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Start Preamble
December 18, 2017.
Notice is hereby given that the Securities and Exchange Commission (“Commission”) intends to issue an order, pursuant to Section 17A(c)(4)(B) of the Securities Exchange Act of 1934 (“Act”),[1] cancelling the registrations of the transfer agents whose names appear in the attached Appendix.
Start Further InfoFOR FURTHER INFORMATION CONTACT:
Christian Sabella, Associate Director, or Catherine Whiting, Senior Counsel, at (202) 551-4990, U.S. Securities and Exchange Commission, Division of Trading and Markets, 100 F Street NE, Washington, DC 20549-7010 or by email at tradingandmarkets@sec.gov with the phrase “Notice of Intention to Cancel 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.
Although the Commission has made efforts to locate and to determine the status of each of the transfer agents listed in the Appendix, based on the facts it has, the Commission believes that each of those transfer agents is no longer in existence or has ceased doing business as a transfer agent. Accordingly, at any time after January 31, 2018, the Commission intends to issue an order cancelling the registrations of the transfer agents listed in the Appendix.
The representative of any transfer agent listed in the Appendix who believes the registration of the transfer agent should not be cancelled must notify the Commission in writing or by email prior to January 31, 2018. Written notifications may be mailed to Office of Clearance and Settlement, Division of Trading and Markets, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20459-7010. Email notifications may be sent to tradingandmarkets@sec.gov with the phrase “Notice of Intention to Cancel Transfer Agent Registration” in the subject line.
Start SignatureFor the Commission by the Division of Trading and Markets, pursuant to delegated authority.2
Brent J. Fields,
Secretary.
APPENDIX
End Further Info End PreambleTA 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 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 Securities Registrar & Transfer Corp 084-00582 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
[FR Doc. 2017-27566 Filed 12-21-17; 8:45 am]
BILLING CODE 8011-01-P
Document Information
- Published:
- 12/22/2017
- Department:
- Securities and Exchange Commission
- Entry Type:
- Notice
- Document Number:
- 2017-27566
- Pages:
- 60778-60778 (1 pages)
- Docket Numbers:
- Release No. 34-82342
- EOCitation:
- of 2017-12-18
- PDF File:
- 2017-27566.pdf