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Start Preamble
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.
Start Further InfoFOR 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, Start Printed Page 26332100 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.
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]
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.
Start SignatureFor the Commission by the Division of Trading and Markets pursuant to delegated authority.4
Eduardo A. Aleman,
Assistant Secretary.
Appendix
End Further Info End PreambleTransfer 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 Footnotes
2. Securities Exchange Act Release No. 34-82342 (Dec. 18, 2017), 82 FR 60778.
Back to Citation3. Id.
Back to Citation[FR Doc. 2018-12157 Filed 6-5-18; 8:45 am]
BILLING CODE P
Document Information
- Published:
- 06/06/2018
- Department:
- Securities and Exchange Commission
- Entry Type:
- Notice
- Document Number:
- 2018-12157
- Pages:
- 26331-26332 (2 pages)
- Docket Numbers:
- Release No. 34-83361
- EOCitation:
- of 2018-06-01
- PDF File:
- 2018-12157.Pdf