Notice of Intention To Cancel Registrations of Certain Transfer Agents, 62631-62632 [E6-17928]

Download as PDF Federal Register / Vol. 71, No. 207 / Thursday, October 26, 2006 / Notices Virginia 22312, or by email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of this notice. Dated: October 19, 2006. Nancy M. Morris, Secretary. [FR Doc. E6–17927 Filed 10–25–06; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549. Extension: Rule 15c2–12; SEC File No. 270–330; OMB Control No. 3235–0372. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. ycherry on PROD1PC64 with NOTICES Rule 15c2–12 Disclosure Requirements for Municipal Securities Rule 15c2–12 (17 CFR 240.15c2–12) under the Securities Exchange Act of 1934 (15 U.S.C. 78 et. seq.) requires underwriters of municipal securities: (1) To obtain and review a copy of an official statement deemed final by an issuer of the securities, except for the omission of specified information; (2) in non-competitively bid offerings, to make available, upon request, the most recent preliminary official statement, if any; (3) to contract with the issuer of the securities, or its agent, to receive, within specified time periods, sufficient copies of the issuer’s final official statement to comply both with this rule and any rules of the MSRB; (4) to provide, for a specified period of time, copies of the final official statement to any potential customer upon request; (5) before purchasing or selling municipal securities in connection with an offering, to reasonably determine that the issuer or other specified person has undertaken, in a written agreement or contract, for the benefit of holders of such municipal securities, to provide certain information about the issue or issuer on a continuing basis to a VerDate Aug<31>2005 15:21 Oct 25, 2006 Jkt 211001 nationally recognized municipal securities information repository; and (6) to review the information the issuer of the municipal security has undertaken to provide prior to recommending a transaction in the municipal security. These disclosure and recordkeeping requirements will ensure that investors have adequate access to official disclosure documents that contain details about the value and risks of particular municipal securities at the time of issuance while the existence of compulsory repositories will ensure that investors have continued access to terms and provisions relating to certain static features of those municipal securities. The provisions of Rule 15c2– 12 regarding an issuer’s continuing disclosure requirements assist investors by ensuring that information about an issue or issuer remains available after the issuance. Municipal offerings of less than $1 million are exempt from the rule, as are offerings of municipal securities issued in large denominations that are sold to no more than 35 sophisticated investors, have short-term maturities, or have short-term tender or put features. It is estimated that approximately 12,000 brokers, dealers, municipal securities dealers, issuers of municipal securities, and nationally recognized municipal securities information repositories will spend a total of 123,850 hours per year complying with Rule 15c2–12. Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. The recordkeeping requirement is mandatory to ensure that investors have access to information about the issuer and particular issues of municipal securities. This rule does not involve the collection of confidential information. Please note that an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it PO 00000 Frm 00051 Fmt 4703 Sfmt 4703 62631 displays a currently valid control number. Please direct your written comments to (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or by sending an e-mail to: David Rostker@omb.oep.gov; and (ii) R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, c/o Shirley Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send an e-mail to PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 60 days of this notice. October 16, 2006. Nancy M. Morris, Secretary. [FR Doc. E6–17929 Filed 10–25–06; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–54633] Notice of Intention To Cancel Registrations of Certain Transfer Agents October 20, 2006. Notice is hereby given that the Securities and Exchange Commission (‘‘Commission’’) intends to issue an order, pursuant to Section 17A(c)(4)(B) of the Securities Exchange Act of 1934 (‘‘Act’’),1 cancelling the registrations of the transfer agents whose names appear in the attached Appendix. For Further Information Contact: Jerry W. Carpenter, Assistant Director, or Catherine Moore, Special Counsel, at (202) 551–5710, Division of Market Regulation, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–6628. 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. Accordingly, at any time after November 27, 2006, the Commission intends to issue an order cancelling the registrations of the transfer agents listed in the Appendix. The Commission has made efforts to locate and to determine the status of 1 15 E:\FR\FM\26OCN1.SGM U.S.C. 78q–1(c)(4)(B). 26OCN1 62632 Federal Register / Vol. 71, No. 207 / Thursday, October 26, 2006 / Notices each of the transfer agents listed in the Appendix. In some cases, the Commission was unable to locate the transfer agent, and in other cases, the Commission learned that the transfer agent had ceased doing business as a transfer agent. Therefore, based on the facts it has, the Commission believes that the transfer agents listed in the Appendix are no longer in existence or have ceased doing business as transfer agents. Any transfer agent listed in the Appendix that believes its registration should not be cancelled must notify the Commission in writing prior to November 27, 2006. Written notifications may be mailed to: Catherine Moore, Division of Market Regulation, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20459–6628. Written notifications may also be e-mailed to: marketreg@sec.gov to the attention of Catherine Moore, with the phrase ‘‘Notice of Intention to Cancel Transfer Agent Registration’’ in the subject line. Registration No. Name 84–5847 ...... 84–5872 ...... Financial Strategies, LLC. D-Lanz Development Group, Inc. CBIZ Retirement Services, Inc. Sovereign Depository Corporation. Newport Stock Transfer Agency, Inc. U.S. Corporate Support Services, Inc. Femis Kerger & Company Transfer Agent & Registrar. Touch America. Merge Media, Inc. Chapman Capital Management, Inc. First Financial Escrow & Transfer, Inc. Pharmacy Buying Association, Inc. Street Transfer & Registrar Agency. Brown Brothers Harriman & Co. Brookhill Stock Transfer Business Trust. Certified Water Systems, Inc. Lauries Happy Thoughts, Inc. Fidelity Custodian Services, Inc. Carolyn Plant. Encompass Corporate Services. 84–5873 ...... 84–5885 ...... 84–5897 ...... 84–5899 ...... 84–5912 ...... 84–6019 ...... 84–6032 ...... 84–6034 ...... 84–6039 ...... 84–6045 ...... 84–6059 ...... 84–6077 ...... 84–6092 ...... 84–6097 ...... 84–6101 ...... 84–6126 ...... For the Commission by the Division of Market Regulation, pursuant to delegated authority.2 Nancy M. Morris, Secretary. 84–6131 ...... 84–6157 ...... Appendix Registration No. 84–0019 84–0548 84–0711 84–0904 84–1257 84–1663 ...... ...... ...... ...... ...... ...... 84–1735 ...... 84–1737 ...... 84–1828 ...... 84–1923 ...... 84–5494 ...... 84–5550 84–5606 84–5647 84–5694 84–5720 ...... ...... ...... ...... ...... 84–5727 ...... 84–5754 ...... 84–5755 ...... ycherry on PROD1PC64 with NOTICES 84–5756 ...... 84–5773 ...... 84–5812 ...... 84–5816 ...... 84–5820 ...... 84–5826 ...... 2 17 BILLING CODE 8011–01–P LG & E Energy Corp. American Bancservices Inc. Niagara Mohawk Power Corp. Pfizer Inc. BNY Clearing Services LLC. Merrill Lynch Investment Partners Inc. Alpha Tech Stock Transfer Trust. Declaration Service Company. Consumers Financial Corp. WOC Stock Transfer Company, Inc. Metropolitan Mortgage and Securities Co., Inc. Cinergy Service, Inc. Sunstates Corporation. Penn Street Advisors, Inc. Khan Funds. Bulto Transfer Agency, Limited Liability Company. Impact Administrative Service, Inc. Alpine Fiduciary Services, Inc. River Oaks Partnership Services, Inc. IDM Corporation. RVM Industries, Inc. Stock Transfer of America, Inc. Wasatch Stock Transfer, Inc. Gerdine & Associates. Lewis, Corey L. CFR 200.30–3(a)(22). VerDate Aug<31>2005 [FR Doc. E6–17928 Filed 10–25–06; 8:45 am] Name 15:21 Oct 25, 2006 Jkt 211001 SECURITIES AND EXCHANGE COMMISSION [File No. 500–1] In the Matter of Conversion Solutions Holdings Corp.; Order of Suspension of Trading October 24, 2006. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Conversion Solutions Holding Corp. (‘‘Conversion’’), a Delaware Corporation located in Kennesaw, Georgia, which trades in the over-the-counter market under the symbol ‘‘CSHD’’. Questions have arisen regarding the accuracy and completeness of information contained in Conversion’s press releases and public filings with the Commission concerning, among other things, (1) The company’s purported ownership and control of two bond issuances, in the face amount of ÷5 billion and $500 million, issued by the Republic of Venezuela, and (2) the company’s purported contractual relationship with Deutsche Bank. PO 00000 Frm 00052 Fmt 4703 Sfmt 4703 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 company. Therefore, it is ordered, pursuant to section 12(k) of the Securities Exchange Act of 1934, that trading in the abovelisted company is suspended for the period from 9:30 a.m. EDT, October 24, 2006, through 11:59 p.m. EST, on November 6, 2006. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 06–8939 Filed 10–24–06; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–54622; File No. SR–FICC– 2006–13] Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve’s National Settlement Service October 18, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 notice is hereby given that on July 11, 2006, Fixed Income Clearing Corporation (‘‘FICC’’) filed with the Securities and Exchange Commission (‘‘Commission’’) and on August 4, 2006, amended, the proposed rule change as described in Items I, II, and III below, which items have been prepared primarily by FICC. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The proposed rule change would amend the rules of FICC’s MortgageBacked Securities Division (‘‘MBSD’’) to require clearing participants to satisfy their cash settlement amounts ultimately through the Federal Reserve’s National Settlement Service (‘‘NSS’’).2 1 15 U.S.C. 78s(b)(1). Commission previously approved a proposed rule change filed by FICC to make a similar amendment to the rules of its Government Securities Division (‘‘GSD’’). Securities Exchange Act No. 52853 (November 29, 2005), 70 FR 72682 (December 6, 2005) [File No. SR–FICC–2005–14]. FICC’s affiliates, The Depository Trust Company (‘‘DTC’’) and the National Securities Clearing Corporation (‘‘NSCC’’) also use NSS in their funds settlement processes. However, DTC and NSCC do not currently use NSS for the payment of credit. FICC is proposing to have the MBSD process both 2 The E:\FR\FM\26OCN1.SGM 26OCN1

Agencies

[Federal Register Volume 71, Number 207 (Thursday, October 26, 2006)]
[Notices]
[Pages 62631-62632]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-17928]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54633]


Notice of Intention To Cancel Registrations of Certain Transfer 
Agents

October 20, 2006.
    Notice is hereby given that the Securities and Exchange Commission 
(``Commission'') intends to issue an order, pursuant to Section 
17A(c)(4)(B) of the Securities Exchange Act of 1934 (``Act''),\1\ 
cancelling the registrations of the transfer agents whose names appear 
in the attached Appendix.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78q-1(c)(4)(B).
---------------------------------------------------------------------------

    For Further Information Contact: Jerry W. Carpenter, Assistant 
Director, or Catherine Moore, Special Counsel, at (202) 551-5710, 
Division of Market Regulation, Securities and Exchange Commission, 100 
F Street, NE., Washington, DC 20549-6628.

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. Accordingly, at any time after November 27, 2006, the 
Commission intends to issue an order cancelling the registrations of 
the transfer agents listed in the Appendix.
    The Commission has made efforts to locate and to determine the 
status of

[[Page 62632]]

each of the transfer agents listed in the Appendix. In some cases, the 
Commission was unable to locate the transfer agent, and in other cases, 
the Commission learned that the transfer agent had ceased doing 
business as a transfer agent. Therefore, based on the facts it has, the 
Commission believes that the transfer agents listed in the Appendix are 
no longer in existence or have ceased doing business as transfer 
agents.
    Any transfer agent listed in the Appendix that believes its 
registration should not be cancelled must notify the Commission in 
writing prior to November 27, 2006. Written notifications may be mailed 
to: Catherine Moore, Division of Market Regulation, Securities and 
Exchange Commission, 100 F Street, NE., Washington, DC 20459-6628. 
Written notifications may also be e-mailed to: marketreg@sec.gov to the 
attention of Catherine Moore, with the phrase ``Notice of Intention to 
Cancel Transfer Agent Registration'' in the subject line.
---------------------------------------------------------------------------

    \2\ 17 CFR 200.30-3(a)(22).

    For the Commission by the Division of Market Regulation, 
pursuant to delegated authority.\2\
Nancy M. Morris,
Secretary.

Appendix

------------------------------------------------------------------------
          Registration No.                           Name
------------------------------------------------------------------------
84-0019.............................  LG & E Energy Corp.
84-0548.............................  American Bancservices Inc.
84-0711.............................  Niagara Mohawk Power Corp.
84-0904.............................  Pfizer Inc.
84-1257.............................  BNY Clearing Services LLC.
84-1663.............................  Merrill Lynch Investment Partners
                                       Inc.
84-1735.............................  Alpha Tech Stock Transfer Trust.
84-1737.............................  Declaration Service Company.
84-1828.............................  Consumers Financial Corp.
84-1923.............................  WOC Stock Transfer Company, Inc.
84-5494.............................  Metropolitan Mortgage and
                                       Securities Co., Inc.
84-5550.............................  Cinergy Service, Inc.
84-5606.............................  Sunstates Corporation.
84-5647.............................  Penn Street Advisors, Inc.
84-5694.............................  Khan Funds.
84-5720.............................  Bulto Transfer Agency, Limited
                                       Liability Company.
84-5727.............................  Impact Administrative Service,
                                       Inc.
84-5754.............................  Alpine Fiduciary Services, Inc.
84-5755.............................  River Oaks Partnership Services,
                                       Inc.
84-5756.............................  IDM Corporation.
84-5773.............................  RVM Industries, Inc.
84-5812.............................  Stock Transfer of America, Inc.
84-5816.............................  Wasatch Stock Transfer, Inc.
84-5820.............................  Gerdine & Associates.
84-5826.............................  Lewis, Corey L.
84-5847.............................  Financial Strategies, LLC.
84-5872.............................  D-Lanz Development Group, Inc.
84-5873.............................  CBIZ Retirement Services, Inc.
84-5885.............................  Sovereign Depository Corporation.
84-5897.............................  Newport Stock Transfer Agency,
                                       Inc.
84-5899.............................  U.S. Corporate Support Services,
                                       Inc.
84-5912.............................  Femis Kerger & Company Transfer
                                       Agent & Registrar.
84-6019.............................  Touch America.
84-6032.............................  Merge Media, Inc.
84-6034.............................  Chapman Capital Management, Inc.
84-6039.............................  First Financial Escrow & Transfer,
                                       Inc.
84-6045.............................  Pharmacy Buying Association, Inc.
84-6059.............................  Street Transfer & Registrar
                                       Agency.
84-6077.............................  Brown Brothers Harriman & Co.
84-6092.............................  Brookhill Stock Transfer Business
                                       Trust.
84-6097.............................  Certified Water Systems, Inc.
84-6101.............................  Lauries Happy Thoughts, Inc.
84-6126.............................  Fidelity Custodian Services, Inc.
84-6131.............................  Carolyn Plant.
84-6157.............................  Encompass Corporate Services.
------------------------------------------------------------------------

[FR Doc. E6-17928 Filed 10-25-06; 8:45 am]
BILLING CODE 8011-01-P