SEC News Digest, April 2, 2012

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Commission announcements

SEC Suspends Trading in the Securities of eMax Worldwide, Inc. For Failure to Make Required Periodic Filings

The U.S. Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of eMax Worldwide, Inc. (eMax Worldwide), for the period from 9:30 a.m. EDT, April 2, 2012, through 11:59 p.m. EDT, on April 16, 2012.

The Commission temporarily suspended trading in the securities of eMax Worldwide due to a lack of current and accurate information because it has not filed certain periodic reports with the Commission and because eMax Worldwide has more than 300 shareholders of record.

The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.

Further, brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has compiled with the rule, he should not enter any quotation, but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to eMax Worldwide’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-66708)

Rules and related matters

Exemptions for Security Security-Based Swaps Issued by Certain Clearing Agencies

On March 30, 2012, the Commission adopted exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. The final rules are effective April 16, 2012.

The full text of the adopting release can be accessed on the Commission’s website at http://www.sec.gov/rules/final/2012/33-9308.pdf. (Rels. 33-9308; 34-66703; 39-2484; S7-22-11)

Enforcement Proceedings

In the Matter of Aduddell Industries, Inc.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in Aduddell Industries, Inc., Admin. Proc. File No. 3-14782. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Aduddell Industries, Inc., Capital Markets Technologies, Inc., Challenger Powerboats, Inc., and CLX Medical, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act).

This proceeding has been settled as to Calypso Wireless, Inc. See Aduddell Industries, Inc., Exchange Act Release No. 66588 (Mar. 14, 2012). (Rel. 34-66707; File No. 3-14782)

Court Enters $98.6 Million Final Judgment Against U.K. Hedge Fund Adviser Pentagon Capital Management PLC and its CEO Lewis Chester

On Wednesday, March 28, 2012, United States District Judge Robert W. Sweet of the Southern District of New York entered a final judgment in favor of the U.S. Securities and Exchange Commission ordering total monetary relief of $98.6 million. The final judgment enjoins Defendants Pentagon Capital Management (PCM), a United Kingdom based hedge fund adviser, and its chief executive officer, Lewis Chester, from violating the antifraud provisions of the securities laws, Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In addition, the final judgment orders PCM and Chester, on a joint and several basis with their hedge fund client Relief Defendant Pentagon Special Purpose Fund, Ltd., to pay $60,204,423.20, representing $38,416,500 in disgorgement of their ill-gotten gains and $21,787,923.20 in prejudgment interest. Finally, the final judgment imposes a civil money penalty of $38,416,500, on a joint and several basis, against PCM and Chester.

Previously, on February 15, 2012, the Court issued an Opinion finding that Defendants “intentionally, and egregiously,” violated the antifraud provisions of the securities laws by engaging in a late trading scheme to defraud United States mutual funds. Late trading refers to the practice of placing orders to buy, redeem, or exchange U.S. mutual fund shares after the time as of which the funds calculate their net asset value (usually as of the close of trading at 4:00 p.m. ET), but receiving the price based on the net asset value already determined as of 4:00 p.m. The same day that the Court entered the final judgment, the Court also issued an Opinion explaining its decision to impose a penalty equal to the disgorgement ordered because, inter alia, “Defendants understood that late trading was illegal and acted with marked scienter, going to great lengths to seek out, structure, and maintain the ability to deceive the funds into accepting their late trades and attempting to cover up their late trading after the fact.”

Chester, age 43, is a resident of London, England. PCM is an investment adviser and investment manager based in London, England, and is registered with the United Kingdom Financial Services Authority. Pentagon Special Purpose Fund, Ltd. is an international business company incorporated in the British Virgin Islands. [SEC v. Pentagon Capital Management PLC, et al., 08 Civ. 3324 (RWS) (S.D.N.Y.)] (LR-22314)

Self-Regulatory Organizations

Approval of Proposed Rule Changes

The Commission granted approval of a proposed rule change (SR-C2-2012-006) submitted by the C2 Options Exchange, Incorporated pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to its Automated Improvement Mechanism. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66677)

The Commission granted approval of a proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-123) to establish an Automated Improvement Mechanism and a Solicitation Auction Mechanism for FLEX Options. Publication is expected in the Federal Register during the week of April 2. (Rel. 3 34-66702)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-39) related to the non-display of Primary Pegged Orders with an offset amount has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66697)

A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2012-022) related to the non-display of Primary Pegged Orders with an offset amount has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66698)

A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-041) related to the non-display of Primary Pegged Orders with an offset amount has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66699)

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to extend pilot programs relating to FLEX exercise settlement values and minimum value sizes (SR-CBOE-2012-027) 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 April 2. (Rel. 34-66701)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-030) relating to FLEX transaction fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66704)

A proposed rule change filed by NASDAQ OMX BX, Inc. to amend the BOX trading rules regarding the Short Term Option Series Program (SR-BX-2012-024) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66705)

Proposed Rule Change

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2012-24) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of AdvisorShares Global Echo ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66696)

Securities Act Registrations

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

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

S-1     Reval Holdings Inc, 420 FIFTH AVENUE, 5TH FLOOR, NEW YORK, NY, 10018, 
        212-901-9799 - 0 ($75,000,000.00) Equity, (File 333-180468 - Mar. 30) 
        (BR. 03)

F-1     Eros International PLC, 901-902, 9th floor, supreme Chambers, 
        Veera Desai Road, Andheri (West), Mumbai, K7, 00000, 
        91 (22) 6602 1500 - 0 ($250,000,000.00) Equity, (File 333-180469 - 
        Mar. 30) (BR. 05)

S-8     CAL MAINE FOODS INC, 3320 WOODROW WILSON DRIVE, JACKSON, MS, 39207, 
        6019486813 - 556,151 ($22,499,089.00) Equity, (File 333-180470 - 
        Mar. 30) (BR. 05C)

S-1     MICHAELS STORES INC, 8000 BENT BRANCH DR, ********, IRVING, TX, 75063, 
        (972)409-1300 - 0 ($500,000,000.00) Equity, (File 333-180473 - Mar. 30) 
        (BR. 02B)

S-3ASR  Wendy's Co, ONE DAVE THOMAS BLVD, DUBLIN, OH, 43017, (614) 764-3100 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-180474 - Mar. 30) 
        (BR. 05C)

S-8     Verastem, Inc., 215 FIRST STREET, SUITE 440, CAMBRIDGE, MA, 02142, 
        617-252-9300 - 0 ($42,468,994.00) Equity, (File 333-180475 - Mar. 30) 
        (BR. 01A)

S-8     West End Indiana Bancshares, Inc., 34 SOUTH 7TH STREET, RICHMOND, IN, 
        47374, (765) 962-9587 - 1 ($1.00) Equity, (File 333-180476 - Mar. 30) 
        (BR. 07)

S-3     Atlas Resource Partners, L.P., 412-489-0006 - 
        0 ($500,000,000.00) Other, (File 333-180477 - Mar. 30) (BR. 04A)

S-8     EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5082937208 - 
        0 ($19,091.25) Equity, (File 333-180478 - Mar. 30) (BR. 03C)

S-3     SUPERTEL HOSPITALITY INC, 309 NORTH FIFTH STREET, NORFOLK, NE, 68701, 
        4023712520 - 0 ($60,000,000.00) Equity, (File 333-180479 - Mar. 30) 
        (BR. 08B)

S-4     Antero Resources Finance Corp, 1625 17TH STREET, DENVER, CO, 80202, 
        303 357 7325 - 0 ($400,000,000.00) Debt, (File 333-180480 - Mar. 30) 
        (BR. 04B)

S-1     VISANT CORP, 357 MAIN STREET, 1ST FLOOR, ARMONK, NY, 10504, 
        (914) 595-8200 - 0 ($1.00) Non-Convertible Debt, (File 333-180481 - 
        Mar. 30) (BR. 02A)

S-8     A. H. Belo CORP, 400 S. RECORD STREET, DALLAS, TX, 75202, 
        214-977-6606 - 0 ($39,080,000.00) Equity, (File 333-180482 - Mar. 30) 
        (BR. 05A)

S-8     ROSETTA STONE INC, 1919 NORTH LYNN STREET, SUITE 700, ARLINGTON, VA, 
        22209, 1-800-788-0822 - 0 ($10,155,000.00) Equity, (File 333-180483 - 
        Mar. 30) (BR. 03B)

S-1     Inner City Ventures, Inc., 5553 RISING SUN AVE., PHILADELPHIA, PA, 
        19120, (215) 457-3100 - 2,400,000 ($6,000,000.00) Equity, 
        (File 333-180484 - Mar. 30) (BR. )

S-8     PACIFIC DRILLING S.A., 16 AVENUE PASTEUR, L-2310, NONE, N4, NONE, 
        NONE - 7,200,000 ($74,736,000.00) Equity, (File 333-180485 - Mar. 30) 
        (BR. 04C)

S-1     SERVICE-NOW.COM, 12225 EL CAMINO REAL, SUITE 100, SAN DIEGO, CA, 92130, 
        858-720-0477 - 0 ($150,000,000.00) Equity, (File 333-180486 - Mar. 30) 
        (BR. )

S-8     SEQUANS COMMUNICATIONS, 19 LE PARVIS, BATIMENT CITICENTER, 
        PARIS LA DEFENSE, I0, 92073, 0170721600 - 
        125,000 ($1,040,000.00) Equity, (File 333-180487 - Mar. 30) (BR. 10C)

S-3ASR  BANK OF AMERICA CORP /DE/, BANK OF AMERICA CORPORATE CENTER, 
        100 N TRYON ST, CHARLOTTE, NC, 28255, 7043868486 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-180488 - Mar. 30) 
        (BR. 12A)

S-1     BIOVEST INTERNATIONAL INC, 324 S HYDE PARK AVE, SUITE 350, TAMPA, FL, 
        33606, 813-864-2554 - 0 ($5,000,000.00) Equity, (File 333-180489 - 
        Mar. 30) (BR. 01B)

S-4     SRA INTERNATIONAL, INC., 4300 FAIR LAKES COURT, FAIRFAX, VA, 22033, 
        7038031500 - 400,000,000 ($400,000,000.00) Debt, (File 333-180490 - 
        Mar. 30) (BR. 03A)

S-8     RESPONSYS INC, 900 CHERRY AVENUE, 5TH FLOOR, SAN BRUNO, CA, 94066, 
        650-745-1700 - 1,500,000 ($17,880,000.00) Equity, (File 333-180491 - 
        Mar. 30) (BR. 03C)

S-3     PROSPECT GLOBAL RESOURCES INC., 600 17TH STREET, SUITE 2800 SOUTH, 
        DENVER, CO, 80202, (303) 634-2239 - 0 ($400,000,000.00) Other, 
        (File 333-180492 - Mar. 30) (BR. 06B)

S-3     Vringo Inc, 18 EAST 16TH STREET, NEW YORK, NY, 10003, 646-861-5575 - 
        2,672,756 ($4,356,592.28) Equity, (File 333-180493 - Mar. 30) (BR. 11A)

S-8     PAN AMERICAN SILVER CORP, 0 ($9,004,742.13) Equity, (File 333-180494 - 
        Mar. 30) (BR. 09A)

S-8     PAN AMERICAN SILVER CORP, 0 ($6,429,632.30) Equity, (File 333-180495 - 
        Mar. 30) (BR. 09A)

S-1     Nova Lifestyle, Inc., 6541 E. WASHINGTON BLVD., COMMERCE, CA, 90040, 
        (323) 888-9999 - 667,500 ($1,268,250.00) Equity, (File 333-180496 - 
        Mar. 30) (BR. 06A)

S-8     DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100, 
        WARRINGTON, PA, 18976, 2154889300 - 0 ($10,680,000.00) Equity, 
        (File 333-180497 - Mar. 30) (BR. 01A)

S-8     ERF Wireless, Inc., 2911 SOUTH SHORE BLVD, SUITE 100, LEAGUE CITY, TX, 
        77573, 281-538-2101 - 250,000 ($532,500.00) Equity, (File 333-180498 - 
        Mar. 30) (BR. 11A)

S-B     CORPORACION ANDINA DE FOMENTO, TORRE CENTRAL, 
        AVENIDA LUIS ROCHE ALTAMIRA, CARACAS VENEZUELA, X5, 999999999, 
        0 ($1,000,000,000.01) Debt, (File 333-180499 - Mar. 30) (BR. DN)

S-8     WESTERN LIBERTY BANCORP, 1370 AVENUE OF THE AMERICAS, 28TH FLOOR, 
        NEW YORK, NY, 10019, 212.445.7800 - 0 ($709,971.30) Equity, 
        (File 333-180500 - Mar. 30) (BR. 07B)

S-1     National Bank Holdings Corp, 101 FEDERAL STREET, SUITE 1900, BOSTON, 
        MA, 02110, 617-303-1810 - 0 ($882,916,760.00) Equity, 
        (File 333-180501 - Mar. 30) (BR. 07)

S-3     GOLDEN STAR RESOURCES LTD, 10901 WEST TOLLER DRIVE, SUITE 300, 
        LITTLETON, CO, 80127, 3038309000 - 
        0 ($75,000,000.01) Unallocated (Universal) Shelf, (File 333-180502 - 
        Mar. 30) (BR. 09B)

F-3     UNIONBANCAL CORP, 400 CALIFORNIA STREET, SAN FRANCISCO, CA, 94104-1476, 
        4157652969 - 0 ($1.00) Other, (File 333-180503 - Mar. 30) (BR. 07B)

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

-----------------------------------------------------------------------------------------
5Barz International, Inc.                        1.01,2.01,3.02,9.01  03/26/12

ACADIA PHARMACEUTICALS INC              DE       1.01,9.01            03/30/12

ACCO BRANDS CORP                        DE       1.01,2.03,7.01,9.01  03/27/12

AEMETIS, INC                            NV       7.01,9.01            03/28/12

Alkermes plc.                                    5.02,9.01            03/28/12

AMBASSADORS INTERNATIONAL INC           DE       5.02,9.01            03/30/12

AMERICAN AIRLINES INC                   DE       7.01,9.01            03/29/12

AMERICAN POWER CORP.                    NV       1.01,9.01            03/26/12

AMERICAN POWER CORP.                    NV       1.01,9.01            03/26/12    AMEND

American Realty Capital Trust, Inc.     DE       2.02,2.03,7.01,8.01, 03/30/12
                                                 9.01
          
AMERICAN SPECTRUM REALTY INC            MD       2.02,9.01            03/30/12

AMERICAN STATES WATER CO                CA       5.02,9.01            03/27/12

American Water Works Company, Inc.      DE       5.02,9.01            03/26/12

AMERINST INSURANCE GROUP LTD            D0       7.01,9.01            03/30/12

AMR CORP                                DE       7.01,9.01            03/29/12

Andina Acquisition Corp                 E9       8.01,9.01            03/30/12

ANWORTH MORTGAGE ASSET CORP             MD       8.01,9.01            03/30/12

AOL Inc.                                DE       5.02                 03/28/12

AOL Inc.                                DE       8.01                 03/30/12

AON CORP                                DE       5.02,9.01            03/27/12

AON CORP                                DE       5.02                 03/26/12

APRIA HEALTHCARE GROUP INC              DE       2.02,9.01            03/30/12

ARCA biopharma, Inc.                    DE       5.02                 03/26/12

ASSURED GUARANTY LTD                    D0       7.01                 03/30/12

ATMEL CORP                              DE       5.02                 03/27/12

Atrinsic, Inc.                          DE       8.01                 03/29/12

ATS CORP                                DE       1.02,2.04,3.01,3.03, 03/30/11
                                                 5.01,5.02,5.03,9.01
        
AUTHENTIDATE HOLDING CORP               DE       1.01,9.01            03/28/12

AUXILIO INC                             NV       2.02,9.01            03/29/12

AXIS CAPITAL HOLDINGS LTD                        5.02                 03/26/12

BANCTRUST FINANCIAL GROUP INC           AL       1.01,8.01,9.01       03/28/12

BANNER CORP                             WA       1.01,9.01            03/28/12

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,8.01,9.01       03/19/12

BERTHEL GROWTH & INCOME TRUST I         DE       8.01                 03/26/11

BGC Partners, Inc.                      DE       7.01,9.01            03/29/12

BillMyParents, Inc.                     CO       5.02                 03/26/12

BINGO.COM LTD.                          Y6       1.01                 03/19/10

BIRNER DENTAL MANAGEMENT SERVICES INC   CO       2.02,9.01            03/30/12

Bluerock Enhanced Multifamily Trust,    MD       1.01,2.03            03/30/12

Burger King Holdings Inc                DE       2.06,8.01            03/26/12

Business Development Corp of America    MD       8.01,9.01            03/29/12

CAGLES INC                              GA       2.03                 03/26/12

CAMAC Energy Inc.                       DE       8.01                 03/29/12

CAMBRIDGE HEART INC                     DE       2.02,8.01,9.01       03/30/12

Capella Healthcare, Inc.                DE       2.02,9.01            03/30/12

Carbon Natural Gas Co                   DE       5.02                 03/28/12

Castwell Precast Corp                   NV       1.01,2.01,3.02,5.01, 03/27/12
                                                 5.02,5.03,5.06,9.01
        
CDI CORP                                PA       7.01,9.01            03/30/12

CELL THERAPEUTICS INC                   WA       2.02,7.01,9.01       03/30/12

CelLynx Group, Inc.                     NV       1.01,2.01,3.01,5.03, 03/26/12
                                                 9.01
          
CENTRAL FEDERAL CORP                    DE       2.02,9.01            03/30/12

CENTRAL HUDSON GAS & ELECTRIC CORP      NY       8.01,9.01            03/30/12

CENTRAL VALLEY COMMUNITY BANCORP        CA       8.01,9.01            03/30/12

CENVEO, INC                             CO       1.01,2.03,3.03,9.01  03/28/12

CHICAGO RIVET & MACHINE CO              IL       2.02,9.01            03/28/12

China Energy Recovery, Inc.             DE       4.02                 03/30/12

China Nutrifruit Group LTD              NV       5.07,9.01            03/30/12

CHRISTOPHER & BANKS CORP                DE       5.02,9.01            03/27/12

CITIBANK CREDIT CARD ISSUANCE TRUST     DE       8.01                 03/30/12

CITIZENS BANCSHARES CORP /GA/           GA       2.02,9.01            03/30/12

Cleantech Solutions International, In   DE       2.02,7.01,9.01       03/26/12

CNO Financial Group, Inc.               DE       7.01,9.01            03/30/12

COAST DISTRIBUTION SYSTEM INC           DE       2.02,5.02,9.01       03/27/12

COCA-COLA ENTERPRISES, INC.             DE       8.01                 03/30/12

COMFORT SYSTEMS USA INC                          5.02,9.01            03/26/12

CONNS INC                               DE       5.02                 03/27/12

CORNERSTONE BANCSHARES INC              TN       1.01                 03/28/12

CORNING INC /NY                         NY       8.01                 03/30/12

CORTEX PHARMACEUTICALS INC/DE/          DE       2.02,9.01            03/30/12

COSI INC                                DE       2.02,7.01,9.01       03/29/12

COVANTA HOLDING CORP                    DE       1.01,1.02,2.03,9.01  03/28/12

CPS TECHNOLOGIES CORP/DE/               DE       8.01                 03/27/12

CPS TECHNOLOGIES CORP/DE/               DE       2.02                 12/31/11

CRACKER BARREL OLD COUNTRY STORE, INC            5.07                 12/20/11    AMEND

CREDIT ACCEPTANCE CORP                  MI       5.02,8.01            03/26/12

CREDO PETROLEUM CORP                    DE       2.02,9.01            03/26/12

CROWN CRAFTS INC                        DE       1.01,5.02,9.01       03/26/12

CTS CORP                                IN       5.02,9.01            03/28/12

CURRENCYSHARES AUSTRALIAN DOLLAR TRUS            8.01,9.01            03/30/12

CURRENCYSHARES BRITISH POUND STERLING            8.01,9.01            03/30/12

CURRENCYSHARES CANADIAN DOLLAR TRUST             8.01,9.01            03/30/12

CURRENCYSHARES CHINESE RENMINBI TRUST   NY       8.01,9.01            03/30/12

CURRENCYSHARES EURO TRUST                        8.01,9.01            03/30/12

CURRENCYSHARES JAPANESE YEN TRUST                8.01,9.01            03/30/12

CurrencyShares Singapore Dollar Trust   NY       8.01,9.01            03/30/12

CurrencyShares South African Rand Tru   NY       8.01,9.01            03/30/12

CURRENCYSHARES SWEDISH KRONA TRUST               8.01,9.01            03/30/12

CURRENCYSHARES SWISS FRANC TRUST                 8.01,9.01            03/30/12

Customers Bancorp, Inc.                 PA       5.02,9.01            03/26/12

DAVE & BUSTERS INC                      MO       5.02                 03/28/12

DAYSTAR TECHNOLOGIES INC                DE       2.02,9.01            03/30/12

DEFENSE INDUSTRIES INTERNATIONAL INC             4.01,9.01            03/07/12

DENNYS CORP                             DE       5.02                 03/26/12

DEPOMED INC                             CA       8.01                 03/27/12

DERMA SCIENCES, INC.                    PA       1.01,9.01            03/27/12

EAGLE BANCORP INC                       MD       5.03,9.01            03/28/12

Earn-A-Car Inc.                         NV       5.03,9.01            02/10/12

EASTMAN KODAK CO                        NJ       9.01                 03/30/12

ELANDIA INTERNATIONAL INC.              DE       5.02                 03/26/12

ELECTRONIC CONTROL SECURITY INC         NJ       1.01,2.03,9.01       03/27/12

Emergent BioSolutions Inc.              DE       1.01                 03/08/12

Emrise CORP                             DE       2.02,7.01,9.01       03/30/12

ENER1 INC                               FL       8.01,9.01            03/30/12

ENERGY CONVERSION DEVICES INC           DE       7.01,9.01            03/28/12

ENERGY FOCUS, INC/DE                    DE       2.02,9.01            03/29/12

Enertopia Corp.                         NV       7.01,9.01            03/30/12

ENGLOBAL CORP                           NV       8.01,9.01            03/30/12

Eternal Image Inc                                8.01                 03/23/12

EVOLVING SYSTEMS INC                    DE       4.02,9.01            03/27/12

EXIDE TECHNOLOGIES                      DE       5.02,9.01            03/26/12

Farm Lands of Africa, Inc.              NV       8.01,9.01            03/30/12

FBL FINANCIAL GROUP INC                 IA       7.01                 03/30/12

FEEL GOLF CO INC                        CA       5.03,9.01            03/21/12

Feihe International Inc                 UT       2.02,5.02,9.01       03/30/12

Fidelity National Information Service            1.01,2.03,8.01,9.01  03/30/12

FINDEX COM INC                          NV       5.02                 02/24/12

FINISH LINE INC /IN/                    IN       2.02,8.01,9.01       03/30/12

FIRST MERCHANTS CORP                    IN       5.02,9.01            03/26/12

FIRST SOUTH BANCORP INC /VA/            VA       1.01,5.02,9.01       03/30/12

FLATBUSH FEDERAL BANCORP INC                     2.02,9.01            03/27/12

FOREST CITY ENTERPRISES INC             OH       2.02,9.01            03/29/12

FOREST CITY ENTERPRISES INC             OH       5.03                 03/30/12

Franklin Financial Corp                 VA       5.02,8.01,9.01       03/29/12

FROZEN FOOD EXPRESS INDUSTRIES INC      TX       8.01,9.01            03/29/12

GALECTIN THERAPEUTICS INC               NV       2.02,9.01            03/30/12

GBS Enterprises Inc                     NV       3.02,9.01            03/26/12

GENERAL EMPLOYMENT ENTERPRISES INC      IL       1.01,9.01            02/15/12

Genie Energy Ltd.                       DE       5.02                 03/28/12

GenMark Diagnostics, Inc.               DE       1.01,7.01,9.01       03/27/12

GenOn Energy, Inc.                      DE       8.01                 03/30/12

GENWORTH FINANCIAL INC                  DE       2.02,9.01            03/30/12

GeoMet, Inc.                            DE       2.02,9.01            03/30/12

Global Geophysical Services Inc         DE       1.01,9.01            03/29/12

GLOBAL GOLD CORP                        DE       8.01,9.01            03/29/12

Global Growth Trust, Inc.               MD       1.01,2.03,7.01,8.01, 03/27/12
                                                 9.01
          
GLOBAL PAYMENTS INC                     GA       8.01                 03/30/12

GLOBALWISE INVESTMENTS INC              NV       1.01,2.01,2.03,3.02, 02/10/12    AMEND
                                                 5.01,5.02,5.06,9.01
        
GOLFSMITH INTERNATIONAL HOLDINGS INC    DE       2.02,9.01            03/01/12    AMEND

GRAHAM CORP                             DE       5.02,8.01,9.01       03/28/12

GRAN TIERRA ENERGY, INC.                NV       5.02                 03/27/12

GRANDPARENTS.COM, INC.                  DE       1.01,2.01,3.03,4.01, 02/22/12    AMEND
                                                 5.01,5.02,5.03,5.06,
                                                 9.01
   
Greektown Superholdings, Inc.           DE       2.02,8.01,9.01       03/30/12

Groupon, Inc.                           DE       2.02,9.01            02/08/12    AMEND

GSE Holding, Inc.                       DE       2.02,9.01            03/30/12

GUIDED THERAPEUTICS INC                 DE       2.02,7.01,9.01       03/30/12

GulfStar Energy Corp                    CO       5.01,5.02            03/21/12

HARSCO CORP                             DE       7.01,9.01            03/30/12

HARVEST NATURAL RESOURCES, INC.         DE       1.01,7.01,9.01       03/30/12

Hatteras Financial Corp                          1.01,5.03,9.01       03/27/12

HEALTHCARE REALTY TRUST INC             MD       8.01                 03/30/12

HEALTHCARE TRUST OF AMERICA, INC.       MD       7.01,9.01            03/30/12

HEALTHCARE TRUST OF AMERICA, INC.       MD       2.02,9.01            03/30/12

HeartWare International, Inc.           DE       1.01,9.01            03/29/12

Heckmann Corp                           DE       8.01,9.01            03/27/12

Heelys, Inc.                            DE       5.02                 03/16/12    AMEND

HERCULES OFFSHORE, INC.                 DE       1.01,2.03,9.01       03/27/12

HF FINANCIAL CORP                       DE       2.05                 03/28/12

HIGHLANDS BANKSHARES INC /WV/           WV       2.02,9.01            03/30/12

Hines Global REIT, Inc.                 MD       1.01,8.01            03/29/12

HollyFrontier Corp                      DE       5.02,9.01            03/30/12

HOME BANCSHARES INC                              8.01,9.01            03/28/12

HOSPIRA INC                             DE       5.02                 03/27/12

HOVNANIAN ENTERPRISES INC               DE       3.02                 03/26/12

IDT CORP                                DE       8.01                 03/26/12

IGATE CORP                              PA       5.02,9.01            03/29/12

IMPAX LABORATORIES INC                  DE       7.01                 03/28/12

INDEPENDENT BANK CORP                   MA       5.02                 03/30/12

Industrial Income Trust Inc.            MD       1.01,2.01,8.01       03/26/12

INNOTRAC CORP                           GA       2.02,9.01            03/30/12

InsPro Technologies Corp                DE       8.01,9.01            03/30/12

iPayment Holdings, Inc                  DE       1.01,9.01            03/26/12

JBI, INC.                               NV       9.01                 07/29/11    AMEND

Jingwei International LTD               NV       5.03,8.01,9.01       03/26/12

KANSAS CITY SOUTHERN                    DE       7.01,9.01            03/29/12

KATY INDUSTRIES INC                     DE       5.02,5.03,9.01       03/26/12

KAYDON CORP                             DE       1.01,1.02,2.03,8.01, 03/26/12
                                                 9.01
          
KID BRANDS, INC                         NJ       2.02,9.01            03/30/12

KILLBUCK BANCSHARES INC                 OH       8.01                 03/30/12

KINDRED HEALTHCARE, INC                 DE       8.01                 03/28/12

LEXARIA CORP.                           NV       1.01,2.03,9.01       03/30/12

LITHIA MOTORS INC                       OR       8.01                 03/30/12

LOCAL.COM                               DE       1.01,2.03,9.01       03/28/12

MAGELLAN GOLD Corp                      NV       5.03,9.01            03/29/12

Magnolia Solar Corp                     NV       2.01,8.01,9.01       03/30/12

MARCUS CORP                             WI       5.02                 03/29/12    AMEND

MARSHALL EDWARDS INC                    DE       3.01                 03/27/12

Mattersight Corp                        DE       5.02                 03/28/12

MAXLINEAR INC                                    8.01                 03/27/12

McEwen Mining Inc.                      CO       7.01,9.01            03/30/12

MEDICAL ACTION INDUSTRIES INC           DE       1.01,9.01            03/30/12

Medical Care Technologies Inc.          NV       5.03,5.07,9.01       03/29/12

MEDICAL MAKEOVER CORP OF AMERICA        DE       4.01                 03/30/12

Merck & Co. Inc.                        NJ       5.02,8.01            03/27/12

MERRILL LYNCH MUNICIPAL ABS INC         NY       9.01                 04/01/11    AMEND

MGM Resorts International               DE       5.02                 03/27/12

MICRON TECHNOLOGY INC                   DE       2.02,9.01            03/29/12

MIKROS SYSTEMS CORP                     DE       2.02,9.01            03/30/12

MINT LEASING INC                        NV       4.02                 03/28/12

MISSION COMMUNITY BANCORP               CA       5.02,5.03,9.01       03/27/12

MONMOUTH REAL ESTATE INVESTMENT CORP    MD       5.02                 03/30/12

MPG Office Trust, Inc.                  MD       7.01,9.01            03/30/12

MRV COMMUNICATIONS INC                  DE       2.01,9.01            03/29/12

MusclePharm Corp                        NV       5.03,8.01,9.01       03/26/12

Myrexis, Inc.                           DE       1.01,1.02,3.03,5.03, 03/29/12 
                                                 8.01,9.01
     
NATURAL RESOURCE PARTNERS LP            DE       4.02                 03/30/12

Naugatuck Valley Financial Corp                  2.02,9.01            03/30/12

Neuralstem, Inc.                        DE       2.02,7.01,9.01       03/28/12

NEW YORK COMMUNITY BANCORP INC          DE       7.01,9.01            03/30/12

NEW YORK MORTGAGE TRUST INC             MD       5.02,7.01,9.01       03/29/12

NEWS CORP                                        8.01,9.01            03/30/12

Niska Gas Storage Partners LLC          DE       7.01                 03/30/12

NORTHSTAR ELECTRONICS INC               DE       1.02,9.01            03/24/12

NORTHWEST PIPE CO                       OR       1.01,9.01            03/29/12

Nova Mining CORP                                 5.02                 03/19/12

NTS, INC.                               NV       2.02,9.01            03/30/12

Nuveen Diversified Commodity Fund       DE       5.02,5.03,5.05,8.01, 03/30/12 
                                                 9.01
          
NV ENERGY, INC.                         NV       8.01                 03/30/12

OMEGA HEALTHCARE INVESTORS INC          MD       1.02                 03/29/12

OPTIMER PHARMACEUTICALS INC                      1.01                 03/29/12

ORBCOMM Inc.                            DE       9.01                 01/12/12    AMEND

ORGANOVO HOLDINGS, INC.                 DE       1.01,2.01,3.02,4.01, 02/08/12    AMEND
                                                 5.01,5.02,5.03,5.06,
                                                 9.01
   
ORION ENERGY SYSTEMS, INC.              WI       3.01                 03/26/12

OSI RESTAURANT PARTNERS, LLC            DE       2.02                 03/30/12

Pacific Bepure Industry Inc             DE       8.01,9.01            03/30/12

PACIFIC PREMIER BANCORP INC             DE       5.02                 03/28/12

PALL CORP                               NY       5.02                 03/26/12

PANHANDLE EASTERN PIPE LINE CO LP       DE       1.02,5.01,9.01       03/26/12

PARAMOUNT GOLD & SILVER CORP.                    1.01,3.02,7.01,9.01  03/28/12

PARK OHIO INDUSTRIES INC/OH                      4.02                 03/29/12

PATHFINDER BANCORP INC                  DE       8.01,9.01            03/30/12

PENTAIR INC                             MN       1.01,3.03,9.01       03/27/12

PEOPLES FINANCIAL CORP /MS/             MS       5.02                 03/30/12

PETROQUEST ENERGY INC                   DE       8.01                 03/30/12

PLC SYSTEMS INC                         B0       2.02,9.01            03/30/12

Porter Bancorp, Inc.                    KY       2.02                 03/30/12

PPL Corp                                         7.01,9.01            03/30/12

PROASSURANCE CORP                       DE       5.02,8.01            03/30/12

PROGAMING PLATFORMS CORP                DE       4.02                 03/28/12

PRUDENTIAL FINANCIAL INC                NJ       2.03                 03/27/12

Psychic Friends Network Inc.            NV       2.01,3.02,4.01,5.01, 03/30/12
                                                 5.02,5.06,9.01

QR Energy, LP                           DE       1.01,9.01            03/16/12

QUICKSILVER RESOURCES INC               DE       5.02,9.01            03/26/12

RADIAN GROUP INC                        DE       8.01                 01/24/12    AMEND

RANGE RESOURCES CORP                    DE       3.01                 03/29/12

Raptor Pharmaceutical Corp              DE       8.01,9.01            03/30/12

REAL ESTATE ASSOCIATES LTD VII          CA       1.01,2.01,9.01       03/27/12

REGENERX BIOPHARMACEUTICALS INC         DE       1.01,7.01,9.01       03/27/12

REPUBLIC SERVICES, INC.                 DE       5.02,9.01            03/30/12

RESPONSE BIOMEDICAL CORP                A1       5.02,9.01            03/28/12

RF MONOLITHICS INC /DE/                 DE       1.01,9.01            03/29/12

RICKS CABARET INTERNATIONAL INC         TX       8.01                 03/30/12    AMEND

Rio Bravo Oil, Inc.                     NV       1.01,2.01,3.02,5.01, 02/10/12    AMEND
                                                 5.02,5.03,5.06,9.01
        
ROBERTS REALTY INVESTORS INC            GA       1.01,9.01            03/26/12

Rotoblock Corp                          NV       4.01,8.01,9.01       10/15/11    AMEND

Roundy's, Inc.                          DE       5.02,9.01            03/29/12

RUDDICK CORP                            NC       5.02,5.03,8.01,9.01  03/28/12

RVUE HOLDINGS, INC.                     NV       2.02,9.01            03/30/12

SABA SOFTWARE INC                       DE       7.01                 03/28/12

SALESFORCE COM INC                      DE       5.02                 03/30/12

SCANA CORP                              SC       7.01,9.01            03/30/12

SCIQUEST INC                            DE       8.01                 03/29/12

SEALY CORP                              DE       7.01,9.01            03/29/12

Seneca Foods Corp                       NY       5.02                 03/27/12

Sequoia Mortgage Trust 2012-2                    8.01,9.01            03/01/12

Shire plc                                        8.01,9.01            03/30/12

SilverSun Technologies, Inc.            DE       7.01,9.01            03/29/12

SINOHUB, INC.                           DE       2.02,7.01,9.01       03/30/12

SLM CORP                                DE       5.02                 03/30/12

SONOSITE INC                                     1.01,3.01,3.03,5.02, 03/29/12
                                                 5.03,5.07,9.01

SP Bancorp, Inc.                        MD       2.02,9.01            03/30/12

SPANISH BROADCASTING SYSTEM INC         DE       2.02,9.01            03/30/12

SPECTRUM PHARMACEUTICALS INC            DE       5.02                 03/27/12

SPX CORP                                DE       5.03,9.01            03/30/12

STAGE STORES INC                        NV       5.02,8.01,9.01       03/28/12

STANDARD PARKING CORP                   DE       8.01,9.01            03/30/12

STILLWATER MINING CO /DE/               DE       1.01,9.01            03/28/12

Strategic Mining Corp                            4.02                 03/30/12

STRATS SM TRUST FOR Goldman Sachs Cap            8.01,9.01            03/15/12

STRATS SM TRUST FOR GOLDMAN SACHS GRO            8.01,9.01            03/15/12

STRATS SM TRUST FOR JPMORGAN CHASE &             8.01,9.01            03/15/12

STRATS SM TRUST FOR WAL-MART STORES,             8.01,9.01            03/15/12

STRATS(SM) TRUST FOR DOMINION RESOURC            8.01,9.01            03/15/12

STRATS(SM) TRUST FOR GEN ELEC CAP COR            8.01,9.01            03/15/12

STRATS(SM) Trust For Goldman Sachs Ca            8.01,9.01            03/15/12

STRATUS PROPERTIES INC                  DE       2.02,9.01            03/30/12

SUFFOLK BANCORP                         NY       5.07                 04/12/11    AMEND

SUMMIT FINANCIAL SERVICES GROUP INC     FL       2.02,9.01            03/30/12

SUPERTEL HOSPITALITY INC                VA       1.01,9.01            03/29/12

SUPERTEL HOSPITALITY INC                VA       2.02,9.01            03/30/12

Surna Inc.                              NV       8.01                 03/27/12

Synacor, Inc.                           DE       5.08                 03/27/12

SYNTHESIS ENERGY SYSTEMS INC            DE       1.01,9.01            03/27/12

Synthetic Biologics, Inc.               DE       2.02,9.01            03/30/12

TAYLOR CAPITAL GROUP INC                DE       1.01,3.02,9.01       03/26/12

Technology Applications International   FL       1.01,2.03,9.01       03/27/12

TEL OFFSHORE TRUST                      TX       2.02,9.01            03/30/12

TELETOUCH COMMUNICATIONS INC            DE       8.01,9.01            03/27/12

TELIK INC                               DE       5.03,5.07,8.01,9.01  03/28/12

TENET HEALTHCARE CORP                   NV       5.02                 03/28/12

TEREX CORP                              DE       1.01,2.03,9.01       03/27/12

THESTREET, INC.                         DE       2.05                 03/27/12

THRESHOLD PHARMACEUTICALS INC           DE       8.01,9.01            03/30/12

THT Heat Transfer Technology, Inc.      NV       2.02,7.01,9.01       03/30/12

TII NETWORK TECHNOLOGIES, INC.          DE       2.02,9.01            03/30/12

TORTOISE CAPITAL RESOURCES CORP                  2.02,9.01            03/27/12

TOWERSTREAM CORP                        DE       8.01                 03/29/12

Transocean Ltd.                         V8       1.01,9.01            03/29/12

TRAVELZOO INC                           DE       5.02,9.01            01/23/12

Trunkbow International Holdings Ltd     NV       2.02,9.01            03/30/12

TYCO INTERNATIONAL LTD                  V8       1.01,8.01,9.01       03/27/12

Ubiquiti Networks, Inc.                 DE       5.02                 03/28/12

United States 12 Month Natural Gas Fu            7.01,9.01            03/30/12

United States 12 Month Oil Fund, LP              7.01,9.01            03/30/12

United States Brent Oil Fund, LP        DE       7.01,9.01            03/30/12

United States Commodity Index Funds T   DE       7.01,9.01            03/30/12

United States Gasoline Fund, LP         DE       7.01,9.01            03/30/12

United States Heating Oil Fund, LP      DE       7.01,9.01            03/30/12

United States Natural Gas Fund, LP               7.01,9.01            03/30/12

United States Oil Fund, LP              DE       7.01,9.01            03/30/12

United States Short Oil Fund, LP        DE       7.01,9.01            03/30/12

URANIUM ENERGY CORP                     NV       7.01,9.01            03/30/12

URANIUM RESOURCES INC /DE/              DE       7.01,8.01,9.01       03/30/12

USG CORP                                DE       8.01,9.01            03/29/12

VAULT AMERICA, INC.                     NV       5.03,9.01            03/26/12

VENTAS INC                              DE       9.01                 03/30/12

Vera Bradley, Inc.                               8.01                 03/19/12

Vera Bradley, Inc.                               5.02                 03/27/12

Verisk Analytics, Inc.                  DE       2.01,9.01            03/30/12

Versant International, Inc.             NV       1.01,5.02,5.03,9.01  03/27/12

VIEWCAST COM INC                        DE       2.02,9.01            03/30/12

VISANT CORP                                      8.01                 03/30/12

VRDT Corp                               DE       1.01,3.02,7.01       03/26/12

Weatherford International Ltd./Switze   V8       8.01,9.01            03/30/12

WELLS FARGO & CO/MN                     DE       9.01                 03/30/12

WILLIAMS COMPANIES INC                  DE       8.01,9.01            03/29/12

Williams Partners L.P.                           8.01,9.01            03/29/12

Win Global Markets, Inc.                NV       5.02                 03/30/12

WIRELESS TELECOM GROUP INC              NJ       2.02,7.01,9.01       03/29/12

Wizard World, Inc.                      DE       5.03,9.01            03/29/12

WORLD HEART CORP                        DE       1.01,9.01            03/29/12

WORLD HEART CORP                        DE       8.01,9.01            03/29/12    AMEND

WORLDGATE COMMUNICATIONS INC            DE       1.03,2.04,5.02       03/30/12

ZAP COM CORP                            NV       5.02                 03/30/12

Zep Inc.                                DE       5.07                 01/10/12    AMEND

ZOGENIX, INC.                           DE       1.01                 03/29/12

ZST Digital Networks, Inc.              DE       4.01,4.02,9.01       03/30/12

http://www.sec.gov/news/digest/2012/dig040212.htm

SEC News Digest