Document ID: SEC-2020-1795-0001
Agency: sec
Document Type: Notice
Title: Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940
Posted Date: 2020-11-10T05:00Z

[Federal Register Volume 85, Number 218 (Tuesday, November 10, 2020)]
[Notices]
[Pages 71707-71708]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-24938]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-5622]

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

November 5, 2020.
    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 Ann T. Coffey Wealth Management LLC [File No. 801-
77092], hereinafter referred to as the ``registrant.''
    Section 203(h) of the Act provides, in pertinent part, that if the 
Commission finds that any person registered under section 203 of the 
Act, 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 of the Act, the Commission shall 
by order, cancel the registration of such person.
    The registrant indicated on its most recent Form ADV annual 
amendment that it is no longer eligible to remain registered with the 
Commission as an investment adviser but has not filed Form ADV-W to 
withdraw its registration.\1\ Furthermore, the registrant has not filed 
a Form ADV amendment annually with the Commission as required by rule 
204-1 under the Act; therefore, it appears that the registrant is not 
in existence or otherwise not engaged in business as an investment 
adviser.\2\ Accordingly, the Commission believes that reasonable 
grounds exist for a finding that the 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\ The registrant filed its most recent Form ADV annual 
amendment on March 27, 2018.
    \2\ 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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[[Page 71708]]

    Notice is also given that any interested person may, by November 
30, 2020, 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 November 30, 2020, 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: Alexis Palascak, Senior Counsel at 
202-551-6999; SEC, Division of Investment Management, Investment 
Adviser Regulation Office, 100 F Street NE, Washington, DC 20549-8549.

    For the Commission, by the Division of Investment Management, 
pursuant to delegated authority.\3\
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    \3\ 17 CFR 200.30-5(e)(2).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-24938 Filed 11-9-20; 8:45 am]
BILLING CODE 8011-01-P