Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940, 66590 [2020-23178]

Download as PDF 66590 Federal Register / Vol. 85, No. 203 / Tuesday, October 20, 2020 / Notices Week of November 23, 2020—Tentative There are no meetings scheduled for the week of November 23, 2020. CONTACT PERSON FOR MORE INFORMATION: For more information or to verify the status of meetings, contact Denise McGovern at 301–415–0681 or via email at Denise.McGovern@nrc.gov. The schedule for Commission meetings is subject to change on short notice. The NRC Commission Meeting Schedule can be found on the internet at: https://www.nrc.gov/public-involve/ public-meetings/schedule.html. The NRC provides reasonable accommodation to individuals with disabilities where appropriate. If you need a reasonable accommodation to participate in these public meetings or need this meeting notice or the transcript or other information from the public meetings in another format (e.g., braille, large print), please notify Anne Silk, NRC Disability Program Specialist, at 301–287–0745, by videophone at 240–428–3217, or by email at Anne.Silk@nrc.gov. Determinations on requests for reasonable accommodation will be made on a case-by-case basis. Members of the public may request to receive this information electronically. If you would like to be added to the distribution, please contact the Nuclear Regulatory Commission, Office of the Secretary, Washington, DC 20555 (301– 415–1969), or by email at Tyesha.Bush@ nrc.gov or Marcia.Pringle@nrc.gov. The NRC is holding the meetings under the authority of the Government in the Sunshine Act, 5 U.S.C. 552b. Dated: October 16, 2020. For the Nuclear Regulatory Commission. Denise L. McGovern, Policy Coordinator, Office of the Secretary. [FR Doc. 2020–23326 Filed 10–16–20; 4:15 pm] BILLING CODE 7590–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. IA–5612] Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 October 15, 2020. Notice is given that the Securities and Exchange Commission (the ‘‘Commission’’) intends to issue an order, pursuant to Section 203(h) of the Investment Advisers Act of 1940 (the ‘‘Act’’), cancelling the registration of EF Hutton Investments LLC [File No. 801– 108464], hereinafter referred to as the ‘‘registrant.’’ VerDate Sep<11>2014 18:08 Oct 19, 2020 Jkt 253001 Section 203(h) 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 registrant has not filed a Form ADV amendment with the Commission as required by rule 204–1 under the Act and appears to not be engaged in business as an investment adviser.1 Accordingly, the Commission believes that reasonable grounds exist for a finding that the registrant is no longer eligible to be registered with the Commission as an investment adviser and that the registration should be cancelled pursuant to section 203(h) of the Act. Notice is also given that any interested person may, by November 9, 2020, at 5:30 p.m., submit to the Commission in writing a request for a hearing on the cancellation, accompanied by a statement as to the nature of his or her interest, the reason for such request, and the issues, if any, of fact or law proposed to be controverted, and he or she may request that he or she be notified if the Commission should order a hearing thereon. Any such communication should be emailed to the Commission’s Secretary at Secretarys-Office@sec.gov. At any time after November 9, 2020, the Commission may issue an order cancelling the registration, upon the basis of the information stated above, unless an order for a hearing on the cancellation shall be issued upon request or upon the Commission’s own motion. Persons who requested a hearing, or who requested 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). ADDRESSES: The Commission: Secretarys-Office@sec.gov. FOR FURTHER INFORMATION CONTACT: Alexis Palascak, Senior Counsel at 202– 1 Rule 204–1 under the Act requires any adviser that is required to complete Form ADV to amend the form at least annually and to submit the amendments electronically through the Investment Adviser Registration Depository. PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 551–6999; SEC, Division of Investment Management, Investment Adviser Regulation Office, 100 F Street NE, Washington, DC 20549–8549. For the Commission, by the Division of Investment Management, pursuant to delegated authority.2 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2020–23178 Filed 10–19–20; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–90179; File No. SR–CBOE– 2020–074] Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Adopt Position Compression Cross (‘‘PCC’’) Orders for SPX October 14, 2020. I. Introduction On August 19, 2020, Cboe Exchange, Inc. (the ‘‘Exchange’’ or ‘‘Cboe Options’’) 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 adopt Position Compression Cross (‘‘PCC’’) orders for S&P 500 Index (‘‘SPX’’) options. The proposed rule change was published for comment in the Federal Register on September 3, 2020.3 The Commission received four comments in support of the proposed rule change.4 This order approves the proposed rule change. 2 17 CFR 200.30–5(e)(2). U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 See Securities Exchange Act Release No. 89707 (August 28, 2020), 85 FR 55040 (‘‘Notice’’). 4 See Letter to Vanessa Countryman, Secretary, Commission, dated September 17, 2020, from Steve Crutchfield, Head of Market Structure, CTC, LLC, available at https://www.sec.gov/comments/sr-cboe2020-074/srcboe2020074-7794086-223555.pdf; Letter to Vanessa Countryman, Secretary, Commission, dated September 18, 2020, from Joanna Mallers, Secretary, FIA Principal Traders Group, available at https://www.sec.gov/comments/ sr-cboe-2020-074/srcboe2020074-7793926223553.pdf; Letter to Vanessa Countryman, Secretary, Commission, dated September 18, 2020, from Michael Golding, Head of Trading, Optiver US LLC, and Rutger Brinkhuis, Head of Trading, AMS Derivatives B.V., available at https://www.sec.gov/ comments/sr-cboe-2020-074/srcboe20200747793838-223548.pdf; and Comment from Erik Swanson, CEO, Simplex Trading, LLC, dated September 18, 2020, available at https:// www.sec.gov/comments/sr-cboe-2020-074/ srcboe2020074-7793878-223549.htm. 1 15 E:\FR\FM\20OCN1.SGM 20OCN1

Agencies

[Federal Register Volume 85, Number 203 (Tuesday, October 20, 2020)]
[Notices]
[Page 66590]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-23178]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-5612]


Notice of Intention To Cancel Registration Pursuant to Section 
203(h) of the Investment Advisers Act of 1940

October 15, 2020.
    Notice is given that the Securities and Exchange Commission (the 
``Commission'') intends to issue an order, pursuant to Section 203(h) 
of the Investment Advisers Act of 1940 (the ``Act''), cancelling the 
registration of EF Hutton Investments LLC [File No. 801-108464], 
hereinafter referred to as the ``registrant.''
    Section 203(h) 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 registrant has not filed a Form ADV amendment with the 
Commission as required by rule 204-1 under the Act and appears to not 
be engaged in business as an investment adviser.\1\ Accordingly, the 
Commission believes that reasonable grounds exist for a finding that 
the registrant is no longer eligible to be registered with the 
Commission as an investment adviser and that the registration should be 
cancelled pursuant to section 203(h) of the Act.
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    \1\ Rule 204-1 under the Act requires any adviser that is 
required to complete Form ADV to amend the form at least annually 
and to submit the amendments electronically through the Investment 
Adviser Registration Depository.
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    Notice is also given that any interested person may, by November 9, 
2020, at 5:30 p.m., submit to the Commission in writing a request for a 
hearing on the cancellation, accompanied by a statement as to the 
nature of his or her interest, the reason for such request, and the 
issues, if any, of fact or law proposed to be controverted, and he or 
she may request that he or she be notified if the Commission should 
order a hearing thereon. Any such communication should be emailed to 
the Commission's Secretary at [email protected].
    At any time after November 9, 2020, the Commission may issue an 
order cancelling the registration, upon the basis of the information 
stated above, unless an order for a hearing on the cancellation shall 
be issued upon request or upon the Commission's own motion. Persons who 
requested a hearing, or who requested 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).

ADDRESSES: The Commission: [email protected].

FOR FURTHER INFORMATION CONTACT: Alexis Palascak, Senior Counsel at 
202-551-6999; SEC, Division of Investment Management, Investment 
Adviser Regulation Office, 100 F Street NE, Washington, DC 20549-8549.

    For the Commission, by the Division of Investment Management, 
pursuant to delegated authority.\2\
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    \2\ 17 CFR 200.30-5(e)(2).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-23178 Filed 10-19-20; 8:45 am]
BILLING CODE 8011-01-P
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