Order of Suspension of Trading; In the Matter of Anticus International Corp., China Marketing Media Holdings, Inc., Cigma Metals Corp., and LL&E Royalty Trust; File No. 500-1, 31933-31934 [2015-13741]

Download as PDF Federal Register / Vol. 80, No. 107 / Thursday, June 4, 2015 / Notices the CDS business within the framework of the Dodd-Frank Act and pending the final implementation of new CFTC and SEC rules pursuant to Title VII of that legislation, helps to promote stability in the financial markets and regulatory certainty for members. 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 Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to section 19(b)(3)(A) of the Act 13 and Rule 19b– 4(f)(6) thereunder.14 At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. IV. Solicitation of Comments Paper Comments • Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. All submissions should refer to File Number SR–FINRA–2015–013. 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 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 10:00 a.m. and 3:00 p.m. Copies of such filing also will 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 Number SR–FINRA– 2015–013 and should be submitted on or before June 25, 2015. 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: For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.15 Brent J. Fields, Secretary. Electronic Comments BILLING CODE 8011–01–P wreier-aviles on DSK5TPTVN1PROD with NOTICES • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/sro.shtml); or • Send an email to rule-comments@ sec.gov. Please include File Number SR– FINRA–2015–013 on the subject line. 13 15 U.S.C. 78s(b)(3)(A). CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6)(iii) requires a self-regulatory organization to provide the Commission with written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. FINRA has fulfilled this requirement. 14 17 VerDate Sep<11>2014 15:33 Jun 03, 2015 Jkt 235001 [FR Doc. 2015–13612 Filed 6–3–15; 08:45 am] SECURITIES AND EXCHANGE COMMISSION Order of Suspension of Trading; In the Matter of Anticus International Corp., China Marketing Media Holdings, Inc., Cigma Metals Corp., and LL&E Royalty Trust; File No. 500–1 June 2, 2015. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information 15 17 PO 00000 CFR 200.30–3(a)(12). Frm 00048 Fmt 4703 Sfmt 4703 31933 concerning the securities of Anticus International Corp. (CIK No. 1192494), a revoked Nevada corporation with its principal place of business listed as Montreal, Quebec, Canada, with stock quoted on OTC Link (previously, ‘‘Pink Sheets’’) operated by OTC Markets Group, Inc. (‘‘OTC Link’’) under the ticker symbol ATCI, because it has not filed any periodic reports since the period ended March 31, 2011. On July 5, 2013, Anticus International received a delinquency letter sent by the Division of Corporation Finance requesting compliance with their periodic filing obligations. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of China Marketing Media Holdings, Inc. (CIK No. 1353307), a forfeited Texas corporation with its principal place of business listed as Beijing, China, with stock quoted on OTC Link under the ticker symbol CMKM, because it has not filed any periodic reports since the period ended September 30, 2012. On April 15, 2014, the Division of Corporation Finance sent China Marketing Media Holdings a delinquency letter requesting compliance with its periodic filing obligations, but the letter was returned because of China Marketing Media Holdings’ failure to maintain a valid address on file with the Commission. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Cigma Metals Corp. (CIK No. 1083410), a dissolved Florida corporation with its principal place of business listed as Madrid, Spain, with stock quoted on OTC Link under the ticker symbol CGMX, because it has not filed any periodic reports since the period ended September 30, 2012. A delinquency letter sent to Cigma Metals by the Division of Corporation Finance requesting compliance with their periodic filing obligations was returned, but a letter sent to the company’s registered agent was delivered on August 17, 2012. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of LL&E Royalty Trust (CIK No. 721765), a Michigan trust with its principal place of business listed as Troy, Michigan, with units of interest quoted on OTC Link under the ticker symbol LRTR, because it has not filed any periodic reports since the period ended September 30, 2011. On August 30, 2013, LL&E Royalty received a E:\FR\FM\04JNN1.SGM 04JNN1 31934 Federal Register / Vol. 80, No. 107 / Thursday, June 4, 2015 / Notices delinquency letter sent by the Division of Corporation Finance requesting compliance with their periodic filing obligations. 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 companies. 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 companies is suspended for the period from 9:30 a.m. EDT on June 2, 2015, through 11:59 p.m. EDT on June 15, 2015. 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 self-regulatory organization 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 those 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 parts of such statements. By the Commission. Jill M. Peterson, Assistant Secretary. A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change [FR Doc. 2015–13741 Filed 6–2–15; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–75071; File No. SR– NYSEArca–2015–44] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the SPDR® SSgA Flexible Allocation ETF Under NYSE Arca Equities Rule 8.600 May 29, 2015. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that, on May 15, 2015, NYSE Arca, Inc. (the ‘‘Exchange’’ of ‘‘NYSE Arca’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. wreier-aviles on DSK5TPTVN1PROD with NOTICES I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to list and trade shares of the SPDR® SSgA Flexible Allocation ETF under NYSE Arca Equities Rule 8.600. The text of the proposed rule change is available on the Exchange’s Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission’s Public Reference Room. 1 15 2 17 U.S.C. 78s(b)(1). CFR 240.19b–4. VerDate Sep<11>2014 15:33 Jun 03, 2015 Jkt 235001 1. Purpose The Exchange proposes to list and trade shares (‘‘Shares’’) of SPDR® SSgA Flexible Allocation ETF (the ‘‘Fund’’) under NYSE Arca Equities Rule 8.600, which governs the listing and trading of Managed Fund Shares 3 on the Exchange.4 The Shares will be offered by SSgA Active ETF Trust (the ‘‘Trust’’), which is organized as a Massachusetts business trust and is registered with the Commission as an open-end management investment company.5 SSgA Funds Management, Inc. (the ‘‘Adviser’’) will serve as the investment adviser to the Fund. State Street Global Markets, LLC (the ‘‘Distributor’’ or ‘‘Principal Underwriter’’) will be the principal underwriter and distributor of the Fund’s Shares. State Street Bank and Trust Company (the ‘‘Administrator,’’ ‘‘Custodian’’ or ‘‘Transfer Agent’’) will serve as administrator, custodian and transfer agent for the Fund. Commentary .06 to Rule 8.600 provides that, if the investment adviser to the investment company issuing Managed Fund Shares is affiliated with a broker-dealer, such investment adviser shall erect a ‘‘fire wall’’ between the investment adviser and the brokerdealer with respect to access to information concerning the composition and/or changes to such investment company portfolio.6 In addition, Commentary .06 further requires that personnel who make decisions on the open-end fund’s portfolio composition must be subject to procedures designed to prevent the use and dissemination of material nonpublic information regarding the open-end fund’s portfolio. Commentary .06 to Rule 8.600 is similar to Commentary .03(a)(i) and (iii) to NYSE Arca Equities Rule 5.2(j)(3); however, Commentary .06 in connection with the establishment of a ‘‘fire wall’’ between the investment adviser and the 3 A Managed Fund Share is a security that represents an interest in an investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as an open-end investment company or similar entity that invests in a portfolio of securities selected by its investment adviser consistent with its investment objectives and policies. In contrast, an open-end investment company that issues Investment Company Units, listed and traded on the Exchange under NYSE Arca Equities Rule 5.2(j)(3), seeks to provide investment results that correspond generally to the price and yield performance of a specific foreign or domestic stock index, fixed income securities index or combination thereof. 4 The Commission has previously approved listing and trading on the Exchange of a number of actively managed funds under Rule 8.600. See, e.g., Securities Exchange Act Release Nos. 57801 (May 8, 2008), 73 FR 27878 (May 14, 2008) (SR– NYSEArca–2008–31) (order approving Exchange listing and trading of twelve actively-managed funds of the WisdomTree Trust); 66343 (February 7, 2012), 77 FR 7647 (February 13, 2012) (SR– NYSEArca–2011–85) (order approving listing of five funds of the SSgA Active ETF Trust); 70342 (September 6, 2013), 78 FR 56256 (September 12, 2013) (SR–NYSEArca–2013–71) (order approving listing of the SPDR SSgA Ultra Short Term Bond ETF; SPDR SSgA Conservative Ultra Short Term Bond ETF; and SPDR SSgA Aggressive Ultra Short Term Bond ETF); and 62502 (March 21, 2014), 79 FR 17206 (March 27, 2014) (SR–NYSEArca–2014– 11) (order approving listing of SPDR SSgA Risk Aware ETF, SPDR SSgA Large Cap Risk Aware ETF and SPDR SSgA Small Cap Risk Aware ETF). 5 The Trust is registered under the 1940 Act. On December 18, 2013, the Trust filed with the Commission an amendment to its registration statement on Form N–1A under the Securities Act of 1933 (15 U.S.C. 77a) (‘‘Securities Act’’), and under the 1940 Act relating to the Fund (File Nos. 333–173276 and 811–22542) (‘‘Registration Statement’’). The description of the operation of the Trust and the Fund herein is based, in part, on the Registration Statement. In addition, the Commission has issued an order granting certain exemptive relief to the Trust under the 1940 Act. See Investment Company Act Release No. 29524 (December 13, 2010) (File No. 812–13487) (‘‘Exemptive Order’’). 6 An investment adviser to an open-end fund is required to be registered under the Investment Advisers Act of 1940 (the ‘‘Advisers Act’’). As a result, the Adviser and its related personnel are subject to the provisions of Rule 204A–1 under the Advisers Act relating to codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects the fiduciary nature of the relationship to clients as well as compliance with other applicable securities laws. Accordingly, procedures designed to prevent the communication and misuse of non-public information by an investment adviser must be consistent with Rule 204A–1 under the Advisers Act. In addition, Rule 206(4)–7 under the Advisers Act makes it unlawful for an investment adviser to provide investment advice to clients unless such investment adviser has (i) adopted and implemented written policies and procedures reasonably designed to prevent violation, by the investment adviser and its supervised persons, of the Advisers Act and the Commission rules adopted thereunder; (ii) implemented, at a minimum, an annual review regarding the adequacy of the policies and procedures established pursuant to subparagraph (i) above and the effectiveness of their implementation; and (iii) designated an individual (who is a supervised person) responsible for administering the policies and procedures adopted under subparagraph (i) above. PO 00000 Frm 00049 Fmt 4703 Sfmt 4703 E:\FR\FM\04JNN1.SGM 04JNN1

Agencies

[Federal Register Volume 80, Number 107 (Thursday, June 4, 2015)]
[Notices]
[Pages 31933-31934]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-13741]


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SECURITIES AND EXCHANGE COMMISSION


Order of Suspension of Trading; In the Matter of Anticus 
International Corp., China Marketing Media Holdings, Inc., Cigma Metals 
Corp., and LL&E Royalty Trust; File No. 500-1

June 2, 2015.
    It appears to the Securities and Exchange Commission that there is 
a lack of current and accurate information concerning the securities of 
Anticus International Corp. (CIK No. 1192494), a revoked Nevada 
corporation with its principal place of business listed as Montreal, 
Quebec, Canada, with stock quoted on OTC Link (previously, ``Pink 
Sheets'') operated by OTC Markets Group, Inc. (``OTC Link'') under the 
ticker symbol ATCI, because it has not filed any periodic reports since 
the period ended March 31, 2011. On July 5, 2013, Anticus International 
received a delinquency letter sent by the Division of Corporation 
Finance requesting compliance with their periodic filing obligations.
    It appears to the Securities and Exchange Commission that there is 
a lack of current and accurate information concerning the securities of 
China Marketing Media Holdings, Inc. (CIK No. 1353307), a forfeited 
Texas corporation with its principal place of business listed as 
Beijing, China, with stock quoted on OTC Link under the ticker symbol 
CMKM, because it has not filed any periodic reports since the period 
ended September 30, 2012. On April 15, 2014, the Division of 
Corporation Finance sent China Marketing Media Holdings a delinquency 
letter requesting compliance with its periodic filing obligations, but 
the letter was returned because of China Marketing Media Holdings' 
failure to maintain a valid address on file with the Commission.
    It appears to the Securities and Exchange Commission that there is 
a lack of current and accurate information concerning the securities of 
Cigma Metals Corp. (CIK No. 1083410), a dissolved Florida corporation 
with its principal place of business listed as Madrid, Spain, with 
stock quoted on OTC Link under the ticker symbol CGMX, because it has 
not filed any periodic reports since the period ended September 30, 
2012. A delinquency letter sent to Cigma Metals by the Division of 
Corporation Finance requesting compliance with their periodic filing 
obligations was returned, but a letter sent to the company's registered 
agent was delivered on August 17, 2012.
    It appears to the Securities and Exchange Commission that there is 
a lack of current and accurate information concerning the securities of 
LL&E Royalty Trust (CIK No. 721765), a Michigan trust with its 
principal place of business listed as Troy, Michigan, with units of 
interest quoted on OTC Link under the ticker symbol LRTR, because it 
has not filed any periodic reports since the period ended September 30, 
2011. On August 30, 2013, LL&E Royalty received a

[[Page 31934]]

delinquency letter sent by the Division of Corporation Finance 
requesting compliance with their periodic filing obligations.
    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 companies.
    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 companies is suspended for the period from 9:30 a.m. EDT 
on June 2, 2015, through 11:59 p.m. EDT on June 15, 2015.

    By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-13741 Filed 6-2-15; 11:15 am]
 BILLING CODE 8011-01-P
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