Pacific Clean Water Technologies, Inc.; Order of Suspension of Trading, 62931 [2013-24610]

Download as PDF Federal Register / Vol. 78, No. 204 / Tuesday, October 22, 2013 / Notices temporary exemption will sunset on March 3, 2014. This will facilitate an orderly transition to the new requirements by providing brokerdealers with more time to make any necessary operational or systems changes. For example, industry representatives have indicated that many firms initiate freezes around the year end with respect to changing systems and codes. As a result of this temporary exemption, the Commission is directing the staff to delay from October 21, 2013 to March 3, 2014 the date for the withdrawal of the November 8, 1998 staff no-action letter that addresses the net capital treatment of proprietary accounts of introducing broker-dealers.10 The Commission is not granting a temporary exemption from the remaining new requirements adopted in Exchange Act Release No. 70072: (1) The requirement in paragraph (j)(1) of Rule 15c3–3; (2) the new requirements in Rule 15c3–1 (other than the requirement in paragraph (c)(2)(iv)(E)(2) of Rule 15c3–1); (3) and the new requirements in Rule 17a–11. Brokerdealers have not identified these requirements as presenting a challenge in terms of achieving compliance by October 21, 2013. In addition, this temporary exemption does not apply to any other requirements in Rule 15c3–3, Rule 15c3–3a, Rule 17a–3, Rule 17a–4, or Rule 15c3–1. The effective date is quickly approaching, and granting a limited exemption until March 3, 2014 to broker-dealers from certain new requirements will help to facilitate an orderly implementation of the final rule amendments. For the foregoing reasons, the Commission finds that this temporary exemption is necessary and appropriate in the public interest, and is consistent with the protection of investors.11 It is hereby ordered that brokerdealers are temporarily exempt until March 3, 2014 from the requirements of the following new amendments to the broker-dealer financial responsibility rules adopted in Exchange Act Release No. 70072: (1) Rule 15c3–3, except paragraph (j)(1); (2) Rule 15c3–3a; (3) Rule 17a–3; (4) Rule 17a–4; and (5) paragraph (c)(2)(iv)(E)(2) of Rule 15c3– 1. II. Conclusion Accordingly, pursuant to Section 36 of the Exchange Act, Editorial Note: This document was received by the Office of the Federal Register on October 17, 2013. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. 2013–24609 Filed 10–21–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [File No. 500–1] China Ritar Power Corp., Order of Suspension of Trading sroberts on DSK5SPTVN1PROD with FRONT MATTER VerDate Mar<15>2010 21:08 Oct 21, 2013 Jkt 232001 Clean Water Technologies, Inc. (‘‘PCWT’’) because of questions regarding the adequacy and accuracy of publicly disseminated information concerning, among other things, the company’s business operations. PCWT is a Delaware corporation based in Irvine, California. It is quoted on OTC Link under the symbol PCWT. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed company. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed company is suspended for the period from 5:30 p.m. EDT on October 11, 2013 through 11:59 p.m. EDT, on October 24, 2013. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. 2013–24610 Filed 10–21–13; 8:45 am] October 4, 2013. BILLING CODE 8011–01–P It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of China Ritar Power Corp. because China Ritar Power Corp. has not filed any periodic reports for any reporting period subsequent to the period ended September 30, 2010. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in securities of China Ritar Power Corp. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of China Ritar Power Corp. is suspended for the period from 9:30 a.m. EDT, October 4, 2013, through 11:59 p.m. EDT, on October 17, 2013. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 2013–24605 Filed 10–21–13; 8:45 am] adopted. See also Financial Responsibility Rules for Broker-Dealers, 78 FR at 51831–51832. 10 See Letter of Michael A. Macchiaroli, Associate Director, Division of Market Regulation, Commission, to Raymond J. Hennessy, Vice President, NYSE, and Thomas Cassella, Vice President, NASD Regulation, Inc. (Nov. 3, 1998). See also Financial Responsibility Rules for BrokerDealers, 78 FR at 51828 (directing the staff to withdraw the no-action letter as of the effective date of the amendments). 11 Section 36 of the Exchange Act authorizes the Commission, by rule, regulation, or order, to conditionally or unconditionally exempt any person from any rule under the Exchange Act, to the extent that the exemption is necessary or appropriate in the public interest and is consistent with the protection of investors. 15 U.S.C. 78mm. 62931 BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [File No. 500–1] Pacific Clean Water Technologies, Inc.; Order of Suspension of Trading October 11, 2013. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Pacific PO 00000 Frm 00349 Fmt 4703 Sfmt 4703 SMALL BUSINESS ADMINISTRATION [License No. 09/79–0454] 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 security financing to Bill.com, Inc., 3250 Ash Street, Palo Alto, CA 94306. The financing is brought within the purview of § 107.730(a)(1) of the Regulations because the financing of Bill.com, Inc. by Emergence Capital Partners, Inc. will not occur at the same time, and on the same terms and conditions of the financing by Emergence Capital Partners, L.P. and Emergence Capital Associates, L.P., both Associates of Emergence Capital Partners SBIC, L.P., and therefore this transaction is considered a financing of an Associate requiring prior SBA approval. E:\FR\FM\22OCN1.SGM 22OCN1

Agencies

[Federal Register Volume 78, Number 204 (Tuesday, October 22, 2013)]
[Notices]
[Page 62931]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-24610]


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SECURITIES AND EXCHANGE COMMISSION

[File No. 500-1]


Pacific Clean Water Technologies, Inc.; Order of Suspension of 
Trading

October 11, 2013.
    It appears to the Securities and Exchange Commission that there is 
a lack of current and accurate information concerning the securities of 
Pacific Clean Water Technologies, Inc. (``PCWT'') because of questions 
regarding the adequacy and accuracy of publicly disseminated 
information concerning, among other things, the company's business 
operations. PCWT is a Delaware corporation based in Irvine, California. 
It is quoted on OTC Link under the symbol PCWT.
    The Commission is of the opinion that the public interest and the 
protection of investors require a suspension of trading in the 
securities of the above-listed company.
    Therefore, it is ordered, pursuant to Section 12(k) of the 
Securities Exchange Act of 1934, that trading in the securities of the 
above-listed company is suspended for the period from 5:30 p.m. EDT on 
October 11, 2013 through 11:59 p.m. EDT, on October 24, 2013.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-24610 Filed 10-21-13; 8:45 am]
BILLING CODE 8011-01-P
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