2021-16673. Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
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July 30, 2021.
Notice is given that the Securities and Exchange Commission (the “Commission”) intends to issue an order or orders, pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 (the “Act”), cancelling the registrations of the municipal advisors whose names appear in the attached Appendix (hereinafter referred to as the “registrants”).
Section 15B(c)(3) of the Act provides, in pertinent part, that if the Commission finds that any municipal advisor registered under Section 15B is no longer in existence or has ceased to do business as a municipal advisor, the Commission, by order, shall cancel the registration of such municipal advisor.
The Commission finds that each registrant listed in the attached Appendix:
(i) has not filed any municipal advisor form submissions with the Commission through the Commission's Electronic Data Gathering and Retrieval (“EDGAR”) system since January 1, 2019 (including but not limited to the annual amendments (form MA-A) required by 17 CFR 240.15Ba1-5(a)(1)); and
(ii) based on information available from the Municipal Securities Rulemaking Board (the “MSRB”), (a) is not registered as a municipal advisor with the MSRB under MSRB Rule A-12(a) and/or (b) does not have an associated person who is qualified as a municipal advisor representative under MSRB Rule G-3(d) and for whom there is a Form MA-I required by 17 CFR 240.15Ba1-2(b) available on EDGAR, and/or (c) has not, since January 1, 2019, filed with the MSRB any Form A-12 annual affirmation as required by MSRB Rule A-12(k).
Accordingly, the Commission finds that each of the registrants listed in the attached Appendix either is no longer in existence or has ceased to do business as a municipal advisor.
Notice is also given that any interested person may, by August 30, 2021, at 5:30 p.m. Eastern Time, 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 request, and the issues, if any, of fact or law proposed to be controverted, and such person may request to be notified if the Commission should order a hearing thereon. Any such communication should be addressed to the Commission's Secretary at the address below.
At any time after August 30, 2021, 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 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:
Secretary, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549.
Start Further InfoFOR FURTHER INFORMATION CONTACT:
Ernesto Lanza, Senior Counsel to the Director, Office of Municipal Securities, 100 F Street NE, Washington, DC 20549, or at (202) 551-5680.
Start SignatureFor the Commission, by the Office of Municipal Securities, pursuant to delegated authority.[1]
J. Matthew DeLesDernier,
Assistant Secretary.
Appendix
End Further Info End PreambleRegistrant name SEC ID No. All American Municipal Advisors LLC 867-02070 ARGENT TRUST Co 867-01984 Black Holocaust Inc., d/b/a Black holocaust Mutual 867-02224 Brock Steven Kyle d/b/a Thurber Brock & Associates 867-01746 Burke Richard Stephen 867-02031 C.A. WHITTAKER & ASSOCIATES, LLC, d/b/a Whittaker & Company, PLLC 867-01736 D B & Co 867-02211 DAMON ROCQUE SECURITIES CORP\/BD 867-01305 Financing Ideas Inc 867-01649 First Midwest Municipal Lease Corp., d/b/a Midwest Healthcare Capital (MHC) 867-02287 Friedman, Luzzatto & Co 867-00536 Garffer Jerome L., d/b/a G Capital Investments 867-01885 Grant Financial Advisors, LLC 867-01818 IFS Planning, INC 867-02298 Ironwood Advisors 867-01112 Laube Capital Advisors, LLC 867-02023 Muni Funding Solutions LLC 867-02292 Ross Infrastructure Development LLC 867-02344 Shift 4 Consulting, L.L.C 867-01960 Footnotes
[FR Doc. 2021-16673 Filed 8-4-21; 8:45 am]
BILLING CODE 8011-01-P
Document Information
- Published:
- 08/05/2021
- Department:
- Securities and Exchange Commission
- Entry Type:
- Notice
- Document Number:
- 2021-16673
- Pages:
- 42957-42957 (1 pages)
- Docket Numbers:
- Release No. 34-92530
- PDF File:
- 2021-16673.pdf