UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF RESIGNATION 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: 001-13654 --------- LIBERTY FINANCIAL COMPANIES, INC. ------------------------------------------------------------ (Exact name of registrant as specified in its charter) 600 ATLANTIC AVENUE, MASSACHUSETTS 02210-2214 ------------------------------------------------------------ (Address, including zip code, and telephone number, including area code, of registrant `s principal executive office) COMMON STOCK, $.01 PAR VALUE ------------------------------------------------------------ (Title of each class of securities covered by this Form) NONE ------------------------------------------------------------ (Title 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)(i) [X] Rule 12h-3(b)(1)(ii) [ ] Rule 12g-4(a)(1)(ii) [ ] Rule 12h-3(b)(2)(i) [ ] Rule 12g-4(a)(2)(i) [ ] Rule 12h-3(b)(2)(ii) [ ] Rule 12g-4(a)(2)(ii) [ ] Rule 15d-6 [ ] Rule 12h-3(b)(1)(i) [X] Approximate number of holders of record as of the certification or notice date: 1 - ------ Pursuant to the requirements of the Securities Exchange Act of 1934, Liberty Financial Companies, Inc. has duly caused this certification/notice to be signed on its behalf by the undersigned duly authorized person. LIBERTY FINANCIAL COMPANIES, INC. By: DEXTER R. LEGG ---------------------------- Name: Dexter R. Legg Title: Vice President Date: December 13, 2001