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EX-99.1 - ROME BANCORP INC | c62359_ex99-1.htm |
EX-99.2 - ROME BANCORP INC | c62359_ex99-2.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Date of report (Date of earliest event reported): July 26, 2010
ROME BANCORP, INC.
(Exact name of registrant as specified in its charter)
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Delaware |
000-27481 |
16-1573070 |
(State or other jurisdiction |
(Commission |
(IRS Employer |
100
West Dominick Street, Rome, New York 13440-5810
(Address of principal executive offices) (Zip Code)
Registrants telephone number, including area code: (315) 336-7300
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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Item 1.01. |
Entry into a Material Definitive Agreement |
On July 26, 2010, The Rome Savings Bank (the Bank) stipulated and consented to a Cease and Desist Order (the Order) issued by the Office of Thrift Supervision (the OTS). The Order became effective on July 26, 2010.
The Order was issued as a result of weaknesses in the Banks Bank Secrecy Act/Anti-Money Laundering (BSA) compliance program identified this year. The Order requires the Bank to cease and desist from violating certain BSA laws and regulations identified in the Order, revise its current BSA compliance program, implement a system of internal controls to ensure compliance with BSA laws and regulations and to take certain other actions identified by the OTS in the Order. The Bank has addressed many of the matters mentioned in the Order and expects to complete all of the actions required to be taken by the deadline dates stated in the Order. The Order will not have a material impact on the financial condition or results of operations of the Bank or Rome Bancorp, Inc.
The description of the Order set forth in this Item 1.01 is qualified in its entirety by reference to the Order, a copy of which is attached as Exhibit 99.1 hereto and is incorporated by reference herein in its entirety.
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Item 9.01. |
Financial Statements and Exhibits. |
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(d) |
The following exhibits are furnished with this report: |
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Exhibit No. |
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Description |
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99.1 |
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Order to Cease and Desist, Order No. NE-10-20, effective July 26, 2010 |
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99.2 |
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Stipulation and Consent to Issuance of Order to Cease and Desist, Order No. NE-10-20, effective July 26, 2010 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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ROME BANCORP, INC. |
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By: |
/s/ Charles M. Sprock |
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Charles M. Sprock |
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Chairman of the Board, President and |
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Chief Executive Officer |
Date: July 30, 2010 |
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EXHIBIT INDEX
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Exhibit No. |
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Description |
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99.1 |
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Order to Cease and Desist, Order No. NE-10-20, effective July 26, 2010. |
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99.2 |
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Stipulation and Consent to Issuance of Order to Cease and Desist, Order No. NE-10-20, effective July 26, 2010 |