alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
FACT SHEET

Internet Adviser 

Registration

Reforms

U.S. SECURITIES AND EXCHANGE COMMISSION PAGE 1 OF 2

Why This Matters

Investment advisers are generally prohibited from registering with the Commission unless 

they either reach a certain assets under management threshold, advise a registered 

investment company, or qualify for an exemption under Commission rules or statute. Internet 

investment advisers are exempt from this prohibition under rule 203A-2(e) under the 

Investment Advisers Act of 1940 if they meet certain conditions, including those relating to

the adviser’s use of an interactive website to advise clients.

The proposed amendments are designed to modernize rule 203A-2(e) to reflect the broader 

evolution in technology and the marketplace since the rule’s adoption in 2002 and to better 

align current practices in the investment adviser industry with the narrow exemption that was 

intended to reflect Congress’s allocation of responsibility.

How This Rule Would Apply

The proposed amendments would apply to investment advisers seeking to register with the 

Commission, but who would otherwise be prohibited from doing so pursuant to section 203A 

of the Advisers Act. 

What Would Be Required

The proposal would amend the internet adviser exemption to require an investment adviser 

relying on the rule to at all times have an operational interactive website through which the 

adviser provides investment advisory services on an ongoing basis to more than one client. 

It would also eliminate the de minimis exception in the current rule, which currently permits 

The Securities and Exchange Commission proposed rule amendments to modernize the internet 

adviser exemption from the prohibition on SEC registration for smaller investment advisers. The 

proposed amendments would: 

● Require an investment adviser relying on the exemption to at all times have an operational 

interactive website through which the adviser provides investment advisory services on 

an ongoing basis to more than one client; and

● Eliminate the current rule’s de minimis exception for non-internet clients, thus requiring 

that an internet investment adviser must provide advice to all of its clients exclusively 

through an operational interactive website. 
FACT SHEET | Internet Adviser Exemption Reforms

U.S. SECURITIES AND EXCHANGE COMMISSION PAGE 2 OF 2

investment advisers relying on the internet adviser exemption to have a limited number (i.e., 

fewer than 15) of non-internet clients in a 12-month period. An internet investment adviser 

would thus be required to provide advice to all of its clients exclusively through an operational 

interactive website. Finally, the proposal would make certain corresponding changes to Form 

ADV.

Additional Information:

Visit sec.gov to find more information about the proposal and the full text of the proposed rules. The comment 

period will be open for 60 days following publication of the proposing release in the Federal Register.
Exhibit 32.1


                CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350,
                       AS ADOPTED PURSUANT TO SECTION 906
                        OF THE SARBANES-OXLEY ACT OF 2002



In connection with the Quarterly Report of OSK Capital II Corp.
(the "Company") on Form 10-QSB  for the period ending June 30, 2004,
(the  "Report"), I, Frank Kramer, Secretary and Treasurer of the Company,
certify, pursuant to  18 U.S.C. Section 1350, as adopted pursuant to
Section 906 of the Sarbanes-Oxley Act of 2002, that:

1) The Report fully complies with the requirement of Section 13(a) or 15(d)
of the Securities Exchange Act of 1934; and

2) The information contained in the  Report fairly presents, in all material
respects, the Company's financial position and results of operations.



/s/ Frank Kramer


-----------------------
Secretary and Treasurer

Date:
      August 2, 2004
#### § 47.2 Purpose.

The purpose of these regulations is to authorize Departmental units to request financial records from a financial institution pursuant to the formal written request procedure authorized by section 1108 of the Act, and to set forth the conditions under which such requests may be made.
§ 524.21 Definitions. ( a ) *YCA inmate:* An inmate sentenced under provision of the Youth Corrections Act who has not received an in-person “no further benefit” finding by his or her sentencing judge, and whose YCA sentence has not been completely absorbed by an adult federal sentence.
( b ) *No further benefit:* An in-person finding by the inmate's sentencing court that YCA treatment will not be of further benefit to the inmate. An inmate receiving such court finding is accordingly not considered to be a YCA inmate.
### §205a. Sections made applicable to additional lands

The provisions of the Act of August 9, 1916, entitled "An Act to establish the Lassen Volcanic National Park in the Sierra Nevada Mountains in the State of California, and for other purposes," the Act of August 25, 1916, entitled "An Act to establish a National Park Service, and for other purposes," 1 and all Acts supplementary to and amendatory of said Acts are made applicable to and extended over the lands added to the park: Provided, That the provisions of the Federal Power Act [16 U.S.C. 791a et seq.] shall not apply to or extend over such lands.

(Apr. 26, 1928, ch. 439, §2, 45 Stat. 466.)

#### **Editorial Notes**

#### References in Text

The Act of August 9, 1916, entitled "An Act to establish the Lassen Volcanic National Park in the Sierra Nevada Mountains in the State of California, and for other purposes,", referred to in text, is act Aug. 9, 1916, ch. 302, 39 Stat. 442, which enacted sections 201, 202, and 203 of this title. For complete classification of this Act to the Code, see Tables.

The Act of August 25, 1916, entitled "An Act to establish a National Park Service, and for other purposes,", referred to in text, is act Aug. 25, 1916, ch. 408, 39 Stat. 535, known as the National Park Service Organic Act, which enacted sections 1, 2, 3, and 4 of this title and provisions set out as a note under section 100101 of Title 54, National Park Service and Related Programs. Sections 1 to 4 of the Act were repealed and restated as section 1865(a) of Title 18, Crimes and Criminal Procedure, and section 100101(a), chapter 1003, and sections 100751(a), 100752, 100753, and 102101 of Title 54 by Pub. L. 113–287, §§3, 4(a)(1), 7, Dec. 19, 2014, 128 Stat. 3094, 3260, 3272. For complete classification of this Act to the Code, see Tables. For disposition of former sections of this title, see Disposition Table preceding section 100101 of Title 54.

The Federal Power Act, referred to in text, was in the original the "Act of June 10, 1920, entitled 'an Act to create a Federal power commission; to provide for the improvement of navigation, the development of water power; the use of the public lands in relation thereto; and to repeal section 18 of the River and Harbor Appropriation Act, approved August 8, 1917, and for other purposes' ", and was redesignated the Federal Power Act by section 791a of this title. The Federal Power Act is act June 10, 1920, ch. 285, 41 Stat. 1063, and is classified generally to chapter 12 (§791a et seq.) of this title. For complete classification of this Act to the Code, see section 791a of this title and Tables.

1 See References in Text note below.
ex10-111.htm


Exhibit 10.11.1

 

FIRST AMENDMENT TO EMPLOYMENT AGREEMENT

 

This First Amendment to Employment Agreement (this “Amendment”) is made and entered into as of the 9th day of February, 2016, by and between Blake L. Sartini (the “Executive”), and Golden Entertainment, Inc., a Minnesota corporation, including its subsidiaries and Affiliates (collectively, the “Company”).

 

RECITALS

 

WHEREAS, the Executive and the Company previously entered into that certain Employment Agreement made and entered into as of the 1st day of October, 2015 (the “Agreement”), pursuant to which Executive currently is employed at will by the Company; and

 

WHEREAS, the Company and the Executive wish to enter into this Amendment to modify certain terms of the Agreement.

 

NOW, THEREFORE, in consideration of the mutual promises and covenants and the respective undertakings of the Company and the Executive set forth below, the Company and the Executive agree as follows:

 

AGREEMENT

 

Amendment1.     . Section 7(c)(ii) of the Agreement is hereby deleted in its entirety and such Section is hereby replaced with the following new Section 7(c)(ii):

 

 

“(ii) Severance Payment. The Executive shall be entitled to receive severance benefits equal to (A) an amount equal to two hundred percent (200%) of his annual Base Salary (at the rate in effect immediately preceding his termination of employment), multiplied by (B) the Severance Multiplier (as defined below) in effect as of the date of the Executive’s termination of employment, payable in a lump sum on the sixtieth (60th) day after the date of Executive’s termination of employment.”

 

2.     Status of Agreement. Except to the limited extent expressly amended hereby, the Agreement and its terms and conditions remain in full force and effect and unchanged by this Amendment. Capitalized terms used herein but not defined herein shall have the meanings ascribed such terms in the Agreement.

 

3.     Counterparts and Facsimile Signatures. This Amendment may be executed simultaneously in one or more counterparts hereof, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. Facsimile signatures are permitted and shall be binding for purposes of this Amendment. 

 

[Signature Page Follows]

 

 


 

 




 


 

IN WITNESS WHEREOF, the Executive has hereunto set the Executive’s hand and, pursuant to the due authorization of its Board, the Company has caused this Amendment to be executed in its name and on its behalf, all as of the day and year first written above.

 

 

 

	
GOLDEN ENTERTAINMENT, INC.:

	
EXECUTIVE:

	
By: /s/ Matthew W. Flandermeyer 
	
By:/s/ Blake L. Sartini

	
Name: Matthew Flandermeyer
	
Blake L. Sartini

	
Its:      Executive Vice President and Chief Financial Officer
	  


 

 

2
116TH CONGRESS 

1ST SESSION S. J. RES. 27 

JOINT RESOLUTION 

Providing for congressional disapproval of the proposed 

transfer to the United Arab Emirates, United Kingdom, 

and Australia certain defense articles and services. 

1 Resolved by the Senate and House of Representatives

2 of the United States of America in Congress assembled, 

3 That the issuance of an export license with respect to the 

4 following proposed exports to the United Arab Emirates, 

5 United Kingdom, and Australia is prohibited: 

6 (1) The transfer of the following defense arti7 cles, including services and technical data, described 

8 in Executive Communication 1424 (EC–1424) sub9 mitted to Congress pursuant to section 36(c) of the 

10 Arms Export Control Act (22 U.S.C. 2776(c)) and 

11 published in the Congressional Record on June 3, 

12 2019: The proposed transfer of defense articles, de13 fense services, and technical data to support the 

14 marketing, sale and on-going support for the 

15 ScanEagle and Integrator Unmanned Aerial Sys16 tems and for future Intelligence, Surveillance, and 
2 

†SJ 27 ES 

1 Reconnaissance (ISR) requirements for end-use by 

2 the United Arab Emirates Armed Forces; and hard3 ware and defense services related to Wide Area Sur4 veillance Payload (Redkite), laser designator, and in5 tegration of maritime search payload—Visual Detec6 tion and Ranging (ViDAR). 

Passed the Senate June 20, 2019. 

Attest: 

Secretary. 

116TH CONGRESS 

1ST SESSION S. J. RES. 27 

JOINT RESOLUTION 

Providing for congressional disapproval of the proarticles and services. United Kingdom, and Australia certain defense posed transfer to the United Arab Emirates,
You may not send a completed printout of this form to the SEC to satisfy a filing obligation. You can only satisfy an SEC filing obligation by

 submitting the information required by this form to the SEC in electronic format online at https://www.onlineforms.edgarfiling.sec.gov.

OMB APPROVAL 

OMB Number: 3235-0104 

Expires: July 31, 2024

Estimated average burden 

hours per response. . . . . . 0.5 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION 

FORM 3 Washington, D.C. 20549

Form 3 

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 

(Print or Type Responses) 

1. Name and Address of Reporting Person* 2. Date of Event

Requiring Statement

(Month/Day/Year)

3. Issuer Name and Ticker or Trading Symbol

(Last) (First) (Middle) 4. Relationship of Reporting Person(s) to Issuer

(Check all applicable) 

Director 10% Owner 

Officer (give Other (specify 

title below) below) 

5. If Amendment, Date

Original Filed (Month/Day/

Year)

6. Individual or Joint/Group

Filing (Check Applicable Line) 

__Form filed by One Reporting Person 

__Form filed by More than One ReportingPerson 

(Street) 

(City) (State) (Zip) Table I — Non-Derivative Securities Beneficially Owned 

1. Title of Security

(Instr. 4)

2. Amount of Securities

Beneficially Owned

(Instr. 4)

3. Ownership

Form: Direct

(D) or Indirect

(I) (Instr. 5)

4. Nature of Indirect Beneficial Ownership

(Instr. 5)

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. 

* If the form is filed by more than one reporting person, see Instruction 5(b)(v).

Potential persons who are to respond to the collection of information contained in this form are not

required to respond unless the form displays a currently valid OMB control number. (Over) 

SEC 1473 (11-11) 
 

 

 

FORM 3 (continued) Table II — Derivative Securities Beneficially Owned ( e.g., puts, calls, warrants, options, convertible securities) 

1. Title of Derivative Security

(Instr. 4)

2. Date Exercisable and

Expiration

Date

(Month/Day/Year) 

3. Title and Amount of Securities Underlying

Derivative Security

(Instr. 4)

4. Conversion or

Exercise

Price of

Derivative

Security

5. Ownership

Form of

Derivative

Security:

Direct

(D) or

Indirect

(I)

(Instr. 5)

6. Nature of Indirect

Beneficial Ownership

(Instr. 5)

Date 

Exercisable 

Expiration 

Date Title 

Amount 

or

Number 

of 

Shares 

Explanation of Responses: 

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. **Signature of Reporting Person Date 

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). 

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, 

See Instruction 6 for procedure. 

Potential persons who are to respond to the collection of information contained in this form are not 

required to respond unless the form displays a currently valid OMB Number. 

Page 2
EXHIBIT
32.2
  Certification
pursuant to 18 U.S.C. Section 1350,
 as
adopted pursuant to Section 906 of the Sarbanes-Oxley act of
2002
  In
connection with the Quarterly Report of Teliphone Corp.. (the “Company”) on Form
10–Q for the period ended June 30, 2009, as filed with the Securities and
Exchange Commission on the date hereof (the “Report”), I, George Metrakos,
Principal Financial and Accounting Officer of the Company, certify, pursuant to
18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the
Sarbanes–Oxley Act of 2002, to the best of his knowledge, that:
  1.      
The Report fully complies with the requirements of Section 13(a) or 15(d)
of the Securities Exchange Act of 1934; and
  2.      
The information contained in the Report fairly presents, in all material
respects, the financial condition and results of operations of the
Company.
  /s/
      George MetrakosGeorge
      Metrakos
                    Principal
      Financial and Accounting Officer
 
 Dated:
August
14, 2009
## Breadcrumb

-  Home 
-  SBA Leadership 
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#   U.S. Small Business Administration

The SBA works to ignite change and spark action so small businesses can confidently start, grow, expand, or recover.

## Blogs by   U.S. Small Business Administration

                  -  The SBA Emphasizes the Importance of Financial LiteracyBy U.S. Small Business Administration on April 4, 2024
Brush up on your financial practice knowledge this Financial Literacy Month.
 
                  -  Make Your Business Eco-Friendlier This Earth DayBy U.S. Small Business Administration on April 4, 2024
Practical suggestions to help run a more enviromentally conscious small business.
 
                  -  Stay Safe: Tips to Protect Your Business from Scams Targeting COVID Loan BorrowersBy U.S. Small Business Administration on March 28, 2024
Take steps today to help keep yourself and your business safe from scams targeting PPP and EIDL borrowers.
 
                  -  How Does the SBA Help Women Entrepreneurs Finance Their Business Ventures?By U.S. Small Business Administration on March 27, 2024
In honor of Women’s History Month, this is the final of four blogs in our series to highlight what the SBA does to help women business owners succeed globally.
 
                  -  How Does the SBA Help Women Entrepreneurs Take Their Business to the Next Level? By U.S. Small Business Administration on March 22, 2024
In honor of Women’s History Month, this is the third of four blogs in our series to highlight what the SBA does to help women business owners succeed globally.
 

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### SUBCHAPTER CIII—PINE RIDGE NATIONAL RECREATION AREA
UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Administrative Proceedings Rulings

Release No. 6839 / April 1, 2022

Administrative Proceeding

File No. 3-20801

In the Matter of

DF Growth REIT II, LLC

Order Designating 

Presiding Judge

The Securities and Exchange Commission has ordered that this 

proceeding be set for a hearing before an administrative law judge in 

accordance with Commission Rule of Practice 110, 17 C.F.R. § 201.110.

IT IS ORDERED that Administrative Law Judge Jason S. Patil preside at 

the hearing in this proceeding and perform other and related duties in 

accordance with the Commission’s Rules of Practice. 

Service of all orders and rulings on parties is made by the Commission’s 

Office of the Secretary, or other duly authorized Commission officer, in 

accordance with Commission Rule of Practice 141, 17 C.F.R. § 201.141. 

Instructions for parties and all notices, orders, and decisions issued by an 

administrative law judge are posted on the Commission’s website at 

http://www.sec.gov/alj. In addition to complying with the Commission’s 

electronic filing requirements, see 17 C.F.R. § 201.152(a); https://www.sec.gov/efap,

the parties are directed to email courtesy copies of all filings to alj@sec.gov. 

For the Commission, by its Chief Administrative Law Judge, pursuant to 

delegated authority.

 

/s/ James E. Grimes 

Chief Administrative Law Judge
In the Interest of D.S.O.,

Child Appellant/s



# Fourth Court of Appeals

San Antonio, Texas

January 30, 2014

N o. 04-14-00061-CV

IN THE INTEREST OF D.S.O., Child,

From the 288th Judicial District Court, Bexar County, Texas

Trial Court No. 2012-PA-01423

Honorable Charles E. Montemayor, Judge Presiding



### O R D E R

The District Clerk’s Notification of Late Record is GRANTED. The clerk’s record is due

on February 3, 2014.

cms

_________________________________ Catherine Stone, Chief Justice

IN WITNESS WHEREOF, I have hereunto set my hand and affixed the seal of the said

court on this 30th day of January, 2014

.

___________________________________ Keith E. Hottle

Clerk of Court
## Breadcrumb

-  Home 
-  Local Assistance 
-  Community Navigators 

## Section navigation

-  Resource Partners 
-  Export and trade assistance 
-  Federal contracting assistance 
-  Community Navigators 
-  Regional Innovation Clusters 
-  Veterans Business Development Officers 

# Community Navigators

----

## Content

----

## Outreach to businesses in underserved communities

The Biden-Harris Administration is committed to ensuring that the nation’s small businesses receive the support they need to access federal relief programs that can help them weather the economic downturn caused by the COVID-19 pandemic. This technical assistance is critical, as small businesses have been hit hard over the course of the last year, impacting at least 400,000 businesses. Previous rounds of economic relief last year helped millions of small businesses stay afloat and keep employees on the payroll, yet too many minority-owned businesses and mom and pops found themselves at the end of the line, while larger, well-connected businesses accessed programs right away. To better reach these small businesses, SBA is launching the Community Navigator Pilot Program that will strengthen outreach to underserved businesses by partnering with organizations with deep roots in their communities.

## What are Community Navigators?

The Community Navigator Pilot Program is an American Rescue Plan initiative designed to reduce barriers that underrepresented and underserved entrepreneurs often face in accessing the programs they need to recover, grow, or start their businesses. The program will provide a total of $100 million in funding to 51 organizations that will work with hundreds of local community groups to improve access to SBA and government resources for America’s entrepreneurs. 

The selected projects will cover diverse communities across the U.S. and Puerto Rico. Grantees will serve as “hubs” -- centralized, lead organizations, which will incorporate “spokes,” organizations that have built trust in their local communities and will be the ‘boots on the ground’ that will connect small businesses to critical resources and assistance, including:
                  - financial assistance and access to capital
                  - contracting and procurement
                  - marketing, operations, business development, and exporting
                  - industry-specific training

See the Community Navigator Pilot Program grantee announcement and FAQs about the Community Navigator Pilot Program.

### Find a Community Navigator

##         Find your nearest Community Navigator      

Enter a valid 5-digit ZIP Code.

#### Community Navigator Pilot Program grantees

These 51 Hub organizations support 450 Spokes which provide assistance in all 50 states and Puerto Rico.

## Information for organizations

Find information for Community Navigator organizations.****
Michigan Supreme Court

Lansing, Michigan

Robert P. Young, Jr.

, Chief Justice

Michael F. Cavanagh

Marilyn Kelly

Stephen J. Markm an Diane M. Hathaway

Mary Beth Kelly

Brian K. Zahra

, Justices

I, Corbin R. Davis, Clerk of the Michigan Supreme Court, certify that the

foregoing is a true and complete copy of the order entered at the direction of the Court.

_________________________________________ Clerk November 20, 2012

h1113 

# Order

November 20, 2012

145602

PEOPLE OF THE STATE OF MICHIGAN,

Plaintiff

- Appellee,

v SC: 145602

COA: 304576

St. Clair CC: 11

- 000167

- FC

TIMOTHY NEAL THOMAS,

Defendant

- Appellant.

____________________________________/

On order of the Court, the application for leave to appeal the June 14, 2012

judgment of the Co urt of Appeals is considered, and it is DENIED, because we are not

persuaded that the question presented should be reviewed by this Court.
### §31. Repealed. June 25, 1948, ch. 646, §39, 62 Stat. 992, eff. Sept. 1, 1948

Section, act May 7, 1894, ch. 72, §8, 28 Stat. 75, related to payment of costs and expenses.