Proceeding Number		Date		Title
E9A2004048801		12/16/08		Brian J. Kelly
C10040052		12/12/08		Scott Mathis
E8A2005014902		12/10/08		North Woodward Financial Corp. and Douglas A. Troszak
CMS030182		10/9/08		Richard F. Kresge
2005001305701		10/6/08		Harvest Capital Investments, LLC and Dennis Cotto
2005001819101		10/2/08		Domestic Securities Inc.
CMS040202		9/23/08		Marshall J. Field
CAF040058		8/26/08		Andrew Gonchar and Polyvios Polyviou
E8A2002109804		8/20/08		Joseph A. Zaragoza
E1020040926-01		8/15/08		America First Associates Corp. and Joseph Ricupero
E8A2003091501		8/13/08		Roy M. Strong
E102004083702		8/12/08		John C. Correro
CMS040165		8/7/08		Ara Proudian
C07050050		5/20/08		Stephen P. Dunbar
CE3050003		4/30/08		American Fund Distributors, Inc.
E9B2003026301		4/30/08		Carl Martin Trevisan
CAF040052		3/12/08		Jericho Nicolas, Angel Cruz and Anthony Joseph Martinez
2005002570601		3/7/08		Paul Douglas Paratore
E8A20050252		2/20/08		CMG Institutional Trading, LLC and Shawn D. Baldwin
CAF020048		1/8/08		Vincent M. Uberti
C3B050012		1/4/08		Ronald Pellegrino