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COMMISSION ANNOUNCEMENTSAdoption of Final Rule for Broker-Dealers Engaging in a Retail Forex BusinessThe Securities and Exchange Commission (Commission) adopted a final rule (Rule 15b12-1) to permit a registered broker-dealer to engage in a retail forex business, provided that the broker-dealer complies with the Securities Exchange Act of 1934, the rules and regulations thereunder, and the rules of the self-regulatory organization(s) of which the broker-dealer is a member insofar as they are applicable to retail forex transactions. The Commission is adopting Rule 15b12-1 substantially in the form previously adopted as an interim final temporary rule and is providing that the rule will expire on July 31, 2016. (Rel. 34‑69964) Rescission of Supervised Investment Bank Holding Company RulesThe Commission issued an adopting release to rescind Exchange Act Rules 17i-1 through 17i-8 and make conforming changes to Exchange Act Rules 17h2-T and 17h-2T and Rule 30-3 of the rules of Organization and Program Management. (Rel. 34-69979) Commission MeetingsClosed Meeting on Thursday, July 18, 2013 at 2:00 p.m. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; consideration of adjudicatory matters; and other matters relating to enforcement proceedings. 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. ENFORCEMENT PROCEEDINGSCommission Halts Texas-Based Forex Trading SchemeThe Commission today announced an emergency asset freeze against an unregistered money manager and his companies in Plano, Texas, who are charged with defrauding investors in a foreign currency exchange trading scheme. The forex market is a large and generally liquid financial market in which the risk of loss for individual investors can be substantial. The SEC has previously warned individual investors about the risks involved with forex trading. The SEC alleges that Kevin G. White raised more than $7.1 million from investors by touting a sophisticated low-risk forex trading strategy yielding astronomical returns. He advertised his purported "25-year Wall Street career." In reality, the forex trading has incurred losses of investor funds, and White actually spent only six years as a licensed securities professional in Houston before being barred by the New York Stock Exchange two decades ago. White also lied about his education. Meanwhile, White has siphoned away more than $1.7 million of investor money to pay personal expenses, finance expensive trips, and fund other unrelated and undisclosed businesses and investments. "White and his companies brandished phony credentials and a can't-miss trading strategy to lure investors into a web of deceit," said David Woodcock, Director of the SEC's Fort Worth Regional Office. "In reality, White was suffering forex trading losses and putting investor money to other uses." The Commodity Futures Trading Commission (CFTC) today announced parallel charges against White and his companies. According to the SEC's complaint that was unsealed late yesterday in U.S. District Court of the Eastern District of Texas, White raised investor money through two entities that he owns and controls: KGW Capital Management and Revelation Forex Fund. KGW Capital purports to be "one of the world's leading private investment firms." The SEC alleges that White and his companies used websites, press releases, and presentations to prospective investors to solicit funds. White and his companies told investors that Revelation Forex was a $1 billion hedge fund that had achieved total returns of more than 393 percent since its January 2009 inception, and earned a compound annual rate of return of more than 36 percent. Marketing materials provided to prospective investors boasted that an initial investment of $250,000 in Revelation Forex in January 2009 would have grown to $983,111 by May 2013. The SEC alleges that these claims were false. While White and KGW Capital tout a track record for the fund that began in January 2009, Revelation Forex did not actually receive investor funds or begin forex trading until September 2011. The fund has since incurred realized trading losses of more than $550,000 plus approximately $1,419,600 in unrealized losses through May 31, 2013. Meanwhile, bank records reveal that White has taken more than $1.7 million for himself, KGW Capital, and two of his other businesses, including approximately $248,600 in investor funds from Revelation Forex to fund an unrelated and undisclosed propane business and $97,000 on another business entitled KGW Real Estate. The SEC's complaint names both of these companies as relief defendants for the purpose of seeking disgorgement of investor funds in their possession. The court has granted the SEC's request for an asset freeze and temporary restraining order against White, KGW Capital, Revelation Forex, and RFF GP LLC, which is the general partner of Revelation Forex. The court appointed Kelly Crawford as the receiver over these entities. A hearing has been scheduled for July 18, 2013, on the SEC's motion for a preliminary injunction. The SEC's complaint alleges that White, KGW Capital, Revelation Forex, and RFF violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The SEC is seeking disgorgement of ill-gotten gains with prejudgment interest and financial penalties as well as preliminary and permanent injunctions. The SEC's investigation was conducted by B. David Fraser, Michael A. Umayam, Keith J. Hunter, and R. Joann Harris of the Fort Worth Regional Office. The litigation will be led by Janie L. Frank and Mr. Fraser. The SEC acknowledges the assistance of the CFTC, FBI, and Texas State Securities Board. (Press Rel. 2013-125; LR-22750) Commission Revokes Registration of Securities of Z-II, Inc. for Failure to Make Required Periodic FilingsOn July 12, 2013, the Commission revoked the registration of each class of registered securities of Z-II, Inc. for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Z-II, Inc. consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Z-II, Inc.'s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Z-II, Inc. in In the Matter of Greate Bay Hotel & Casino, Inc., et al., Administrative Proceeding File No. 3-15352. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-69978; File No. 3-15352) Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC – Monetary SanctionsWalter V. Gerasimowicz (Gerasimowicz), Meditron Asset Management, LLC (MAM), and Meditron Management Group, LLC (collectively, Respondents) have been ordered to disgorge, jointly and severally, $3,143,029.41 of ill-gotten gains derived from fraudulent conduct associated with the Meditron Fundamental Value/Growth Fund, which was managed by Gerasimowicz. Respondents were also ordered, jointly and severally, to pay civil monetary penalties of $1,950,000. The sanctions were ordered in an administrative proceeding before an administrative law judge to determine the amount, if any, of monetary sanctions against Respondents. Previously, pursuant to Respondents' offer of settlement, the Securities and Exchange Commission concluded that the Respondents had violated the antifraud provisions of the federal securities laws, imposed a cease-and-desist order upon them, barred Gerasimowicz from the securities industry, and censured MAM, and ordered proceedings to determine the amount of disgorgement and penalties. (ID-496; File No. 3-15024). Court Enters Final Judgments Against Defendants Syndicated Food Service International, Inc., Nick Pirgousis, Frank Dolney, Gary Todd, Mario Casias, Thomas Tanis, Iain H.T. Brown, Fidra Holdings Ltd., William Brown, Joseph Ferragamo, and Christopher Quintana, and Dismisses Claims Against Defendants Delta Asset Management Company, LLC, William Scott, and Michelle Kramish KainThe Commission announced today that on July 3, 2013, the Honorable Nicholas G. Garaufis, United States District Judge for the Eastern District of New York, entered a final judgment against defendant Syndicated Food Service International, Inc. The Court enjoined Syndicated from future violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, and 13a-13 thereunder. Syndicated consented to the final judgment without admitting or denying the allegations in the Commission's complaint. Between March 22, 2012 and April 26, 2013, the Court entered final judgments against defendants Nick Pirgousis, Frank Dolney, Gary Todd, Mario Casias, and Fidra Holdings Ltd. The Court enjoined Pirgousis, Dolney, Todd, Casias, and Fidra from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Pirgousis and Dolney were also enjoined from future violations of Sections 13(d) and 16(a) of the Exchange Act and Rules 13d-1, 13d-2, and 16a-3 thereunder, and Pirgousis was enjoined from future violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder. The Court also barred Pirgousis and Dolney from acting as officers or directors of any public company, and Todd and Casias from participating in penny stock offerings. Pirgousis, Dolney, Todd, Casias, and Fidra consented to the final judgments without admitting or denying the allegations in the Commission's complaint. On December 14, 2012 and April 25, 2013, the Court entered final judgments against defendants Thomas Tanis and Iain H.T. Brown, respectively. The Court enjoined Tanis from future violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, 13a-13, and 13a-14 thereunder and ordered a $110,000 civil penalty. The Court enjoined Iain H.T. Brown from future violations of Section 17(a) of the Securities Act, Sections 10(b), 13(d), and 16(a) of the Exchange Act and Rules 10b-5, 13d-1, 13d-2, and 16a-3 thereunder and ordered disgorgement of $78,000 plus $49,000 in prejudgment interest and a $78,000 civil penalty. The Court also barred Iain H.T. Brown from participating in a penny stock offering. Tanis and Iain H.T. Brown consented to the final judgments without admitting or denying the allegations in the Commission's complaint. On March 19, 2010, the Court entered default judgments against defendants William Brown and Christopher Quintana, and on November 12, 2010, the Court entered a default judgment against defendant Joseph Ferragamo. The Court enjoined William Brown, Quintana, and Ferragamo from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and barred them from participating in penny stock offerings. On October 20, 2010, the Court entered a Notice of Voluntary Dismissal as to defendant Delta Asset Management Company, LLC, a defunct company that has no assets or income. On February 3, 2012 and February 15, 2012, the Court entered Orders of Consent dismissing all claims asserted by the Commission against defendants Michelle Kramish Kain and William Scott, respectively. The Commission's Complaint alleged that from 1997 through 2003, the defendants participated in a massive broker bribery scheme involving the stock of nine public companies, including Syndicated. Through the use of domestic and offshore nominee brokerage accounts, the defendants sold stock into the public market for personal gain and paid undisclosed kickbacks to brokers responsible for selling the stock. [SEC v. Syndicated Food Service International, Inc., et al., Civil Action No. 04-CV-1303 (NGG) (E.D.N.Y.)] (LR-22751) Investment company ordersSigma Investment Advisors, LLC, et al.An order has issued on an application filed by Sigma Investment Advisors, LLC, et al. The order permits: (a) 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 from 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-30597) Transparent Value Trust, et al.An order has issued on an application filed by Transparent Value Trust, et al. The order permits: (a) 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 from 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-30596) Guggenheim Funds Investment Advisors, LLC, et al.An order has been issued on an application filed by Guggenheim Funds Investment Advisors, LLC, et al. The order permits: (a) 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 from 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. The order supersedes prior orders as described in the application. (Rel. IC-30598) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeThe Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-BOX-2013-36) filed by BOX Options Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend BOX Rule 3120 (Position Limits) and BOX Rule 3130 (Exemptions from Position Limits). Publication is expected in the Federal Register during the week of July 15th. (Rel. 34-69965) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to revise the Series 55 examination program (SR-FINRA-2013-028) 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 July 15th. (Rel. 34-69966) A proposed rule change filed by New York Stock Exchange LLC amending its Price List to change the monthly fees for the use of certain ports (SR-NYSEMKT-2013-55) 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 July 15th. (Rel. 34-69974) A proposed rule change filed by New York Stock Exchange LLC amending its Price List to change the monthly fees for the use of certain ports (SR-NYSE-2013-45) 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 July 15th. (Rel. 34-69975) A proposed rule change filed by the New York Stock Exchange LLC amending Section 312.07 of the Listed Company Manual to remove the 50% quorum requirement and add certain clarifying language (SR-NYSE-2013-47) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of July 15th. (Rel. 34-69970) Notice of Proposed Rule ChangeThe National Securities Clearing Corporation (NSCC) filed a proposed rule change (SR-NSCC-2013-09) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the decommissioning of NSCC's over-the-counter (OTC) Equity Comparison Service. Publication is expected in the Federal Register during the week of July 15th. (Rel. 34-69980) Approval of a Proposed Rule ChangeThe Commission has approved a proposed rule change filed by the Fixed Income Clearing Corporation (FICC) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934 to include trueEX LLC as a designated locked-in trade source pursuant to the rulebook of the Government Securities Division (SR-FICC-2013-05). Publication is expected in the Federal Register during the week of July 15th. (Rel. No. 34-69972) The Commission has approved a proposed rule change (SR-OCC-2013-05) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to provide that OCC, rather than an adjustment panel of the Securities Committee, will determine adjustments to the terms of options contracts to account for certain events, such as certain dividend distributions or other corporate actions, that affect the underlying security or other underlying interest. Publication is expected in the Federal Register during the week of July 15th. (Rel. 34-69977) 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 Skoda Ventures Inc., POSADA DEL REY, PANAMA CITY, R1, 00000,
507-6725-8263 - 4,000,000 ($60,000.00) Equity, (File 333-189890 -
Jul. 11) (BR. 09)
S-11 Cole Credit Property Trust V, Inc., 2325 EAST CAMELBACK ROAD, STE 1100,
PHOENIX, AZ, 85016, 602-778-8700 - 0 ($2,975,000,000.00) Equity,
(File 333-189891 - Jul. 11) (BR. 08)
S-3ASR Ascent Capital Group, Inc., 12300 LIBERTY BOULEVARD, ENGELWOOD, CO,
80112, 720-875-5622 - 0 ($0.00) Other, (File 333-189892 - Jul. 11)
(BR. 11C)
S-1 MUSTANG ALLIANCES, INC., 410 PARK AVENUE, 15TH FLOOR, NEW YORK, NY,
10022, 1888 251 3422 - 57,000,000 ($3,675,000.00) Equity,
(File 333-189893 - Jul. 11) (BR. 05B)
F-3 Canadian Solar Inc., 545 SPEEDVALE AVENUE, WEST GUELPH, ONTARIO, A6,
N1K 1E6, (86-512) 6690-8088 - 0 ($200,000,000.00) Other,
(File 333-189895 - Jul. 11) (BR. 10A)
S-B URUGUAY REPUBLIC OF, 2021 L STREET N W, SUITE 201, WASHINGTON, DC,
20036, 4,283,017,915 ($4,283,017,915.00) Non-Convertible Debt,
(File 333-189896 - Jul. 11) (BR. DN)
S-8 TigerLogic CORP, 25A TECHNOLOGY DRIVE, SUITE 100, IRVINE, CA, 92618,
949-442-4400 - 0 ($1,481,596.00) Equity, (File 333-189897 - Jul. 11)
(BR. 03B)
S-8 Cinedigm Digital Cinema Corp., 920 BROADWAY, 9TH FLOOR, NEW YORK, NY,
10010, 973-290-0080 - 0 ($16,240,000.00) Equity, (File 333-189898 -
Jul. 11) (BR. 03A)
S-4 INDEPENDENT BANK CORP, 288 UNION STREET, ROCKLAND, MA, 02370,
7818786100 - 0 ($27,979,723.00) Equity, (File 333-189899 - Jul. 11)
(BR. 07C)
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
Actavis, Inc. NV 8.01,9.01 07/11/13
ALASKA AIR GROUP, INC. DE 7.01,9.01 07/11/13
ALCOA INC PA 2.02,9.01 07/08/13
Alliance Bancorp, Inc. of Pennsylvani PA 4.01,9.01 07/08/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 07/10/13
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 07/10/13
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,5.02,7.01,9.01 07/09/13
AMERICAN ELECTRIC POWER CO INC NY 2.06 07/11/13
AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 8.01,9.01 07/11/13
American Railcar Industries, Inc. ND 5.02,9.01 07/08/13
AMERIGO ENERGY, INC. DE 8.01,9.01 07/10/13
ANGIODYNAMICS INC DE 2.02,9.01 07/11/13
Anoteros, Inc. NV 8.01 06/27/13
API Technologies Corp. DE 2.02,9.01 07/10/13
APRICUS BIOSCIENCES, INC. NV 8.01,9.01 07/11/13
ARC DOCUMENT SOLUTIONS, INC. DE 8.01,9.01 07/10/13
Ares Commercial Real Estate Corp MD 8.01 07/09/13
Ascent Capital Group, Inc. DE 8.01,9.01 07/10/13 AMEND
Aspect Software Group Holdings Ltd. DE 1.01,9.01 07/04/13
AtheroNova Inc. DE 8.01,9.01 07/09/13
Atlas Financial Holdings, Inc. E9 7.01,9.01 07/11/13
AUDIENCE INC 1.01,9.01 07/05/13
AVAYA INC DE 5.02 07/07/13
AVEO PHARMACEUTICALS INC DE 8.01 07/03/13
AxoGen, Inc. MN 2.02,9.01 07/10/13
Bacterin International Holdings, Inc. DE 5.02,5.03,9.01 07/10/13
BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 07/11/13
BARNES & NOBLE INC DE 8.01 07/11/13
BEESTON ENTERPRISES LTD NV 4.01,9.01 07/08/13
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 07/11/13
Berkshire Homes, Inc. NV 3.02,9.01 07/09/13
BIO REFERENCE LABORATORIES INC NJ 5.07 07/11/13
BIOCRYST PHARMACEUTICALS INC DE 8.01,9.01 07/11/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,2.03,3.02, 07/05/13
7.01,9.01
BIOMET INC IN 2.02,9.01 07/11/13
Blue Water Restaurant Group, Inc. NV 5.03,9.01 06/13/13
BRADY CORP WI 5.02 07/10/13
CAMPBELL FUND TRUST DE 3.02 07/11/13
CENTER BANCORP INC NJ 4.01,9.01 07/08/13
CENTURY BANCORP INC MA 5.02 07/09/13
CEPHEID CA 2.02,5.02,9.01 07/10/13
Ceres, Inc. DE 2.02,9.01 07/11/13
CHENIERE ENERGY INC DE 5.02,8.01,9.01 07/09/13
Chesapeake Lodging Trust MD 1.01,1.02,2.03,9.01 07/11/13
CINCINNATI BELL INC OH 5.02 07/09/13
Cleantech Solutions International, In DE 1.01,7.01 07/10/13
CLOUD PEAK ENERGY INC. DE 2.02,9.01 07/11/13
COLONIAL PROPERTIES TRUST AL 5.02 07/08/13
COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 07/11/13
COMMUNITY BANCORP /VT VT 2.02,9.01 07/10/13
Compass Diversified Holdings DE 1.01,5.02,8.01,9.01 07/11/13
CRAWFORD & CO GA 5.02 07/09/13
CSX CORP VA 5.03,9.01 07/10/13
DEGARO INNOVATIONS CORP. NV 7.01,9.01 07/11/13
DORCHESTER MINERALS, L.P. DE 2.02,5.02,7.01,9.01 07/08/13
DOT HILL SYSTEMS CORP DE 2.02,9.01 07/11/13
Duke Energy Indiana, Inc. IN 8.01,9.01 07/08/13
DYNAVAX TECHNOLOGIES CORP DE 1.01,5.02,9.01 07/09/13
E2open Inc DE 2.02,9.01 07/11/13
EMC INSURANCE GROUP INC IA 7.01,9.01 07/11/13
EMERSON ELECTRIC CO MO 5.02,9.01 07/10/13
EMMIS COMMUNICATIONS CORP IN 5.07 07/10/13
ENB Financial Corp PA 2.02,9.01 07/10/13
ERBA Diagnostics, Inc. DE 5.02 07/06/13
Federal Home Loan Bank of Atlanta X1 2.03 07/08/13
Federal Home Loan Bank of Boston X1 2.03 07/08/13
Federal Home Loan Bank of Chicago X1 2.03 07/09/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/09/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/11/13
Federal Home Loan Bank of New York X1 2.03,9.01 07/08/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/08/13
Federal Home Loan Bank of San Francis X1 2.03 07/09/13
FEDERAL MOGUL CORP DE 1.01,8.01,9.01 07/09/13
FEEL GOLF CO INC CA 5.02 07/11/13
FIRST FINANCIAL SERVICE CORP KY 5.02,9.01 07/08/13
FNB CORP/FL/ FL 8.01 07/08/13
GAP INC DE 7.01,9.01 07/11/13
Gas Natural Inc. OH 1.01,7.01,8.01,9.01 07/11/13
GelTech Solutions, Inc. DE 1.01,3.02 07/11/13
Genie Energy Ltd. DE 7.01,9.01 07/11/13
GEOSPACE TECHNOLOGIES CORP DE 8.01 07/11/13
Global Eagle Entertainment Inc. DE 9.01 04/26/13 AMEND
Golub Capital BDC, Inc. DE 2.02,9.01 07/11/13
GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 07/11/13
Griffin-American Healthcare REIT II, MD 1.01,7.01,8.01,9.01 07/06/13
H&R BLOCK INC MO 1.01,9.01 07/11/13
HANSEN MEDICAL INC DE 5.02 07/08/13
Heron Lake BioEnergy, LLC MN 5.02,9.01 07/05/13
HINTO ENERGY, INC WY 7.01,9.01 07/10/13
ICU MEDICAL INC/DE DE 8.01,9.01 07/11/13
IEC ELECTRONICS CORP DE 7.01,9.01 07/09/13
iGo, Inc. DE 1.01,3.03,5.02, 07/11/13
8.01,9.01
IMMUCELL CORP /DE/ DE 8.01,9.01 07/11/13
INDEPENDENT BANK CORP MA 2.02,7.01,9.01 07/11/13
INTL FCSTONE INC. DE 9.01 07/11/13
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 07/11/13
Jones Lang LaSalle Income Property Tr MD 8.01,9.01 07/10/13
KBS Legacy Partners Apartment REIT, I MD 5.07 07/08/13
KBS Real Estate Investment Trust II, MD 5.07 07/09/13
KBS Real Estate Investment Trust III, MD 5.07 07/09/13
KBS Real Estate Investment Trust, Inc MD 5.07 07/09/13
KBS Strategic Opportunity REIT, Inc. MD 8.01 07/10/13
KBS Strategic Opportunity REIT, Inc. MD 5.07 07/08/13
KEWAUNEE SCIENTIFIC CORP /DE/ DE 1.01,8.01,9.01 07/08/13
KINDRED HEALTHCARE, INC DE 5.02,8.01,9.01 07/10/13
KROGER CO OH 8.01,9.01 07/08/13
Lantheus Medical Imaging, Inc. DE 5.02,9.01 07/08/13
Liberty Gold Corp. DE 4.01,9.01 06/14/13
Liberty Interactive Corp 7.01,9.01 07/08/13
Liberty Media Corp DE 7.01,9.01 07/08/13
LIGHTING SCIENCE GROUP CORP DE 5.02 07/08/13
MANAS PETROLEUM Corp NV 1.01,3.02,5.02,9.01 06/18/13
McEwen Mining Inc. CO 7.01,9.01 07/11/13
MCGRAW HILL FINANCIAL INC NY 5.02,5.03,7.01,9.01 07/11/13
Medytox Solutions, Inc. NV 8.01 07/02/13
MICROSOFT CORP WA 5.02 07/10/13
MIDWEST HOLDING INC. NE 5.02,5.07 06/11/13
MIMVI, INC. NV 7.01,9.01 07/11/13
MISCOR GROUP, LTD. IN 1.01,9.01 07/10/13
MONITRONICS INTERNATIONAL INC TX 1.01,7.01,8.01,9.01 07/10/13
MPG Office Trust, Inc. 1.01,8.01,9.01 07/10/13
NETGEAR, INC DE 5.02,9.01 07/08/13
NeurogesX Inc CA 1.01,1.02, 07/08/13
2.01,3.03,5.02
NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 07/11/13
NORTHWEST NATURAL GAS CO OR 2.06,7.01,8.01,9.01 07/11/13
Norwegian Cruise Line Holdings Ltd. 1.01,9.01 05/24/13 AMEND
Norwegian Cruise Line Holdings Ltd. 1.01,9.01 06/21/13 AMEND
NuStar Energy L.P. DE 1.01 07/05/13
Nuverra Environmental Solutions, Inc. DE 8.01,9.01 07/11/13
OFFICE DEPOT INC DE 5.07,8.01 07/10/13
OMNI BIO PHARMACEUTICAL, INC. CO 5.02 07/08/13
ORAMED PHARMACEUTICALS INC. DE 1.01,9.01 07/11/13
Oxford Resource Partners LP 1.01 07/08/13
PACIFIC GOLD CORP NV 1.01 07/05/13
PDK ENERGY INC. MS 1.01,9.01 07/05/13
PEREGRINE INDUSTRIES INC FL 5.01 07/08/13
PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 07/11/13
Perfumania Holdings, Inc. FL 7.01,9.01 07/11/13
Post Holdings, Inc. MO 2.02,7.01,9.01 07/11/13
Post Holdings, Inc. MO 8.01,9.01 07/11/13
Post Holdings, Inc. MO 1.02,7.01,9.01 07/10/13
Post Holdings, Inc. MO 8.01,9.01 07/11/13
PostRock Energy Corp DE 2.02,9.01 07/11/13
PPL Corp 2.03,8.01,9.01 07/08/13
PRAIRIE WEST OIL & GAS, LTD. NV 1.01 07/09/13
PRO DEX INC CO 1.01,9.01 04/22/13 AMEND
PROGRESSIVE CORP/OH/ OH 2.02,9.01 07/11/13
Pulse Network, Inc. 1.01,2.01,3.02,5.01, 03/29/13 AMEND
5.03,5.06,8.01,9.01
QUAINT OAK BANCORP INC 7.01,9.01 07/08/13
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 8.01 07/01/13
RANGE RESOURCES CORP DE 2.02,9.01 07/11/13
RealD Inc. DE 8.01,9.01 07/11/13
REALTY INCOME CORP MD 8.01,9.01 07/09/13
REGENERX BIOPHARMACEUTICALS INC DE 1.01,2.03,3.02, 07/05/13
REPUBLIC BANCORP INC /KY/ KY 1.01,7.01,9.01 07/11/13
ROADSHIPS HOLDINGS, INC. DE 1.01,2.01,9.01 07/10/13
ROCKWELL MEDICAL, INC. MI 8.01,9.01 07/11/13
ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 2.02,9.01 07/11/13
Sagent Pharmaceuticals, Inc. DE 5.02,8.01,9.01 07/10/13
Saleen Automotive, INC. NV 4.01 06/26/13 AMEND
Sanwire Corp 1.01 07/10/13
SCOTTS MIRACLE-GRO CO OH 5.02,9.01 07/11/13
SemiLEDs Corp 2.02,9.01 07/11/13
SENOMYX INC DE 5.02 07/08/13
SIGNET JEWELERS LTD 5.02 07/11/13
Sitoa Global Inc. DE 1.01 07/11/13
Sunnyside Bancorp, Inc. MD 8.01,9.01 07/11/13
SYNERGY RESOURCES CORP CO 7.01,9.01 07/10/13
TASER INTERNATIONAL INC 8.01,9.01 07/11/13
TAYLOR CAPITAL GROUP INC DE 8.01,9.01 07/11/13
TEXAS INDUSTRIES INC DE 2.02,9.01 07/10/13
Titan Machinery Inc. DE 4.01,9.01 06/27/13 AMEND
TIVO INC DE 1.01 07/05/13 AMEND
TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/11/13
UMB FINANCIAL CORP MO 8.01,9.01 07/11/13
UNITED INSURANCE HOLDINGS CORP. DE 5.02,9.01 07/10/13
UNITED INSURANCE HOLDINGS CORP. DE 5.02 07/11/13
UNITED ONLINE INC DE 7.01,9.01 07/11/13
VALERO ENERGY CORP/TX DE 7.01,9.01 07/11/13
Vanguard Natural Resources, LLC DE 5.02,9.01 07/11/13
VICTORY ENERGY CORP NV 4.01 07/09/13
VISION SCIENCES INC /DE/ DE 5.02 07/09/13
VSB BANCORP INC NY 2.02,9.01 07/11/13
Warner Chilcott plc 8.01,9.01 07/11/13
WATERSTONE FINANCIAL INC WI 1.02 07/09/13
Weatherford International Ltd./Switze V8 8.01,9.01 07/11/13
Western Graphite Inc. 3.02,5.02 07/08/13
WOLVERINE WORLD WIDE INC /DE/ MI 7.01,9.01 07/11/13
XcelMobility Inc. NV 4.02,8.01,9.01 04/02/13 AMEND
YOU ON DEMAND HOLDINGS, INC. NV 1.01,2.03,3.02, 07/02/13
http://www.sec.gov/news/digest/2013/dig071213.htm
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