? Need to return call by / at/ between and . Signature: Project No.: 0<IP_ADDRESS> DISTRIBUTION Page __ 1_ of _ 1_

Project Name: 2004/ 05 304( m) Plan TELEPHONE CALL RECORD Outgoing Call Date: November 13, 2003 Time: 11: 30 AM Company Name: Norit Americas, Inc., P. O. Box 790, Marshall, TX. 75611 Contact Name: Curtis Miles Phone No.: ( 903) 935 4757 Name: Bob Southworth Eastern Research Group, Inc.

GENERAL SUBJECT : SIC Code for Norit Americas TOPICS DISCUSSED AND ACTION TAKEN On November 13, 2003, I spoke with Curtis Miles of Norit Americas, Inc. concerning the SIC code for the Norit Americas, Inc. facility. Mr. Miles said that even though phosphoric acid is used in one of their processes, the SIC Code for the facility is 2819 because Norit Americas produces inorganic chemicals.


[Federal Register: April 12, 2010 (Volume 75, Number 69)]
[Notices]
[Page 18523]
[DOCID:fr12ap10-88]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-1880-DR; Docket ID FEMA-2010-0002]

Iowa; Amendment No. 1 to Notice of a Major Disaster Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster declaration
for the State of Iowa (FEMA-1880-DR), dated March 2, 2010, and related
determinations.

DATES: Effective Date: March 25, 2010.

FOR FURTHER INFORMATION CONTACT: Peggy Miller, Recovery Directorate,
Federal Emergency Management Agency, 500 C Street, SW., Washington, DC
20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration
for the State of Iowa is hereby amended to include the following areas
among those areas determined to have been adversely affected by the
event declared a major disaster by the President in his declaration of
March 2, 2010.

    Adams, Boone, Buena Vista, Cherokee, Clay, Dallas, Emmet,
Greene, Hardin, Ida, Monona, Palo Alto, Pocahontas, Story, and Union
Counties for Public Assistance.

The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050 Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance (Presidentially Declared
Disasters); 97.039, Hazard Mitigation Grant.

W. Craig Fugate,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2010-8293 Filed 4-9-10; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register: June 15, 2009 (Volume 74, Number 113)]
[Notices]
[Page 28291-28293]
[DOCID:fr15jn09-137]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IC-28764; File No. 812-13662]

Banc of America Securities LLC, et al.; Notice of Application and
Temporary Order

June 9, 2009.
AGENCY: Securities and Exchange Commission.

ACTION: Temporary order and notice of application for a permanent order
under section 9(c) of the Investment Company Act of 1940 (``Act'').

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SUMMARY: Summary of Application: Applicants have received a temporary
order exempting them from section 9(a) of the Act, with respect to an
injunction entered against Banc of America Securities LLC (``BAS'') and
Banc of America Investment Services, Inc. (``BAI'') on June 9, 2009 by
the United States District Court for the Southern District of New York
(``Injunction'') until the Commission takes final action on an
application for a permanent order. Applicants also have applied for a
permanent order.

Applicants: BAS, BAI, Columbia Management Advisors, LLC (``CMA''),
Columbia Wanger Asset Management, LP (``CWAM''), Columbia Management
Distributors, Inc. (``CMDI''), Banc of America Investment Advisors,
Inc. (``BAIA''), Bank of America Capital Advisors LLC (``BACA''), U.S.
Trust Hedge Fund Management, Inc. (``USTHFM''), Merrill Lynch, Pierce,
Fenner & Smith, Incorporated (``MLPFS''), IQ Investment Advisors LLC
(``IQ''), Roszel Advisors, LLC (``Roszel''), Nuveen Asset Management
(``NAM''), Nuveen Investments Advisers Inc. (``NIA''), Nuveen
Investments Institutional Services Group, LLC (``ISG''), Nuveen
HydePark Group, LLC (``Nuveen HydePark''), NWQ Investment Management
Company LLC (``NWQ''), Nuveen Investment Solutions, Inc. (``NIS''),
Santa Barbara Asset Management, LLC (``Santa Barbara''), Symphony Asset
Management LLC (``Symphony''), Tradewinds Global Investors, LLC
(``Tradewinds'') and Winslow Capital Management, Inc. (``Winslow'',
together with NAM, NIA, ISG, Nuveen HydePark, NWQ, NIS,

Santa Barbara, Symphony and Tradewinds, the ``Nuveen Advisers''),
Nuveen Investments, LLC (``Nuveen Investments''), KECALP Inc.
(``KECALP'') and Merrill Lynch Ventures, LLC (``Ventures'')
(collectively, ``Applicants'').\1\
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    \1\ Applicants request that any relief granted pursuant to the
application also apply to any other company of which BAS or BAI is
or may become an affiliated person (together with the Applicants,
the ``Covered Persons'').

DATES: Filing Date: The application was filed on June 3, 2009.
Applicants have agreed to file an amendment during the notice period,
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the substance of which is reflected in this notice.

Hearing or Notification of Hearing: An order granting the application
will be issued unless the Commission orders a hearing. Interested
persons may request a hearing by writing to the Commission's Secretary
and serving applicants with a copy of the request, personally or by
mail. Hearing requests should be received by the Commission by 5:30
p.m. on July 6, 2009, and should be accompanied by proof of service on
applicants, in the form of an affidavit or, for lawyers, a certificate
of service. Hearing requests should state the nature of the writer's
interest, the reason for the request, and the issues contested. Persons
who wish to be notified of a hearing may request notification by
writing to the Commission's Secretary.

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F
Street, NE., Washington, DC 20549-1090; Applicants: BAS, One Bryant
Park, New York, NY 10036; BAI, CMA, BAIA, BACA, 100 Federal Street,
Boston, MA 02110; CWAM, 227 West Monroe Street, Suite 3000, Chicago, IL
60606; CMDI, One Financial Center, Boston, MA 02110; USTHFM, 225 High
Ridge Road, West Building, Stamford, CT 06905; MLPFS, IQ, KECALP,
Ventures, North Tower, 4 World Financial Center, New York, NY 10080;
Roszel, 1700 Merrill Lynch Drive, Pennington, NJ 08534; and the Nuveen
Advisers and Nuveen Investments, 333 West Wacker Drive, Chicago, IL
60606.

FOR FURTHER INFORMATION CONTACT: Emerson S. Davis, Senior Counsel, at
202-551-6868, or Julia Kim Gilmer, Branch Chief, at<PHONE_NUMBER>
(Division of Investment Management, Office of Investment Company
Regulation).

SUPPLEMENTARY INFORMATION: The following is a temporary order and a
summary of the application. The complete application may be obtained
via the Commission's Web site by searching for the file number, or an
applicant using the Company name box, at http://www.sec.gov/search/
search.htm or by calling<PHONE_NUMBER>.

Applicants' Representations

    1. BAS, an indirect wholly owned subsidiary of Bank of America
Corporation (``BAC''), is a full service U.S. investment bank and
brokerage firm that provides a wide range of investment banking, and
financial advisory services to corporate, institutional and individual
clients. BAS is registered as an investment adviser under the
Investment Advisers Act of 1940 (``Advisers Act'') and is registered as
a broker-dealer under the Securities Exchange Act of 1934 (``Exchange
Act''). BAI is a wholly owned subsidiary of Bank of America, N.A. and
also an indirect subsidiary of BAC. BAI is registered as an investment
adviser under the Advisers Act and is registered as a broker-dealer
under the Exchange Act. While BAS and BAI do not currently serve, and
no existing company of which BAS or BAI is an affiliated person (other
than the Applicants) currently serves, as investment adviser, depositor
or principal underwriter for a registered investment company (``RIC''),
or principal underwriter for any registered open-end investment
company, registered investment trust (``UIT'') or face amount
certificate company or employees' securities companies (``ESC'', and
together with RICs, the ``Funds,'' and such services, the ``Fund
Servicing Activities''), each may do so in the future. CMA, CWAM, BAIA,
BACA, USTHFM, IQ, Roszel, the Nuveen Advisers and KECALP are registered
as investment advisers under the Advisers Act and provide investment
advisory or subadvisory services to Funds. Ventures provides investment
advisory services to an ESC. CMDI, MLPFS and Nuveen Investments are
registered as broker-dealers under the Exchange Act and serve as
principal underwriters for certain Funds. Nuveen Investments also
serves as depositor to certain UITs.
    2. On June 9, 2009, the United States District Court for the
Southern District of New York entered a judgment, which included the
Injunction, against BAS and BAI (``Judgment'') in a matter brought by
the Commission.\2\ The Commission alleged in the complaint
(``Complaint'') that BAS and BAI violated section 15(c) of the Exchange
Act in connection with the marketing and sale of auction rate
securities (``ARS''). The Complaint alleged that BAS and BAI misled
customers regarding the fundamental nature and increasing risk
associated with ARS that they underwrote, marketed and sold. Without
admitting or denying any of the allegations in the Complaint, except as
to jurisdiction, BAS and BAI consented to the entry of the Judgment
that included, among other things, the entry of the Injunction and
certain undertakings to take various remedial actions for the benefit
of purchasers of certain ARS.
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    \2\ Securities and Exchange Commission v. Banc of America
Securities LLC and Banc of America Investment Services, Inc.,
Judgment against Banc of America Securities LLC and Banc of America
Investment Services, Inc., 09 CIV 5170 (S.D.N.Y., entered June 9,
2009).
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Applicants' Legal Analysis

    1. Section 9(a)(2) of the Act, in relevant part, prohibits a person
who has been enjoined from engaging in or continuing any conduct or
practice in connection with the purchase or sale of a security, or in
connection with activities as an underwriter, broker or dealer, from
acting, among other things, as an investment adviser or depositor of
any registered investment company or a principal underwriter for any
registered open-end investment company, registered unit investment
trust, or registered face-amount certificate company. Section 9(a)(3)
of the Act makes the prohibition in section 9(a)(2) applicable to a
company, any affiliated person of which has been disqualified under the
provisions of section 9(a)(2). Section 2(a)(3) of the Act defines
``affiliated person'' to include, among others, any person directly or
indirectly controlling, controlled by, or under common control, with
the other person. Applicants state that BAS and BAI are or may be
considered affiliated persons of each of the other Applicants within
the meaning of section 2(a)(3). Applicants state that, as a result of
the Injunction, they would be subject to the prohibitions of section
9(a).
    2. Section 9(c) of the Act provides that the Commission shall grant
an application for exemption from the disqualification provisions of
section 9(a) of the Act if it is established that these provisions, as
applied to Applicants, are unduly or disproportionately severe or that
the conduct of the Applicants has been such as not to make it against
the public interest or the protection of investors to grant the
exemption. Applicants have filed an application pursuant to section
9(c) seeking a temporary and permanent order exempting the Applicants
and the other Covered Persons from the disqualification provisions of
section 9(a).

    3. Applicants believe they meet the standards for exemption
specified in section 9(c). Applicants state that the prohibitions of
section 9(a) as applied to them would be unduly and disproportionately
severe and that the conduct of Applicants has been such as not to make
it against the public interest or the protection of investors to grant
the requested exemption from section 9(a).
    4. Applicants state that the conduct alleged in the Complaint did
not involve any of the Applicants acting in their capacity as
investment adviser, sub-adviser, depositor or principal underwriter for
any of the Funds. Applicants also state that to the best of their
knowledge, none of the current directors and officers of the Applicants
(other than BAS and BAI) or their employees that engage in Fund
Servicing Activities (or any other persons in such roles during the
time period covered by the Complaint) participated in the conduct
alleged in the Complaint to have constituted the violations that
provide a basis for the Injunction. Applicants further state that any
personnel at BAS and BAI who participated in the conduct alleged in the
Complaint to have constituted the violations that provide a basis for
the Injunction have had no, and will not have any future involvement in
the Applicants' Fund Servicing Activities.
    5. Applicants state that the inability of the Applicants to engage
in Fund Servicing Activities would result in potentially severe
financial hardships for the Funds they serve and the Funds'
shareholders or unitholders. Applicants state that they will distribute
written materials, including an offer to meet in person to discuss the
materials, to the boards of directors of the Funds (the ``Boards''),
including the directors who are not ``interested persons,'' as defined
in section 2(a)(19) of the Act, of the Funds and their independent
legal counsel as defined in rule 0-1(a)(6) under the Act, if any,
regarding the Injunction, any impact on the Funds, and the application.
Applicants state that they will provide the Boards with all information
concerning the Injunction and the application that is necessary for the
Funds to fulfill their disclosure and other obligations under the
Federal securities laws.
    6. Applicants also state that, if they were barred from providing
Fund Servicing Activities to the Funds, the effect on their businesses
and employees would be severe. Applicants state that they have
committed substantial capital and resources to establishing an
expertise in providing Fund Servicing Activities. Applicants further
state that prohibiting them from providing Fund Servicing Activities
would not only adversely affect their businesses (except for BAI and
BAS) but would also adversely affect their employees who are involved
in Fund Servicing Activities. Applicants also state that disqualifying
KECALP and Ventures from continuing to provide investment advisory
services to ESCs is not in the public interest or in furtherance of the
protection of investors and would frustrate the expectations of
eligible employees who invest in ESCs. Applicants state that it would
not be consistent with the purposes of the ESC provisions of the Act to
require another entity not affiliated with Merrill Lynch & Co., Inc.,
or BAC to manage the ESCs.
    7. Applicants state that several Applicants and certain of their
affiliates have previously received orders under section 9(c), as
described in greater detail in the application.

Applicants' Condition

    Applicants agree that any order granting the requested relief will
be subject to the following condition:
    Any temporary exemption granted pursuant to the application shall
be without prejudice to, and shall not limit the Commission's rights in
any manner with respect to, any Commission investigation of, or
administrative proceedings involving or against, Covered Persons,
including without limitation, the consideration by the Commission of a
permanent exemption from section 9(a) of the Act requested pursuant to
the application or the revocation or removal of any temporary
exemptions granted under the Act in connection with the application.

Temporary Order

    The Commission has considered the matter and finds that the
Applicants have made the necessary showing to justify granting a
temporary exemption.
    Accordingly,
    It is hereby ordered, pursuant to section 9(c) of the Act, that
Applicants and any other Covered Persons are granted a temporary
exemption from the provisions of section 9(a), solely with respect to
the Injunction, subject to the condition in the application, from June
9, 2009, until the Commission takes final action on their application
for a permanent order.

    By the Commission.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-14006 Filed 6-12-09; 8:45 am]

BILLING CODE 8010-01-P