Life Care Medical Devices Ltd., and New Leaf Brands, Inc.; Order of Suspension of Trading, 63601 [2015-26718]
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Federal Register / Vol. 80, No. 202 / Tuesday, October 20, 2015 / Notices
SECURITIES AND EXCHANGE
COMMISSION
SECURITIES AND EXCHANGE
COMMISSION
[File No. 500–1]
[Release No. 34–76159; File No. SR–EDGX–
2015–44]
Life Care Medical Devices Ltd., and
New Leaf Brands, Inc.; Order of
Suspension of Trading
mstockstill on DSK4VPTVN1PROD with NOTICES
October 16, 2015.
It appears to the Securities and
Exchange Commission that there is a
lack of current and accurate information
concerning the securities of Life Care
Medical Devices Ltd. (CIK No. 1508363),
a defaulted Nevada corporation with its
principal place of business listed as
New Smyrna Beach, Florida, with stock
quoted on OTC Link (previously, ‘‘Pink
Sheets’’) operated by OTC Markets
Group, Inc. (‘‘OTC Link’’) under the
ticker symbol LCMD, because it has not
filed any periodic reports since the
period ended January 31, 2013. On
October 22, 2014, the Division of
Corporation Finance sent Life Care
Medical Devices a delinquency letter
requesting compliance with its periodic
filing obligations, but the letter was
returned because of Life Care Medical
Devices’ failure to maintain a valid
address on file with the Commission, as
required by Commission rules (Rule 301
of Regulation S–T, 17 CFR 232.301 and
Section 5.4 of EDGAR Filer Manual).
It appears to the Securities and
Exchange Commission that there is a
lack of current and accurate information
concerning the securities of New Leaf
Brands, Inc. (CIK No. 806175), a revoked
Nevada corporation with its principal
place of business listed as Southbury,
Connecticut, with stock quoted on OTC
Link under the ticker symbol NLEF,
because it has not filed any periodic
reports since the period ended
September 30, 2012. On June 9, 2014,
New Leaf Brands received a
delinquency letter sent by the Division
of Corporation Finance requesting
compliance with its 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 October 16, 2015, through
11:59 p.m. EDT on October 29, 2015.
By the Commission.
Brent J. Fields,
Secretary.
[FR Doc. 2015–26718 Filed 10–16–15; 11:15 am]
BILLING CODE 8011–01–P
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17:55 Oct 19, 2015
Jkt 238001
Self-Regulatory Organizations; EDGX
Exchange, Inc.; Notice of Filing and
Immediate Effectiveness of a Proposed
Rule Change To Adopt Rule 3.20,
Influencing or Rewarding Employees
of Others, Concerning Gifts and
Gratuities in Relation to the Business
of the Employer of the Recipient
October 15, 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
September 30, 2015, EDGX Exchange,
Inc. (the ‘‘Exchange’’ or ‘‘EDGX’’) filed
with the Securities and Exchange
Commission (‘‘Commission’’) the
proposed rule change as described in
Items I, II, and III below, which Items
have been prepared by the Exchange.
The Exchange has designated this
proposal as a ‘‘non-controversial’’
proposed rule change pursuant to
Section 19(b)(3)(A) of the Act 3 and Rule
19b–4(f)(6)(iii) thereunder,4 which
renders it effective upon filing with the
Commission. The Commission is
publishing this notice to solicit
comments on the proposed rule change
from interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange filed a proposal to
adopt Rule 3.20 to conform to the rules
of the Financial Industry Regulatory
Authority, Inc. (‘‘FINRA’’) for purposes
of an agreement between the Exchange
and FINRA pursuant to Rule 17d–2
under the Act.5 The Exchange also
proposes to adopt Rule 3.20 to conform
to the rules of BATS Exchange, Inc.
(‘‘BZX’’) and BATS Y-Exchange, Inc.
(‘‘BYX’’).6
The text of the proposed rule change
is available at the Exchange’s Web site
at www.batstrading.com, at the
principal office of the Exchange, and at
the Commission’s Public Reference
Room.
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A).
4 17 CFR 240.19b–4(f)(6)(iii).
5 17 CFR 240.17d–2.
6 See SR–BATS–2015–79 and SR–BYX–2015–43
(filed September 30, 2015) (Notice of Filing and
Immediate Effectiveness to Amend Rule 3.22 to
Conform to FINRA Rule 3220).
2 17
PO 00000
Frm 00104
Fmt 4703
Sfmt 4703
63601
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 parts of such
statements.
(A) Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
Pursuant to Rule 17d–2 under the
Act,7 the Exchange and FINRA entered
into an agreement to allocate regulatory
responsibility for common rules (the
‘‘17d–2 Agreement’’). The 17d–2
Agreement covers common members of
the Exchange and FINRA and allocates
to FINRA regulatory responsibility, with
respect to common members, for the
following: (i) Examination of common
members of the Exchange and FINRA
for compliance with certain federal
securities laws, rules and regulations
and rules of the Exchange that the
Exchange has certified as identical or
substantially similar to FINRA rules; (ii)
investigation of common members of
the Exchange and FINRA for violations
of certain federal securities laws, rules
or regulations, or Exchange rules that
the Exchange has certified as identical
or substantially identical to a FINRA
rule; and (iii) enforcement of
compliance by common members with
certain federal securities laws, rules and
regulations, and the rules of the
Exchange that the Exchange has
certified as identical or substantially
similar to FINRA rules.8
The 17d–2 Agreement included a
certification by the Exchange that states
that the requirements contained in
certain Exchange rules are identical to,
or substantially similar to, certain
FINRA rules that have been identified as
comparable. The Exchange does not
currently maintain a rule similar to
FINRA Rule 3220 governing a Member’s
giving of gifts. To conform to
comparable FINRA rules for purposes of
the 17d–2 Agreement, the Exchange
7 17
CFR 240.17d–2.
Securities and Exchange Release No. 62079
(May11, 2010), 75 FR 28080 (May 19, 2010)
(approving File No. 4–598).
8 See
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]]>Agencies
[Federal Register Volume 80, Number 202 (Tuesday, October 20, 2015)]
[Notices]
[Page 63601]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-26718]
[[Page 63601]]
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SECURITIES AND EXCHANGE COMMISSION
[File No. 500-1]
Life Care Medical Devices Ltd., and New Leaf Brands, Inc.; Order
of Suspension of Trading
October 16, 2015.
It appears to the Securities and Exchange Commission that there is
a lack of current and accurate information concerning the securities of
Life Care Medical Devices Ltd. (CIK No. 1508363), a defaulted Nevada
corporation with its principal place of business listed as New Smyrna
Beach, Florida, with stock quoted on OTC Link (previously, ``Pink
Sheets'') operated by OTC Markets Group, Inc. (``OTC Link'') under the
ticker symbol LCMD, because it has not filed any periodic reports since
the period ended January 31, 2013. On October 22, 2014, the Division of
Corporation Finance sent Life Care Medical Devices a delinquency letter
requesting compliance with its periodic filing obligations, but the
letter was returned because of Life Care Medical Devices' failure to
maintain a valid address on file with the Commission, as required by
Commission rules (Rule 301 of Regulation S-T, 17 CFR 232.301 and
Section 5.4 of EDGAR Filer Manual).
It appears to the Securities and Exchange Commission that there is
a lack of current and accurate information concerning the securities of
New Leaf Brands, Inc. (CIK No. 806175), a revoked Nevada corporation
with its principal place of business listed as Southbury, Connecticut,
with stock quoted on OTC Link under the ticker symbol NLEF, because it
has not filed any periodic reports since the period ended September 30,
2012. On June 9, 2014, New Leaf Brands received a delinquency letter
sent by the Division of Corporation Finance requesting compliance with
its 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 October 16, 2015, through 11:59 p.m. EDT on October 29, 2015.
By the Commission.
Brent J. Fields,
Secretary.
[FR Doc. 2015-26718 Filed 10-16-15; 11:15 am]
BILLING CODE 8011-01-P
