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SEC News Digest, 11-22-1991

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SEC News Digest, 11-22-1991 INVESTMENT COMPANY ACT RELEASES PATHFINDER HERITAGE FUNDS A notice has been issued g~v~ng interested persons until December 16 to request a hearing on an application filed by Pathfinder Heritage Funds for an order under Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company. (ReI. IC-184l2 - November 20) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Chicago Board Options Exchange filed with the Commission under Rule 19b-4 a proposed rule change (SR-CBOE-9l-39) which limits to 120 the number of days in which a respondent involved in a disciplinary proceeding may submit offers of settlement to the CBOE's Business Conduct Committee after a statement of charges has been served. The proposal also limits to two the number of offers which may be presented during that l20-day period. Publication of the proposal is expected in the Federal Register during the week of November 25. (Rel. 34-29959) The Chicago Board Options E;:xchange filed with the Commission under Rule 19b-4 a proposed rule change (SR-CBOE-91-4l) which would require each CBOE member to establish, maintain and enforce written policies and procedures reasonably designed to prevent the misuse of material, nonpublic information by such member or persons associated with that member. Publication of the proposal is expected in the Federal Register during the week of November 25. (ReI. 34-29967) The American Stock Ex~hange filed a proposed rule change (SR-Amex-9l-29) with the Commission under Rule 19b-4 to amend Amex Rules 131 and 154, on a permanent basis, to broaden a specialist's ability to represent percentage orders and generally to expand the types of percentage orders allowed to be effected on the Amex. Publication of the proposal is expected in the Federal Register during the week of November 25. (ReI. 34-29969) The MRS Clearing Corporation filed a proposed rule change (SR-MBSCC-90-08) with the Commission under Rule 19b-4 that would revise the current standards by which it decides whether to approve an issuer of a letter of credit used for clearing fund purposes. MBSCC amended this proposal on August 19, 1991. Publication of the proposal is expected in the Federal Register during the week of November 25. (ReI. 34-29973) The National Association of Securities Dealers filed a proposed rule change (SR- NASD-9l-57) with the Commission under Rule 19b-4. The proposal amends the NASD Code of Arbitration Procedure to improve the efficiency of its arbitration process. The proposed rule change is intended to allow for a single arbitrator in simplified cases where a counterclaim exceeds $10,000, unless the parties demand a panel of three arbitrators. In the event that the amount in controversy exceeds $30,000, a panel of three arbitrators would be appointed. Publication of the proposal is expected in the Federal Register during the week of November 25. (ReI. 34-29974) APPROVAL OF PROPOSED RULE CHANGES The Commission has approved a proposed rule change (SR-PSE-9l-l0) submitted by the Pacific Stock Exchange to require PSE market makers, floor brokers, specialists or other member organizations who enter into financial arrangements with any other PSE member to disclose to the Exchange the terms of such arrangements. Publication of the order is expected in the Federal Register during the week of November 25. (ReI. 34-29961) MISCELLANEOUS APPROVAL OF PROPOSED BYLAW CHANGE The Commission issued an order approving a proposed bylaw change filed by the Securities Investor Protection Corporation (SIPC-9l-1) amending its bylaw relating to SIPC Fund assessments on SIPC members. (ReI. SIPA-157) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. S-l BEN FRANKLIN RETAIL STORES INC IDEI, 500 EAST NORTH AVENUE, CAROL STREAM, Il 60188 (708) 462-6100 - 2,300,000 ($11,500,000) COMMON STOCK. 200,000 WARRANTS, OPTIONS OR RIGHTS. 200,000 ($1,100,000) COMMON STOCK. UNDERWRITER: WHALE SECURITIES CO lP. (FilE 33-43749 - NOV. 12) CBR. 7 - NEW ISSUE) 2 NEWS DIGEST, November 22, 1991 REGISTRATIa~s CONTI~ED S-18 MCA FINANCIAL CORP IMII, 560 KlRTS BLVD SUITE 120, TROY, MI 48084 (313) 362-1700 - 7,500,000 ($7,500,000) STRAIGHT BONDS. (FILE 33-43765-C - NOV. 04) (BR. 11 - NE~ ISSUE) S-3 COASTAL CORP, COASTAL TWR, NINE GREENWAY PLZ, HOUSTON, TX 77046 (713) 877-1400 - 300,000,000 ($300,000,000) STRAIGHT BONDS. (FILE 33-43885 - NOV. 14) (BR. 7) SOB COMMONwEALTH OF AUSTRALIA, 1601 MASSACHUSETTS AVE N~, CIO AUSTRALIAN EMBASSY, ~ASH!NGTON, DC 20036 - 300,000,000 ($300,000,000) FOREIGN GOVERNMENT AND AGENCY DEBT. (fl~~ 33-43886 . ~OV. ~4) (BR. 9) S-4 BOATMENS BANCSHARES INC IMO, 800 MARKET ST, 1 BOATMENS PLZ, ST LOUIS, MO 63101 (314) 466-6000 - 3,038,777 ($142,062,825) COMMON STOCK. (FILE 33-43888 - NOV. 14) (BR. 2) S-1 ROYCE LABORATORIES INC /FL/, 16600 N~ 54TH AVE, MIAMI, FL 33014 (305) 624-1500 - 1,150,000 ($6,900,000) COMMON STOCK. 575,000 ($5,750,000) COMMON STOCK. 115,000 ($828,000) COMMON STOCK. 57,500 ($575,000) COMMON STOCK. 1,080,000 ($4,017,600) COMMON STOCK. (FILE 33-43890 - NOV. 13) (BR. 4) S-8 THQ INC, 5000 N PKWY CALABASAS STE 107, CALABASAS, CA 91302 (818) 591-1310 - 600,000 ($2,563,650) COMMON STOCK. (FILE 33-43909 - NOV. 13) (BR. 11) S-3 BALLARD MEDICAL PRODUCTS, 6864 S 300 ~, MIDVALE, UT 84047 (801) 566-4693 - 22,500 ($855,000) COMMON STOCK. (FILE 33-43910 - NOV. 14) (BR. 8) S-8 SEAGATE TECHNOLOGY INC, 920 DISC DR, SCOTTS VALLEY, CA 95066 (408) 438-6550 - 7,000,000 ($61,250,000) COMMON STOCK. (FILE 33-43911 - NOV. 14) (BR. 9) S-3 MANVILLE CORP, 717 17TH ST, DENVER, CO 80202 (303) 978-2000 - 602,981 ($4,787,669.14) COMMON STOCK. (FILE 33-43912 - NOV. 15) (BR. 9) S-8 NANOMETRICS INC, 690 E ARQUES AVE, SUNNYVALE, CA 94086 (408) 746-1600 - 1,500,000 ($960,000) COMMON STOCK. 300,000 ($192,000) COMMON STOCK. (FILE 33-43913 - NOV. 14) (BR. 8) S-8 CIRRUS LOGIC INC, 3100 ~ WARREN AVE, FREMONT, CA 94538 (415) 623-8300 - 600,000 ($10,800,000) COMMON STOCK. 200,000 ($3,600,000) COMMON STOCK. 124,000 ($2,232,000) COMMON STOCK. 260,180 ($4,683,240) COMMON STOCK. (FILE 33-43914 - NOV. 14) (BR. 9) S-1 ROBERN APPAREL INC, 350 FIFTH AVE STE 1318, NE~ YORK, NY 10118 (212) 563-7040 - 519,661 ($1,494,025) COMMON STOCK. 14,000 ($40,250) COMMON STOCK. 100,000 ~ARRANTS, OPTIONS OR RIGHTS. 100,000 ($300,000) COMMON STOCK. (FILE 33-43915 - NOV. 15) (BR. 4) S-8 VENTURE STORES INC, 2001 E TERRA LANE, 0 FALLON, MO 63366 (314) 281-5500 - 800,000 ($11,466,025.01) COMMON STOCK. (FILE 33-43916 - NOV. 15) (BR. 1) S-8 MOMENTUM DISTRIBUTION INC, 1900 KOLL CENTER BELLEVUE, 500-108TH AVE NE STE 1900, BELLEVUE, ~A 98004 (206) 646-6550 - 75,000 ($937,500) COMMON STOCK. (FILE 33-43920 - NOV. 12) (BR. 13) S-3 TRANSAMERICA CORP, 600 MONTGOMERY ST, SAN FRANCISCO, CA 94111 (415) 983-4000 - 1,000,000 ($200,000,000) PREFERRED STOCK. (FILE 33-43921 - NOV. 13) (BR. 13) S-8 DIGITAL EQUIPMENT CORP, 146 MAIN ST, MAYNARD, MA 01754 (617) 897-5111 - 8,000,000 (S472,480,000) COMMON STOCK. (FILE 33-43922 - NOV. 13) (BR. 13) S-8 DIGITAL EQUIPMENT CORP, 146 MAIN ST, MAYNARD, MA 01754 (617) 897-5111 - 3,500,000 ($206,710,000) COMMON STOCK. (FILE 33-43923 - NOV. 13) (BR. 13) NEWS DIGEST. November 22. 1991 3 REGISTRATIONS CONTINUED S-8 IMCERA GROUP INC, 2315 SANDERS RD, NORTHBROOK, IL 60062 (708) 564-8600 - 6,000,000 ($254,750,000) COMMON STOCK. (FILE 33-43925 - NOV. 14) (BR. 13) F-6 BRITISH TELECOMMUNICATIONS PLC /ADR, 30 W BROADWAY, C/O MORGAN GUARANTY TRUST CO OF NY, NEW YORK, NY 10015 (212) 483-3000 - 100,000,000 ($5,000,000) DEPOSITARY RECEIPTS FOR COMMON STOCK_ (FILE 33-43950 - NOV. 13) (BR. 0) S-l NORTHBROOK LIFE INSURANCE CO, 3100 SANDERS RD, NORTHBROOK, IL 60062 (708) 402-5766 - $250,000,000 VARIABLE ANNUITY ISSUES. (FILE 33-43965 - NOV. 13) (BR. 20) N-2 VAN KAMPEN ~RRITT MUNICIPAL TRUST, ONE PARKVIEW PLZ, OAKBRO<>K TERRACE, IL 60181 (800) 225-2222 - 6,000 ($300,000,000) PREFERRED STOCK. (FILE 33-43970 - NOV. 14) (BR. 18) N-2 VAN KAMPEN MERRITT FLORIDA QUALITY MUNICIPAL TRUST, ONE PARKVIEW PLZ, OAKBROOK TERRACE, IL 60181 (800) 225-2222 - 1,000 ($50,000,000) PREFERRED STOCK. (FILE 33-43971 - NOV. 14) (BR. 18) N-2 VAN KAMPEN MERRITT PENNSYLVANIA QUALITY MUNICIPAL TRUST, ONE PARKVIEW PLZ, OAKBRO<>K TERRACE, IL 60181 (800) 225-2222 - 1,300 ($65,000,000) PREFERRED STOCK. (FILE 33-43972 - NOV. 14) (BR. 18) N-2 VAN KAMPEN MERRITT CALIFORNIA QUALITY MUNICIPAL TRUST, ONE PARKVIEW PLZ, OAKBROOK TERRACE, IL 60181 (800) 225-2222 - 1,500 ($75,000,000) PREFERRED STOCK. (FILE 33-43973 - NOV. 14) (BR. 18) N-2 VAN KAMPEN MERRITT NEW YORK QUALITY MUNICIPAL TRUST, ONE PARKVIEW PLZ, OAKBROOK TERRACE, IL 60181 (800) 225-2222 - 900 ($45,000,000) PREFERRED STOCK.
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