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Commission AnnouncementsEn Vincente Martinez Named Chief of SEC’s Office of Market IntelligenceThe Securities and Exchange Commission today announced that Vincente L. Martinez has been named Chief of the Enforcement Division’s Office of Market Intelligence, which collects and evaluates thousands of tips, complaints, and referrals that come into the SEC each year. Mr. Martinez was one of the first assistant directors in the SEC’s Office of Market Intelligence, which was created in 2010 as part of a major restructuring of the Enforcement Division. He left the SEC in 2011 to become the first director of the whistleblower office at the Commodity Futures Trading Commission (CFTC). He will return to the SEC next month to begin his new role. “Our Office of Market Intelligence employs next-generation technology and data analysis to inform and drive our enforcement effort and priorities in the years to come,” said Robert Khuzami, Director of the SEC’s Enforcement Division. “Vince has the vision and dedication to lead that effort given his talent, commitment, and prior service to the SEC.” Adam Storch, Managing Executive of the SEC’s Enforcement Division, added, “Vince understands the task at hand and is ready to further leverage the valuable intelligence we get from the public, cultivate our relationships with our regulatory partners, and tackle the increasing sophistication of the schemes victimizing investors.” Mr. Martinez said, “I am honored and pleased to rejoin the SEC staff and have this opportunity to advance the Office of Market Intelligence’s meaningful contributions to the protection of investors by further developing our ability to proactively identify risks and ferret out misconduct.” At the CFTC, Mr. Martinez has interacted with whistleblowers and their representatives, developed the CFTC’s policies and procedures for handling whistleblower matters, and worked to raise awareness of the CFTC’s whistleblower program – which was created under the Dodd-Frank Act. Mr. Martinez previously worked for eight years in the SEC’s Enforcement Division, beginning in 2003 as a staff attorney and later becoming a senior counsel. He served on a task force devoted to pursuing accounting frauds. When he shifted to the Office of Market Intelligence, he played a key role in developing Enforcement Division and SEC-wide policies and procedures for handling tips, complaints, and referrals. He helped cultivate cooperative relationships with other government agencies and self-regulatory organizations. Mr. Martinez received two SEC awards in 2011 (Chairman’s Award for Excellence and Business Operations Award) and an Enforcement Division Director’s Award in 2007. Prior to joining the SEC staff, Mr. Martinez was a litigator and corporate lawyer in private practice for six years. He is a graduate of Georgetown University and the Boalt Hall School of Law at the University of California at Berkeley. The Enforcement Division and Mr. Martinez extend their recognition and gratitude for the outstanding contributions of Lori Walsh, who is currently serving as the Acting Chief of the Office of Market Intelligence. Ms. Walsh will continue her leadership role as Deputy Chief of the office, and she will provide an instrumental contribution as the architect of its risk assessment tools and capabilities. (Press Rel. 2013-8) Enforcement ProceedingsEgan-Jones and Founder Sean Egan Agree to 18-Month Bars from Rating Asset-Backed and Government Securities Issuers as NRSROThe Securities and Exchange Commission today announced that Egan-Jones Ratings Company (EJR) and its president Sean Egan have agreed to settle charges that they made willful and material misstatements and omissions when registering with the SEC to become a Nationally Recognized Statistical Rating Organization (NRSRO) for asset-backed securities and government securities. EJR and Egan consented to an SEC order that found EJR falsely stated in its registration application that the firm had been rating issuers of asset-backed and government securities since 1995 – when in truth the firm had not issued such ratings prior to filing its application. The SEC’s order also found that EJR violated conflict-of-interest provisions, and that Egan caused EJR’s violations. EJR and Egan made a settlement offer that the Commission determined to accept. Under the settlement, EJR and Egan agreed to be barred for at least 18 months from rating asset-backed and government securities issuers as an NRSRO. EJR and Egan also agreed to correct the deficiencies found by SEC examiners in 2012, and submit a report – signed by Egan under penalty of perjury – detailing steps the firm has taken. “Accuracy and transparency in the registration process are essential to the Commission’s oversight of credit rating agencies,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “EJR and Egan’s misrepresentation of the firm’s actual experience rating issuers of asset-backed and government securities is a serious violation that undercuts the integrity of the SEC’s NRSRO registration process.” Antonia Chion, Associate Director of the SEC’s Division of Enforcement, added, “Provisions requiring NRSROs to retain certain records and address conflicts of interest are central to the SEC’s oversight of credit rating agencies. EJR’s violations of these provisions were significant and recurring.” Egan and his firm were charged last year for falsely stating on EJR’s July 2008 application to the SEC that it had 150 outstanding asset-backed securities (ABS) issuer ratings and 50 outstanding government issuer ratings, and had been issuing credit ratings in these categories on a continuous basis since 1995. Egan signed and certified the application as accurate. According to the SEC’s order, EJR had not issued any ABS or government issuer ratings that were made available through the Internet or any other readily accessible means. Therefore, EJR did not meet the requirements for registration as a NRSRO in these classes. The Commission found that EJR continued to make material misrepresentations about its experience in subsequent annual certifications. EJR also made other misstatements in submissions to the SEC, and violated recordkeeping and conflict-of-interest provisions governing NRSROs – which are intended to safeguard the integrity of credit ratings. EJR and Egan agreed to certain undertakings in the SEC’s order, including that they must conduct a comprehensive self-review and implement policies, procedures, practices, and internal controls that correct issues identified in the SEC’s order and in the 2012 examination of EJR conducted by the SEC’s Office of Credit Ratings. EJR and Egan consented to the entry of the order without admitting or denying the findings. The order requires them to cease and desist from committing or causing future violations. The SEC’s investigation was conducted by Stacy Bogert, Pamela Nolan, Alec Koch, and Yuri Zelinsky. The SEC’s litigation was led by James Kidney with assistance from Alfred Day and Ms. Nolan. The related examinations of EJR were conducted by staff from the SEC’s Office of Credit Ratings, Office of Compliance Inspections and Examinations, and Division of Trading and Markets. Examiners included Michele Wilham, Jon Hertzke, Mark Donohue, Kristin Costello, Scott Davey, Alan Dunetz, Nicole Billick, David Nicolardi, Natasha Kaden, and Abe Losice. (Press Rel. 2013-7; Rel. 34-68703; File No. 3-14856) In the Matter of Sung Kook HwangOn January 22, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Sung Kook (Bill) Hwang. The Order finds that Hwang was the sole principal and portfolio manager for Tiger Asia Fund, L.P., and Tiger Asia Overseas Fund, Ltd. (the Funds), both private funds, and the managing member of Tiger Asia Management, LLC (TAM), an investment adviser registered with the Commission. The Order further finds that on December 14, 2012, a final judgment was entered by consent against Hwang, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled SEC v. Tiger Asia Management, LLC, et al., 12 cv 07601 (DMC), in the United States District Court for the District of New Jersey. The Order finds that the Commission’s Complaint in that action alleged that Hwang engaged in insider trading when TAM entered into wall crossing agreements during December 2008 and January 2009 for three private placements of Chinese bank stocks, subsequently violated the wall crossing agreements by short selling the stocks, and then covered the short positions with private placement shares purchased at a discount. The complaint further alleged that by trading after receiving the material nonpublic information concerning the private placements, Hwang breached a duty owed to the provider of the private placement information, the placement agents representing the sellers of the securities. The complaint also alleged that Hwang violated the Advisers Act by directing trades to be placed in certain Chinese bank stocks at month’s end in November and December 2008 and January and February 2009 in an attempt to manipulate the price of those stocks to increase assets under management, which in turn would increase management fees during those four months. Based on the above, the Order bars Hwang from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with the right to apply for reentry after five years. Hwang consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. IA-3535; File No. 3-15181) In the Matter of Raymond Y.H. ParkOn January 22, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Raymond Y.H. Park. The Order finds that Park was the head trader for Tiger Asia Fund, L.P., and Tiger Asia Overseas Fund, Ltd., two private funds (the Funds), managed by Tiger Asia Management, LLC (TAM), an investment adviser registered with the Commission. The Order further finds that on December 14, 2012, a final judgment was entered by consent against Park, permanently enjoining him from future violations of Sections 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled SEC v. Tiger Asia Management, LLC, et al., 12 cv 07601 (DMC), in the United States District Court for the District of New Jersey. The Order finds that the Commission’s Complaint in that action alleged that Park engaged in insider trading when TAM entered into wall crossing agreements during December 2008 and January 2009 for three private placements of Chinese bank stocks, subsequently violated the wall crossing agreements by short selling the stocks, and then covered the short positions with private placement shares purchased at a discount. The complaint further alleged that by trading after receiving the material nonpublic information concerning the private placements, Park breached a duty owed to the provider of the private placement information, the placement agents representing the sellers of the securities. The complaint also alleged that Park aided and abetted TAM, Tiger Asia Partners, LLC and Sung Kook Hwang, the portfolio manager of the Funds, in their violations of the Advisers Act. Park, at Hwang’s direction, placed trades in Chinese bank stocks at month’s end in November and December 2008 and January and February 2009 in an attempt to manipulate the price of those stocks to increase assets under management, which in turn would increase management fees during those four months. Based on the above, the Order bars Park from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with the right to apply for reentry after three years. Park consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. IA-3536; File No. 3-15182) Kenneth A. Dachman Sentenced to 10 Years in Prison and Ordered to Pay Over $4 Million in RestitutionThe Securities and Exchange Commission (SEC) announced that on January 17, 2013, in a criminal action brought by the U.S. Attorney’s Office for the Northern District of Illinois, the Honorable James B. Zagel in the Northern District of Illinois sentenced Kenneth A. Dachman (Dachman) to 120 months in prison on 11 counts of wire fraud and ordered Dachman to pay more than $4 million in restitution to his victims. Judge Zagel also ordered Dachman to be placed on three years of supervised released following his prison sentence. [USA v. Kenneth A. Dachman, Case No. 1:11-CR-00504, USDC, N.D. Ill.]. Dachman was criminally charged for raising more than $4 million from investors for his now-defunct sleep disorder businesses, Central Sleep Diagnostics, LLC and Advanced Sleep Devices, LLC, which were located in the northern suburbs of Chicago. Between June 2008 and September 2010, Dachman fraudulently obtained funds from investors by misrepresenting the use of investor funds, the expected investment returns and risks involved in the investments, his business and academic background and the financial condition of his companies. The government established that Dachman misappropriated more than $2 million of commingled investor funds which he used for the benefit of himself and his family. In February 2012, the SEC filed a civil injunctive action against Dachman based on the same events. The SEC’s action has been stayed pending the outcome of the criminal case. [SEC v. Kenneth A. Dachman, et al., Case No. 12-CV-00821, USDC, N.D.Ill.] (LR-22597) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesNASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2013-03) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend exchange rules 507 and 1014 to establish remote streaming quote trader organizations. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68689) The Commission issued notice of a proposed rule change submitted by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-002) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend FINRA Rule 2267 (Investor Education and Protection). Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68700) Notice of Filing of an Advance NoticeThe Depository Trust Company (DTC) filed an Advance Notice (SR-DTC-2012-810) under Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 in connection with a proposed change to reduce liquidity risk relating to DTC processing of maturity and income presentments and issuances of money market instruments. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68690) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend its rules relating to Preferred Market-Makers’ continuous quoting obligation (SR-CBOE-2013-008) 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 January 21. (Rel. 34-68691) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-004) to delay the implementation date of FINRA Rule 5350 (Stop Orders) 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 January 21. (Rel. 34-68692) A proposed rule change filed by International Securities Exchange, LLC (SR-ISE-2013-04) to amend the Exchange’s Obvious and Catastrophic Error Rule 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 January 21. (Rel. 34-68693) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-004) 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 January 21. (Rel. 34-68695) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to the BBO Data Feed for CBOE listed options and a BBO data feed for Flexible Exchange Options (SR-CBOE-2013-005) 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 January 21. (Rel. 34-68696) A proposed rule change filed by NASDAQ OMX PHLX relating to routing fees (SR-Phlx-2013-04) 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 January 21. (Rel. 34-68698) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-003) 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 January 21. (Rel. 34-68699) A proposed rule change (SR-FINRA-2013-006) filed by Financial Industry Regulatory Authority, Inc. relating to FINRA Rule 4530 (Reporting Requirements) 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 January 21. (Rel. 34-68701) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-002) 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 January 21. (Rel. 34-68702) Designation of Longer Period for Commission Action on Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NASDAQ-2012-129) filed by The NASDAQ Stock Market LLC to Establish the Retail Price Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68694) 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-3 UMH PROPERTIES, INC., 3499 ROUTE 9 N, SUITE 3-C, JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779997 - 150,000,000 ($150,000,000.00) Equity, (File 333-186084 - Jan. 18) (BR. 08C) S-8 BFC FINANCIAL CORP, 401 EAST LAS OLAS BLVD, SUITE 800, FORT LAUDERDALE, FL, 33301, 954-940-4900 - 3,500,000 ($5,705,000.00) Equity, (File 333-186085 - Jan. 18) (BR. 07B) S-4 Cordia Bancorp Inc, 11730 HULL STREET ROAD, MIDLOTHIAN, VA, 23112, 804-763-1301 - 0 ($3,088,193.00) Equity, (File 333-186087 - Jan. 18) (BR. 07) S-1 DUNE ENERGY INC, TWO SHELL PLAZA, 777 WALKER STREET SUITE 2300, HOUSTON, TX, 77002, 7132296300 - 18,749,997 ($30,468,745.13) Equity, (File 333-186088 - Jan. 18) (BR. 04B) F-3 Fly Leasing Ltd, WEST PIER, DUN LAOGHAIRE, COUNTY DUBLIN, L2, 00000, 353 1 231-1900 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-186089 - Jan. 18) (BR. 06B) S-4 BRE Select Hotels Corp, 345 PARK AVENUE, NEW YORK, NY, 10154, (212) 583-5000 - 0 ($1.00) Equity, (File 333-186090 - Jan. 18) (BR. 08) S-8 Astex Pharmaceuticals, Inc, 4140 DUBLIN BLVD, SUITE 200, DUBLIN, CA, 94568, 9255600100 - 0 ($11,217,500.00) Equity, (File 333-186091 - Jan. 18) (BR. 01B) S-4 CROWN CASTLE INTERNATIONAL CORP, 1220 AUGUSTA DRIVE, SUITE 500, HOUSTON, TX, 77057, 7135703000 - 0 ($1,650,000,000.00) Debt, (File 333-186092 - Jan. 18) (BR. 11A) S-3 Zep Inc., 1310 SEABOARD INDUSTRIAL BLVD., ATLANTA, GA, 30318, (404) 352-1680 - 0 ($100,000,000.00) Other, (File 333-186093 - Jan. 18) (BR. 06C) S-4 Fifth & Pacific Companies, Inc., 1441 BROADWAY, NEW YORK, NY, 10018, 2123544900 - 0 ($372,000,000.00) Other, (File 333-186094 - Jan. 18) (BR. 09B) N-2 GAMCO Global Gold, Natural Resources & Income Trust by Gabelli, ONE CORPORATE CENTER, RYE, NY, 10580-1422, 800.422.3554 - 0 ($350,000,000.00) Equity, (File 333-186097 - Jan. 18) (BR. 22) S-8 OPENTABLE INC, 799 MARKET STREET, FOURTH FLOOR, SAN FRANCISCO, CA, 94103, (415) 344-4200 - 0 ($36,002,683.00) Equity, (File 333-186098 - Jan. 18) (BR. 02C) S-1 YADKIN VALLEY FINANCIAL CORP, 209 NORTH BRIDGE STREET, P. O. BOX 888, ELKIN, NC, 28621, (336) 526-6300 - 678,566 ($2,022,126.68) Equity, (File 333-186099 - Jan. 18) (BR. 07B) S-8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 389,953 ($8,118,821.46) Equity, (File 333-186100 - Jan. 18) (BR. 03C) N-2 Fifth Street Finance Corp, 10 BANK STREET, SUITE 1210, WHITE PLAINS, NY, 10601, (914) 286-6800 - 0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-186101 - Jan. 18) (BR. 16) S-8 RAINMAKER SYSTEMS INC, 900 EAST HAMILTON AVENUE, SUITE 400, CAMPBELL, CA, 95008, 4086263800 - 1,000,000 ($900,000.00) Equity, (File 333-186102 - Jan. 18) (BR. 08C) S-3 CEL SCI CORP, 8229 BOONE BLVD ., SUITE 802, VIENNA, VA, 22182, 7035069460 - 0 ($50,000,000.00) Equity, (File 333-186103 - Jan. 18) (BR. 01A) S-B Telanetix,Inc, 11201 SE 8TH STREET, SUITE 200, BELLEVUE, WA, 98004, (206) 621-3500 - 140,000 ($2,564,800.00) Equity, (File 333-186106 - Jan. 18) (BR. 11C) 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.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
A5 Laboratories Inc. NV 5.02 01/18/13
ADVANCED CELL TECHNOLOGY, INC. DE 1.01,2.03,3.02,8.01, 01/11/13 AMEND
9.01
AGREE REALTY CORP DE 8.01,9.01 01/15/13
Allied Nevada Gold Corp. DE 2.02,5.02,7.01,9.01 01/18/13
AMARANTUS BIOSCIENCE, INC. DE 8.01,9.01 01/18/13
AMCON DISTRIBUTING CO DE 2.02,9.01 01/18/13
AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,2.01,3.02,5.01, 03/23/12 AMEND
5.06,9.01
American Realty Capital Properties, I MD 8.01,9.01 01/08/13 AMEND
AMES NATIONAL CORP IA 2.02,7.01,9.01 01/18/13
AMSURG CORP TN 5.02,8.01 01/17/13
ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 01/18/13
Arno Therapeutics, Inc DE 5.01,9.01 01/14/13
ARRIS GROUP INC DE 7.01,9.01 01/18/13
ASSURED GUARANTY LTD D0 7.01,9.01 01/18/13
AZZ INC TX 8.01,9.01 01/18/13
BANK MUTUAL CORP WI 2.02 01/17/13
BASSETT FURNITURE INDUSTRIES INC VA 8.01,9.01 01/17/13
BGC Partners, Inc. DE 8.01,9.01 01/18/13
BIOTIME INC CA 7.01,9.01 01/18/13
BMW Vehicle Lease Trust 2013-1 1.01,9.01 01/16/13
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 5.07,8.01,9.01 01/17/13
BRISTOL ENERGY FUND LP NY 1.02 01/15/13
CardioGenics Holdings Inc. NV 5.03,9.01 01/17/13
Carlyle Group L.P. DE 1.01,2.03,9.01 01/18/13
CATERPILLAR INC DE 2.06,7.01,9.01 01/18/13
CD INTERNATIONAL ENTERPRISES, INC. FL 4.01,9.01 01/15/13
China Energy Recovery, Inc. DE 1.01 01/14/13
China Growth Equity Investment Ltd E9 8.01,9.01 01/15/13
Chino Commercial Bancorp CA 2.02,9.01 01/18/13
CHIPOTLE MEXICAN GRILL INC 2.02,9.01 01/15/13
CHS INC MN 5.02 01/17/13
CIG WIRELESS CORP. NV 1.01,2.03 12/31/12 AMEND
CINCINNATI BELL INC OH 8.01,9.01 01/17/13
CLEAN HARBORS INC MA 1.01,9.01 01/17/13
CLEARSIGN COMBUSTION CORP WA 5.02 12/28/12
CLIFFS NATURAL RESOURCES INC. OH 5.02 01/15/13 AMEND
CLOUD PEAK ENERGY INC. DE 1.04 01/15/13
CNL Healthcare Properties, Inc. MD 1.01,2.01,2.03,9.01 01/14/13
Cobalt International Energy, Inc. 1.01,8.01,9.01 01/15/13
COEUR D ALENE MINES CORP ID 2.02,3.02,5.02,7.01, 12/10/12
9.01
CONMED CORP NY 1.01,2.03,9.01 01/17/13
Consolidation Services, Inc. DE 1.01,9.01 01/01/13
Consolidation Services, Inc. DE 1.01,9.01 01/11/13
Cornerstone Core Properties REIT, Inc MD 8.01,9.01 01/18/13
CRAFT BREW ALLIANCE, INC. WA 5.02 01/16/13
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 01/18/13
CUI Global, Inc. CO 1.01 01/18/13
CURIS INC DE 5.02,9.01 01/17/13
DATA I/O CORP WA 2.02,9.01 01/17/13
DDR CORP OH 1.01,9.01 01/17/13
DEL MONTE CORP 5.02 01/17/13
Delek Logistics Partners, LP DE 5.02,9.01 01/18/13
Delek US Holdings, Inc. 5.02,9.01 01/18/13
DENBURY RESOURCES INC DE 9.01 11/30/12 AMEND
Diligent Board Member Services, Inc. DE 7.01 01/17/13
DineEquity, Inc DE 7.01,9.01 01/18/13
DIVERSIFIED 2000 FUTURES FUND L.P. 1.02 01/15/13
DIVERSIFIED MULTI-ADVISOR FUTURES FUN NY 1.02 01/15/13
DIVERSIFIED MULTI-ADVISOR FUTURES FUN NY 1.02 01/15/13
DOCUMENT CAPTURE TECHNOLOGIES, INC. 5.02,9.01 01/11/13
DOMINION RESOURCES BLACK WARRIOR TRUS DE 7.01,9.01 01/18/13
DRINKS AMERICAS HOLDINGS, LTD DE 2.04,8.01 01/10/13
DURECT CORP DE 3.01 01/16/13
E-WASTE CORP. FL 5.01,5.02 01/14/13
ECOLOGY & ENVIRONMENT INC NY 8.01,9.01 01/17/12
ECOLOGY COATINGS, INC. NV 5.02 01/18/13
EL CAPITAN PRECIOUS METALS INC NV 5.02 01/15/13
Emergent BioSolutions Inc. DE 1.01,5.02 01/16/13
EMPIRE ENERGY CORP UT 8.01 01/18/13
Enduro Royalty Trust DE 2.02,9.01 01/18/13
ERHC Energy Inc CO 8.01,9.01 01/17/13
EVCARCO, INC. NV 8.01,9.01 01/08/13
Excel Corp DE 2.01,3.02,5.01,5.02, 01/14/13
9.01
Exelis Inc. IN 5.02,9.01 01/17/13
EZJR, Inc. NV 4.01,9.01 12/04/12 AMEND
FAR EAST ENERGY CORP NV 1.01,2.03,3.02,8.01, 01/14/13
9.01
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/18/13
Fifth & Pacific Companies, Inc. DE 8.01,9.01 01/18/13
Fifth & Pacific Companies, Inc. DE 8.01,9.01 01/18/13
FIRST HORIZON NATIONAL CORP TN 7.01,9.01 01/18/13
FIRST HORIZON NATIONAL CORP TN 2.02,9.01 01/18/13
Fortegra Financial Corp DE 2.05,5.02 01/14/13
FRONTIER OILFIELD SERVICES INC TX 1.01,9.01 01/15/13
FUELCELL ENERGY INC DE 3.01 01/17/13
Full Circle Capital Corp MD 5.07 01/18/13
GENCORP INC OH 8.01,9.01 01/18/13
GENERAL ELECTRIC CAPITAL CORP CT 8.01,9.01 01/18/13
GENERAL ELECTRIC CO NY 2.02,9.01 01/18/13
GIBRALTAR INDUSTRIES, INC. DE 8.01,9.01 01/18/13
GigOptix, Inc. DE 5.02 01/14/13
GLU MOBILE INC DE 5.02,9.01 12/13/12 AMEND
GlyEco, Inc. NV 5.02 01/14/13
GOLDEN PHOENIX MINERALS INC NV 5.02 01/15/13
Golub Capital BDC, Inc. DE 2.02,9.01 01/18/13
GREENE COUNTY BANCORP INC DE 8.01,9.01 01/15/13
GT Advanced Technologies Inc. DE 5.02,9.01 01/14/13
GUARANTY FEDERAL BANCSHARES INC DE 2.02,9.01 01/17/13
HARBINGER GROUP INC. DE 7.01 01/18/13
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 01/18/13
HEALTH MANAGEMENT ASSOCIATES, INC DE 8.01 01/17/13
HERBALIFE LTD. E9 2.02,9.01 01/17/13
HICKORY TECH CORP MN 5.02 01/14/13
Highbridge Commodities FuturesAccess DE 3.02 01/15/13
Highbridge Commodities FuturesAccess DE 1.01,9.01 01/17/13
Honda Auto Receivables 2013-1 Owner T DE 1.01,9.01 01/16/13
Howard Bancorp Inc MD 2.02,9.01 01/17/13
HUGOTON ROYALTY TRUST TX 2.02,9.01 01/18/13
ICEWEB INC DE 1.01,9.01 01/17/13
IMPLANT SCIENCES CORP MA 5.03,7.01,9.01 01/18/13
INDUSTRIAL SERVICES OF AMERICA INC /F FL 5.02,9.01 01/17/13
INLAND REAL ESTATE CORP MD 8.01,9.01 01/17/13
INTEL CORP DE 2.02 01/17/13
Intellect Neurosciences, Inc. DE 3.02 01/03/13
INTERCLOUD SYSTEMS, INC. 4.01 01/14/13
INTERSECTIONS INC DE 1.01 01/14/13
INTL FCSTONE INC. DE 7.01,9.01 01/17/13
INVENT Ventures, Inc. NV 1.01,2.03,3.02 01/14/13
JAVELIN MORTGAGE INVESTMENT CORP. MD 7.01,9.01 01/18/13
JEFFERIES GROUP INC /DE/ DE 1.01,9.01 01/15/13
JOHNSON CONTROLS INC WI 2.02,7.01,9.01 01/18/13
KAISER VENTURES LLC DE 1.01,5.02,8.01,9.01 01/15/13
KBS Legacy Partners Apartment REIT, I MD 8.01 01/18/13
KKR Financial Holdings LLC DE 7.01,8.01,9.01 01/18/13
KOPIN CORP DE 2.01,9.01 01/15/13
Kraft Foods Group, Inc. 7.01,9.01 01/18/13
LACLEDE GROUP INC MO 1.01,2.03,9.01 01/16/13
Lake Shore Bancorp, Inc. X1 8.01,9.01 01/18/13
LANDAUER INC DE 3.01 01/15/13
LEAR CORP DE 1.01,2.03,9.01 01/14/13
Liberty Global, Inc. DE 7.01 01/18/13
Lifevantage Corp CO 7.01 01/18/13
LIGHTPATH TECHNOLOGIES INC DE 3.01 01/15/13
LOJACK CORP MA 5.02 01/16/13
LOOKSMART LTD DE 5.01,5.02 01/14/13
LRR Energy, L.P. DE 7.01,9.01 01/18/13
MARKETAXESS HOLDINGS INC 5.02 01/15/13
MATTHEWS INTERNATIONAL CORP PA 2.02,9.01 01/17/13
MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 01/18/13
Medytox Solutions, Inc. NV 4.01 01/10/13
MERCER INTERNATIONAL INC. WA 7.01,9.01 01/18/13
MESA ROYALTY TRUST/TX TX 2.02,9.01 01/18/13
MF Global Holdings Ltd. DE 7.01,9.01 01/14/13
MIDDLEFIELD BANC CORP OH 1.01 01/14/13
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 1.01,2.03,9.01 01/14/13
MORGAN STANLEY DE 2.02,7.01,9.01 01/18/13
MSC INDUSTRIAL DIRECT CO INC NY 5.07 01/17/13
NATIONAL HEALTH INVESTORS INC MD 8.01 01/18/13
NEDAK ETHANOL, LLC NE 8.01,9.01 01/18/13
NETWORK 1 FINANCIAL GROUP, INC. DE 4.01,9.01 01/17/13
New Enterprise Stone & Lime Co., Inc. DE 2.04 01/14/13
NEWLINK GENETICS CORP 5.02,9.01 01/18/13
NEWS CORP 8.01,9.01 01/18/13
NEXTERA ENERGY INC FL 8.01,9.01 01/18/13
NGL Energy Partners LP DE 1.01,9.01 01/15/13
NGL Energy Partners LP DE 9.01 11/02/12 AMEND
Noble Corp / Switzerland V8 8.01 01/16/13
NORTHERN TECHNOLOGIES INTERNATIONAL C DE 5.07 01/17/13
Northumberland Resources, Inc. NV 5.02 01/07/13
NORTHWEST INDIANA BANCORP IN 2.02,9.01 01/18/13
NovaCopper Inc. A1 3.02 01/15/13
NT MINING Corp 8.01 01/17/13
NT MINING Corp 5.02 01/18/13
NTS, INC. NV 8.01,9.01 01/17/13
Nuance Communications, Inc. DE 1.01,5.02 01/18/13
NUPATHE INC. DE 7.01,8.01,9.01 01/17/13
NUTRI SYSTEM INC /DE/ DE 1.01,9.01 01/16/13
ONEOK INC /NEW/ OK 7.01,8.01,9.01 01/18/13
ONEOK Partners LP DE 7.01,8.01,9.01 01/18/13
OptimizeRx Corp NV 1.01,3.02,5.02,9.01 01/14/13
Ortus Currency FuturesAccess LLC DE 3.02 01/15/13
OSI SYSTEMS INC DE 8.01,9.01 01/17/13
OVERSTOCK.COM, INC DE 5.02,7.01 01/14/13
Pacific Clean Water Technologies, Inc DE 2.01,3.02,4.01,5.01, 11/13/12 AMEND
5.02,5.03,5.06,9.01
PACIFIC GOLD CORP NV 3.03,5.03,9.01 01/18/13
PARKER HANNIFIN CORP OH 2.02,7.01 01/18/13
PCS EDVENTURES COM INC ID 2.03,5.02,9.01 01/11/13
PENN NATIONAL GAMING INC PA 1.01,3.02,9.01 01/16/13
People's United Financial, Inc. DE 2.02,7.01,9.01 01/17/13
Peoples Federal Bancshares, Inc. 5.02,9.01 01/15/13
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 01/18/13
Phillips Edison - ARC Shopping Center MD 8.01,9.01 01/18/13
PHOENIX COMPANIES INC/DE DE 1.01,5.07,9.01 01/18/13
PINNACLE ENTERTAINMENT INC. DE 5.02,8.01,9.01 01/15/13
POSITIVEID Corp DE 1.01,1.02,2.03,3.02 01/16/13
PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02,9.01 01/17/13
PROGRESSIVE CORP/OH/ OH 2.02,9.01 01/18/13
Propell Corporation. DE 4.01,9.01 01/17/13
QUESTCOR PHARMACEUTICALS INC CA 2.01,9.01 01/18/13
RELIABRAND INC. 5.03,7.01,9.01 01/15/13
Resolute Energy Corp DE 8.01 01/18/13
RLJ ENTERTAINMENT, INC. NV 5.02,7.01,9.01 01/14/13
ROCKWELL COLLINS INC DE 2.02,7.01,9.01 01/18/13
ROTECH HEALTHCARE INC DE 1.01,1.02,9.01 12/21/12 AMEND
SABA SOFTWARE INC DE 3.01,4.01,9.01 01/14/13
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 01/18/13
SANDRIDGE ENERGY INC DE 8.01,9.01 01/18/13 AMEND
SCHLUMBERGER LTD /NV/ P8 2.02,7.01,9.01 01/18/13
SIERRA BANCORP CA 8.01,9.01 01/18/13
SLM Student Loan Trust 2006-7 DE 8.01,9.01 01/18/13
SOLAZYME INC DE 8.01,9.01 01/17/13
Standard Financial Corp. MD 2.02,8.01,9.01 01/17/13
STATE STREET CORP MA 2.02,2.05,9.01 01/16/13
StellarOne CORP VA 8.01 01/18/13
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 01/15/13
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 01/15/13
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 01/15/13
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 01/15/13
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 01/15/13
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 01/15/13
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 01/15/13
SUNTRUST BANKS INC GA 2.02,7.01,9.01 01/18/13
SurePure, Inc. NV 5.03,9.01 01/15/13
SurePure, Inc. NV 5.02,9.01 01/06/13 AMEND
Surge Global Energy, Inc. DE 8.01 01/18/13
Targa Resources Corp. DE 5.02,9.01 01/15/13
Targa Resources Partners LP DE 5.02,9.01 01/15/13
TENNECO INC DE 5.02,9.01 01/16/13
TENNECO INC DE 8.01,9.01 01/17/13
TESSCO TECHNOLOGIES INC DE 2.02,9.01 01/17/13
TEXAS INSTRUMENTS INC DE 5.02 01/17/13
THL Credit, Inc. DE 8.01,9.01 01/16/13
THUNDER MOUNTAIN GOLD INC NV 5.02,8.01,9.01 01/08/13
TIDEWATER INC DE 8.01,9.01 01/17/13
TIFFANY & CO DE 8.01,9.01 01/17/13
TigerLogic CORP DE 1.01,3.02,5.02,7.01, 01/17/13
8.01,9.01
Timberline Resources Corp DE 5.02,7.01,9.01 01/14/13
TNP Strategic Retail Trust, Inc. MD 2.04 01/14/13
Trius Therapeutics Inc DE 1.01,9.01 01/17/13
TRUSTCO BANK CORP N Y NY 8.01 01/18/13
U-SWIRL, INC. NV 1.01,2.01,2.03,3.02, 01/14/13
5.01,5.02,5.03,9.01
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 01/18/13
Universal Truckload Services, Inc. MI 5.02,9.01 01/16/13
USA Compression Partners, LP 3.02,5.02,5.03,7.01, 01/14/13
8.01,9.01
VERIFY SMART CORP. NV 4.01,9.01 12/21/12 AMEND
VERINT SYSTEMS INC DE 8.01 01/17/13
VIRTUSA CORP 2.03 01/15/13
WASHINGTON FEDERAL INC WA 5.07 01/18/13
WEBSTER FINANCIAL CORP DE 2.02,9.01 01/18/13
WESBANCO INC WV 5.04,9.01 01/18/13
Westinghouse Solar, Inc. DE 8.01 01/14/13
WINTRUST FINANCIAL CORP IL 2.02,9.01 01/18/13
WISCONSIN ENERGY CORP WI 5.02 01/17/13
Yellowwood Acquisition Corp DE 2.01,3.02,4.01,5.02, 06/12/12 AMEND
5.03,5.06,9.01
ZAP COM CORP NV 5.02 01/15/13
http://www.sec.gov/news/digest/2013/dig012213.htm
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