Notice of Intention To Cancel Registration of Certain Municipal Advisors, 50905 [2022-17747]

Download as PDF Federal Register / Vol. 87, No. 159 / Thursday, August 18, 2022 / Notices Electronic Comments khammond on DSKJM1Z7X2PROD with NOTICES • 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–2022–047 on the subject line. SECURITIES AND EXCHANGE COMMISSION [Release No. 95496] Notice of Intention To Cancel Registration of Certain Municipal Advisors Paper Comments August 12, 2022. • 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–2022–047. 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–2022–047 and should be submitted on or before September 8, 2022. Notice is given that the Securities and Exchange Commission (the ‘‘Commission’’) intends to issue an order or orders, pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 (the ‘‘Act’’), cancelling the registrations of the municipal advisors whose names appear in the attached Appendix (hereinafter referred to as the ‘‘registrants’’). Section 15B(c)(3) of the Act provides, in pertinent part, that if the Commission finds that any municipal advisor registered under Section 15B is no longer in existence or has ceased to do business as a municipal advisor, the Commission, by order, shall cancel the registration of such municipal advisor. The Commission finds that each registrant listed in the attached Appendix: For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.14 J. Matthew DeLesDernier, Deputy Secretary. [FR Doc. 2022–17746 Filed 8–17–22; 8:45 am] BILLING CODE 8011–01–P 14 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 17:42 Aug 17, 2022 Jkt 256001 (i) has not filed any municipal advisor form submissions with the Commission through the Commission’s Electronic Data Gathering and Retrieval (‘‘EDGAR’’) system since January 1, 2020 (including but not limited to the annual amendments (form MA–A) required by 17 CFR 240.15Ba1– 5(a)(1)); and (ii) based on information available from the Municipal Securities Rulemaking Board (the ‘‘MSRB’’), (a) is not registered as a municipal advisor with the MSRB under MSRB Rule A– 12(a) and/or (b) does not have an associated person who is qualified as a municipal advisor representative under MSRB Rule G– 3(d) and for whom there is a Form MA–I required by 17 CFR 240.15Ba1–2(b) available on EDGAR, and/or (c) has not, since January 1, 2020, filed with the MSRB any Form A– 12 annual affirmation as required by MSRB Rule A–12(k). Accordingly, the Commission finds that each of the registrants listed in the attached Appendix either is no longer in existence or has ceased to do business as a municipal advisor. Notice is also given that any interested person may, by September 12, 2022, at 5:30 p.m. Eastern Time, 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 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 50905 person’s interest, the reason for such request, and the issues, if any, of fact or law proposed to be controverted, and such person may request to be notified if the Commission should order a hearing thereon. Any such communication should be addressed to the Commission’s Secretary at the address below. At any time after September 12, 2022, 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). Secretary, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. ADDRESSES: FOR FURTHER INFORMATION CONTACT: Mark Elion, Attorney Advisor, Office of Municipal Securities, 100 F Street NE, Washington, DC 20549, or at (202) 551– 5680. For the Commission, by the Office of Municipal Securities, pursuant to delegated authority.1 J. Matthew DeLesDernier, Deputy Secretary. Appendix Registrant name SEC ID No. Elzey Consulting Group, LLC ................ Hampel Charles Edward ....................... Harris Housing Advisors LLC ................ IFS Advisory, LLC ................................. Piedmont Securities LLC ...................... Pinnacle Financial Group LLC .............. Powell Capital Markets, Inc ................... Public Advisory Consultants, Inc ........... Rydle Project Funding ........................... Torain Group ......................................... 867–02230 867–01267 867–00840 867–02354 867–00767 867–01379 867–01363 867–00109 867–01908 867–02137 [FR Doc. 2022–17747 Filed 8–17–22; 8:45 am] BILLING CODE 8011–01–P 1 17 E:\FR\FM\18AUN1.SGM CFR 200.30–3a(a)(1)(ii). 18AUN1

Agencies

[Federal Register Volume 87, Number 159 (Thursday, August 18, 2022)]
[Notices]
[Page 50905]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-17747]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 95496]


Notice of Intention To Cancel Registration of Certain Municipal 
Advisors

August 12, 2022.
    Notice is given that the Securities and Exchange Commission (the 
``Commission'') intends to issue an order or orders, pursuant to 
Section 15B(c)(3) of the Securities Exchange Act of 1934 (the ``Act''), 
cancelling the registrations of the municipal advisors whose names 
appear in the attached Appendix (hereinafter referred to as the 
``registrants'').
    Section 15B(c)(3) of the Act provides, in pertinent part, that if 
the Commission finds that any municipal advisor registered under 
Section 15B is no longer in existence or has ceased to do business as a 
municipal advisor, the Commission, by order, shall cancel the 
registration of such municipal advisor.
    The Commission finds that each registrant listed in the attached 
Appendix:

    (i) has not filed any municipal advisor form submissions with 
the Commission through the Commission's Electronic Data Gathering 
and Retrieval (``EDGAR'') system since January 1, 2020 (including 
but not limited to the annual amendments (form MA-A) required by 17 
CFR 240.15Ba1-5(a)(1)); and
    (ii) based on information available from the Municipal 
Securities Rulemaking Board (the ``MSRB''), (a) is not registered as 
a municipal advisor with the MSRB under MSRB Rule A-12(a) and/or (b) 
does not have an associated person who is qualified as a municipal 
advisor representative under MSRB Rule G-3(d) and for whom there is 
a Form MA-I required by 17 CFR 240.15Ba1-2(b) available on EDGAR, 
and/or (c) has not, since January 1, 2020, filed with the MSRB any 
Form A-12 annual affirmation as required by MSRB Rule A-12(k).

    Accordingly, the Commission finds that each of the registrants 
listed in the attached Appendix either is no longer in existence or has 
ceased to do business as a municipal advisor.
    Notice is also given that any interested person may, by September 
12, 2022, at 5:30 p.m. Eastern Time, 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 request, and the issues, if any, of fact or law proposed to be 
controverted, and such person may request to be notified if the 
Commission should order a hearing thereon. Any such communication 
should be addressed to the Commission's Secretary at the address below.
    At any time after September 12, 2022, 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: Secretary, U.S. Securities and Exchange Commission, 100 F 
Street NE, Washington, DC 20549.

FOR FURTHER INFORMATION CONTACT: Mark Elion, Attorney Advisor, Office 
of Municipal Securities, 100 F Street NE, Washington, DC 20549, or at 
(202) 551-5680.

    For the Commission, by the Office of Municipal Securities, 
pursuant to delegated authority.\1\
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    \1\ 17 CFR 200.30-3a(a)(1)(ii).
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J. Matthew DeLesDernier,
Deputy Secretary.

Appendix

------------------------------------------------------------------------
                       Registrant name                        SEC ID No.
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Elzey Consulting Group, LLC.................................   867-02230
Hampel Charles Edward.......................................   867-01267
Harris Housing Advisors LLC.................................   867-00840
IFS Advisory, LLC...........................................   867-02354
Piedmont Securities LLC.....................................   867-00767
Pinnacle Financial Group LLC................................   867-01379
Powell Capital Markets, Inc.................................   867-01363
Public Advisory Consultants, Inc............................   867-00109
Rydle Project Funding.......................................   867-01908
Torain Group................................................   867-02137
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[FR Doc. 2022-17747 Filed 8-17-22; 8:45 am]
BILLING CODE 8011-01-P
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