Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisors Act of 1940, 4716-4718 [2018-01948]
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Federal Register / Vol. 83, No. 22 / Thursday, February 1, 2018 / Notices
the protection of investors or the public
interest; (ii) impose any significant
burden on competition; and (iii) become
operative for 30 days from the date on
which it was filed, or such shorter time
as the Commission may designate, it has
become effective pursuant to Section
19(b)(3)(A) of the Act 7 and Rule 19b–
4(f)(6) thereunder.8
A proposed rule change filed
pursuant to Rule 19b–4(f)(6) under the
Act 9 normally does not become
operative for 30 days after the date of its
filing. However, Rule 19b–4(f)(6)(iii) 10
permits the Commission to designate a
shorter time if such action is consistent
with the protection of investors and the
public interest. The Exchange has asked
the Commission to waive the 30-day
operative delay so that the proposal may
become operative immediately upon
filing. As noted above, NYSE Arca, Inc.
has already adopted a substantively
identical change to its rules.11
According to the Exchange, the
proposed rule change will put the
Exchange on an equal competitive
footing with respect to sub-penny
quoting and order entry for Managed
Fund Shares priced less than $1.00. The
Commission believes that waiving the
30-day operative delay is consistent
with the protection of investors and the
public interest. Therefore, the
Commission hereby waives the 30-day
operative delay and designates the
proposal operative upon filing.12
At any time within 60 days of the
filing of the proposed rule change, the
Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act. If the
Commission takes such action, the
Commission shall institute proceedings
to determine whether the proposed rule
change should be approved or
disapproved.
7 15
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(6). As required under Rule
19b–4(f)(6)(iii), the Exchange provided the
Commission with written notice of its intent to file
the proposed rule change, along with a brief
description and the text of the proposed rule
change, at least five business days prior to the date
of filing of the proposed rule change, or such
shorter time as designated by the Commission.
9 17 CFR 240.19b–4(f)(6).
10 17 CFR 240.19b–4(f)(6)(iii).
11 See supra note 3 and accompanying text.
12 For purposes only of waiving the 30-day
operative delay, the Commission has also
considered the proposed rule’s impact on
efficiency, competition, and capital formation. See
15 U.S.C. 78c(f).
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IV. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
NASDAQ–2018–006 on the subject line.
[FR Doc. 2018–01950 Filed 1–31–18; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Investment Advisers Act Release No. 4849]
Notice of Intention To Cancel
Registrations of Certain Investment
Advisers Pursuant to Section 203(h) of
the Investment Advisors Act of 1940
January 26, 2018.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
All submissions should refer to File
Number SR–NASDAQ–2018–006. This
file number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
internet website (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549 on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the
filing also will be available for
inspection and copying at the principal
office of the Exchange. All comments
received will be posted without change.
Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly. All
submissions should refer to File
Number SR–NASDAQ–2018–006 and
should be submitted on or before
February 22, 2018.
PO 00000
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.13
Robert W. Errett,
Deputy Secretary.
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.
Each registrant listed in the attached
Appendix either (a) has not filed a Form
ADV amendment with the Commission
as required by rule 204–1 under the Act
and appears to be no longer in business
as an investment adviser or (b) has
indicated on Form ADV that it is no
longer eligible to remain registered with
the Commission as an investment
adviser but has not filed Form ADV–W
to withdraw its 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, 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 February 26,
2018, at 5:30 p.m., submit to the
Commission in writing a request for a
hearing on the cancellation of the
13 17
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CFR 200.30–3(a)(12).
01FEN1
Federal Register / Vol. 83, No. 22 / Thursday, February 1, 2018 / Notices
registration of any registrant listed in
the attached Appendix, accompanied by
a statement as to the nature of such
person’s interest, the reason for such
person’s 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 to the SEC’s Secretary at the
address below.
At any time after February 26, 2018,
the Commission may issue an order or
orders cancelling the registrations of any
or all of the registrants listed in the
attached 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 registrant 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).
The Commission: Secretary,
U.S. Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
FOR FURTHER INFORMATION CONTACT:
Matthew Cook, Attorney Adviser, at
202–551–6999; SEC, Division of
Investment Management, Office of
Investment Adviser Regulation, 100 F
Street NE, Washington, DC 20549–8549.
ADDRESSES:
For the Commission, by the Division of
Investment Management, pursuant to
delegated authority.1
Robert W. Errett,
Deputy Secretary.
Appendix
SEC No.
sradovich on DSK3GMQ082PROD with NOTICES
801–29339
801–31049
801–34345
801–55033
801–55695
801–57335
801–60497
801–60501
801–62656
801–62767
801–64854
801–65392
801–65693
801–65699
801–67444
801–68936
801–69479
Full legal name
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
................................................................................................................
801–69850 ................................................................................................................
801–70243 ................................................................................................................
801–71630 ................................................................................................................
801–71642 ................................................................................................................
801–72439 ................................................................................................................
801–72722 ................................................................................................................
801–72802 ................................................................................................................
801–74225 ................................................................................................................
801–77991 ................................................................................................................
801–78030 ................................................................................................................
801–78054 ................................................................................................................
801–78063 ................................................................................................................
801–78432 ................................................................................................................
801–78707 ................................................................................................................
801–78912 ................................................................................................................
801–79102 ................................................................................................................
801–79138 ................................................................................................................
801–79241 ................................................................................................................
801–79574 ................................................................................................................
801–79639 ................................................................................................................
801–80111 ................................................................................................................
801–80121 ................................................................................................................
801–80126 ................................................................................................................
801–80237 ................................................................................................................
801–80333 ................................................................................................................
801–80532 ................................................................................................................
801–80773 ................................................................................................................
801–80849 ................................................................................................................
801–80870 ................................................................................................................
801–96231 ................................................................................................................
801–96242 ................................................................................................................
801–100366 ..............................................................................................................
801–106665 ..............................................................................................................
801–106838 ..............................................................................................................
1 17
SUMMIT WEALTH MANAGEMENT.
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED.
HUBER JOAN MACMONNIES.
FFR ADVISORY LLC.
HARTLAND ASSET MANAGEMENT CORP.
PAN GEO INVESTMENT INC.
GREENWICH ASSET MANAGEMENT GROUP, LLC.
UA, LLC.
PREMIERSOURCE LLC.
STUX CAPITAL MANAGEMENT, LLC.
CORESTATES CAPITAL ADVISORS, LLC.
MCCONNELL ASSET MANAGEMENT LLC.
TITAN CAPITAL GROUP III, LP.
BINJAI HILL ASSET MANAGEMENT PTE LTD.
CAMLIN ASSET MANAGEMENT, INC.
WPN CORP.
SUMMIT ASSET STRATEGIES WEALTH MANAGEMENT,
LLC.
ABLE ALPHA TRADING, LTD.
LIGHTSTONE CAPITAL ADVISERS, LLC.
HEXAM CAPITAL PARTNERS, LLP.
LWA FUND ADVISORS, LLC.
EMERGING MANAGERS GROUP, L.P.
IGENERATIONS PRIVATE WEALTH MANAGEMENT.
401HARMONY LLC.
NOGALES INVESTORS MANAGEMENT, LLC.
PRAESTO INVESTMENT ADVISORS INC.
VIRGINIA FINANCIAL INNOVATION CORP.
ATF EXCHANGE, LLC.
VIASOURCE FUNDING GROUP, LLC.
HANMARU ASSET MANAGEMENT LLC.
FINAPORT AMERICAS INVESTMENT ADVISERS, LLC.
STERLING MARKETS LLC.
SOUTHERN UTAH WEALTH NAVIGATION, LLC.
TAM PORTFOLIOS, LLC.
RCG CAPITAL MANAGEMENT, LLC.
FRANCES, DOVI DOV.
MERRIMAN ASSET MANAGEMENT, INC.
GINKGO CAPITAL LIMITED.
DBA APEX CAPITAL.
GLOBAL SELECT ADVISORS LTD.
ONEWALL ADVISORS UK LLP.
NIGHTHAWK CAPITAL LIMITED.
AVIV ASSET MANAGEMENT, LLC.
D. L. WATSON & COMPANY, INC.
HIGHTOWER FINANCIAL SOLUTIONS LLC.
JUTLAND CAPITAL MANAGEMENT LTD.
FFI ADVISORS LLC.
PRO WEALTH ADVISORS LLC.
PEERAGE NOBLE LLC.
QUANTUMSHARES, LLC.
FUNDAMENTAL CORPORATE CREDIT US LLC.
CFR 200.30–5(e)(2).
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Federal Register / Vol. 83, No. 22 / Thursday, February 1, 2018 / Notices
SEC No.
801–106839
801–107261
801–108797
801–110135
..............................................................................................................
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[FR Doc. 2018–01948 Filed 1–31–18; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–82593; File No. SR–
NYSEArca–2017–140]
Self-Regulatory Organizations; NYSE
Arca, Inc.; Order Approving a
Proposed Rule Change To List and
Trade Shares of the Perth Mint
Physical Gold ETF Trust Pursuant to
NYSE Arca Rule 8.201–E
January 26, 2018.
I. Introduction
On December 11, 2017, NYSE Arca,
Inc. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed
with the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’) 1 and Rule
19b–4 thereunder,2 a proposed rule
change to list and trade shares
(‘‘Shares’’) of the Perth Mint Physical
Gold ETF Trust (‘‘Trust’’) under NYSE
Arca Equities Rule 8.201–E. The
proposed rule change was published for
comment in the Federal Register on
December 28, 2017.3 The Commission
has not received any comments on the
proposed rule change. This order
approves the proposed rule change.
II. The Description of the Proposed
Rule Change 4
The Exchange proposes to list and
trade the Shares under NYSE Arca
Equities Rule 8.201–E,5 which governs
the listing and trading of CommodityBased Trust Shares on the Exchange.6
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No. 82372
(Dec. 21, 2017), 82 FR 61601 (‘‘Notice’’).
4 A more detailed description of the Trust and the
Shares, as well as investment risks, Share creation
procedures for authorized participants, Share
redemption procedures for authorized participants
and certain beneficial owners, NAV calculation,
availability of information and fees, among other
things, is included in the Registration Statement,
infra note 5.
5 On August 30, 2017, the Trust submitted to the
Commission its draft registration statement on Form
S–1 (‘‘Registration Statement’’) under the Securities
Act of 1933 (15 U.S.C. 77a).
6 A ‘‘Commodity-Based Trust Share’’ is a security
(a) that is issued by a trust that holds a specified
commodity deposited with the trust; (b) that is
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2 17
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Full legal name
19:34 Jan 31, 2018
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FUNDAMENTAL MANAGERS LLC.
GRAHAM WEALTH ADVISORS, LLC.
BETASMARTZ ADVISORY LLC.
VEST TECHNOLOGIES, INC.
The Shares will represent units of
fractional undivided beneficial interest
in and ownership of the Trust. The
Trust’s primary objective will be to
provide investors with an opportunity
to invest in gold through the Shares,
have the gold securely stored by Gold
Corporation and, if requested by an
investor, deliver Physical Gold 7 to such
investor in exchange for its Shares.8
The sponsors of the Trust will be Gold
Corporation (‘‘Custodial Sponsor’’) and
Exchange Traded Concepts, LLC (‘‘ETC’’
or the ‘‘Administrative Sponsor’’ and,
together with the Custodial Sponsor, the
‘‘Sponsors’’) 9 and Gold Corporation will
also serve as custodian of the Trust’s
gold bullion (in such capacity,
‘‘Custodian’’).10
issued by such trust in a specified aggregate
minimum number in return for a deposit of a
quantity of the underlying commodity; and (c) that,
when aggregated in the same specified minimum
number, may be redeemed at a holder’s request by
such trust which will deliver to the redeeming
holder the quantity of the underlying commodity.
See NYSE Arca Equities Rule 8.201(c)(1).
7 ‘‘Physical Gold’’ is defined as London Bars and
all gold products without numismatic value and
having a gold purity of at least 99.5% (including
coins, cast bars and minted bars).
8 According to the Registration Statement, the
Trust does not trade in gold futures contracts on
COMEX or on any other futures exchange. Because
the Trust does not trade in gold futures contracts
on any futures exchange, the Trust is not regulated
by the CFTC under the Commodity Exchange Act
as a ‘‘commodity pool,’’ and is not operated by a
CFTC-regulated commodity pool operator. Investors
in the Trust do not receive the regulatory
protections afforded to investors in regulated
commodity pools, nor may COMEX or any futures
exchange enforce its rules with respect to the
Trust’s activities. In addition, investors in the Trust
do not benefit from the protections afforded to
investors in gold futures contracts on regulated
futures exchanges.
9 Gold Corporation, doing business as the Perth
Mint, is a Western Australian Government owned
statutory body corporate established by the Gold
Corporation Act 1987 (Western Australia). ETC is
an Oklahoma limited liability company majority
owned by Cottonwood ETF Holdings LLC. ETC is
a registered investment adviser and provides
investment advisory services to domestic and
international equity and fixed income ETFs.
10 As Custodian of the Trust’s gold bullion, Gold
Corporation will be responsible for the safekeeping
of the Trust’s gold and supplying inventory
information to the Trustee and the Sponsors. The
Custodian will also be responsible for facilitating
the transfer of gold in and out of the Trust and
facilitating the shipment of Physical Gold to
Delivery any beneficial owner (who is not an
authorized participant) who wishes to surrender
Shares in exchange for Physical Gold.
PO 00000
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III. Discussion and Commission
Findings
After careful review, the Commission
finds that the Exchange’s proposed rule
change to list and trade the Shares is
consistent with the Act and the rules
and regulations thereunder applicable to
a national securities exchange.11 In
particular, the Commission finds that
the proposal is consistent with Section
11A(a)(1)(C)(iii) of the Act,12 which sets
forth Congress’ finding that it is in the
public interest and appropriate for the
protection of investors and the
maintenance of fair and orderly markets
to assure the availability to brokers,
dealers, and investors of information
with respect to quotations for and
transactions in securities. The last-sale
price for the Shares will be
disseminated over the Consolidated
Tape. There is a considerable amount of
information about gold and gold
markets available on public websites
and through professional and
subscription services. Investors may
obtain gold pricing information on a 24hour basis based on the spot price for an
ounce of gold from various financial
information service providers.13
Additionally, the Commission finds
that the proposed rule change is
consistent with Section 6(b)(5) of the
Exchange Act,14 which requires, among
other things, that the Exchange’s rules
be designed to prevent fraudulent and
manipulative acts and practices,
promote just and equitable principles of
trade, to remove impediments to and
11 In approving this proposed rule change, the
Commission has considered the proposed rule’s
impact on efficiency, competition, and capital
formation. See 15 U.S.C. 78c(f).
12 15 U.S.C. 78k–1(a)(1)(C)(iii).
13 The Exchange states that Reuters and
Bloomberg, for example, provide at no charge on
their websites delayed information regarding the
spot price of Gold and last sale prices of gold
futures, as well as information about news and
developments in the gold market. Reuters and
Bloomberg also offer a professional service to
subscribers for a fee that provides information on
gold prices directly from market participants.
Complete real-time data for gold futures and
options prices traded on the COMEX are available
by subscription from Reuters and Bloomberg. There
are a variety of other public websites providing
information on gold, ranging from those
specializing in precious metals to sites maintained
by major newspapers. In addition, the LBMA Gold
Price is publicly available at no charge at
www.lbma.org.uk. See Notice, supra note 3, 82 FR
at 61605.
14 15 U.S.C. 78f(b)(5).
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]]>Agencies
[Federal Register Volume 83, Number 22 (Thursday, February 1, 2018)]
[Notices]
[Pages 4716-4718]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-01948]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Investment Advisers Act Release No. 4849]
Notice of Intention To Cancel Registrations of Certain Investment
Advisers Pursuant to Section 203(h) of the Investment Advisors Act of
1940
January 26, 2018.
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.
Each registrant listed in the attached Appendix either (a) has not
filed a Form ADV amendment with the Commission as required by rule 204-
1 under the Act and appears to be no longer in business as an
investment adviser or (b) has indicated on Form ADV that it is no
longer eligible to remain registered with the Commission as an
investment adviser but has not filed Form ADV-W to withdraw its
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,
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 February
26, 2018, at 5:30 p.m., submit to the Commission in writing a request
for a hearing on the cancellation of the
[[Page 4717]]
registration of any registrant listed in the attached Appendix,
accompanied by a statement as to the nature of such person's interest,
the reason for such person's 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 to the SEC's Secretary at the address
below.
At any time after February 26, 2018, the Commission may issue an
order or orders cancelling the registrations of any or all of the
registrants listed in the attached 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 registrant 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).
ADDRESSES: The Commission: Secretary, U.S. Securities and Exchange
Commission, 100 F Street NE, Washington, DC 20549-1090.
FOR FURTHER INFORMATION CONTACT: Matthew Cook, Attorney Adviser, at
202-551-6999; SEC, Division of Investment Management, Office of
Investment Adviser Regulation, 100 F Street NE, Washington, DC 20549-
8549.
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
----------------------------------------------------------------------------------------------------------------
SEC No. Full legal name
----------------------------------------------------------------------------------------------------------------
801-29339........................ SUMMIT WEALTH MANAGEMENT.
801-31049........................ MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED.
801-34345........................ HUBER JOAN MACMONNIES.
801-55033........................ FFR ADVISORY LLC.
801-55695........................ HARTLAND ASSET MANAGEMENT CORP.
801-57335........................ PAN GEO INVESTMENT INC.
801-60497........................ GREENWICH ASSET MANAGEMENT GROUP, LLC.
801-60501........................ UA, LLC.
801-62656........................ PREMIERSOURCE LLC.
801-62767........................ STUX CAPITAL MANAGEMENT, LLC.
801-64854........................ CORESTATES CAPITAL ADVISORS, LLC.
801-65392........................ MCCONNELL ASSET MANAGEMENT LLC.
801-65693........................ TITAN CAPITAL GROUP III, LP.
801-65699........................ BINJAI HILL ASSET MANAGEMENT PTE LTD.
801-67444........................ CAMLIN ASSET MANAGEMENT, INC.
801-68936........................ WPN CORP.
801-69479........................ SUMMIT ASSET STRATEGIES WEALTH MANAGEMENT, LLC.
801-69850........................ ABLE ALPHA TRADING, LTD.
801-70243........................ LIGHTSTONE CAPITAL ADVISERS, LLC.
801-71630........................ HEXAM CAPITAL PARTNERS, LLP.
801-71642........................ LWA FUND ADVISORS, LLC.
801-72439........................ EMERGING MANAGERS GROUP, L.P.
801-72722........................ IGENERATIONS PRIVATE WEALTH MANAGEMENT.
801-72802........................ 401HARMONY LLC.
801-74225........................ NOGALES INVESTORS MANAGEMENT, LLC.
801-77991........................ PRAESTO INVESTMENT ADVISORS INC.
801-78030........................ VIRGINIA FINANCIAL INNOVATION CORP.
801-78054........................ ATF EXCHANGE, LLC.
801-78063........................ VIASOURCE FUNDING GROUP, LLC.
801-78432........................ HANMARU ASSET MANAGEMENT LLC.
801-78707........................ FINAPORT AMERICAS INVESTMENT ADVISERS, LLC.
801-78912........................ STERLING MARKETS LLC.
801-79102........................ SOUTHERN UTAH WEALTH NAVIGATION, LLC.
801-79138........................ TAM PORTFOLIOS, LLC.
801-79241........................ RCG CAPITAL MANAGEMENT, LLC.
801-79574........................ FRANCES, DOVI DOV.
801-79639........................ MERRIMAN ASSET MANAGEMENT, INC.
801-80111........................ GINKGO CAPITAL LIMITED.
801-80121........................ DBA APEX CAPITAL.
801-80126........................ GLOBAL SELECT ADVISORS LTD.
801-80237........................ ONEWALL ADVISORS UK LLP.
801-80333........................ NIGHTHAWK CAPITAL LIMITED.
801-80532........................ AVIV ASSET MANAGEMENT, LLC.
801-80773........................ D. L. WATSON & COMPANY, INC.
801-80849........................ HIGHTOWER FINANCIAL SOLUTIONS LLC.
801-80870........................ JUTLAND CAPITAL MANAGEMENT LTD.
801-96231........................ FFI ADVISORS LLC.
801-96242........................ PRO WEALTH ADVISORS LLC.
801-100366....................... PEERAGE NOBLE LLC.
801-106665....................... QUANTUMSHARES, LLC.
801-106838....................... FUNDAMENTAL CORPORATE CREDIT US LLC.
[[Page 4718]]
801-106839....................... FUNDAMENTAL MANAGERS LLC.
801-107261....................... GRAHAM WEALTH ADVISORS, LLC.
801-108797....................... BETASMARTZ ADVISORY LLC.
801-110135....................... VEST TECHNOLOGIES, INC.
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[FR Doc. 2018-01948 Filed 1-31-18; 8:45 am]
BILLING CODE 8011-01-P
