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. 88919 / May 21, 2020

ADMINISTRATIVE PROCEEDING 

File No. 3-18527

In the Matter of

deVere USA, Inc.

Respondent.

:

:

:

:

:

:

:

ORDER EXTENDING TIME TO 

ENTER AN ORDER APPROVING OR 

DISAPPROVING PLAN OF 

DISTRIBUTION

On March 23, 2020, pursuant to Rule 1103 of the United States Securities and Exchange 

Commission’s Rules on Fair Fund and Disgorgement Plans (the “Commission’s Rules”), 17 

C.F.R.§ 201.1103, the Commission published a Notice of Proposed Plan of Distribution and 

Opportunity to Comment (“Notice”)1for the distribution of monies placed into a Fair Fund in the 

above-captioned matter. The Notice invited public comment on the proposed plan of distribution

(“Plan”) through April 22, 2020, and the Commission received public comments that raised 

various issues (the “Comments”).

Rule 1104 of the Commission’s Rules, 17 C.F.R. § 201.1104, provides in relevant part, 

“[t]he order approving or disapproving the plan should be entered within 30 days after the end of 

the final period allowed for comments on the proposed plan unless the Commission or the 

hearing officer, by written order, allows a longer period for good cause shown.”

Thirty (30) days from the end of the final period for comments on the Plan will lapse on 

 

1

 Exchange Act Rel. No. 88452 (Mar. 23, 2020).
2

May 22, 2020. The Division requests additional time to present its recommendation to the 

Commission regarding the Comments and the Plan and has demonstrated good cause to extend 

the thirty (30) day time period, provided in Rule 1104 of the Commission’s Rules, with entry of 

an order extending time to approve or disapprove the Plan until July 31, 2020.

Accordingly, IT IS ORDERED that pursuant to Rule 1104 of the Commission’s Rules,2

for good cause shown, the time for entering an order approving or disapproving the Plan is 

extended to July 31, 2020.

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

Vanessa A. Countryman

Secretary

 

2

 17 C.F.R. § 201.1104.
#### § 490.807 National performance management measure for assessing on-road mobile source emissions for the purposes of the Congestion Mitigation and Air Quality Improvement Program.

The performance measure for the purpose of carrying out the CMAQ Program and for State DOTs to use to assess on-road mobile source emissions is “Total Emissions Reduction,” which is the 2-year and 4-year cumulative reported emission reductions, for all projects funded by CMAQ funds, of each criteria pollutant and applicable precursors (PM2.5, PM10, CO, VOC, and NOx) under the CMAQ program for which the area is designated nonattainment or maintenance.
#### William FIGUEROA, Plaintiff-Appellant, v. DEPARTMENT OF VETERANS AFFAIRS, Robert S. Doland, Adjudicating Officer, Defendants-Appellees.

Docket No. 01-6170.

United States Court of Appeals, Second Circuit.

May 14, 2002.

*24William Figueroa, Rensselaer, NY, pro se.

Barbara D. Cottrell, Ass’t U.S. Att’y, NDNY, Albany, NY, for Appellees.

Present FEINBERG, KEARSE, and B.D. PARKER, Jr., Circuit Judges.

*SUMMARY ORDER*

This cause came on to be heard on the record from the United States District Court for the Northern District of New York, and was submitted by plaintiff *pro se*and by counsel for defendants.

ON CONSIDERATION WHEREOF, it is now hereby ordered, adjudged, and decreed that the judgment of said District Court be and it hereby is affirmed substantially for the reasons stated in Judge Hurd’s Decision and Order dated June 27, 2001.

We have considered all of plaintiffs contentions on this appeal and have found them to be without merit. The judgment of the district court is affirmed.
<PAGE>

September 7, 1999


Anthony C. Naughtin
Chief Executive Officer
InterNAP Network Services Corporation
Two Union Square
601 Union Street, Suite 1000
Seattle, Washington 98101

Re: Offer of Employment

Dear Tony:

Reference is made to the Offer of Employment letter dated August 27, 1999
("Offer Letter"). This letter sets forth certain other agreements and
clarifications with respect to my employment with InterNAP.

In the event my employment with InterNAP is terminated for reasons other than
(i) my voluntary resignation, (ii) my death or (iii) for Cause (as defined
below) within the twelve month period of the "date of grant" referenced in the
Offer Letter then I will fully and immediately vest in the 50,000 options to
purchase InterNAP stock (at the price per share of $8.00) in which I would have
vested through the first anniversary of the date of grant had my employment with
InterNAP continued through such twelve-month period.

In addition (and without limitation of the immediately preceding paragraph),
in the event my employment with InterNAP is terminated for reasons other than
(i) my voluntary resignation, (ii) my death or (iii) for Cause (as defined
below), I will receive no less than six months severance pay (based upon my
then applicable base salary and expected bonus), and will fully and
immediately vest in such options to purchase InterNAP stock (at the
applicable strike price) to which I would have vested had my employment with
InterNAP continued through such six month period. Furthermore, all health,
life and other insurance/benefits shall continue through such severance
period as though my employment with InterNAP continued.

For purposes of this letter "Cause" shall mean (A) the conviction or a plea of
nolo contendere to a felony involving fraud, dishonesty or moral turpitude, (B)
the commission of a fraud, misappropriation, theft or similar malfeasance
involving the assets of InterNAP, (C) an intentional act materially adverse to
InterNAP.

The strike price applicable my option to purchase the 200,000 shares of
InterNAP stock referred to in the Offer Letter is $8.00 per share.

For the avoidance of doubt, Paragraph 11(e) of the InterNAP Network Services
Corporation 1999 Equity Incentive Plan, takes precedence over Paragraph 11(c).

Very truly yours,

/s/ Richard K. Cotton

ACCEPTED AND AGREED:

INTERNAP NETWORK SERVICES CORPORATION

By: /s/ Anthony C. Naughtin
   ------------------------
Name: Anthony C. Naughtin
     ----------------------
Title: President/CEO
      ---------------------
§ 334.11 Declaration of intention. ( a ) *Application.* Any person who is a lawful permanent resident over 18 years of age may file an application for a declaration of intention to become a citizen of the United States while present in the United States. Such application, with the requisite fee, shall be filed on the form specified by USCIS, in accordance with the form instructions.
( b ) *Approval.* If approved, USCIS will retain the application in the file and advise the applicant of the action taken.
( c ) *Denial.* If an application is denied, the applicant shall be notified in writing of the reasons for denial. No appeal shall lie from this decision.
[58 FR 49913, Sept. 24, 1993, as amended at 74 FR 26941, June 5, 2009; 76 FR 53801, Aug. 29, 2011]
§ 280.13 Disposition of case. ( a ) *Allegations admitted or no answer filed.* If a request for personal appearance is not filed and ( 1 ) the answer admits the allegations in the notice, or
( 2 ) no answer is filed, the district director or the Associate Commissioner for Examinations, or the Director for the National Fines Office shall enter such order in the case as he deems appropriate and no appeal from his decision may be taken.
( b ) *Answer filed; personal appearance.* Upon receipt of an answer asserting a defense to the allegations in the notice without requesting a personal appearance, or if a personal appearance is requested or directed, the case shall be assigned to an immigration officer. The immigration officer shall prepare a report summarizing the evidence and containing his findings and recommendation. The record, including the report and recommendation of the immigration officer, shall be forwarded to the district director or the Associate Commissioner for Examinations, or the Director for the National Fines Office. The district director or the Associate Commissioner for Examinations, or the Director for the National Fines Office shall note on the report of the immigration officer whether he approves or disapproves the recommendation of the immigration officer. The person shall be informed in writing of the decision of the district director or the Associate Commissioner for Examinations, or the Director for the National Fines Office and, if his decision is that a fine shall be imposed or that the requested mitigation or remission shall not be granted, of the reasons for such decision. From the decision of the district director or the Associate Commissioner for Examinations, or the Director for the National Fines Office an appeal may be taken to the Board as provided in 8 CFR part 1003.
[22 FR 9808, Dec. 6, 1957, as amended at 23 FR 9124, Nov. 26, 1958; 54 FR 18649, May 2, 1989; 76 FR 74629, Dec. 1, 2011]
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Case 16-12768-BFK Doc 53 Filed 02/06/18 Entered 02/06/18 16:28:47 Desc Main

 Document Page 1 of 2

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Feb 6 2018 /s/ Brian F. Kenney

Entered on Docket: February 6, 2018

Case 16-12768-BFK Doc 53 Filed 02/06/18 Entered 02/06/18 16:28:47 Desc Main

 Document Page 2 of 2
EXHIBIT 32

                  CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER
                       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 Annual Report of Herley Industries,  Inc. (the "Company")
on Form 10-K for the year ended July 29, 2007, as filed with the  Securities and
Exchange  Commission on the date hereof (the "Report"),  I, Myron Levy, Chairman
of the  Board  and Chief  Executive  Officer  of the  Company,  hereby  certify,
pursuant to 18 U.S.C.  Section 1350,  as adopted  pursuant to Section 906 of the
Sarbanes-Oxley Act of 2002, that, to my knowledge:

     (1)  Such 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 such Report  fairly  presents,  in all
          material respects,  the financial  condition and results of operations
          of the Company.


                                          Date:    October 12, 2007

                                          By:      /S/     Myron Levy
                                                   -----------------------------
                                          Name:     Myron Levy
                                          Title:   Chairman of the Board and
                                                   Chief Executive Officer



                  CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER
                       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 Annual Report of Herley Industries,  Inc. (the "Company")
on Form 10-K for the year ended July 29, 2007, as filed with the  Securities and
Exchange  Commission  on the date hereof (the  "Report"),  I, Kevin J.  Purcell,
Chief Financial  Officer of the Company,  hereby certify,  pursuant to 18 U.S.C.
Section 1350, as adopted  pursuant to Section 906 of the  Sarbanes-Oxley  Act of
2002, that, to my knowledge:

     (1)  Such 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 such Report  fairly  presents,  in all
          material respects,  the financial  condition and results of operations
          of the Company.

                                         Date:    October 12, 2007

                                         By:          /S/     Kevin J. Purcell
                                                  ------------------------------
                                         Name:    Kevin J. Purcell
                                         Title:   Chief Financial Officer
#### § 319.6 United States nonprofit organizations engaged abroad in disseminating information which significantly promotes U.S. interests.

The following have been determined to be U.S. incorporated nonprofit organizations principally engaged in conducting abroad through communications media the dissemination of information which significantly promotes U.S. interests abroad within the purview of section 319(c) of the Act:

Free Europe, Inc.; formerly Free Europe Committee, Inc.; National Committee for a Free Europe (including Radio Free Europe)).

Radio Liberty Committee, Inc. (formerly American Committee for Liberation, Inc.; American Committee for Liberation of the Peoples of Russia, Inc.; American Committee for Liberation from Bolshevism, Inc.).

[33 FR 255, Jan. 9, 1968. Redesignated and amended at 56 FR 50489, Oct. 7, 1991]
Compliance Outreach Program 

for Municipal Advisors

Hyatt Regency

5 Embarcadero Center

San Francisco, CA

May 21, 2019

 ** During the event, questions for the panels can be emailed to conreg@finra.orgwith the subject line “MA Outreach.” **

Registration & Continental Breakfast (8:00am – 8:30am)

Welcome and Opening Remarks (8:30am – 8:45am)

Kristin Snyder, Deputy Director of OCIE, SF Regional Office, SEC

Ritta McLaughlin, Chief Education Officer, MSRB

Don Lopezi, Senior Vice President and Regional Director, FINRA

Panel 1: Fiduciary Duty and MSRB Rule G-42 (8:45am – 9:45am)

This panel will focus on the duties and standards of conduct for non-solicitor municipal advisors under 

MSRB Rule G-42, and the obligations of solicitor municipal advisors. Panelists will review key aspects of a 

municipal advisor’s duties. Topics of discussion include conflicts ofinterest and recommendations. 

Ahmed Abonamah, Senior Counsel to the Director, Office of Municipal Securities, SEC (Moderator)

Lanny Schwartz, Chief Regulatory Officer, MSRB

Vincent McCarley, Chief Executive Officer, Backstrom McCarley Berry & Co., LLC

Marianne Edmonds, Senior Managing Director, Public Resources Advisory Group

Break (9:45am– 10:00am)

Panel 2: New MSRB Rules (10:00am – 11:00am)

This panel will discuss new and upcoming MSRB rules including G-40 (Advertising) and G-3 (Professional 

Qualifications). 

Hillary Phelps, Senior Counsel, Office of Municipal Securities, SEC (Moderator)

Gail Marshall, Chief Compliance Officer, MSRB

Chris Charles, President,Wulff, Hansen& Co.

Adam Bauer, President, Fieldman,Rolapp& Associates

Lunch On Your Own (11:00am – 12:30pm)
Panel 3: Considerations for Underwriters and Municipal Advisors (12:30pm – 1:30pm)

Municipal advisor and underwriter industry practitioners will describe their roles in a public offering, 

focusing on pricing and allocating municipal bonds. SEC staffwill review the exemptions and exclusions

from the municipal advisor registration rule, and FINRA staffwill describe broker-dealers’ supervisory 

obligations when relying on the exemptions and exclusions. 

Bonnie Bowes, Director, Fixed Income Regulation, FINRA (Moderator)

Hillary Phelps, Senior Counsel, Office of Municipal Securities, SEC

Steve Heaney, Director of Public Finance, Stifel Financial Corp.

Jeff Smith, President, Omnicap Group, LLC

Break (1:30pm – 1:45pm)

Panel 4: SEC and FINRA Examination and Enforcement (1:45pm – 3:00pm)

Panelists, including exam staff from SEC and FINRA, will discuss how to prepare for an exam, what an 

exam may entail, and what to expect when the exam is complete. Staff from the SEC and FINRA will 

review common examination findings and recent Enforcement actions and investigations. 

Gail Marshall, ChiefCompliance Officer, MSRB (Moderator)

Brad Darfler, SF OCIE/BDX, SEC

Michael Nouri, Principal Analyst, Fixed Income Regulation, FINRA

Bill Salzmann, Senior Counsel. Public Finance Abuse Unit, Division of Enforcement, SEC

Closing Remarks(3:00pm – 3:15pm)

John Polise, Associate Director, OCIE/BDX, SEC
### §460x–12. Condemnation of commercial property

In any case not otherwise provided for in this subchapter, the Secretary shall be prohibited from condemning any commercial property used for commercial purposes in existence on December 31, 1964, so long as, in his opinion, the use thereof would further the purpose of this subchapter, and such use does not impair the usefulness and attractiveness of the area designated for inclusion in the lakeshore. The following uses, among others, shall be considered to be uses compatible with the purposes of this subchapter: Commercial farms, orchards, motels, rental cottages, camps, craft and art studios, marinas, medical, legal, architectural, and other such professional offices, and tree farms.

(Pub. L. 91–479, §13, Oct. 21, 1970, 84 Stat. 1080.)
### §468b. Repealed. Pub. L. 113–287, §7, Dec. 19, 2014, 128 Stat. 3272

Section, acts Oct. 26, 1949, ch. 755, §3, 63 Stat. 928; July 28, 1953, ch. 255, 67 Stat. 228, related to administration of National Trust and composition of board of trustees. See section 312104 of Title 54, National Park Service and Related Programs.
KOKU-KU-KI-91 No. TCD-8396-2014

Date of Issue: April 21, 2014

Japan Civil Aviation Bureau

TAIKUSEI-KAIZEN-TSUHO

Airworthiness Directive

The undermentioned examinations or modifications are mandatory.
1. Applies to: Fuji Model FA-200-160, FA-200-180 and FA-200-180AO
2. Compliance is required as indicated, unless already accomplished. To prevent the deterioration of brak e performance due to seal defects caused by the aged deterioration of O-rings of the brake master cylinders, accomplish the following. 2.1 For aircraft equipped with the brak e master cylinders, on the effective date of this AD, if each O-ring has accumulated more than 1000 flight hours or 5 years since the last repl acement of the O-ring or if the replacement date of the O-ring cannot be determined, within 50 flight hours or 1 year, whichever occurs first after the effective date of this AD, replace the O-ring in accordance with Fuji Heavy Industries Ltd. Service Bulletin No.200-016 dated April 16, 2014 or any further JCAB-approved revision (herein after referred to as SB).
2.2 From the effective date of this AD, when the brake master cylinder is replaced, check the manufacture date of the brake master cylinder or the last replacement date of the O-ring by referring to component history card or equivalent record. 2.3 During any check as required by paragraph 2.2 of this AD, if it was determined that the O-ring has accu mulated more than 5 years since the manufacture date of the brake master cylinder or the last replacement date of the O-ring, or if the manufactu re date of the brake master cylinder and the last replacement date of the O-ring cannot be determined, replace the O-ring when installed on the aircra ft of the brake master cylinder in
accordance with the SB.Japan Civil Aviation Bureau No. TCD-8396-2014 sheet 2/2

2.4 An alternative means of complianc e with this AD may be used, if approved by the Director-General of JCAB.

3. Remarks

3.1 This AD becomes effective on May 5, 2014. 3.2 Fuji Heavy Industries Ltd. Service Bulletin No.200-016 dated April 16, 2014 and later JCAB approved revisions pertain to this subject.

This is the English translation. In case of an y difficulty, refer to the Japanese original text.
##### 



Exhibit 32.02
 CERTIFICATION PURSUANT TO
18 U.S.C. SECTION 1350
AS ENACTED BY SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002
  1)
    
    The Report fully complies with the requirements of section 13(a) or section 15(d) of the
Securities Exchange Act of 1934; and2)
    
    The information contained in the Report fairly presents, in all material respects, the
financial condition and results of operations of the Company.
 /s/ Lizabeth H. ZlatkusName:
    Lizabeth H. ZlatkusTitle:
    Executive Vice President and Chief Financial OfficerDate:
    February 24, 2006
§ 74.7 Notification of eligibility. ( a ) Each individual who has been found to be eligible or their statutory heirs will be sent written notification of such status by the Office. Enclosed with the notification will be a declaration to be completed by the person so notified, or by his or her legal guardian, and a request for documentation of identity.
( b ) The declaration and submitted documents (appendix A to part 74) will be used for a final verification of eligibility in order to ensure that the person identified as eligible by the Office is in fact the person who will receive payment, and shall include a request for the following information: ( 1 ) Current legal name;
( 2 ) Proof of name change if the current legal name is different from the name used when evacuated or interned, such as a marriage certificate or other evidence of the name change as described in appendix A;
( 3 ) Date of birth;
( 4 ) Proof of date of birth as set forth in appendix A;
( 5 ) Current address;
( 6 ) Proof of current address as set forth in appendix A;
( 7 ) Current telephone number;
( 8 ) Social Security Number;
( 9 ) Name when evacuated or interned;
( 10 ) Proof of guardianship by a person executing a declaration on behalf of an eligible person as set forth in appendix A.
( 11 ) Proof of the relationship to a deceased eligible individual by a statutory heir as set forth in § 74.13 and appendix A;
( 12 ) Proof of the death of a deceased eligible person as set forth in appendix A.
( c ) The individual must submit a signed and dated statement swearing under penalty of perjury to the truth of all the information provided on the declaration. A natural or legal guardian, or any other person, including the spouse of an eligible person, who the Administrator determines is charged with the care of the individual, may submit a signed and dated statement on behalf of the eligible individual who is incompetent or otherwise under a legal disability.
( d ) Upon receipt of an individual's declaration and documentation, the Administrator shall make a determination of verification of the identity of the eligible person.
( e ) Each person determined not to be preliminarily eligible after review of the submitted documentation will be notified by the Redress Administrator of the finding of ineligibility and the right to petition for a reconsideration of such a finding.