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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-191
October 3, 2011

Enforcement Proceedings

Richard D. Mittasch Sanctioned

Richard D. Mittasch (Mittasch) has been barred from association with any broker, dealer, or investment adviser. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In June 2011, Mittasch was enjoined from violating the antifraud provisions of the federal securities laws based on his involvement in the fraudulent use of investor proceeds in a Florida-based hedge fund, Vestium Equity Fund, LLC. (Rel. 34-65461; IA-3296; File No. 3-14475)

Investment Adviser Sanctioned

The registration of Imperium Investment Advisors, LLC, as an investment adviser has been revoked. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against it. In June 2011, Imperium was enjoined from violating the antifraud provisions of the federal securities laws based on its involvement in the fraudulent use of investor proceeds in a Florida-based hedge fund, Vestium Equity Fund, LLC. (Rel. IA-3295; File No. 3-14471)

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of Interactive Therapeutics, Inc., Interchem (N.A.) Industries, Inc., International Cavitation Technologies, Inc., International Fibercom, Inc., International Gaming Management, Inc., International Meta Systems, Inc., Internet Communications Corp., InvestAmerica, Inc., and IRG Technologies, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-65462; File No. 3-14545)

Commission Revokes Registration of Securities of Sonoma International, Inc. For Failure to Make Required Periodic Filings

On October 3, 2011, the Commission revoked the registration of each class of registered securities of Sonoma International, Inc. (Sonoma International) 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, Sonoma International 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 Sonoma International, Inc. 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 Sonoma International’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Sonoma International in In the Matter of Sharon Energy, Ltd., et al., Administrative Proceeding File No. 3-14556.

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

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

For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Sharon Energy, Ltd., et al., Administrative Proceeding File No. 3-14556, Exchange Act Release No. 65363, September 20, 2011. (Rel. 34-65463 File No. 3-14556)

Commission Revokes Registration of Securities of Somerset International Group, Inc. For Failure to Make Required Periodic Filings

On October 3, 2011, the Commission revoked the registration of each class of registered securities of Somerset International Group, Inc. (Somerset International Group) 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, Somerset International Group 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 Somerset International Group, Inc. 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 Somerset International Group’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Somerset International Group in In the Matter of Somerset International Group, Inc., Administrative Proceeding File No. 3-14522.

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

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

For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Somerset International Group, Inc., Administrative Proceeding File No. 3-14522, Exchange Act Release No. 65221, August 30, 2011. (Rel. 34-65464; File No. 3-14522)

In the Matter of Thomas Y. Jimenez, CPA

The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions against Thomas Y. Jimenez, CPA. The Order finds that the Commission had filed a complaint against Jimenez that alleged, inter alia, that Jimenez created millions of dollars in false invoices in 2002-04 and that the court has entered a judgment by consent against Jimenez that permanently enjoined him from future violations of the securities laws, including Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and imposed an officer and director bar.

Based on the above, the Order suspended Jimenez from appearing or practicing before the Commission as an accountant. Jimenez consented to the issuance of the Order without admitting or denying any of the findings except he admitted entry of the judgment. (Rel. 34-65466; AAE Rel. 3325; File No. 3-14575)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-089) to adopt two-day settlement on CBOE Stock Exchange has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65417)

A proposed rule change filed by the Chicago Stock Exchange, Incorporated to eliminate certain references to the exchange acting as the Designated Examining Authority (SR-CHX-2011-27) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65444)

A proposed rule change submitted by NASDAQ OMX BX (SR-BX-2011-067), to provide an optional functionality for a BOX Options Participant to prevent its Market Maker or proprietary broker-dealer orders entered in BOX from trading with quotes/orders originating from the same BOX Participant and were resting on the BOX Book, has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65447)

A proposed rule change (SR-C2-2011-023), filed by C2 Options Exchange, Incorporated, to amend C2 Rule 8.2 concerning the market-maker registration cost for SPXPM has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65452)

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-090) to amend the inactivity fee on the CBOE Stock Exchange fees schedule has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65454)

Approval of Proposed Rule Changes

The Commission granted approval of a proposed rule change (SR-NYSEAmex-2011-64) amending NYSE Amex Options Rule 993NY(b)(2) to make permanent the Pilot Program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its capacity as a facility of affiliated exchanges and to clarify the text of NYSE Amex Options Rule 993NY(b)(1)(B) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65451)

The Commission granted approval of a proposed rule change (SR-NYSE-2011-45) amending NYSE Rule 17(c)(2)(B) to make permanent the Pilot Program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its capacity as a facility of affiliated exchanges and to clarify the text of NYSE Rule 17(c)(2)(A)(ii) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65453)

The Commission granted approval of a proposed rule change (SR-NYSEArca-2011-61) amending NYSE Arca Equities Rule 7.45(c)(2) to make permanent the Pilot Program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its capacity as a facility of affiliated exchanges and to clarify the text of NYSE Arca Equities Rule 7.45(c)(1)(B) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65455)

The Commission granted approval of a proposed rule change (SR-NYSEArca-2011-62) amending NYSE Arca Options Rule 6.96(b)(2) to make permanent the Pilot Program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its capacity as a facility of affiliated exchanges and to clarify the text of NYSE Arca Options Rule 6.96(b)(1)(B) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65456)

The Commission granted approval of a proposed rule change (SR-NYSEAmex-2011-63) amending NYSE Amex Equities Rule 17(c)(2)(B) to make permanent the pilot program that permits the Exchange to accept inbound orders routed by Archipelago Securities LLC in its Capacity as a facility of affiliated exchanges and to clarify the NYSE Amex Equities Rule 17(c)(2)(A)(ii) to more accurately reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority. Publication is expected to in the Federal Register during the week of October 3. ((Rel. 34-65457)

The Commission granted approval of a proposed rule change (SR-NYSEArca-2011-54) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of the WisdomTree Dreyfus Australia & New Zealand Debt Fund under NYSE Arca Equities Rule 8.600. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65458)

Proposed Rule Changes

EDGA Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-EDGA-2011-31) to amend EDGA Rule 11.14 to revise the current methodology for determining when to halt trading in all stocks due to extraordinary market volatility. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65431)

Chicago Board Options Exchange, Incorporated filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-CBOE-2011-087) related to market-wide circuit breakers. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65438)

The Chicago Board Options Exchange, Incorporated has filed a proposed rule change (SR-CBOE-2011-086) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to increase the number of series permitted per class in the Short Term Option Series Program. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65445)

Accelerated Approval of Proposed Rule Changes

The BATS Y-Exchange, Inc. has filed, and the Commission has approved on an accelerated basis, a proposed rule change (SR-BYX-2011-024) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend BYX Rule 13.3 to prohibit members from voting uninstructed shares on certain matters and to align BYX Rule 13.3, concerning the forwarding of proxy and other material and proxy voting, with the rules of other self-regulatory organizations. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65448)

The BATS Exchange, Inc. has filed, and the Commission has approved on an accelerated basis, a proposed rule change (SR-BATS-2011-036) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend BATS Rule 13.3 to prohibit members from voting uninstructed shares on certain matters and to align BATS Rule 13.3, concerning the forwarding of proxy and other material and proxy voting, with the rules of other self-regulatory organizations. Publication is expected to in the Federal Register during the week of October 3. (Rel. 34-65449)

Securities Act Registrations

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

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

S-8     SPARTAN MOTORS INC, 1000 REYNOLDS RD, P O BOX 440, CHARLOTTE, MI, 
        48813, 5175436400 - 750,000 ($3,251,250.00) Equity, (File 333-177088 - 
        Sep. 30) (BR. 05C)

S-3ASR  FIRST POTOMAC REALTY TRUST, 7600 WISCONSIN AVENUE, 11TH FLOOR, 
        BETHESDA, MD, 20814, 3019869200 - 0 ($6,993,601.32) Equity, 
        (File 333-177090 - Sep. 30) (BR. 08B)

S-8     ORAGENICS INC, 12085 RESEARCH DRIVE, ALACHUA, FL, 32615, 3864184018 - 
        500,000 ($775,000.00) Equity, (File 333-177091 - Sep. 30) (BR. 01B)

F-3ASR  PRUDENTIAL PLC, LAURENCE POUNTNEY HILL, LONDON ENGLAND, X0, EC4R OHH, 
        011442075483737 - 0 ($0.00) Debt, (File 333-177093 - Sep. 30) (BR. 01B)

S-3D    SBT Bancorp, Inc., 760 HOPMEADOW STREET, P.O. BOX 248, SIMSBURY, CT, 
        06070, 860-408-5493 - 100,000 ($2,055,000.00) Equity, 
        (File 333-177094 - Sep. 30) (BR. 07C)

S-8     ENERGY XXI (BERMUDA) LTD, CANONS COURT, 
        22 VICTORIA STREET PO BX HM 1179, HAMILTON, D0, 00000, 713 351 3003 - 
        5,000,000 ($109,000,000.00) Equity, (File 333-177095 - Sep. 30) 
        (BR. 04B)

S-3     FIRST BANCORP /NC/, 341 NORTH MAIN ST, PO BOX 508, TROY, NC, 
        27371-0508, 9105766171 - 63,500 ($1,000.00) Other, (File 333-177096 - 
        Sep. 30) (BR. 07A)

S-1     CENTRAL FEDERAL CORP, C/O CENTRAL FEDERAL BANK, 601 MAIN ST, 
        WELLSVILLE, OH, 43968, 3305321517 - 0 ($37,500,000.00) Equity, 
        (File 333-177097 - Sep. 30) (BR. 07C)

S-3ASR  SCANA CORP, 100 SCANA PARKWAY, MAIL CODE - B123, CAYCE, SC, 29033, 
        8032179000 - 0 ($158,757,078.00) Equity, (File 333-177099 - Sep. 30) 
        (BR. 02A)

S-3     IGATE CORP, 1000 COMMERCE DRIVE, SUITE 500, PITTSBURGH, PA, 15275, 
        4125061131 - 0 ($304,609,689.48) Equity, (File 333-177100 - Sep. 30) 
        (BR. 03B)

S-4     IGATE CORP, 1000 COMMERCE DRIVE, SUITE 500, PITTSBURGH, PA, 15275, 
        4125061131 - 0 ($770,000,000.00) Non-Convertible Debt, 
        (File 333-177102 - Sep. 30) (BR. 03B)

S-3     FIRST BUSEY CORP /NV/, 201 W MAIN STREET, URBANA, IL, 61801, 
        2173844513 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-177104 - Sep. 30) (BR. 07A)

S-3     BRYN MAWR BANK CORP, 801 LANCASTER AVE, BRYN MAWR, PA, 19010, 
        6105252300 - 0 ($5,301,782.46) Equity, (File 333-177109 - Sep. 30) 
        (BR. 07C)

S-3ASR  Prologis, Inc., PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 
        0 ($0.00) Other, (File 333-177112 - Sep. 30) (BR. 08C)

S-3     Ampio Pharmaceuticals, Inc., 5445 DTC PARKWAY, P4, GREENWOOD VILLAGE, 
        CO, 80111, 303-418-1000 - 0 ($87,750,000.00) Other, (File 333-177116 - 
        Sep. 30) (BR. 01B)

S-3     Golden Minerals Co, 350 INDIANA STREET, SUITE 800, GOLDEN, CO, 80401, 
        3038395060 - 0 ($250,000,000.00) Other, (File 333-177117 - Sep. 30) 
        (BR. 04C)

S-3     NETLIST INC, 51 DISCOVERY, STE 150, IRVINE, CA, 92618, 949-435-0025 - 
        0 ($40,000,000.00) Unallocated (Universal) Shelf, (File 333-177118 - 
        Sep. 30) (BR. 10B)

S-3ASR  WESTLAKE CHEMICAL CORP, 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-177119 - Sep. 30) (BR. 06B)

S-4     Skyview Holdings Corp., 12913 42ND TERRACE WEST, CORTEZ, FL, 34215, 
        941-794-0394 - 25,148,263 ($502,965.00) Equity, (File 333-177120 - 
        Sep. 30) (BR. 09)

S-1     Health Advance, Inc., 3651 LINDELL ROAD, SUITE #D155, LAS VEGAS, NV, 
        89103, 702-943-0309 - 792,000 ($79,200.00) Equity, (File 333-177122 - 
        Sep. 30) (BR. )

S-3     SYNERGY RESOURCES CORP, 20203 HIGHWAY 60, PLATTEVILLE, CO, 80651, 
        303-591-7413 - 0 ($75,000,000.00) Equity, (File 333-177123 - Sep. 30) 
        (BR. 04C)

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

ACACIA AUTOMOTIVE INC                   TX       5.02                 09/28/11

ACCURIDE CORP                           DE       2.01,9.01            09/30/11

ACELRX PHARMACEUTICALS INC              DE       5.02,9.01            09/26/11

ADCARE HEALTH SYSTEMS INC               OH       8.01                 09/30/11

ADVENTRX PHARMACEUTICALS INC            DE       8.01,9.01            09/30/11

AEROSONIC CORP /DE/                     DE       1.01,2.03,9.01       09/26/11

AFFYMAX INC                             DE       5.07                 05/25/11    AMEND

AGENUS INC                              DE       8.01,9.01            09/30/11

AGILYSYS INC                            OH       5.02,9.01            09/30/11

ALASKA COMMUNICATIONS SYSTEMS GROUP I   DE       5.03,9.01            09/27/11

ALLEGHENY TECHNOLOGIES INC              DE       8.01                 09/30/11

Alliance HealthCare Services, Inc       CA       1.01,2.03,3.01,9.01  09/27/11

ALLOS THERAPEUTICS INC                  DE       8.01                 09/29/11

ALPHA & OMEGA SEMICONDUCTOR Ltd                  2.02,9.01            09/30/11

AMARIN CORP PLC\UK                      X0       1.01                 09/30/11

AMCOL INTERNATIONAL CORP                DE       5.02,9.01            09/30/11

American Caresource Holdings, Inc.      DE       5.02,5.07            09/26/11

AMKOR TECHNOLOGY INC                    DE       8.01,9.01            09/29/11

Apartment Trust of America, Inc.                 8.01                 09/29/11

Armour Residential REIT, Inc.           MD       4.01,9.01            09/26/11

ARRAY BIOPHARMA INC                     DE       8.01,9.01            09/30/11

ASHFORD HOSPITALITY TRUST INC           MD       1.01,2.03,9.01       09/26/11

ASHFORD HOSPITALITY TRUST INC           MD       5.03,8.01,9.01       09/30/11

ASSOCIATED BANC-CORP                    WI       5.02,9.01            09/28/11

Astex Pharmaceuticals, Inc              DE       2.01,9.01            07/20/11    AMEND

ATRION CORP                             DE       1.01,2.03            09/27/11

AUTHENTIDATE HOLDING CORP               DE       2.02,8.01            09/28/11

Avago Technologies LTD                  U0       8.01,9.01            09/28/11

Avenue South Ltd.                       NV       5.02,8.01            09/30/11

AZZ INC                                 TX       2.02,8.01,9.01       09/29/11

B2B INTERNET HOLDRSSM TRUST             NY       8.01                 09/30/11

BankGuam Holding Co                              8.01,9.01            09/30/11

Bella Petrellas Holdings, Inc.          FL       1.01                 09/25/11

BIODELIVERY SCIENCES INTERNATIONAL IN   DE       8.01,9.01            09/28/11

BIOTECH HOLDRS TRUST                    DE       8.01                 09/30/11

BJS WHOLESALE CLUB INC                  DE       2.01,3.01,5.01,5.02, 09/30/11
                                                 5.03,8.01,9.01

BLUE BRIDGE CAPITAL, INC.               DE       2.01,9.01            09/26/11

BLUE BRIDGE CAPITAL, INC.               DE       1.01,9.01            09/27/11

BLUE BRIDGE CAPITAL, INC.               DE       8.01                 09/30/11

BLUE RIDGE REAL ESTATE CO               PA       8.01                 09/30/11

Book Merge Technology, Inc.             NV       4.01,9.01            09/29/11

BOTETOURT BANKSHARES INC                VA       8.01                 09/30/11    AMEND

BROADBAND HOLDRS TRUST                           8.01                 09/30/11

BSB Bancorp, Inc.                       MD       8.01,9.01            09/29/11

BUCKEYE PARTNERS, L.P.                  DE       1.01,1.02,2.03,9.01  09/26/11

BUREAU OF NATIONAL AFFAIRS INC          DE       3.03,5.01,5.02,5.03, 09/29/11
                                                 9.01
          
CANANDAIGUA NATIONAL CORP               NY       5.02,9.01            09/30/11

CATERPILLAR INC                         DE       8.01                 09/30/11

CDI CORP                                PA       1.01                 09/28/11

CECO ENVIRONMENTAL CORP                 DE       5.02                 09/28/11

CELL THERAPEUTICS INC                   WA       2.02,7.01,9.01       09/30/11

CENTRAL VALLEY COMMUNITY BANCORP        CA       8.01                 09/28/11

CEPHALON INC                            DE       8.01                 09/28/11

Charlie GPS Inc                         NV       5.02                 09/30/11

Cheniere Energy Partners, L.P.          DE       7.01                 09/30/11

CHILDRENS PLACE RETAIL STORES INC                5.02,9.01            09/26/11

China CGame, Inc.                       DE       1.01                 09/30/11

China Modern Agricultural Information   NV       1.01,9.01            09/26/11

CHINACAST EDUCATION CORP                DE       1.01,3.03,5.03,9.01  09/26/11

CHS INC                                 MN       1.01,1.02,2.03,9.01  09/27/11

CIB MARINE BANCSHARES INC               WI       5.02,8.01,9.01       09/29/11

CLAIMSNET COM INC                       DE       1.01,2.03,8.01,9.01  09/27/11

Clearwater Paper Corp                   DE       1.01,9.01            09/28/11

CNO Financial Group, Inc.               DE       7.01,9.01            09/30/11

CODORUS VALLEY BANCORP INC              PA       1.01,9.01            09/30/11    AMEND

COLORADO GOLDFIELDS INC.                NV       5.02                 09/29/11

COMMONWEALTH BANKSHARES INC             VA       1.02,1.03,2.04,3.01  09/30/11

COMPUSONICS VIDEO CORP                  CO       8.01                 09/30/11

CORE LABORATORIES N V                   P7       1.01,2.03,9.01       09/28/11

CorMedix Inc.                           DE       5.02,8.01,9.01       09/30/11

DAEGIS INC.                             DE       5.07                 09/30/11

DCB FINANCIAL CORP                      OH       5.02,9.01            09/30/11

Dehaier Medical Systems Ltd                      5.02,9.01            09/30/11

DEL TORO SILVER CORP.                   NV       3.02                 09/29/11

DENTSPLY INTERNATIONAL INC /DE/         DE       5.07                 09/28/11    AMEND

DJO Finance LLC                         DE       5.02                 09/27/11

Dolan Co.                               DE       1.01,9.01            09/30/11

DUOYUAN PRINTING, INC.                  WY       3.01                 09/27/11

Eagle Bulk Shipping Inc.                         1.01                 09/26/11

EdgeWave, Inc.                          DE       1.01,9.01            09/14/11

ELECTRO RENT CORP                       CA       1.01,2.03,9.01       09/28/11

EMAGIN CORP                             DE       1.01,2.03,9.01       09/01/11

Emergent BioSolutions Inc.              DE       1.01                 08/24/11

ENGLOBAL CORP                           NV       5.02                 09/30/11

EQUITY ONE, INC.                                 1.01,2.06,7.01,9.01  09/26/11

EUROPE 2001 HOLDRS TRUST                NY       8.01                 09/30/11

EXELIXIS INC                            DE       5.02                 09/28/11

EXELIXIS INC                            DE       5.07                 09/30/11    AMEND

EXELON CORP                             PA       1.01,9.01            09/28/11

EXELON CORP                             PA       5.07                 05/03/11    AMEND

FAIR ISAAC CORP                         DE       1.01,9.01            09/27/11

Federal Home Loan Bank of Dallas                 2.03,9.01            09/26/11

Federal Home Loan Bank of New York      X1       8.01                 09/30/11

Feihe International Inc                 UT       1.01,2.01,7.01,9.01  09/30/11

FIDUS INVESTMENT Corp                   MD       5.02,9.01            09/29/11

FIDUS MEZZANINE CAPITAL LP              DE       5.02                 09/29/11

FIRST PACTRUST BANCORP INC              MD       5.02,9.01            09/26/11

FIRST POTOMAC REALTY TRUST              MD       3.02                 09/26/11

FIRST SOLAR, INC.                       DE       8.01,9.01            09/30/11

FIRST SOLAR, INC.                       DE       8.01,9.01            09/30/11

FLEXSTEEL INDUSTRIES INC                MN       5.02,9.01            09/29/11

FNB BANCORP/CA/                                  8.01,9.01            09/30/11

FOREST OIL CORP                         NY       7.01,8.01,9.01       09/30/11

Fortune Brands Home & Security, Inc.    DE       1.01,3.03,5.02,5.03, 09/27/11
                                                 9.01
          
FORTUNE BRANDS INC                      DE       1.01,5.02,9.01       09/26/11

FPIC INSURANCE GROUP INC                FL       8.01                 09/28/11

FRONTIER COMMUNICATIONS CORP            DE       8.01,9.01            09/30/11

FULTON FINANCIAL CORP                   PA       5.02,9.01            09/30/11

FusionTech, Inc.                        NV       2.04                 09/26/11

G&K SERVICES INC                        MN       1.01,2.03,9.01       09/28/11

General Growth Properties, Inc.         DE       8.01,9.01            09/30/11

GENERAL METALS CORP                     DE       5.07                 09/16/11

General Motors Co                                8.01                 09/28/11

Genesis Solar Corp                      CO       5.02,8.01            09/28/11

GENOMIC HEALTH INC                               8.01                 09/30/11

GERON CORP                              DE       5.02,7.01,9.01       09/29/11

GLOBAL CLEAN ENERGY, INC.               MD       5.02                 03/01/09    AMEND

GLOBETRAC INC                           DE       1.01,9.01            09/30/11

GOLDEN PHOENIX MINERALS INC             NV       1.01,2.03,7.01,9.01  09/26/11

GoldLand Holdings Corp.                 DE       5.02,5.07            09/30/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 09/30/11

Great Lakes Dredge & Dock CORP          DE       5.07                 05/04/11    AMEND

GUESS INC                               DE       5.07                 06/23/11    AMEND

HARLEYSVILLE GROUP INC                  DE       1.01,8.01            09/28/11

HARLEYSVILLE GROUP INC                  DE       8.01,9.01            09/29/11

HARRIS CORP /DE/                        DE       1.01,2.03,9.01       09/27/11

Hazlo! Technologies, Inc.               NV       1.01,5.02            09/30/11

HEALTHCARE REALTY TRUST INC             MD       8.01                 09/30/11

HERITAGE OAKS BANCORP                   CA       7.01,9.01            09/30/11

HOME BANCORP, INC.                      LA       9.01                 07/15/11    AMEND

HORIZON PHARMA, INC.                    DE       5.02                 09/29/11

Horsehead Holding Corp                           1.01,2.03,8.01,9.01  09/28/11

HUMAN GENOME SCIENCES INC               DE       7.01,9.01            09/30/11

HXT HOLDINGS, INC.                      DE       5.03                 09/29/11

ICAHN ENTERPRISES L.P.                  DE       5.02,9.01            09/30/11

Ideal Financial Solutions Inc                    5.02                 09/29/11

IDEX CORP /DE/                          DE       5.02                 09/27/11

IMPLANT SCIENCES CORP                   MA       1.01,2.03,7.01,9.01  09/30/11

IN Media Corp                           NV       5.02,9.01            09/01/11

Industrial Income Trust Inc.            MD       8.01                 09/26/11

Ingersoll-Rand plc                      L2       7.01                 09/30/11

Innophos Holdings, Inc.                          5.07                 09/30/11

Intellect Neurosciences, Inc.           DE       1.01,9.01            09/29/11

International Gold Corp.                NV       1.01,9.01            09/26/11

INTERNET ARCHITECTURE HOLDRSSM TRUST    NY       8.01                 09/30/11

INTERNET HOLDRS TRUST                   NY       8.01                 09/30/11

INTERNET INFRASTRUCTURE HOLDRSSM TRUS   NY       8.01                 09/30/11

IVAX DIAGNOSTICS INC                    DE       1.02,5.02            09/26/11

J P MORGAN CHASE & CO                   DE       7.01,9.01            09/30/11

KBS Real Estate Investment Trust III,   MD       1.01,2.01,2.03       09/27/11

KEY TECHNOLOGY INC                      OR       2.05,5.02,8.01,9.01  09/29/11

KRONOS WORLDWIDE INC                             7.01,9.01            09/29/11

Lantheus Medical Imaging, Inc.          DE       8.01                 09/29/11

LATTICE SEMICONDUCTOR CORP              DE       5.07                 05/03/11    AMEND

LBO CAPITAL CORP                        CO       8.01                 09/30/11

LBO CAPITAL CORP                        CO       8.01                 09/30/11

LEVI STRAUSS & CO                       DE       1.01,1.02,2.03,9.01  09/30/11

LHC Group, Inc                                   1.01,2.03            09/28/11

Lifevantage Corp                        CO       7.01,9.01            09/28/11

LIGAND PHARMACEUTICALS INC              DE       1.01,8.01,9.01       09/29/11

LITHIUM TECHNOLOGY CORP                 DE       5.02,8.01,9.01       09/30/11

Live Nation Entertainment, Inc.         DE       5.07                 06/15/11    AMEND

MAGNUM HUNTER RESOURCES CORP            DE       7.01,9.01            09/20/11

MARKET 2000 PLUS HOLDRS SM TRUST        NY       8.01                 09/30/11

MCDONALDS CORP                          DE       8.01,9.01            09/30/11

MCG CAPITAL CORP                        DE       8.01                 09/30/11

MDC HOLDINGS INC                        DE       1.01,2.03,9.01       09/29/11

MEDASSETS INC                           DE       8.01,9.01            09/29/11

MEDIA TECHNOLOGIES, INC.                NV       9.01                 09/30/11    AMEND

MedQuist Holdings Inc.                  DE       2.03                 09/30/11

MEDQUIST INC                            NJ       2.03                 09/30/11

MISCOR GROUP, LTD.                      IN       1.01,9.01            09/30/11

MISSION COMMUNITY BANCORP               CA       5.02,9.01            09/27/11

MONARCH CASINO & RESORT INC             NV       1.01,9.01            09/29/11

MONEYGRAM INTERNATIONAL INC                      1.01,2.03,9.01       09/29/11

MORGANS FOODS INC                       OH       1.01                 09/28/11

MOTRICITY INC                           DE       4.01                 09/26/11

NARA BANCORP INC                        DE       8.01,9.01            09/30/11

Naugatuck Valley Financial Corp         MD       5.02                 09/28/11

NeoStem, Inc.                           DE       1.01,1.02,9.01       09/28/11

NEWFIELD EXPLORATION CO /DE/            DE       1.01,2.03,9.01       09/30/11

NEWS CORP                                        8.01,9.01            09/30/11

Northfield Bancorp, Inc.                X1       5.07,9.01            05/25/11    AMEND

NorthStar Real Estate Income Trust, I   MD       8.01                 09/28/11

OCEANFIRST FINANCIAL CORP               DE       8.01,9.01            09/29/11

OCZ TECHNOLOGY GROUP INC                DE       5.02,5.07,9.01       09/27/11

OFFICE DEPOT INC                        DE       7.01                 09/29/11

OIL SERVICE HOLDRS TRUST                NY       8.01                 09/30/11

OPTIMER PHARMACEUTICALS INC                      5.02                 09/26/11

Pacira Pharmaceuticals, Inc.            DE       5.02                 09/26/11

PALL CORP                               NY       5.02                 09/26/11

PARKERVISION INC                        FL       5.02,5.07,9.01       09/28/11

PediatRx Inc.                           NV       5.02,9.01            09/29/11

PENSKE AUTOMOTIVE GROUP, INC.           DE       1.01,7.01,9.01       09/30/11

Pernix Group, Inc.                               3.03,9.01            09/30/11

PG&E CORP                               CA       8.01                 09/30/11

PHARMACEUTICAL HOLDRS TRUST                      8.01                 09/30/11

Pharmasset Inc                                   7.01,9.01            09/30/11

PINNACLE WEST CAPITAL CORP              AZ       7.01,9.01            09/30/11

PIZZA INN HOLDINGS, INC /MO/                     5.02                 09/27/11

PLUG POWER INC                          DE       1.01,9.01            09/28/11

POPULAR INC                                      8.01,9.01            09/29/11

POSITIVEID Corp                         DE       5.02,9.01            09/30/11

POWERVERDE, INC.                        NV       1.01,9.01            09/29/11

PPL Corp                                         2.03,8.01,9.01       09/30/11

PRGX GLOBAL, INC.                       GA       5.07                 05/24/11    AMEND

Prologis, Inc.                          MD       8.01,9.01            09/30/11

PS BUSINESS PARKS INC/CA                CA       5.02                 09/26/11

QUANTUM SOLAR POWER CORP.                        5.02,9.01            09/21/11

QUICKSILVER RESOURCES INC               DE       8.01,9.01            09/30/11

Radius Health, Inc.                     DE       9.01                 04/25/11    AMEND

Radius Health, Inc.                     DE       9.01                 07/15/11    AMEND

Radius Health, Inc.                     DE       9.01                 05/17/11    AMEND

RAPTOR NETWORKS TECHNOLOGY INC                   4.01,9.01            09/28/11

RARE ELEMENT RESOURCES LTD              A1       2.02,7.01,9.01       09/28/11

REGIONAL BANK HOLDERS SM TRUST          NY       8.01                 09/30/11

Reshoot Production CO                   NV       5.01,8.01,9.01       09/27/11

RETAIL HOLDRS TRUST                     NY       8.01                 09/30/11

RGC RESOURCES INC                       VA       5.03                 09/28/11

RIVIERA HOLDINGS CORP                   NV       1.01,8.01,9.01       09/29/11

Sagent Pharmaceuticals, Inc.            DE       1.01,9.01            09/26/11

SEAHAWK DRILLING, INC.                  DE       7.01,9.01            09/30/11

SEMICONDUCTOR HOLDRS TRUST              NY       8.01                 09/30/11

SEMICONDUCTOR HOLDRS TRUST              NY       8.01,9.01            09/30/11

Seven Arts Entertainment Inc.           NV       1.01,3.01,8.01,9.01  09/22/11

Shire plc                                        8.01,9.01            09/30/11

SIGNATURE GROUP HOLDINGS, INC.          NV       7.01,8.01,9.01       09/30/11

SIGNET JEWELERS LTD                              8.01                 09/30/11

Silver Falcon Mining, Inc.              DE       5.02,5.07            09/30/11

Sino Agro Food, Inc.                    NV       7.01,9.01            09/30/11

SMTC CORP                               DE       5.02,9.01            09/30/11

SOFTWARE HOLDRS TRUST                   NY       8.01                 09/30/11

Spine Pain Management, Inc              DE       5.07                 05/11/11    AMEND

Stalar 2, Inc.                          DE       1.01,9.01            09/28/11

STAR BUFFET INC                         DE       1.03,9.01            09/28/11

State Auto Financial CORP               OH       1.01,1.02,2.03,9.01  09/29/11

STRATEGIC AMERICAN OIL CORP             NV       2.01,3.02,9.01       09/26/11

SUFFOLK BANCORP                         NY       3.01                 09/26/11

SUN HEALTHCARE GROUP INC                DE       7.01,9.01            09/30/11

Surge Global Energy, Inc.               DE       1.01,2.03,3.02,5.02, 09/30/11
                                                 9.01
          
SWIFT TRANSPORTATION Co                          8.01                 09/29/11

Swisher Hygiene Inc.                    DE       5.07                 05/05/11    AMEND

Symetra Financial CORP                  DE       5.07                 09/30/11    AMEND

SYNERGY RESOURCES CORP                  CO       1.01                 09/29/11

Target Acquisitions I, Inc.             DE       1.01,2.01,5.02,9.01  09/30/11

TEL OFFSHORE TRUST                      TX       2.02,9.01            09/30/11

TELECOM HOLDRS TRUST                    NY       8.01                 09/30/11

Teucrium Commodity Trust                         5.02,9.01            09/30/11

Teucrium Commodity Trust                         5.02,9.01            09/30/11

Teucrium Commodity Trust                         5.02,9.01            09/30/11

Teucrium Commodity Trust                         5.02,9.01            09/30/11

Teucrium Commodity Trust                         5.02,9.01            09/30/11

Teucrium Commodity Trust                         5.02,9.01            09/30/11

THOR INDUSTRIES INC                     DE       2.02,9.01            09/28/11

THRESHOLD PHARMACEUTICALS INC           DE       8.01,9.01            09/30/11

TICC Capital Corp.                      MD       8.01,9.01            09/30/11

TIDEWATER INC                           DE       8.01,9.01            09/27/11

TODA INTERNATIONAL HOLDINGS INC.        E9       1.01,2.01,3.02,4.01, 03/15/11    AMEND
                                                 5.01,5.02,5.06,9.01
       
TRANSATLANTIC HOLDINGS INC              DE       8.01,9.01            09/30/11

TRANSCEND SERVICES INC                  DE       9.01                 09/30/11

UGI CORP /PA/                           PA       5.02,9.01            09/29/11

United Continental Holdings, Inc.       DE       5.02                 09/28/11

UNIVERSAL DISPLAY CORP \PA\             PA       1.01                 09/29/11

US GEOTHERMAL INC                       DE       1.01,5.02,9.01       09/30/11

USEC INC                                DE       1.01,3.03,5.03,9.01  09/29/11

USEC INC                                DE       1.01,8.01,9.01       09/30/11

UTILITIES HOLDERS SM TRUST              NY       8.01                 09/30/11

VAIL RESORTS INC                        DE       5.02,9.01            09/30/11

Vertex Energy Inc.                               8.01                 09/23/11

VIBE RECORDS, INC. NEVADA               NV       4.01                 09/30/11

VIROPHARMA INC                          DE       1.01,8.01,9.01       09/29/11

VISTA GOLD CORP                         B0       7.01                 09/30/11

VISTA GOLD CORP                         B0       5.07                 05/06/11    AMEND

WATSCO INC                              FL       5.02                 09/26/11

WELLPOINT, INC                          IN       7.01                 09/29/11

WELLS FARGO & CO/MN                     DE       9.01                 09/30/11

WESTWOOD ONE INC /DE/                   DE       5.02                 09/30/11

WIRELESS HOLDRS TRUST                   NY       8.01                 09/30/11

WORTHINGTON INDUSTRIES INC              OH       8.01,9.01            09/30/11

WPCS INTERNATIONAL INC                  DE       1.01,9.01            09/27/11

XL GROUP PLC                            L2       1.01,2.03,9.01       09/30/11

ZIONS BANCORPORATION /UT/               UT       9.01                 09/30/11

 

http://www.sec.gov/news/digest/2011/dig100311.htm


Modified: 10/03/2011