87 FR 226 pgs. 72577-72578 - Order Cancelling Registrations of Certain Transfer Agents
Type: NOTICEVolume: 87Number: 226Pages: 72577 - 72578
Pages: 72577, 72578Docket number: [Release No. 34-96354]
FR document: [FR Doc. 2022-25665 Filed 11-23-22; 8:45 am]
Agency: Securities and Exchange Commission
Official PDF Version: PDF Version
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-96354]
Order Cancelling Registrations of Certain Transfer Agents
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.
Footnotes:
1 ?15 U.S.C. 78q-1(c)(4)(B).
2 ?Securities Exchange Act Release No. 34-95855 (Sept. 21, 2022), 87 FR 58590 (Sept. 27, 2022).
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
Footnotes:
3 ? Id.
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
Footnotes:
4 ?17 CFR 200.30-3(a)(22).
Action as set forth or recommended herein approved pursuant to authority delegated by the Commission under Public Law 87-592.
For the Division of Trading and Markets.
Moshe Rothman,
Assistant Director.
J. Matthew DeLesDernier,
Deputy Secretary.
Appendix
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| Transfer agent name | File No. |
|---|---|
| Advanced Fund Administration, LLC | 084-06396 |
| Ameritor Financial Corp | 084-00018 |
| Andesa Services, Inc | 084-06233 |
| Bank Of Commerce & Trust Co | 084-06235 |
| Colbent Corp | 084-05927 |
| Cronos Capital Corp | 084-00977 |
| Donald Rivers Goolsby Whfit | 084-06560 |
| Dynamic Transfer Services Corp | 084-06394 |
| Fidelity Transfer Services, Inc | 084-06405 |
| Financial Data Services Inc | 084-01339 |
| First National Bank In Sioux Falls | 084-06228 |
| Foresight Asset Management LLC | 084-06051 |
| Gartmore Investors Services, Inc | 084-06229 |
| Grohe Aktiengesellschaft | 084-06022 |
| Gulf Registrar And Transfer Corp | 084-06136 |
| Hartford Investor Services Co LLC | 084-05882 |
| Interstate Transfer Co | 084-05573 |
| M & K Produce Inc | 084-06183 |
| National Western Life Insurance Co | 084-00693 |
| Orbitex Fund Services Inc | 084-01493 |
| Orion Share Transfer LLC | 084-06295 |
| Patriot Stock Transfer LLC | 084-06382 |
| Portfolios Inc | 084-05551 |
| Preferred Partnership Services Inc | 084-05747 |
| Presidential Life Corp | 084-00816 |
| Pyxis Global Financial Services | 084-06463 |
| Republic Stock Transfer Inc | 084-01124 |
| Reserve Fund | 084-00449 |
| Reserve Management Corp | 084-05838 |
| Reserve Petroleum Co | 084-00630 |
| Reserve Short-Term Investment Trust | 084-06156 |
| Retirement System Consultants Inc | 084-01972 |
| SCC Transfer, LLC | 084-06579 |
| Seligman Common Stock Fund Inc | 084-00503 |
| Seligman Core Fixed Income Fund Inc | 084-05921 |
| Seligman High Income Fund Series | 084-01266 |
| Seligman New Jersey Municipal Fund Inc | 084-01686 |
| Seligman Pennsylvania Municipal Fund Series Inc | 084-01486 |
| Seligman Select Municipal Fund Inc | 084-01896 |
| Seligman Tax-Aware Fund, Inc | 084-05894 |
| Tass LLC | 084-06115 |
| The Provo Group, Inc | 084-05890 |
| Travelers Rest Resort Inc | 084-06056 |
| Truman Stock Transfer LLC | 084-06320 |
| Universal Stock Transfer Co., Inc | 084-06308 |
| Wall Street Transfer Agents Inc | 084-06203 |
| West Coast Stock Transfer, Inc | 084-06138 |
| American Heritage Stock Transfer, Inc | 084-06137 |
| Dominion Filing And Transfer Inc | 084-06514 |
| European Fund Services S.A | 084-06182 |
| Pioneer Global Investments Ltd | 084-05682 |
| Law Debenture Trust Co Of New York | 084-06087 |
[FR Doc. 2022-25665 Filed 11-23-22; 8:45 am]
BILLING CODE 8011-01-P