Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940, 11569-11570 [2021-03896]

Download as PDF Federal Register / Vol. 86, No. 36 / Thursday, February 25, 2021 / Notices impact, or impose any burden, on competition not necessary or appropriate in furtherance of the purposes of the Act. The amendments are being adopted to update and clarify the delivery specifications in Part BB of the Delivery Procedures in connection with Containerised White Sugar contracts, and will not otherwise affect the contract. ICE Clear Europe does not expect that the proposed changes will adversely affect access to clearing or the ability of Clearing Members, their customers or other market participants to continue to clear contracts. ICE Clear Europe also does not believe the amendments would materially affect the cost of clearing or otherwise impact competition among Clearing Members or other market participants or limit market participants’ choices for selecting clearing services. Accordingly, ICE Clear Europe does not believe the amendments would impose any burden on competition not necessary or appropriate in furtherance of the purpose of the Act. (C) Clearing Agency’s Statement on Comments on the Proposed Rule Change Received from Members, Participants or Others Written comments relating to the proposed rule changes have not been solicited or received by ICE Clear Europe. ICE Clear Europe will notify the Commission of any written comments received with respect to the proposed amendments. 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 and paragraph (f) of Rule 19b–4 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. 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 VerDate Sep<11>2014 17:04 Feb 24, 2021 Jkt 253001 • Send an email to rule-comments@ sec.gov. Please include File Number SR– ICEEU–2021–005 on the subject line. 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–ICEEU–2021–005. 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 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 such filings will also be available for inspection and copying at the principal office of ICE Clear Europe and on ICE Clear Europe’s website at https://www.theice.com/clear-europe/ regulation. 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–ICEEU– 2021–005 and should be submitted on or before March 18, 2021. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.11 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–03850 Filed 2–24–21; 8:45 am] BILLING CODE 8011–01–P 11 17 PO 00000 CFR 200.30–3(a)(12). Frm 00075 Fmt 4703 Sfmt 4703 11569 SECURITIES AND EXCHANGE COMMISSION [Release No. IA–5688] Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940 February 22, 2021. 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 1 and appears to be no longer engaged 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 March 19, 2021, at 5:30 p.m., submit to the Commission in writing a request for a hearing on the cancellation of the 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, 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. E:\FR\FM\25FEN1.SGM 25FEN1 11570 Federal Register / Vol. 86, No. 36 / Thursday, February 25, 2021 / Notices 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 emailed to the Commission’s Secretary at Secretarys-Office@sec.gov. At any time after March 19, 2021, 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 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 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: Secretarys-Office@sec.gov. FOR FURTHER INFORMATION CONTACT: Lawrence Pace, 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 J. Matthew DeLesDernier, Assistant Secretary. SEC No. 801–61381 801–50509 801–108178 801–81034 801–115109 801–68831 801–79208 801–78930 801–57974 801–108510 801–111687 801–114916 801–79356 801–36999 801–110578 801–78597 801–113600 801–108811 801–115294 801–112406 801–81062 801–107824 801–112934 801–47405 801–117662 801–117680 801–113476 801–74490 801–110776 Full legal name INDEPENDENT PORTFOLIO CONSULTANTS, INC. INTEGRATED WEALTH MANAGEMENT, INC. IPC PRIVATE WEALTH PARTNERS, LLC. KATZ FAMILY FINANCIAL ADVISORS, LLC. KEE MULTI FAMILY OFFICE CORP. LEBENTHAL ASSET MANAGEMENT, LLC. LEBENTHAL PARTNERS LLC. LEBENTHAL WEALTH ADVISORS, LLC. MARKETOCRACY CAPITAL MANAGEMENT LLC. MILLENNIUM CAPITAL PARTNERS LTD. MOONWALK CAPITAL LLC. POWERSCALE CAPITAL MANAGEMENT, LLC. QUANTMETRICS CAPITAL MANAGEMENT LLP. RENN CAPITAL GROUP, INC. RETIREMENT INCOME SECURITY SOLUTIONS, LLC. SAPPHIRE CAPITAL MANAGEMENT, LTD. SECOND NATURE INVESTMENTS LLC. SL2 INVESTMENTS LLC. SLATE CREEK CAPITAL, LLC. SOLARA INVESTMENT ADVISORS LLC. STARBOARD ASSET MANAGEMENT, INC. STAUFFER, ADAM WILLIAM. STOCKPITCH FINANCIAL CORPORATION. TONG ROBERT WAI. TRIDENT OS, LLC. UNICREDIT FINANCIAL SERVICES AND INVESTMENT ADVISOR. VENROTH PRINCIPAL MANAGEMENT. WEALTH MANAGEMENT, LLC. XENON PRIVATE EQUITY LTD. 801–80706 801–80669 801–107925 801–28037 801–96240 801–80697 801–44774 801–108051 801–107673 801–107890 801–57393 801–77028 801–71707 801–79943 801–66757 801–61820 2 17 VerDate Sep<11>2014 Jkt 253001 SMALL BUSINESS ADMINISTRATION [License No. 05/05–0291] Surrender of License of Small Business Investment Company; Aldine SBIC Fund, L.P. Pursuant to the authority granted to the United States Small Business Administration under the Small Business Investment Act of 1958, as amended, under Section 309 of the Act and Section 107.1900 of the Small Business Administration Rules and Regulations (13 CFR 107.1900) to function as a small business investment company under the Small Business Investment Company License No. 05/ 05–0291 issued to Aldine SBIC Fund, L.P., said license is hereby declared null and void. United States Small Business Administration. Thomas G. Morris, Acting Associate Administrator, Director, Office of SBIC Liquidation, Office of Investment and Innovation. [FR Doc. 2021–03877 Filed 2–24–21; 8:45 am] BILLING CODE P Pipeline and Hazardous Materials Safety Administration ATLANTIS ASSET MANAGEMENT INTERNATIONAL CORP. BLUE SHORES CAPITAL MANAGEMENT LLC. BRISTOL ADVISORS, LLC. BUSH O’DONNELL INVESTMENT ADVISORS, INC. CLINK SAVINGS INC. COPPIN COLLINGS LIMITED. EAST PACIFIC INVESTMENT CO INC. EMPEROR TREE CAPITAL LIMITED. ETHIKA INVESTMENTS, LLC. EVA CAPITAL MANAGEMENT LP. FINANCIAL WEST INVESTMENT GROUP, INC. FINLES N.V. FINVASIA FINANCIAL SERVICES PVT LTD. FOREFRONT CAPITAL ADVISORS, LLC. HARDING ADVISORY LLC. HIGH PERCH LLC. 17:04 Feb 24, 2021 BILLING CODE P DEPARTMENT OF TRANSPORTATION BILLING CODE 8011–01–P Full legal name CFR 200.30–5(e)(2). [FR Doc. 2021–03876 Filed 2–24–21; 8:45 am] [FR Doc. 2021–03896 Filed 2–24–21; 8:45 am] Appendix SEC No. United States Small Business Administration. Thomas G. Morris, Acting Associate Administrator, Director, Office of SBIC Liquidation, Office of Investment and Innovation. SMALL BUSINESS ADMINISTRATION [License No. 03/03–0248] Surrender of License of Small Business Investment Company; Patriot Capital II, L.P. Pursuant to the authority granted to the United States Small Business Administration under the Small Business Investment Act of 1958, as amended, under Section 309 of the Act and Section 107.1900 of the Small Business Administration Rules and Regulations (13 CFR 107.1900) to function as a small business investment company under the Small Business Investment Company License No. 03/ 03–0248 issued to Patriot Capital II, L.P., said license is hereby declared null and void. PO 00000 Frm 00076 Fmt 4703 Sfmt 4703 [Docket No. PHMSA–2019–0153] Pipeline Safety: Request for Special Permit; Tejas Pipeline, LLC Pipeline and Hazardous Materials Safety Administration (PHMSA); DOT. ACTION: Notice. AGENCY: PHMSA is publishing this notice to solicit public comments on a request for special permit received from the Tejas Pipeline, LLC (Tejas). The special permit request is seeking relief from compliance with certain requirements in the Federal pipeline safety regulations. At the conclusion of the 30-day comment period, PHMSA will review the comments received from this notice as part of its evaluation to grant or deny the special permit request. SUMMARY: E:\FR\FM\25FEN1.SGM 25FEN1

Agencies

[Federal Register Volume 86, Number 36 (Thursday, February 25, 2021)]
[Notices]
[Pages 11569-11570]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-03896]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-5688]


Notice of Intention To Cancel Registrations of Certain Investment 
Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 
1940

February 22, 2021.
    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 \1\ and appears to be no longer engaged 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.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    Notice is also given that any interested person may, by March 19, 
2021, at 5:30 p.m., submit to the Commission in writing a request for a 
hearing on the cancellation of the 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,

[[Page 11570]]

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 emailed to the Commission's Secretary at 
[email protected].
    At any time after March 19, 2021, 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 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 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: [email protected].

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

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

    For the Commission, by the Division of Investment Management, 
pursuant to delegated authority.\2\
J. Matthew DeLesDernier,
Assistant Secretary.

Appendix

------------------------------------------------------------------------
              SEC No.                          Full legal name
------------------------------------------------------------------------
801-80706.........................  ATLANTIS ASSET MANAGEMENT
                                     INTERNATIONAL CORP.
801-80669.........................  BLUE SHORES CAPITAL MANAGEMENT LLC.
801-107925........................  BRISTOL ADVISORS, LLC.
801-28037.........................  BUSH O'DONNELL INVESTMENT ADVISORS,
                                     INC.
801-96240.........................  CLINK SAVINGS INC.
801-80697.........................  COPPIN COLLINGS LIMITED.
801-44774.........................  EAST PACIFIC INVESTMENT CO INC.
801-108051........................  EMPEROR TREE CAPITAL LIMITED.
801-107673........................  ETHIKA INVESTMENTS, LLC.
801-107890........................  EVA CAPITAL MANAGEMENT LP.
801-57393.........................  FINANCIAL WEST INVESTMENT GROUP,
                                     INC.
801-77028.........................  FINLES N.V.
801-71707.........................  FINVASIA FINANCIAL SERVICES PVT LTD.
801-79943.........................  FOREFRONT CAPITAL ADVISORS, LLC.
801-66757.........................  HARDING ADVISORY LLC.
801-61820.........................  HIGH PERCH LLC.
801-61381.........................  INDEPENDENT PORTFOLIO CONSULTANTS,
                                     INC.
801-50509.........................  INTEGRATED WEALTH MANAGEMENT, INC.
801-108178........................  IPC PRIVATE WEALTH PARTNERS, LLC.
801-81034.........................  KATZ FAMILY FINANCIAL ADVISORS, LLC.
801-115109........................  KEE MULTI FAMILY OFFICE CORP.
801-68831.........................  LEBENTHAL ASSET MANAGEMENT, LLC.
801-79208.........................  LEBENTHAL PARTNERS LLC.
801-78930.........................  LEBENTHAL WEALTH ADVISORS, LLC.
801-57974.........................  MARKETOCRACY CAPITAL MANAGEMENT LLC.
801-108510........................  MILLENNIUM CAPITAL PARTNERS LTD.
801-111687........................  MOONWALK CAPITAL LLC.
801-114916........................  POWERSCALE CAPITAL MANAGEMENT, LLC.
801-79356.........................  QUANTMETRICS CAPITAL MANAGEMENT LLP.
801-36999.........................  RENN CAPITAL GROUP, INC.
801-110578........................  RETIREMENT INCOME SECURITY
                                     SOLUTIONS, LLC.
801-78597.........................  SAPPHIRE CAPITAL MANAGEMENT, LTD.
801-113600........................  SECOND NATURE INVESTMENTS LLC.
801-108811........................  SL2 INVESTMENTS LLC.
801-115294........................  SLATE CREEK CAPITAL, LLC.
801-112406........................  SOLARA INVESTMENT ADVISORS LLC.
801-81062.........................  STARBOARD ASSET MANAGEMENT, INC.
801-107824........................  STAUFFER, ADAM WILLIAM.
801-112934........................  STOCKPITCH FINANCIAL CORPORATION.
801-47405.........................  TONG ROBERT WAI.
801-117662........................  TRIDENT OS, LLC.
801-117680........................  UNICREDIT FINANCIAL SERVICES AND
                                     INVESTMENT ADVISOR.
801-113476........................  VENROTH PRINCIPAL MANAGEMENT.
801-74490.........................  WEALTH MANAGEMENT, LLC.
801-110776........................  XENON PRIVATE EQUITY LTD.
------------------------------------------------------------------------

[FR Doc. 2021-03896 Filed 2-24-21; 8:45 am]
BILLING CODE 8011-01-P
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