80 FR 31933 - Order of Suspension of Trading; In the Matter of Anticus International Corp., China Marketing Media Holdings, Inc., Cigma Metals Corp., and LL&E Royalty Trust; File No. 500-1
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 107 (June 4, 2015)
Federal Register Volume 80, Issue 107 (June 4, 2015)
| Page Range | 31933-31934 | |
| FR Document | 2015-13741 |
[Federal Register Volume 80, Number 107 (Thursday, June 4, 2015)] [Notices] [Pages 31933-31934] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-13741] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Order of Suspension of Trading; In the Matter of Anticus International Corp., China Marketing Media Holdings, Inc., Cigma Metals Corp., and LL&E Royalty Trust; File No. 500-1 June 2, 2015. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Anticus International Corp. (CIK No. 1192494), a revoked Nevada corporation with its principal place of business listed as Montreal, Quebec, Canada, with stock quoted on OTC Link (previously, ``Pink Sheets'') operated by OTC Markets Group, Inc. (``OTC Link'') under the ticker symbol ATCI, because it has not filed any periodic reports since the period ended March 31, 2011. On July 5, 2013, Anticus International received a delinquency letter sent by the Division of Corporation Finance requesting compliance with their periodic filing obligations. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of China Marketing Media Holdings, Inc. (CIK No. 1353307), a forfeited Texas corporation with its principal place of business listed as Beijing, China, with stock quoted on OTC Link under the ticker symbol CMKM, because it has not filed any periodic reports since the period ended September 30, 2012. On April 15, 2014, the Division of Corporation Finance sent China Marketing Media Holdings a delinquency letter requesting compliance with its periodic filing obligations, but the letter was returned because of China Marketing Media Holdings' failure to maintain a valid address on file with the Commission. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Cigma Metals Corp. (CIK No. 1083410), a dissolved Florida corporation with its principal place of business listed as Madrid, Spain, with stock quoted on OTC Link under the ticker symbol CGMX, because it has not filed any periodic reports since the period ended September 30, 2012. A delinquency letter sent to Cigma Metals by the Division of Corporation Finance requesting compliance with their periodic filing obligations was returned, but a letter sent to the company's registered agent was delivered on August 17, 2012. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of LL&E Royalty Trust (CIK No. 721765), a Michigan trust with its principal place of business listed as Troy, Michigan, with units of interest quoted on OTC Link under the ticker symbol LRTR, because it has not filed any periodic reports since the period ended September 30, 2011. On August 30, 2013, LL&E Royalty received a [[Page 31934]] delinquency letter sent by the Division of Corporation Finance requesting compliance with their periodic filing obligations. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed companies. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m. EDT on June 2, 2015, through 11:59 p.m. EDT on June 15, 2015. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 2015-13741 Filed 6-2-15; 11:15 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 80, No. 107 / Thursday, June 4, 2015 / Notices 31933
the CDS business within the framework Paper Comments concerning the securities of Anticus
of the Dodd-Frank Act and pending the • Send paper comments in triplicate International Corp. (CIK No. 1192494), a
final implementation of new CFTC and to Brent J. Fields, Secretary, Securities revoked Nevada corporation with its
SEC rules pursuant to Title VII of that and Exchange Commission, 100 F Street principal place of business listed as
legislation, helps to promote stability in NE., Washington, DC 20549–1090. Montreal, Quebec, Canada, with stock
the financial markets and regulatory quoted on OTC Link (previously, ‘‘Pink
certainty for members. All submissions should refer to File Sheets’’) operated by OTC Markets
Number SR–FINRA–2015–013. This file Group, Inc. (‘‘OTC Link’’) under the
C. Self-Regulatory Organization’s number should be included on the ticker symbol ATCI, because it has not
Statement on Comments on the subject line if email is used. To help the filed any periodic reports since the
Proposed Rule Change Received From Commission process and review your period ended March 31, 2011. On July
Members, Participants, or Others comments more efficiently, please use 5, 2013, Anticus International received
Written comments were neither only one method. The Commission will a delinquency letter sent by the Division
solicited nor received. post all comments on the Commission’s of Corporation Finance requesting
Internet Web site (http://www.sec.gov/ compliance with their periodic filing
III. Date of Effectiveness of the rules/sro.shtml). Copies of the obligations.
Proposed Rule Change and Timing for submission, all subsequent It appears to the Securities and
Commission Action amendments, all written statements Exchange Commission that there is a
Because the foregoing proposed rule with respect to the proposed rule lack of current and accurate information
change does not: (i) Significantly affect change that are filed with the concerning the securities of China
the protection of investors or the public Commission, and all written Marketing Media Holdings, Inc. (CIK
interest; (ii) impose any significant communications relating to the No. 1353307), a forfeited Texas
burden on competition; and (iii) become proposed rule change between the corporation with its principal place of
operative for 30 days from the date on Commission and any person, other than business listed as Beijing, China, with
which it was filed, or such shorter time those that may be withheld from the stock quoted on OTC Link under the
as the Commission may designate, it has public in accordance with the ticker symbol CMKM, because it has not
become effective pursuant to section provisions of 5 U.S.C. 552, will be filed any periodic reports since the
19(b)(3)(A) of the Act 13 and Rule 19b– available for Web site viewing and period ended September 30, 2012. On
4(f)(6) thereunder.14 printing in the Commission’s Public April 15, 2014, the Division of
At any time within 60 days of the Reference Room, 100 F Street NE., Corporation Finance sent China
filing of the proposed rule change, the Washington, DC 20549, on official Marketing Media Holdings a
Commission summarily may business days between the hours of delinquency letter requesting
temporarily suspend such rule change if 10:00 a.m. and 3:00 p.m. Copies of such compliance with its periodic filing
it appears to the Commission that such filing also will be available for obligations, but the letter was returned
action is necessary or appropriate in the inspection and copying at the principal because of China Marketing Media
public interest, for the protection of office of FINRA. All comments received Holdings’ failure to maintain a valid
investors, or otherwise in furtherance of will be posted without change; the address on file with the Commission.
the purposes of the Act. If the Commission does not edit personal It appears to the Securities and
Commission takes such action, the identifying information from Exchange Commission that there is a
Commission shall institute proceedings submissions. You should submit only lack of current and accurate information
to determine whether the proposed rule information that you wish to make concerning the securities of Cigma
available publicly. All submissions Metals Corp. (CIK No. 1083410), a
should be approved or disapproved.
should refer to File Number SR–FINRA– dissolved Florida corporation with its
IV. Solicitation of Comments 2015–013 and should be submitted on principal place of business listed as
Interested persons are invited to or before June 25, 2015. Madrid, Spain, with stock quoted on
submit written data, views and OTC Link under the ticker symbol
For the Commission, by the Division of
arguments concerning the foregoing, Trading and Markets, pursuant to delegated
CGMX, because it has not filed any
including whether the proposed rule authority.15 periodic reports since the period ended
Brent J. Fields, September 30, 2012. A delinquency
change is consistent with the Act.
letter sent to Cigma Metals by the
Comments may be submitted by any of Secretary.
Division of Corporation Finance
the following methods: [FR Doc. 2015–13612 Filed 6–3–15; 08:45 am]
requesting compliance with their
BILLING CODE 8011–01–P
Electronic Comments periodic filing obligations was returned,
• Use the Commission’s Internet but a letter sent to the company’s
comment form (http://www.sec.gov/ registered agent was delivered on
SECURITIES AND EXCHANGE
August 17, 2012.
rules/sro.shtml); or COMMISSION It appears to the Securities and
• Send an email to rule-comments@ Exchange Commission that there is a
sec.gov. Please include File Number SR– Order of Suspension of Trading; In the
Matter of Anticus International Corp., lack of current and accurate information
FINRA–2015–013 on the subject line. concerning the securities of LL&E
China Marketing Media Holdings, Inc.,
Cigma Metals Corp., and LL&E Royalty Royalty Trust (CIK No. 721765), a
wreier-aviles on DSK5TPTVN1PROD with NOTICES
13 15 U.S.C. 78s(b)(3)(A).
14 17 Trust; File No. 500–1 Michigan trust with its principal place
CFR 240.19b–4(f)(6). In addition, Rule 19b–
4(f)(6)(iii) requires a self-regulatory organization to
of business listed as Troy, Michigan,
provide the Commission with written notice of its June 2, 2015. with units of interest quoted on OTC
intent to file the proposed rule change, along with It appears to the Securities and Link under the ticker symbol LRTR,
a brief description and text of the proposed rule Exchange Commission that there is a because it has not filed any periodic
change, at least five business days prior to the date
of filing of the proposed rule change, or such lack of current and accurate information reports since the period ended
shorter time as designated by the Commission. September 30, 2011. On August 30,
FINRA has fulfilled this requirement. 15 17 CFR 200.30–3(a)(12). 2013, LL&E Royalty received a
VerDate Sep<11>2014 15:33 Jun 03, 2015 Jkt 235001 PO 00000 Frm 00048 Fmt 4703 Sfmt 4703 E:\FR\FM\04JNN1.SGM 04JNN1](https://thefederalregister.org/doc/80_FR_32040/page/1.svg)
![31934 Federal Register / Vol. 80, No. 107 / Thursday, June 4, 2015 / Notices
delinquency letter sent by the Division II. Self-Regulatory Organization’s SSgA Funds Management, Inc. (the
of Corporation Finance requesting Statement of the Purpose of, and ‘‘Adviser’’) will serve as the investment
compliance with their periodic filing Statutory Basis for, the Proposed Rule adviser to the Fund. State Street Global
obligations. Change Markets, LLC (the ‘‘Distributor’’ or
The Commission is of the opinion that In its filing with the Commission, the ‘‘Principal Underwriter’’) will be the
the public interest and the protection of self-regulatory organization included principal underwriter and distributor of
investors require a suspension of trading statements concerning the purpose of, the Fund’s Shares. State Street Bank and
in the securities of the above-listed and basis for, the proposed rule change Trust Company (the ‘‘Administrator,’’
companies. and discussed any comments it received ‘‘Custodian’’ or ‘‘Transfer Agent’’) will
on the proposed rule change. The text serve as administrator, custodian and
Therefore, it is ordered, pursuant to transfer agent for the Fund.
Section 12(k) of the Securities Exchange of those statements may be examined at
the places specified in Item IV below. Commentary .06 to Rule 8.600
Act of 1934, that trading in the provides that, if the investment adviser
securities of the above-listed companies The Exchange has prepared summaries,
set forth in sections A, B, and C below, to the investment company issuing
is suspended for the period from 9:30 Managed Fund Shares is affiliated with
a.m. EDT on June 2, 2015, through 11:59 of the most significant parts of such
statements. a broker-dealer, such investment adviser
p.m. EDT on June 15, 2015. shall erect a ‘‘fire wall’’ between the
By the Commission. A. Self-Regulatory Organization’s investment adviser and the broker-
Jill M. Peterson, Statement of the Purpose of, and the dealer with respect to access to
Assistant Secretary.
Statutory Basis for, the Proposed Rule information concerning the composition
Change and/or changes to such investment
[FR Doc. 2015–13741 Filed 6–2–15; 11:15 am]
1. Purpose company portfolio.6 In addition,
BILLING CODE 8011–01–P
Commentary .06 further requires that
The Exchange proposes to list and personnel who make decisions on the
trade shares (‘‘Shares’’) of SPDR® SSgA open-end fund’s portfolio composition
SECURITIES AND EXCHANGE Flexible Allocation ETF (the ‘‘Fund’’)
COMMISSION must be subject to procedures designed
under NYSE Arca Equities Rule 8.600, to prevent the use and dissemination of
which governs the listing and trading of material nonpublic information
[Release No. 34–75071; File No. SR– Managed Fund Shares 3 on the regarding the open-end fund’s portfolio.
NYSEArca–2015–44] Exchange.4 The Shares will be offered Commentary .06 to Rule 8.600 is similar
by SSgA Active ETF Trust (the ‘‘Trust’’), to Commentary .03(a)(i) and (iii) to
Self-Regulatory Organizations; NYSE which is organized as a Massachusetts
Arca, Inc.; Notice of Filing of Proposed NYSE Arca Equities Rule 5.2(j)(3);
business trust and is registered with the however, Commentary .06 in connection
Rule Change To List and Trade Shares Commission as an open-end
of the SPDR® SSgA Flexible Allocation with the establishment of a ‘‘fire wall’’
management investment company.5 between the investment adviser and the
ETF Under NYSE Arca Equities Rule
8.600 3 A Managed Fund Share is a security that
of 1933 (15 U.S.C. 77a) (‘‘Securities Act’’), and
represents an interest in an investment company under the 1940 Act relating to the Fund (File Nos.
May 29, 2015. registered under the Investment Company Act of 333–173276 and 811–22542) (‘‘Registration
1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as Statement’’). The description of the operation of the
Pursuant to Section 19(b)(1) of the an open-end investment company or similar entity Trust and the Fund herein is based, in part, on the
Securities Exchange Act of 1934 (the that invests in a portfolio of securities selected by Registration Statement. In addition, the
‘‘Act’’) 1 and Rule 19b–4 thereunder,2 its investment adviser consistent with its Commission has issued an order granting certain
notice is hereby given that, on May 15, investment objectives and policies. In contrast, an exemptive relief to the Trust under the 1940 Act.
open-end investment company that issues See Investment Company Act Release No. 29524
2015, NYSE Arca, Inc. (the ‘‘Exchange’’ Investment Company Units, listed and traded on (December 13, 2010) (File No. 812–13487)
of ‘‘NYSE Arca’’) filed with the the Exchange under NYSE Arca Equities Rule (‘‘Exemptive Order’’).
Securities and Exchange Commission 5.2(j)(3), seeks to provide investment results that 6 An investment adviser to an open-end fund is
(the ‘‘Commission’’) the proposed rule correspond generally to the price and yield required to be registered under the Investment
performance of a specific foreign or domestic stock Advisers Act of 1940 (the ‘‘Advisers Act’’). As a
change as described in Items I and II index, fixed income securities index or combination result, the Adviser and its related personnel are
below, which Items have been prepared thereof. subject to the provisions of Rule 204A–1 under the
by the self-regulatory organization. The 4 The Commission has previously approved
Advisers Act relating to codes of ethics. This Rule
Commission is publishing this notice to listing and trading on the Exchange of a number of requires investment advisers to adopt a code of
actively managed funds under Rule 8.600. See, e.g., ethics that reflects the fiduciary nature of the
solicit comments on the proposed rule Securities Exchange Act Release Nos. 57801 (May relationship to clients as well as compliance with
change from interested persons. 8, 2008), 73 FR 27878 (May 14, 2008) (SR– other applicable securities laws. Accordingly,
NYSEArca–2008–31) (order approving Exchange procedures designed to prevent the communication
I. Self-Regulatory Organization’s listing and trading of twelve actively-managed and misuse of non-public information by an
Statement of the Terms of Substance of funds of the WisdomTree Trust); 66343 (February investment adviser must be consistent with Rule
the Proposed Rule Change 7, 2012), 77 FR 7647 (February 13, 2012) (SR– 204A–1 under the Advisers Act. In addition, Rule
NYSEArca–2011–85) (order approving listing of five 206(4)–7 under the Advisers Act makes it unlawful
The Exchange proposes to list and funds of the SSgA Active ETF Trust); 70342 for an investment adviser to provide investment
(September 6, 2013), 78 FR 56256 (September 12,
trade shares of the SPDR® SSgA Flexible 2013) (SR–NYSEArca–2013–71) (order approving
advice to clients unless such investment adviser has
(i) adopted and implemented written policies and
Allocation ETF under NYSE Arca listing of the SPDR SSgA Ultra Short Term Bond procedures reasonably designed to prevent
Equities Rule 8.600. The text of the ETF; SPDR SSgA Conservative Ultra Short Term violation, by the investment adviser and its
wreier-aviles on DSK5TPTVN1PROD with NOTICES
proposed rule change is available on the Bond ETF; and SPDR SSgA Aggressive Ultra Short supervised persons, of the Advisers Act and the
Term Bond ETF); and 62502 (March 21, 2014), 79 Commission rules adopted thereunder; (ii)
Exchange’s Web site at www.nyse.com, FR 17206 (March 27, 2014) (SR–NYSEArca–2014– implemented, at a minimum, an annual review
at the principal office of the Exchange, 11) (order approving listing of SPDR SSgA Risk regarding the adequacy of the policies and
and at the Commission’s Public Aware ETF, SPDR SSgA Large Cap Risk Aware ETF procedures established pursuant to subparagraph (i)
Reference Room. and SPDR SSgA Small Cap Risk Aware ETF). above and the effectiveness of their
5 The Trust is registered under the 1940 Act. On implementation; and (iii) designated an individual
December 18, 2013, the Trust filed with the (who is a supervised person) responsible for
1 15 U.S.C. 78s(b)(1). Commission an amendment to its registration administering the policies and procedures adopted
2 17 CFR 240.19b–4. statement on Form N–1A under the Securities Act under subparagraph (i) above.
VerDate Sep<11>2014 15:33 Jun 03, 2015 Jkt 235001 PO 00000 Frm 00049 Fmt 4703 Sfmt 4703 E:\FR\FM\04JNN1.SGM 04JNN1](https://thefederalregister.org/doc/80_FR_32040/page/2.svg)
Document Created: 2015-12-15 15:23:59
Document Modified: 2015-12-15 15:23:59
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| FR Citation | 80 FR 31933 |
2025 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR