80 FR 39818 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 132 (July 10, 2015)
Federal Register Volume 80, Issue 132 (July 10, 2015)
| Page Range | 39818-39820 | |
| FR Document | 2015-16859 |
[Federal Register Volume 80, Number 132 (Friday, July 10, 2015)] [Notices] [Pages 39818-39820] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-16859] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-75364; File No. SR-FINRA-2015-024] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants July 6, 2015. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on July 1, 2015, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by FINRA. FINRA has designated the proposed rule change as constituting a ``non-controversial'' rule change under paragraph (f)(6) of Rule 19b-4 under the Act,\3\ which renders the proposal effective upon receipt of this filing by the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 17 CFR 240.19b-4. \3\ 17 CFR 240.19b-4(f)(6). --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change FINRA is proposing to amend FINRA Rule 7650A (Collection of Fees) to require FINRA members that are FINRA/Nasdaq Trade Reporting Facility (``FINRA/Nasdaq TRF'') participants to submit billing disputes within sixty days of receipt of the invoice to the FINRA/Nasdaq TRF. The proposed rule change also would rename Rule 7650A as ``Collection of Fees and Billing Policy.'' The text of the proposed rule change is available on FINRA's Web site at http://www.finra.org, at the principal office of FINRA and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, FINRA included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. FINRA has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The FINRA/Nasdaq TRF is a facility of FINRA that is operated by The NASDAQ OMX Group, Inc. (``NASDAQ OMX''). In connection with the establishment of the FINRA/Nasdaq TRF, FINRA and NASDAQ OMX entered into a limited liability company agreement (the ``LLC Agreement''). Under the LLC Agreement, FINRA, the ``SRO Member,'' has sole regulatory responsibility for the FINRA/Nasdaq TRF. NASDAQ OMX, the ``Business Member,'' is primarily responsible for the management of the FINRA/ Nasdaq TRF's business affairs to the extent those affairs are not inconsistent with the regulatory and oversight functions of FINRA. As such, the Business Member establishes pricing for use of the FINRA/ [[Page 39819]] Nasdaq TRF, and such pricing is implemented pursuant to FINRA rules that must be filed with the SEC and be consistent with the Act. In addition, the Business Member is obligated to pay the cost of regulation and is entitled to the profits and losses, if any, derived from the operation of the FINRA/Nasdaq TRF. Pursuant to the FINRA Rule 7600A Series, FINRA members that are FINRA/Nasdaq TRF participants are charged fees (Rule 7620A) and also may qualify for credits for trade reporting to the FINRA/Nasdaq TRF (Rule 7610A). These rules are administered by NASDAQ OMX, in its capacity as the ``Business Member'' and operator of the FINRA/Nasdaq TRF on behalf of FINRA,\4\ and NASDAQ OMX collects all fees on behalf of the FINRA/Nasdaq TRF. --------------------------------------------------------------------------- \4\ FINRA's oversight of this function performed by the Business Member is conducted through a recurring assessment and review of TRF operations by an outside independent audit firm. --------------------------------------------------------------------------- On June 23, 2015, FINRA filed a proposed rule change to adopt Rule 7650A to require FINRA members that are FINRA/Nasdaq TRF participants to provide a clearing account number for an account at National Securities Clearing Corporation (``NSCC'') to the FINRA/Nasdaq TRF for purposes of permitting NASDAQ OMX, on behalf of the FINRA/Nasdaq TRF, to debit any undisputed or final fees due and owing under the FINRA Rule 7600A Series relating to the FINRA/Nasdaq TRF.\5\ --------------------------------------------------------------------------- \5\ See Securities Exchange Act Release No. 75339 (June 30, 2015) (Notice of Filing and Immediate Effectiveness; File No. SR- FINRA-2015-021). --------------------------------------------------------------------------- FINRA is proposing to amend Rule 7650A to add a new paragraph (b) to require all billing disputes to be submitted to the FINRA/Nasdaq TRF in writing \6\ and accompanied by supporting documentation within sixty days of receipt of an invoice. This process is expected to conserve resources, which are expended when untimely billing disputes require research of applicable fees and other information beyond two months after the invoice was issued. The proposed billing policy would apply only to fees due and owing by the member under the Rule 7600A Series. FINRA notes that the same policy with respect to billing disputes is in place today for NASDAQ Options Market (``NOM'') Participants \7\ and has been proposed for NASDAQ equity participants relating to exchange fees and charges under Nasdaq Stock Market rules, effective July 1, 2015.\8\ FINRA also is proposing to rename Rule 7650A as ``Collection of Fees and Billing Policy.'' --------------------------------------------------------------------------- \6\ The invoice specifies the contact person(s) to whom to address billing disputes. \7\ See NOM Rules at Chapter XV, Section 7, entitled ``NASDAQ Options Fee Disputes.'' \8\ See Securities Exchange Act Release No. 74895 (May 7, 2015), 80 FR 27352 (May 13, 2015) (Notice of Filing and Immediate Effectiveness; File No. SR-NASDAQ-2015-050). --------------------------------------------------------------------------- FINRA has filed the proposed rule change for immediate effectiveness and requested waiver of the 30-day operative delay. FINRA proposes that the proposed rule change will become operative on July 1, 2015. The proposed billing policy would apply to invoices for trade reporting activity occurring in July 2015 and thereafter.\9\ --------------------------------------------------------------------------- \9\ The proposed billing policy would not apply to invoices related to June 2015 (or prior) billing. --------------------------------------------------------------------------- 2. Statutory Basis FINRA believes that the proposed rule change is consistent with the provisions of Section 15A(b)(6) of the Act,\10\ which requires, among other things, that FINRA rules must be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest. Consistent with SR-NASDAQ-2015-050, the proposed requirement that billing disputes under the Rule 7600A Series be submitted to the FINRA/Nasdaq TRF within sixty days from receipt of the invoice would set an objective standard and would be fair and applied uniformly to all members that are FINRA/Nasdaq TRF participants. In addition, consistent with SR-NASDAQ-2015-050, sixty days is ample time for members to review an invoice and dispute any billing related to trade reporting activity for that time period. As noted above, an identical billing policy applies today with respect to NOM participants and has been proposed for NASDAQ equity participants. --------------------------------------------------------------------------- \10\ 15 U.S.C. 78o-3(b)(6). --------------------------------------------------------------------------- B. Self-Regulatory Organization's Statement on Burden on Competition FINRA does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. As described above, and consistent with the LLC Agreement, the proposed billing policy is identical to the billing policy NASDAQ OMX currently has in place for NOM participants and is also identical to the billing policy proposed by Nasdaq for Nasdaq equity participants under Nasdaq Stock Market rules. As the Business Member, NASDAQ OMX has the obligation of assessing the potential impacts of the proposed billing policy in its own rulemaking. FINRA notes that Nasdaq's billing policy was subject to proposed rule changes filed by Nasdaq with the Commission.\11\ --------------------------------------------------------------------------- \11\ See, e.g., Securities Exchange Act Release No. 74895 (May 7, 2015), 80 FR 27352 (May 13, 2015) (Notice of Filing and Immediate Effectiveness; File No. SR-NASDAQ-2015-050). --------------------------------------------------------------------------- Consistent with SR-NASDAQ-2015-050, the proposed billing policy would apply uniformly to all members that are FINRA/Nasdaq TRF participants, as it does today with NOM participants and as proposed for Nasdaq equity participants. In addition, consistent with SR-NASDAQ- 2015-050, the proposed billing policy would conserve FINRA/Nasdaq TRF resources, which are expended when untimely billing disputes require staff to research applicable fees and other information beyond two months after the invoice is issued. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act \12\ and Rule 19b- 4(f)(6) thereunder.\13\ --------------------------------------------------------------------------- \12\ 15 U.S.C. 78s(b)(3)(A). \13\ 17 CFR 240.19b-4(f)(6). --------------------------------------------------------------------------- A proposed rule change filed under Rule 19b-4(f)(6) normally does not become operative before 30 days from the date of the filing. However, pursuant to Rule 19b-4(f)(6)(iii),\14\ the Commission may designate a shorter time if such action is consistent with the protection of investors and the public interest. --------------------------------------------------------------------------- \14\ 17 CFR 240.19b-4(f)(6)(iii). --------------------------------------------------------------------------- FINRA has asked the Commission to waive the 30-day operative delay. The Commission believes that waiving the 30-day operative delay is consistent with the protection of investors and the public interest. The proposed rule change proposes a billing policy that is identical to the billing policy proposed by Nasdaq relating to fees under Nasdaq Stock Market rules pursuant to SR-NASDAQ-2015-050. The operative date [[Page 39820]] of proposed rule change SR-NASDAQ-2015-050 is July 1, 2015. FINRA believes, and the Commission agrees, that it would be more efficient to implement the billing policy under this proposed rule change on the same date as the billing policy under SR-NASDAQ-2015-050, rather than on a piecemeal basis. Therefore, the Commission hereby waives the 30- day operative delay and designates the proposed rule change to be operative upon filing with the Commission.\15\ --------------------------------------------------------------------------- \15\ For purposes only of waiving the operative delay for this proposal, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). --------------------------------------------------------------------------- At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic CommentsUse the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or Send an email to [email protected]. Please include File Number SR-FINRA-2015-024 on the subject line. Paper Comments Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-FINRA-2015-024. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE., Washington, DC 20549 on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of such filing also will be available for inspection and copying at the principal offices of FINRA. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-FINRA-2015-024, and should be submitted on or before July 31, 2015 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\16\ --------------------------------------------------------------------------- \16\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Brent J. Fields, Secretary. [FR Doc. 2015-16859 Filed 7-9-15; 8:45 am] BILLING CODE 8011-01-P
![39818 Federal Register / Vol. 80, No. 132 / Friday, July 10, 2015 / Notices
proposed rule change effects a change change that are filed with the 19b–4 under the Act,3 which renders
that (A) does not significantly affect the Commission, and all written the proposal effective upon receipt of
protection of investors or the public communications relating to the this filing by the Commission. The
interest; (B) does not impose any proposed rule change between the Commission is publishing this notice to
significant burden on competition; and Commission and any person, other than solicit comments on the proposed rule
(C) by its terms, does not become those that may be withheld from the change from interested persons.
operative for 30 days after the date of public in accordance with the I. Self-Regulatory Organization’s
the filing, or such shorter time as the provisions of 5 U.S.C. 552, will be Statement of the Terms of the Substance
Commission may designate if consistent available for Web site viewing and of the Proposed Rule Change
with the protection of investors and the printing in the Commission’s Public
public interest; provided that the self- Reference Room, 100 F Street NE., FINRA is proposing to amend FINRA
regulatory organization has given the Washington, DC 20549 on official Rule 7650A (Collection of Fees) to
Commission written notice of its intent business days between the hours of require FINRA members that are
to file the proposed rule change, along 10:00 a.m. and 3:00 p.m. Copies of such FINRA/Nasdaq Trade Reporting Facility
with a brief description and text of the filing also will be available for (‘‘FINRA/Nasdaq TRF’’) participants to
proposed rule change, at least five inspection and copying at the principal submit billing disputes within sixty
business days prior to the date of filing offices of the Exchange. All comments days of receipt of the invoice to the
of the proposed rule change, or such received will be posted without change; FINRA/Nasdaq TRF. The proposed rule
shorter time as designated by the the Commission does not edit personal change also would rename Rule 7650A
Commission. identifying information from as ‘‘Collection of Fees and Billing
At any time within 60 days of the submissions. You should submit only Policy.’’
filing of the proposed rule change, the information that you wish to make The text of the proposed rule change
Commission may summarily is available on FINRA’s Web site at
available publicly. All submissions
temporarily suspend such rule change if http://www.finra.org, at the principal
should refer to File Number SR–BATS–
it appears to the Commission that such office of FINRA and at the
2015–51, and should be submitted on or
action is: (1) Necessary or appropriate in Commission’s Public Reference Room.
before July 31, 2015.
the public interest; (2) for the protection II. Self-Regulatory Organization’s
For the Commission, by the Division of
of investors; or (3) otherwise in Trading and Markets, pursuant to delegated Statement of the Purpose of, and
furtherance of the purposes of the Act. authority.15 Statutory Basis for, the Proposed Rule
If the Commission takes such action, the Brent J. Fields, Change
Commission shall institute proceedings
Secretary. In its filing with the Commission,
to determine whether the proposed rule
[FR Doc. 2015–16857 Filed 7–9–15; 8:45 am] FINRA included statements concerning
should be approved or disapproved.
BILLING CODE 8011–01–P the purpose of and basis for the
IV. Solicitation of Comments proposed rule change and discussed any
Interested persons are invited to comments it received on the proposed
submit written data, views, and SECURITIES AND EXCHANGE rule change. The text of these statements
arguments concerning the foregoing, COMMISSION may be examined at the places specified
including whether the proposed rule in Item IV below. FINRA has prepared
[Release No. 34–75364; File No. SR–FINRA– summaries, set forth in sections A, B,
change is consistent with the Act. 2015–024]
Comments may be submitted by any of and C below, of the most significant
the following methods: aspects of such statements.
Self-Regulatory Organizations;
Electronic Comments Financial Industry Regulatory A. Self-Regulatory Organization’s
Authority, Inc.; Notice of Filing and Statement of the Purpose of, and
• Use the Commission’s Internet Immediate Effectiveness of a Proposed Statutory Basis for, the Proposed Rule
comment form (http://www.sec.gov/ Rule Change To Amend FINRA Rule Change
rules/sro.shtml); or 7650A Relating to Submission of
• Send an email to rule-comments@ Billing Disputes by FINRA/Nasdaq
1. Purpose
sec.gov. Please include File Number SR– Trade Reporting Facility Participants The FINRA/Nasdaq TRF is a facility
BATS–2015–51 on the subject line. of FINRA that is operated by The
July 6, 2015. NASDAQ OMX Group, Inc. (‘‘NASDAQ
Paper Comments
Pursuant to Section 19(b)(1) of the OMX’’). In connection with the
• Send paper comments in triplicate Securities Exchange Act of 1934 establishment of the FINRA/Nasdaq
to Brent J. Fields, Secretary, Securities (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 TRF, FINRA and NASDAQ OMX
and Exchange Commission, 100 F Street notice is hereby given that on July 1, entered into a limited liability company
NE., Washington, DC 20549–1090. 2015, Financial Industry Regulatory agreement (the ‘‘LLC Agreement’’).
All submissions should refer to File Authority, Inc. (‘‘FINRA’’) filed with the Under the LLC Agreement, FINRA, the
Number SR–BATS–2015–51. This file Securities and Exchange Commission ‘‘SRO Member,’’ has sole regulatory
number should be included on the (‘‘SEC’’ or ‘‘Commission’’) the proposed responsibility for the FINRA/Nasdaq
subject line if email is used. To help the rule change as described in Items I and TRF. NASDAQ OMX, the ‘‘Business
Commission process and review your II below, which Items have been Member,’’ is primarily responsible for
mstockstill on DSK4VPTVN1PROD with NOTICES
comments more efficiently, please use prepared by FINRA. FINRA has the management of the FINRA/Nasdaq
only one method. The Commission will designated the proposed rule change as TRF’s business affairs to the extent
post all comments on the Commission’s constituting a ‘‘non-controversial’’ rule those affairs are not inconsistent with
Internet Web site (http://www.sec.gov/ change under paragraph (f)(6) of Rule the regulatory and oversight functions of
rules/sro.shtml). Copies of the FINRA. As such, the Business Member
submission, all subsequent 15 17 CFR 200.30–3(a)(12). establishes pricing for use of the FINRA/
amendments, all written statements 1 15 U.S.C. 78s(b)(1).
with respect to the proposed rule 2 17 CFR 240.19b–4. 3 17 CFR 240.19b–4(f)(6).
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![39820 Federal Register / Vol. 80, No. 132 / Friday, July 10, 2015 / Notices
of proposed rule change SR–NASDAQ– communications relating to the address shown in its then-most recent
2015–050 is July 1, 2015. FINRA proposed rule change between the filing with the Commission, but ARRI
believes, and the Commission agrees, Commission and any person, other than did not receive the delinquency letter
that it would be more efficient to those that may be withheld from the due to its failure to maintain a valid
implement the billing policy under this public in accordance with the address on file with the Commission as
proposed rule change on the same date provisions of 5 U.S.C. 552, will be required by Commission rules (Rule 301
as the billing policy under SR– available for Web site viewing and of Regulation S–T, 17 CFR 232.301 and
NASDAQ–2015–050, rather than on a printing in the Commission’s Public Section 5.4 of the EDGAR Filer Manual).
piecemeal basis. Therefore, the Reference Room, 100 F Street NE., It appears to the Securities and
Commission hereby waives the 30-day Washington, DC 20549 on official Exchange Commission that there is a
operative delay and designates the business days between the hours of lack of current and accurate information
proposed rule change to be operative 10:00 a.m. and 3:00 p.m. Copies of such concerning the securities of Gundaker/
upon filing with the Commission.15 filing also will be available for Jordan American Holdings, Inc. (a/k/a
At any time within 60 days of the inspection and copying at the principal Jordan American Holdings, Inc.) (CIK
filing of the proposed rule change, the offices of FINRA. All comments No. 855663) (‘‘JAHI’’), a Florida
Commission summarily may received will be posted without change; corporation with its principal place of
temporarily suspend such rule change if the Commission does not edit personal business in Excello, Missouri, with
it appears to the Commission that such identifying information from stock quoted on OTC Link, because it
action is: (i) Necessary or appropriate in submissions. You should submit only has not filed any periodic reports since
the public interest; (ii) for the protection information that you wish to make the period ended September 30, 2005.
of investors; or (iii) otherwise in available publicly. All submissions On March 19, 2015, Corporation
furtherance of the purposes of the Act. should refer to File Number SR–FINRA– Finance sent a delinquency letter to
If the Commission takes such action, the 2015–024, and should be submitted on JAHI requesting compliance with its
Commission shall institute proceedings or before July 31, 2015 periodic reporting obligations at the
to determine whether the proposed rule For the Commission, by the Division of address shown in its then-most recent
should be approved or disapproved. Trading and Markets, pursuant to delegated filing with the Commission, but JAHI
authority.16 did not receive the delinquency letter
IV. Solicitation of Comments
Brent J. Fields, due to its failure to maintain a valid
Interested persons are invited to address on file with the Commission as
Secretary.
submit written data, views, and required by Commission rules (Rule 301
[FR Doc. 2015–16859 Filed 7–9–15; 8:45 am]
arguments concerning the foregoing, of Regulation S–T, 17 CFR 232.301 and
including whether the proposed rule BILLING CODE 8011–01–P
Section 5.4 of the EDGAR Filer Manual).
change is consistent with the Act. It appears to the Securities and
Comments may be submitted by any of Exchange Commission that there is a
SECURITIES AND EXCHANGE
the following methods: lack of current and accurate information
COMMISSION
Electronic Comments concerning the securities of Liberty
[File No. 500–1] Petroleum Corporation (CIK No. 59270)
• Use the Commission’s Internet (‘‘LBPE’’), a Delaware corporation with
comment form (http://www.sec.gov/ In the Matter of Arrin Corporation, its principal place of business in New
rules/sro.shtml); or Gundaker/Jordan American Holdings York, New York, with stock quoted on
• Send an email to rule-comments@ (a/k/a Jordan American Holdings, Inc.), OTC Link, because it has not filed any
sec.gov. Please include File Number SR– Liberty Petroleum Corporation, Mikojo periodic reports since the period ended
FINRA–2015–024 on the subject line. Incorporated, Royal Invest June 30, 1987. On August 24, 2012,
International Corp., and San Joaquin Corporation Finance sent a delinquency
Paper Comments
Bancorp; Order of Suspension of letter to LBPE requesting compliance
• Send paper comments in triplicate Trading with its periodic reporting obligations at
to Secretary, Securities and Exchange
July 8, 2015. the address shown in its then-most
Commission, 100 F Street NE.,
It appears to the Securities and recent filing with the Commission, but
Washington, DC 20549–1090.
Exchange Commission that there is a LBPE did not receive the delinquency
All submissions should refer to File letter due to its failure to maintain a
Number SR–FINRA–2015–024. This file lack of current and accurate information
concerning the securities of Arrin valid address on file with the
number should be included on the Commission as required by Commission
subject line if email is used. To help the Corporation (CIK No. 1427433)
(‘‘ARRI’’ 1), a revoked Nevada rules (Rule 301 of Regulation S–T, 17
Commission process and review your CFR 232.301 and Section 5.4 of the
comments more efficiently, please use corporation with its principal place of
business in Bradenton, Florida, with EDGAR Filer Manual).
only one method. The Commission will It appears to the Securities and
post all comments on the Commission’s stock quoted on OTC Link (previously,
‘‘Pink Sheets’’) operated by OTC Exchange Commission that there is a
Internet Web site (http://www.sec.gov/ lack of current and accurate information
rules/sro.shtml). Copies of the Markets Group Inc. (‘‘OTC Link’’)
because it has not filed any periodic concerning the securities of Mikojo
submission, all subsequent Incorporated (CIK No. 1411085)
reports since the period ended March
amendments, all written statements (‘‘MKJI’’), a void Delaware corporation
31, 2011. On June 26, 2013, the Division
with respect to the proposed rule
mstockstill on DSK4VPTVN1PROD with NOTICES
of Corporation Finance (‘‘Corporation with its principal place of business in
change that are filed with the Foster City, California, with stock
Finance’’) sent a delinquency letter to
Commission, and all written quoted on OTC Link, because it has not
ARRI requesting compliance with its
periodic reporting obligations at the filed any periodic reports since the
15 For purposes only of waiving the operative
period ended March 31, 2011. On April
delay for this proposal, the Commission has
considered the proposed rule’s impact on 16 17
CFR 200.30–3(a)(12). 29, 2013, Corporation Finance sent a
efficiency, competition, and capital formation. See 1 The
short form of each issuer’s name is also its delinquency letter to MKJI requesting
15 U.S.C. 78c(f). ticker symbol. compliance with its periodic reporting
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Document Created: 2018-02-23 09:15:35
Document Modified: 2018-02-23 09:15:35
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 80 FR 39818 |
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