alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934 

Release No. 82590 / January 26, 2018

ADMINISTRATIVE PROCEEDING 

File No. 3-17740

In the Matter of

Augustine Capital Management, LLC 

(f/k/a Augustine Capital Management, 

Inc.), John T. Porter, and Thomas F. 

Duszynski, CPA

Respondents.

:

:

:

:

:

:

:

:

:

EXTENSION ORDER

The Division of Enforcement (“Division”) has requested an extension of time until 

November 29, 2018 to submit a Proposed Plan of Distribution under Rule 1101(a) of the 

Commission’s Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1101(a).

On October 26, 2017, the Commission issued an order 1(the “Order”) against 

Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.) (“ACM”), 

John T. Porter (“Porter”), and Thomas F. Duszynski, CPA (“Duszynski”) (collectively, the 

“Respondents”). The Order found the Respondents jointly and severally liable for 

$685,514.73 in disgorgement and $42,791.38 in prejudgment interest; and required ACM, 

Porter, and Duszynski pay a $150,000.00, $75,000.00, and $50,000.00 civil money penalty, 

respectively. The Order also created a Fair Fund, pursuant to Section 308(a) of the SarbanesOxley Act of 2002, as amended, so the penalties, along with the disgorgement and interest, 

paid can be distributed to harmed investors.

 

1

Investment Advisers Act Rel. No. 4800 (Oct. 26, 2017).
2

In its request for an extension of time, the Division states that additional time is needed 

to complete the appointment of the fund administrator in this matter and to allow for time to 

develop the Proposed Plan of Distribution.

Accordingly, for good cause shown, IT IS HEREBY ORDERED that the Division’s 

request for an extension of time until November 29, 2018 to submit a Proposed Plan of 

Distribution is granted.

For the Commission, by its Secretary, pursuant to delegated authority. 

Brent J. Fields

Secretary
### §556f. Expenses of student interns

On and after October 5, 1992, funds appropriated to the Department of Agriculture, Forest Service may be used to pay transportation, lodging, and subsistence expenses of student interns, defined as employees who assist scientific, professional, or technical employees and who are bona fide students of accredited colleges or universities who are pursuing courses related to the field in which employed.

(Pub. L. 102–381, title II, Oct. 5, 1992, 106 Stat. 1403.)
# Official Journal C 382/2018

| | ISSN 1977-091X |
| --- | --- |
| Official Journal
  of the European Union | C 382 |
| | |
| English edition | Information and Notices | Volume 6123 October 2018 |

ISSN 1977-091X

Official Journal

of the European Union

C 382

English edition

Information and Notices

Volume 6123 October 2018

---

| Contents | page |
| --- | --- |
| | II   Information |
| | INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES |
| | European Commission |
| 2018/C 382/01 | Non-opposition to a notified concentration (Case M.9092 — EQT Fund Management/Saur) (
  1
  ) | 1 |
| 2018/C 382/02 | Non-opposition to a notified concentration (Case M.9109 — Omers/BCI/AIMCo/PGGM/CPPIB/Puget Holdings) (
  1
  ) | 1 |

Contents

page

II   Information

INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES

European Commission

2018/C 382/01

Non-opposition to a notified concentration (Case M.9092 — EQT Fund Management/Saur) (
  1
  )

1

1

2018/C 382/02

Non-opposition to a notified concentration (Case M.9109 — Omers/BCI/AIMCo/PGGM/CPPIB/Puget Holdings) (
  1
  )

1

1

---

| | III   Preparatory acts |
| --- | --- |
| | European Central Bank |
| 2018/C 382/03 CON/2018/37 | Opinion of the European Central Bank of 22 August 2018 on a proposal for a directive of the European Parliament and of the Council on the issue of covered bonds and covered bond public supervision and amending Directive 2009/65/EC and Directive 2014/59/EU; and on a proposal for a regulation of the European Parliament and of the Council on amending Regulation (EU) No 575/2013 as regards exposures in the form of covered bonds (CON/2018/37) | 2 |
| 2018/C 382/04 CON/2018/38 | Opinion of the European Central Bank of 31 August 2018 on a proposal for a regulation on certain charges on cross-border payments in the Union and currency conversion charges (CON/2018/38) | 7 |

III   Preparatory acts

European Central Bank

2018/C 382/03 CON/2018/37

Opinion of the European Central Bank of 22 August 2018 on a proposal for a directive of the European Parliament and of the Council on the issue of covered bonds and covered bond public supervision and amending Directive 2009/65/EC and Directive 2014/59/EU; and on a proposal for a regulation of the European Parliament and of the Council on amending Regulation (EU) No 575/2013 as regards exposures in the form of covered bonds (CON/2018/37)

2

2018/C 382/04 CON/2018/38

Opinion of the European Central Bank of 31 August 2018 on a proposal for a regulation on certain charges on cross-border payments in the Union and currency conversion charges (CON/2018/38)

7

---

| | IV   Notices |
| --- | --- |
| | NOTICES FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES |
| | European Commission |
| 2018/C 382/05 | Euro exchange rates | 9 |

IV   Notices

NOTICES FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES

European Commission

2018/C 382/05

Euro exchange rates

9

---

| | |
| --- | --- |
| | (1)   Text with EEA relevance. |

---

(1)   Text with EEA relevance.

1

| EN | |
| --- | --- |

EN
UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934 

Release No. 91508 / April 8, 2021

ADMINISTRATIVE PROCEEDING

File No. 3-19715

In the Matter of

Fortress Investment Management, 

LLC and William M. Malloy, III.,

Respondents.

:

:

:

:

:

:

:

ORDER DIRECTING 

DISBURSEMENT OF FAIR

FUND

On November 23, 2020, the Secretary, pursuant to delegated authority, published a 

Notice of Proposed Plan of Distribution and Opportunity for Comment (“Notice”),1 pursuant to 

Rule 1103 of the Commission’s Rules on Fair Fund and Disgorgement Plans (“Commission’s 

Rules”).2 The Notice advised interested persons that they could obtain a copy of the Proposed 

Plan of Distribution (“Proposed Plan”) from the Commission’s public website or by submitting a 

written request to Noel Gittens, United States Securities and Exchange Commission, 100 F 

Street, NE, Washington, DC 20549-5876. The Notice also advised that all persons desiring to 

comment on the Proposed Plan could submit their comments, in writing, within 30 days of the 

Notice. The Commission received no comments on the Proposed Plan during the comment 

period. On January 14, 2021, the Secretary, pursuant to delegated authority, issued an order 

approving the Proposed Plan,3 and posted the approved Plan of Distribution (the “Plan”). 

 

1

 Exchange Act Rel. No. 90483 (Nov. 23, 2020).

2

 17 C.F.R. § 201.1103.

3

 See Order Approving Plan of Distribution, Exchange Act Rel. No. 90924 (Jan. 14, 2021).
2

The Plan provides for the distribution of the Fair Fund, plus accumulated interest, less 

taxes, fees, and expenses, to the harmed investors according to the methodology set forth in the 

Plan. 

In accordance with the Plan, the Fund Administrator has compiled the payee information 

and prepared a payment file in a Commission-approved format. The Commission staff has 

reviewed the payment file and requests, pursuant to Rule 1101(b)(6) of the Commission’s Rules 

on Fair Fund and Disgorgement Plans,4that the Commission direct the payment of $145,096.20 

from the Fair Fund for distribution by the Fund Administrator to the 13 eligible investors in 

accordance with the Plan.

Accordingly, it is hereby ORDERED that the Commission staff shall direct the payment 

of $145,096.20 from the Fair Fund for distribution by the Fund Administrator to the eligible 

investors in accordance with the Plan.

For the Commission, by the Division of Enforcement, pursuant to delegated authority.5

Vanessa A. Countryman

Secretary 

 

4

 17 C.F.R. § 201.1101(b)(6).

5

 17 C.F.R. § 200.30-4(a)(21)(v).
<TABLE> <S> <C>

<ARTICLE> 5
<LEGEND>
THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED
FROM THE ANNUAL REPORT ON FORM 10-K AND IS QUALIFIED IN IT
ENTIRETY BY REFERENCE TO SUCH 10-K.
</LEGEND>
<MULTIPLIER> 1,000
       
<S>                             <C>
<PERIOD-TYPE>                   YEAR
<FISCAL-YEAR-END>                          JUN-30-1998
<PERIOD-START>                             JUL-01-1997
<PERIOD-END>                               JUN-30-1998
<CASH>                                              61
<SECURITIES>                                         0
<RECEIVABLES>                                    3,354
<ALLOWANCES>                                     (210)
<INVENTORY>                                          0
<CURRENT-ASSETS>                                 3,246
<PP&E>                                             537
<DEPRECIATION>                                   (421)
<TOTAL-ASSETS>                                   3,507
<CURRENT-LIABILITIES>                            3,432
<BONDS>                                              0
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                            35
<OTHER-SE>                                        (13)
<TOTAL-LIABILITY-AND-EQUITY>                     3,507
<SALES>                                         21,134
<TOTAL-REVENUES>                                21,134
<CGS>                                           18,118
<TOTAL-COSTS>                                   20,246
<OTHER-EXPENSES>                                    13
<LOSS-PROVISION>                                     0
<INTEREST-EXPENSE>                                  56
<INCOME-PRETAX>                                    819
<INCOME-TAX>                                        58
<INCOME-CONTINUING>                                761
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                       761
<EPS-PRIMARY>                                      .45
<EPS-DILUTED>                                      .26
        

</TABLE>
<TABLE> <S> <C>

<ARTICLE> 5
<LEGEND>
THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM
FRONTIER COMMUNICATIONS OF NEW YORK, INC.'S FINANCIAL STATEMENTS FOR
THE YEAR ENDED DECEMBER 31, 1995 AND IS QUALIFIED IN ITS ENTIRETY
BY REFERENCE TO SUCH FINANCIAL STATEMENTS.
</LEGEND>
<CIK> 0000047417
<NAME> FRONTIER COMMUNICATIONS OF NEW YORK, INC.
<MULTIPLIER> 1,000
       
<S>                             <C>
<PERIOD-TYPE>                   YEAR
<FISCAL-YEAR-END>                          DEC-31-1995
<PERIOD-END>                               DEC-31-1995
<CASH>                                           4,827
<SECURITIES>                                         0
<RECEIVABLES>                                   16,772
<ALLOWANCES>                                         0
<INVENTORY>                                        345
<CURRENT-ASSETS>                                   590
<PP&E>                                         107,916
<DEPRECIATION>                                  60,509
<TOTAL-ASSETS>                                  72,137
<CURRENT-LIABILITIES>                           14,645
<BONDS>                                              0
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                      2,493
<COMMON>                                         2,280
<OTHER-SE>                                      34,468
<TOTAL-LIABILITY-AND-EQUITY>                    72,137
<SALES>                                              0
<TOTAL-REVENUES>                                44,424
<CGS>                                                0
<TOTAL-COSTS>                                   28,465
<OTHER-EXPENSES>                                     0
<LOSS-PROVISION>                                     0
<INTEREST-EXPENSE>                                 797
<INCOME-PRETAX>                                 15,254
<INCOME-TAX>                                     5,312
<INCOME-CONTINUING>                                  0
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                (8,208)
<CHANGES>                                            0
<NET-INCOME>                                     1,734
<EPS-PRIMARY>                                     3.11
<EPS-DILUTED>                                     3.11
        

</TABLE>
### §698m–1. Big Cypress National Preserve Addition

#### (a) Establishment

In order to—

(1) achieve the purposes of section 698f of this title;

(2) complete the preserve in conjunction with the planned construction of Interstate Highway 75; and

(3) insure appropriately managed use and access to the Big Cypress Watershed in the State of Florida,

the Big Cypress National Preserve Addition is established.

#### (b) Location; boundaries; publication in Federal Register

The Big Cypress National Preserve Addition (referred to in sections 698f to 698m–4 of this title as the "Addition") shall comprise approximately 146,000 acres as generally depicted on the map entitled Big Cypress National Preserve Addition, dated April, 1987, and numbered 176–91000C, which shall be on file and available for public inspection in the Office of the National Park Service, Department of the Interior, Washington, D.C., and shall be filed with appropriate offices of Collier County in the State of Florida. The Secretary shall, as soon as practicable, publish a detailed description of the boundaries of the Addition in the Federal Register.

#### (c) Designation; management

The area within the boundaries depicted on the map referred to in subsection (b) shall be known as the "Big Cypress National Preserve Addition" and shall be managed in accordance with section 698i of this title.

#### (d) Completion of land acquisition; time

For purposes of administering the Addition and notwithstanding section 698g(c) of this title, it is the express intent of the Congress that the Secretary should substantially complete the land acquisition program contemplated with respect to the Addition in not more than five years after April 29, 1988.

(Pub. L. 93–440, §9, as added Pub. L. 100–301, §3(a), Apr. 29, 1988, 102 Stat. 444.)
§ 217.3 Maintenance of status. ( a ) *Satisfactory departure.* If an emergency prevents an alien admitted under this part from departing from the United States within his or her period of authorized stay, the district director having jurisdiction over the place of the alien's temporary stay may, in his or her discretion, grant a period of satisfactory departure not to exceed 30 days. If departure is accomplished during that period, the alien is to be regarded as having satisfactorily accomplished the visit without overstaying the allotted time.
( b ) *Readmission after departure to contiguous territory or adjacent island.* An alien admitted to the United States under this part may be readmitted to the United States after a departure to foreign contiguous territory or adjacent island for the balance of his or her original Visa Waiver Program admission period if he or she is otherwise admissible and meets all the conditions of this part with the exception of arrival on a signatory carrier.
[62 FR 10351, Mar. 6, 1997, as amended at 87 FR 18980, Apr. 1, 2022]
### §§564, 565. Repealed. Pub. L. 95–313, §16(a)(1), formerly §13(a)(1), July 1, 1978, 92 Stat. 374; renumbered §16(a)(1), Pub. L. 101–624, title XII, §1215(1), Nov. 28, 1990, 104 Stat. 3525

Section 564, act June 7, 1924, ch. 348, §1, 43 Stat. 653, required cooperation between the Secretary of Agriculture and State officials as to recommendations for forest fire prevention and suppression systems.

Section 565, acts June 7, 1924, ch. 348, §2, 43 Stat. 653; Mar. 3, 1925, ch. 447, 43 Stat. 1127; Apr. 13, 1926, ch. 119, 44 Stat. 242; Sept. 21, 1944, ch. 412, title II, §207, 58 Stat. 736; July 25, 1947, ch. 327, §1, 61 Stat. 449, required cooperation between the Secretary of Agriculture and State officials in fire protection of timbered and forest-producing lands.

#### **Statutory Notes and Related Subsidiaries**

#### Effective Date of Repeal

Repeal effective Oct. 1, 1978, see section 17 of Pub. L. 95–313, set out as an Effective Date note under section 2101 of this title.
UNITED STATES OF AMERICA

BEFORE THE

SECURITIES AND EXCHANGE COMMISSION

INVESTMENT COMPANY ACT OF 1940

Release No. 35126 / February 6, 2024

________________________________________________________________________

In the Matter of : 

 : 

VENERABLE INSURANCE AND ANNUITY COMPANY :

SEPARATE ACCOUNT EQ OF VENERABLE INSURANCE AND ANNUITY :

COMPANY :

699 Walnut Street, Suite 1350 :

Des Moines Iowa 50309 :

:

DIRECTED SERVICES LLC :

1475 Dunwoody Drive, Suite 200 :

West Chester, Pennsylvania 19380 :

:

(812-15479) :

 :

ORDER PURSUANT TO SECTION 11 OF THE INVESTMENT COMPANY ACT OF 1940 

APPROVING THE TERMS OF AN OFFER OF EXCHANGE

Venerable Insurance and Annuity Company, et al. filed an application on June 27, 2023 and an 

amendment to the application on October 13, 2023, requesting an order pursuant to section 11 of 

the Investment Company Act of 1940 (“1940 Act”). The order would approve the terms of an 

offer of exchange of certain annuity contracts issued by Equitable Financial Life Insurance 

Company (“EFLIC”) and made available through Separate Account No. 49 of Equitable 

Financial Life Insurance Company for virtually identical annuity contracts issued by Venerable 

Insurance and Annuity Company (“VIAC”) and made available through the Separate Account 

EQ of Venerable Insurance and Annuity Company, pursuant to an assumption reinsurance 

agreement between VIAC and EFLIC.

On January 11, 2024, a notice of the filing of the application was issued (Investment Company 

Act Release No. 35089). The notice gave interested persons an opportunity to request a hearing 

and stated that an order disposing of the application would be issued unless a hearing was 

ordered. No request for a hearing has been filed, and the Commission has not ordered a hearing. 

The matter has been considered, and it is found that the approval of the offer of exchange is 

appropriate in the public interest and consistent with the protection of investors and the purposes 

fairly intended by the policy and provisions of the 1940 Act.

Accordingly, in the matter of Venerable Insurance and Annuity Company, Separate Account EQ 

of Venerable Insurance and Annuity Company and Directed Services LLC (File No. 812-15479),
2

IT IS ORDERED, pursuant to Section 11 of the 1940 Act, that the requested approval of the 

offer of exchange be, and hereby is, granted, effective forthwith.

For the Commission, by the Division of Investment Management, under delegated authority.

J. Matthew DeLesDernier,

Deputy Secretary.
§ 1225.6 Award procedures for incentive grant program. ( a ) In each Federal fiscal year, grant funds will be apportioned to eligible States upon submission and approval of the documentation required by § 1225.5(a) and subject to the limitations in § 1225.5(b). The obligation authority associated with these funds is subject to the limitation on obligation pursuant to section 1102 of the Transportation Equity Act for the 21st Century (TEA-21).
( b ) As soon as practicable after the apportionment in a fiscal year, but in no event later than September 30 of the fiscal year, the Governor's Representative for Highway Safety and the Secretary of the State's Department of Transportation for each State that receives an apportionment shall jointly identify, in writing to the appropriate NHTSA Regional Administrator, the amounts of the State's apportionment that will be obligated to highway safety program areas and to Federal-aid highway projects. Each NHTSA Regional Administrator will forward copies of the joint letters to the appropriate NHTSA and FHWA offices.
( c ) Apportionments will not be made by the NHTSA and FHWA unless this letter from the State is received.
-82 -80 -78 -76 -74

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(54 South. 1008.)

No. 18,798.

#### STATE v. GUILLORY. Ex parte GUILLORY.

(April 17, 1911.)

*(Syllabus by the Court.)*

Habeas Corpus (§ 44*) — Supreme Court — Appellate Jurisdiction.

“The Supreme Court, and each of the justices thereof, shall have power to issue the writ of habeas corpus, at the instance of any person *in*actual custody, in any case where it may have appellate jurisdiction.”

[Ed. Note.—For other cases, see Habeas Corpus, Cent. Dig. §§ 35, 613; Dec. Dig. § 44;* Courts, Cent. Dig. § 613.]

Application of O. E. Guillory for a writ of habeas corpus.

Writ denied.

Edwards & Taught, for relator. ' Respondent Judge, in pro. per. Walter Guión, Atty. *559Gen. (G. A. Gondran, of counsel), for the State.

SOMMERVILLE, J.

Defendant applies for a writ of habeas corpus, directed to the sheriff of the parish of Evangeline, ordering him to release applicant from jail, and to restore him to the custody of his lessees. 1-Ie alleges that such persons b.ecame the lessees of his person under an ordinance of the police jury, passed by authority of Act No. 204 of 1908, which act provides for the leasing out of certain convicted persons under given conditions, by the police jury.

Defendant was tried and convicted on a charge of assault and battery, and he was sentenced to 30 days in the parish jail, and to pay a fine of $50.

The court is without appellate jurisdiction in the case (Const, art. 85), and cannot, therefore, issue the writ of habeas corpus asked for (Const, art. 93).

The rule nisi issued herein is recalled, and the application of plaintiff is denied.
**EXHIBIT      32.1**

**OFFICER’S      SECTION 1350 CERTIFICATIONS**

|   | (i) | The                Company’s Quarterly Report on Form 10-Q for the nine months ended                September 30, 2005, fully complies with the requirements of Section                13(a)                of the Securities Exchange Act of 1934, as amended,                and |
|--------|-----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (ii) | The                information contained in the Company’s Quarterly Report on Form 10-Q for                the nine months ended September 30, 2005, fairly presents in all                material                respects, the financial condition and results of operations of the                Company, at and for the periods                indicated. |
|--------|------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

| Date:                November 18, 2005 | /s/                Steven A. Abney              |
|----------------------------------------|---------------------------------------------------------------------|
|                                   | Steven                A. Abney                                      |
|                                   | Executive                Vice President and Chief Financial Officer |
|                                   | (Principal                Financial and Accounting Officer and      |
|                                   | Acting                Principal Executive Officer)                  |