SEC News Digest, December 19, 2011

	Home \| Previous Page

Commission announcements

Michael Garrity Named Head of Examination Program in SEC's Boston Regional Office

The Securities and Exchange Commission today announced the appointment of Michael E. Garrity to lead the examination program in its Boston Regional Office.

Mr. Garrity, who immediately begins in his new position as Associate Regional Director for Examinations, will direct a staff of 60 accountants, examiners, attorneys and support staff responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents in the six New England states.

Mr. Garrity joined the SEC’s Boston office as an examiner in 2001 and has served as an Assistant Regional Director for the past five years. Mr. Garrity received the SEC Chairman’s Examination Award for Excellence in 2005.

“Mike brings a true passion to the job along with a unique blend of experience as a former private sector lawyer, financial services reporter, and state regulator,” said David Bergers, Director of the SEC’s Boston Regional Office. “His background and his 10 years of experience conducting exams of investment advisers and investment companies throughout New England are a perfect combination to help the Boston examination program continue to fulfill its mission of investor protection.”

Carlo di Florio, Director of the SEC's Office of Compliance Inspections and Examinations, added, “Mike has contributed significantly to the transformation of our national exam program over the past 18 months. His energy, SEC experience, and knowledge of the financial services industry make him a great addition to the examination program’s local and national leadership.”

Mr. Garrity said, “It is an honor to be part of the national exam leadership team and continue serving investors, particularly those individuals and institutions investing to create a secure retirement for Americans. I am fortunate to continue working with the professionals in the Boston office, throughout the SEC, and at other government and regulatory organizations to further the investor protection mission.”

Prior to his SEC employment, Mr. Garrity practiced law at Bingham, Dana & Gould (now Bingham McCutchen) and served as an enforcement attorney for the Massachusetts Secretary of State’s Securities Division. Mr. Garrity also spent approximately 10 years as a reporter for several newspapers and financial services news outlets, and was a public school teacher.

Mr. Garrity, 54, obtained his bachelor’s degree, cum laude, from Marquette University and his law degree from Boston College. (Press Rel. 2011-269)

SEC Charges Longtime Madoff Employee With Falsifying Documents to Deceive Regulators

The Securities and Exchange Commission today charged a longtime Bernie Madoff employee with falsifying books and records in order to hide Madoff’s fraudulent investment advisory operations from regulators.

The SEC alleges that Enrica Cotellessa-Pitz, who worked at Bernard L. Madoff Investment Securities LLC (BMIS) for more than 30 years, assisted in falsifying BMIS’s internal accounting records in order to misclassify hundreds of millions of dollars of income purportedly generated by BMIS’s investment advisory operations. Cotellessa-Pitz also falsified financial statements filed with the SEC and other regulators as well as materials that were prepared to deceive SEC staff examiners, federal and state tax auditors, and other external reviewers.

“To keep his massive fraud alive, Madoff had to hide as many facts about his advisory operations as possible,” said George S. Canellos, Director of the SEC’s New York Regional Office. “Cotellessa-Pitz along with other senior BMIS personnel played a critical role in this effort by creating false documents to deceive federal and state regulators.”

The SEC previously charged BMIS’s Director of Operations David Bonventre with falsifying books and records to hide and obfuscate Madoff’s advisory operations. According to the SEC’s complaint against Cotellessa-Pitz filed in U.S. District Court for the Southern District of New York, she played a central role in falsifying these records as directed by Madoff and Bonventre. Madoff used the false records to artificially improve the firm’s reported revenue and income as well as to deceive regulators who sought to review the firm’s operations and financial results.

The SEC alleges that Madoff instructed employees to transfer hundreds of millions of dollars from bank accounts holding investor funds to the firm’s operating bank accounts. Madoff’s goal was as simple as it was misleading – to use stolen investor funds to hide the significant losses incurred by BMIS’s market-making and proprietary trading operations. Cotellessa-Pitz joined this effort after she was promoted to controller at the firm in 1999, when Madoff and Bonventre instructed her to falsely account for these transfers of investor funds as adjustments to certain securities positions on BMIS’s stock record.

According to the SEC’s complaint, Cotellessa-Pitz then used these figures to calculate and overstate the trading income purportedly generated by Madoff’s market-making and proprietary trading operations. Cotellessa-Pitz included these bogus figures on BMIS financial statements, which she then filed with the SEC and other regulators. Cotellessa-Pitz and other BMIS personnel then falsified documents provided to regulators to obscure the firm’s advisory operations and the transfer of investor funds to the operating bank accounts.

The U.S. Attorney’s Office for the Southern District of New York today announced parallel criminal charges against Cotellessa-Pitz, who has pled guilty and also consented to the entry of a partial judgment in the SEC’s civil case against her. Subject to court approval, the proposed partial judgment will impose a permanent injunction against Cotellessa-Pitz and require her to disgorge ill-gotten gains and pay a fine in amounts to be determined by the court at a later date.

The SEC’s complaint against Cotellessa-Pitz alleges that by engaging in this conduct, she aided and abetted violations of Section 17(a) of the Securities Exchange Act of 1934 and Rules 17a-3, 17a-4, and 17a-5 thereunder, and Section 204 of the Investment Advisers Act of 1940 and Rule 204-2 thereunder.

The SEC’s investigation was conducted by Aaron P. Arnzen and Kristine M. Zaleskas of the New York Regional Office. The SEC thanks the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation for its coordination and assistance. The SEC’s investigation is continuing. (Press Rel. 2011-270)

Enforcement Proceedings

In the Matter of Benjamin W. Young, Jr.

An Administrative Law Judge has issued an Initial Decision in Benjamin W. Young, Jr., Admin. Proc. No. 3-14482. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on July 21, 2011, pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act). The OIP alleges that on July 5, 2011, the United States District Court for the Southern District of Texas, Houston Division, entered a final judgment against Respondent Benjamin W. Young, Jr. in SEC v. Navigators Int’l Mgmt. Co., Ltd., No. H-07-4518 (S.D. Tex.), permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a)(1) of the Exchange Act, and Exchange Act Rule 10b-5.

The Initial Decision finds it is in the public interest to bar Respondent Benjamin W. Young, Jr., from association with a broker or dealer. (Initial Decision No. 445; File No. 3-14482)

Investment company act releases

SEI Investments Management Corporation, et al.

An order has been issued on an application filed by SEI Investments Management Corporation, SEI Investments Distribution Co., SEI Asset Allocation Trust, SEI Daily Income Trust, SEI Institutional International Trust, SEI Institutional Investments Trust, SEI Institutional Managed Trust, SEI Liquid Asset Trust, SEI Tax Exempt Trust, SEI Alpha Strategy Portfolios, LP, and Adviser Managed Trust under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29884 - December 14)

John Hancock Variable Insurance Trust, et al.

An order has been issued on an application filed by John Hancock Variable Insurance Trust, et al. under (a) Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 18(f) and 21(b) of the Act; (b) Section 12(d)(1)(J) of the Act granting an exemption from Section 12(d)(1) of the Act; (c) Sections 6(c) and 17(b) of the Act granting an exemption from Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Act; and (d) Section 17(d) of the Act and rule 17d-1 under the Act to permit certain joint arrangements. The order permits certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-29885 - December 14)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2011-050) to extend the Penny Pilot 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 December 19. (Rel. 34-65965)

A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2011-083) to extend the Penny Pilot 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 December 19. (Rel. 34-65966)

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-3     ARROWHEAD RESEARCH CORP, 201 SOUTH LAKE AVENUE, SUITE 703, PASADENA, 
        CA, 91101, 626-304-3400 - 0 ($14,340,000.00) Equity, (File 333-178532 - 
        Dec. 16) (BR. 01B)

S-8     China Digital TV Holding Co., Ltd., 
        JINGMENG HIGH-TECH BUILDING B, 4TH FLOOR, NO.5 SHANGDI EAST ROAD, 
        BEIJING, F4, 100085, (86) 10-6297-1199 - 
        3,600,000 ($24,840,000.00) Equity, (File 333-178533 - Dec. 16) (BR. 03A)

S-8     ShangPharma Corp, NO. 5 BUILDING, 998 HALEI ROAD, 
        ZHANGJIANG HI-TECH PARK PUDONG NEW AREA, SHANGHAI, F4, 201203, 
        (86-21) 5132-0088 - 0 ($3,483,466.82) ADRs/ADSs, (File 333-178534 - 
        Dec. 16) (BR. 01B)

S-8     BIOSTEM U.S. CORP, 1266 TURNER STREET, CLEARWATER, FL, 33756, 
        267- 295-7814 - 1,250,000 ($100,000.00) Equity, (File 333-178535 - 
        Dec. 16) (BR. 11A)

S-3ASR  ENBRIDGE ENERGY PARTNERS LP, 21 W SUPERIOR ST STE 400, 
        LAKE SUPERIOR PLACE, DULUTH, MN, 55802-2067, 2187250100 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-178536 - Dec. 16) 
        (BR. 04B)

S-8     UBS AG, BAHNHOFSTRASSE 45, P O BOX CH 8001, ZURICH, V8, CH 8001, 
        203-719-5241 - 0 ($245,900,000.00) Equity, (File 333-178539 - Dec. 16) 
        (BR. 12A)

S-8     UBS AG, BAHNHOFSTRASSE 45, P O BOX CH 8001, ZURICH, V8, CH 8001, 
        203-719-5241 - 5,000,000 ($61,475,000.00) Equity, (File 333-178540 - 
        Dec. 16) (BR. 12A)

S-8     UBS AG, BAHNHOFSTRASSE 45, P O BOX CH 8001, ZURICH, V8, CH 8001, 
        203-719-5241 - 54,000,000 ($663,930,000.00) Equity, (File 333-178541 - 
        Dec. 16) (BR. 12A)

S-8     PULSE ELECTRONICS CORP, 1210 NORTHBROOK DR, SUITE 470, TREVOSE, PA, 
        19053, 2153552900 - 120,438 ($337,226.40) Equity, (File 333-178542 - 
        Dec. 16) (BR. 10C)

S-8     UBS AG, BAHNHOFSTRASSE 45, P O BOX CH 8001, ZURICH, V8, CH 8001, 
        203-719-5241 - 146,000,000 ($1,795,070,000.00) Equity, 
        (File 333-178543 - Dec. 16) (BR. 12A)

S-8     SIEMENS AKTIENGESELLSCHAFT, WITTELSBACHERPLATZ 2 D-80333 MUNICH, 
        FEDERAL REPUBLIC OF GERMANY, GERMANY, 2M, 00000, 4908963634840 - 
        0 ($2,216,726,200.00) Equity, (File 333-178544 - Dec. 16) (BR. 10C)

S-B     REPUBLIC OF COLOMBIA, 10 EAST 46TH ST, C/O CONSUL REBUBLIC OF COLOMBIA, 
        NEW YORK, NY, 10017, 0 ($5,658,813,263.00) Non-Convertible Debt, 
        (File 333-178546 - Dec. 16) (BR. DN)

S-1     COSKATA, INC., 4575 WEAVER PARKWAY, SUITE 100, WARRENVILLE, IL, 60555, 
        630-657-5800 - 0 ($100,000,000.00) Equity, (File 333-178547 - Dec. 16) 
        (BR. )

N-2     HMS INCOME FUND, INC., 2800 POST OAK BOULEVARD, SUITE 5000, HOUSTON, 
        TX, 77056-6118, 8882206121 - 0 ($1,500,000,000.00) Equity, 
        (File 333-178548 - Dec. 16) (BR. 17)

S-8     KROGER CO, 1014 VINE ST, CINCINNATI, OH, 45201, 5137624000 - 
        0 ($475,000,000.00) Equity, (File 333-178549 - Dec. 16) (BR. 02B)

S-3ASR  MARKEL CORP, 4521 HIGHWOODS PARKWAY, GLEN ALLEN, VA, 23060-3382, 
        8047470136 - 0 ($0.00) Other, (File 333-178556 - Dec. 16) (BR. 01B)

S-3ASR  TYCO INTERNATIONAL LTD, FREIER PLATZ 10, SCHAFFHAUSEN, V8, CH-8200, 
        609-720-4200 - 0 ($0.00) Other, (File 333-178557 - Dec. 16) (BR. 11A)

S-3     ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 
        8474025000 - 0 ($1.00) Other, (File 333-178570 - Dec. 16) (BR. 01A)

S-8     Congaree Bancshares Inc, 1201 KNOX ABBOTT DRIVE, CAYCE, SC, 29033, 
        803-794-2265 - 0 ($396,999.00) Equity, (File 333-178571 - Dec. 16) 
        (BR. 07C)

S-8     ADVANCE AUTO PARTS INC, 5673 AIRPORT RD, ROANOKE, VA, 24012, 
        5405613225 - 5,000,000 ($336,450,000.00) Equity, (File 333-178572 - 
        Dec. 16) (BR. 02A)

S-8     Regency Energy Partners LP, 2001 BRYAN STREET, SUITE 3700, DALLAS, TX, 
        75201, 214-750-1771 - 0 ($69,660,000.00) Limited Partnership Interests, 
        (File 333-178573 - Dec. 16) (BR. 04B)

S-4     Calumet Specialty Products Partners, L.P., 2780 WATERFRONT, 
        PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 - 
        0 ($400,000,000.00) Non-Convertible Debt, (File 333-178574 - Dec. 16) 
        (BR. 04B)

S-3     OHIO VALLEY BANC CORP, 420 THIRD AVE, GALLIPOLIS, OH, 45631, 
        7404462631 - 1,000,000 ($18,510,000.00) Equity, (File 333-178575 - 
        Dec. 16) (BR. 07A)

S-3ASR  ALLIANT ENERGY CORP, 4902 NORTH BILTMORE LANE, SUITE 1000, MADISON, WI, 
        53718-2148, 608-458-3311 - 0 ($700,000,000.00) Other, 
        (File 333-178577 - Dec. 16) (BR. 02B)

S-1     INVIVO THERAPEUTICS HOLDINGS CORP., ONE BROADWAY, 14TH FLOOR, 
        CAMBRIDGE, MA, 02142, (617) 475-1520 - 0 ($10,000,000.00) Equity, 
        (File 333-178584 - Dec. 16) (BR. 10B)

S-8     Home Federal Bancorp, Inc., 500 12TH AVENUE SOUTH, NAMPA, ID, 83653, 
        (208) 466-4634 - 781,841 ($7,834,046.82) Equity, (File 333-178585 - 
        Dec. 16) (BR. 07A)

S-1     Whiting USA Trust II, 919 CONGRESS AVENUE, SUITE 500, AUSTIN, TX, 
        78701, 512-236-6599 - 0 ($385,000,000.00) Other, (File 333-178586 - 
        Dec. 16) (BR. )

S-8     HARBINGER GROUP INC., 450 PARK AVENUE, 27TH FLOOR, NEW YORK, NY, 10022, 
        347 840 8677 - 17,000,000 ($74,205,000.00) Equity, (File 333-178587 - 
        Dec. 16) (BR. 10B)

F-10    NOVAGOLD RESOURCES INC, SUITE 2300, 200 GRANVILLE STREET, VANCOUVER, 
        A1, V6C 1S4, 604-669-6227 - 
        0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-178588 - 
        Dec. 16) (BR. 09A)

S-4     Calumet Specialty Products Partners, L.P., 2780 WATERFRONT, 
        PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 - 
        0 ($200,000,000.00) Non-Convertible Debt, (File 333-178589 - Dec. 16) 
        (BR. 04B)

S-8     PATHFINDER BANCORP INC, 214 W FIRST ST, OSWEGO, DE, 13126, 3153430057 - 
        150,000 ($1,375,000.00) Equity, (File 333-178590 - Dec. 16) (BR. 07A)

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

1st United Bancorp, Inc.                FL       2.01,9.01            10/21/11    AMEND

22nd Century Group, Inc.                NV       1.01,2.03,3.02,9.01  12/14/11

AAR CORP                                DE       2.02,9.01            12/15/11

ACHILLION PHARMACEUTICALS INC           DE       5.02                 12/12/11

ACURA PHARMACEUTICALS, INC              NY       5.02                 12/15/11

Advaxis, Inc.                           DE       8.01,9.01            12/16/11

AETRIUM INC                             MN       3.01                 12/15/11

AFH ACQUISITION V, INC.                 DE       3.02,5.02,8.01       12/14/11

ALL GRADE MINING, INC.                  CO       1.01                 12/16/11

ALTERRA CAPITAL HOLDINGS Ltd                     1.01,1.02,9.01       12/12/11

American Capital Agency Corp                     5.03,8.01,9.01       12/15/11

American Eagle Energy Inc.              NV       1.01,9.01            12/14/11

AMERICAN SCIENTIFIC RESOURCES INC       NV       5.02,9.01            12/15/11

AMERIGAS PARTNERS LP                    DE       8.01,9.01            12/15/11

AMGEN INC                               DE       5.02,9.01            12/15/11

Amincor, Inc.                           NV       5.02                 12/16/11

Anacor Pharmaceuticals Inc              DE       8.01,9.01            12/12/11

Anchor Bancorp                          WA       5.02,5.03,9.01       12/13/11

ANGEION CORP/MN                         MN       2.02,9.01            12/16/11

Apollo Global Management LLC            DE       7.01,9.01            12/16/11

APRICUS BIOSCIENCES, INC.               NV       2.01,9.01            12/15/11

AQUENTIUM INC                           DE       1.01,2.01            12/14/11

Armour Residential REIT, Inc.           MD       8.01,9.01            12/16/11

ARUBA NETWORKS, INC.                    DE       5.02,5.07,9.01       12/15/11

Ascena Retail Group, Inc.               DE       8.01,9.01            12/16/11

ASURE SOFTWARE INC                      DE       9.01                 10/01/11    AMEND

AT&T INC.                               DE       5.02,9.01            12/15/11

Atkore International Holdings Inc.      DE       2.02,9.01            12/16/11

AtriCure, Inc.                          DE       8.01,9.01            12/16/11

AVID TECHNOLOGY, INC.                   DE       8.01                 12/12/11

AVISTA CORP                             WA       1.01,2.03,9.01       12/14/11

AVON PRODUCTS INC                       NY       5.02                 12/16/11

B2B INTERNET HOLDRSSM TRUST             NY       8.01,9.01            12/16/11

BALDWIN TECHNOLOGY CO INC               DE       5.02,9.01            12/12/11

BANK OF AMERICA CORP /DE/               DE       3.02                 12/15/11

BAY BANKS OF VIRGINIA INC               VA       5.02                 12/14/11

BEAM INC                                DE       1.01,1.02,2.03,9.01  12/14/11

BeesFree, Inc.                          NV       2.01,3.02,5.01,5.02, 12/16/11
                                                 5.06,9.01
     
Behringer Harvard Opportunity REIT II   MD       1.01,8.01            12/12/11

BG Medicine, Inc.                       DE       5.02                 12/16/11

BIOTECH HOLDRS TRUST                    DE       8.01,9.01            12/16/11

BIOTIME INC                             CA       8.01,9.01            12/16/11

Bitzio, Inc.                            NV       3.02,9.01            12/14/11

BLACKBAUD INC                                    5.02,9.01            12/13/11

BLUEGREEN CORP                          MA       8.01,9.01            12/16/11

BOSTON BEER CO INC                      MA       5.02,7.01            12/12/11

BOSTON SCIENTIFIC CORP                  DE       5.02,9.01            12/12/11

BRANDYWINE REALTY TRUST                 MD       1.01,2.03,8.01,9.01  12/15/11

BROADBAND HOLDRS TRUST                           8.01,9.01            12/16/11

BROWN & BROWN INC                       FL       1.01,7.01            12/15/11

Cal Dive International, Inc.            DE       5.02                 12/16/11

CARROLS RESTAURANT GROUP, INC.                   1.01,2.03,9.01       12/14/11

CASTLE A M & CO                         MD       7.01,9.01            12/16/11

Catalent Pharma Solutions, Inc.         DE       5.02                 12/12/11

CATERPILLAR INC                         DE       8.01                 12/16/11

CEC ENTERTAINMENT INC                   KS       1.01,9.01            12/13/11

CENTENE CORP                                     7.01,9.01            12/16/11

CENTRAL BANCORP INC /MA/                MA       4.01,9.01            12/15/11

CHANCELLOR GROUP INC.                   NV       2.01,9.01            12/13/11

CHINA EDUCATION INTERNATIONAL, INC.              7.01,9.01            12/16/11

CHINA GLOBAL MEDIA INC                  NV       1.01,3.02,5.02,9.01  12/12/11

China Infrastructure Investment CORP    NV       5.02                 09/21/11

China Rongxin Chemical Holding Group,   NV       5.03,5.07,9.01       11/30/11

CHINA SKY ONE MEDICAL, INC.             NV       1.01,2.03,9.01       12/13/11

China TransInfo Technology Corp.        NV       5.02,5.07,9.01       12/16/11

ChinaNet Online Holdings, Inc.          NV       1.01,9.01            12/15/11

CINCINNATI BELL INC                     OH       5.02                 12/16/11

CISCO SYSTEMS, INC.                     CA       8.01                 12/13/11

CLAIBORNE LIZ INC                       DE       3.02                 12/15/11

Clearwire Corp /DE                      DE       1.01,5.07,8.01,9.01  12/07/11    AMEND

CNB CORP /SC/                           SC       8.01,9.01            12/15/11

COMFORT SYSTEMS USA INC                          5.02                 12/15/11

COMMUNITY BANCORP /VT                   VT       8.01,9.01            12/13/11

CORE HEALTH CARE NETWORK, INC.                   4.01                 08/25/11

CoreSite Realty Corp                    MD       1.01,9.01            12/15/11

CORONADO BIOSCIENCES INC                DE       8.01,9.01            12/15/11

Coronus Solar Inc.                      A1       1.01,7.01,9.01       12/16/11

COVER ALL TECHNOLOGIES INC              DE       8.01,9.01            12/16/11

CROGHAN BANCSHARES INC                  OH       8.01                 12/13/11

CUMMINS INC                             IN       5.02                 12/16/11

DARDEN RESTAURANTS INC                  FL       2.02,9.01            12/16/11

DATALINK CORP                           MN       9.01                 10/03/11    AMEND

Deer Consumer Products, Inc.            NV       8.01,9.01            12/16/11

DEFENSE INDUSTRIES INTERNATIONAL INC             5.02                 12/12/11

DELTA PETROLEUM CORP/CO                 CO       1.01,8.01,9.01       12/12/11

DIAMOND OFFSHORE DRILLING INC           DE       7.01,9.01            12/15/11

Discover Card Execution Note Trust      DE       8.01                 12/16/11

Discover Financial Services             DE       1.02                 12/16/11

DNB FINANCIAL CORP /PA/                 PA       1.01,5.02,9.01       12/12/11

DOLE FOOD CO INC                        DE       9.01                 10/11/11    AMEND

DONEGAL GROUP INC                       DE       7.01,9.01            12/16/11

DORAL FINANCIAL CORP                    PR       3.01,9.01            12/14/11

Double Eagle Holdings, Ltd.             NV       5.02,9.01            11/28/11    AMEND

Double Eagle Holdings, Ltd.             NV       5.02,9.01            11/28/11    AMEND

DRI CORP                                NC       3.01,9.01            12/14/11

Duke Energy CORP                        DE       5.04,8.01,9.01       12/14/11

E-Debit Global Corp.                    CO       8.01                 12/16/11

ECOLOGY COATINGS, INC.                  NV       3.02                 12/15/11

ECOSPHERE TECHNOLOGIES INC              DE       7.01,9.01            12/15/11

ECOSPHERE TECHNOLOGIES INC              DE       5.02,5.07            12/14/11

EL PASO ELECTRIC CO /TX/                TX       8.01                 12/15/11

Ellington Financial LLC                 DE       5.02,9.01            12/12/11

ENPRO INDUSTRIES, INC                   NC       5.02                 12/16/11

Ensco plc                                        7.01,9.01            12/15/11

EQUITY RESIDENTIAL                      MD       8.01                 12/14/11

Eternal Energy Corp.                             1.01,9.01            12/14/11

Europa Acquisition VII, Inc.            NV       5.02                 12/13/11

Europa Acquisition VIII, Inc.           NV       5.02                 12/13/11

EUROPE 2001 HOLDRS TRUST                NY       8.01,9.01            12/16/11

Ever-Glory International Group, Inc.    FL       5.07                 12/15/11

EVERGREEN ENERGY INC                    DE       7.01,9.01            12/16/11

EXAR CORP                               DE       5.02                 12/13/11

Expedia, Inc.                                    5.04,9.01            12/15/11

FACTSET RESEARCH SYSTEMS INC            DE       5.03,5.07,9.01       12/13/11

Federal Home Loan Bank of Cincinnati    X1       5.02                 12/16/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            12/16/11

FEDERAL HOME LOAN MORTGAGE CORP                  8.01                 12/15/11

FEDERAL NATIONAL MORTGAGE ASSOCIATION            8.01                 12/16/11

FiberTower CORP                         DE       3.01,7.01,9.01       12/12/11

FIDELIS ENERGY INC                      NV       8.01                 12/15/11    AMEND

Fifth Season International, Inc.        DE       2.01,3.02,5.01,5.02, 12/16/11    AMEND
                                                 5.03,5.06,9.01

FIRST COMMUNITY FINANCIAL CORP          PA       5.02,9.01            12/13/11

FIRST REAL ESTATE INVESTMENT TRUST OF   NJ       2.02,9.01            12/16/11

FLOTEK INDUSTRIES INC/CN/               DE       7.01,9.01            12/15/11

FORCE PROTECTION INC                    NV       1.01,8.01,9.01       12/12/11

Forex International Trading Corp.       NV       1.01,9.01            12/13/11

Fortress Investment Group LLC           DE       8.01                 12/16/11

FUEL DOCTOR HOLDINGS, INC.              DE       5.02                 12/08/11

FUEL TECH, INC.                         DE       5.02                 12/14/11

Fuelstream INC                          DE       1.01,3.02,5.01,5.02  12/14/11

GALLAGHER ARTHUR J & CO                 DE       8.01,9.01            12/16/11

GARTNER INC                             DE       5.02                 12/15/11

GENCOR INDUSTRIES INC                   DE       2.02,9.01            12/16/11

GENTA INC DE/                           DE       8.01                 12/16/11

GETTY REALTY CORP /MD/                  MD       1.02                 12/12/11

GLOBAL SMART ENERGY, INC.               DE       5.02                 10/21/11

GOLDMAN SACHS GROUP INC                 DE       8.01,9.01            12/15/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 12/16/11

Graystone Co                            DE       1.01,2.03,3.02,4.01, 12/08/11
                                                 9.01
          
GTX INC /DE/                            DE       5.02                 12/14/11

HCSB FINANCIAL CORP                     SC       5.02                 12/14/11

HEALTHWAYS, INC                         DE       5.02                 12/15/11

HEARTLAND EXPRESS INC                   NV       5.02                 12/14/11

HEICO CORP                              FL       1.01,2.03,9.01       12/14/11

HELIX BIOMEDIX INC                      DE       1.01                 12/14/11

Hipso Multimedia, Inc.                  FL       8.01,9.01            12/16/11

Hoku Corp                               DE       5.02,7.01,9.01       12/12/11

HUDSON CITY BANCORP INC                 DE       2.01,9.01            12/16/11

ICF International, Inc.                 DE       1.01,8.01,9.01       12/12/11

IDACORP INC                             ID       8.01,9.01            12/16/11

INLAND WESTERN RETAIL REAL ESTATE TRU   MD       5.02                 12/13/11

INSITE VISION INC                       DE       5.03,9.01            12/14/11

InsPro Technologies Corp                DE       5.02,9.01            12/13/11

INTELSAT S.A.                           N4       8.01,9.01            12/16/11

INTERMUNE INC                           DE       7.01,9.01            12/15/11

INTERNET ARCHITECTURE HOLDRSSM TRUST    NY       8.01,9.01            12/16/11

INTERNET HOLDRS TRUST                   NY       8.01,9.01            12/16/11

INTERNET INFRASTRUCTURE HOLDRSSM TRUS   NY       8.01,9.01            12/16/11

INTERNET MEDIA SERVICES, INC.           DE       1.01,2.03,3.02,9.01  12/12/11

IntraLinks Holdings, Inc.               DE       5.02,9.01            12/15/11

IPG PHOTONICS CORP                      DE       8.01                 12/16/11

IVANHOE ENERGY INC                               5.02,9.01            12/12/11

JAKKS PACIFIC INC                       DE       8.01,9.01            12/16/11

Kansas City Southern de Mexico, S.A.             1.01,2.03,9.01       12/13/11

KENSEY NASH CORP                        DE       7.01,9.01            12/16/11

Kraton Performance Polymers, Inc.       DE       1.01,5.02,9.01       12/13/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 12/16/11

Laredo Petroleum Holdings, Inc.         DE       1.01,7.01,9.01       12/14/11

LaSalle Hotel Properties                MD       1.01,2.03,7.01,9.01  12/14/11

Latteno Food Corp                       DE       5.02,9.01            12/12/11

LEE ENTERPRISES, INC                    DE       1.01,8.01,9.01       12/13/11

LIBERTY SILVER CORP                     NV       5.03,9.01            12/14/11

LIBERTY STAR URANIUM & METALS CORP.     NV       8.01,9.01            12/13/11

LOCAL.COM                               DE       1.01,9.01            12/12/11

MANNATECH INC                           TX       5.02,9.01            12/13/11

Marine Drive Mobile Corp.               NV       9.01                 10/03/11    AMEND

MARKET 2000 PLUS HOLDRS SM TRUST        NY       8.01,9.01            12/16/11

MELA SCIENCES, INC. /NY                          1.01,8.01,9.01       12/15/11

MICHAEL BAKER CORP                      PA       9.01                 10/03/11    AMEND

MICHAELS STORES INC                     DE       1.01,9.01            12/15/11

Money Tree, Inc.                        GA       1.01,9.01            12/14/11

MOTRICITY INC                           DE       5.07                 12/13/11

MPG Office Trust, Inc.                  MD       1.01,5.02,9.01       12/15/11

N-VIRO INTERNATIONAL CORP               DE       1.01,9.01            12/12/11

NACCO INDUSTRIES INC                    DE       1.01,9.01            12/13/11

NanoTech Entertainment, Inc.            NV       4.01,9.01            05/06/11    AMEND

NATIONAL BANCSHARES CORP /OH/           OH       2.02                 12/15/11

NATURAL RESOURCE PARTNERS LP            DE       5.03,9.01            12/16/11

NAVIGATORS GROUP INC                    DE       5.02,9.01            12/12/11

NCO Group, Inc.                         DE       5.02                 11/28/11

NEOPHOTONICS CORP                       DE       9.01                 10/12/11    AMEND

NEW YORK MORTGAGE TRUST INC             MD       8.01,9.01            12/15/11

NEW YORK MORTGAGE TRUST INC             MD       5.02,8.01            12/14/11

NGL Energy Partners LP                  DE       1.01,7.01,9.01       12/12/11

NGP Capital Resources Co                MD       7.01,9.01            12/15/11

NICOR INC                               IL       2.01,3.01,3.03,4.01, 12/09/11
                                                 5.01,5.02,5.03,8.01,
                                                 9.01
  
NICOR INC                               IL       4.01,9.01            12/09/11    AMEND

Noble Corp / Switzerland                V8       5.02,7.01,9.01       12/16/11

NORFOLK SOUTHERN CORP                   VA       1.01,1.02,2.03,9.01  12/14/11

NORTHERN ILLINOIS GAS CO /IL/ /NEW/     IL       4.01,9.01            12/09/11    AMEND

NORWOOD FINANCIAL CORP                  PA       8.01,9.01            12/16/11

Nuance Communications, Inc.             DE       2.01,9.01            10/06/11    AMEND

Nuance Communications, Inc.             DE       2.01,9.01            09/30/11    AMEND

OHIO VALLEY BANC CORP                   OH       8.01                 12/16/11

OIL SERVICE HOLDRS TRUST                NY       8.01,9.01            12/16/11

OMEGA PROTEIN CORP                      NV       5.02,9.01            12/12/11

OMNI VENTURES INC                       KS       4.01                 12/14/11

OMNI VENTURES INC                       KS       4.01                 12/14/11    AMEND

OMNOVA SOLUTIONS INC                    OH       2.01,9.01            12/12/11

OPEN TEXT CORP                          A6       5.02,9.01            12/15/11

OPEN TEXT CORP                          A6       5.07                 12/15/11

OPLINK COMMUNICATIONS INC               DE       8.01                 12/15/11

OPTICAL CABLE CORP                      VA       8.01,9.01            10/14/11

Pacific Bepure Industry Inc             DE       5.02                 12/16/11

PARKVALE FINANCIAL CORP                 PA       5.07,8.01,9.01       12/15/11

PATRIOT NATIONAL BANCORP INC            CT       5.07                 09/16/11

PCS EDVENTURES COM INC                  ID       2.03                 03/31/11    AMEND

PDL BIOPHARMA, INC.                     DE       5.02                 12/16/11

PENSON WORLDWIDE INC                    DE       7.01,9.01            12/16/11

PHARMACEUTICAL HOLDRS TRUST                      8.01,9.01            12/16/11

Pharmasset Inc                                   8.01,9.01            12/16/11

PHOTOMEDEX INC                          DE       1.01,1.02,2.01,3.03, 12/12/11
                                                 5.01,5.02,5.07,8.01,
                                                 9.01
  
PMC SIERRA INC                          DE       5.02,9.01            12/15/11

PPL Corp                                         8.01,9.01            12/15/11

PPL Corp                                         8.01,9.01            12/13/11

Princeton Security Technologies, Inc.   NJ       8.01,9.01            12/14/11

PROGRESS ENERGY INC                     NC       5.04,8.01,9.01       12/16/11

PRUDENTIAL FINANCIAL INC                NJ       2.03                 12/16/11

PUMA BIOTECHNOLOGY, INC.                DE       1.01,2.01,3.02,4.01, 10/04/11    AMEND
                                                 5.01,5.02,5.03,5.06,
                                                 9.01
  
QCR HOLDINGS INC                        DE       8.01,9.01            12/16/11

QLIK TECHNOLOGIES INC                   DE       5.02                 12/16/11

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       1.01,9.01            12/15/11

RACKSPACE HOSTING, INC.                          8.01                 12/16/11

RAIT Financial Trust                    MD       5.02,9.01            12/15/11

RAYTHEON CO/                            DE       1.01,1.02,9.01       12/13/11

REALOGY CORP                            DE       1.01,1.02,2.03       12/16/11

Regency Energy Partners LP              DE       1.01,2.03,5.02,5.07, 12/16/11
                                                 7.01,9.01
     
REGIONAL BANK HOLDERS SM TRUST          NY       8.01,9.01            12/16/11

RENT A CENTER INC DE                             8.01,9.01            12/15/11

RETAIL HOLDRS TRUST                     NY       8.01,9.01            12/16/11

RoomStore, Inc.                         VA       1.03,2.03            12/12/11

Rovi Corp                               DE       1.01,5.02,9.01       12/14/11

RSC Holdings Inc.                       DE       8.01,9.01            12/16/11

RVUE HOLDINGS, INC.                     NV       2.03                 12/12/11

SELECT MEDICAL HOLDINGS CORP                     5.02                 12/15/11

SEMICONDUCTOR HOLDRS TRUST              NY       8.01,9.01            12/16/11

SGS International, Inc.                 DE       5.02                 12/13/11

SHILOH INDUSTRIES INC                   DE       5.02                 12/15/11

Shire plc                                        5.02,9.01            12/16/11

SHOE CARNIVAL INC                       IN       2.02,9.01            12/16/11

Silicon Graphics International Corp     DE       8.01                 12/16/11

SimplePons, Inc.                        DE       8.01                 12/16/11

Sino American Oil Co                    NV       9.01                 12/15/11

SM Energy Co                            DE       7.01,9.01            12/16/11

Snap Interactive, Inc                   DE       3.02,5.02            12/14/11

SOEFL INC.                              NV       1.01,3.03,5.03,9.01  12/15/11

SOFTWARE HOLDRS TRUST                   NY       8.01,9.01            12/16/11

SOLERA HOLDINGS, INC                    DE       8.01                 12/14/11

SONOSITE INC                                     1.01,9.01            12/16/11

SOUTHERN STATES SIGN Co                 NV       5.02,8.01            12/14/11

SOUTHWEST GAS CORP                      CA       8.01                 12/15/11

SPARTAN MOTORS INC                      MI       1.01,2.03            12/16/11

STEMCELLS INC                           DE       8.01,9.01            12/16/11

STEWART ENTERPRISES INC                 LA       2.02,8.01,9.01       12/14/11

SUNOVIA ENERGY TECHNOLOGIES INC         NV       3.02,8.01,9.01       12/06/11

SUNRISE SENIOR LIVING INC               DE       1.01,3.03,8.01,9.01  12/16/11

SURREY BANCORP                          NC       8.01,9.01            12/16/11

Symetra Financial CORP                  DE       1.01,1.02,2.03,9.01  12/14/11

SYMS CORP                               NJ       2.01,9.01            06/18/09    AMEND

SYNERGY PHARMACEUTICALS, INC.           FL       1.01,9.01            12/15/11

SYNERGY RESOURCES CORP                  CO       1.01,8.01,9.01       12/16/11

SYNTROLEUM CORP                         DE       8.01                 12/15/11

SYNTROLEUM CORP                         DE       8.01                 12/16/11

TELECOM HOLDRS TRUST                    NY       8.01,9.01            12/16/11

TELEFLEX INC                            DE       5.02,9.01            12/15/11

TENET HEALTHCARE CORP                   NV       5.02,9.01            12/16/11

THORATEC CORP                           CA       5.02,9.01            12/13/11

TICC Capital Corp.                      MD       8.01,9.01            12/16/11

Timberline Resources Corp               DE       2.02,7.01,9.01       12/16/11

TIMKEN CO                               OH       8.01,9.01            12/15/11

TN-K ENERGY GROUP INC.                  DE       7.01,9.01            12/16/11

Transcept Pharmaceuticals Inc           DE       5.02                 12/13/11

TRI VALLEY CORP                                  8.01                 11/29/11

TRIMBLE NAVIGATION LTD /CA/             CA       5.07                 05/06/11    AMEND

TRW AUTOMOTIVE HOLDINGS CORP            DE       8.01                 12/14/11

TSIC, Inc.                              DE       7.01,9.01            12/14/11

U S GOLD CORP                           CO       7.01,9.01            12/16/11

UGI CORP /PA/                           PA       8.01,9.01            12/15/11

Ulta Salon, Cosmetics & Fragrance, In   DE       5.02,9.01            12/14/11

UNITED RENTALS INC /DE                  DE       8.01,9.01            12/15/11

United States Commodity Index Funds T   DE       8.01                 12/16/11

Unum Group                              DE       5.02,9.01            12/14/11

UTILITIES HOLDERS SM TRUST              NY       8.01,9.01            12/16/11

VALENCE TECHNOLOGY INC                  DE       3.01                 12/13/11

VALLEY NATIONAL BANCORP                 NJ       7.01,9.01            12/16/11

VERTEX PHARMACEUTICALS INC / MA         MA       5.02                 12/14/11

VICTORIA INTERNET SERVICES INC          NV       1.01,2.01,9.01       12/07/11

VISA INC.                               DE       8.01                 12/16/11

Vocus, Inc.                             DE       5.07                 06/16/11    AMEND

WALTER INVESTMENT MANAGEMENT CORP       MD       8.01                 12/16/11

WARREN RESOURCES INC                    MD       1.01,7.01,9.01       12/15/11

WASHINGTON MUTUAL, INC                  WA       7.01,9.01            12/12/11

WASTE CONNECTIONS, INC.                 DE       2.05,9.01            12/12/11

WAUSAU PAPER CORP.                      WI       1.01,9.01            12/13/11

WD 40 CO                                DE       5.07                 12/13/11

WELLS FARGO & CO/MN                     DE       9.01                 12/16/11

WEST COAST BANCORP /NEW/OR/             OR       5.02                 12/13/11

WINNEBAGO INDUSTRIES INC                IA       5.02,5.07            12/13/11

WIRELESS HOLDRS TRUST                   NY       8.01,9.01            12/16/11

WIRELESS RONIN TECHNOLOGIES INC         MN       5.02,9.01            12/12/11

XCEL ENERGY INC                         MN       8.01                 12/08/11

XERIUM TECHNOLOGIES INC                 DE       5.02                 12/16/11

Zagg INC                                NV       5.02,9.01            12/12/11

http://www.sec.gov/news/digest/2011/dig121911.htm

SEC News Digest