80_FR_71084 80 FR 70864 - In the Matter of Riverdale Mining Inc., and Tresoro Mining Corp., Order of Suspension of Trading

80 FR 70864 - In the Matter of Riverdale Mining Inc., and Tresoro Mining Corp., Order of Suspension of Trading

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 220 (November 16, 2015)

Page Range70864-70865
FR Document2015-29288

Federal Register, Volume 80 Issue 220 (Monday, November 16, 2015) 
[Federal Register Volume 80, Number 220 (Monday, November 16, 2015)]
[Notices]
[Pages 70864-70865]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-29288]


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SECURITIES AND EXCHANGE COMMISSION

[File No. 500-1]


In the Matter of Riverdale Mining Inc., and Tresoro Mining Corp., 
Order of Suspension of Trading

November 12, 2015.
    It appears to the Securities and Exchange Commission that there is 
a lack of current and accurate information concerning the securities of 
Riverdale Mining Inc. (CIK No. 1402357), a revoked Nevada corporation 
with its principal place of business listed as

[[Page 70865]]

Toronto, Ontario, Canada, with stock quoted on OTC Link (previously, 
``Pink Sheets'') operated by OTC Markets Group, Inc. (``OTC Link'') 
under the ticker symbol RVDM, because it has not filed any periodic 
reports since the period ended December 31, 2012. On November 7, 2014, 
the Division of Corporation Finance sent Riverdale Mining a delinquency 
letter requesting compliance with their periodic filing obligations, 
but the letter was returned because of Riverdale Mining's failure to 
maintain a valid address on file with the Commission, as required by 
Commission rules (Rule 301 of Regulation S-T, 17 CFR 232.301 and 
Section 5.4 of EDGAR Filer Manual).
    It appears to the Securities and Exchange Commission that there is 
a lack of current and accurate information concerning the securities of 
Tresoro Mining Corp. (CIK No. 1348788), a defaulted Nevada corporation 
with its principal place of business listed as Vancouver, British 
Columbia, Canada, with stock quoted on OTC Link under the ticker symbol 
TSOR, because it has not filed any periodic reports since the period 
ended November 30, 2012. On May 5, 2014, Tresoro Mining received a 
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. EST 
on November 12, 2015, through 11:59 p.m. EST on November 25, 2015.

    By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-29288 Filed 11-12-15; 4:15 pm]
BILLING CODE 8011-01-P

70864 Federal Register / Vol. 80, No. 220 / Monday, November 16, 2015 / Notices the same trading and supervisory trading will be approximately $58,200 Commission, 100 F Street NE., activities by taking and passing fewer per year.16 Washington, DC 20549–1090. examinations. Specifically, individuals As noted above, newly-registered All submissions should refer to File will no longer be required to take and persons who will engage in both sales Number SR–FINRA–2015–044. This file pass a prerequisite examination, such as and trading activities may experience an number should be included on the the Series 7 or Series 62 examination, to increase in their total examination fees. subject line if email is used. To help the engage in or supervise securities For instance, the examination fee for Commission process and review your trading. Thus, the proposed rule change associated persons who will take the comments more efficiently, please use will reduce the overall costs, including Series 7 and 57 examinations to engage only one method. The Commission will the cost of having to sit for additional in both sales and trading activities will post all comments on the Commission’s examinations, on individuals who will be $425 compared to the current fee of Internet Web site (http://www.sec.gov/ engage in or supervise securities trading $415 for associated persons who take rules/sro.shtml). Copies of the under the new categories, as well as the the Series 7 and 55 examinations to submission, all subsequent costs on their associated firms. engage in such activities. amendments, all written statements Based on a survey of Equity Traders, C. Self-Regulatory Organization’s with respect to the proposed rule FINRA understands that some Equity Statement on Comments on the change that are filed with the Traders, albeit a limited number, Proposed Rule Change Received From Commission, and all written currently engage in sales activities in Members, Participants, or Others communications relating to the addition to securities trading. Today, proposed rule change between the such individuals may engage in sales Written comments were neither Commission and any person, other than activities because, concurrent to solicited nor received. those that may be withheld from the registration as an Equity Trader, they are III. Date of Effectiveness of the public in accordance with the registered as either a General Securities Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be Representative or Corporate Securities Commission Action available for Web site viewing and Representative. However, a newly- printing in the Commission’s Public The foregoing rule change has become Reference Room, 100 F Street NE., registered Securities Trader who will be effective pursuant to Section 19(b)(3)(A) Washington, DC 20549 on official engaging in sales activities in addition of the Act 17 and paragraph (f)(2) of Rule business days between the hours of to securities trading must separately 19b–4 thereunder.18 At any time within 10:00 a.m. and 3:00 p.m. Copies of such register in an appropriate sales-related 60 days of the filing of the proposed rule filing also will be available for registration category (e.g., General change, the Commission summarily may inspection and copying at the principal Securities Representative or Corporate temporarily suspend such rule change if offices of FINRA. All comments Securities Representative). As a result, it appears to the Commission that such received will be posted without change; such individuals may experience an action is necessary or appropriate in the the Commission does not edit personal increase in their total examination fees. public interest, for the protection of identifying information from • Economic Impacts investors, or otherwise in furtherance of submissions. You should submit only The proposed rule change will reduce the purposes of the Act. If the information that you wish to make the examination fees for the registration Commission takes such action, the available publicly. All submissions of associated persons who are required Commission shall institute proceedings should refer to File Number SR–FINRA– to be registered to engage in or supervise to determine whether the proposed rule 2015–044, and should be submitted on securities trading. By way of example, should be approved or disapproved. or before December 7, 2015. the current examination fee for IV. Solicitation of Comments For the Commission, by the Division of registering as an Equity Trader is $415 Trading and Markets, pursuant to delegated Interested persons are invited to (for associated persons who take the authority.19 submit written data, views, and Series 7 and 55 examinations) or $205 Robert W. Errett, arguments concerning the foregoing, (for associated persons who take the Deputy Secretary. including whether the proposed rule Series 62 and 55 examinations). Under change is consistent with the Act. [FR Doc. 2015–28860 Filed 11–13–15; 8:45 am] the proposed rule change, the Comments may be submitted by any of BILLING CODE 8011–01–P examination fee for registering as a the following methods: Securities Trader will be $120. Assuming a constant examination Electronic Comments SECURITIES AND EXCHANGE volume at the 2014 level, FINRA • Use the Commission’s Internet COMMISSION estimates that the aggregate cost savings comment form (http://www.sec.gov/ will be approximately $188,000 per year [File No. 500–1] rules/sro.shtml); or for individuals who currently take the • Send an email to rule-comments@ Series 7 and 55 examinations or Series In the Matter of Riverdale Mining Inc., sec.gov. Please include File Number SR– and Tresoro Mining Corp., Order of 62 and 55 examinations to engage only FINRA–2015–044 on the subject line. in securities trading. In addition, the Suspension of Trading current examination fee for registering Paper Comments November 12, 2015. as a Proprietary Trader is $305 (for • Send paper comments in triplicate It appears to the Securities and individuals who take the Series 7 to Secretary, Securities and Exchange Exchange Commission that there is a examination) or $195 (for individuals tkelley on DSK3SPTVN1PROD with NOTICES lack of current and accurate information who take the Series 56 examination). 16 FINRA does not have data on the number of concerning the securities of Riverdale Assuming a constant volume at the 2014 individuals who take the Series 7 examination and Mining Inc. (CIK No. 1402357), a level, FINRA estimates that the register as General Securities Representatives in order to function as Proprietary Traders and engage revoked Nevada corporation with its aggregate cost savings for individuals in securities trading. principal place of business listed as who currently take the Series 56 17 15 U.S.C. 78s(b)(3)(A). examination to engage in securities 18 17 CFR 240.19b–4(f)(2). 19 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 19:47 Nov 13, 2015 Jkt 238001 PO 00000 Frm 00118 Fmt 4703 Sfmt 4703 E:\FR\FM\16NON1.SGM 16NON1

Federal Register / Vol. 80, No. 220 / Monday, November 16, 2015 / Notices 70865 Toronto, Ontario, Canada, with stock Railroad Administration (FRA) for a scheduling a public hearing in quoted on OTC Link (previously, ‘‘Pink waiver of compliance from certain connection with these proceedings since Sheets’’) operated by OTC Markets provisions of the Federal railroad safety the facts do not appear to warrant a Group, Inc. (‘‘OTC Link’’) under the regulations contained at CFR part 213. hearing. If any interested party desires ticker symbol RVDM, because it has not FRA assigned the petition Docket an opportunity for oral comment, they filed any periodic reports since the Number FRA–2015–0115. should notify FRA, in writing, before period ended December 31, 2012. On Pursuant to 49 CFR 213.113(a), KCS the end of the comment period and November 7, 2014, the Division of requests a waiver from the accepted specify the basis for their request. Corporation Finance sent Riverdale practice of stop/start rail testing to start Mining a delinquency letter requesting a 3-year pilot test process of nonstop All communications concerning these compliance with their periodic filing continuous testing. The projected proceedings should identify the obligations, but the letter was returned starting date for implementing the test appropriate docket number and may be because of Riverdale Mining’s failure to process would be November 1, 2015. submitted by any of the following maintain a valid address on file with the The test process would occur on the methods: Commission, as required by main tracks between Kansas City, MO, • Web site: http:// Commission rules (Rule 301 of and Heavener, OK, on the Pittsburgh www.regulations.gov. Follow the online Regulation S–T, 17 CFR 232.301 and Subdivision and the Heavener instructions for submitting comments. Section 5.4 of EDGAR Filer Manual). Subdivision. Once the two initial subdivisions are completed, KCS would • Fax: 202–493–2251. It appears to the Securities and Exchange Commission that there is a like to expand the test process to • Mail: Docket Operations Facility, lack of current and accurate information include the Shreveport Subdivision in U.S. Department of Transportation, 1200 concerning the securities of Tresoro Shreveport, LA. KCS intends to test the New Jersey Avenue SE., W12–140, Mining Corp. (CIK No. 1348788), a subdivisions within a 30- to 45-day Washington, DC 20590. defaulted Nevada corporation with its frequency. For this pilot test, the process would • Hand Delivery: 1200 New Jersey principal place of business listed as Avenue SE., Room W12–140, Vancouver, British Columbia, Canada, be similar to the waiver granted to Union Pacific Railroad in Docket Washington, DC 20590, between 9 a.m. with stock quoted on OTC Link under and 5 p.m., Monday through Friday, the ticker symbol TSOR, because it has Number FRA–2015–0003. KCS would not have parallel or redundant stop/start except Federal Holidays. not filed any periodic reports since the period ended November 30, 2012. On testing on the segments being tested in Communications received by May 5, 2014, Tresoro Mining received a a nonstop process. KCS will produce a December 16, 2015 will be considered delinquency letter sent by the Division bimonthly report for FRA’s Rail and by FRA before final action is taken. of Corporation Finance requesting Infrastructure Integrity Division Comments received after that date will compliance with their periodic filing managers. This report would include be considered as far as practicable. obligations. the in-service rail failure ratios per 49 CFR part 213, a report on the miles Anyone is able to search the The Commission is of the opinion that electronic form of any written the public interest and the protection of tested, and the frequency of testing. The nonstop continuous rail testing communications and comments investors require a suspension of trading vehicle will be a self-propelled received into any of our dockets by the in the securities of the above-listed ultrasonic induction unit capable of name of the individual submitting the companies. Therefore, it is ordered, pursuant to testing at speeds up to 30 mph. The data comment (or signing the comment, if Section 12(k) of the Securities Exchange will be analyzed from a remote location submitted on behalf of an association, Act of 1934, that trading in the facility by experts with experience business, labor union, etc.). In reviewing Rail Flaw Detection test data. accordance with 5 U.S.C. 553(c), DOT securities of the above-listed companies The field verification of suspected solicits comments from the public to is suspended for the period from 9:30 defects will be conducted by qualified better inform its processes. DOT posts a.m. EST on November 12, 2015, and certified test professionals with these comments, without edit, including through 11:59 p.m. EST on November recordable field validation equipment, any personal information the 25, 2015. based on GPS location and known track commenter provides, to By the Commission. features. KCS believes nonstop Jill M. Peterson, www.regulations.gov, as described in continuous rail testing will provide the the system of records notice (DOT/ALL– Assistant Secretary. capability to test track more quickly and 14 FDMS), which can be reviewed at [FR Doc. 2015–29288 Filed 11–12–15; 4:15 pm] frequently, and to minimize the risk of www.dot.gov/privacy. See also http:// BILLING CODE 8011–01–P rail service failures. A copy of the petition, as well as any www.regulations.gov/#!privacyNotice written communications concerning the for the privacy notice of regulations.gov. DEPARTMENT OF TRANSPORTATION petition, is available for review online at Issued in Washington, DC, on Monday, www.regulations.gov and in person at November 9, 2015. Federal Railroad Administration the U.S. Department of Transportation’s Ron Hynes, (DOT) Docket Operations Facility, 1200 Director, Office of Technical Oversight. [Docket Number FRA–2015–0115] New Jersey Avenue SE., W12–140, [FR Doc. 2015–29162 Filed 11–13–15; 8:45 am] Petition for Waiver of Compliance Washington, DC 20590. The Docket tkelley on DSK3SPTVN1PROD with NOTICES BILLING CODE 4910–06–P Operations Facility is open from 9 a.m. In accordance with part 211 of Title to 5 p.m., Monday through Friday, 49 Code of Federal Regulations (CFR), except Federal Holidays. this document provides the public Interested parties are invited to notice that by a document dated October participate in these proceedings by 16, 2015, Kansas City Southern Railway submitting written views, data, or (KCS) has petitioned the Federal comments. FRA does not anticipate VerDate Sep<11>2014 19:47 Nov 13, 2015 Jkt 238001 PO 00000 Frm 00119 Fmt 4703 Sfmt 9990 E:\FR\FM\16NON1.SGM 16NON1


Document Created: 2015-12-14 14:12:30
Document Modified: 2015-12-14 14:12:30
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation80 FR 70864 
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