ($231,122,500.00) Equity, (File 333-174374 -
May. 20) (BR. 06B)
S-8 AGL RESOURCES INC, TEN PEACHTREE PLACE, ATLANTA, GA, 30309,
4045844000 - 0 ($8,100,000.00) Equity, (File 333-174375 - May. 20)
(BR. 02A)
S-8 GOLDCORP INC, SUITE 1560, 200 BURRARD STREET, VANCOUVER, A1, V6C 3L6,
604-696-3000 - 14,000,000 ($674,520,000.00) Equity, (File 333-174376 -
May. 20) (BR. 04A)
S-8 NORTHERN TRUST CORP, 50 S LASALLE ST, CHICAGO, IL, 60603, 3126306000 -
0 ($100,000,000.00) Equity, (File 333-174384 - May. 20) (BR. 07C)
S-8 Zevotek, Inc, 8721 SUNSET BLVD, PENTHOUSE 7, HOLLYWOOD, CA, 90069,
(973) 667-4026 - 150,000,000 ($105,000.00) Equity, (File 333-174386 -
May. 20) (BR. 02B)
S-8 KENEXA CORP, 650 EAST SWEDESFORD ROAD, 2ND FLOOR, WAYNE, PA, 19087,
6109719171 - 1,900,000 ($52,164,500.00) Equity, (File 333-174387 -
May. 20) (BR. 03C)
S-1 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC, 335 CONNIE CRESCENT, CONCORD,
A6, L4K 5R2, 905-695-4142 - 42,440,907 ($5,092,908.84) Equity,
(File 333-174388 - May. 20) (BR. 05A)
S-8 HEWLETT PACKARD CO, 3000 HANOVER ST, MS 1050, PALO ALTO, CA, 94304,
6508571501 - 557,431 ($2,424,825.00) Equity, (File 333-174389 -
May. 20) (BR. 03C)
S-4 American Reprographics CO, 535 N. BRAND BLVD, SUITE 900, GLENDALE, CA,
91203, 818-500-0225 X 63 - 0 ($200,000,000.00) Non-Convertible Debt,
(File 333-174391 - May. 20) (BR. 11A)
S-8 APRICUS BIOSCIENCES, INC., 6330 NANCY RIDGE DRIVE,, SUITE 103,
SAN DIEGO,, CA, 92121, (858) 222-8041 -
2,500,000 ($12,850,000.00) Equity, (File 333-174392 - May. 20) (BR. 01B)
S-8 SELECT MEDICAL HOLDINGS CORP, C/O SELECT MEDICAL CORP,
4716 OLD GETTYSBURG RD, MECHANICSBURG, PA, 17055,
15,260,000 ($69,888,800.00) Equity, (File 333-174393 - May. 20)
(BR. 01C)
S-8 INVENTURE FOODS, INC., 5415 EAST HIGH STREET, SUITE 350, PHOENIX, AZ,
85054, 6239326200 - 0 ($3,312,000.00) Equity, (File 333-174394 -
May. 20) (BR. 04A)
S-8 LCA VISION INC, 7840 MONTGOMERY RD, CINCINNATI, OH, 45236, 5137929292 -
1,600,000 ($8,560,000.00) Equity, (File 333-174395 - May. 20) (BR. 01B)
S-3 GTX INC /DE/, 175 TOYOTA PLAZA, 7TH FLOOR, MEMPHIS, TN, 38103,
901-523-9700 - 0 ($100,000,000.01) Equity, (File 333-174396 - May. 20)
(BR. 01A)
S-3ASR Live Nation Entertainment, Inc., 9348 CIVIC CENTER DRIVE,
BEVERLY HILLS, CA, 90210, 310-867-7200 - 0 ($6,855,648.07) Equity,
(File 333-174397 - May. 20) (BR. 05B)
S-3 API Technologies Corp., 2200 SMITHTOWN AVENUE, RONKONKOMA, NY, 11779,
631-981-2400 - 0 ($140,158,582.10) Equity, (File 333-174398 - May. 20)
(BR. 10A)
N-2 Skybridge Diversified Hedge Fund Portfolio, LLC,
C/O SKYBRIDGE APITAL II, LLC, 527 MADISON AVENUE, 16TH FLOOR, NEW YORK,
NY, 10022, 212-485-3100 - 0 ($500,000,000.00) Equity,
(File 333-174399 - May. 20) (BR. )
S-8 BAXTER INTERNATIONAL INC, ONE BAXTER PKWY, DF2-1W, DEERFIELD, IL,
60015, 8479482000 - 0 ($2,380,400,000.00) Equity, (File 333-174400 -
May. 20) (BR. 10A)
S-8 BAXTER INTERNATIONAL INC, ONE BAXTER PKWY, DF2-1W, DEERFIELD, IL,
60015, 8479482000 - 0 ($595,100,000.00) Equity, (File 333-174401 -
May. 20) (BR. 10A)
S-3ASR PIONEER NATURAL RESOURCES CO, 200 WILLIAMS SQUARE WEST,
5205 N OCONNOR BLVD, IRVING, TX, 75039, 9724449001 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-174402 - May. 20)
(BR. 04B)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
22nd Century Group, Inc. NV 7.01 05/20/11
ACACIA RESEARCH CORP DE 5.07 05/17/11
ACCO BRANDS CORP DE 5.02,5.07,9.01 05/17/11
ACE Ltd V8 5.07 05/18/11
ACORDA THERAPEUTICS INC 8.01,9.01 05/20/11
ADVANCE AUTO PARTS INC DE 5.02,5.07 05/16/11
AETNA INC /PA/ PA 1.01,2.03,9.01 05/17/11
AETRIUM INC MN 5.07 05/18/11
ALANCO TECHNOLOGIES INC AZ 3.01 05/20/11
ALASKA AIR GROUP INC DE 5.02,5.07,9.01 05/17/11
Alliance HealthCare Services, Inc DE 5.07 05/16/11
Alpha Natural Resources, Inc. DE 5.07 05/20/11
Alpha Natural Resources, Inc. DE 1.01,2.03,8.01,9.01 05/18/11
Alternafuels, Inc. 1.01,5.02,9.01 05/16/11
AMBASSADORS INTERNATIONAL INC DE 1.01,7.01,8.01,9.01 04/11/11
AMERIANA BANCORP IN 5.07 05/19/11
AMERICAN AIRLINES INC DE 5.02,9.01 05/20/11
American Assets Trust, Inc. MD 7.01,9.01 05/20/11
American Assets Trust, Inc. MD 9.01 03/11/11 AMEND
AMERICAN DEFENSE SYSTEMS INC DE 3.01,9.01 05/16/11
AMERICAN DENTAL PARTNERS INC DE 5.07 05/19/11
American Standard Energy Corp. DE 9.01 02/10/11 AMEND
AMERIGON INC MI 7.01,9.01 05/19/11
AMKOR TECHNOLOGY INC DE 1.01,2.03,8.01,9.01 05/17/11
Ampio Pharmaceuticals, Inc. DE 3.01,7.01,9.01 05/17/11
AMR CORP DE 5.02,5.07,9.01 05/20/11
ANADARKO PETROLEUM CORP DE 5.07 05/17/11
ANIKA THERAPEUTICS INC MA 8.01 05/20/11
ANN INC. DE 2.02,9.01 05/20/11
APAC CUSTOMER SERVICES, INC IL 5.02 05/20/11
Approach Resources Inc DE 7.01,9.01 05/19/11
Arista Power, Inc. NY 5.02,5.03,5.07,9.01 05/18/11
ARUBA NETWORKS, INC. DE 1.01,9.01 05/19/11
ASHFORD HOSPITALITY TRUST INC MD 1.01,5.07,9.01 05/17/11
ATHENA SILVER CORP CA 7.01,9.01 05/20/11
ATMEL CORP DE 5.02,5.07,8.01,9.01 05/18/11
AUXILIUM PHARMACEUTICALS INC 7.01,9.01 05/20/11
Avatar Ventures Corp. NV 8.01 05/04/11
Avro Energy Inc. NV 1.01,3.02,9.01 05/17/11
AXA FINANCIAL INC DE 5.02 05/17/11
BALDWIN TECHNOLOGY CO INC DE 1.01,2.03 05/16/11
Bancorp, Inc. 5.07 05/12/11
Bank of Marin Bancorp CA 5.07 05/17/11
BankUnited, Inc. DE 5.02,9.01 05/18/11
BARRETT BUSINESS SERVICES INC MD 5.07,7.01 05/18/11
BAZI INTERNATIONAL, INC. NV 5.03,9.01 05/19/11
BEACON ROOFING SUPPLY INC DE 5.07 05/17/11 AMEND
Beneficial Mutual Bancorp Inc X1 5.07 05/19/11
BigBand Networks, Inc. DE 5.07 05/18/11
BIGLARI HOLDINGS INC. IN 2.02,9.01 05/20/11
BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 05/20/11
BLASTGARD INTERNATIONAL INC CO 9.01 05/20/11 AMEND
BLONDER TONGUE LABORATORIES INC DE 5.07,9.01 05/18/11
Blue Earth, Inc. NV 1.01,9.01 05/16/11
Blue Earth, Inc. NV 4.01,9.01 01/22/10 AMEND
Blue Earth, Inc. NV 5.02 02/14/10 AMEND
Blue Earth, Inc. NV 5.02 03/09/10 AMEND
BLUEFLY INC DE 5.07 05/19/11
BlueLinx Holdings Inc. DE 5.07 05/19/11
BORDERS GROUP INC MI 7.01,9.01 05/20/11
BOSTON BEER CO INC MA 7.01 05/19/11
BRADY CORP WI 2.02,9.01 05/18/11
BRAINY BRANDS COMPANY, INC. DE 2.03,3.02 05/20/11
CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 05/16/11
CACHE INC FL 5.07 05/19/10
CAPITAL GROWTH SYSTEMS INC /FL/ FL 2.01,5.02,9.01 05/16/11
CARDTRONICS INC DE 8.01,9.01 05/18/11
CAREER EDUCATION CORP DE 5.07 05/19/11
CAS MEDICAL SYSTEMS INC DE 3.01 05/18/11
Casablanca Mining Ltd. NV 1.01,3.02,9.01 05/19/11
CASEYS GENERAL STORES INC IA 5.03,9.01 05/19/11
CATO CORP DE 2.02,9.01 03/20/11
CENTER FINANCIAL CORP CA 8.01,9.01 05/19/11
CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.07 05/19/11
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.07 05/16/11
CENTRAL FEDERAL CORP DE 5.07,7.01,8.01,9.01 05/19/11
CENTURY NEXT FINANCIAL Corp LA 5.02 05/20/11
CENTURYLINK, INC LA 5.02,5.07,9.01 05/18/11
CHEMED CORP DE 5.07 05/16/11
CHENIERE ENERGY INC DE 8.01,9.01 05/20/11
Cheniere Energy Partners, L.P. DE 8.01,9.01 05/20/11
CHINA AGRITECH INC DE 3.01,9.01 05/18/11
CHINA ELECTRIC MOTOR, INC. DE 3.01 05/17/11
CHINA FUND INC MD 7.01,9.01 04/30/11
China Housing & Land Development, Inc NV 2.02,7.01,9.01 05/16/11
China Intelligent Lighting & Electron DE 3.01,7.01,9.01 05/17/11
China Ritar Power Corp. UT 3.01,9.01 05/17/11
CHINA RUITAI INTERNATIONAL HOLDINGS C DE 2.02,9.01 05/20/11
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,7.01,9.01 05/16/11
Chino Commercial Bancorp CA 8.01 05/20/11
Chrysler Group LLC DE 8.01,9.01 05/19/11 AMEND
CITIZENS & NORTHERN CORP PA 8.01 05/19/11
CLAIRES STORES INC DE 5.02,9.01 05/20/11
Clearwire Corp /DE DE 1.01 05/16/11
CLOUD PEAK ENERGY INC. DE 5.02,5.07,9.01 05/18/11
CNB CORP /MI/ MI 5.07 05/17/11
Colonial Financial Services, Inc. MD 1.01,5.02,9.01 05/19/11
COMMERCIAL NATIONAL FINANCIAL CORP /P PA 5.07 05/20/11
COMMONWEALTH BANKSHARES INC VA 3.01 05/17/11
COMMUNITY BANCORP /VT VT 5.07 05/17/11
COMPUTER SCIENCES CORP NV 8.01 05/20/11
CONMED CORP NY 5.07 05/19/11
Consolidated Communications Holdings, DE 5.02 05/19/11
CORTLAND BANCORP INC OH 5.07 05/17/11
COSI INC DE 5.07 05/17/11
COVENANT TRANSPORTATION GROUP INC NV 5.02,5.07 05/17/11
CRA INTERNATIONAL, INC. MA 5.07 05/18/11
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 05/20/11
CTC Media, Inc. 1.01,8.01,9.01 05/20/11
Cyberspace Vita, Inc. NV 4.01,9.01 05/11/11 AMEND
CYTOKINETICS INC 5.07 05/18/11
DAVEY TREE EXPERT CO OH 5.07 05/17/11
DCT Industrial Trust Inc. MD 8.01,9.01 05/19/11
DEAN FOODS CO DE 5.02,5.07,9.01 05/19/11
DENBURY RESOURCES INC DE 1.01,2.03,9.01 05/19/11
DENBURY RESOURCES INC DE 5.07 05/18/11
DEVELOPERS DIVERSIFIED REALTY CORP OH 5.07 05/18/11
Diversified Opportunities, Inc. DE 5.07 05/20/11
Dolan Co. DE 5.07 05/17/11
DOLE FOOD CO INC DE 5.07 05/19/11
Dr Pepper Snapple Group, Inc. DE 5.05,5.07 05/18/11
DSP GROUP INC /DE/ DE 5.02,5.07,9.01 05/16/11
DSW Inc. OH 5.07 05/20/11
E-Debit Global Corp. CO 8.01 05/20/11
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 05/20/11
EARTHLINK INC DE 1.01,2.03,9.01 05/20/11
Echo Therapeutics, Inc. DE 5.02,9.01 05/16/11
ELECTRONICS FOR IMAGING INC DE 5.02,5.07,9.01 05/18/11
Embassy Bancorp, Inc. PA 8.01 05/20/11
Emergency Medical Services CORP DE 5.07,9.01 05/20/11
ENTERPRISE BANCORP INC /MA/ MA 5.02 05/18/11
Entertainment Gaming Asia Inc. NV 1.01,2.01,8.01,9.01 05/16/11
ENVESTNET, INC. DE 5.07 05/19/11
ESSEX PROPERTY TRUST INC MD 5.07 05/17/11
EVEREST RE GROUP LTD D0 5.02 05/19/11
EVEREST RE GROUP LTD D0 5.07 05/20/11
ExamWorks Group, Inc. DE 5.02,9.01 05/17/11
EXELON CORP PA 8.01,9.01 05/20/11
Federal Home Loan Bank of Atlanta X1 2.03 05/20/11
Federal Home Loan Bank of Boston X1 2.03 05/17/11
Federal Home Loan Bank of Dallas 2.03,9.01 05/18/11
FEI CO OR 5.02 05/16/11
First American Financial Corp DE 5.07 05/17/11
FIRST BUSEY CORP /NV/ NV 5.07 05/20/11
First Connecticut Bancorp, Inc. MD 1.01,9.01 05/16/11
FIRST FINANCIAL CORP /IN/ IN 5.07 04/20/11 AMEND
First Guaranty Bancshares, Inc. LA 5.07 05/20/11
FIRST MARINER BANCORP MD 3.01 05/18/11
FIRST OTTAWA BANCSHARES INC DE 5.07 05/18/11
FLEXTRONICS INTERNATIONAL LTD. U0 5.02 05/16/11
FLIR SYSTEMS INC OR 8.01,9.01 05/20/11
FLOTEK INDUSTRIES INC/CN/ DE 5.07 05/19/11
FNB BANCORP/CA/ 5.07,9.01 05/18/11
FNB CORP/FL/ FL 5.07 05/18/11
FOOT LOCKER INC NY 2.02,9.01 05/19/11
FORTUNE BRANDS INC DE 1.01,7.01,9.01 05/19/11
FOSSIL INC DE 8.01,9.01 05/20/11
FRANKLIN STREET PROPERTIES CORP /MA/ 1.01,2.03,9.01 05/19/11
FROZEN FOOD EXPRESS INDUSTRIES INC TX 5.07,8.01 05/18/11
Fuel Systems Solutions, Inc. 5.07 05/20/11
FUSION TELECOMMUNICATIONS INTERNATION DE 2.02,7.01,9.01 05/20/11
GAP INC DE 5.02,5.07,9.01 05/17/11
GBS Enterprises Inc NV 9.01 11/05/10 AMEND
GENTA INC DE/ DE 8.01 05/20/11
GENWORTH FINANCIAL INC DE 5.07 05/18/11
GLEACHER & COMPANY, INC. DE 5.07 05/19/11
GOLDMAN SACHS GROUP INC DE 9.01 05/20/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 04/21/11
GREATBATCH, INC. DE 5.07 05/17/11
GREEN ENVIROTECH HOLDINGS CORP. DE 9.01 03/30/11 AMEND
HARBINGER GROUP INC. DE 8.01 05/19/11
HARTFORD FINANCIAL SERVICES GROUP INC DE 5.07 05/18/11
HASCO Medical, Inc. FL 2.01,9.01 05/13/11
HEALTH NET INC DE 5.07 05/18/11
HEALTHCARE REALTY TRUST INC MD 5.07 05/17/11
HEARTLAND FINANCIAL USA INC DE 5.07 05/18/11
HENRY COUNTY BANCSHARES INC GA 5.07,9.01 05/17/11
HERSHEY CO DE 5.02 05/20/11 AMEND
HIBBETT SPORTS INC 2.02,7.01,9.01 05/20/11
HICKORY TECH CORP MN 7.01,9.01 05/17/11
HICKORY TECH CORP MN 5.07 05/17/11
Higher One Holdings, Inc. DE 5.07 05/20/11
Honda Auto Receivables 2011-2 Owner T DE 1.01,9.01 05/18/11
Horsehead Holding Corp 5.07 05/19/11
HSN, Inc. DE 5.07 05/17/11
HUGOTON ROYALTY TRUST TX 2.02,9.01 05/20/11
ICONIX BRAND GROUP, INC. DE 8.01,9.01 05/16/11
IMERGENT INC DE 5.03,5.07,9.01 05/17/11
IMMUNOGEN INC MA 1.01,9.01 05/20/11
IMPAC MORTGAGE HOLDINGS INC MD 1.01,2.03 05/17/11
INSIGNIA SYSTEMS INC/MN MN 8.01 05/16/11
INSPERITY, INC. DE 5.07 05/17/11
INTERNATIONAL LEASE FINANCE CORP CA 7.01,9.01 05/19/11
INTERVEST BANCSHARES CORP DE 5.07 05/19/11
INVENTURE FOODS, INC. DE 5.07 05/18/11
ION GEOPHYSICAL CORP DE 5.02,7.01 05/20/11
IPALCO ENTERPRISES, INC. IN 1.01,2.03,7.01,9.01 05/19/11
ISLE OF CAPRI CASINOS INC DE 3.01 05/18/11
ITP Energy Corp 2.02,8.01 05/18/11
JAMMIN JAVA CORP. 3.02,9.01 05/18/11
JOHNSON & JOHNSON NJ 8.01,9.01 05/17/11
JONES GROUP INC PA 5.07 05/19/11
KAR Auction Services, Inc. DE 1.01,1.02,2.03,9.01 05/19/11
KENEXA CORP 1.01,9.01 05/16/11
KEYCORP /NEW/ OH 5.07 05/19/11
KINDRED HEALTHCARE, INC DE 8.01,9.01 05/20/11
Kips Bay Medical, Inc. DE 5.07 05/18/11
KITE REALTY GROUP TRUST MD 7.01,9.01 05/20/11
KRONOS WORLDWIDE INC 7.01,9.01 05/19/11
LAKES ENTERTAINMENT INC MN 1.01,9.01 05/16/11
LANDMARK BANCORP INC DE 5.07 05/18/11
LBI MEDIA HOLDINGS INC 2.02,9.01 05/16/11
LEMAITRE VASCULAR INC 2.05,7.01,9.01 05/16/11
LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 05/20/11
LIBERTY MEDIA CORP 8.01,9.01 05/16/11
LifeCare Holdings, Inc. DE 1.01,8.01,9.01 05/17/11
LIMITED BRANDS INC DE 2.02,7.01 05/18/11
LITHIA MOTORS INC OR 7.01,9.01 05/20/11
Lithium Exploration Group, Inc. NV 1.01,3.02,9.01 05/03/11
LITTLEFIELD CORP DE 5.07 05/18/11
LORILLARD, INC. DE 5.07,7.01 05/19/11
M & F WORLDWIDE CORP DE 5.07 05/19/11
Madison Bancorp Inc MD 2.02,9.01 02/09/11
MAGELLAN HEALTH SERVICES INC DE 5.02,5.07 05/18/11
Magnum dOr Resources Inc NV 1.01,9.01 05/11/11
MAINLAND RESOURCES INC. 1.01,5.02,9.01 05/17/11
MAINLAND RESOURCES INC. 8.01 05/20/11
MANHATTAN ASSOCIATES INC GA 5.07 05/19/11
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.07 05/20/11
MASSEY ENERGY CO DE 8.01 05/17/11
MAXYGEN INC DE 1.01,1.02,2.01,5.02, 05/16/11
9.01
MCDONALDS CORP DE 8.01,9.01 05/20/11
MedClean Technologies, Inc. DE 1.01,5.02,9.01 05/19/11
Meritage Homes CORP MD 5.03,5.07,9.01 05/18/11
Midway Gold Corp A1 7.01,9.01 03/30/11
Millstream Ventures, Inc. NV 1.01,9.01 05/18/11
MINERALS TECHNOLOGIES INC DE 5.07,8.01,9.01 05/17/11
MONARCH COMMUNITY BANCORP INC MD 5.07 05/17/11
MONKEY ROCK GROUP, INC. DE 4.01,9.01 05/20/11
MORGANS FOODS INC OH 1.01 05/19/11
MOSAIC CO DE 7.01,9.01 05/18/11
NANOPHASE TECHNOLOGIES CORPORATION IL 3.01,9.01 05/20/11
NARA BANCORP INC DE 8.01,9.01 05/20/11
NATIONAL PRESTO INDUSTRIES INC WI 5.07,9.01 05/17/11
NATIONAL RETAIL PROPERTIES, INC. MD 5.07 05/17/11
NATIONWIDE HEALTH PROPERTIES INC MD 1.01,2.03,9.01 05/17/11
NAUTILUS, INC. WA 5.07 05/19/11
NEOGENOMICS INC NV 5.02,9.01 05/17/11
NEOMAGIC CORP DE 8.01 05/20/11
NETREIT, INC. MD 8.01 05/16/11
NEW ENERGY SYSTEMS GROUP NV 2.02,9.01 05/19/11
Newport Bancorp Inc 5.07 05/20/11
NewStar Financial, Inc. 7.01 05/18/11
Niska Gas Storage Partners LLC DE 7.01,9.01 05/20/11
NN INC DE 5.07 05/19/11
O REILLY AUTOMOTIVE INC 3.03,9.01 05/20/11
OIL STATES INTERNATIONAL, INC DE 8.01 05/17/11
OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 05/20/11
OLD SECOND BANCORP INC DE 5.07 05/17/11
OLYMPIC STEEL INC OH 1.01,9.01 05/18/11
ONCOSEC MEDICAL Inc NV 1.01,5.02 05/18/11
ONEOK INC /NEW/ OK 7.01,9.01 05/20/11
ONEOK Partners LP DE 7.01,9.01 05/20/11
OPNEXT INC 5.02 05/16/11
OPTI INC CA 8.01,9.01 05/19/11
ORBCOMM Inc. DE 2.01,2.03,3.02,5.03, 05/16/11
9.01
ORCHID CELLMARK INC 3.03,9.01 05/16/11
Orchids Paper Products CO /DE DE 5.07,8.01,9.01 05/19/11
OSHKOSH CORP WI 5.07 02/01/11 AMEND
Ottawa Savings Bancorp, Inc. X1 5.07 05/18/11
OVERHILL FARMS INC NV 1.01,9.01 05/16/11
PALM HARBOR HOMES INC /FL/ FL 5.02 05/17/11
PALOMAR MEDICAL TECHNOLOGIES INC DE 8.01,9.01 05/19/11
PARLUX FRAGRANCES INC DE 5.02,9.01 05/18/11
PARTNERRE LTD 5.07 05/19/11
PETROHAWK ENERGY CORP DE 1.01,2.03,9.01 05/17/11
PINNACLE AIRLINES CORP DE 5.07 05/20/11
PLUMAS BANCORP CA 5.07 05/18/11
PMI GROUP INC DE 5.07 05/19/11
PNM RESOURCES INC NM 5.02,5.07,9.01 05/20/11
Polonia Bancorp 5.07 05/17/11
POPULAR INC 8.01,9.01 05/19/11
Porter Bancorp, Inc. KY 5.07,9.01 05/18/11
POTOMAC BANCSHARES INC WV 5.07 05/17/11
POWER SOLUTIONS INTERNATIONAL, INC. 4.01 04/29/11 AMEND
PPL Corp 1.01,1.02,5.07 05/18/11
PREMIERWEST BANCORP OR 5.02,9.01 05/19/11
PRIDE INTERNATIONAL INC DE 1.01,8.01,9.01 05/19/11
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 05/20/11
PROVIDENT COMMUNITY BANCSHARES, INC. 5.07 05/18/11
Quad/Graphics, Inc. WI 5.07 05/16/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03,3.02,9.01 05/20/11
QUEST DIAGNOSTICS INC DE 5.07 05/17/11
QUESTCOR PHARMACEUTICALS INC CA 5.07 05/19/11
RAINMAKER SYSTEMS INC CA 5.07 05/19/11
RAYONIER INC NC 5.02,7.01,9.01 05/19/11
REALPAGE INC DE 8.01,9.01 05/20/11
REDDY ICE HOLDINGS INC DE 5.07 05/19/11
REDtone Asia Inc NV 2.01,9.01 08/02/10 AMEND
REDWOOD TRUST INC MD 5.03,5.07,8.01,9.01 05/17/11
Regency Energy Partners LP DE 8.01,9.01 05/02/11 AMEND
REINSURANCE GROUP OF AMERICA INC MO 5.02,5.07,9.01 05/18/11
RELIANCE STEEL & ALUMINUM CO CA 5.07 05/18/11
RENAISSANCERE HOLDINGS LTD D0 5.07 05/18/11
RETAIL VENTURES INC OH 5.07 05/20/11
REVLON CONSUMER PRODUCTS CORP DE 1.01,9.01 05/19/11
REVLON INC /DE/ DE 1.01,9.01 05/19/11
RIGEL PHARMACEUTICALS INC DE 5.07 05/19/11
ROSS STORES INC DE 5.07 05/18/11
RUDDICK CORP NC 5.07 02/17/11 AMEND
SALISBURY BANCORP INC CT 5.02,5.07 05/18/11
SARATOGA RESOURCES INC /TX TX 5.03,9.01 05/16/11
SCHAWK INC 5.02,5.07,8.01 05/17/11
SEALED AIR CORP/DE DE 5.07 05/18/11
SEARS HOLDINGS CORP DE 5.02 05/20/11
SED INTERNATIONAL HOLDINGS INC 2Q 8.01,9.01 05/20/11
SENETEK PLC /ENG/ X0 5.02,9.01 05/16/11
ShengdaTech, Inc. 3.01,8.01,9.01 05/16/11
Shengkai Innovations, Inc. FL 7.01,9.01 05/19/11
Shire plc 8.01,9.01 05/19/11
Shire plc 1.01,8.01,9.01 05/17/11
SILICON IMAGE INC DE 5.07 05/18/11
SIMON PROPERTY GROUP INC /DE/ DE 5.07 05/19/11
SINGLE TOUCH SYSTEMS INC DE 1.01,5.02 05/16/11
Sino Gas International Holdings, Inc. UT 2.02,7.01,9.01 05/16/11
SMITH MICRO SOFTWARE INC DE 5.02,9.01 04/26/11 AMEND
SOLAR ENERTECH CORP DE 4.01,9.01 05/17/11
SolarWinds, Inc. DE 5.07 05/19/11
SONIC CORP DE 8.01,9.01 05/20/11
SOONER HOLDINGS INC /OK/ OK 8.01,9.01 05/17/11
SOUNDBITE COMMUNICATIONS INC 5.02,5.07,9.01 05/18/11
SOUTHERN CHINA LIVESTOCK, INC. DE 7.01,9.01 05/20/11
SOUTHWESTERN ENERGY CO DE 5.03,5.07,9.01 05/17/11
STAGE STORES INC NV 2.02,9.01 05/19/11
STANDARD MICROSYSTEMS CORP DE 1.01,2.01,8.01,9.01 05/19/11
STANDARD MOTOR PRODUCTS INC NY 5.02,5.07,9.01 05/19/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 05/16/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 05/16/11
STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 05/16/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 05/16/11
STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 05/16/11
STRUCTURED OBLIGATIONS CORP TRUST SPR DE 8.01,9.01 05/16/11
SUNOCO LOGISTICS PARTNERS L.P. DE 8.01,9.01 05/16/11 AMEND
SunSi Energies Inc. NV 2.01 05/18/11 AMEND
SUNTRUST BANKS INC GA 7.01,9.01 05/20/11
SupportSave Solutions Inc 1.02,5.02,5.03,8.01, 05/18/11
9.01
SURMODICS INC MN 5.02 05/16/11
SYKES ENTERPRISES INC FL 5.07 05/19/11
SYNTROLEUM CORP DE 9.01 05/17/11
Tanke Biosciences Corp NV 4.01,9.01 05/17/11
TARGACEPT INC 1.01,9.01 05/19/11
TE Connectivity Ltd. V8 5.03,9.01 05/20/11
TELESTONE TECHNOLOGIES CORP CO 2.02,7.01,9.01 05/16/11
TELIK INC DE 5.07 05/19/11
Tennessee Commerce Bancorp, Inc. TN 5.07 05/19/11
TESORO LOGISTICS LP DE 5.02,9.01 05/16/11
Texas Roadhouse, Inc. DE 5.07,8.01,9.01 05/19/11
THERAVANCE INC DE 8.01,9.01 05/20/11
Thompson Creek Metals CO Inc. A6 1.01,9.01 05/13/11
THUNDER MOUNTAIN GOLD INC NV 1.01,3.02 05/18/11
TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 05/20/11
TIANYIN PHARMACEUTICAL CO., INC. DE 7.01,9.01 05/20/11
TITANIUM METALS CORP DE 5.07,7.01,9.01 05/19/11
TNS INC 5.07 05/18/11
Touchmark Bancshares, Inc. GA 5.07 05/18/11
TRANSATLANTIC HOLDINGS INC DE 5.02,9.01 05/19/11
Transfer Technology International Cor DE 3.02,8.01 05/18/11
TRANSIT MANAGEMENT HOLDING CORP 9.01 05/13/11 AMEND
TRANSWITCH CORP /DE DE 8.01,9.01 05/20/11
TRANSWITCH CORP /DE DE 5.02,5.07,8.01,9.01 05/19/11
TRANZYME INC DE 5.02 05/19/11
TRAVELZOO INC DE 5.02,9.01 05/16/11
Tremont Fair, Inc. NV 3.02,3.03,5.02,5.03, 04/28/11 AMEND
9.01
TREY RESOURCES INC DE 7.01,9.01 05/19/11
TRINITY CAPITAL CORP NM 5.07,8.01,9.01 05/19/11
TRW AUTOMOTIVE HOLDINGS CORP DE 5.07 05/18/11
ULTRA CLEAN HOLDINGS INC DE 5.07 05/19/11
UNION BANKSHARES INC VT 5.07,8.01 05/18/11
UNITED BANKSHARES INC/WV WV 5.07,9.01 05/16/11
United Financial Bancorp, Inc. 5.07 04/21/11 AMEND
United States Oil & Gas Corp DE 2.02,3.02,9.01 05/20/11
UNIVERSAL HEALTH REALTY INCOME TRUST MD 1.01 05/19/11
URBAN OUTFITTERS INC PA 5.02,5.07 05/17/11
VALLEY NATIONAL BANCORP NJ 5.03,9.01 05/16/11
Vangent, Inc. DE 5.02 05/19/11
VEECO INSTRUMENTS INC DE 5.02,5.07 05/19/11
VENTAS INC DE 1.01,2.03,9.01 05/17/11
Verisk Analytics, Inc. DE 5.07 05/18/11
VERMILLION, INC. DE 5.02,8.01,9.01 05/17/11
VIBE RECORDS, INC. NEVADA NV 9.01 04/11/11 AMEND
VISTA GOLD CORP B0 1.01,5.02,7.01,9.01 05/18/11
Vystar Corp GA 2.04,9.01 05/20/11
WALT DISNEY CO/ DE 8.01,9.01 05/18/11
Warner Music Group Corp. DE 1.01,5.02,9.01 05/17/11
WARREN RESOURCES INC MD 5.07 05/18/11
Waste2Energy Holdings, Inc. DE 5.02 05/17/11
WCA WASTE CORP DE 8.01,9.01 05/20/11
WELLPOINT, INC IN 5.03,5.07,9.01 05/17/11
WEST COAST BANCORP /NEW/OR/ OR 5.03,8.01,9.01 05/18/11
WEST MARINE INC DE 5.02,5.07,9.01 05/20/11
WESTAR ENERGY INC /KS KS 5.02,5.07 05/20/11
WET SEAL INC DE 2.02,5.07,9.01 05/18/11
WIDEPOINT CORP DE 2.02,9.01 05/16/11
WILLIS LEASE FINANCE CORP DE 5.07 05/18/11
WLG INC 8.01 05/18/11
Wonder Auto Technology, Inc NV 3.01,9.01 05/16/11
World Surveillance Group Inc. DE 1.01,9.01 05/17/11
WUHAN GENERAL GROUP (CHINA), INC NV 3.01 05/17/11
WYNN RESORTS LTD 5.07 05/17/11
X RITE INC MI 5.02,5.03,5.07,9.01 05/18/11
XERIUM TECHNOLOGIES INC DE 8.01,9.01 05/20/11
ZEBRA TECHNOLOGIES CORP 5.02,5.03,5.07,9.01 05/19/11
http://www.sec.gov/news/digest/2011/dig052311.htm
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