Revocation of License of Small Business Investment Company, 12640-12641 [2012-4925]

Download as PDF 12640 Federal Register / Vol. 77, No. 41 / Thursday, March 1, 2012 / Notices continue to pursue matters involving or affecting its member organizations.11 The Exchange also proposes to make technical and conforming changes to other rules that reference the approved person application process. The Exchange further proposes to make technical amendments to correct an error in the spelling of ‘‘principal executive,’’ which is spelled ‘‘principle executive’’ in NYSE Amex Rule 476A and NYSE Amex Equities Rules 308, 410A, 422, and 460. In addition, the Exchange proposes to delete ‘‘principle executive’’ from NYSE Amex Equities Rules 304 and 304A for consistency with similar amendments to NYSE Rules 304 and 304A.12 mechanism of a free and open market and a national market system. 2. Statutory Basis The proposed rule change is consistent with Section 6(b) 13 of the Act, in general, and furthers the objectives of Section 6(b)(5) 14 in particular in that it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, to remove impediments to and perfect the mechanism of a free and open market and a national market system and, in general, to protect investors and the public interest. More specifically, the Exchange believes that the proposed approved person definition and consent to jurisdiction process would remove unnecessary complexities and excessive informational requirements and create a more efficient and less burdensome process for membership applicants and member organizations while maintaining appropriate regulatory standards. As such, the proposed rule change would contribute to removing impediments to and perfecting the III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action mstockstill on DSK4VPTVN1PROD with NOTICES 11 The Exchange notes that FINRA is in the process of harmonizing legacy NASD and NYSE Rules, and has published a proposal to harmonize membership rules. See FINRA Regulatory Notice 10–01. While FINRA has proposed that a member firm be required to provide certain information about affiliates, FINRA has not proposed to adopt the approved person definition or application process, or assert jurisdiction over such persons. When FINRA completes that harmonization process for the membership rules, the Exchange will consider whether further amendments to its approved person rules are advisable. Until such time, the Exchange believes that the narrowing of the approved person definition and the elimination of the approved person application process will remove unnecessary complexities and excessive informational requirements and thereby reduce burdens on membership applicants and member organizations while still maintaining high regulatory standards consistent with the Act. 12 See SR–NYSE–2011–02. 13 15 U.S.C. 78f(b). 14 15 U.S.C. 78f(b)(5). VerDate Mar<15>2010 17:25 Feb 29, 2012 Jkt 226001 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 No written comments were solicited or received with respect to the proposed rule change. 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 will: (A) By order approve or disapprove 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: Electronic Comments • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/sro.shtml); or • Send an email to rulecomments@sec.gov. Please include File Number SR–NYSEAmex–2012–12 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–NYSEAmex–2012–12. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will PO 00000 Frm 00088 Fmt 4703 Sfmt 4703 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 20549–1090, 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 NYSE’s principal office and on its Internet Web site at www.nyse.com. 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– NYSEAmex–2012–12 and should be submitted on or before March 22, 2012. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.15 Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–4912 Filed 2–29–12; 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 Western District of Kentucky, Louisville Division, dated July 11, 2011, the United States Small Business Administration hereby revokes the license of Prosperitas Investment Partners, L.P. a Kentucky limited partnership, to function as a small business investment company under the Small Business Investment Company License No. 04/74–0283 issued to Prosperitas Investment Partner, L.P., on June 29, 2000 and said license is hereby declared null and void as of July 11, 2011. 15 17 E:\FR\FM\01MRN1.SGM CFR 200.30–3(a)(12). 01MRN1 Federal Register / Vol. 77, No. 41 / Thursday, March 1, 2012 / Notices United States Small Business Administration. Sean J. Greene, Associate Administrator for Investment. [FR Doc. 2012–4925 Filed 2–29–12; 8:45 am] BILLING CODE 8025–01–P SMALL BUSINESS ADMINISTRATION Surrender of License of Small Business Investment Company Pursuant to the authority granted to the United States Small Business Administration under the Small Business Investment Act of 1958, under Section 309 of the Act and Section 107.1900 of the Small Business Administration Rules and Regulations (13 CFR 107.1900) to function as a small business investment company under the Small business Investment Company License No. 01/71–0390 issued to Venture Capital Fund of New England IV, L.P., and said license is hereby declared null and void. United States Small Business Administration. Sean J. Greene, Associate Administrator for Investment. [FR Doc. 2012–4927 Filed 2–29–12; 8:45 am] BILLING CODE 8025–01–P SMALL BUSINESS ADMINISTRATION Surrender of License of Small Business Investment Company Pursuant to the authority granted to the United States Small Business Administration under the Small Business Investment Act of 1958, under Section 309 of the Act and Section 107.1900 of the Small Business Administration Rules and Regulations (13 CFR 107.1900) to function as a small business investment company under the Small business Investment Company License No. 05/75–0240 issued to Chicago Venture Partners, L.P., and said license is hereby declared null and void. United States Small Business Administration. Sean J. Greene, Associate Administrator for Investment. [FR Doc. 2012–4926 Filed 2–29–12; 8:45 am] mstockstill on DSK4VPTVN1PROD with NOTICES BILLING CODE 8025–01–P DEPARTMENT OF STATE [Public Notice 7542] Shipping Coordinating Committee; Notice of Committee Meeting The Shipping Coordinating Committee (SHC) will conduct an open VerDate Mar<15>2010 17:25 Feb 29, 2012 Jkt 226001 meeting at 9:30 a.m. on Tuesday, March 27, 2012, in Room 5–0624 of the United States Coast Guard Headquarters Building, 2100 Second Street SW., Washington, DC 20593–0001. The primary purpose of the meeting is to discuss outcomes of FAL 37 and to discuss preparations for the thirtyeighth Session of the International Maritime Organization’s (IMO) Facilitation Committee to be held at the IMO Headquarters, United Kingdom, in early 2013. The primary matters to be considered include: —Decisions of other IMO bodies. —Consideration and adoption of proposed amendments to the Convention. —General review of the Convention, including harmonization with other international instruments: A. Comprehensive review of the Annex to the Convention, including: Intersessional Correspondence Group (ISCG) work. —E-business possibilities for the facilitation of maritime traffic. A. Electronic means for the clearance of ships, cargo and passengers. B. Electronic access to, or electronic versions of, certificates and documents required to be carried on ships, including ISCG work, including: 1. Pros and cons of relying on electronic versions of certificates. 2. Security features of electronic versions of certificates. 3. Security features of web sites used to view certificates. —Formalities connected with the arrival, stay and departure of persons, including: A. Shipboard personnel. B. Stowaways. C. Illegal migrants. D. Persons rescued at sea. —Ensuring security in and facilitating international trade, including: A. Shore leave and access to ships. B. Trade recovery, including the following ISCG work: 1. Analysis and collection of relevant practices, standards and activities including World Customs Organization and International Organization for Standardization standards. 2. Based on analysis, develop voluntary guidelines for Maritime Trade Recovery. —Ship/port interface. A. Facilitation of shipments of dangerous cargoes. —Technical co-operation and assistance. PO 00000 Frm 00089 Fmt 4703 Sfmt 4703 12641 —Relations with other organizations. —Application of the Committee’s Guidelines. —Work programme. A. Role, mission, strategic direction and work of the Committee, including potential future work items. —Election of Chairman and ViceChairman for 2012. —Any other business. Members of the public may attend this meeting up to the seating capacity of the room. To facilitate the building security process, and to request reasonable accommodation, those who plan to attend should contact the meeting coordinator, Mr. David A. Du Pont, by email at David.A.DuPont@uscg.mil, by phone at (202) 372–1397, by fax at (202) 372– 1928, or in writing at Commandant (CG– 523), U.S. Coast Guard, 2100 2nd Street SW., Stop 7126, Washington, DC 20593– 7126 not later than March 20, 2012, 7 days prior to the meeting. Requests made after March 20, 2012 might not be able to be accommodated. Please note that due to security considerations, two valid, government issued photo identifications must be presented to gain entrance to the Headquarters building. The Headquarters building is accessible by taxi and privately owned conveyance (public transportation is not generally available). However, parking in the vicinity of the building is extremely limited. Additional information regarding this and other IMO SHC public meetings may be found at: www.uscg.mil/imo. Dated: February 22, 2012. Brian Robinson, Executive Secretary, Shipping Coordinating Committee, Department of State. [FR Doc. 2012–5008 Filed 2–29–12; 8:45 am] BILLING CODE 4710–09–P DEPARTMENT OF TRANSPORTATION Office of the Secretary [Docket No. DOT–RITA–2012–0001] Privacy Act of 1974; System of Records Notice Research and Innovative Technology Administration’s (RITA), Department of Transportation (DOT). ACTION: Notice to establish a new system of records. AGENCY: Pursuant to the Privacy Act of 1974, the Department of Transportation proposes to add a new system of records titled Vehicle and Driver Research, Test, and Evaluation Records. This system SUMMARY: E:\FR\FM\01MRN1.SGM 01MRN1

Agencies

[Federal Register Volume 77, Number 41 (Thursday, March 1, 2012)]
[Notices]
[Pages 12640-12641]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-4925]


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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 Western District of Kentucky, Louisville 
Division, dated July 11, 2011, the United States Small Business 
Administration hereby revokes the license of Prosperitas Investment 
Partners, L.P. a Kentucky limited partnership, to function as a small 
business investment company under the Small Business Investment Company 
License No. 04/74-0283 issued to Prosperitas Investment Partner, L.P., 
on June 29, 2000 and said license is hereby declared null and void as 
of July 11, 2011.


[[Page 12641]]


United States Small Business Administration.
Sean J. Greene,
Associate Administrator for Investment.
[FR Doc. 2012-4925 Filed 2-29-12; 8:45 am]
BILLING CODE 8025-01-P
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