2018-12157. Order Cancelling Registrations of Certain Transfer Agents  

  • 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 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, 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 Signature

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

    Eduardo A. Aleman,

    Assistant Secretary.

    End Signature

    Appendix

    Transfer agent nameFile number
    AG Transfer Agency LLC084-06306
    Allied Stock Transfer, Inc.084-06171
    AlphaMetrix, LLC084-06327
    Baron Capital Transfer & Registrar LLC084-06440
    Bluechip Equity Inc. DBA Bluechip Trust Company084-06173
    Cascade Stock Transfer, Inc.084-06204
    Centerline Affordable Housing Advisors LLC084-01911
    Chris Lotito084-06197
    Clayton Securities Services, Inc.084-05425
    Demiurgic, Inc.084-06274
    Elite Transfer Corp084-06193
    EnDevCo, Inc.084-06084
    First National Bank of Omaha084-06174
    First National Bank of Sioux Falls084-06228
    Fund Dynamics, LLC084-06208
    Hiko Bell Mining & Oil Company084-05445
    Holladay Stock Transfer, Inc.084-01822
    Integrity Stock Transfer084-06113
    Intercontinental Registrar & Transfer Agency, Inc.084-01123
    Investor Data Services084-01425
    Johnson, Lawrence & Associates084-05831
    Karrison Compagnie Inc.084-06046
    Life Sciences Research084-06094
    LM Anderson Securities, LLC084-06257
    Matrix Capital Group Inc.084-06122
    Premier Stock Transfer, LLC084-06518
    Progressive Transfer, Inc.084-06268
    Quads Trust Company084-05621
    Repository & Related Services, LLC084-06500
    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 Corp084-00012
    Wall Street Stock Transfer Corporation084-06246
    End Further Info End Preamble

    Footnotes

    1.  15 U.S.C. 78q-1(c)(4)(B).

    Back to Citation

    2.  Securities Exchange Act Release No. 34-82342 (Dec. 18, 2017), 82 FR 60778.

    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
EntryType:
Notice
Document Number:
2018-12157
Pages:
26331-26332 (2 pages)
Docket Numbers:
Release No. 34-83361
E.O. Citation:
of 6/1/2018
SectionNoes:
PDF File:
2018-12157.pdf