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Commission announcementsCommission MeetingsClosed Meeting on Monday, December 3, 2012 at 2:00 p.m.The subject matter of the Closed Meeting will be a personnel-related matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. RULES AND RELATED MATTERSOrder Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations from Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for CommentAn order extending the temporary conditional exemption for Nationally Recognized Statistical Rating Organizations from the requirements of Rule 17g-5(a)(3) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 26. (Rel. 34-68286) Enforcement ProceedingsIn the Matter of Florin S. IloviciAn Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Florin S. Ilovici, Admin. Proc. File No. 3-14948. The Order Instituting Proceedings (OIP) alleged that Florin S. Ilovici (Ilovici) violated the antifraud provisions of the federal securities laws by operating a scheme to misappropriate funds from elderly investors through the use of material misrepresentations. On July 5, 2012, the United States District Court for the District of Connecticut entered a final judgment against Ilovici by default in SEC v. Ilovici, No. 3:11-CV-00981-WWE, permanently enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The district court further ordered Ilovici to disgorge approximately $1.1 million in illegally-obtained profits and pay a $900,000 civil penalty. The Default Order finds the allegations of the OIP to be true and concludes that, pursuant to Section 15(b) of the Exchange Act, it is in the public interest to bar Ilovici from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. (Rel. 34-68285; File No. 3-14948) In the Matter of Fearless International, Inc.An Administrative Law Judge (ALJ) issued an Order Making Findings and Revoking Registrations by Default in Fearless International, Inc., Admin. Proc. File No. 3-15073 (Default Order). The Default Order finds that Fearless International, Inc., Glassmaster Company, Global Entertainment Holdings/Equities, Inc., Global Realty Development Corp., Global Roaming Distribution, Inc., and Gottaplay Interactive, Inc., are issuers of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that they failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the ALJ ordered that the registration of each issuer’s registered securities is revoked. (Rel. 34-68291; File No. 3-15073) In the Matter of Vision Twenty One, Inc.An Administrative Law Judge (ALJ) issued an Order Making Findings and Revoking Registration by Default in Vision Twenty One, Inc., Admin. Proc. File No. 3-15008 (Default Order). The Default Order finds that Vision Twenty One, Inc. (Vision Twenty One), an issuer of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the ALJ ordered that the registration of each class of Vision Twenty One’s registered securities is revoked. (Rel. 34-68292; File No. 3-15008) In the Matter of Motilal Oswal Securities Limited
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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 ----------------------------------------------------------------------------------------- ABBY INC. CO 5.02,9.01 11/15/12 ACTIVE NETWORK INC DE 5.02,9.01 11/19/12 ACTIVECARE, INC. DE 9.01 07/12/12 AMEND ADMA BIOLOGICS, INC. DE 5.07 11/19/12 Advanced Voice Recognition Systems, I NV 1.01,3.02,9.01 11/21/12 ADVOCAT INC DE 8.01 11/26/12 AETRIUM INC MN 5.03 11/20/12 AFC ENTERPRISES INC MN 8.01,9.01 11/26/12 Affinion Group Holdings, Inc. DE 1.01,9.01 11/20/12 AFS SenSub Corp. 1.01,9.01 11/20/12 AIRGAS INC DE 1.01,2.03,8.01,9.01 11/19/12 ALBANY INTERNATIONAL CORP /DE/ DE 2.05,9.01 11/21/12 Ally Financial Inc. DE 1.01 11/21/12 Alon USA Energy, Inc. DE 1.01,2.01,9.01 11/26/12 Alon USA Partners, LP DE 1.01,2.01,3.02,5.02, 11/19/12 5.03,9.01 Alphatec Holdings, Inc. DE 5.02 11/19/12 American Midstream Partners, LP DE 8.01 11/26/12 AMERIGROUP CORP 8.01,9.01 11/26/12 AMERITRANS CAPITAL CORP DE 8.01,9.01 11/20/12 Applied Minerals, Inc. DE 5.02,5.03,5.07,9.01 11/20/12 ARCH COAL INC DE 1.01,2.03,9.01 11/21/12 Argo Group International Holdings, Lt 8.01 11/23/12 ASHLAND INC. KY 7.01,9.01 11/26/12 AVALONBAY COMMUNITIES INC MD 1.01,2.02,2.03,3.02, 11/26/12 7.01,8.01,9.01 AWARE INC /MA/ MA 8.01,9.01 11/26/12 Bancorp, Inc. 5.02 11/23/12 BANCORPSOUTH INC MS 5.02,9.01 11/26/12 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 11/26/12 BANNER CORP WA 8.01,9.01 11/21/12 BAR HARBOR BANKSHARES ME 5.02 11/20/12 Bazaarvoice Inc DE 2.02,9.01 11/26/12 BCM Energy Partners Inc. DE 4.01,9.01 10/23/12 Bidz.com, Inc. CA 2.01,3.03,5.01,5.02, 11/26/12 8.01,9.01 BMC SOFTWARE INC DE 1.01,2.03 11/23/12 Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 11/19/12 Chelsea Therapeutics International, L DE 1.01,9.01 11/26/12 CHILDRENS PLACE RETAIL STORES INC 8.01,9.01 11/26/12 CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 11/26/12 CHINA HGS REAL ESTATE INC. F4 8.01,9.01 11/20/12 ChinaNet Online Holdings, Inc. NV 9.01 09/10/12 AMEND CIGNA CORP DE 7.01 11/26/12 CITIGROUP INC DE 9.01 11/26/12 CombiMatrix Corp DE 5.02,9.01 11/20/12 COMMUNICATIONS SYSTEMS INC MN 5.02,5.07 05/22/12 AMEND Computer Vision Systems Laboratories FL 1.01,2.01,3.02,5.01, 11/26/12 AMEND 5.02,5.03,9.01 Covidien plc 2.02,9.01 11/26/12 CVS CAREMARK CORP DE 8.01,9.01 11/26/12 CYTOKINETICS INC 8.01 11/26/12 DiamondRock Hospitality Co 1.01,2.03,7.01,9.01 11/20/12 Divine Skin Inc. FL 5.02,9.01 11/21/12 DOCUMENT SECURITY SYSTEMS INC NY 1.01,5.02,9.01 11/19/12 DREW INDUSTRIES INC DE 8.01,9.01 11/26/12 E-Debit Global Corp. CO 8.01,9.01 11/26/12 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 11/26/12 Eaton Corp plc 1.01,2.03,9.01 11/20/12 ENTERGY CORP /DE/ DE 8.01 11/14/12 EQUITY RESIDENTIAL MD 1.01,7.01,9.01 11/26/12 EQUITY RESIDENTIAL MD 9.01 11/26/12 Erickson Air-Crane Inc DE 7.01,9.01 11/26/12 ETHAN ALLEN INTERIORS INC DE 8.01,9.01 11/26/12 ETHAN ALLEN INTERIORS INC DE 8.01,9.01 11/26/12 AMEND EUROSITE POWER INC 1.01,3.02,7.01,9.01 11/21/12 FARMER BROTHERS CO CA 1.01,2.03,9.01 11/19/12 Federal Home Loan Bank of Boston X1 2.03 11/19/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/26/12 FiberTower CORP DE 5.02 11/19/12 First Choice Healthcare Solutions, In DE 5.02,8.01,9.01 11/20/12 FISHER COMMUNICATIONS INC WA 8.01 11/19/12 FISHER COMMUNICATIONS INC WA 1.01,2.03,9.01 11/19/12 FIVE STAR QUALITY CARE INC 1.01,8.01,9.01 11/23/12 FLORIDA GAMING CORP DE 8.01,9.01 11/25/12 FLUSHING FINANCIAL CORP DE 8.01,9.01 11/26/12 Forestar Group Inc. DE 5.03,9.01 11/26/12 FULTON FINANCIAL CORP PA 7.01,9.01 11/26/12 G&K SERVICES INC MN 8.01,9.01 11/26/12 GENERAC HOLDINGS INC. DE 8.01 11/26/12 GENESEE & WYOMING INC DE 8.01 11/21/12 GENESEE & WYOMING INC DE 8.01 11/21/12 AMEND GEORGETOWN CORP NV 5.02,5.03,9.01 11/16/12 GERMAN AMERICAN BANCORP, INC. IN 5.02,9.01 11/26/12 Global Geophysical Services Inc DE 8.01,9.01 11/26/12 GLOBALSCAPE INC DE 5.02 11/19/12 Green Global Investments, Inc. FL 9.01 11/26/12 AMEND HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 11/26/12 Hillenbrand, Inc. IN 2.02,9.01 11/26/12 HORNE INTERNATIONAL, INC. DE 5.02 11/26/12 INERGY MIDSTREAM, L.P. 8.01,9.01 11/26/12 INFRAX SYSTEMS, INC. FL 8.01 11/26/12 INGRAM MICRO INC DE 1.01,2.03,9.01 11/26/12 InsPro Technologies Corp DE 1.01,3.02,9.01 11/20/12 Intellicheck Mobilisa, Inc. DE 5.02,9.01 11/13/12 AMEND INTREorg SYSTEMS INC. TX 1.01,2.03,3.02,9.01 09/14/12 INUVO, INC. NV 7.01,9.01 11/26/12 IVANHOE ENERGY INC 1.01,9.01 11/21/12 IVANHOE ENERGY INC 7.01,9.01 11/21/12 JABIL CIRCUIT INC DE 5.02 10/16/12 AMEND KIRKLAND'S, INC 2.02,9.01 11/20/12 KIRKLAND'S, INC 5.02 11/20/12 LAS VEGAS SANDS CORP NV 7.01,9.01 11/26/12 LBI MEDIA HOLDINGS INC 1.01,9.01 11/19/12 LIME ENERGY CO. DE 3.01,9.01 11/19/12 Limelight Networks, Inc. DE 5.02,9.01 11/26/12 Maiden Holdings, Ltd. D0 7.01,9.01 11/26/12 MARTIN MIDSTREAM PARTNERS LP DE 1.01,5.01,8.01,9.01 11/20/12 MBIA INC CT 1.01,8.01,9.01 11/21/12 McEwen Mining Inc. CO 7.01,9.01 11/21/12 MCG CAPITAL CORP DE 1.01,2.03,9.01 11/21/12 MCGRAW-HILL COMPANIES INC NY 1.01,8.01,9.01 11/26/12 MEDNAX, INC. FL 1.01,2.03,7.01,9.01 11/19/12 MERIT MEDICAL SYSTEMS INC UT 1.01,7.01,9.01 11/26/12 MFA FINANCIAL, INC. MD 7.01 11/26/12 Midway Gold Corp A1 1.01,3.02,9.01 11/21/12 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 11/26/12 MYMETICS CORP DE 5.02 11/19/12 NBTY INC DE 1.01,7.01,9.01 11/26/12 Net Element International, Inc. E9 4.01,9.01 11/13/12 AMEND Nuveen Diversified Commodity Fund DE 8.01,9.01 11/19/12 Nuveen Long/Short Commodity Total Ret DE 8.01,9.01 11/19/12 OAK RIDGE MICRO-ENERGY INC CO 1.01,2.01,3.02,5.01, 10/02/12 AMEND 5.02,9.01 OCLARO, INC. DE 1.01,8.01,9.01 11/19/12 OFS Capital Corp DE 7.01,9.01 11/26/12 OGLETHORPE POWER CORP GA 7.01,9.01 11/26/12 ORBCOMM Inc. DE 5.02 11/19/12 PACWEST BANCORP DE 7.01,9.01 11/26/12 Pana-Minerales S.A. 5.03,9.01 11/23/12 PARKWAY PROPERTIES INC MD 9.01 11/26/12 AMEND Pathfinder Cell Therapy, Inc. DE 2.03,3.02 11/20/12 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 11/20/12 People's United Financial, Inc. DE 8.01 11/21/12 Pershing Gold Corp. NV 5.02,9.01 11/19/12 PINNACLE AIRLINES CORP DE 7.01,9.01 11/21/12 PITNEY BOWES INC /DE/ DE 8.01,9.01 11/20/12 PLUM CREEK TIMBER CO INC DE 2.03,9.01 11/26/12 Plymouth Opportunity REIT Inc. MD 2.01,9.01 11/26/12 AMEND Post Holdings, Inc. MO 5.02,9.01 11/19/12 PRIME ESTATES & DEVELOPMENTS INC NV 1.01,9.01 11/26/12 Primerica, Inc. DE 1.01,9.01 11/19/12 PROSPERITY BANCSHARES INC TX 5.02,9.01 11/19/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 5.02,9.01 11/20/12 RADIANT LOGISTICS, INC DE 7.01,8.01,9.01 11/21/12 REDWOOD TRUST INC MD 7.01,9.01 11/26/12 RING ENERGY, INC. NV 2.01,3.02,9.01 11/19/12 ROBERTSON GLOBAL HEALTH SOLUTIONS COR NV 1.01,2.03,9.01 11/26/12 Santander Holdings USA, Inc. VA 1.01,8.01,9.01 11/23/12 SAVANNAH BANCORP INC GA 8.01 11/23/12 SEACOR HOLDINGS INC /NEW/ DE 8.01,9.01 11/26/12 SemiLEDs Corp 2.06 11/19/12 SENESCO TECHNOLOGIES INC DE 8.01,9.01 11/26/12 Seven Arts Entertainment Inc. NV 5.02,9.01 11/19/12 SHERWIN WILLIAMS CO OH 1.01,2.03,9.01 11/26/12 Silver Dragon Resources Inc. DE 1.01 11/26/12 SLM Student Loan Trust 2006-7 DE 8.01,9.01 11/26/12 SOHU COM INC DE 5.02 11/21/12 Spansion Inc. DE 1.01 11/20/12 SPLUNK INC DE 1.01,2.03,9.01 11/20/12 STAGE STORES INC NV 8.01,9.01 11/21/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 2.02,8.01,9.01 11/26/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 2.02,8.01,9.01 11/26/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 2.02,8.01,9.01 11/26/12 STEELCASE INC MI 2.02,9.01 11/23/12 STEWART INFORMATION SERVICES CORP DE 7.01,9.01 11/26/12 TELEPHONE & DATA SYSTEMS INC /DE/ DE 8.01,9.01 11/26/12 TERADYNE, INC MA 5.02 11/26/12 TIME WARNER INC. DE 5.02 11/26/12 TransDigm Group INC DE 5.02,9.01 11/19/12 TRIMAS CORP DE 2.05,9.01 11/21/12 Trio Merger Corp. DE 2.03,3.02 11/21/12 Tropicana Las Vegas Hotel & Casino, I DE 3.02 11/21/12 Truli Media Group, Inc. 5.02 11/26/12 TRUMP ENTERTAINMENT RESORTS, INC. DE 5.07 11/19/12 TWIN DISC INC WI 1.01,2.03,9.01 11/26/12 UNITED RENTALS INC /DE DE 5.08,8.01 11/26/12 UNITEDHEALTH GROUP INC MN 7.01,9.01 11/26/12 US AIRWAYS GROUP INC DE 7.01 11/26/12 USCORP NV 4.01,9.01 10/03/12 VALASSIS COMMUNICATIONS INC DE 5.02,9.01 11/26/12 VelaTel Global Communications, Inc. NV 3.02 11/21/12 Verastem, Inc. DE 5.02 11/21/12 VICOR CORP DE 7.01,9.01 11/26/12 VIVUS INC CA 8.01 11/19/12 WashingtonFirst Bankshares, Inc. VA 5.02,9.01 11/19/12 WELLS CORE OFFICE INCOME REIT INC 8.01 11/26/12 WESBANCO INC WV 7.01,9.01 11/26/12 ZHONGPIN INC. DE 1.01,8.01,9.01 11/26/12 ZIONS BANCORPORATION /UT/ UT 7.01,9.01 11/26/12 ZOGENIX, INC. DE 5.02 11/26/12
http://www.sec.gov/news/digest/2012/dig112712.htm
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