0000947871-12-000046.txt : 20120123 0000947871-12-000046.hdr.sgml : 20120123 20120123154146 ACCESSION NUMBER: 0000947871-12-000046 CONFORMED SUBMISSION TYPE: 15-15D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120123 DATE AS OF CHANGE: 20120123 EFFECTIVENESS DATE: 20120123 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MERRILL LYNCH, PIERCE, FENNER & SMITH INC. CENTRAL INDEX KEY: 0000728612 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 15-15D SEC ACT: 1934 Act SEC FILE NUMBER: 333-89355 FILM NUMBER: 12539265 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 212-670-2756 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 FORMER COMPANY: FORMER CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC DATE OF NAME CHANGE: 19920929 15-15D 1 ss136168_1515d-biotech.htm FORM 15
 
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM 15
 
CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934.
 
 
 Commission File Number:   333-89355
   
Merrill Lynch, Pierce, Fenner & Smith Incorporated
(Exact name of registrant as specified in its charter)
 
One Bryant Park, New York, NY 10036   (212) 449-1000
(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)
 
Biotech HOLDRS (SM) Trust receipts
(Title of each class of securities covered by this Form)
 
 
(Titles of all other classes of securities for which a duty to file reports under section 13(a) or 15(d) remains)
 
Please place an X in the box(es) to designate the appropriate rule provision(s) relied upon to terminate or suspend the duty to file reports:
    
Rule 12g-4(a)(1)
x
Rule 12g-4(a)(2)
¨
Rule 12h-3(b)(1)(i)
o
Rule 12h-3(b)(1)(ii)
¨
Rule 15d-6
x

Approximate number of holders of record as of the certification or notice date:   100
 
Pursuant to the requirements of the Securities Exchange Act of 1934, Merrill Lynch, Pierce, Fenner & Smith Incorporated has caused this certification/notice to be signed on its behalf by the undersigned duly authorized person.
  
             
Date:   January 23, 2012   By: 
/s/ Liam B. O’Neil
  
      Name:  Liam B. O’Neil  
             
     
Instruction: This form is required by Rules 12g-4, 12h-3 and 15d-6 of the General Rules and Regulations under the Securities Exchange Act of 1934. The registrant shall file with the Commission three copies of Form 15, one of which shall be manually signed.  It may be signed by an officer of the registrant, by counsel or by any other duly authorized person.  The name and title of the person signing the form shall be typed or printed under the signature.
 
 
 
SEC2069(02-08)
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