Revocation of License of Small Business Investment Company, 15357 [2011-6475]

Download as PDF Federal Register / Vol. 76, No. 54 / Monday, March 21, 2011 / Notices of Section 15A(b)(6) of the Act,28 which requires, among other things, that FINRA rules must be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest. FINRA believes that the proposed rule change will facilitate more timely and accurate reporting of transactions in Asset-Backed Securities to TRACE, and enhance FINRA’s surveillance of the debt market in connection with Asset-Backed Securities transactions for the protection of investors and in furtherance of the public interest. B. Self-Regulatory Organization’s Statement on Burden on Competition FINRA does not believe that the proposed rule change will result in 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 Written comments were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 45 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 shall: (a) By order approve or disapprove such proposed rule change, or (b) institute proceedings to determine whether the proposed rule change should be disapproved. IV. Solicitation of Comments mstockstill on DSKH9S0YB1PROD with NOTICES 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: 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 28 15 U.S.C. 78o–3(b)(6). VerDate Mar<15>2010 17:50 Mar 18, 2011 Number SR–FINRA–2011–012 on the subject line. Paper Comments • Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–1090. All submissions should refer to File Number SR–FINRA–2011–012. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s Internet Web site (https://www.sec.gov/ rules/sro.shtml). Copies of the 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 Web site viewing and printing in the Commission’s Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of the filing will also be available for inspection and copying at the principal office of FINRA. 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 No. SR–FINRA–2011–012 and should be submitted on or before April 11, 2011. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.29 Cathy H. Ahn, Deputy Secretary. [FR Doc. 2011–6567 Filed 3–18–11; 8:45 am] BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION Revocation of License of Small Business Investment Company Pursuant to the authority granted to the United States Small Business Administration by the Wind-Up Order of the United States District Court of the Eastern District of New York, dated July 15, 2009, the United States Small 29 17 Jkt 223001 PO 00000 CFR 200.30–3(a)(12). Frm 00080 Fmt 4703 Sfmt 4703 15357 Business Administration hereby revokes the license of Sterling/Carl Marks Capital, Inc., a New York corporation, to function as a small business investment company under the Small Business Investment Company License No. 02020517 issued to Sterling/Carl Marks Capital, Inc., on October 3, 1988 and said license is hereby declared null and void as of July 15, 2009. Dated: March 4, 2011. Sean J. Greene, Associate Administrator for Investment, United States Small Business Administration. [FR Doc. 2011–6475 Filed 3–18–11; 8:45 am] BILLING CODE 8025–01–P SMALL BUSINESS ADMINISTRATION [Disaster Declaration #12468 and #12469] Utah Disaster #UT–00009 U.S. Small Business Administration. AGENCY: ACTION: Amendment 1. This is an amendment of the Presidential declaration of a major disaster for Public Assistance Only for the State of Utah (FEMA–1955–DR), dated 02/11/2011. Incident: Severe Winter Storms and Flooding. Incident Period: 12/20/2010 through 12/24/2010. Effective Date: 03/11/2011. Physical Loan Application Deadline Date: 04/12/2011. Economic Injury (EIDL) Loan Application Deadline Date: 11/14/2011. SUMMARY: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. ADDRESSES: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. FOR FURTHER INFORMATION CONTACT: The notice of the President’s major disaster declaration for Private Non-Profit organizations in the State of Utah, dated 02/11/2011, is hereby amended to include the following areas as adversely affected by the disaster. SUPPLEMENTARY INFORMATION: Primary Counties: Garfield. All other information in the original declaration remains unchanged. E:\FR\FM\21MRN1.SGM 21MRN1

Agencies

[Federal Register Volume 76, Number 54 (Monday, March 21, 2011)]
[Notices]
[Page 15357]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-6475]


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SMALL BUSINESS ADMINISTRATION


Revocation of License of Small Business Investment Company

    Pursuant to the authority granted to the United States Small 
Business Administration by the Wind-Up Order of the United States 
District Court of the Eastern District of New York, dated July 15, 
2009, the United States Small Business Administration hereby revokes 
the license of Sterling/Carl Marks Capital, Inc., a New York 
corporation, to function as a small business investment company under 
the Small Business Investment Company License No. 02020517 issued to 
Sterling/Carl Marks Capital, Inc., on October 3, 1988 and said license 
is hereby declared null and void as of July 15, 2009.

    Dated: March 4, 2011.
Sean J. Greene,
Associate Administrator for Investment, United States Small Business 
Administration.
[FR Doc. 2011-6475 Filed 3-18-11; 8:45 am]
BILLING CODE 8025-01-P
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