Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934, 69973 [2023-22349]

Download as PDF Federal Register / Vol. 88, No. 194 / Tuesday, October 10, 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–NYSEARCA–2023–68. 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 the 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–NYSEARCA–2023–68 and should be submitted on or before October 31, 2023. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.17 Sherry R. Haywood, Assistant Secretary. SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION [Release No. 34–98680] [Release No. 34–98678; File No. SR– NYSEAMER–2023–48] Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 October 3, 2023. The municipal advisors whose names appear in the attached Appendix, hereinafter referred to as the ‘‘registrants,’’ are registered as municipal advisors pursuant to Sections 15B(a)(1)(B) and 15B(a)(2) of the Securities Exchange Act of 1934 (the ‘‘Act’’). On August 29, 2023, a Notice of Intention to Cancel Registration of Certain Municipal Advisors, including the registrants, was published in the Federal Register (Securities Exchange Act Release No. 34–98208). The notice gave interested persons an opportunity to request a hearing and stated that an order or orders cancelling the registrations would be issued unless a hearing was ordered. No request for a hearing has been filed by any of the registrants, and the Securities and Exchange Commission (the ‘‘Commission’’) has not ordered a hearing. Pursuant to Section 15B(c)(3) of the Act, the Commission has found that each of the registrants is no longer in existence or has ceased to do business as a municipal advisor. Accordingly, It is ordered, pursuant to Section 15B(c)(3) of the Act, that the registration of each registrant be, and hereby is, cancelled. For the Commission, by the Office of Municipal Securities, pursuant to delegated authority.1 Sherry R. Haywood, Assistant Secretary. Appendix: Registrant name SEC ID No. Betnun Nathan S ................................... Christen Group, Inc ............................... Southern Cross Financial Group LLC ... OCONNOR & Co SECURITIES, INC ... Capital Alaska LLC ............................... Fray Municipal Securities ...................... Massena Associates LLC ..................... SUMMERS, CARROLL, WHISLER LLC 867–02495 867–02467 867–02544 867–01245 867–02604 867–02064 867–02569 867–01938 [FR Doc. 2023–22347 Filed 10–6–23; 8:45 am] ddrumheller on DSK120RN23PROD with NOTICES1 BILLING CODE 8011–01–P Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Modify the Options Regulatory Fee October 3, 2023. Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 notice is hereby given that, on September 29, 2023, NYSE American LLC (‘‘NYSE American’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the self-regulatory organization. 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 amend the NYSE American Options Fee Schedule (‘‘Fee Schedule’’) regarding the Options Regulatory Fee (‘‘ORF’’). The proposed rule change is available on the Exchange’s website at www.nyse.com, 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 self-regulatory organization 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 those 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 parts of such statements. [FR Doc. 2023–22349 Filed 10–6–23; 8:45 am] BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 2 15 17 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 18:39 Oct 06, 2023 1 17 Jkt 262001 PO 00000 CFR 200.30–3a(a)(1)(ii). Frm 00079 Fmt 4703 Sfmt 4703 69973 E:\FR\FM\10OCN1.SGM 10OCN1

Agencies

[Federal Register Volume 88, Number 194 (Tuesday, October 10, 2023)]
[Notices]
[Page 69973]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-22349]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-98680]


Order Cancelling Registrations of Certain Municipal Advisors 
Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934

October 3, 2023.
    The municipal advisors whose names appear in the attached Appendix, 
hereinafter referred to as the ``registrants,'' are registered as 
municipal advisors pursuant to Sections 15B(a)(1)(B) and 15B(a)(2) of 
the Securities Exchange Act of 1934 (the ``Act'').
    On August 29, 2023, a Notice of Intention to Cancel Registration of 
Certain Municipal Advisors, including the registrants, was published in 
the Federal Register (Securities Exchange Act Release No. 34-98208). 
The notice gave interested persons an opportunity to request a hearing 
and stated that an order or orders cancelling the registrations would 
be issued unless a hearing was ordered. No request for a hearing has 
been filed by any of the registrants, and the Securities and Exchange 
Commission (the ``Commission'') has not ordered a hearing.
    Pursuant to Section 15B(c)(3) of the Act, the Commission has found 
that each of the registrants is no longer in existence or has ceased to 
do business as a municipal advisor.
    Accordingly,
    It is ordered, pursuant to Section 15B(c)(3) of the Act, that the 
registration of each registrant be, and hereby is, cancelled.
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    \1\ 17 CFR 200.30-3a(a)(1)(ii).

    For the Commission, by the Office of Municipal Securities, 
pursuant to delegated authority.\1\
Sherry R. Haywood,
Assistant Secretary.

Appendix:

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                                                                SEC  ID
                       Registrant name                            No.
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Betnun Nathan S.............................................   867-02495
Christen Group, Inc.........................................   867-02467
Southern Cross Financial Group LLC..........................   867-02544
OCONNOR & Co SECURITIES, INC................................   867-01245
Capital Alaska LLC..........................................   867-02604
Fray Municipal Securities...................................   867-02064
Massena Associates LLC......................................   867-02569
SUMMERS, CARROLL, WHISLER LLC...............................   867-01938
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[FR Doc. 2023-22349 Filed 10-6-23; 8:45 am]
BILLING CODE 8011-01-P
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