Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940, 88693 [2023-28212]

Download as PDF Federal Register / Vol. 88, No. 245 / Friday, December 22, 2023 / Notices designates the proposed rule change operative upon filing.35 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. If the Commission takes such action, the Commission shall institute proceedings under Section 19(b)(2)(B) of the Act 36 to determine whether the proposed rule should be approved or disapproved. 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: ddrumheller on DSK120RN23PROD with NOTICES1 Electronic Comments • 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– PEARL–2023–71 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–PEARL–2023–71. 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–PEARL–2023–71 and should be submitted on or before January 12, 2024. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.37 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–28197 Filed 12–21–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. IA–6507] Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940 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 registration of Vista Financial Advisors, LLC File No. 801–122832, hereinafter referred to as the ‘‘registrant.’’ Section 203(h) 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. The registrant indicated on its most recent Form ADV filing that it is a large advisory firm that has regulatory assets under management of $100 million or more.1 The Commission believes, based on the facts it has, that the registrant did not at the time of the Form ADV filing, and does not currently, maintain the required assets under management to remain registered with the Commission, 37 17 35 For purposes only of waiving the 30-day operative delay, the Commission has considered the proposed rule’s impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). 36 15 U.S.C. 78s(b)(2)(B). VerDate Sep<11>2014 18:10 Dec 21, 2023 Jkt 262001 CFR 200.30–3(a)(12), 59. 203A of the Act generally prohibits an investment adviser from registering with the Commission unless it meets certain requirements. See Advisers Act section 203A(a); 17 CFR 275.203A–2. 1 Section PO 00000 Frm 00135 Fmt 4703 Sfmt 9990 88693 nor does it appear eligible to register with the Commission pursuant to any other provision of the Advisers Act. Accordingly, the Commission believes that reasonable grounds exist for a finding that this registrant is no longer eligible to be registered with the Commission as an investment adviser and that the registration should be cancelled pursuant to section 203(h) of the Act. Notice is also given that any interested person may, by January 12, 2024, at 5:30 p.m., submit to the Commission in writing a request for a hearing on the cancellation, accompanied by a statement as to the nature of his or her interest, the reason for such request, and the issues, if any, of fact or law proposed to be controverted, and he or she may request that he or she 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 January 12, 2024, the Commission may issue an order cancelling the registration, upon the basis of the information stated above, unless an order 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 adviser 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: Asaf Barouk, Senior Counsel at 202–551– 6999; SEC, Division of Investment Management, Office of Chief Counsel, 100 F Street NE, Washington, DC 20549–8549. FOR FURTHER INFORMATION CONTACT: For the Commission, by the Division of Investment Management, pursuant to delegated authority.2 Dated: December 18, 2023. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–28212 Filed 12–21–23; 8:45 am] BILLING CODE 8011–01–P 2 17 E:\FR\FM\22DEN1.SGM CFR 200.30–5(e)(2). 22DEN1

Agencies

[Federal Register Volume 88, Number 245 (Friday, December 22, 2023)]
[Notices]
[Page 88693]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-28212]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-6507]


Notice of Intention To Cancel Registration Pursuant to the 
Investment Advisers Act of 1940

    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 
registration of Vista Financial Advisors, LLC File No. 801-122832, 
hereinafter referred to as the ``registrant.''
    Section 203(h) 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.
    The registrant indicated on its most recent Form ADV filing that it 
is a large advisory firm that has regulatory assets under management of 
$100 million or more.\1\ The Commission believes, based on the facts it 
has, that the registrant did not at the time of the Form ADV filing, 
and does not currently, maintain the required assets under management 
to remain registered with the Commission, nor does it appear eligible 
to register with the Commission pursuant to any other provision of the 
Advisers Act. Accordingly, the Commission believes that reasonable 
grounds exist for a finding that this registrant is no longer eligible 
to be registered with the Commission as an investment adviser and that 
the registration should be cancelled pursuant to section 203(h) of the 
Act.
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    \1\ Section 203A of the Act generally prohibits an investment 
adviser from registering with the Commission unless it meets certain 
requirements. See Advisers Act section 203A(a); 17 CFR 275.203A-2.
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    Notice is also given that any interested person may, by January 12, 
2024, at 5:30 p.m., submit to the Commission in writing a request for a 
hearing on the cancellation, accompanied by a statement as to the 
nature of his or her interest, the reason for such request, and the 
issues, if any, of fact or law proposed to be controverted, and he or 
she may request that he or she 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 January 12, 2024, the Commission may issue an 
order cancelling the registration, upon the basis of the information 
stated above, unless an order 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 adviser 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: Asaf Barouk, Senior Counsel at 202-
551-6999; SEC, Division of Investment Management, Office of Chief 
Counsel, 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).

    Dated: December 18, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-28212 Filed 12-21-23; 8:45 am]
BILLING CODE 8011-01-P
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