83 FR 26331 - Order Cancelling Registrations of Certain Transfer Agents
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 109 (June 6, 2018)
Federal Register Volume 83, Issue 109 (June 6, 2018)
| Page Range | 26331-26332 | |
| FR Document | 2018-12157 |
[Federal Register Volume 83, Number 109 (Wednesday, June 6, 2018)] [Notices] [Pages 26331-26332] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-12157] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-83361] Order Cancelling Registrations of Certain Transfer Agents June 1, 2018. On December 22, 2017, notice was published in the Federal Register that the Securities and Exchange Commission (``Commission'') intended to issue an order, pursuant to Section 17A(c)(4)(B) of the Securities Exchange Act of 1934 (``Act''),\1\ cancelling the registrations of certain transfer agents.\2\ For the reasons discussed below, the Commission is cancelling the registration of the transfer agents identified in the attached Appendix. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78q-1(c)(4)(B). \2\ Securities Exchange Act Release No. 34-82342 (Dec. 18, 2017), 82 FR 60778. FOR FURTHER INFORMATION CONTACT: Moshe Rothman, Assistant Director, or Catherine Whiting, Special Counsel, at (202) 551-4990, U.S. Securities and Exchange Commission, Division of Trading and Markets, Room 7321 SP1, [[Page 26332]] 100 F Street NE, Washington, DC 20549-7010 or by email to [email protected] with the phrase ``Order Cancelling Transfer Agent Registration'' in the subject line. Background Section 17A(c)(4)(B) of the Act provides that if the Commission finds that any transfer agent registered with the Commission is no longer in existence or has ceased to do business as a transfer agent, the Commission shall by order cancel that transfer agent's registration. On December 22, 2017, the Commission published notice of its intention to cancel the registration of certain transfer agents whom it believed were no longer in existence or had ceased doing business as transfer agents.\3\ --------------------------------------------------------------------------- \3\ Id. --------------------------------------------------------------------------- In the notice, the Commission identified 38 such transfer agents and stated that at any time after January 31, 2018, the Commission intended to issue an order canceling the registrations of any or all of the identified transfer agents. One transfer agent contacted the Commission to object to the cancellation of its registration, stating that it had not ceased doing business as a transfer agent. The Commission has decided not to cancel the registration of that transfer agent. None of the remaining 37 identified transfer agents contacted the Commission to object to the cancellation of their registrations. Accordingly, the Commission is cancelling the registrations of the 37 transfer agents identified in the Appendix attached to this Order. Order On the basis of the foregoing, the Commission finds that each of the transfer agents whose name appears in the attached Appendix either is no longer in existence or has ceased doing business as a transfer agent. It is therefore ordered pursuant to Section 17A(c)(4)(B) of the Act that the registration as a transfer agent of each of the transfer agents whose name appears in the attached Appendix be and hereby is cancelled. For the Commission by the Division of Trading and Markets pursuant to delegated authority.\4\ Eduardo A. Aleman, Assistant Secretary. --------------------------------------------------------------------------- \4\ 17 CFR 200.30-3(a)(22). --------------------------------------------------------------------------- Appendix ------------------------------------------------------------------------ Transfer agent name File number ------------------------------------------------------------------------ AG Transfer Agency LLC.................................. 084-06306 Allied Stock Transfer, Inc.............................. 084-06171 AlphaMetrix, LLC........................................ 084-06327 Baron Capital Transfer & Registrar LLC.................. 084-06440 Bluechip Equity Inc. DBA Bluechip Trust Company......... 084-06173 Cascade Stock Transfer, Inc............................. 084-06204 Centerline Affordable Housing Advisors LLC.............. 084-01911 Chris Lotito............................................ 084-06197 Clayton Securities Services, Inc........................ 084-05425 Demiurgic, Inc.......................................... 084-06274 Elite Transfer Corp..................................... 084-06193 EnDevCo, Inc............................................ 084-06084 First National Bank of Omaha............................ 084-06174 First National Bank of Sioux Falls...................... 084-06228 Fund Dynamics, LLC...................................... 084-06208 Hiko Bell Mining & Oil Company.......................... 084-05445 Holladay Stock Transfer, Inc............................ 084-01822 Integrity Stock Transfer................................ 084-06113 Intercontinental Registrar & Transfer Agency, Inc....... 084-01123 Investor Data Services.................................. 084-01425 Johnson, Lawrence & Associates.......................... 084-05831 Karrison Compagnie Inc.................................. 084-06046 Life Sciences Research.................................. 084-06094 LM Anderson Securities, LLC............................. 084-06257 Matrix Capital Group Inc................................ 084-06122 Premier Stock Transfer, LLC............................. 084-06518 Progressive Transfer, Inc............................... 084-06268 Quads Trust Company..................................... 084-05621 Repository & Related Services, LLC...................... 084-06500 Signal Stock Transfer, Inc.............................. 084-06360 Standard Transfer & Trust Co., Inc...................... 084-05819 Superior Stock Transfer, Inc............................ 084-06121 Thermal Energy Storage Inc.............................. 084-01300 U.S. Stock Transfer Corp................................ 084-06293 U.S. Trust & Transfer Co................................ 084-05663 Valley Forge Management Corp............................ 084-00012 Wall Street Stock Transfer Corporation.................. 084-06246 ------------------------------------------------------------------------ [FR Doc. 2018-12157 Filed 6-5-18; 8:45 am] BILLING CODE P
![Federal Register / Vol. 83, No. 109 / Wednesday, June 6, 2018 / Notices 26331
Commission, and all written 19(b)(1) of the Securities Exchange Act days after the date of publication of
communications relating to the of 1934 (‘‘Act’’) 1 and Rule 19b–4 notice of filing of the proposed rule
proposed rule change between the thereunder,2 a proposed rule change to change. The Commission may, however,
Commission and any person, other than amend the Listed Company Manual for extend the period for issuing an order
those that may be withheld from the Special Purpose Acquisition Companies approving or disapproving the proposed
public in accordance with the (‘‘SPACs’’) 3 to lower the initial holders rule change by not more than 60 days
provisions of 5 U.S.C. 552, will be requirement from 300 to 150 round lot if the Commission determines that a
available for website viewing and holders and to eliminate the continued longer period is appropriate and
printing in the Commission’s Public listing requirement of 300 public publishes the reasons for such
Reference Room, 100 F Street NE, stockholders completely, to require at determination. The proposed rule
Washington, DC 20549 on official least $5 million in net tangible assets for change was published for notice and
business days between the hours of initial listing and continued listing, and comment in the Federal Register on
10:00 a.m. and 3:00 p.m. Copies of such to allow companies 30 days to December 6, 2017. June 4, 2018 is 180
filing also will be available for demonstrate compliance with the days from that date, and August 3, 2018
inspection and copying at the principal applicable holder requirements of is 240 days from that date. The
office of the Exchange. All comments Section 102.01A in the Listed Company Commission finds it appropriate to
received will be posted without change. Manual following a business designate a longer period within which
Persons submitting comments are combination. Finally, NYSE proposes to to issue an order approving or
cautioned that we do not redact or edit eliminate certain alternative initial disapproving the proposed rule change
personal identifying information from listing distribution criteria for SPACs so that it has sufficient time to consider
comment submissions. You should that list in connection with a transfer or the proposed rule change and the
submit only information that you wish quotation. The proposed rule change comment letters. Accordingly, the
to make available publicly. All was published for comment in the Commission, pursuant to Section
submissions should refer to File Federal Register on December 6, 2017.4 19(b)(2) of the Act,10 designates August
Number SR–NYSEArca–2018–37, and In response, the Commission received 3, 2018, as the date by which the
should be submitted on or before June two comments on the proposal.5 On Commission shall either approve or
27, 2018. January 18, 2018, the Commission disapprove the proposed rule change
extended the time period within which (File No. SR–NYSE–2017–53).
For the Commission, by the Division of
to approve the proposed rule change, For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11 disapprove the proposed rule change, or Trading and Markets, pursuant to delegated
institute proceedings to determine authority.11
Eduardo A. Aleman,
whether to approve or disapprove the Eduardo A. Aleman,
Assistant Secretary. proposed rule change to March 6, 2018.6 Assistant Secretary.
[FR Doc. 2018–12112 Filed 6–5–18; 8:45 am] The Commission issued an order [FR Doc. 2018–12113 Filed 6–5–18; 8:45 am]
BILLING CODE 8011–01–P instituting proceedings under Section BILLING CODE 8011–01–P
19(b)(2)(B) of the Act to determine
whether to approve or disapprove the
SECURITIES AND EXCHANGE proposed rule change on March 5, 2018
COMMISSION SECURITIES AND EXCHANGE
(‘‘OIP’’).7 The Commission received one COMMISSION
[Release No. 34–83355; File No. SR–NYSE– additional comment letter in response to
2017–53] the OIP.8 [Release No. 34–83361]
Section 19(b)(2) of the Act 9 provides
Self-Regulatory Organizations; New that, after initiating disapproval Order Cancelling Registrations of
York Stock Exchange LLC; Notice of proceedings, the Commission shall issue Certain Transfer Agents
Designation of a Longer Period for an order approving or disapproving the June 1, 2018.
Commission Action on a Proposed proposed rule change not later than 180 On December 22, 2017, notice was
Rule Change To Amend the Listed published in the Federal Register that
1 15 U.S.C. 78s(b)(1).
Company Manual for Special Purpose the Securities and Exchange
2 17 CFR 240.19b–4.
Acquisition Companies To Lower the Commission (‘‘Commission’’) intended
3 The Commission notes that throughout this
Initial Holders Requirement From 300 Notice we have used the term ‘‘SPAC’’ or ‘‘SPACs.’’ to issue an order, pursuant to Section
to 150 Round Lot Holders and To These terms have the same meaning as an 17A(c)(4)(B) of the Securities Exchange
Eliminate Completely the 300 Public ‘‘Acquisition Company’’ or ‘‘AC’’ which is the term Act of 1934 (‘‘Act’’),1 cancelling the
Stockholders Continued Listing used by NYSE in its current proposed rule filing registrations of certain transfer agents.2
and rule text.
Requirement, To Require at Least $5 4 See Securities Exchange Act Release No. 82180
For the reasons discussed below, the
Million in Net Tangible Assets for Initial (November 30, 2017), 82 FR 57632 (December 6, Commission is cancelling the
and Continued Listing, and To Impose 2017) (‘‘Notice’’). registration of the transfer agents
a 30-Day Deadline To Demonstrate 5 See Letters to Brent J. Fields, Secretary, identified in the attached Appendix.
Compliance With Certain Initial Listing Commission, from Michael Kitlas, dated November
FOR FURTHER INFORMATION CONTACT:
30, 2017 (‘‘Kitlas Letter’’) and Jeffrey P. Mahoney,
Requirements Following a Business General Counsel, Council of Institutional Investors, Moshe Rothman, Assistant Director, or
Combination dated December 20, 2017 (‘‘CII Letter’’). Catherine Whiting, Special Counsel, at
May 31, 2018.
6 See Securities Exchange Act Release No. 82531
(202) 551–4990, U.S. Securities and
(January 18, 2018), 83 FR 3371 (January 24, 2018)
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Exchange Commission, Division of
On November 16, 2017, New York (‘‘Extension’’).
Trading and Markets, Room 7321 SP1,
Stock Exchange LLC (‘‘NYSE’’ or 7 See Securities Exchange Act Release No. 82804
‘‘Exchange’’) filed with the Securities (March 5, 2018), 83 FR 10530 (March 9, 2018).
8 See Letters to Brent J. Fields, Secretary, 10 Id.
and Exchange Commission Commission, from Jeffrey P. Mahoney, General 11 17 CFR 200.30–3(a)(31).
(‘‘Commission’’), pursuant to Section Counsel, Council of Institutional Investors, dated 1 15 U.S.C. 78q–1(c)(4)(B).
March 26, 2018 (‘‘CII Letter II’’). 2 Securities Exchange Act Release No. 34–82342
11 17 CFR 200.30–3(a)(12). 9 15 U.S.C. 78s(b)(2). (Dec. 18, 2017), 82 FR 60778.
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![26332 Federal Register / Vol. 83, No. 109 / Wednesday, June 6, 2018 / Notices
100 F Street NE, Washington, DC For the Commission by the Division of SECURITIES AND EXCHANGE
20549–7010 or by email to Trading and Markets pursuant to delegated COMMISSION
tradingandmarkets@sec.gov with the authority.4
phrase ‘‘Order Cancelling Transfer Eduardo A. Aleman,
[Release No. 34–83350; File No. SR–
Agent Registration’’ in the subject line. Assistant Secretary. NYSENAT–2018–09]
Background Appendix
Self-Regulatory Organizations; NYSE
Section 17A(c)(4)(B) of the Act National, Inc.; Notice of Filing and
provides that if the Commission finds Transfer agent name File number Immediate Effectiveness of Proposed
that any transfer agent registered with Rule Change To Establish the NYSE
AG Transfer Agency LLC ..... 084–06306 National BBO, NYSE National Trades
the Commission is no longer in
Allied Stock Transfer, Inc. .... 084–06171
existence or has ceased to do business and NYSE National Integrated Feed
AlphaMetrix, LLC .................. 084–06327
as a transfer agent, the Commission Market Data Feeds
Baron Capital Transfer &
shall by order cancel that transfer Registrar LLC .................... 084–06440 May 31, 2018.
agent’s registration. On December 22, Bluechip Equity Inc. DBA
2017, the Commission published notice Bluechip Trust Company .. 084–06173 Pursuant to Section 19(b)(1) of the
of its intention to cancel the registration Cascade Stock Transfer, Inc. 084–06204 Securities Exchange Act of 1934 (the
of certain transfer agents whom it Centerline Affordable Hous- ‘‘Act’’) 1 and Rule 19b–4 thereunder,2
believed were no longer in existence or ing Advisors LLC ............... 084–01911 notice is hereby given that on May 18,
had ceased doing business as transfer Chris Lotito ........................... 084–06197 2018, NYSE National, Inc. (the
agents.3 Clayton Securities Services, ‘‘Exchange’’ or ‘‘NYSE National’’) filed
Inc. .................................... 084–05425 with the Securities and Exchange
In the notice, the Commission Demiurgic, Inc. ...................... 084–06274 Commission (the ‘‘Commission’’) the
identified 38 such transfer agents and Elite Transfer Corp ............... 084–06193 proposed rule change as described in
stated that at any time after January 31, EnDevCo, Inc. ...................... 084–06084
Items I and II below, which Items have
2018, the Commission intended to issue First National Bank of
Omaha .............................. 084–06174
been prepared by the self-regulatory
an order canceling the registrations of
First National Bank of Sioux organization. The Commission is
any or all of the identified transfer
agents. One transfer agent contacted the Falls ................................... 084–06228 publishing this notice to solicit
Commission to object to the cancellation Fund Dynamics, LLC ............ 084–06208 comments on the proposed rule change
Hiko Bell Mining & Oil Com- from interested persons.
of its registration, stating that it had not
pany .................................. 084–05445
ceased doing business as a transfer I. Self-Regulatory Organization’s
Holladay Stock Transfer, Inc. 084–01822
agent. The Commission has decided not Integrity Stock Transfer ........ 084–06113
Statement of the Terms of Substance of
to cancel the registration of that transfer Intercontinental Registrar & the Proposed Rule Change
agent. None of the remaining 37 Transfer Agency, Inc. ........ 084–01123
identified transfer agents contacted the The Exchange proposes to establish
Investor Data Services ......... 084–01425
Commission to object to the cancellation the NYSE National BBO (‘‘NYSE
Johnson, Lawrence & Asso-
of their registrations. ciates ................................. 084–05831 National BBO’’), NYSE National Trades
Karrison Compagnie Inc. ...... 084–06046 (‘‘NYSE National Trades’’) and NYSE
Accordingly, the Commission is National Integrated Feed (‘‘NYSE
Life Sciences Research ........ 084–06094
cancelling the registrations of the 37 National Integrated Feed’’) market data
LM Anderson Securities, LLC 084–06257
transfer agents identified in the Matrix Capital Group Inc. ..... 084–06122 feeds. The proposed rule change is
Appendix attached to this Order. Premier Stock Transfer, LLC 084–06518 available on the Exchange’s website at
Order Progressive Transfer, Inc. .... 084–06268 www.nyse.com, at the principal office of
Quads Trust Company ......... 084–05621 the Exchange, and at the Commission’s
On the basis of the foregoing, the Repository & Related Serv- Public Reference Room.
Commission finds that each of the ices, LLC ........................... 084–06500
Signal Stock Transfer, Inc. ... 084–06360 II. Self-Regulatory Organization’s
transfer agents whose name appears in
Standard Transfer & Trust Statement of the Purpose of, and
the attached Appendix either is no
Co., Inc. ............................. 084–05819 Statutory Basis for, the Proposed Rule
longer in existence or has ceased doing
Superior Stock Transfer, Inc. 084–06121 Change
business as a transfer agent.
Thermal Energy Storage Inc. 084–01300
It is therefore ordered pursuant to U.S. Stock Transfer Corp. .... 084–06293 In its filing with the Commission, the
Section 17A(c)(4)(B) of the Act that the U.S. Trust & Transfer Co. .... 084–05663 self-regulatory organization included
registration as a transfer agent of each of Valley Forge Management statements concerning the purpose of,
the transfer agents whose name appears Corp .................................. 084–00012 and basis for, the proposed rule change
in the attached Appendix be and hereby Wall Street Stock Transfer and discussed any comments it received
is cancelled. Corporation ....................... 084–06246 on the proposed rule change. The text
of those statements may be examined at
[FR Doc. 2018–12157 Filed 6–5–18; 8:45 am] the places specified in Item IV below.
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BILLING CODE P The Exchange has prepared summaries,
set forth in sections A, B, and C below,
of the most significant parts of such
statements.
1 15 U.S.C. 78s(b)(1).
3 Id. 4 17 CFR 200.30–3(a)(22). 2 17 CFR 240.19b–4.
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Document Created: 2018-06-06 00:54:30
Document Modified: 2018-06-06 00:54:30
| 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 | |
| Contact | Moshe Rothman, Assistant Director, or Catherine Whiting, Special Counsel, at (202) 551-4990, U.S. Securities and Exchange Commission, Division of Trading and Markets, Room 7321 SP1, 100 F Street NE, Washington, DC 20549-7010 or by email to [email protected] with the phrase ``Order Cancelling Transfer Agent Registration'' in the subject line. | |
| FR Citation | 83 FR 26331 |
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