Order Cancelling Registrations of Certain Transfer Agents, 16843-16844 [2011-7100]

Download as PDF Federal Register / Vol. 76, No. 58 / Friday, March 25, 2011 / Notices 16843 DESCRIPTION OF MATERIAL Name of applicant Date of application Date received Application No. Docket No. Material type Curtiss-Wright Electro-Mechanical Corporation. Complete primary coolant pump systems, related equipment, and spare parts. Total quantity Enough for six AP–1000 (design) reactors. End use Construction, maintenance, and operation of AP–1000 (design) nuclear reactors. Recipient country China. February 10, 2011 February 23, 2011 XR173 11005918 Dated this 18th day of March 2011 in Rockville, Maryland. For the Nuclear Regulatory Commission. Nader L. Mamish, Acting Deputy Director, Office of International Programs. [FR Doc. 2011–7084 Filed 3–24–11; 8:45 am] BILLING CODE 7590–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–64102] Order Cancelling Registrations of Certain Transfer Agents March 21, 2011. erowe on DSK5CLS3C1PROD with NOTICES On November 4, 2010, notice was published in the Federal Register that the Securities and Exchange Commission (‘‘Commission’’) intended to issue an order, pursuant to Section 17A(c)(4)(B) of the Securities Act of 1934 (‘‘Act’’),1 cancelling the registrations of certain transfer agents.2 For the reasons discussed below, the Commission is cancelling the registration of the transfer agents identified in the attached Appendix. For Further Information Contact: Jerry W. Carpenter, Assistant Director, or David Karasik, Special Counsel, at (202) 551–5710, U.S. Securities and Exchange Commission, Division of Trading and Markets, Room 7321 SP1, 100 F Street, NE., Washington, DC 20549–7010, or by e-mail at tradingandmarkets@sec.gov with the phrase ‘‘Notice of Intention To Cancel Transfer Agent Registration’’ in the subject line. 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 1 15 U.S.C. 78q–1(c)(4)(B). Exchange Act Release No. 63211 (Oct. 29, 2010), 75 FR 68012. shall by order cancel that transfer agent’s registration. On November 4, 2010, the Commission published notice of its intention to cancel the registration of certain transfer agents whom it believed were no longer in existence or had ceased doing business as transfer agents.3 In the notice, the Commission identified 45 such transfer agents and stated that at any time after December 15, 2010, which was 41 days after the notice was published in the Federal Register, the Commission intended to issue an order canceling the registrations of any or all of the identified transfer agents. Three transfer agents contacted the Commission to object to the cancellation of their registrations stating that they have not ceased doing business as a transfer agent. The Commission has decided not to cancel the registration of these three transfer agents at this time. Two other transfer agents contacted the Commission regarding the cancellation of their registrations but did not object to such cancellation. None of the remaining 40 identified transfer agents contacted the Commission to object to the cancellation of their registrations. Accordingly, the Commission is cancelling the registrations of the 42 transfer agents identified in the Appendix attached to this Order. Order On the basis of the foregoing, the Commission finds that each of the transfer agents whose name appears in the attached Appendix either is no longer in existence or has ceased doing business as a transfer agent. It is therefore ordered pursuant to Section 17A(c)(4)(B) of the Act that the registration as a transfer agent of each of the transfer agents whose name appears in the attached Appendix be and hereby is cancelled. For the Commission by the Division of Trading and Markets pursuant to delegated authority.4 Cathy H. Ahn, Deputy Secretary. Appendix Transfer agent name ADVEST TRANSFER SERVICES, INC. ........................................... AGN ASSOCIATES & STOCK TRANSFER SERVICES, LLC ... AMAZON NATURAL TREASURES.COM, INC ...................... Beverly National Corporation ....... CAPITAL FUND SERVICES, INC. Cargill Investor Services, Inc. ....... CENTURY REALTY TRUST Co .. CNB Bancorp, Inc. ........................ Compushare Transfer Corporation Endless Investments, LLC ............ ELECTROCHEMICAL INDUSTRIES FRUTAROM INC. .......... First Choice National Stock Transfer Agency Inc .................. FORTUNE FUND ADMINISTRATION, INC. ................................ Francine Goodman (dba Maximvs Transfer Services) ..................... GTI Corporate Transfer Agents LLC ............................................ Guarantee Services CORP .......... HOLA CORP ................................ HOWARD JOHNSON & COMPANY ........................................ InCap Fund Administration, Inc. ... International Acquisitions & Holdings, Inc. .................................... INCORP STOCK TRANSFER INC ............................................ Lapeer County Bank & Trust Co. Legends Financial Holding, Inc. ... LIBERTY TRANSFER COMPANY MANCHESTER BENEFITS GROUP, LTD ............................ MANCHESTER EXCHANGE TRUST LIMITED ....................... McGLADREY & PULLEN, LLP .... Mercantile Bancorp, Inc. ............... NICHOLAS VITO PELLETIERE SECURITY WEST STOCK TRANSFER ............................... NuWave eSolutions Private Limited ............................................ 2 Securities VerDate Mar<15>2010 15:16 Mar 24, 2011 Jkt 223001 3 Id. PO 00000 Frm 00120 4 17 Fmt 4703 Sfmt 4703 E:\FR\FM\25MRN1.SGM CFR 200.30–3(a)(22). 25MRN1 File No. 8405855 8406255 8405839 8505474 8405909 8405683 8400082 8505383 8406194 8406178 8400814 8406154 8405672 8405926 8406151 8406145 8406047 8405555 8406124 8406164 8406042 8505250 8505534 8405474 8405891 8405810 8405806 8406226 8406090 8406170 16844 Federal Register / Vol. 76, No. 58 / Friday, March 25, 2011 / Notices File No. Transfer agent name PACIFIC STOCK TRANSFERS INC ............................................ PUBLIC STOCK TRANSFER COMPANY dba/PUBLIC EASE Royalty Stock Transfer ................. Select American Transfer Co. ...... Syntel, Inc. .................................... TECHNOLOGY FUNDING CAPITAL CORPORATION ............... The Commercial Bank .................. THE NORTHERN SAVINGS & LOAN COMPANY ..................... THE NYHART COMPANY, INC. .. TRUSTMARK STOCK & TRANSFER INC .................................... UAC INC. ...................................... Wulf International, Ltd .................. the Commission’s Public Reference Room. 8406088 II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. 8405866 8406189 8406152 8406142 8405738 8405867 8405867 8405722 8406073 8400293 8406180 [FR Doc. 2011–7100 Filed 3–24–11; 8:45 am] A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–64105; File No. SR–BX– 2011–016] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness Relating to Changing the Starting Time March 22, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 2 thereunder, notice is hereby given that on March 15, 2011, NASDAQ OMX BX, Inc. (‘‘BX’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. erowe on DSK5CLS3C1PROD with NOTICES I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend certain rules of the Exchange’s equity trading facility to change the starting time from 8 a.m. Eastern Time (‘‘ET’’) to 7 a.m. ET. The Exchange proposes to amend provisions of Exchange Rules 4120, 4420, 4421, 4617, 4751, 4752 and 4756 to reflect the proposed amended starting time. The text of the proposed rule change is available on the Exchange’s Web site at http://www.nasdaqtrader.com/ micro.aspx?id=BXRulefilings, at the principal office of the Exchange, and at 1 15 2 17 U.S.C. 78s(b)(1). CFR 240.19b–4. VerDate Mar<15>2010 15:16 Mar 24, 2011 Jkt 223001 1. Purpose The purpose of the proposed rule change is to amend certain rules of the Exchange to change the starting time from 8 a.m. ET to 7 a.m. ET. More specifically, the Exchange proposes to amend the following Exchange rules in the following manner: i. Exchange Rule 4120(b)(4)(B) to reflect that the ‘‘Pre-Market Session’’ means the trading session will begin at 7 a.m. ET instead of 8 a.m. ET. ii. Exchange Rule 4420(i)(7) to reflect that the Exchange may designate each series of Portfolio Depository Receipts for trading during a pre-market session beginning at 7 a.m. instead of 8 a.m. ET. iii. Exchange Rule 4420(j) to reflect that the Exchange may designate each series of Index Fund Shares for trading during a pre-market session beginning at 7 a.m. ET instead of 8 a.m. ET. iv. Exchange Rule 4421(a)(2) to reflect that the information circular distributed by the Exchange prior to the commencement of trading in each UTP Derivative Security contain applicable trading hours for the UTP Derivative Security and the risks of trading beginning with the period starting from 7 a.m. ET instead of 8 a.m. ET. v. Exchange Rule 4617 to reflect that the normal business hours for the trading platform begins at 7 a.m. ET instead of 8 a.m. ET; and, Equity Market Makers whose quotes are open before 9:30 a.m. ET or after 4 p.m. ET shall be obligated to comply, while their quotes are open, with all rules that are not by their express terms, or by an official interpretation of the Exchange, inapplicable to any part of the period 7 a.m. to 9:30 a.m. or 4 p.m. to 7 p.m. ET period instead of 8 a.m. to 9:30 a.m. or 4 p.m. to 7 p.m. ET. PO 00000 Frm 00121 Fmt 4703 Sfmt 4703 vi. Exchange Rule 4751(h)(1) to reflect that System Hours Immediate or Cancel 3 orders must be will be [sic] available for entry and execution from 7 a.m. ET instead of 8 ET. vii. Exchange Rule 4751(h)(2) to reflect that System Hours Day 4 orders must remain available for potential display and/or execution from 7 a.m. ET instead of 8 a.m. ET. viii. Exchange Rule 4751(h)(4) to reflect that System Hours Expire Time 5 orders must remain for entry and execution from 7 a.m. ET instead of 8 a.m. ET. ix. Exchange Rule 4751(h)(8) to reflect that ‘‘good-til-market close’’ 6 orders must be available for entry and potential execution from 7 a.m. ET instead of 8 ET. x. Exchange Rule 4752(a)(1) to reflect that the system shall add in time priority all eligible Orders in accordance with each order’s defined characteristics at 7 a.m. instead of 8 a.m. xi. Exchange Rule 4756(a)(3) to reflect that orders can be entered into the System (or previously entered orders cancelled) from 7 a.m. ET instead of 8 a.m. ET. xii. Exchange Rule 4756(b) to reflect that Equities Market Makers, Order Entry Firms, and Equities ECNs can enter quotes into the system starting at 7 a.m. ET instead of 8 a.m. ET. The Exchange is a fully electronic system that accommodates diverse business models and trading preferences. Exchange utilizes technology to aggregate and display liquidity and make it available for execution of orders. Exchange is 3 ‘‘System Hours Immediate or Cancel’’ shall mean, for orders so designated, that if after entry into the System the order (or a portion thereof) is not marketable, the order (or unexecuted portion thereof) shall be canceled and returned to the entering Participant. See Exchange Rule 4751(h)(1). 4 ‘‘System Hours Day’’ shall mean, for orders so designated, that if after entry into the System, the order is not fully executed, the order (or the unexecuted portion thereof) shall remain available for potential display and/or execution from the opening of the normal business day until 7 p.m. Eastern Time on the day it was submitted unless cancelled by the entering party. See Exchange Rule 4751(h)(2). 5 ‘‘System Hours Expire Time’’ or ‘‘SHEX’’ shall mean, for orders so designated, that if after entry into the System, the order is not fully executed, the order (or the unexecuted portion thereof) shall remain available for potential display and/or execution for the amount of time specified by the entering Participant (up to 7 p.m. on the day entered) unless canceled by the entering party. See Exchange Rule 4751(h)(4). 6 ‘‘Good-til-market close’’ shall mean for orders so designated, that if after entry into the System, the order is not fully executed, the order (or unexecuted portion thereof) shall remain available for potential display and/or execution until cancelled by the entering party, or until 4 p.m., after which it shall be returned to the entering party. See Exchange Rule 4751(h)(8). E:\FR\FM\25MRN1.SGM 25MRN1

Agencies

[Federal Register Volume 76, Number 58 (Friday, March 25, 2011)]
[Notices]
[Pages 16843-16844]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-7100]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-64102]


Order Cancelling Registrations of Certain Transfer Agents

March 21, 2011.
    On November 4, 2010, notice was published in the Federal Register 
that the Securities and Exchange Commission (``Commission'') intended 
to issue an order, pursuant to Section 17A(c)(4)(B) of the Securities 
Act of 1934 (``Act''),\1\ cancelling the registrations of certain 
transfer agents.\2\ For the reasons discussed below, the Commission is 
cancelling the registration of the transfer agents identified in the 
attached Appendix.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78q-1(c)(4)(B).
    \2\ Securities Exchange Act Release No. 63211 (Oct. 29, 2010), 
75 FR 68012.
---------------------------------------------------------------------------

    For Further Information Contact: Jerry W. Carpenter, Assistant 
Director, or David Karasik, Special Counsel, at (202) 551-5710, U.S. 
Securities and Exchange Commission, Division of Trading and Markets, 
Room 7321 SP1, 100 F Street, NE., Washington, DC 20549-7010, or by e-
mail at tradingandmarkets@sec.gov with the phrase ``Notice of Intention 
To Cancel Transfer Agent Registration'' in the subject line.

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. On November 4, 2010, the Commission published notice of 
its intention to cancel the registration of certain transfer agents 
whom it believed were no longer in existence or had ceased doing 
business as transfer agents.\3\
---------------------------------------------------------------------------

    \3\ Id.
---------------------------------------------------------------------------

    In the notice, the Commission identified 45 such transfer agents 
and stated that at any time after December 15, 2010, which was 41 days 
after the notice was published in the Federal Register, the Commission 
intended to issue an order canceling the registrations of any or all of 
the identified transfer agents. Three transfer agents contacted the 
Commission to object to the cancellation of their registrations stating 
that they have not ceased doing business as a transfer agent. The 
Commission has decided not to cancel the registration of these three 
transfer agents at this time. Two other transfer agents contacted the 
Commission regarding the cancellation of their registrations but did 
not object to such cancellation. None of the remaining 40 identified 
transfer agents contacted the Commission to object to the cancellation 
of their registrations.
    Accordingly, the Commission is cancelling the registrations of the 
42 transfer agents identified in the Appendix attached to this Order.

Order

    On the basis of the foregoing, the Commission finds that each of 
the transfer agents whose name appears in the attached Appendix either 
is no longer in existence or has ceased doing business as a transfer 
agent.
    It is therefore ordered pursuant to Section 17A(c)(4)(B) of the Act 
that the registration as a transfer agent of each of the transfer 
agents whose name appears in the attached Appendix be and hereby is 
cancelled.

    For the Commission by the Division of Trading and Markets 
pursuant to delegated authority.\4\
---------------------------------------------------------------------------

    \4\ 17 CFR 200.30-3(a)(22).
---------------------------------------------------------------------------

Cathy H. Ahn,
Deputy Secretary.

Appendix

------------------------------------------------------------------------
                     Transfer agent name                        File No.
------------------------------------------------------------------------
ADVEST TRANSFER SERVICES, INC................................    8405855
AGN ASSOCIATES & STOCK TRANSFER SERVICES, LLC................    8406255
AMAZON NATURAL TREASURES.COM, INC............................    8405839
Beverly National Corporation.................................    8505474
CAPITAL FUND SERVICES, INC...................................    8405909
Cargill Investor Services, Inc...............................    8405683
CENTURY REALTY TRUST Co......................................    8400082
CNB Bancorp, Inc.............................................    8505383
Compushare Transfer Corporation..............................    8406194
Endless Investments, LLC.....................................    8406178
ELECTROCHEMICAL INDUSTRIES FRUTAROM INC......................    8400814
First Choice National Stock Transfer Agency Inc..............    8406154
FORTUNE FUND ADMINISTRATION, INC.............................    8405672
Francine Goodman (dba Maximvs Transfer Services).............    8405926
GTI Corporate Transfer Agents LLC............................    8406151
Guarantee Services CORP......................................    8406145
HOLA CORP....................................................    8406047
HOWARD JOHNSON & COMPANY.....................................    8405555
InCap Fund Administration, Inc...............................    8406124
International Acquisitions & Holdings, Inc...................    8406164
INCORP STOCK TRANSFER INC....................................    8406042
Lapeer County Bank & Trust Co................................    8505250
Legends Financial Holding, Inc...............................    8505534
LIBERTY TRANSFER COMPANY.....................................    8405474
MANCHESTER BENEFITS GROUP, LTD...............................    8405891
MANCHESTER EXCHANGE TRUST LIMITED............................    8405810
McGLADREY & PULLEN, LLP......................................    8405806
Mercantile Bancorp, Inc......................................    8406226
NICHOLAS VITO PELLETIERE SECURITY WEST STOCK TRANSFER........    8406090
NuWave eSolutions Private Limited............................    8406170

[[Page 16844]]

 
PACIFIC STOCK TRANSFERS INC..................................    8406088
PUBLIC STOCK TRANSFER COMPANY dba/PUBLIC EASE................    8405866
Royalty Stock Transfer.......................................    8406189
Select American Transfer Co..................................    8406152
Syntel, Inc..................................................    8406142
TECHNOLOGY FUNDING CAPITAL CORPORATION.......................    8405738
The Commercial Bank..........................................    8405867
THE NORTHERN SAVINGS & LOAN COMPANY..........................    8405867
THE NYHART COMPANY, INC......................................    8405722
TRUSTMARK STOCK & TRANSFER INC...............................    8406073
UAC INC......................................................    8400293
Wulf International, Ltd......................................    8406180
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[FR Doc. 2011-7100 Filed 3-24-11; 8:45 am]
BILLING CODE 8011-01-P