Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940, 20509 [2024-06052]

Download as PDF Federal Register / Vol. 89, No. 57 / Friday, March 22, 2024 / Notices Dated: March 20, 2024. Vanessa A. Countryman, Secretary. FR 51627; October 24, 2011, 76 FR 65756; April 29, 2005, 70 FR 22516. Christopher Doyle, Attorney, Ethics and Compliance. [FR Doc. 2024–06296 Filed 3–20–24; 4:15 pm] BILLING CODE 8011–01–P [FR Doc. 2024–06108 Filed 3–21–24; 8:45 am] BILLING CODE 7710–12–P SECURITIES AND EXCHANGE COMMISSION [Release No. 6576/March 18, 2024] SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission will hold the SEC–NASAA–Georgia Secretary of State Joint Investor Roundtables on Wednesday and Thursday, March 27, and 28, 2024. The events will begin at 10 a.m. (ET) and will be open to the public. TIME AND DATE: The meeting will be conducted in-person at: Wednesday, March 27, 2024, University of North Georgia, Mike Cottrell College of Business, 265 S Chestatee St., Dahlonega, GA 30597, 10 a.m. to 4:30 p.m. (EST) and Thursday, March 28, 2024, Dalton State College, Wright School of Business, 650 College Dr., Dalton, GA 30720, 10 a.m. to 4:30 p.m. (EST) and by remote means. Members of the public may attend inperson or watch the webcast of the events beginning at 1 p.m. each day on the Commission’s website at www.sec.gov. PLACE: This Sunshine Act notice is being issued because a majority of the Commission may attend the meeting. STATUS: These public roundtables will be an opportunity for investors, regulators, and members of the investment community to share their experiences with SEC staff and discuss topics that are important to them, such as securities fraud and feedback on SEC rulemaking. These events are designed to listen to investors and better understand their needs in future policy and practice. Questions and feedback may be submitted in advance to InvestorEngagement@sec.gov. ddrumheller on DSK120RN23PROD with NOTICES1 MATTERS TO BE CONSIDERED: CONTACT PERSON FOR MORE INFORMATION: For further information and to ascertain what, if any, matters have been added, deleted or postponed; please contact Vanessa A. Countryman from the Office of the Secretary at (202) 551–5400. Authority: 5 U.S.C. 552b. VerDate Sep<11>2014 19:15 Mar 21, 2024 Jkt 262001 Notice of Intention To Cancel Registration Pursuant to Section 203(h) of 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 Hennii Investment Advisory Services, Inc., File No. 801–120518, 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, since March of 2021, has not filed a Form ADV amendment with the Commission as required by rule 204–1 under the Act and appears to be no longer in business as an investment adviser or is otherwise not engaged in business as an investment adviser.1 Accordingly, the Commission believes that reasonable grounds exist for a finding that this registrant is no longer in existence and 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 April 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 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. PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 20509 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 April 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: Secretarys-Office@sec.gov. 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 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2024–06052 Filed 3–21–24; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–99762; File No. SR–CBOE– 2024–013] Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule March 18, 2024. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that on March 7, 2024, Cboe Exchange, Inc. (‘‘Exchange’’ or ‘‘Cboe Options’’) 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 self-regulatory organization. The 2 17 CFR 200.30–5(e)(2). U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 1 15 E:\FR\FM\22MRN1.SGM 22MRN1

Agencies

[Federal Register Volume 89, Number 57 (Friday, March 22, 2024)]
[Notices]
[Page 20509]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-06052]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 6576/March 18, 2024]


Notice of Intention To Cancel Registration Pursuant to Section 
203(h) of 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 Hennii Investment Advisory Services, Inc., File No. 
801-120518, 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, since March of 2021, has not filed a Form ADV 
amendment with the Commission as required by rule 204-1 under the Act 
and appears to be no longer in business as an investment adviser or is 
otherwise not engaged in business as an investment adviser.\1\ 
Accordingly, the Commission believes that reasonable grounds exist for 
a finding that this registrant is no longer in existence and 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\ 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 April 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 April 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.
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    \2\ 17 CFR 200.30-5(e)(2).

    For the Commission, by the Division of Investment Management, 
pursuant to delegated authority.\2\
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024-06052 Filed 3-21-24; 8:45 am]
BILLING CODE 8011-01-P
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