Investment Advisers Act of 1940, Release No. 4285/December 2, 2015; Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940, 76332-76333 [2015-30838]

Download as PDF 76332 Federal Register / Vol. 80, No. 235 / Tuesday, December 8, 2015 / Notices For the Nuclear Regulatory Commission. Lawrence Burkhart, Chief, Licensing Branch 4, Division of New Reactor Licensing, Office of New Reactors. Management, 1900 E St. NW., Suite 5H35, Washington, DC 20415. Phone (202) 606–0020 FAX (202) 606–6012 or email at sharon.wong@opm.gov. [FR Doc. 2015–30879 Filed 12–7–15; 8:45 am] U.S. Office of Personnel Management. Beth F. Cobert, Acting Director. BILLING CODE 7590–01–P [FR Doc. 2015–30833 Filed 12–7–15; 8:45 am] OFFICE OF PERSONNEL MANAGEMENT BILLING CODE 6820–B2–P Notice of Meeting of the Hispanic Council on Federal Employment SECURITIES AND EXCHANGE COMMISSION U.S. Office of Personnel Management. ACTION: December 10, 2015 Council Meeting. AGENCY: The Hispanic Council on Federal Employment (Council) meeting will be held on Thursday, December 10, 2015 at the location shown below from 1:30 p.m. to 3:00 p.m. The Council is an advisory committee composed of representatives from Hispanic organizations and senior government officials. Along with its other responsibilities, the Council shall advise the Director of the Office of Personnel Management on matters involving the recruitment, hiring, and advancement of Hispanics in the Federal workforce. The Council is cochaired by the Director of the Office of Personnel Management and the Chair of the National Hispanic Leadership Agenda (NHLA). The meeting is open to the public. Please contact the Office of Personnel Management at the address shown below if you wish to present material to the Council at any of the meetings. The manner and time prescribed for presentations may be limited, depending upon the number of parties that express interest in presenting information. SUMMARY: U.S. Office of Personnel Management, 1900 E St. NW., Executive Conference Room, 5th Floor, Washington, DC 20415. FOR FURTHER INFORMATION CONTACT: Sharon Wong, Deputy Director, Policy & Coordination for the Office of Diversity and Inclusion, Office of Personnel ADDRESSES: Investment Advisers Act of 1940, Release No. 4285/December 2, 2015; Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940 Notice is given that the Securities and Exchange Commission (the ‘‘Commission’’) intends to issue an order or orders, pursuant to Section 203(h) of the Investment Advisers Act of 1940 (the ‘‘Act’’), cancelling the registrations of the investment advisers whose names appear in the attached Appendix, hereinafter referred to as the registrants. Section 203(h) of the Act provides, in pertinent part, that if the Commission finds that any person registered under Section 203, or who has pending an application for registration filed under that section, is no longer in existence, is not engaged in business as an investment adviser, or is prohibited from registering as an investment adviser under section 203A, the Commission shall by order, cancel the registration of such person. The registrants listed in the Appendix either have not filed a Form ADV amendment with the Commission as required by rule 204–1 under the Act and appear to be no longer in business as investment advisers, or have indicated on Form ADV that they are no longer eligible to remain registered with the Commission as investment advisers but have not filed Form ADV–W to withdraw their registration. Accordingly, the Commission believes that reasonable grounds exist for a finding that these registrants are no longer in existence, are not engaged in business as investment advisers, or are prohibited from registering as investment advisers under section 203A of the Act, and that their registrations should be cancelled pursuant to section 203(h) of the Act. Notice is also given that any interested person may, by Monday, December 28, 2015, at 5:30 p.m., submit to the Commission in writing a request for a hearing on the cancellation of a registrant, accompanied by a statement as to the nature of the writer’s interest, the reason for such request, and the issues, if any, of fact or law proposed to be controverted, and the writer may request to be notified if the Commission should order a hearing thereon. Any such communication should be addressed: Secretary, Securities and Exchange Commission, Washington, DC 20549. At any time after Monday, December 28, 2015, the Commission may issue an order or orders cancelling the registrations of any or all of the registrants listed in the Appendix, upon the basis of the information stated above, unless an order or orders for a hearing on the cancellation shall be issued upon request or upon the Commission’s own motion. Persons who requested a hearing, or to be advised as to whether a hearing is ordered, will receive any notices and orders issued in this matter, including the date of the hearing (if ordered) and any postponements thereof. Any adviser whose registration is cancelled under delegated authority may appeal that decision directly to the Commission in accordance with rules 430 and 431 of the Commission’s rules of practice (17 CFR 201.430 and 431). For further information contact: Jamie Lynn Walter, Senior Counsel at 202– 551–6999 (Division of Investment Management, Office of Investment Adviser Regulation). For the Commission, by the Division of Investment Management, pursuant to delegated authority.1 Robert W. Errett, Deputy Secretary. Lhorne on DSK9F6TC42PROD with NOTICES APPENDIX 801–72059 ...................................... 801–9488 ........................................ 801–71810 ...................................... 801–69144 ...................................... 801–70781 ...................................... 801–70401 ...................................... 801–70533 ...................................... 801–71189 ...................................... 1 17 SOLOMON HENDRIX & CO. MAURY WADE & COMPANY. BISHOP ASSET MANAGEMENT, LLC. SAFE HAVEN ADVISORS, INC WANGER OMNIWEALTH, LLC. MIDWEST MORTGAGE ANALYTICS. ALPHAMETRIX, LLC. MORGAN FINCH, LLC. CFR 200.30–5(e)(2). VerDate Sep<11>2014 14:17 Dec 07, 2015 Jkt 238001 PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 E:\FR\FM\08DEN1.SGM 08DEN1 Federal Register / Vol. 80, No. 235 / Tuesday, December 8, 2015 / Notices 76333 APPENDIX—Continued 801–77520 ...................................... 801–66662 ...................................... 801–71208 ...................................... 801–69648 ...................................... 801–65517 ...................................... 801–71188 ...................................... 801–72117 ...................................... 801–69898 ...................................... 801–10966 ...................................... 801–77747 ...................................... 801–70916 ...................................... 801–78409 ...................................... 801–78848 ...................................... 801–72000 ...................................... 801–71089 ...................................... 801–71439 ...................................... 801–78049 ...................................... 801–61973 ...................................... 801–77143 ...................................... 801–63963 ...................................... 801–28490 ...................................... 801–76567 ...................................... 801–8984 ........................................ 801–70460 ...................................... 801–77931 ...................................... 801–77496 ...................................... 801–72743 ...................................... 801–62524 ...................................... 801–76636 ...................................... 801–72299 ...................................... ACCESS STRATEGIC ADVISORY GROUP, LLC. ARNOTT CAPITAL PTY LTD. KPDN INC. FUTURE VALUE CONSULTANTS LIMITED. FGS CAPITAL LLP. CENTINELA CAPITAL PARTNERS, LLC. MAP ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC. INSIGHT ONSITE STRATEGIC MANAGEMENT LLC. GARY EUGENE GIBBONS DBA THE COLERIDGE GROUP. NEW SOURCE MEDIA ADVISOR, LLC. CMA ADVISORY GROUP, LLC. CASICO, LLC. RCG PARTNERS. STAMBOULI MANAGEMENT CORP. OPTIMIZE CAPITAL. BATTENKILL CAPITAL MANAGEMENT, INC. EXCALIBUR MANAGEMENT, LLC. MEDITRON ASSET MANAGEMENT, LLC. CAMELOT ACQUISITION SECONDARY OPPORTUNITIES MANAGEMENT, LLC. HARPER ASSOCIATES, LLC. FX CONCEPTS, LLC. CUSTOM FINANCIAL SERVICES, LLC. VALLEY FORGE MANAGEMENT CORP. PAUL–ELLIS INVESTMENT ASSOCIATES. YORKSHIRE CAPITAL MANAGEMENT LLC. WILLIAMS CAPITAL STRATEGIES LLC. NICHOLS CONSULTING. PURCELL ADVISORY SERVICES, LLC. PETROFF INSTITUTIONAL. VASQUEZ & CO. BILLING CODE 8011–01–P solicit comments on the proposed rule change from interested persons. SECURITIES AND EXCHANGE COMMISSION I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change [FR Doc. 2015–30838 Filed 12–7–15; 8:45 am] [Release No. 34–76540; File No. SR– NYSEMKT–2015–97] Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132— Equities To Delete Supplementary Material .40 Requiring Members Effecting Transactions on the Equities Trading Floor to Submit Certain Data Elements and Badge Information and to Make a Conforming Change Lhorne on DSK9F6TC42PROD with NOTICES December 2, 2015. Pursuant to section 19(b)(1) 1 of the Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 notice is hereby given that on November 20, 2015, NYSE MKT LLC (the ‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the selfregulatory organization. The Commission is publishing this notice to 1 15 U.S.C.78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 2 15 VerDate Sep<11>2014 14:17 Dec 07, 2015 Jkt 238001 The Exchange proposes to amend Rule 132—Equities to delete Supplementary Material .40 requiring members effecting transactions on the equities trading Floor (the ‘‘Trading Floor’’) to submit certain data elements and badge information and to make a conforming change. The proposed rule change is available on the Exchange’s Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission’s Public Reference Room. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements. PO 00000 Frm 00074 Fmt 4703 Sfmt 4703 A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend Rule 132—Equities (‘‘Rule 132’’) to delete Supplementary Material .40, which requires members to submit certain data elements and badge information for transactions effected on the Trading Floor and to make a conforming change. Rule 132 requires clearing member organizations submitting a transaction to comparison to include the audit trail data elements set forth in Supplementary Material .30, including a specification of the account type for which the transaction was effected according to defined account categories. Consistent with this requirement, Supplementary Material .40 requires members 4 effecting transactions on the Trading Floor as agent or otherwise to supply these audit trail data elements to their clearing member organization and to promptly provide the reporter in the Crowd (or other designated Exchange representative) with the member’s broker badge number or alpha symbol. The Exchange proposes to delete Rule 132.40 as obsolete. Rule 132.40 was 4 Under Rule 2(a), a member is a natural person associated with a member organization and in the context of Rule 132.40, refers to Floor brokers only. E:\FR\FM\08DEN1.SGM 08DEN1

Agencies

[Federal Register Volume 80, Number 235 (Tuesday, December 8, 2015)]
[Notices]
[Pages 76332-76333]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-30838]


=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION


Investment Advisers Act of 1940, Release No. 4285/December 2, 
2015; Notice of Intention To Cancel Registrations of Certain Investment 
Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 
1940

    Notice is given that the Securities and Exchange Commission (the 
``Commission'') intends to issue an order or orders, pursuant to 
Section 203(h) of the Investment Advisers Act of 1940 (the ``Act''), 
cancelling the registrations of the investment advisers whose names 
appear in the attached Appendix, hereinafter referred to as the 
registrants.
    Section 203(h) of the Act provides, in pertinent part, that if the 
Commission finds that any person registered under Section 203, or who 
has pending an application for registration filed under that section, 
is no longer in existence, is not engaged in business as an investment 
adviser, or is prohibited from registering as an investment adviser 
under section 203A, the Commission shall by order, cancel the 
registration of such person.
    The registrants listed in the Appendix either have not filed a Form 
ADV amendment with the Commission as required by rule 204-1 under the 
Act and appear to be no longer in business as investment advisers, or 
have indicated on Form ADV that they are no longer eligible to remain 
registered with the Commission as investment advisers but have not 
filed Form ADV-W to withdraw their registration. Accordingly, the 
Commission believes that reasonable grounds exist for a finding that 
these registrants are no longer in existence, are not engaged in 
business as investment advisers, or are prohibited from registering as 
investment advisers under section 203A of the Act, and that their 
registrations should be cancelled pursuant to section 203(h) of the 
Act.
    Notice is also given that any interested person may, by Monday, 
December 28, 2015, at 5:30 p.m., submit to the Commission in writing a 
request for a hearing on the cancellation of a registrant, accompanied 
by a statement as to the nature of the writer's interest, the reason 
for such request, and the issues, if any, of fact or law proposed to be 
controverted, and the writer may request to be notified if the 
Commission should order a hearing thereon. Any such communication 
should be addressed: Secretary, Securities and Exchange Commission, 
Washington, DC 20549.
    At any time after Monday, December 28, 2015, the Commission may 
issue an order or orders cancelling the registrations of any or all of 
the registrants listed in the Appendix, upon the basis of the 
information stated above, unless an order or orders for a hearing on 
the cancellation shall be issued upon request or upon the Commission's 
own motion. Persons who requested a hearing, or to be advised as to 
whether a hearing is ordered, will receive any notices and orders 
issued in this matter, including the date of the hearing (if ordered) 
and any postponements thereof. Any adviser whose registration is 
cancelled under delegated authority may appeal that decision directly 
to the Commission in accordance with rules 430 and 431 of the 
Commission's rules of practice (17 CFR 201.430 and 431).
    For further information contact: Jamie Lynn Walter, Senior Counsel 
at 202-551-6999 (Division of Investment Management, Office of 
Investment Adviser Regulation).

    For the Commission, by the Division of Investment Management, 
pursuant to delegated authority.\1\
---------------------------------------------------------------------------

    \1\ 17 CFR 200.30-5(e)(2).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.

                                Appendix
------------------------------------------------------------------------
 
------------------------------------------------------------------------
801-72059.........................  SOLOMON HENDRIX & CO.
801-9488..........................  MAURY WADE & COMPANY.
801-71810.........................  BISHOP ASSET MANAGEMENT, LLC.
801-69144.........................  SAFE HAVEN ADVISORS, INC
801-70781.........................  WANGER OMNIWEALTH, LLC.
801-70401.........................  MIDWEST MORTGAGE ANALYTICS.
801-70533.........................  ALPHAMETRIX, LLC.
801-71189.........................  MORGAN FINCH, LLC.

[[Page 76333]]

 
801-77520.........................  ACCESS STRATEGIC ADVISORY GROUP,
                                     LLC.
801-66662.........................  ARNOTT CAPITAL PTY LTD.
801-71208.........................  KPDN INC.
801-69648.........................  FUTURE VALUE CONSULTANTS LIMITED.
801-65517.........................  FGS CAPITAL LLP.
801-71188.........................  CENTINELA CAPITAL PARTNERS, LLC.
801-72117.........................  MAP ALTERNATIVE ASSET MANAGEMENT
                                     COMPANY, LLC.
801-69898.........................  INSIGHT ONSITE STRATEGIC MANAGEMENT
                                     LLC.
801-10966.........................  GARY EUGENE GIBBONS DBA THE
                                     COLERIDGE GROUP.
801-77747.........................  NEW SOURCE MEDIA ADVISOR, LLC.
801-70916.........................  CMA ADVISORY GROUP, LLC.
801-78409.........................  CASICO, LLC.
801-78848.........................  RCG PARTNERS.
801-72000.........................  STAMBOULI MANAGEMENT CORP.
801-71089.........................  OPTIMIZE CAPITAL.
801-71439.........................  BATTENKILL CAPITAL MANAGEMENT, INC.
801-78049.........................  EXCALIBUR MANAGEMENT, LLC.
801-61973.........................  MEDITRON ASSET MANAGEMENT, LLC.
801-77143.........................  CAMELOT ACQUISITION SECONDARY
                                     OPPORTUNITIES MANAGEMENT, LLC.
801-63963.........................  HARPER ASSOCIATES, LLC.
801-28490.........................  FX CONCEPTS, LLC.
801-76567.........................  CUSTOM FINANCIAL SERVICES, LLC.
801-8984..........................  VALLEY FORGE MANAGEMENT CORP.
801-70460.........................  PAUL-ELLIS INVESTMENT ASSOCIATES.
801-77931.........................  YORKSHIRE CAPITAL MANAGEMENT LLC.
801-77496.........................  WILLIAMS CAPITAL STRATEGIES LLC.
801-72743.........................  NICHOLS CONSULTING.
801-62524.........................  PURCELL ADVISORY SERVICES, LLC.
801-76636.........................  PETROFF INSTITUTIONAL.
801-72299.........................  VASQUEZ & CO.
------------------------------------------------------------------------

[FR Doc. 2015-30838 Filed 12-7-15; 8:45 am]
 BILLING CODE 8011-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.