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Home » 2022 Issues » 87 FR (11/25/2022) » 2022-25665. Order Cancelling Registrations of Certain Transfer Agents

  2022-25665. Order Cancelling Registrations of Certain Transfer Agents  

  • Start Preamble November 18, 2022.

    On September 27, 2022, 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 Info

    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, 100 F Street NE, Washington, DC 20549 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 September 27, 2022, 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 52 such transfer agents and stated that at any time after November 1, 2022, the Commission intended to issue an order canceling the registrations of any or all of the identified transfer agents. The Commission received no responses to the notice.

    Accordingly, the Commission is cancelling the registrations of the 52 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]

    Action as set forth or recommended herein approved pursuant to authority delegated by the Commission under Public Law 87-592.

    Start Signature

    For the Division of Trading and Markets.

    Moshe Rothman,

    Assistant Director.

    End Signature Start Signature

    J. Matthew DeLesDernier,

    Deputy Secretary.

    End Signature

    Appendix

    Transfer agent nameFile No.
    Advanced Fund Administration, LLC084-06396
    Ameritor Financial Corp084-00018
    Andesa Services, Inc084-06233
    Bank Of Commerce & Trust Co084-06235
    Colbent Corp084-05927
    Cronos Capital Corp084-00977
    Donald Rivers Goolsby Whfit084-06560
    Dynamic Transfer Services Corp084-06394
    Fidelity Transfer Services, Inc084-06405
    Financial Data Services Inc084-01339
    First National Bank In Sioux Falls084-06228
    Foresight Asset Management LLC084-06051
    Gartmore Investors Services, Inc084-06229
    Grohe Aktiengesellschaft084-06022
    Gulf Registrar And Transfer Corp084-06136
    Hartford Investor Services Co LLC084-05882
    Interstate Transfer Co084-05573
    M & K Produce Inc084-06183
    National Western Life Insurance Co084-00693
    Orbitex Fund Services Inc084-01493
    Orion Share Transfer LLC084-06295
    Patriot Stock Transfer LLC084-06382
    Portfolios Inc084-05551
    Preferred Partnership Services Inc084-05747
    Presidential Life Corp084-00816
    Pyxis Global Financial Services084-06463
    Republic Stock Transfer Inc084-01124
    Reserve Fund084-00449
    Reserve Management Corp084-05838
    Reserve Petroleum Co084-00630
    Reserve Short-Term Investment Trust084-06156
    Retirement System Consultants Inc084-01972
    SCC Transfer, LLC084-06579
    Seligman Common Stock Fund Inc084-00503
    Seligman Core Fixed Income Fund Inc084-05921
    Seligman High Income Fund Series084-01266
    Seligman New Jersey Municipal Fund Inc084-01686
    Seligman Pennsylvania Municipal Fund Series Inc084-01486
    Seligman Select Municipal Fund Inc084-01896
    Seligman Tax-Aware Fund, Inc084-05894
    Tass LLC084-06115
    The Provo Group, Inc084-05890
    Travelers Rest Resort Inc084-06056
    Truman Stock Transfer LLC084-06320
    Universal Stock Transfer Co., Inc084-06308
    Wall Street Transfer Agents Inc084-06203
    West Coast Stock Transfer, Inc084-06138
    Start Printed Page 72578
    American Heritage Stock Transfer, Inc084-06137
    Dominion Filing And Transfer Inc084-06514
    European Fund Services S.A084-06182
    Pioneer Global Investments Ltd084-05682
    Law Debenture Trust Co Of New York084-06087
    End Further Info End Preamble

    Footnotes

    2.  Securities Exchange Act Release No. 34-95855 (Sept. 21, 2022), 87 FR 58590 (Sept. 27, 2022).

    Back to Citation

    [FR Doc. 2022-25665 Filed 11-23-22; 8:45 am]

    BILLING CODE 8011-01-P

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Document Information

Published:
11/25/2022
Department:
Securities and Exchange Commission
Entry Type:
Notice
Document Number:
2022-25665
Pages:
72577-72578 (2 pages)
Docket Numbers:
Release No. 34-96354
PDF File:
2022-25665.pdf