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