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Home » 2011 Issues » 76 FR (03/25/2011) » 2011-7100. Order Cancelling Registrations of Certain Transfer Agents

  2011-7100. Order Cancelling Registrations of Certain Transfer Agents  

  • Start Preamble March 21, 2011.

    On November 4, 2010, 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 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: Jerry W. Carpenter, Assistant Director, or David Karasik, Special Counsel, at (202) 551-5710, U.S. Securities and Exchange Commission, Division of Trading and Markets, Room 7321 SP1, 100 F Street, NE., Washington, DC 20549-7010, or by e-mail 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. On November 4, 2010, 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 45 such transfer agents and stated that at any time after December 15, 2010, which was 41 days after the notice was published in the Federal Register, the Commission intended to issue an order canceling the registrations of any or all of the identified transfer agents. Three transfer agents contacted the Commission to object to the cancellation of their registrations stating that they have not ceased doing business as a transfer agent. The Commission has decided not to cancel the registration of these three transfer agents at this time. Two other transfer agents contacted the Commission regarding the cancellation of their registrations but did not object to such cancellation. None of the remaining 40 identified transfer agents contacted the Commission to object to the cancellation of their registrations.

    Accordingly, the Commission is cancelling the registrations of the 42 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 Signature

    For the Commission by the Division of Trading and Markets pursuant to delegated authority.[4]

    Cathy H. Ahn,

    Deputy Secretary.

    End Signature

    Appendix

    Transfer agent nameFile No.
    ADVEST TRANSFER SERVICES, INC.8405855
    AGN ASSOCIATES & STOCK TRANSFER SERVICES, LLC8406255
    AMAZON NATURAL TREASURES.COM, INC8405839
    Beverly National Corporation8505474
    CAPITAL FUND SERVICES, INC.8405909
    Cargill Investor Services, Inc.8405683
    CENTURY REALTY TRUST Co8400082
    CNB Bancorp, Inc.8505383
    Compushare Transfer Corporation8406194
    Endless Investments, LLC8406178
    ELECTROCHEMICAL INDUSTRIES FRUTAROM INC.8400814
    First Choice National Stock Transfer Agency Inc8406154
    FORTUNE FUND ADMINISTRATION, INC.8405672
    Francine Goodman (dba Maximvs Transfer Services)8405926
    GTI Corporate Transfer Agents LLC8406151
    Guarantee Services CORP8406145
    HOLA CORP8406047
    HOWARD JOHNSON & COMPANY8405555
    InCap Fund Administration, Inc.8406124
    International Acquisitions & Holdings, Inc.8406164
    INCORP STOCK TRANSFER INC8406042
    Lapeer County Bank & Trust Co.8505250
    Legends Financial Holding, Inc.8505534
    LIBERTY TRANSFER COMPANY8405474
    MANCHESTER BENEFITS GROUP, LTD8405891
    MANCHESTER EXCHANGE TRUST LIMITED8405810
    McGLADREY & PULLEN, LLP8405806
    Mercantile Bancorp, Inc.8406226
    NICHOLAS VITO PELLETIERE SECURITY WEST STOCK TRANSFER8406090
    NuWave eSolutions Private Limited8406170
    Start Printed Page 16844
    PACIFIC STOCK TRANSFERS INC8406088
    PUBLIC STOCK TRANSFER COMPANY dba/PUBLIC EASE8405866
    Royalty Stock Transfer8406189
    Select American Transfer Co.8406152
    Syntel, Inc.8406142
    TECHNOLOGY FUNDING CAPITAL CORPORATION8405738
    The Commercial Bank8405867
    THE NORTHERN SAVINGS & LOAN COMPANY8405867
    THE NYHART COMPANY, INC.8405722
    TRUSTMARK STOCK & TRANSFER INC8406073
    UAC INC.8400293
    Wulf International, Ltd8406180
    End Preamble

    Footnotes

    2.  Securities Exchange Act Release No. 63211 (Oct. 29, 2010), 75 FR 68012.

    Back to Citation

    [FR Doc. 2011-7100 Filed 3-24-11; 8:45 am]

    BILLING CODE 8011-01-P

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Document Information

Published:
03/25/2011
Department:
Securities and Exchange Commission
Entry Type:
Notice
Document Number:
2011-7100
Pages:
16843-16844 (2 pages)
Docket Numbers:
Release No. 34-64102
EOCitation:
of 2011-03-21
PDF File:
2011-7100.pdf