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Enforcement ProceedingsIn the Matter of Beicang Iron & Steel, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Beicang Iron & Steel, Inc., Admin. Proc. File No. 3-14733. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Beicang Iron & Steel, Inc., and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-67688; File No. 3-14733) In the Matter of Richard L. CarterOn August 20, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Richard L. Carter. The Order finds that on July 27, 2012, a final judgment was entered by consent against Carter, permanently enjoining him from future violations of Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder in the civil action entitled Securities and Exchange Commission v. Spyglass Equity Systems, Inc., Civil Action Number LACV11-02371 JAK, in the United States District Court for the Central District of California. The Commission’s complaint in that action alleged that, Carter, a resident of Torrance, California, was a co-owner and co-operator of Spyglass Equity Systems, Inc. (Spyglass), a California corporation with its principal place of business in Los Angeles, California. Between October 2007 and March 2009, Spyglass operated as a telemarketing firm purportedly selling automated trading systems. Carter, using Spyglass, offered and sold to investors memberships in LLCs that would allow access to trading systems and engage in stock trading on behalf of the investors. Carter and Spyglass made baseless performance representations, false statements about the stature and integrity of the investment, misrepresentations about the “systems” supposedly used to trade stock on behalf of investors and misrepresentations about the fees to be charged investors. Investors lost over $3 million in the scheme. Based on the above, Carter is barred from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Carter consented to the issuance of the Order without admitting or denying the findings in the order except that he admitted the entry of the injunction against him. (Rel. 34-67689; File No. 3-14989) In the Matter of Preston L. SjoblomOn August 20, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Preston L. Sjoblom. The Order finds that on July 27, 2012, a final judgment was entered by consent against Sjoblom, permanently enjoining him from future violations of Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder in the civil action entitled Securities and Exchange Commission v. Spyglass Equity Systems, Inc., Civil Action Number LACV11-02371 JAK, in the United States District Court for the Central District of California. The Commission’s complaint in that action alleged that, Sjoblom, a resident of Virginia, was a co-owner and co-operator of Spyglass Equity Systems, Inc. (Spyglass), a California corporation with its principal place of business in Los Angeles, California. Between October 2007 and March 2009, Spyglass operated as a telemarketing firm purportedly selling automated trading systems. Sjoblom, using Spyglass, offered and sold to investors memberships in LLCs that would allow access to trading systems and engage in stock trading on behalf of the investors. Sjoblom and Spyglass made baseless performance representations, false statements about the stature and integrity of the investment, misrepresentations about the “systems” supposedly used to trade stock on behalf of investors and misrepresentations about the fees to be charged investors. Investors lost over $3 million in the scheme. Based on the above, Sjoblom is barred from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Sjoblom consented to the issuance of the Order without admitting or denying the findings in the Order, expect that he admitted the entry of the injunction. (Rel. 34-67690; File No. 3-14990) In the Matter of Tyson D. ElliottOn August 20, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing (Order) against Tyson D. Elliott. In the Order, the Division of Enforcement alleges that on July 27, 2012, a final judgment was entered by consent against Elliott, permanently enjoining him from future violations of Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder in the civil action entitled Securities and Exchange Commission v. Spyglass Equity Systems, Inc., Civil Action Number LACV11-02371 JAK, in the United States District Court for the Central District of California. The Commission’s complaint alleged, among other things, that, Elliott was a co-owner and co-operator of Spyglass Equity Systems, Inc. (Spyglass), a California corporation with its principal place of business in Los Angeles, California. Between October 2007 and March 2009, Spyglass operated as a telemarketing firm purportedly selling automated trading systems. Elliott, using Spyglass, offered and sold to investors memberships in LLCs that would allow access to trading systems and engage in stock trading on behalf of the investors. Elliott and Spyglass made baseless performance representations, false statements about the stature and integrity of the investment, misrepresentations about the “systems” supposedly used to trade stock on behalf of investors and misrepresentations about the fees to be charged investors. Investors lost over $3 million in the scheme. A hearing will be scheduled before an administrative law judge to determine whether the allegations in the Order are true, to provide Elliott an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-67691; File No. 3-14991) SEC Sues New York Penny Stock DistributorThe Commission announced today that on August 14, 2012, it sued Jossef Kahlon, a/k/a/ Yossef Kahlon and TJ Management Group, LLC, of New York, New York, for selling the stock of several penny stock issuers into the public market in violation of the registration provisions of the federal securities laws. According to the complaint, Kahlon and TJ Management Group, LLC abused and misused a federal securities law to buy hundreds of millions of shares of stock at steep discounts and to quickly resell all of the shares to the public at market rates, generating at least $7.7 million in profit. The SEC alleges that this conduct deprived investors of important business information to which they were legally entitled for at least the following issuers: My Vintage Baby, Inc., Lecere, Corporation, Landstar, Inc., Hard to Treat Disease, Inc., Good Life China Corporation, VIPR Industries, Inc., ChromoCure, Inc., Atlantis Internet Group Corp, Biocentric Energy Holdings, Inc., Skybridge Technology Group, Inc., and RMD Entertainment Group, Inc. The SEC alleges that, by these activities, Kahlon and TJ Management Group, LLC violated Section 5 of the Securities Act of 1933. The Commission is seeking permanent injunctions, civil penalties, penny stock bars and disgorgement of ill-gotten gains. [SEC v. Yossef Kahlon, et al., Case No. 4:12-CV-517 (E.D. Tex.)] (LR-22452) Investment company act releasesP.E. Partners III, LLC, et al.An order has been issued on application filed by P.E. Partners III, LLC, et al. to exempt certain limited liability companies formed for the benefit of eligible employees of Latham & Watkins LLP and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each company will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30170 – August 16) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to its Automatic Order Handling Process (SR-CBOE-2012-076) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67670) A proposed rule change filed by the National Stock Exchange, Inc. (SR-NSX-2012-13) to add National Stock Exchange, Inc. Rule 3.21, Telephone Solicitation, to its Rulebook to codify provisions that are substantially similar to Federal Trade Commission rules and that prohibit deceptive and other abusive telemarketing acts or practices has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67681) Proposed Rule ChangesNASDAQ OMX PHLX LLC has filed a proposed rule change (SR-Phlx-2012-106) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to modify exchange Rule 3307 to institute a five millisecond delay in the execution time of marketable orders on NASDAQ OMX PSX. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67680) The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-82) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of FlexShares Ready Access Variable Income Fund under NYSE Arca Equities Rule 8.600. (Rel. 34-67682) NASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2012-105) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, regarding Treasury securities options. Publication in the Federal Register is expected during the week of August 20. (Rel. 34-67683) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 TRULIA, INC., 116 NEW MONTGOMERY STREET, SUITE 300, SAN FRANCISCO, CA, 94105, (415) 648-4358 - 0 ($75,000,000.00) Equity, (File 333-183364 - Aug. 17) (BR. 03A) S-3 PENN VIRGINIA CORP, 100 MATSONFORD ROAD SUITE 200, FOUR RADNOR CORPORATE CENTER, RADNOR, PA, 19087, 6106878900 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-183365 - Aug. 17) (BR. 04A) S-1 BLVD HOLDINGS INC, 3500 WEST OLIVE AVENUE, 3RD FLOOR, BURBANK, CA, 91505, 818 381 9360 - 3,000,000 ($90,000.00) Equity, (File 333-183370 - Aug. 17) (BR. 09) S-3 Community Partners Bancorp, 1250 HIGHWAY 35 SOUTH, MIDDLETOWN, NJ, 07748, 732-706-9009 - 12,000 ($12,000,000.00) Equity, (File 333-183371 - Aug. 17) (BR. 07B) S-8 AIRGAS INC, 259 N. RADNOR-CHESTER ROAD, SUITE 100, RADNOR, PA, 19087, 6106875253 - 4,000,000 ($330,400,000.00) Equity, (File 333-183372 - Aug. 17) (BR. 06C) S-1 BAND REP MANAGEMENT, INC., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703, 775-321-8207 - 2,500,000 ($50,000.00) Equity, (File 333-183373 - Aug. 17) (BR. ) S-4 XTRA-GOLD RESOURCES CORP, SUITE 301, 360 BAY STREET, TORONTO, A6, M5H 2V6, (416) 366-4227 - 44,648,417 ($38,844,122.00) Equity, (File 333-183376 - Aug. 17) (BR. 09A) S-8 GENCO SHIPPING & TRADING LTD, 299 PARK AVENUE, 20TH FLOOR, NEW YORK, NY, 10171, (646) 443-8550 - 0 ($10,140,000.00) Equity, (File 333-183378 - Aug. 17) (BR. 05A) S-8 PIONEER NATURAL RESOURCES CO, 200 WILLIAMS SQUARE WEST, 5205 N OCONNOR BLVD, IRVING, TX, 75039, 9724449001 - 0 ($48,747,500.00) Equity, (File 333-183379 - Aug. 17) (BR. 04B) S-3 Pioneer Southwest Energy Partners L.P., 5205 N. O'CONNOR BLVD., SUITE 200, IRVING, TX, 75039, (972) 444-9001 - 0 ($140,317,700.00) Unallocated (Universal) Shelf, (File 333-183380 - Aug. 17) (BR. 04B) S-3 SOUTHSIDE BANCSHARES INC, 1201 S BECKHAM, TYLER, TX, 75701, 9035317111 - 1,000,000 ($21,250,000.00) Equity, (File 333-183381 - Aug. 17) (BR. 07B) S-8 MRI INTERVENTIONS, INC., ONE COMMERCE SQUARE, SUITE 2550, MEMPHIS, TN, 38103, 9015229300 - 6,298,075 ($9,536,781.00) Equity, (File 333-183382 - Aug. 17) (BR. 10B) S-8 CUMULUS MEDIA INC, 3280 PEACHTREE ROAD N.W., SUITE 2300, ATLANTA, GA, 30305, 4049490700 - 0 ($123,766,735.00) Equity, (File 333-183383 - Aug. 17) (BR. 11C) S-1 Regulus Therapeutics Inc., 3545 JOHN HOPKINS COURT, SAN DIEGO, CA, 92121, 888-734-8587 - 0 ($57,500,000.00) Equity, (File 333-183384 - Aug. 17) (BR. 01) S-8 Biostar Pharmaceuticals, Inc., NO. 588 SHIJI XI AVENUE, XIANYANG, SHAANXI PROVINCE, F4, 712046, 011-86-29-33686638 - 850,000 ($1,071,000.00) Equity, (File 333-183387 - Aug. 17) (BR. 01A) S-3 Energy Transfer Partners, L.P., 3738 OAK LAWN AVENUE, DALLAS, TX, 75219, 214-981-0700 - 12,000,000 ($525,900,000.00) Equity, 0 ($1,000,000,000.00) Other, (File 333-183388 - Aug. 17) (BR. 02B) S-8 ON SEMICONDUCTOR CORP, 5005 EAST MCDOWELL ROAD, PHOENIX, AZ, 85008, 6022446600 - 0 ($223,575,000.00) Equity, (File 333-183389 - Aug. 17) (BR. 10B) S-3 CVR PARTNERS, LP, 2277 PLAZA DRIVE, SUITE 500, SUGAR LAND, TX, 77479, (281) 207-3200 - 0 ($1,317,809,600.00) Limited Partnership Interests, (File 333-183390 - Aug. 17) (BR. 05A) S-8 FAIRCHILD SEMICONDUCTOR INTERNATIONAL INC, 3030 ORCHARD PARKWAY, SAN JOSE, CA, 95134, 4088222000 - 4,200,000 ($64,218,000.00) Equity, (File 333-183391 - Aug. 17) (BR. 10A) S-4 First California Financial Group, Inc., 3027 TOWNSGATE ROAD, SUITE 300, WESTLAKE VILLAGE, CA, 91361, 805-437-4293 - 0 ($2,055,382.00) Equity, (File 333-183392 - Aug. 17) (BR. 07B) N-2 FIRST TRUST MLP & INCOME FUND, 120 E. LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 1,000 ($20,000.00) Equity, (File 333-183396 - Aug. 17) (BR. ) S-1 Stereotaxis, Inc., 4320 FOREST PARK AVENUE, SUITE 100, ST.LOUIS, MO, 63108, 314-678-6100 - 0 ($3,592,712.22) Equity, (File 333-183401 - Aug. 17) (BR. 10B) S-8 ZYNGA INC, 699 EIGHTH STREET, SAN FRANCISCO, CA, 94103, 800-762-2530 - 0 ($122,237,780.94) Equity, (File 333-183406 - Aug. 17) (BR. 03A) S-1 HOME LOAN SERVICING SOLUTIONS, LTD., C/O JAMES LAUTER, 2002 SUMMIT BLVD., SIXTH FLOOR, ATLANTA, GA, 30319, 561-682-7561 - 0 ($150,000,000.00) Equity, (File 333-183407 - Aug. 17) (BR. 07) S-8 Allied Nevada Gold Corp., 9790 GATEWAY DRIVE, SUITE 200, RENO, NV, 89521, 775-358-4455 - 0 ($22,024,000.00) Equity, (File 333-183408 - Aug. 17) (BR. 09A) F-1 Santander Mexico Financial Group, S.A.B. de C.V., Banco santander S.A. - NY Branch, 45 E, 53rd Street, New York, NY, 10022, 52-55-5257-8000 - 0 ($100,000,000.00) Other, (File 333-183409 - Aug. 17) (BR. ) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 1ST CONSTITUTION BANCORP NJ 8.01,9.01 08/17/12
3PEA INTERNATIONAL, INC. NV 2.02,9.01 08/14/12
ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 08/14/12
ACADIA REALTY TRUST MD 7.01,8.01,9.01 08/16/12
ADA-ES INC CO 4.02,8.01,9.01 08/14/12
Advaxis, Inc. DE 5.02,5.03,5.07,9.01 08/13/12
AEROPOSTALE INC 2.02,9.01 08/16/12
AMARIN CORP PLC\UK X0 7.01 08/17/12
AMBAC FINANCIAL GROUP INC DE 7.01 08/17/12
American Natural Energy Corp OK 1.01,2.03,3.02,5.02, 08/17/12
9.01
American Realty Capital Properties, I MD 2.01,2.03,9.01 08/16/12
AMERICAN RIVER BANKSHARES CA 5.02 07/19/12 AMEND
AMERICANWEST BANCORPORATION WA 7.01,9.01 08/15/12
AMERICAS CARMART INC TX 2.02,9.01 08/16/12
AMERIPRISE CERTIFICATE CO DE 8.01 08/14/12
ANN INC. DE 2.02,9.01 08/17/12
ARCA biopharma, Inc. DE 5.02,9.01 08/15/12
Aspect FuturesAccess LLC DE 3.02 08/14/12
ASPEN INSURANCE HOLDINGS LTD D0 8.01,9.01 08/15/12
ASURE SOFTWARE INC DE 5.02 08/13/12
ATHENA SILVER CORP DE 7.01,9.01 08/17/12
Athens Bancshares Corp 8.01,9.01 08/15/12
BALTIMORE GAS & ELECTRIC CO MD 1.01,2.03,9.01 08/17/12
BBX CAPITAL CORP FL 2.02,9.01 08/14/12
bebe stores, inc. CA 5.02 08/17/12
bebe stores, inc. CA 5.02 08/17/12
BELDEN INC. DE 1.01,8.01,9.01 08/13/12
BFC FINANCIAL CORP FL 8.01 08/17/12
BIOSANTE PHARMACEUTICALS INC DE 1.01,7.01,9.01 08/16/12
BIOZONE PHARMACEUTICALS, INC. NV 2.02,4.02 08/08/12 AMEND
Blackstone Group L.P. DE 1.01,2.03,9.01 08/17/12
BRAZIL FAST FOOD CORP DE 4.01,9.01 04/04/11
Business Development Corp of America MD 1.01,1.02,8.01,9.01 08/13/12
CAMPBELL FUND TRUST DE 3.02 07/30/12
CAPITOL BANCORP LTD MI 5.02 08/17/12
CAPSTONE COMPANIES, INC. FL 7.01,9.01 08/15/12
CARDICA INC DE 5.02 08/16/12
CardioNet, Inc. CA 7.01,9.01 08/16/12
Carey Watermark Investors Inc 9.01 05/31/12 AMEND
CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 08/17/12
CATERPILLAR INC DE 7.01 08/17/12
CATO CORP DE 9.01 08/17/12
CENTRAL VALLEY COMMUNITY BANCORP CA 9.01 08/15/12
CERADYNE INC DE 7.01,9.01 08/16/12
CIRRUS LOGIC INC DE 8.01 08/17/12
CLIFFS NATURAL RESOURCES INC. OH 1.04 08/13/12
CMG HOLDINGS GROUP, INC. NV 2.01,9.01 08/17/12
COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 08/14/12
COCA COLA BOTTLING CO CONSOLIDATED /D DE 5.02,9.01 08/15/12
COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01,8.01 08/03/12
Community Bankers Trust Corp DE 8.01,9.01 08/15/12
COMPREHENSIVE CARE CORP DE 2.02,9.01 08/13/12
CONCHO RESOURCES INC DE 1.01,2.03,9.01 08/14/12
CONSTELLATION BRANDS, INC. DE 1.01,7.01,9.01 08/14/12
CONTANGO OIL & GAS CO DE 5.02,9.01 08/14/12
Contango ORE, Inc. DE 5.02,9.01 08/14/12
CONTINENTAL RESOURCES INC OK 1.01,3.02,9.01 08/13/12
Cornerstone OnDemand Inc DE 5.02 08/13/12
Coronus Solar Inc. A1 1.01,1.02,2.01,2.03, 08/15/12
5.01,7.01,9.01
CREE INC NC 5.02,9.01 08/13/12
CROSS BORDER RESOURCES, INC. NV 8.01,9.01 08/17/12
DAKOTA PLAINS HOLDINGS, INC. NV 5.02 08/14/12
DDR CORP OH 5.02 08/15/12
DGT Holdings Corp. NY 5.03,5.07,9.01 08/15/12
Digital Domain Media Group, Inc. FL 1.01,2.03,3.02,9.01 08/16/12
Dynacast International Inc. DE 2.02,9.01 08/17/12
EAGLE ROCK ENERGY PARTNERS L P DE 1.01,7.01,9.01 08/13/12
Ellington Financial LLC DE 1.01,9.01 08/15/12
Energy Future Intermediate Holding CO DE 1.01,2.03,9.01 08/14/12
Energy Transfer Partners, L.P. DE 8.01,9.01 08/17/12
Ensco plc 7.01,9.01 08/17/12
ENSURGE INC NV 5.03,8.01 08/01/12
EON COMMUNICATIONS CORP DE 9.01 08/17/12
ePunk, Inc. NV 8.01,9.01 08/16/12
EQUITY ONE, INC. 2.02,7.01 08/17/12
EQUUS TOTAL RETURN, INC. DE 8.01,9.01 08/15/12
ESCALON MEDICAL CORP PA 3.01 08/13/12
FAIR ISAAC CORP DE 1.01,7.01,9.01 08/16/12
Federal Home Loan Bank of Dallas 2.03,9.01 08/14/12
Federal Home Loan Bank of Seattle 2.02,9.01 08/17/12
FEDERAL HOME LOAN MORTGAGE CORP 1.01,9.01 08/17/12
FEDERAL NATIONAL MORTGAGE ASSOCIATION 1.01,9.01 08/16/12
FOOT LOCKER INC NY 2.02,9.01 08/17/12
Forbes Energy Services Ltd. D0 2.02,7.01,9.01 08/14/12
Fortress International Group, Inc. DE 5.02 08/15/12
FOSSIL INC DE 5.02,9.01 08/15/12
FOUR OAKS FINCORP INC NC 2.02,9.01 08/17/12
FSI INTERNATIONAL INC MN 8.01 08/16/12
GERON CORP DE 8.01 08/15/12
GLOBAL AXCESS CORP NV 1.01,9.01 08/13/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 07/31/12
Graymark Healthcare, Inc. OK 1.01,3.01,3.02,8.01, 08/13/12
9.01
Great Lakes Dredge & Dock CORP DE 5.02,9.01 08/17/12
GULF ISLAND FABRICATION INC LA 8.01 08/16/12
Gulf United Energy, Inc. NV 8.01,9.01 08/16/12
Hamilton Bancorp, Inc. MD 1.01,9.01 08/13/12
HANSEN MEDICAL INC DE 5.02 08/13/12
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 08/16/12
HealthWarehouse.com, Inc. DE 8.01 07/31/12
Heckmann Corp DE 8.01,9.01 08/17/12
HENRY SCHEIN INC DE 5.02,9.01 08/15/12
HIBBETT SPORTS INC 1.01,2.02,7.01,9.01 08/15/12
Highbridge Commodities FuturesAccess DE 3.02 08/14/12
IDENIX PHARMACEUTICALS INC DE 8.01,9.01 08/16/12
IDENTIVE GROUP, INC. DE 3.01,9.01 08/16/12
ILLINOIS TOOL WORKS INC DE 1.01 08/17/12
INFORMATION ANALYSIS INC VA 2.02,9.01 08/14/12
InfuSystem Holdings, Inc DE 5.02,9.01 08/14/12
Inland American Real Estate Trust, In MD 7.01,9.01 08/17/12
INLAND REAL ESTATE CORP MD 8.01,9.01 08/17/12
INTEGRATED ELECTRICAL SERVICES INC DE 1.01,8.01,9.01 08/16/12
Interactive Brokers Group, Inc. DE 3.01 08/16/12
INTERNATIONAL LEASE FINANCE CORP CA 7.01,9.01 08/16/12
ION GEOPHYSICAL CORP DE 8.01,9.01 08/16/12
JEFFERSONVILLE BANCORP NY 5.02,9.01 08/17/12
JEWETT CAMERON TRADING CO LTD OR 8.01 08/17/12
KADANT INC DE 4.01,9.01 08/14/12
KILROY REALTY CORP MD 3.03,5.03,8.01,9.01 08/13/12
KINGSWAY FINANCIAL SERVICES INC A6 8.01 08/17/12
KIT digital, Inc. DE 2.02,5.02,9.01 08/13/12
KMP Futures Fund I LLC DE 8.01,9.01 08/17/12
KRAFT FOODS INC VA 8.01 08/17/12
LAWSON PRODUCTS INC/NEW/DE/ DE 8.01 08/14/12
Leo Motors, Inc. 4.01 08/14/12 AMEND
Liberty Global, Inc. DE 7.01 08/17/12
Limelight Networks, Inc. DE 8.01 08/15/12
LIMITED BRANDS INC DE 2.02,7.01 08/15/12
LINCARE HOLDINGS INC DE 5.02,5.03,5.07,9.01 08/14/12
LIQTECH INTERNATIONAL INC NV 5.07 08/13/12
MACERICH CO MD 8.01,9.01 08/17/12
MAGNUM HUNTER RESOURCES CORP DE 8.01 08/17/12
MARKWEST ENERGY PARTNERS L P 1.01,7.01,9.01 08/13/12
MATERION Corp 7.01,9.01 08/17/12
MBT FINANCIAL CORP MI 2.02,8.01,9.01 08/17/12
McEwen Mining Inc. CO 7.01,9.01 08/17/12
MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 08/17/12
MEDIANET GROUP TECHNOLOGIES INC NV 1.01,2.01,9.01 08/14/12
MILLER ENERGY RESOURCES, INC. TN 1.01,3.03,5.03,9.01 08/13/12
ML BlueTrend FuturesAccess LLC DE 3.02 08/14/12
ML Winton FuturesAccess LLC DE 3.02 08/14/12
MModal Inc. DE 1.01,2.03,3.01,3.02, 08/17/12
3.03,5.01,5.02,5.03,
9.01
MModal Inc. DE 1.02 08/17/12
Mojo Organics, Inc. DE 1.01,9.01 08/15/12
MS STRUCTURED SATURNS SERIES 2003-7 DE 8.01,9.01 03/15/12 AMEND
MS STRUCTURED SATURNS SERIES 2004-2 DE 8.01,9.01 08/15/12
MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 08/15/12
MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 08/15/12
MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 08/15/12
Neuralstem, Inc. DE 1.01,8.01,9.01 08/14/12
NEW YORK TIMES CO NY 5.02,9.01 08/14/12
Newport Bancorp Inc 5.02,9.01 08/16/12
NEWS CORP 8.01,9.01 08/17/12
Nexeo Solutions Holdings, LLC DE 7.01,9.01 08/17/12
Ortus Currency FuturesAccess LLC DE 3.02 08/14/12
PANTRY INC DE 8.01,9.01 08/17/12
PARKWAY PROPERTIES INC MD 5.02 08/17/12
PATHEON INC 5.02,9.01 08/13/12
PEREGRINE SEMICONDUCTOR CORP DE 5.03,9.01 08/13/12
PINNACLE AIRLINES CORP DE 7.01 08/17/12
PINNACLE BANKSHARES CORP VA 5.03,9.01 08/14/12
PowerShares DB Commodity Index Tracki 8.01,9.01 08/17/12
PowerShares DB G10 Currency Harvest F DE 8.01,9.01 08/17/12
PowerShares DB Multi-Sector Commodity DE 8.01,9.01 08/17/12
PowerShares DB US Dollar Index Trust DE 8.01,9.01 08/17/12
PREMIER ALLIANCE GROUP, INC. NV 5.02 07/18/12
Preventia, Inc. 1.01,9.01 08/13/12
PRICELINE COM INC DE 7.01 08/17/12
ProPhase Labs, Inc. NV 3.01 08/15/12
PSS WORLD MEDICAL INC FL 5.07 08/16/12
Punchline Entertainment, Inc. NV 1.01,5.02,9.01 08/14/12
PVR PARTNERS, L P DE 5.03,9.01 08/16/12
QUALSTAR CORP CA 2.02,9.01 08/16/12
QUICKSILVER RESOURCES INC DE 4.01,9.01 08/14/12
RALCORP HOLDINGS INC /MO MO 5.02,9.01 08/17/12
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 08/15/12
RF MICRO DEVICES INC NC 5.02,5.07,9.01 08/16/12
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 5.07 08/16/12
ROSS STORES INC DE 5.02,7.01,9.01 08/15/12
Roundy's, Inc. DE 8.01,9.01 08/17/12
Rovi Corp DE 8.01 08/10/12
ROYAL GOLD INC DE 5.02,5.03,9.01 08/13/12
SBT Bancorp, Inc. CT 8.01,9.01 08/15/12
Scio Diamond Technology Corp NV 5.02 08/13/12
SEACHANGE INTERNATIONAL INC DE 5.02,9.01 08/15/12
SEARS HOLDINGS CORP DE 5.02 08/15/12
SENOMYX INC DE 8.01 08/15/12
SIRIUS XM RADIO INC. DE 8.01 08/17/12
Skinny Nutritional Corp. NV 1.01,2.03,3.02,9.01 08/14/12
SMTC CORP DE 5.07 08/17/12 AMEND
SMUCKER J M CO OH 2.02,9.01 08/17/12
SONIC CORP DE 8.01,9.01 08/16/12
SONUS NETWORKS INC DE 5.02 08/15/12
SOTHEBYS DE 2.03 08/15/12
SPORT CHALET INC DE 5.02,5.07,7.01,9.01 08/16/12
STEEL DYNAMICS INC IN 8.01,9.01 08/16/12
STRATEGIC HOTELS & RESORTS, INC 1.01,7.01,9.01 08/13/12
SUNRISE REAL ESTATE GROUP INC TX 4.02,9.01 08/17/12
SWISSINSO HOLDING INC. DE 1.01,2.03,3.02,5.02, 06/01/12
9.01
Talon Therapeutics, Inc. DE 3.02 08/17/12
Texas Roadhouse, Inc. DE 8.01,9.01 08/17/12
THERMO FISHER SCIENTIFIC INC. DE 8.01,9.01 08/15/12
Thompson Creek Metals CO Inc. A6 1.01 08/13/12
TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 08/17/12
TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 08/16/12
TRANSAX INTERNATIONAL LTD CO 4.02 08/16/12
tw telecom inc. DE 8.01 08/16/12
TWIN DISC INC WI 2.02,7.01,9.01 08/17/12 AMEND
UNITED BANCORP INC /OH/ OH 2.02,8.01,9.01 08/16/12
United Community Bancorp X1 2.02,9.01 08/16/12
UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 08/17/12
Vantage Drilling CO E9 1.01,9.01 08/14/12
VASCULAR SOLUTIONS INC MN 1.01,8.01,9.01 08/16/12
VISUALANT INC NV 5.03,9.01 08/10/12
W P CAREY & CO LLC DE 7.01,9.01 08/16/12
Walter Energy, Inc. DE 1.01,9.01 08/16/12
Warner Chilcott plc 8.01 08/17/12
WELLS FARGO & COMPANY/MN DE 9.01 08/17/12
World Monitor Trust III - Series J DE 8.01,9.01 08/17/12
Xtraplan, Inc. NV 5.03,9.01 08/10/12
http://www.sec.gov/news/digest/2012/dig082012.htm
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