Gefus SBIC, L.P.; Notice Seeking Exemption Under Section 312 of the Small Business Investment Act, Conflicts of Interest, 76715-76716 [E6-21801]

Download as PDF Federal Register / Vol. 71, No. 245 / Thursday, December 21, 2006 / Notices mediator’s fees and method of payment are subject to agreement of the parties and the mediator, and all such fees and costs incurred in mediation are the parties’ responsibility; (2) an adjournment fee will be assessed if an arbitration hearing is adjourned for purposes of the parties pursuing mediation unless the fee is waived under Exchange Rule 617; (3) a mediator may not represent a party or act as an arbitrator in an arbitration relating to the matter arbitrated, nor be called to testify regarding the mediation in any proceeding; and (4) the mediation is confidential and no record is kept of the proceeding, and, except as may be required by law, the parties and mediator agree not to disclose the substance of the mediation without the prior written authorization of all parties to the mediation. In addition, the proposed rule would clarify that any party may withdraw from mediation at any time prior to the execution of a settlement agreement upon written notification to all other parties, the mediator, and the Director of Arbitration. It also would clarify that parties may select a mediator on their own or request a list of potential mediators from the Exchange, and that, upon request of any party, the Director of Arbitration would send the parties a list of five potential mediators together with the mediators’ biographical information described in Rule 608. At that time, any party to the mediation would be able to request additional names from the Director of Arbitration. The proposed rule also would provide that the parties shall advise the Exchange as to the name of the agreedupon mediator. In addition, it would clarify that once the parties agree to mediate, the Exchange would facilitate the mediation, if requested, by contacting the mediator selected and by assisting in making necessary arrangements, as well as that parties to mediation may use the Exchange meeting facilities in New York, when available, without charge. sroberts on PROD1PC70 with NOTICES 2. Statutory Basis The proposed changes are consistent with Section 6(b)(5) 4 of the Act 5 in that they promote just and equitable principles of trade by ensuring that members and member organizations and the public have fair and flexible alternatives for the resolution of their disputes. 4 15 5 15 U.S.C. 78f(b)(5). U.S.C. 78a. VerDate Aug<31>2005 17:01 Dec 20, 2006 Jkt 211001 B. Self-Regulatory Organization’s Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Exchange has neither solicited nor received written comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 35 days of the date of publication of this notice in the Federal Register or within such longer period (i) As the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or (ii) as to which the self-regulatory organization consents, the Commission will: (a) By order approve the proposed rule change, or (b) institute proceedings to determine whether the proposed rule change should be 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: 76715 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 inspection and copying in the Commission’s Public Reference Room, 100 F Street, NE., Washington, DC. Copies of such filing also will be available for inspection and copying at the principal office of the NYSE. 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–NYSE–2006–45 and should be submitted at or before January 11, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority.6 Florence E. Harmon, Deputy Secretary. [FR Doc. E6–21818 Filed 12–20–06; 8:45 am] BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION [License No. 02/72–0610] Gefus SBIC, L.P.; Notice Seeking Exemption Under Section 312 of the Small Business Investment Act, Conflicts of Interest Electronic Comments • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/sro.shtml); or • Send an e-mail to rulecomments@sec.gov. Please include File Number SR–NYSE–2006–45 on the subject line. Notice is hereby given that Gefus SBIC, L.P., 375 Park Avenue, Suite 2401, New York, NY 10152, a Federal Licensee under the Small Business Investment Act of 1958, as amended (‘‘the Act’’), in connection with the financing of a small concern, has sought an exemption under Section 312 of the Act and Section 107.730, Financings Paper Comments which Constitute Conflicts of Interest of • Send paper comments in triplicate the Small Business Administration to Nancy M. Morris, Secretary, (‘‘SBA’’) Rules and Regulations (13 CFR Securities and Exchange Commission, 107.730 (2006)). Gefus SBIC, L.P. 100 F Street, NE., Washington, DC proposes to provide equity security 20549–1090. financing to Patton Surgical Inc. 1000 All submissions should refer to File Westbank Drive, Suite 5A200 Austin, Number SR–NYSE–2006–45. This file TX 78746. The financing is number should be included on the contemplated for operating expenses subject line if e-mail is used. To help the and for general corporate purposes. Commission process and review your The financing is brought within the comments more efficiently, please use purview of § 107.730(a)(1) of the only one method. The Commission will Regulations because Admiral Bobby R. post all comments on the Commission’s Inman, an Associate of Gefus SBIC, L.P., Internet Web site (https://www.sec.gov/ 6 17 CFR 200.30–3(a)(12). rules/sro/shtml). Copies of the PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 E:\FR\FM\21DEN1.SGM 21DEN1 76716 Federal Register / Vol. 71, No. 245 / Thursday, December 21, 2006 / Notices owns more than ten percent of Patton Surgical, Inc. Therefore, Patton Surgical, Inc. is also considered an Associate of Gefus SBIC, L.P., as defined at 13 CFR 107.50 of the SBIC Regulations. Notice is hereby given that any interested person may submit written comments on the transaction to the Associate Administrator for Investment, U.S. Small Business Administration, 409 3rd Street, SW., Washington, DC 20416. ´ Jaime Guzman-Fournier, Associate Administrator for Investment. [FR Doc. E6–21801 Filed 12–20–06; 8:45 am] BILLING CODE 8025–01–P SMALL BUSINESS ADMINISTRATION [License No. 09/71–0378] sroberts on PROD1PC70 with NOTICES Housatonic Equity Investors SBIC, L.P.; Notice Seeking Exemption Under Section 312 of the Small Business Investment Act, Conflicts of Interest Notice is hereby given that Housatonic Equity Investors SBIC, L.P., 44 Montgomery Street, Suite 4010, San Francisco, CA 94104, a Federal Licensee under the Small Business Investment Act of 1958, as amended (‘‘the Act’’), in connection with the financing of a small concern, has sought an exemption under Section 312 of the Act and Section 107.730, Financings which Constitute Conflicts of Interest of the Small Business Administration (‘‘SBA’’) Rules and Regulations (13 CFR 107.730 (2006)). Housatonic Equity Investors SBIC, L.P. provided equity security financing to ArchivesOne, Inc., 200 Commercial Street, Watertown, CT 06795. The financing is contemplated for operating expenses and general corporate purposes. The financing is brought within the purview of § 107.730(a)(1) of the Regulations because Housatonic Equity Investors, L.P., an Associate of Housatonic Equity Investors SBIC, L.P., owns more than ten percent of ArchivesOne, Inc.. Therefore, ArchivesOne, Inc. is also considered an Associate of Housatonic Equity Investors SBIC, L.P. as defined at 13 CFR 107.50 of the SBIC Regulations. Notice is hereby given that any interested person may submit written comments on the transaction to the Associate Administrator for Investment, U.S. Small Business Administration, VerDate Aug<31>2005 17:01 Dec 20, 2006 Jkt 211001 409 3rd Street, SW., Washington, DC 20416. (Catalog of Federal Domestic Assistance Number 59008). ´ Jaime Guzman-Fournier, Associate Administrator for Investment. [FR Doc. E6–21800 Filed 12–20–06; 8:45 am] Herbert L. Mitchell, Associate Administrator for Disaster Assistance. [FR Doc. E6–21811 Filed 12–20–06; 8:45 am] BILLING CODE 8025–01–P BILLING CODE 8025–01–P SMALL BUSINESS ADMINISTRATION SMALL BUSINESS ADMINISTRATION [Disaster Declaration # 10760] [Disaster Declaration #10750 and #10751] Alaska Disaster # AK–00009 Missouri Disaster #MO–00004 AGENCY: U.S. Small Business Administration. ACTION: Notice. AGENCY: SUMMARY: This is a Notice of the Presidential declaration of a major disaster for Public Assistance Only for the State of Alaska (FEMA—1669—DR), dated 12/08/2006. Incident: Severe Storms, Flooding, Landslides, and Mudslides. Incident Period: 10/08/2006 through 10/13/2006. Effective Date: 12/08/2006. Physical Loan Application Deadline Date: 02/06/2007. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing And Disbursement Center, 14925 Kingsport Road, Fort Worth, Tx 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: Notice is hereby given that as a result of the President’s major disaster declaration on 12/08/2006, Private Non-Profit organizations that provide essential services of a governmental nature may file disaster loan applications at the address listed above or other locally announced locations. The following areas have been determined to be adversely affected by the disaster: Primary Counties: Chugach Reaa (10), Copper River Reaa (11), Kenai Peninsula Borough The Interest Rates are: SUMMARY: This is a notice of an Administrative declaration of a disaster for the State of Missouri dated 12/15/ 2006. Incident: Severe Storms. Incident Period: 09/22/2006 and continuing. EFFECTIVE DATE: 12/15/2006. Physical Loan Application Deadline Date: 02/13/2007. Economic Injury (Eidl) Loan Application Deadline Date: 09/17/2007. ADDRESSES: Submit completed loan applications to : U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: Notice is hereby given that as a result of the Administrator’s disaster declaration, applications for disaster loans may be filed at the address listed above or other locally announced locations. The following areas have been determined to be adversely affected by the disaster: Primary Counties: New Madrid, Perry. Contiguous Counties: Missouri: Bollinger, Cape Girardeau, Dunklin, Madison, Mississippi, Pemiscot, Scott, St. Francois, and Ste. Genevieve Stoddard. Illinois: Jackson, Randolph, and Union. Kentucky: Fulton. Tennessee: Lake. The Interest Rates are: U.S. Small Business Administration. ACTION: Notice. Percent Other (Including Non-Profit Organizations) With Credit Available Elsewhere ................................. Businesses and Non-Profit Organizations Without Credit Available Elsewhere ......................... 5.000 Percent 4.000 The number assigned to this disaster for physical damage is 10760. PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 Homeowners With Credit Available Elsewhere: .................................. Homeowners Without Credit Available Elsewhere: .......................... E:\FR\FM\21DEN1.SGM 21DEN1 6.250 3.125

Agencies

[Federal Register Volume 71, Number 245 (Thursday, December 21, 2006)]
[Notices]
[Pages 76715-76716]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-21801]


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SMALL BUSINESS ADMINISTRATION

[License No. 02/72-0610]


Gefus SBIC, L.P.; Notice Seeking Exemption Under Section 312 of 
the Small Business Investment Act, Conflicts of Interest

    Notice is hereby given that Gefus SBIC, L.P., 375 Park Avenue, 
Suite 2401, New York, NY 10152, a Federal Licensee under the Small 
Business Investment Act of 1958, as amended (``the Act''), in 
connection with the financing of a small concern, has sought an 
exemption under Section 312 of the Act and Section 107.730, Financings 
which Constitute Conflicts of Interest of the Small Business 
Administration (``SBA'') Rules and Regulations (13 CFR 107.730 (2006)). 
Gefus SBIC, L.P. proposes to provide equity security financing to 
Patton Surgical Inc. 1000 Westbank Drive, Suite 5A200 Austin, TX 78746. 
The financing is contemplated for operating expenses and for general 
corporate purposes.
    The financing is brought within the purview of Sec.  107.730(a)(1) 
of the Regulations because Admiral Bobby R. Inman, an Associate of 
Gefus SBIC, L.P.,

[[Page 76716]]

owns more than ten percent of Patton Surgical, Inc. Therefore, Patton 
Surgical, Inc. is also considered an Associate of Gefus SBIC, L.P., as 
defined at 13 CFR 107.50 of the SBIC Regulations.
    Notice is hereby given that any interested person may submit 
written comments on the transaction to the Associate Administrator for 
Investment, U.S. Small Business Administration, 409 3rd Street, SW., 
Washington, DC 20416.

Jaime Guzman-Fournier,
Associate Administrator for Investment.
[FR Doc. E6-21801 Filed 12-20-06; 8:45 am]
BILLING CODE 8025-01-P
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