Trumpet SBIC Partners, L.P.; Notice Seeking Exemption Under Section 312 of the Small Business Investment Act, Conflicts of Interest, 59272 [E9-27457]

Download as PDF 59272 Federal Register / Vol. 74, No. 220 / Tuesday, November 17, 2009 / Notices The NRC Commission Meeting Schedule can be found on the Internet at: https://www.nrc.gov/about-nrc/policymaking/schedule.html. * * * * * The NRC provides reasonable accommodation to individuals with disabilities where appropriate. If you need a reasonable accommodation to participate in these public meetings, or need this meeting notice or the transcript or other information from the public meetings in another format (e.g. braille, large print), please notify the NRC’s Disability Program Coordinator, Rohn Brown, at 301–492–2279, TDD: 301–415–2100, or by e-mail at rohn.brown@nrc.gov. Determinations on requests for reasonable accommodation will be made on a case-by-case basis. * * * * * This notice is distributed electronically to subscribers. If you no longer wish to receive it, or would like to be added to the distribution, please contact the Office of the Secretary, Washington, DC 20555 (301–415–1969), or send an e-mail to darlene.wright@nrc.gov. Dated: November 12, 2009. Rochelle C. Bavol, Office of the Secretary. [FR Doc. E9–27646 Filed 11–13–09; 4:15 pm] BILLING CODE 7590–01–P SMALL BUSINESS ADMINISTRATION [License No. 09/79–0454] mstockstill on DSKH9S0YB1PROD with NOTICES Emergence Capital Partners SBIC, L.P.; Notice Seeking Exemption Under Section 312 of the Small Business Investment Act, Conflicts of Interest Notice is hereby given that Emergence Capital Partners SBIC, L.P., 160 Bovet Road, Suite 300, San Mateo, CA 94402, 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). Emergence Capital Partners SBIC, L.P. proposes to provide equity financing to Genius.com, Inc., 1400 Fashion Island Blvd., Suite 500, San Mateo, CA 94404. The financing is contemplated for working capital and general operating purposes. The financing is brought within the purview of § 107.730(a)(1) of the Regulations because Emergence Capital VerDate Nov<24>2008 20:50 Nov 16, 2009 Jkt 220001 Partners, L.P. and Emergence Capital Associates, L.P., Associates of Emergence Capital Partners SBIC, L.P., own more than ten percent of Genius.com, Inc., and therefore Genius.com, Inc. is considered an Associate of Emergence Capital Partners SBIC, L.P. as detailed in § 107.50 of the 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 Third Street, SW., Washington, DC 20416. Dated: October 15, 2009. Sean J. Greene, Associate Administrator for Investment. [FR Doc. E9–27455 Filed 11–16–09; 8:45 am] Dated: October 27, 2009. Sean J. Greene, Associate Administrator for Investment. [FR Doc. E9–27457 Filed 11–16–09; 8:45 am] BILLING CODE 8025–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60960; File No. SR–FINRA– 2009–061] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, To Require Members To Report OTC Transactions in Equity Securities Within 30 Seconds of Execution BILLING CODE 8025–01–P November 6, 2009. SMALL BUSINESS ADMINISTRATION [License No. 02/72–0635] Trumpet SBIC Partners, L.P.; Notice Seeking Exemption Under Section 312 of the Small Business Investment Act, Conflicts of Interest Notice is hereby given that Trumpet SBIC Partners, L.P., 110 East 59th Street, Suite 2100, New York, NY, 10022, 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). Trumpet SBIC Partners, L.P. proposes to provide debt financing to SOI Holdings, Inc., 5260 Parkway Plaza Boulevard, Suite 2100, Charlotte, NC 28217. The financing is contemplated to refinance outstanding debt. The financing is brought within the purview of § 107.730(a)(1) of the Regulations because Trumpet Investors, LP, an Associate of Trumpet SBIC Partners, L.P., owns more than ten percent of SOI Holdings, Inc. Therefore, this transaction is considered a financing of an Associate requiring an exemption. Notice is hereby given that any interested person may submit written comments on the transaction within fifteen days of the date of this publication to Associate Administrator for Investment, U.S. Small Business Administration, 409 Third Street, SW., Washington, DC 20416. PO 00000 Frm 00160 Fmt 4703 Sfmt 4703 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that on September 16, 2009, Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) a proposed rule change SR–FINRA– 2009–061 as described in Items I, II, and III below, which Items have been prepared by FINRA. On October 30, 2009, FINRA filed Amendment No. 1 to the proposed rule change. The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing to amend FINRA trade reporting rules to (1) Require that members report over-the-counter (‘‘OTC’’) equity transactions 3 to FINRA within 30 seconds of execution; (2) require that members report secondary market transactions in non-exchangelisted direct participation program (‘‘DPP’’) securities to FINRA within 30 seconds of execution; and (3) make certain conforming changes to the rules 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 Specifically, OTC equity transactions are: (1) transactions in NMS stocks, as defined in SEC Rule 600(b) of Regulation NMS, effected otherwise than on an exchange, which are reported through the Alternative Display Facility (‘‘ADF’’) or a Trade Reporting Facility (‘‘TRF’’); and (2) transactions in ‘‘OTC Equity Securities,’’ as defined in FINRA Rule 6420 (e.g., OTC Bulletin Board and Pink Sheets securities), which are reported through the OTC Reporting Facility (‘‘ORF’’). The ADF, TRFs and ORF are collectively referred to herein as the ‘‘FINRA Facilities.’’ 2 17 E:\FR\FM\17NON1.SGM 17NON1

Agencies

[Federal Register Volume 74, Number 220 (Tuesday, November 17, 2009)]
[Notices]
[Page 59272]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-27457]


-----------------------------------------------------------------------

SMALL BUSINESS ADMINISTRATION

[License No. 02/72-0635]


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

    Notice is hereby given that Trumpet SBIC Partners, L.P., 110 East 
59th Street, Suite 2100, New York, NY, 10022, 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). 
Trumpet SBIC Partners, L.P. proposes to provide debt financing to SOI 
Holdings, Inc., 5260 Parkway Plaza Boulevard, Suite 2100, Charlotte, NC 
28217. The financing is contemplated to refinance outstanding debt.
    The financing is brought within the purview of Sec.  107.730(a)(1) 
of the Regulations because Trumpet Investors, LP, an Associate of 
Trumpet SBIC Partners, L.P., owns more than ten percent of SOI 
Holdings, Inc.
    Therefore, this transaction is considered a financing of an 
Associate requiring an exemption. Notice is hereby given that any 
interested person may submit written comments on the transaction within 
fifteen days of the date of this publication to Associate Administrator 
for Investment, U.S. Small Business Administration, 409 Third Street, 
SW., Washington, DC 20416.

    Dated: October 27, 2009.
Sean J. Greene,
Associate Administrator for Investment.
[FR Doc. E9-27457 Filed 11-16-09; 8:45 am]
BILLING CODE 8025-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.