Order Cancelling Registrations of Certain Transfer Agents, 26331-26332 [2018-12157]
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Federal Register / Vol. 83, No. 109 / Wednesday, June 6, 2018 / Notices
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 website 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 the Exchange. All comments
received will be posted without change.
Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly. All
submissions should refer to File
Number SR–NYSEArca–2018–37, and
should be submitted on or before June
27, 2018.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018–12112 Filed 6–5–18; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–83355; File No. SR–NYSE–
2017–53]
daltland on DSKBBV9HB2PROD with NOTICES
Self-Regulatory Organizations; New
York Stock Exchange LLC; Notice of
Designation of a Longer Period for
Commission Action on a Proposed
Rule Change To Amend the Listed
Company Manual for Special Purpose
Acquisition Companies To Lower the
Initial Holders Requirement From 300
to 150 Round Lot Holders and To
Eliminate Completely the 300 Public
Stockholders Continued Listing
Requirement, To Require at Least $5
Million in Net Tangible Assets for Initial
and Continued Listing, and To Impose
a 30-Day Deadline To Demonstrate
Compliance With Certain Initial Listing
Requirements Following a Business
Combination
May 31, 2018.
On November 16, 2017, New York
Stock Exchange LLC (‘‘NYSE’’ or
‘‘Exchange’’) filed with the Securities
and Exchange Commission
(‘‘Commission’’), pursuant to Section
11 17
CFR 200.30–3(a)(12).
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19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Act’’) 1 and Rule 19b–4
thereunder,2 a proposed rule change to
amend the Listed Company Manual for
Special Purpose Acquisition Companies
(‘‘SPACs’’) 3 to lower the initial holders
requirement from 300 to 150 round lot
holders and to eliminate the continued
listing requirement of 300 public
stockholders completely, to require at
least $5 million in net tangible assets for
initial listing and continued listing, and
to allow companies 30 days to
demonstrate compliance with the
applicable holder requirements of
Section 102.01A in the Listed Company
Manual following a business
combination. Finally, NYSE proposes to
eliminate certain alternative initial
listing distribution criteria for SPACs
that list in connection with a transfer or
quotation. The proposed rule change
was published for comment in the
Federal Register on December 6, 2017.4
In response, the Commission received
two comments on the proposal.5 On
January 18, 2018, the Commission
extended the time period within which
to approve the proposed rule change,
disapprove the proposed rule change, or
institute proceedings to determine
whether to approve or disapprove the
proposed rule change to March 6, 2018.6
The Commission issued an order
instituting proceedings under Section
19(b)(2)(B) of the Act to determine
whether to approve or disapprove the
proposed rule change on March 5, 2018
(‘‘OIP’’).7 The Commission received one
additional comment letter in response to
the OIP.8
Section 19(b)(2) of the Act 9 provides
that, after initiating disapproval
proceedings, the Commission shall issue
an order approving or disapproving the
proposed rule change not later than 180
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 The Commission notes that throughout this
Notice we have used the term ‘‘SPAC’’ or ‘‘SPACs.’’
These terms have the same meaning as an
‘‘Acquisition Company’’ or ‘‘AC’’ which is the term
used by NYSE in its current proposed rule filing
and rule text.
4 See Securities Exchange Act Release No. 82180
(November 30, 2017), 82 FR 57632 (December 6,
2017) (‘‘Notice’’).
5 See Letters to Brent J. Fields, Secretary,
Commission, from Michael Kitlas, dated November
30, 2017 (‘‘Kitlas Letter’’) and Jeffrey P. Mahoney,
General Counsel, Council of Institutional Investors,
dated December 20, 2017 (‘‘CII Letter’’).
6 See Securities Exchange Act Release No. 82531
(January 18, 2018), 83 FR 3371 (January 24, 2018)
(‘‘Extension’’).
7 See Securities Exchange Act Release No. 82804
(March 5, 2018), 83 FR 10530 (March 9, 2018).
8 See Letters to Brent J. Fields, Secretary,
Commission, from Jeffrey P. Mahoney, General
Counsel, Council of Institutional Investors, dated
March 26, 2018 (‘‘CII Letter II’’).
9 15 U.S.C. 78s(b)(2).
2 17
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26331
days after the date of publication of
notice of filing of the proposed rule
change. The Commission may, however,
extend the period for issuing an order
approving or disapproving the proposed
rule change by not more than 60 days
if the Commission determines that a
longer period is appropriate and
publishes the reasons for such
determination. The proposed rule
change was published for notice and
comment in the Federal Register on
December 6, 2017. June 4, 2018 is 180
days from that date, and August 3, 2018
is 240 days from that date. The
Commission finds it appropriate to
designate a longer period within which
to issue an order approving or
disapproving the proposed rule change
so that it has sufficient time to consider
the proposed rule change and the
comment letters. Accordingly, the
Commission, pursuant to Section
19(b)(2) of the Act,10 designates August
3, 2018, as the date by which the
Commission shall either approve or
disapprove the proposed rule change
(File No. SR–NYSE–2017–53).
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018–12113 Filed 6–5–18; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–83361]
Order Cancelling Registrations of
Certain Transfer Agents
June 1, 2018.
On December 22, 2017, 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 Exchange
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:
Moshe Rothman, Assistant Director, or
Catherine Whiting, Special Counsel, at
(202) 551–4990, U.S. Securities and
Exchange Commission, Division of
Trading and Markets, Room 7321 SP1,
10 Id.
11 17
CFR 200.30–3(a)(31).
U.S.C. 78q–1(c)(4)(B).
2 Securities Exchange Act Release No. 34–82342
(Dec. 18, 2017), 82 FR 60778.
1 15
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26332
Federal Register / Vol. 83, No. 109 / Wednesday, June 6, 2018 / Notices
100 F Street NE, Washington, DC
20549–7010 or by email to
tradingandmarkets@sec.gov with the
phrase ‘‘Order Cancelling Transfer
Agent Registration’’ in the subject line.
For the Commission by the Division of
Trading and Markets pursuant to delegated
authority.4
Eduardo A. Aleman,
Assistant Secretary.
Background
Appendix
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 December 22,
2017, 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 38 such transfer agents and
stated that at any time after January 31,
2018, the Commission intended to issue
an order canceling the registrations of
any or all of the identified transfer
agents. One transfer agent contacted the
Commission to object to the cancellation
of its registration, stating that it had not
ceased doing business as a transfer
agent. The Commission has decided not
to cancel the registration of that transfer
agent. None of the remaining 37
identified transfer agents contacted the
Commission to object to the cancellation
of their registrations.
Accordingly, the Commission is
cancelling the registrations of the 37
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.
daltland on DSKBBV9HB2PROD with NOTICES
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.
Transfer agent name
AG Transfer Agency LLC .....
Allied Stock Transfer, Inc. ....
AlphaMetrix, LLC ..................
Baron Capital Transfer &
Registrar LLC ....................
Bluechip Equity Inc. DBA
Bluechip Trust Company ..
Cascade Stock Transfer, Inc.
Centerline Affordable Housing Advisors LLC ...............
Chris Lotito ...........................
Clayton Securities Services,
Inc. ....................................
Demiurgic, Inc. ......................
Elite Transfer Corp ...............
EnDevCo, Inc. ......................
First National Bank of
Omaha ..............................
First National Bank of Sioux
Falls ...................................
Fund Dynamics, LLC ............
Hiko Bell Mining & Oil Company ..................................
Holladay Stock Transfer, Inc.
Integrity Stock Transfer ........
Intercontinental Registrar &
Transfer Agency, Inc. ........
Investor Data Services .........
Johnson, Lawrence & Associates .................................
Karrison Compagnie Inc. ......
Life Sciences Research ........
LM Anderson Securities, LLC
Matrix Capital Group Inc. .....
Premier Stock Transfer, LLC
Progressive Transfer, Inc. ....
Quads Trust Company .........
Repository & Related Services, LLC ...........................
Signal Stock Transfer, Inc. ...
Standard Transfer & Trust
Co., Inc. .............................
Superior Stock Transfer, Inc.
Thermal Energy Storage Inc.
U.S. Stock Transfer Corp. ....
U.S. Trust & Transfer Co. ....
Valley Forge Management
Corp ..................................
Wall Street Stock Transfer
Corporation .......................
[Release No. 34–83350; File No. SR–
NYSENAT–2018–09]
Self-Regulatory Organizations; NYSE
National, Inc.; Notice of Filing and
File number
Immediate Effectiveness of Proposed
Rule Change To Establish the NYSE
084–06306 National BBO, NYSE National Trades
084–06171
and NYSE National Integrated Feed
084–06327
Market Data Feeds
084–06440
May 31, 2018.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the
‘‘Act’’) 1 and Rule 19b–4 thereunder,2
084–01911 notice is hereby given that on May 18,
084–06197 2018, NYSE National, Inc. (the
‘‘Exchange’’ or ‘‘NYSE National’’) filed
084–05425 with the Securities and Exchange
084–06274 Commission (the ‘‘Commission’’) the
084–06193 proposed rule change as described in
084–06084
Items I and II below, which Items have
been prepared by the self-regulatory
084–06174
organization. The Commission is
084–06228 publishing this notice to solicit
084–06208 comments on the proposed rule change
from interested persons.
084–06173
084–06204
084–05445
084–01822
084–06113
084–01123
084–01425
084–05831
084–06046
084–06094
084–06257
084–06122
084–06518
084–06268
084–05621
084–06500
084–06360
084–05819
084–06121
084–01300
084–06293
084–05663
084–00012
084–06246
[FR Doc. 2018–12157 Filed 6–5–18; 8:45 am]
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SECURITIES AND EXCHANGE
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I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to establish
the NYSE National BBO (‘‘NYSE
National BBO’’), NYSE National Trades
(‘‘NYSE National Trades’’) and NYSE
National Integrated Feed (‘‘NYSE
National Integrated Feed’’) market data
feeds. The proposed rule change is
available on the Exchange’s website at
www.nyse.com, at the principal office of
the Exchange, and at the Commission’s
Public Reference Room.
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.
1 15
3 Id.
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U.S.C. 78s(b)(1).
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]]>Agencies
[Federal Register Volume 83, Number 109 (Wednesday, June 6, 2018)]
[Notices]
[Pages 26331-26332]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-12157]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-83361]
Order Cancelling Registrations of Certain Transfer Agents
June 1, 2018.
On December 22, 2017, 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
Exchange 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. 34-82342 (Dec. 18,
2017), 82 FR 60778.
FOR FURTHER INFORMATION CONTACT: Moshe Rothman, Assistant Director, or
Catherine Whiting, Special Counsel, at (202) 551-4990, U.S. Securities
and Exchange Commission, Division of Trading and Markets, Room 7321
SP1,
[[Page 26332]]
100 F Street NE, Washington, DC 20549-7010 or by email to
[email protected] with the phrase ``Order Cancelling 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 December 22, 2017, 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 38 such transfer agents
and stated that at any time after January 31, 2018, the Commission
intended to issue an order canceling the registrations of any or all of
the identified transfer agents. One transfer agent contacted the
Commission to object to the cancellation of its registration, stating
that it had not ceased doing business as a transfer agent. The
Commission has decided not to cancel the registration of that transfer
agent. None of the remaining 37 identified transfer agents contacted
the Commission to object to the cancellation of their registrations.
Accordingly, the Commission is cancelling the registrations of the
37 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\
Eduardo A. Aleman,
Assistant Secretary.
---------------------------------------------------------------------------
\4\ 17 CFR 200.30-3(a)(22).
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Appendix
------------------------------------------------------------------------
Transfer agent name File number
------------------------------------------------------------------------
AG Transfer Agency LLC.................................. 084-06306
Allied Stock Transfer, Inc.............................. 084-06171
AlphaMetrix, LLC........................................ 084-06327
Baron Capital Transfer & Registrar LLC.................. 084-06440
Bluechip Equity Inc. DBA Bluechip Trust Company......... 084-06173
Cascade Stock Transfer, Inc............................. 084-06204
Centerline Affordable Housing Advisors LLC.............. 084-01911
Chris Lotito............................................ 084-06197
Clayton Securities Services, Inc........................ 084-05425
Demiurgic, Inc.......................................... 084-06274
Elite Transfer Corp..................................... 084-06193
EnDevCo, Inc............................................ 084-06084
First National Bank of Omaha............................ 084-06174
First National Bank of Sioux Falls...................... 084-06228
Fund Dynamics, LLC...................................... 084-06208
Hiko Bell Mining & Oil Company.......................... 084-05445
Holladay Stock Transfer, Inc............................ 084-01822
Integrity Stock Transfer................................ 084-06113
Intercontinental Registrar & Transfer Agency, Inc....... 084-01123
Investor Data Services.................................. 084-01425
Johnson, Lawrence & Associates.......................... 084-05831
Karrison Compagnie Inc.................................. 084-06046
Life Sciences Research.................................. 084-06094
LM Anderson Securities, LLC............................. 084-06257
Matrix Capital Group Inc................................ 084-06122
Premier Stock Transfer, LLC............................. 084-06518
Progressive Transfer, Inc............................... 084-06268
Quads Trust Company..................................... 084-05621
Repository & Related Services, LLC...................... 084-06500
Signal Stock Transfer, Inc.............................. 084-06360
Standard Transfer & Trust Co., Inc...................... 084-05819
Superior Stock Transfer, Inc............................ 084-06121
Thermal Energy Storage Inc.............................. 084-01300
U.S. Stock Transfer Corp................................ 084-06293
U.S. Trust & Transfer Co................................ 084-05663
Valley Forge Management Corp............................ 084-00012
Wall Street Stock Transfer Corporation.................. 084-06246
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[FR Doc. 2018-12157 Filed 6-5-18; 8:45 am]
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