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. 93667 / November 24, 2021

ADMINISTRATIVE PROCEEDING

File No. 3-20612

In the Matter of

LPL Financial LLC,

Respondent.

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ORDER DIRECTING PAYMENT OF

CERTAIN FUNDS RECEIVED BY

COMMISSION

On September 30, 2021, the Commission simultaneously instituted and settled public 

administrative and cease and desist proceedings against LPL Financial LLC (“LPL” or 

“Respondent”). These proceedings arise out of Respondent’s failure to verify and respond to 

conflicting information when it opened a customer account and processed wire transfers at the 

request of Eugenio Garcia Jimenez, Jr. In the Matter of LPL Financial LLC, Admin. Proc. File 

No. 3-20612 (the “OIP”). Among other relief ordered in the OIP, the Commission ordered that 

Respondent shall, within 10 days of the entry of the OIP, pay a civil money penalty in the 

amount of $750,000 to the Securities and Exchange Commission. The OIP also orders the 

creation of a Fair Fund pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002, as 

amended.

After receipt of the penalty amount referenced above, the Commission staff will 

distribute a payment to Mayaguez Economic Development, Inc. (“MEDI”) in the amount of the 

Fair Fund minus a reserve for taxes and related administrative expenses. 

The payment of the civil penalty constitutes a qualified settlement fund (“QSF”) under 

section of 468B(g) of the Internal Revenue Code (IRC), 26 U.S.C. Section 468B(g), and related 

regulations, 26 C.F.R Sections 1.468B-1 through 1.468B-5. The Commission staff will seek the 

appointment of a tax administrator to establish a reserve for taxes and related administrative 

expenses. After establishing and withholding the reserve, the remaining amount of the Fair Fund 

will be transferred to MEDI.
2

Accordingly, it is ORDERED that:

A. After the receipt of funds simultaneously ordered in this proceeding, the 

Commission will appoint a tax administrator to establish a reserve for taxes and 

administrative expenses.

B. By this action, after withholding the reserve amount, the remaining Fair Fund 

shall be disbursed to MEDI.

By the Commission.

Vanessa A. Countryman 

Secretary
### §689a. Other uses of land permitted in Tahquitz National Game Preserve

The lands included in said game preserve shall continue to be parts of the national forest and nothing contained in sections 689 to 689d of this title shall prevent the Secretary of Agriculture from permitting other uses of said lands under and in conformity with the laws and rules and regulations applicable thereto so far as any such use may be consistent with the purposes for which said game preserve is established.

(July 3, 1926, ch. 776, §2, 44 Stat. 889.)
<PAGE>   1
                                                                   EXHIBIT 10.52


                          ABM INDUSTRIES INCORPORATED

                             AMENDMENT NO. 2 TO THE

                        1984 EXECUTIVE STOCK OPTION PLAN
                          (DECEMBER 1994 RESTATEMENT)


      ABM INDUSTRIES INCORPORATED, having established the 1984 Executive Stock
Option Plan (the "Plan"), hereby amends the Plan effective as of March 30, 1999
as follows:

      The name of the Plan shall be "Age-Vested" Career Stock Option Plan

      IN WITNESS WHEREOF, ABM INDUSTRIES INCORPORATED, by its duly authorized
officer, has executed this Amendment No. 2 on the date indicated below.


                                          ABM INDUSTRIES INCORPORATED

                                          BY: /s/ LORRAINE P. O'HARA
                                             -----------------------------

                                       TITLE: Assistant Secretary
                                             -----------------------------

                                       DATED: March 30, 1999
                                             -----------------------------
### §§590g–1, 590g–2. Omitted

#### **Editorial Notes**

#### Codification

Section 590g–1, acts July 5, 1952, ch. 574, title I, 66 Stat. 347; July 28, 1953, ch. 251, title I, 67 Stat. 216, which related to allocations to the Soil Conservation Service for services of its technicians in formulating and carrying out the agricultural conservation program in the participating counties, was apparently restricted to the appropriation acts of which in each case it was a part.

Section 590g–2, act July 5, 1952, ch. 574, title I, 66 Stat. 347, which related to allocations for State agricultural conservation programs to be utilized in determining the most needed conservation practices on individual farms, was apparently restricted to the appropriation act of which it was a part.
**Exhibit32.2**

 

**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 thequarterly report of The SCO Group, Inc. (the “Company”) on Form 10-Q, for theperiod ended April 30, 2006, as filed with the Securities and ExchangeCommission on the date hereof (the “Report”), I, Bert B. Young, Chief FinancialOfficer of the Company, certify, pursuant to 18 U.S.C. Section 1350, as adoptedpursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that:

 

1.                                       The Report fullycomplies with the requirements of Section 13(a) or 15(d) of the SecuritiesExchange Act of 1934; and

 

2.                                       The informationcontained in the Report fairly presents, in all material respects, thefinancial condition and results of operations of the Company.

 

 

 

 
| By:    | /s/ Bert B. Young       |
|--------|-------------------------|
|   | Bert B. Young           |
|   | Chief Financial Officer |
|   |                    |

 

 

Date:   June13, 2006

 

**1**

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### §590y. Authorization and purpose of investigation, construction, and maintenance of projects; title to projects; limitation on costs

For the purpose of stabilizing water supply and thereby rehabilitating farmers on the land and providing opportunities for permanent settlement of farm families, the Secretary of the Interior (hereinafter referred to as "the Secretary") is authorized to investigate and, upon compliance with the provisions of this subchapter, to construct water conservation and utilization projects in the Great Plains and arid and semiarid areas of the United States, and to operate and maintain each such project in accordance with the provisions of this subchapter; Provided, That the United States shall retain title to the dams, reservoirs, irrigation, and other project works until Congress otherwise provides: And provided further, That expenditures from appropriations made directly pursuant to the authority contained in section 590z–10(1) of this title to meet reimbursable construction costs allocated to irrigation as defined in section 590z–2(b) of this title shall not exceed $2,000,000 for dams and reservoirs in any one project, and that expenditures from appropriations made directly pursuant to the authority contained in section 590z–10(1) of this title to meet costs allocated to flood control by the Secretary after consultation with the Chief of Engineers, Department of the Army, shall not exceed $500,000 on any one project.

(Aug. 11, 1939, ch. 717, §1, 53 Stat. 1418; Oct. 14, 1940, ch. 861, 54 Stat. 1119; Mar. 7, 1942, ch. 164, 56 Stat. 142; July 16, 1943, ch. 242, §1, 57 Stat. 566; July 26, 1947, ch. 343, title II, §205(a), 61 Stat. 501.)

#### **Editorial Notes**

#### Amendments

1943—Act July 16, 1943, raised amount of expenditures for dams and reservoirs on any one project from $1,000,000 to $2,000,000.

1942—Act Mar. 7, 1942, amended last proviso.

1940—Act Oct. 14, 1940, reenacted section.

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

#### Change of Name

Department of War designated Department of the Army and title of Secretary of War changed to Secretary of the Army by section 205(a) of act July 26, 1947, ch. 343, title II, 61 Stat. 501. Section 205(a) of act July 26, 1947, was repealed by section 53 of act Aug. 10, 1956, ch. 1041, 70A Stat. 641. Section 1 of act Aug. 10, 1956, enacted "Title 10, Armed Forces" which in sections 3010 to 3013 continued military Department of the Army under administrative supervision of Secretary of the Army.

#### Angostura Project

Act Aug. 9, 1955, ch. 630, 69 Stat. 552, provided: "That the provisions of sections 41(g), 43, and 51 of the Bankhead-Jones Farm Tenant Act, as amended [sections 1015(g), 1017, and 1025 of Title 7, Agriculture], are hereby extended to apply on the obligations of settlers on the Angostura project in South Dakota developed under the Act of August 11, 1939, as amended [this section]."
### §825e. Complaints

Any person, electric utility, State, municipality, or State commission complaining of anything done or omitted to be done by any licensee, transmitting utility, or public utility in contravention of the provisions of this chapter may apply to the Commission by petition which shall briefly state the facts, whereupon a statement of the complaint thus made shall be forwarded by the Commission to such licensee, transmitting utility, or public utility, who shall be called upon to satisfy the complaint or to answer the same in writing within a reasonable time to be specified by the Commission. If such licensee, transmitting utility, or public utility shall not satisfy the complaint within the time specified or there shall appear to be any reasonable ground for investigating such complaint, it shall be the duty of the Commission to investigate the matters complained of in such manner and by such means as it shall find proper.

(June 10, 1920, ch. 285, pt. III, §306, as added Aug. 26, 1935, ch. 687, title II, §213, 49 Stat. 856; amended Pub. L. 109–58, title XII, §1284(a), Aug. 8, 2005, 119 Stat. 980.)

#### **Editorial Notes**

#### Amendments

2005—Pub. L. 109–58 inserted "electric utility," after "Any person," and ", transmitting utility," after "licensee" wherever appearing.
EXHIBIT 32










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 New Mexico Software, Inc. (the "Company") on Form 10-Q for the quarter ended March 31, 2011, as filed with the Securities and Exchange Commission on the date hereof (the "Report"), the undersigned principal executive officer and the principal 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:





(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.





Date:  May 12, 2011














/s/ Richard F. Govatski


Richard F Govatski, President


(Principal Executive Officer)














/s/ Teresa B. Dickey


Teresa B. Dickey, Treasurer


(Principal Financial Officer)
§ 240.61 Applicability. ( a ) Except as provided in paragraph (b) of this section, this subpart H applies to the following aliens: ( 1 ) A registered *ABC* class member who has not been apprehended at the time of entry after December 19, 1990;
( 2 ) A Guatemalan or Salvadoran national who filed an application for asylum with the Service on or before April 1, 1990, either by filing an application with the Service or filing the application with the Immigration Court and serving a copy of that application on the Service.
( 3 ) An alien who entered the United States on or before December 31, 1990, filed an application for asylum on or before December 31, 1991, and, at the time of filing the application, was a national of the Soviet Union, Russia, any republic of the former Soviet Union, Latvia, Estonia, Lithuania, Poland, Czechoslovakia, Romania, Hungary, Bulgaria, Albania, East Germany, Yugoslavia, or any state of the former Yugoslavia;
( 4 ) An alien who is the spouse or child of an individual described in paragraph (a)(1), (a)(2), or (a)(3) of this section at the time a decision is made to suspend the deportation, or cancel the removal, of the individual described in paragraph (a)(1), (a)(2), or (a)(3) of this section;
( 5 ) An alien who is: ( i ) The unmarried son or unmarried daughter of an individual described in paragraph (a)(1), (a)(2), or (a)(3) of this section and is 21 years of age or older at the time a decision is made to suspend the deportation, or cancel the removal, of the parent described in paragraph (a)(1), (a)(2), or (a)(3) of this section; and
( ii ) Entered the United States on or before October 1, 1990.
( b ) This subpart H does not apply to any alien who has been convicted at any time of an aggravated felony, as defined in section 101(a)(43) of the Act.
#### Francis G. McGrath, Respondent, v. Michael J. McGrath and Others, Defendants, Impleaded with Margaret Becker and Others, Appellants.

Interlocutory judgment of the County Court of Kings county modified by striking therefrom the provision thereof which charges against the shares of Margaret, Elizabeth, Robert and John J. Becker, the amount of moneys advanced by the trustees to Annie M. Becker, deceased, and as so modified affirmed, without costs. The undivided interests in the real property in question, held by defendants Becker, were not acquired by them through representation of Annie M. Becker, but under direct devise in the 9th clause of the will of Margaret McGrath, deceased, and, therefore, their said interests are not chargeable with any advances made to said Annie M. Becker. Jenks, P. J., Thomas, Carr, Rich and Stapleton, JJ., concurred.
P.1 

OAR Box 1830 

Prepped by Ollie Stewart 

Document Number: 

198) IV-C-165 

Docket Number: 

A-87-11 

Printed 11/13/2008 7:21:02 AM Sheet 198 of 232 
P.2 

\ UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

X ^ 

MAT I 7 19891 

ANN ARBOR, MICHIGAN 48105 

Mr. Ray Braun 

1460 Forest Avenue 

Des Plaines, IL 60018 

Dear Mr. Braun: 

OFFICE OF 

AIR AND RADIATION 

I am writing to you concerning a letter on refueling 

emissions control which you wrote to the Motor Vehicle 

Manufacturers Association on February 13, 1989. On February 

27, 1989 you provided a copy of this letter to Mr. John Skinner 

of the Environmental Protection Agency's (EPA) Office of 

Environmental Engineering and Technology. Your letter has been 

forwarded to me. 

As you know, we are still in the process of rulemaking on 

the control of refueling emissions. Although the Agency has 

proposed onboard refueling controls, no final decision has been 

made. We appreciate your comments on the refueling issue and 

will be placing them in the public docket for the refueling 

rulemaking. Also, be assured that we will consider your 

comments as we develop our final rule. 

Sincerely yours, 

CSharles L. Gray, Jr, 

Director 

Emission Control Technology Division 

cc: Docket A-87-11 

7077W
#### § 324.4 Women restored to United States citizenship by the act of June 25, 1936, as amended by the act of July 2, 1940.

A woman who was restored to citizenship by the act of June 25, 1936, as amended by the act of July 2, 1940, but who failed to take the oath of allegiance prescribed by the naturalization laws prior to December 24, 1952, may take the oath before any naturalization court or USCIS office within the United States. Such woman shall comply with the procedural requirements of § 324.4(b) and (c) except that a fee not exceeding $1.00 may be charged if the woman requests a copy of the oath.

[22 FR 9814, Dec. 6, 1957. Redesignated and amended at 56 FR 50490, 50491, Oct. 7, 1991; 74 FR 26941, June 5, 2009]
IN THE SUPREME COURT OF PENNSYLVANIA

IN RE: APPOINTMENT TO THE

PENNSYLVANIA INTEREST ON

LAWYERS TRUST ACCOUNT

BOARD 

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No. 138

DISCIPLINARY RULES DOCKET

 O R D E R

PER CURIAM:

AND NOW, this 11th day of August, 2015, Stella L. Smetanka, Allegheny 

County, is hereby appointed as a member of the Pennsylvania Interest on Lawyers 

Trust Account Board for a term of three years commencing September 1, 2015.
UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934

Release No. 82800 / March 1, 2018

The Securities and Exchange Commission (“Commission”) announced the temporary 

suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange 

Act"), of trading in the securities of HD View 360 Inc. ("HDVW"), of Miami, Florida at 9:30 a.m. 

EST on March 2, 2018, and terminating at 11:59 p.m. on March 15, 2018 EDT.

The Commission temporarily suspended trading in the securities of HDVW because of questions 

concerning the accuracy and adequacy of publicly available information about the company, 

including, among other things, certain statements made in a February 5, 2018 press release 

regarding enhancing a subsidiary of HD View 360 Inc. with blockchain technology. Questions 

have also arisen regarding potential manipulative activity in HD View 360 Inc.’s stock, since 

January 31, 2018. This order was entered pursuant to Section 12(k) of the Exchange Act.

The Commission cautions broker-dealers, shareholders, and prospective purchasers that they 

should carefully consider the foregoing information along with all other currently available 

information and any information subsequently issued by the company. 

Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under 

the Exchange Act, at the termination of the trading suspension, no quotation may be entered 

unless and until they have strictly complied with all of the provisions of the rule. If any broker or 

dealer has any questions as to whether or not he has complied with the rule, he should not 

enter any quotation but immediately contact the staff in the Division of Trading and Markets, 

Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as 

to what is required by Rule 15c2-11, he should refrain from entering quotations relating to 

HDVW’s securities until such time as he has familiarized himself with the rule and is certain that 

all of its provisions have been met. If any broker or dealer enters any quotation which is in 

violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker, dealer, or other person has information which may relate to this matter they can 

contact Kevin Guerrero, Assistant Director, at (202) 551-4401 or Patrick L. Feeney, Senior 

Counsel, at (202) 551-4848.
[Federal Register Volume 76, Number 60 (Tuesday, March 29, 2011)]
[Notices]
[Page 17460]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-7320]


=======================================================================
-----------------------------------------------------------------------

NUCLEAR REGULATORY COMMISSION

[Docket Nos. 50-498-LR and 50-499-LR; ASLBP No. 11-909-02-LR-BD01]


South Texas Project Nuclear Operating Company; Establishment of 
Atomic Safety and Licensing Board

    Pursuant to delegation by the Commission dated December 29, 1972, 
published in the Federal Register, 37 FR 28,710 (1972), and the 
Commission's regulations, see, e.g., 10 CFR 2.104, 2.105, 2.300, 2.309, 
2.313, 2.318, and 2.321, notice is hereby given that an Atomic Safety 
and Licensing Board (Board) is being established to preside over the 
following proceeding

South Texas Project Nuclear Operating Company

(South Texas Project, Units 1 and 2)

    This proceeding involves an application by South Texas Project 
Nuclear Operating Company to renew for twenty years its operating 
licenses for South Texas Project, Units 1 and 2, which are located near 
Wadsworth, Texas. The current operating licenses expire on August 20, 
2027 (Unit 1) and December 15, 2028 (Unit 2). In response to January 7, 
2011 Notice of Acceptance for Docketing of the Application and Notice 
of Opportunity for Hearing, published in the Federal Register on 
January 13, 2011 (76 FR 2426), a petition to intervene was submitted by 
Sustainable Energy and Economic Development Coalition (SEED) and Susan 
Dancer.
    The Board is comprised of the following administrative judges:

Ronald M. Spritzer, Chair, Atomic Safety and Licensing Board Panel, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.
Nicholas G. Trikouros, Atomic Safety and Licensing Board Panel, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001.
Larry R. Foulke, Atomic Safety and Licensing Board Panel, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555-0001.

    All correspondence, documents, and other materials shall be filed 
in accordance with the NRC E-Filing rule, which the NRC promulgated in 
August 2007 (72 FR 49,139).

    Issued at Rockville, Maryland, this 23rd day of March 2011.
Anthony J. Baratta,
Associate Chief Administrative Judge--Technical, Atomic Safety and 
Licensing Board Panel.
[FR Doc. 2011-7320 Filed 3-28-11; 8:45 am]
BILLING CODE 7590-01-P
www/hud.gov/sec3biz

Pararecibircopiasadicionales,consultelapublicaciónnúmero:HUD-9872-FHEO

Spanish

Registrocomercial

deSección3deHUD
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JUDGMENT OF THE COURT

(Third Chamber)

of 16 September 2004

in Case C-248/02: Commission of the European Communities v Italian Republic (1)

(Failure of a Member State to fulfil obligations - Pollution and nuisance - Sol protection - Sewage sludge - Forwarding of incomplete information for the years 1995 to 1997 - Articles 10 and 17 of Directive 86/278/EEC)

(2004/C 273/03)

Language of the case: Italian

In Case C-248/02: Commission of the European Communities (Agents: H. Støvlbæk and R Amorosi) v Italian Republic (Agent: I.M. Braguglia, assisted by M. Fiorilli) the Court (Third Chamber), composed of: A. Rosas, acting as President of the Third Chamber, R. Schintgen and K. Schiemann (Rapporteur), Judges; C- Stix-Hackl, Advocate General; R. Grass, Registrar, gave a judgment on 16 September 2004, the operative part of which is as follows:

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(1)OJ C 202 of 24.8.2002.

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