Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940, 37296-37297 [2023-12106]

Download as PDF 37296 Federal Register / Vol. 88, No. 109 / Wednesday, June 7, 2023 / Notices 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–CboeBYX–2023–008. 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 a.m. and 3 p.m. Copies of such filing also will be available for inspection and copying at the principal office of the Exchange. Do not include personal identifiable information in submissions; you should submit only information that you wish to make available publicly. We may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright protection. All submissions should refer to File Number SR–CboeBYX–2023–008 and should be submitted on or before June 28, 2023. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.28 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–12110 Filed 6–6–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. IA–6322] Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940 June 1, 2023. 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 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 June 26, 2023, lotter on DSK11XQN23PROD with NOTICES1 SEC No. FOR FURTHER INFORMATION CONTACT: Priscilla Dao, Senior Counsel, or Scott Jameson, Senior Counsel, at 202–551– 6825; SEC, Division of Investment Management, Chief Counsel’s Office, 100 F Street NE, Washington, DC 20549–8549. For the Commission, by the Division of Investment Management, pursuant to delegated authority.2 Sherry R. Haywood, Assistant Secretary. Appendix BAY MUTUAL FINANCIAL LLC. PROPHECY ASSET MANAGEMENT LP. FUSION ANALYTICS INVESTMENT PARTNERS LLC. PLATINUM MANAGEMENT (NY) LLC. ASSET MANAGEMENT ADVISORY GROUP LLC. COASTAL PARTNERS LTD. AZZARA THOMAS PETER. BRYAN ADVISORY SERVICES, LLC. ACCIPITER CAPITAL MANAGEMENT, LLC. 28 17 CFR 200.30–3(a)(12). 204–1 under the Act requires any adviser that is required to complete Form ADV to amend 1 Rule 18:00 Jun 06, 2023 The Commission: Secretarys-Office@sec.gov. ADDRESSES: Full legal name 801–72074 ...................................... 801–75390 ...................................... 801–71058 ...................................... 801–72514 ...................................... 801–67384 ...................................... 801–66695 ...................................... 801–70770 ...................................... 801–116672 .................................... 801–74069 ...................................... VerDate Sep<11>2014 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, 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 June 26, 2023, 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). Jkt 259001 the form at least annually and to submit the amendments electronically through the Investment Adviser Registration Depository. PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 2 17 E:\FR\FM\07JNN1.SGM CFR 200.30–5(e)(2). 07JNN1 Federal Register / Vol. 88, No. 109 / Wednesday, June 7, 2023 / Notices SEC No. Full legal name 801–80422 ...................................... 801–101538 .................................... 801–107076 .................................... 801–112509 .................................... 801–108994 .................................... 801–112008 .................................... 801–111893 .................................... 801–114014 .................................... 801–114489 .................................... 801–117990 .................................... 801–117752 .................................... 801–118705 .................................... 801–118711 .................................... 801–119791 .................................... 801–120471 .................................... 801–121726 .................................... 801–122357 .................................... 801–126261 .................................... 801–126071 .................................... MILLER, JOHN, STENNING. KENT COSTELLO. DVDENDO, INC. INVICTUS CAPITAL INVESTORS. CAPITECT, INC. ALPHAMALL LLC. BARREL PARK INVESTMENTS, LLC. INVESTIFAI LLC. SAVYON ASSET MANAGEMENT ADVISORY, LLC. ALTERNATIVE ASSET MANAGEMENT, LLC. VITA INTELLECTUS INSTITUTIONAL, INC. CARTA FINANCIERA SA. DAYUAN INFORMATION TECH LIMITED. AN IDEAL LIFE FINANCIAL PLANNING, LLC. CLOUT CAPITAL ADVISORS LLC. UNION ACQUISITION GROUP, LLC. JORDAN CHAPLIN. ALL BLUE LABS MANAGEMENT, LLC. PF ADVISORS, LLC. [FR Doc. 2023–12106 Filed 6–6–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–805, OMB Control No. 3235–0756] lotter on DSK11XQN23PROD with NOTICES1 Submission for OMB Review; Comment Request; Extension: Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency Upon Written Request Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget this request for extension of the previously approved collection of information discussed below. Rule 147 is a safe harbor under the Securities Act Section 3(a)(11)(15 U.S.C. 77c(a)(11)) exemption from registration. To qualify for the safe harbor, Rule 147(f)(1)(iii) (17 CFR 230.147) will require the issuer to obtain from the purchaser a written representation as to the purchaser’s residency. Under Rule 147, the purchaser in the offering must be a resident of the same state or territory in which the issuer is a resident. While the formal representation of residency by itself is not sufficient to establish a reasonable belief that such purchasers are in-state residents, the representation requirement, together with the reasonable belief standard, may result in better compliance with the rule and VerDate Sep<11>2014 17:01 Jun 06, 2023 37297 Jkt 259001 maintaining appropriate investor protections. The representation of residency is not provided to the Commission. Approximately 700 respondents provide the information required by Rule 147(f)(1)(iii) at an estimated 2.75 hours per response for a total annual reporting burden of 1,925 hours (2.75 hours × 700 responses). An agency may conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. The public may view background documentation for this information collection at the following website: www.reginfo.gov. Find this particular information collection by selecting ‘‘Currently under 30-day Review—Open for Public Comments’’ or by using the search function. Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice by July 7, 2023 to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov. Dated: June 1, 2023. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–12096 Filed 6–6–23; 8:45 am] BILLING CODE 8011–01–P PO 00000 Frm 00099 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 34935; File No. 812–15145] Arca U.S. Treasury Fund and Arca Capital Management, LLC June 2, 2023. Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’). ACTION: Notice. AGENCY: Notice of application for an order under sections 6(c) and 23(c)(3) of the Investment Company Act of 1940 (the ‘‘Act’’) for an exemption from rule 23c– 3 under the Act. SUMMARY OF APPLICATION: Applicants request an order under sections 6(c) and 23(c)(3) of the Act for an exemption from certain provisions of rule 23c–3 to permit certain registered closed-end investment companies to make repurchase offers on a monthly basis. APPLICANTS: Arca U.S. Treasury Fund (the ‘‘Fund’’) and Arca Capital Management, LLC (the ‘‘Adviser’’). FILING DATES: The application was filed on May 24, 2023. HEARING OR NOTIFICATION OF HEARING: An order granting the requested relief will be issued unless the Commission orders a hearing. Interested persons may request a hearing on any application by emailing the SEC’s Secretary at Secretarys-Office@sec.gov and serving the relevant applicant with a copy of the request by email, if an email address is listed for the relevant applicant below, or personally or by mail, if a physical address is listed for the relevant applicant below. Hearing requests should be received by the Commission by 5:30 p.m. on June 27, 2023, and should be accompanied by proof of E:\FR\FM\07JNN1.SGM 07JNN1

Agencies

[Federal Register Volume 88, Number 109 (Wednesday, June 7, 2023)]
[Notices]
[Pages 37296-37297]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-12106]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-6322]


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

June 1, 2023.
    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 
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 June 26, 
2023, 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, 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 June 26, 2023, 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: Priscilla Dao, Senior Counsel, or 
Scott Jameson, Senior Counsel, at 202-551-6825; SEC, Division of 
Investment Management, Chief Counsel's 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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Sherry R. Haywood,
Assistant Secretary.

Appendix

------------------------------------------------------------------------
              SEC No.                          Full legal name
------------------------------------------------------------------------
801-72074.........................  BAY MUTUAL FINANCIAL LLC.
801-75390.........................  PROPHECY ASSET MANAGEMENT LP.
801-71058.........................  FUSION ANALYTICS INVESTMENT PARTNERS
                                     LLC.
801-72514.........................  PLATINUM MANAGEMENT (NY) LLC.
801-67384.........................  ASSET MANAGEMENT ADVISORY GROUP LLC.
801-66695.........................  COASTAL PARTNERS LTD.
801-70770.........................  AZZARA THOMAS PETER.
801-116672........................  BRYAN ADVISORY SERVICES, LLC.
801-74069.........................  ACCIPITER CAPITAL MANAGEMENT, LLC.

[[Page 37297]]

 
801-80422.........................  MILLER, JOHN, STENNING.
801-101538........................  KENT COSTELLO.
801-107076........................  DVDENDO, INC.
801-112509........................  INVICTUS CAPITAL INVESTORS.
801-108994........................  CAPITECT, INC.
801-112008........................  ALPHAMALL LLC.
801-111893........................  BARREL PARK INVESTMENTS, LLC.
801-114014........................  INVESTIFAI LLC.
801-114489........................  SAVYON ASSET MANAGEMENT ADVISORY,
                                     LLC.
801-117990........................  ALTERNATIVE ASSET MANAGEMENT, LLC.
801-117752........................  VITA INTELLECTUS INSTITUTIONAL, INC.
801-118705........................  CARTA FINANCIERA SA.
801-118711........................  DAYUAN INFORMATION TECH LIMITED.
801-119791........................  AN IDEAL LIFE FINANCIAL PLANNING,
                                     LLC.
801-120471........................  CLOUT CAPITAL ADVISORS LLC.
801-121726........................  UNION ACQUISITION GROUP, LLC.
801-122357........................  JORDAN CHAPLIN.
801-126261........................  ALL BLUE LABS MANAGEMENT, LLC.
801-126071........................  PF ADVISORS, LLC.
------------------------------------------------------------------------


[FR Doc. 2023-12106 Filed 6-6-23; 8:45 am]
BILLING CODE 8011-01-P
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