Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940, 19050 [2021-07358]

Download as PDF 19050 Federal Register / Vol. 86, No. 68 / Monday, April 12, 2021 / Notices SECURITIES AND EXCHANGE COMMISSION [Release No. IA–5714] Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940 khammond on DSKJM1Z7X2PROD with NOTICES April 6, 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 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. 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 May 3, 2021, at 5:30 p.m. EST, 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, 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 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. VerDate Sep<11>2014 21:37 Apr 09, 2021 Jkt 253001 to the Commission’s Secretary at Secretarys-Office@sec.gov. At any time after May 3, 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). The Commission: Secretarys-Office@sec.gov. ADDRESSES: FOR FURTHER INFORMATION CONTACT: Christine Schleppegrell, 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. Appendix SEC number Full legal name 801–108515 ... BAOMAP ADVISORS LIMITED. HAITOU HUIJIN (BEIJING) CONSULTING SERVICE CO., LTD. NEW ENGINE ADVISORS LLC. QUANTSGEEK TECHNOLOGY LIMITED. SUNRATE ADVISORS LIMITED. UOOLU REALTY 1701 LLC. VIVA COMPANIONS ASSET MANAGEMENT LLC. 801–108574 ... 801–110184 ... 801–110822 ... 801–108384 ... 801–112060 ... 801–110416 ... [FR Doc. 2021–07358 Filed 4–9–21; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–91484; File No. SR–Phlx– 2021–21] Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program April 6, 2021. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on April 1, 2021, Nasdaq PHLX LLC (‘‘Phlx’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to extend the pilot period for the Exchange’s nonstandard expirations pilot program, currently set to expire on May 4, 2021. The text of the proposed rule change is available on the Exchange’s website at https://listingcenter.nasdaq.com/ rulebook/phlx/rules, 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 Exchange 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 these 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 aspects of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose On December 15, 2017, the Commission approved a proposed rule 1 15 2 17 PO 00000 CFR 200.30–5(e)(2). Frm 00115 Fmt 4703 2 17 Sfmt 4703 E:\FR\FM\12APN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 12APN1

Agencies

[Federal Register Volume 86, Number 68 (Monday, April 12, 2021)]
[Notices]
[Page 19050]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-07358]



[[Page 19050]]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-5714]


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

April 6, 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 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. 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.
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    Notice is also given that any interested person may, by May 3, 
2021, at 5:30 p.m. EST, 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, 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 May 3, 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: Christine Schleppegrell, 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.

Appendix

------------------------------------------------------------------------
               SEC number                        Full legal name
------------------------------------------------------------------------
801-108515.............................  BAOMAP ADVISORS LIMITED.
801-108574.............................  HAITOU HUIJIN (BEIJING)
                                          CONSULTING SERVICE CO., LTD.
801-110184.............................  NEW ENGINE ADVISORS LLC.
801-110822.............................  QUANTSGEEK TECHNOLOGY LIMITED.
801-108384.............................  SUNRATE ADVISORS LIMITED.
801-112060.............................  UOOLU REALTY 1701 LLC.
801-110416.............................  VIVA COMPANIONS ASSET
                                          MANAGEMENT LLC.
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[FR Doc. 2021-07358 Filed 4-9-21; 8:45 am]
BILLING CODE 8011-01-P