80 FR 76332 - Investment Advisers Act of 1940, Release No. 4285/December 2, 2015; Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 235 (December 8, 2015)
Federal Register Volume 80, Issue 235 (December 8, 2015)
| Page Range | 76332-76333 | |
| FR Document | 2015-30838 |
[Federal Register Volume 80, Number 235 (Tuesday, December 8, 2015)] [Notices] [Pages 76332-76333] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-30838] ======================================================================= ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Investment Advisers Act of 1940, Release No. 4285/December 2, 2015; Notice of Intention To Cancel Registrations of Certain Investment Advisers 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 or orders, 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. The registrants listed in the Appendix either have not filed a Form ADV amendment with the Commission as required by rule 204-1 under the Act and appear to be no longer in business as investment advisers, or have indicated on Form ADV that they are no longer eligible to remain registered with the Commission as investment advisers but have not filed Form ADV-W to withdraw their 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 of the Act, 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 Monday, December 28, 2015, at 5:30 p.m., submit to the Commission in writing a request for a hearing on the cancellation of a registrant, accompanied by a statement as to the nature of the writer's interest, the reason for such 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 addressed: Secretary, Securities and Exchange Commission, Washington, DC 20549. At any time after Monday, December 28, 2015, the Commission may issue an order or orders cancelling the registrations of any or all of the registrants listed in the 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 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). For further information contact: Jamie Lynn Walter, Senior Counsel at 202-551-6999 (Division of Investment Management, Office of Investment Adviser Regulation). For the Commission, by the Division of Investment Management, pursuant to delegated authority.\1\ --------------------------------------------------------------------------- \1\ 17 CFR 200.30-5(e)(2). --------------------------------------------------------------------------- Robert W. Errett, Deputy Secretary. Appendix ------------------------------------------------------------------------ ------------------------------------------------------------------------ 801-72059......................... SOLOMON HENDRIX & CO. 801-9488.......................... MAURY WADE & COMPANY. 801-71810......................... BISHOP ASSET MANAGEMENT, LLC. 801-69144......................... SAFE HAVEN ADVISORS, INC 801-70781......................... WANGER OMNIWEALTH, LLC. 801-70401......................... MIDWEST MORTGAGE ANALYTICS. 801-70533......................... ALPHAMETRIX, LLC. 801-71189......................... MORGAN FINCH, LLC. [[Page 76333]] 801-77520......................... ACCESS STRATEGIC ADVISORY GROUP, LLC. 801-66662......................... ARNOTT CAPITAL PTY LTD. 801-71208......................... KPDN INC. 801-69648......................... FUTURE VALUE CONSULTANTS LIMITED. 801-65517......................... FGS CAPITAL LLP. 801-71188......................... CENTINELA CAPITAL PARTNERS, LLC. 801-72117......................... MAP ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC. 801-69898......................... INSIGHT ONSITE STRATEGIC MANAGEMENT LLC. 801-10966......................... GARY EUGENE GIBBONS DBA THE COLERIDGE GROUP. 801-77747......................... NEW SOURCE MEDIA ADVISOR, LLC. 801-70916......................... CMA ADVISORY GROUP, LLC. 801-78409......................... CASICO, LLC. 801-78848......................... RCG PARTNERS. 801-72000......................... STAMBOULI MANAGEMENT CORP. 801-71089......................... OPTIMIZE CAPITAL. 801-71439......................... BATTENKILL CAPITAL MANAGEMENT, INC. 801-78049......................... EXCALIBUR MANAGEMENT, LLC. 801-61973......................... MEDITRON ASSET MANAGEMENT, LLC. 801-77143......................... CAMELOT ACQUISITION SECONDARY OPPORTUNITIES MANAGEMENT, LLC. 801-63963......................... HARPER ASSOCIATES, LLC. 801-28490......................... FX CONCEPTS, LLC. 801-76567......................... CUSTOM FINANCIAL SERVICES, LLC. 801-8984.......................... VALLEY FORGE MANAGEMENT CORP. 801-70460......................... PAUL-ELLIS INVESTMENT ASSOCIATES. 801-77931......................... YORKSHIRE CAPITAL MANAGEMENT LLC. 801-77496......................... WILLIAMS CAPITAL STRATEGIES LLC. 801-72743......................... NICHOLS CONSULTING. 801-62524......................... PURCELL ADVISORY SERVICES, LLC. 801-76636......................... PETROFF INSTITUTIONAL. 801-72299......................... VASQUEZ & CO. ------------------------------------------------------------------------ [FR Doc. 2015-30838 Filed 12-7-15; 8:45 am] BILLING CODE 8011-01-P
![76332 Federal Register / Vol. 80, No. 235 / Tuesday, December 8, 2015 / Notices
For the Nuclear Regulatory Commission. Management, 1900 E St. NW., Suite finding that these registrants are no
Lawrence Burkhart, 5H35, Washington, DC 20415. Phone longer in existence, are not engaged in
Chief, Licensing Branch 4, Division of New (202) 606–0020 FAX (202) 606–6012 or business as investment advisers, or are
Reactor Licensing, Office of New Reactors. email at sharon.wong@opm.gov. prohibited from registering as
[FR Doc. 2015–30879 Filed 12–7–15; 8:45 am] U.S. Office of Personnel Management. investment advisers under section 203A
BILLING CODE 7590–01–P Beth F. Cobert,
of the Act, and that their registrations
should be cancelled pursuant to section
Acting Director.
203(h) of the Act.
[FR Doc. 2015–30833 Filed 12–7–15; 8:45 am]
OFFICE OF PERSONNEL Notice is also given that any
BILLING CODE 6820–B2–P
MANAGEMENT interested person may, by Monday,
December 28, 2015, at 5:30 p.m., submit
Notice of Meeting of the Hispanic to the Commission in writing a request
Council on Federal Employment SECURITIES AND EXCHANGE for a hearing on the cancellation of a
COMMISSION registrant, accompanied by a statement
AGENCY: U.S. Office of Personnel as to the nature of the writer’s interest,
Management. Investment Advisers Act of 1940, the reason for such request, and the
ACTION: December 10, 2015 Council Release No. 4285/December 2, 2015; issues, if any, of fact or law proposed to
Meeting. Notice of Intention To Cancel be controverted, and the writer may
Registrations of Certain Investment request to be notified if the Commission
SUMMARY: The Hispanic Council on Advisers Pursuant to Section 203(H) of should order a hearing thereon. Any
Federal Employment (Council) meeting the Investment Advisers Act of 1940 such communication should be
will be held on Thursday, December 10, addressed: Secretary, Securities and
2015 at the location shown below from Notice is given that the Securities and
Exchange Commission (the Exchange Commission, Washington, DC
1:30 p.m. to 3:00 p.m. 20549.
The Council is an advisory committee ‘‘Commission’’) intends to issue an
order or orders, pursuant to Section At any time after Monday, December
composed of representatives from 28, 2015, the Commission may issue an
Hispanic organizations and senior 203(h) of the Investment Advisers Act of
1940 (the ‘‘Act’’), cancelling the order or orders cancelling the
government officials. Along with its registrations of any or all of the
other responsibilities, the Council shall registrations of the investment advisers
whose names appear in the attached registrants listed in the Appendix, upon
advise the Director of the Office of the basis of the information stated
Personnel Management on matters Appendix, hereinafter referred to as the
registrants. above, unless an order or orders for a
involving the recruitment, hiring, and hearing on the cancellation shall be
advancement of Hispanics in the Section 203(h) of the Act provides, in
pertinent part, that if the Commission issued upon request or upon the
Federal workforce. The Council is co- Commission’s own motion. Persons who
chaired by the Director of the Office of finds that any person registered under
Section 203, or who has pending an requested a hearing, or to be advised as
Personnel Management and the Chair of to whether a hearing is ordered, will
the National Hispanic Leadership application for registration filed under
that section, is no longer in existence, is receive any notices and orders issued in
Agenda (NHLA). this matter, including the date of the
The meeting is open to the public. not engaged in business as an
investment adviser, or is prohibited hearing (if ordered) and any
Please contact the Office of Personnel postponements thereof. Any adviser
Management at the address shown from registering as an investment
adviser under section 203A, the whose registration is cancelled under
below if you wish to present material to delegated authority may appeal that
the Council at any of the meetings. The Commission shall by order, cancel the
registration of such person. decision directly to the Commission in
manner and time prescribed for accordance with rules 430 and 431 of
presentations may be limited, The registrants listed in the Appendix
either have not filed a Form ADV the Commission’s rules of practice (17
depending upon the number of parties CFR 201.430 and 431).
that express interest in presenting amendment with the Commission as
required by rule 204–1 under the Act For further information contact: Jamie
information. Lynn Walter, Senior Counsel at 202–
and appear to be no longer in business
ADDRESSES: U.S. Office of Personnel as investment advisers, or have 551–6999 (Division of Investment
Management, 1900 E St. NW., Executive indicated on Form ADV that they are no Management, Office of Investment
Conference Room, 5th Floor, longer eligible to remain registered with Adviser Regulation).
Washington, DC 20415. the Commission as investment advisers For the Commission, by the Division of
FOR FURTHER INFORMATION CONTACT: but have not filed Form ADV–W to Investment Management, pursuant to
Sharon Wong, Deputy Director, Policy & withdraw their registration. delegated authority.1
Coordination for the Office of Diversity Accordingly, the Commission believes Robert W. Errett,
and Inclusion, Office of Personnel that reasonable grounds exist for a Deputy Secretary.
APPENDIX
801–72059 ...................................... SOLOMON HENDRIX & CO.
801–9488 ........................................ MAURY WADE & COMPANY.
801–71810 ...................................... BISHOP ASSET MANAGEMENT, LLC.
Lhorne on DSK9F6TC42PROD with NOTICES
801–69144 ...................................... SAFE HAVEN ADVISORS, INC
801–70781 ...................................... WANGER OMNIWEALTH, LLC.
801–70401 ...................................... MIDWEST MORTGAGE ANALYTICS.
801–70533 ...................................... ALPHAMETRIX, LLC.
801–71189 ...................................... MORGAN FINCH, LLC.
1 17 CFR 200.30–5(e)(2).
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![Federal Register / Vol. 80, No. 235 / Tuesday, December 8, 2015 / Notices 76333
APPENDIX—Continued
801–77520 ...................................... ACCESS STRATEGIC ADVISORY GROUP, LLC.
801–66662 ...................................... ARNOTT CAPITAL PTY LTD.
801–71208 ...................................... KPDN INC.
801–69648 ...................................... FUTURE VALUE CONSULTANTS LIMITED.
801–65517 ...................................... FGS CAPITAL LLP.
801–71188 ...................................... CENTINELA CAPITAL PARTNERS, LLC.
801–72117 ...................................... MAP ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC.
801–69898 ...................................... INSIGHT ONSITE STRATEGIC MANAGEMENT LLC.
801–10966 ...................................... GARY EUGENE GIBBONS DBA THE COLERIDGE GROUP.
801–77747 ...................................... NEW SOURCE MEDIA ADVISOR, LLC.
801–70916 ...................................... CMA ADVISORY GROUP, LLC.
801–78409 ...................................... CASICO, LLC.
801–78848 ...................................... RCG PARTNERS.
801–72000 ...................................... STAMBOULI MANAGEMENT CORP.
801–71089 ...................................... OPTIMIZE CAPITAL.
801–71439 ...................................... BATTENKILL CAPITAL MANAGEMENT, INC.
801–78049 ...................................... EXCALIBUR MANAGEMENT, LLC.
801–61973 ...................................... MEDITRON ASSET MANAGEMENT, LLC.
801–77143 ...................................... CAMELOT ACQUISITION SECONDARY OPPORTUNITIES MANAGEMENT, LLC.
801–63963 ...................................... HARPER ASSOCIATES, LLC.
801–28490 ...................................... FX CONCEPTS, LLC.
801–76567 ...................................... CUSTOM FINANCIAL SERVICES, LLC.
801–8984 ........................................ VALLEY FORGE MANAGEMENT CORP.
801–70460 ...................................... PAUL–ELLIS INVESTMENT ASSOCIATES.
801–77931 ...................................... YORKSHIRE CAPITAL MANAGEMENT LLC.
801–77496 ...................................... WILLIAMS CAPITAL STRATEGIES LLC.
801–72743 ...................................... NICHOLS CONSULTING.
801–62524 ...................................... PURCELL ADVISORY SERVICES, LLC.
801–76636 ...................................... PETROFF INSTITUTIONAL.
801–72299 ...................................... VASQUEZ & CO.
[FR Doc. 2015–30838 Filed 12–7–15; 8:45 am] solicit comments on the proposed rule A. Self-Regulatory Organization’s
BILLING CODE 8011–01–P change from interested persons. Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule
I. Self-Regulatory Organization’s Change
SECURITIES AND EXCHANGE Statement of the Terms of Substance of
COMMISSION the Proposed Rule Change 1. Purpose
The Exchange proposes to amend
[Release No. 34–76540; File No. SR– The Exchange proposes to amend Rule 132—Equities (‘‘Rule 132’’) to
NYSEMKT–2015–97] Rule 132—Equities to delete delete Supplementary Material .40,
Supplementary Material .40 requiring which requires members to submit
Self-Regulatory Organizations; NYSE members effecting transactions on the
MKT LLC; Notice of Filing and certain data elements and badge
equities trading Floor (the ‘‘Trading information for transactions effected on
Immediate Effectiveness of Proposed
Floor’’) to submit certain data elements the Trading Floor and to make a
Rule Change Amending Rule 132—
and badge information and to make a conforming change.
Equities To Delete Supplementary
Material .40 Requiring Members conforming change. The proposed rule Rule 132 requires clearing member
Effecting Transactions on the Equities change is available on the Exchange’s organizations submitting a transaction
Trading Floor to Submit Certain Data Web site at www.nyse.com, at the to comparison to include the audit trail
Elements and Badge Information and principal office of the Exchange, and at data elements set forth in
to Make a Conforming Change the Commission’s Public Reference Supplementary Material .30, including a
Room. specification of the account type for
December 2, 2015. which the transaction was effected
Pursuant to section 19(b)(1) 1 of the II. Self-Regulatory Organization’s according to defined account categories.
Securities Exchange Act of 1934 (the Statement of the Purpose of, and Consistent with this requirement,
‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Statutory Basis for, the Proposed Rule Supplementary Material .40 requires
notice is hereby given that on November Change members 4 effecting transactions on the
20, 2015, NYSE MKT LLC (the Trading Floor as agent or otherwise to
In its filing with the Commission, the
‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with supply these audit trail data elements to
self-regulatory organization included
the Securities and Exchange their clearing member organization and
Commission (the ‘‘Commission’’) the statements concerning the purpose of,
and basis for, the proposed rule change to promptly provide the reporter in the
proposed rule change as described in Crowd (or other designated Exchange
Items I, II, and III below, which Items and discussed any comments it received
representative) with the member’s
Lhorne on DSK9F6TC42PROD with NOTICES
have been prepared by the self- on the proposed rule change. The text
of those statements may be examined at broker badge number or alpha symbol.
regulatory organization. The The Exchange proposes to delete Rule
Commission is publishing this notice to the places specified in Item IV below.
132.40 as obsolete. Rule 132.40 was
The Exchange has prepared summaries,
1 15 U.S.C.78s(b)(1). set forth in sections A, B, and C below, 4 Under Rule 2(a), a member is a natural person
2 15 U.S.C. 78a. of the most significant parts of such associated with a member organization and in the
3 17 CFR 240.19b–4. statements. context of Rule 132.40, refers to Floor brokers only.
VerDate Sep<11>2014 14:17 Dec 07, 2015 Jkt 238001 PO 00000 Frm 00074 Fmt 4703 Sfmt 4703 E:\FR\FM\08DEN1.SGM 08DEN1](https://thefederalregister.org/doc/80_FR_76567/page/2.svg)
Document Created: 2015-12-14 13:27:26
Document Modified: 2015-12-14 13:27:26
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Contact | Jamie Lynn Walter, Senior Counsel at 202-551-6999 (Division of Investment Management, Office of Investment Adviser Regulation). | |
| FR Citation | 80 FR 76332 |
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