Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940, 71707-71708 [2020-24938]
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Federal Register / Vol. 85, No. 218 / Tuesday, November 10, 2020 / Notices
believes that the proposed rule change
is equitable and not unfairly
discriminatory because the fee waiver
will continue to apply in the same
uniform manner for the same
transactions, both electronically and in
open outcry,11 for all TPHs that submit
compression orders to the Exchange.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
Exchange does not believe that the
proposed rule change will impose any
burden on intramarket or intermarket
competition that is not necessary or
appropriate in furtherance of the
purposes of the Act.
The Exchange does not believe that
the proposed rule change will impose
any burden on intramarket competition
that is not necessary or appropriate in
furtherance of the purposes of the Act
because the compression transaction fee
waiver will apply to all TPHs that
submit compression orders to the
Exchange, as it does today and will to
compression orders executed
electronically and in open outcry. The
Exchange does not believe that the
proposed rule change will impose any
burden on intermarket competition that
is not necessary or appropriate in
furtherance of the purposes of the Act
because the transaction fee waiver will
continue to apply to compression orders
available only for Exchange proprietary
products, SPX/SPXW.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
The Exchange neither solicited nor
received comments on the proposed
rule change.
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III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
The foregoing rule change has become
effective pursuant to Section 19(b)(3)(A)
of the Act 12 and paragraph (f) of Rule
19b–4 13 thereunder. 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 will institute proceedings
to determine whether the proposed rule
11 See
supra note 7.
U.S.C. 78s(b)(3)(A).
13 17 CFR 240.19b–4(f).
12 15
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17:21 Nov 09, 2020
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change should be approved or
disapproved.
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:
71707
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.14
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–24883 Filed 11–9–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Electronic Comments
[Release No. IA–5622]
• 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–
CBOE–2020–107 on the subject line.
Notice of Intention To Cancel
Registration Pursuant to the
Investment Advisers Act of 1940
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–CBOE–2020–107. 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–CBOE–2020–107 and
should be submitted on or before
December 1, 2020.
PO 00000
Frm 00105
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November 5, 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
Ann T. Coffey Wealth Management LLC
[File No. 801–77092], hereinafter
referred to as the ‘‘registrant.’’
Section 203(h) of the Act provides, in
pertinent part, that if the Commission
finds that any person registered under
section 203 of the Act, 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 of the Act,
the Commission shall by order, cancel
the registration of such person.
The registrant indicated on its most
recent Form ADV annual amendment
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.1 Furthermore, the registrant
has not filed a Form ADV amendment
annually with the Commission as
required by rule 204–1 under the Act;
therefore, it appears that the registrant is
not in existence or otherwise not
engaged in business as an investment
adviser.2 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.
14 17
CFR 200.30–3(a)(12).
registrant filed its most recent Form ADV
annual amendment on March 27, 2018.
2 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.
1 The
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71708
Federal Register / Vol. 85, No. 218 / Tuesday, November 10, 2020 / Notices
Notice is also given that any
interested person may, by November 30,
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 30, 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).
The Commission:
Secretarys-Office@sec.gov.
ADDRESSES:
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.3
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–24938 Filed 11–9–20; 8:45 am]
jbell on DSKJLSW7X2PROD with NOTICES
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–90331; File No. SR–
NASDAQ–2020–057]
Self-Regulatory Organizations; The
Nasdaq Stock Market LLC; Notice of
Designation of a Longer Period for
Commission Action on a Proposed
Rule Change, To Allow Companies To
List in Connection With a Direct Listing
With a Primary Offering in Which the
Company Will Sell Shares Itself in the
Opening Auction on the First Day of
Trading on Nasdaq and To Explain
How the Opening Transaction for Such
a Listing Will Be Effected
On September 4, 2020, The Nasdaq
Stock Market LLC (‘‘Nasdaq’’ 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
allow companies to list in connection
with a direct listing with a primary
offering in which the company will sell
shares itself in the opening auction in
the first day of trading on Nasdaq and
to explain how the opening transaction
for such a listing will be effected. The
proposed rule change was published for
comment in the Federal Register on
September 21, 2020.3
Section 19(b)(2) of the Act 4 provides
that within 45 days of the publication of
notice of the filing of a proposed rule
change, or within such longer period up
to 90 days as the Commission may
designate if it finds such longer period
to be appropriate and publishes its
reasons for so finding, or as to which the
self-regulatory organization consents,
the Commission shall either approve the
proposed rule change, disapprove the
proposed rule change, or institute
proceedings to determine whether the
proposed rule change should be
disapproved. The 45th day after
publication of the notice for this
proposed rule change is November 5,
2020. The Commission is extending this
45-day time period.
The Commission finds it appropriate
to designate a longer period within
which to take action on the proposed
rule change so that it has sufficient time
to consider the proposed rule change
U.S.C.78s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No. 89878
(September 15, 2020), 85 FR 59349 (September 21,
2020). Comments received on the proposed rule
change available at: https://www.sec.gov/comments/
sr-nasdaq-2020-057/srnasdaq2020057.htm.
4 15 U.S.C. 78s(b)(2).
2 17
CFR 200.30–5(e)(2).
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17:21 Nov 09, 2020
Jkt 253001
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.6
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–24882 Filed 11–9–20; 8:45 am]
BILLING CODE 8011–01–P
November 4, 2020.
1 15
3 17
and the comments received.
Accordingly, the Commission, pursuant
to Section 19(b)(2) of the Act,5
designates December 20, 2020 as the
date by which the Commission shall
either approve or disapprove, or
institute proceedings to determine
whether to disapprove, the proposed
rule change (File No. SR–NASDAQ–
2020–057).
PO 00000
Frm 00106
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SMALL BUSINESS ADMINISTRATION
[Disaster Declaration #16694 and #16695;
NEW YORK Disaster Number NY–00198]
Presidential Declaration Amendment of
a Major Disaster for Public Assistance
Only for the State of New York
U.S. Small Business
Administration.
ACTION: Amendment 1.
AGENCY:
This is an amendment of the
Presidential declaration of a major
disaster for Public Assistance Only for
the State of NEW YORK (FEMA–4567–
DR), dated 10/02/2020.
Incident: Tropical Storm Isaias.
Incident Period: 08/04/2020.
DATES: Issued on 11/03/2020.
Physical Loan Application Deadline
Date: 12/01/2020.
Economic Injury (EIDL) Loan
Application Deadline Date: 07/02/2021.
ADDRESSES: Submit completed loan
applications to: U.S. Small Business
Administration, Processing and
Disbursement Center, 14925 Kingsport
Road, Fort Worth, TX 76155.
FOR FURTHER INFORMATION CONTACT: A.
Escobar, Office of Disaster Assistance,
U.S. Small Business Administration,
409 3rd Street SW, Suite 6050,
Washington, DC 20416, (202) 205–6734.
SUPPLEMENTARY INFORMATION: The notice
of the President’s major disaster
declaration for Private Non-Profit
organizations in the State of NEW
YORK, dated 10/02/2020, is hereby
amended to include the following areas
as adversely affected by the disaster.
Primary Counties: Putnam, Queens,
Richmond, Rockland, Westchester.
All other information in the original
declaration remains unchanged.
SUMMARY:
5 Id.
6 17
CFR 200.30–3(a)(31).
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]]>Agencies
[Federal Register Volume 85, Number 218 (Tuesday, November 10, 2020)]
[Notices]
[Pages 71707-71708]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-24938]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. IA-5622]
Notice of Intention To Cancel Registration Pursuant to the
Investment Advisers Act of 1940
November 5, 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 Ann T. Coffey Wealth Management LLC [File No. 801-
77092], hereinafter referred to as the ``registrant.''
Section 203(h) of the Act provides, in pertinent part, that if the
Commission finds that any person registered under section 203 of the
Act, 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 of the Act, the Commission shall
by order, cancel the registration of such person.
The registrant indicated on its most recent Form ADV annual
amendment 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.\1\ Furthermore, the registrant has not filed
a Form ADV amendment annually with the Commission as required by rule
204-1 under the Act; therefore, it appears that the registrant is not
in existence or otherwise not engaged in business as an investment
adviser.\2\ 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.
---------------------------------------------------------------------------
\1\ The registrant filed its most recent Form ADV annual
amendment on March 27, 2018.
\2\ 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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[[Page 71708]]
Notice is also given that any interested person may, by November
30, 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 30, 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.\3\
---------------------------------------------------------------------------
\3\ 17 CFR 200.30-5(e)(2).
---------------------------------------------------------------------------
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-24938 Filed 11-9-20; 8:45 am]
BILLING CODE 8011-01-P
