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ENFORCEMENT PROCEEDINGSJason George Rivera, Jr., SanctionedJason George Rivera, Jr. (Rivera) has been barred from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In May 2012, Rivera was enjoined from violating the antifraud and registration provisions of the federal securities laws based on his involvement in a scheme that raised nearly $8 million from over thirty-five investors through fraudulent, unregistered sales of securities. (Rel. IA-3462; File No. 3-14897) INVESTMENT COMPANY ACT RELEASESIndexIQ Advisors LLC and IndexIQ Active ETF TrustAn order has been issued on an application filed by IndexIQ Advisors LLC and IndexIQ Active ETF Trust. The order permits: (a) actively managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30198 - September 10) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeThe Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2012-042) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to post-trade transparency for agency pass-through mortgage-backed securities traded in specified pool transactions and SBA-backed asset-backed securities transactions. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67798) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2012-26) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending Rule 76 – Equities to add supplementary material relating to a cross function that provides a Regulation NMS Rule 611-compliant tool for Floor Brokers. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67811) The Commission approved a proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2012-29) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending NYSE Rule 76 to add supplementary material relating to a cross function that provides a Regulation NMS Rule 611-compliant tool for Floor Brokers. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67812) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by Chicago Board Options Exchange, Incorporated (“CBOE”) relating to the availability of a data product that includes option valuations through Market Data Express, LLC, an affiliate of CBOE (SR-CBOE-2012-083) 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 September 10. (Rel. 34-67813) A proposed rule change filed by New York Stock Exchange LLC amending the New York Stock Exchange LLC Price List to make changes to certain transaction fees to eliminate the step-up rate for non-floor broker transactions (SR-NYSE-2012-41) 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 September 10. (Rel. 34-67814) A proposed rule change filed by New York Stock Exchange LLC to delete non-operable text within its Price List applicable to Supplemental Liquidity Providers (“SLPs”). (SR-NYSE-2012-46) 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 September 10. (Rel. 34-67815) A proposed rule change filed by National Stock Exchange, Inc. to clarify the purpose of, and statutory basis for, the September 4, 2012 changes to the NSX Fee and Rebate Schedule (SR-NSX-2012-14) 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 September 10. (Rel. 34-67816) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-39) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 September 10. (Rel. 34-67817) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-39) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 September 10. (Rel. 34-67818) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-40) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 September 10. (Rel. 34-67819) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-40) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 September 10. (Rel. 34-67820) A proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2012-060) to amend transaction fees 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 September 10. (Rel. 34-67822) 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 Golden Industries Inc., 613 N GRANT AVE APT 3C, YORK, NE, 68467,
4023661374 - 10,000 ($10,000.00) Equity, (File 333-183795 - Sep. 10)
(BR. 06)
S-8 UQM TECHNOLOGIES INC, 4120 SPECIALTY PLACE, LONGMONT, CO, 80504,
3036824900 - 1,100,000 ($1,100,000.00) Equity, (File 333-183796 -
Sep. 10) (BR. 10B)
S-1 GILAX, CORP., 2360 CORPORATE CIRCLE - SUITE 400, HENDERSON, NV,
89074-7722, 79021768840 - 2,500,000 ($75,000.00) Equity,
(File 333-183797 - Sep. 10) (BR. 06)
N-2 WhiteHorse Finance, LLC, 1450 Brickell Avenue, 31st Floor, Miami, FL,
33131, (305) 379-2322 - 0 ($86,250,000.00) Equity, (File 333-183798 -
Sep. 10) (BR. 16)
S-3ASR AGILENT TECHNOLOGIES INC, 5301 STEVENS CREEK BLVD, SANTA CLARA, CA,
95051, 408-345-8296 - 0 ($0.00) Debt, (File 333-183799 - Sep. 10)
(BR. 10A)
S-8 PVH CORP. /DE/, 200 MADISON AVENUE, NEW YORK, NY, 10016, 2123813500 -
4,503,050 ($419,639,230.00) Equity, (File 333-183800 - Sep. 10)
(BR. 09B)
S-8 HSBC HOLDINGS PLC, 8 CANADA SQUARE, LONDON, X0, E145HQ, 442079912652 -
0 ($23,445,426.58) Equity, (File 333-183806 - Sep. 10) (BR. 12A)
S-3 RADISYS CORP, 5435 NE DAWSON CREEK DR, HILLSBORO, OR, 97124,
5036151100 - 0 ($18,000,000.00) Debt Convertible into Equity,
(File 333-183807 - Sep. 10) (BR. 03C)
S-1 Energy & Exploration Partners, Inc., Two City Place, Suite 1700,
100 Throckmorton, Fort Worth, TX, 76102, (817) 789-6712 -
0 ($275,000,000.00) Equity, (File 333-183808 - Sep. 10) (BR. 04A)
S-3ASR Allied World Assurance Co Holdings, AG, LINDENSTRASSE 8, BAAR/ZUG, V8,
6340, 441-278-5400 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-183809 - Sep. 10) (BR. 01A)
S-4 United Financial Bancorp, Inc., 95 ELM STREET, WEST SPRINGFIELD, MA,
01089, (413) 787-1700 - 0 ($74,775,221.00) Equity, (File 333-183810 -
Sep. 10) (BR. 07B)
S-8 NB Manufacturing, Inc., 3510 W. GLENDALE SUITE D, PHOENIX, AZ, 85051,
602-246-9156 - 0 ($40,170,000.00) Equity, (File 333-183812 - Sep. 10)
(BR. 11C)
S-1 HEALTH REVENUE ASSURANCE HOLDINGS, INC.,
8551 W. SUNRISE BOULEVARD, SUITE 304, PLANTATION, FL, 33322,
954-472-2340 - 3,000,000 ($300,000.00) Equity, (File 333-183813 -
Sep. 10) (BR. 01A)
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 ----------------------------------------------------------------------------------------- ABRAXAS PETROLEUM CORP NV 1.01,2.01,9.01 09/10/12
ADARNA ENERGY Corp 1.01,3.02 09/10/12
AEP INDUSTRIES INC DE 2.02,9.01 09/10/12
Affinity Gaming, LLC NV 7.01,9.01 09/07/12
Affinity Gaming, LLC NV 1.01,9.01 09/07/12
AGILENT TECHNOLOGIES INC DE 8.01,9.01 09/07/12
AIR METHODS CORP DE 7.01,9.01 09/10/12
ALLEGHENY TECHNOLOGIES INC DE 5.02,5.03,9.01 09/07/12
Altegris QIM Futures Fund, L.P. DE 3.02 09/01/12
Altegris Winton Futures Fund, L.P. CO 3.02 09/01/12
AMARIN CORP PLC\UK X0 7.01,8.01 09/04/12
AMERICAN APPAREL, INC DE 7.01 09/10/12
AMERITRANS CAPITAL CORP DE 5.03,9.01 09/04/12
AMGEN INC DE 8.01 09/10/12
AMGEN INC DE 8.01 09/10/12
AP PHARMA INC /DE/ DE 8.01,9.01 09/10/12
ARCH CAPITAL GROUP LTD. 8.01 09/06/12
Arista Power, Inc. NY 1.01,2.03,3.02 09/04/12
Armour Residential REIT, Inc. MD 7.01,9.01 09/10/12
Aspect Software Group Holdings Ltd. DE 5.02,9.01 09/06/12
AspenBio Pharma, Inc. CO 7.01,9.01 09/10/12
ASSET ACCEPTANCE CAPITAL CORP 2.05,9.01 09/04/12
Bio-AMD Inc. NV 8.01,9.01 09/10/12
Bloomin' Brands, Inc. DE 5.02,9.01 09/06/12
BRT REALTY TRUST MA 5.02 09/10/12
CAPITAL ONE FINANCIAL CORP DE 5.02,8.01,9.01 09/04/12
CASEYS GENERAL STORES INC IA 8.01,9.01 09/10/12
CBL & ASSOCIATES PROPERTIES INC DE 5.02,7.01,9.01 09/10/12
CBRE GROUP, INC. DE 7.01,9.01 09/10/12
CDEX INC NV 1.03,9.01 09/04/12
CELL THERAPEUTICS INC WA 7.01,9.01 09/10/12
Chanticleer Holdings, Inc. DE 4.02 09/07/12
CHART INDUSTRIES INC DE 7.01,9.01 09/10/12
CHASE PACKAGING CORP NJ 3.03,4.02,5.03,9.01 09/04/12
Chelsea Therapeutics International, L DE 8.01,9.01 09/10/12
China Auto Logistics Inc NV 5.07 09/04/12
CHINA BAK BATTERY INC NV 5.02,9.01 09/10/12
CIGNA CORP DE 7.01 09/10/12
CIRTRAN CORP NV 1.01,2.01,9.01 08/20/12
Citadel Exploration, Inc. NV 5.02,8.01,9.01 09/04/12
CLAIMSNET COM INC DE 1.01,2.03,9.01 09/07/12
CME GROUP INC. DE 1.01,2.03,9.01 09/05/12
CMS ENERGY CORP MI 7.01,9.01 09/10/12
CNO Financial Group, Inc. DE 1.01,2.03,9.01 09/04/12 AMEND
COMPUTER SCIENCES CORP NV 7.01,9.01 09/10/12
CONNECTICUT WATER SERVICE INC / CT CT 1.01,9.01 09/10/12
CONSUMERS BANCORP INC /OH/ OH 5.02 09/05/12
CYTOKINETICS INC 8.01 09/10/12
DEL MONTE CORP 2.02,7.01,9.01 09/10/12
Diamond Foods Inc DE 8.01,9.01 09/10/12
DIONICS INC DE 1.01,2.01,9.01 06/29/12 AMEND
Dividend Capital Diversified Property 5.02,9.01 09/07/12
EASTMAN KODAK CO NJ 5.02,9.01 09/10/12
Education Realty Trust, Inc. MD 8.01,9.01 09/07/12
eHealth, Inc. DE 8.01,9.01 09/10/12
El Paso Pipeline Partners, L.P. DE 7.01 09/10/12
ELECSYS CORP KS 2.02,9.01 09/10/12
ENGLOBAL CORP NV 1.01,9.01 09/10/12
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 09/10/12
EQUITY LIFESTYLE PROPERTIES INC MD 3.02,8.01,9.01 09/07/12
FAIR ISAAC CORP DE 2.01,7.01,9.01 09/07/12
FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02,9.01 09/10/12
Federal Home Loan Bank of Dallas 2.03,9.01 09/04/12
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 09/10/12
FINISH LINE INC /IN/ IN 8.01,9.01 09/10/12
FTI CONSULTING INC MD 7.01,9.01 09/05/12
GABRIEL TECHNOLOGIES CORP DE 8.01,9.01 09/07/12
GALTECH SEMICONDUCTOR MATERIALS CO UT 5.02 09/10/12
General Finance CORP DE 1.01,1.02,9.01 09/07/12
General Growth Properties, Inc. DE 7.01,9.01 09/10/12
GENESEE & WYOMING INC DE 1.01,8.01,9.01 09/05/12
GERON CORP DE 8.01,9.01 09/10/12
GLOBALWISE INVESTMENTS INC NV 4.01,9.01 09/04/12
GREAT CHINA MANIA HOLDINGS, INC. FL 1.01,5.01,9.01 09/04/12
GreenChoice International, Inc. NV 4.01,9.01 08/01/12 AMEND
GREENLITE VENTURES INC NV 7.01,9.01 09/10/12
Guidewire Software, Inc. DE 5.02,9.01 09/05/12
HEALTH NET INC DE 7.01 09/10/12
HORTON D R INC /DE/ DE 1.01,2.03,9.01 09/07/12
ICEWEB INC DE 1.01,8.01,9.01 09/07/12
IMAGE SENSING SYSTEMS INC MN 5.02,9.01 09/10/12
IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.03,9.01 09/04/12
India Globalization Capital, Inc. MD 5.07 09/07/12
INFOBLOX INC 5.02 09/05/12
Inland Diversified Real Estate Trust, MD 1.01,7.01,9.01 09/10/12
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 09/06/12
Interval Leisure Group, Inc. DE 1.02 09/04/12
INVENTURE FOODS, INC. DE 7.01 09/07/12
INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 09/10/12
IZEA, Inc. NV 1.01,8.01,9.01 09/06/12
JOSHUA GOLD RESOURCES INC NV 1.01,5.02,9.01 09/04/12
KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 09/10/12
Keyuan Petrochemicals, Inc. NV 5.02,9.01 09/06/12
Kips Bay Medical, Inc. DE 8.01,9.01 09/10/12
KSW INC NY 1.01,3.02,7.01,9.01 09/07/12
LAM RESEARCH CORP DE 5.02,9.01 09/07/12
LANNETT CO INC DE 2.02,9.01 09/06/12
Lantheus Medical Imaging, Inc. DE 8.01,9.01 09/10/12
Lifevantage Corp CO 2.02,8.01,9.01 09/10/12
Limoneira CO DE 2.02,9.01 09/10/12
LOCAL.COM DE 7.01,9.01 09/10/12
M&T BANK CORP NY 7.01,9.01 09/10/12
MABCURE INC. NV 5.02 09/10/12
MARKETING WORLDWIDE CORP DE 3.02,8.01 09/06/12
MARRIOTT INTERNATIONAL INC /MD/ DE 8.01,9.01 09/05/12
MAXIM INTEGRATED PRODUCTS INC DE 5.02 09/10/12
McEwen Mining Inc. CO 7.01,9.01 09/10/12
MEDICAL ALARM CONCEPTS HOLDINGS INC NV 1.01,7.01 09/10/12
MEDIWARE INFORMATION SYSTEMS INC NY 7.01,9.01 09/10/12
Mellanox Technologies, Ltd. L3 5.02,7.01,9.01 09/06/12
MEXICO FUND INC MD 7.01,9.01 08/31/12
MILLER ENERGY RESOURCES, INC. TN 2.02,7.01,9.01 09/10/12
MIMEDX GROUP, INC. FL 5.02,9.01 09/04/12
MRC GLOBAL INC. DE 7.01 09/10/12
MTS SYSTEMS CORP MN 1.01,2.03,9.01 09/07/12
National American University Holdings DE 5.02,7.01,9.01 09/04/12
Net Profits Ten Inc. NV 1.01,9.01 09/01/12
NET TALK.COM, INC. FL 4.01 09/03/12
NETWORK ENGINES INC DE 8.01,9.01 09/10/12
NEWS CORP 8.01,9.01 09/10/12
NISOURCE INC/DE DE 8.01 09/10/12
NuStar Energy L.P. DE 1.01,9.01 09/05/12
NVR INC VA 1.01,9.01 09/05/12
OCEANEERING INTERNATIONAL INC DE 1.01,9.01 09/07/12
OIL STATES INTERNATIONAL, INC DE 8.01,9.01 09/10/12
ON ASSIGNMENT INC DE 8.01,9.01 09/10/12
Onteco Corp NV 5.02,9.01 08/31/12
ORCHARD SUPPLY HARDWARE STORES CORP DE 2.02,5.02,7.01,9.01 09/05/12
Palo Alto Networks Inc DE 2.02,9.01 09/10/12
PAR PHARMACEUTICAL COMPANIES, INC. DE 7.01,9.01 09/10/12
PennyMac Mortgage Investment Trust MD 7.01,9.01 09/10/12
PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 09/10/12
PHARMATHENE, INC DE 7.01,9.01 09/10/12
PILGRIMS PRIDE CORP DE 5.02 09/06/12
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 09/10/12
PLAINS EXPLORATION & PRODUCTION CO DE 1.01,7.01,9.01 09/04/12
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 09/10/12
PREMIER FINANCIAL BANCORP INC KY 2.03,9.01 09/07/12
PRINCIPAL FINANCIAL GROUP INC DE 2.03,8.01,9.01 09/05/12
Public Storage MD 8.01,9.01 09/10/12
QEP RESOURCES, INC. DE 1.01,9.01 09/05/12
QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 09/10/12
QUICKSILVER RESOURCES INC DE 1.01,2.03,9.01 09/07/12
RADISYS CORP OR 8.01 09/10/12
RADISYS CORP OR 5.02 09/04/12
REALNETWORKS INC WA 5.02 09/04/12
RENT A CENTER INC DE 8.01,9.01 09/10/12
RICHFIELD OIL & GAS Co NV 3.02,3.03,5.03,9.01 08/31/12
Rockwood Holdings, Inc. DE 7.01,9.01 09/10/12
SAKS INC TN 1.01,9.01 09/07/12
Sally Beauty Holdings, Inc. 1.01,2.03,9.01 09/05/12
SEARS HOLDINGS CORP DE 8.01,9.01 09/07/12
SENESCO TECHNOLOGIES INC DE 8.01,9.01 09/10/12
SEQUENOM INC DE 8.01,9.01 09/10/12
SHADES HOLDINGS, INC. FL 1.01,9.01 09/07/12
SHADES HOLDINGS, INC. FL 4.01,9.01 09/10/12
SHUFFLE MASTER INC MN 2.02,9.01 09/10/12
SLM Student Loan Trust 2012-6 DE 6.01,9.01 09/10/12
SM Energy Co DE 4.01,9.01 09/10/12
SMART BALANCE, INC. DE 2.01,9.01 07/02/12 AMEND
SOLERA HOLDINGS, INC DE 5.02 09/07/12
SPARTON CORP OH 7.01,9.01 09/10/12
SRKP 16 INC DE 5.03 09/04/12
STR HOLDINGS, INC. DE 5.02,9.01 09/10/12
STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 08/29/12
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 09/04/12
Sucampo Pharmaceuticals, Inc. 7.01,9.01 09/10/12
Sunstone Hotel Investors, Inc. MD 1.01,2.03,9.01 09/05/12
SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 09/10/12
TECH DATA CORP FL 1.01,8.01,9.01 09/04/12
THERMOENERGY CORP DE 5.02 09/04/12
Titan Machinery Inc. DE 2.02,9.01 09/10/12
Transocean Ltd. V8 5.02,9.01 09/09/12
Transocean Ltd. V8 8.01 09/09/12
Transocean Ltd. V8 8.01,9.01 09/10/12
Transocean Ltd. V8 8.01 09/10/12
Tri-Tech Holding, Inc. E9 5.07,9.01 09/06/12
Tyco Flow Control International Ltd. V8 8.01,9.01 09/10/12
United Community Bancorp X1 5.03,9.01 09/06/12
UNITEDHEALTH GROUP INC MN 7.01 09/10/12
UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 09/10/12
US ENERGY CORP WY 5.02 09/07/12
US FUEL CORP NV 5.02,8.01 09/10/12
UWHARRIE CAPITAL CORP NC 2.02,9.01 09/10/12
VECTREN CORP IN 5.03,9.01 09/05/12
VERINT SYSTEMS INC DE 7.01,9.01 09/10/12
Voyager Oil & Gas, Inc. MT 1.01,7.01,8.01,9.01 09/06/12
Voyager Oil & Gas, Inc. MT 7.01,9.01 09/10/12
Vystar Corp GA 5.02 09/04/12
W R GRACE & CO DE 7.01,9.01 09/10/12
WALGREEN CO IL 2.01,9.01 08/02/12 AMEND
Walker & Dunlop, Inc. MD 1.01,2.01,2.03,3.02, 09/04/12
5.03,9.01
WELLPOINT, INC IN 7.01 09/10/12
WELLPOINT, INC IN 8.01,9.01 09/05/12
WELLS FARGO & COMPANY/MN DE 9.01 09/10/12
WESTERN DIGITAL CORP DE 5.02,7.01,9.01 09/06/12
WILEY JOHN & SONS, INC. NY 7.01 07/31/12
WMI HOLDINGS CORP. WA 7.01,9.01 09/10/12
WVS FINANCIAL CORP PA 5.02 09/07/12
WYNN RESORTS LTD 7.01,9.01 09/10/12
Zalicus Inc. DE 8.01,9.01 09/10/12
ZILLOW INC WA 1.01,7.01,9.01 09/06/12
Znomics, Inc. NV 1.01,9.01 09/10/12
ZYNGA INC DE 5.02 09/10/12
http://www.sec.gov/news/digest/2012/dig091112.htm
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