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. 93321 / October 14, 2021

ADMINISTRATIVE PROCEEDING

File No. 3-19991

In the Matter of

William D. King, CPA

Respondent.

:

:

:

:

:

:

:

ORDER APPOINTING 

TAX ADMINISTRATOR

On February 22, 2019, the Commission issued an Omnibus Order Directing the 

Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds 

(the “Omnibus Order”)1 authorizing the Secretary2to issue orders for calendar years 2019-2021 

appointing, upon request by the Commission staff, Miller Kaplan Arase LLP (“Miller Kaplan”), a 

certified public accounting firm, with one of their offices located in San Francisco, California, as 

tax administrator (“Tax Administrator”) in administrative proceedings where the distribution fund 

may incur tax-related obligations as a Qualified Settlement Fund (“QSF”) under the Department 

of the Treasury Regulation § 1.468B-1(c). 

The Commission staff has requested, pursuant to the Omnibus Order, the appointment of 

Miller Kaplan as the Tax Administrator for the QSF in the above-referenced proceeding.

Accordingly, IT IS ORDERED that Miller Kaplan, pursuant to and in accordance with the 

Omnibus Order, is appointed the Tax Administrator for the QSF in the above-referenced proceeding.

For the Commission, by the Division of Enforcement, pursuant to delegated authority.3

Vanessa A. Countryman

Secretary 

 

1

 Exchange Act Rel. No. 85174 (Feb. 22, 2019).

2

 Effective December 29, 2020, the Director of the Division of Enforcement is now also authorized to make 

appointments in accordance with the Omnibus Order. See Delegation of Authority to Director of the Division of 

Enforcement, Securities Act Rel. No. 10900 (Dec. 10, 2020).

3

 17 C.F.R. § 200.30-4(a)(21)(ii).
§ 812.4 Collection procedures. ( a ) DNA samples will be collected, handled, preserved, and submitted to the FBI in accordance with FBI guidelines.
( b ) CSOSA has the authority to use such means as are reasonably necessary to collect a sample from an individual who refuses to cooperate in the collection of the sample. Unless CSOSA determines that there are mitigating circumstances, CSOSA will consider that an individual is refusing to cooperate if: ( 1 ) The individual is being ordered or transferred to CSOSA's supervision, but fails to report to CSOSA for collection of the sample within 15 business days of being sentenced to probation or being discharged from a correctional institution; or
( 2 ) The individual is already under CSOSA supervision and has been notified by his or her Community Supervision Officer of the time to report for collection of the sample, but fails to report for collection of the sample; or
( 3 ) The individual has reported to CSOSA for collection of the sample, but fails to provide the sample after being given a minimum of one hour to do so; or
( 4 ) The individual specifically states that he or she will not cooperate.
( c ) When an individual has refused to cooperate in the collection of the sample, CSOSA deems the following to be reasonably necessary means for obtaining the sample: ( 1 ) Impose administrative sanctions;
( 2 ) Request a revocation hearing by the releasing authority; and/or
( 3 ) Refer the individual who refuses to cooperate for criminal prosecution for a class A misdemeanor pursuant to section 4(a)(5) of the DNA Analysis Backlog Elimination Act of 2000 (42 U.S.C. 14135b(a)(5)).
[67 FR 54100, Aug. 21, 2002, as amended at 68 FR 19742, Apr. 22, 2003]
§ 810.302 Eligible projects. ( a ) Eligible projects are those defined as nonhighway public mass transit projects in § 810.4 of this part subject to the limitations in paragraph (b) of this section.
( b ) All projects under this subpart for the construction, reconstruction, or improvement of fixed rail facilities shall be located within the urban boundaries established under 23 U.S.C. 101(a).
§ 1240.15 Allocations. ( a ) Funds allocated under this part shall be available for any projects eligible for assistance under title 23, United States Code.
( b ) Not later than 25 days after notification under § 1240.14(b) of this part, the Governor's Representative for Highway Safety and the Secretary of the State's Department of Transportation for each State that receives notification shall jointly identify, in writing to the appropriate NHTSA Regional Administrator and FHWA Division Administrator, the amounts of the State's proposed allocations that will be used in highway safety programs and in Federal-aid highway programs.
( c ) On or about October 1, 1998, and each October 1 thereafter, the funds to which a State is entitled under this part will be allocated in the proportions identified by the State under paragraph (b) of this section, reduced proportionately across all States if the allocations would, in the aggregate, exceed total obligation limitations applicable to 23 U.S.C. 157.
( d ) Thereafter, each State shall identify specific NHTSA program areas and FHWA projects for which the allocated funds will be used.
### §460nnn–101. Land exchange, Roaring Springs Ranch

#### (a) Exchange authorized

For the purpose of protecting and consolidating Federal lands within the Cooperative Management and Protection Area, the Secretary may carry out a land exchange with Roaring Springs Ranch, Incorporated, to convey all right, title, and interest of the United States in and to certain parcels of land under the jurisdiction of the Bureau of Land Management in the vicinity of Steens Mountain, Oregon, as depicted on the map referred to in section 460nnn–105(a) of this title, consisting of a total of approximately 76,374 acres in exchange for the private lands described in subsection (b).

#### (b) Receipt of non-Federal lands

As consideration for the conveyance of the Federal lands referred to in subsection (a) and the disbursement referred to in subsection (d), Roaring Springs Ranch, Incorporated, shall convey to the Secretary parcels of land consisting of approximately 10,909 acres, as depicted on the map referred to in section 460nnn–105(a) of this title, for inclusion in the Wilderness Area, a wilderness study area, and the no livestock grazing area as appropriate.

#### (c) Treatment of grazing

Paragraphs (2) and (3) of section 460nnn–23(e) of this title, relating to the effect of the cancellation in part of grazing permits for the South Steens allotment in the Wilderness Area and reassignment of use areas as described in paragraph (3)(C) of such section, shall apply to the land exchange authorized by this section.

#### (d) Disbursement

Upon completion of the land exchange authorized by this section, the Secretary is authorized to make a disbursement to Roaring Springs Ranch, Incorporated, in the amount of $2,889,000.

#### (e) Completion of conveyance

The Secretary shall complete the conveyance of the Federal lands under subsection (a) within 70 days after the Secretary accepts the lands described in subsection (b).

(Pub. L. 106–399, title VI, §601, Oct. 30, 2000, 114 Stat. 1670.)
# Official Journal C 56/2012

| | ISSN 1977-091X
  doi:10.3000/1977091X.C_2012.056.eng |
| --- | --- |
| Official Journal
  of the European Union | C 56 |
| | |
| English edition | Information and Notices | Volume 5524 February 2012 |

ISSN 1977-091X

doi:10.3000/1977091X.C_2012.056.eng

Official Journal

of the European Union

C 56

English edition

Information and Notices

Volume 5524 February 2012

---

| Notice No | Contents | page |
| --- | --- | --- |
| | IV   Notices |
| | NOTICES FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES |
| | European Commission |
| 2012/C 056/01 | Summary of European Union decisions on marketing authorisations in respect of medicinal products from 1 November 2011 to 31 December 2011(Published pursuant to Article 13 or Article 38 of Regulation (EC) No 726/2004 of the European Parliament and of the Council) | 1 |
| 2012/C 056/02 | Summary of European Union decisions on marketing authorisations in respect of medicinal products from 1 November 2011 to 31 December 2011(Decisions taken pursuant to Article 34 of Directive 2001/83/EC or Article 38 of Directive 2001/82/EC) | 26 |

Notice No

Contents

page

IV   Notices

NOTICES FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES

European Commission

2012/C 056/01

Summary of European Union decisions on marketing authorisations in respect of medicinal products from 1 November 2011 to 31 December 2011(Published pursuant to Article 13 or Article 38 of Regulation (EC) No 726/2004 of the European Parliament and of the Council)

(Published pursuant to Article 13 or Article 38 of Regulation (EC) No 726/2004 of the European Parliament and of the Council)

1

2012/C 056/02

Summary of European Union decisions on marketing authorisations in respect of medicinal products from 1 November 2011 to 31 December 2011(Decisions taken pursuant to Article 34 of Directive 2001/83/EC or Article 38 of Directive 2001/82/EC)

(Decisions taken pursuant to Article 34 of Directive 2001/83/EC or Article 38 of Directive 2001/82/EC)

26

---

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

EN
§ 106.56 Fringe benefits. ( a ) *Fringe benefits defined.* For purposes of this part, *fringe benefits* means: Any medical, hospital, accident, life insurance or retirement benefit, service, policy or plan, any profit-sharing or bonus plan, leave, and any other benefit or service of employment not subject to the provision of § 106.54.
( b ) *Prohibitions.* A recipient shall not: ( 1 ) Discriminate on the basis of sex with regard to making fringe benefits available to employees or make fringe benefits available to spouses, families, or dependents of employees differently upon the basis of the employee's sex;
( 2 ) Administer, operate, offer, or participate in a fringe benefit plan which does not provide either for equal periodic benefits for members of each sex, or for equal contributions to the plan by such recipient for members of each sex; or
( 3 ) Administer, operate, offer, or participate in a pension or retirement plan which establishes different optional or compulsory retirement ages based on sex or which otherwise discriminates in benefits on the basis of sex.
[45 FR 30955, May 9, 1980, as amended at 85 FR 30579, May 19, 2020]
<PAGE>   1
                                                                EXHIBIT 10(a)(2)


                         HOUSTON INDUSTRIES INCORPORATED
                             EXECUTIVE BENEFITS PLAN

                      (Established Effective June 1, 1982)


                                 Third Amendment


                  Houston Industries Incorporated, a Texas corporation (now
known as Reliant Energy, Incorporated and hereinafter referred to as the
"Company"), having established the Houston Industries Incorporated Executive
Benefits Plan, effective June 1, 1982 and as thereafter amended (the "Plan"),
and having reserved the right under Section 7.01 thereof to amend the Plan, does
hereby amend the Plan effective as of the dates specified herein, as follows:

         1. Effective as of May 5, 1999, Sections 1.02(a) and 1.02(b) of the
Plan are hereby amended to read as follows:

                  "(a) 'Plan' means the Reliant Energy, Incorporated Executive
         Benefits Plan set forth herein, effective June 1, 1982, as the same may
         be amended from time to time.

                  (b) 'Company' means Reliant Energy, Incorporated, a Texas
         corporation, or any successor."

         2. Effective as of January 1, 1999, Section 3.01 of the Plan is hereby
amended by adding the following sentence at the end thereof:

         "No Employee shall be eligible to commence participation in the Plan
         from and after January 1, 1999."


                                       -1-
<PAGE>   2


                  IN WITNESS WHEREOF, Reliant Energy, Incorporated has caused
these presents to be executed by its duly authorized officer in a number of
copies, all of which shall constitute one and the same instrument, which may be
sufficiently evidenced by any executed copy hereof, this 17th day of
September, 1999, but effective as of the dates stated herein.

                                      RELIANT ENERGY, INCORPORATED



                                      By /s/ Lee W. Hogan
                                        --------------------------

ATTEST:

/s/ Rufus Scott
--------------------------


                                       -2-
§ 972.214 Federal lands congestion management system (CMS). ( a ) For purposes of this section, congestion means the level at which transportation system performance is no longer acceptable due to traffic interference. For those FWS transportation systems that require a CMS, in both metropolitan and non-metropolitan areas, consideration shall be given to strategies that reduce private automobile travel and improve existing transportation system efficiency. Approaches may include the use of alternate mode studies and implementation plans as components of the CMS. The FWS shall consider the results of the CMS when selecting the implementation of strategies that provide the most efficient and effective use of existing and future transportation facilities, and alleviate congestion.
( b ) In addition to the requirements provided in § 972.204, the CMS must meet the following requirements: ( 1 ) For portions of the FWS transportation system within TMAs, the FWS transportation planning process shall include a CMS that meets the requirements of this section. By agreement between the TMA and the FWS, the TMA's CMS coverage may include the transportation facilities serving the Refuge System, as appropriate. Through this agreement(s), the FWS may meet the requirements of this section.
( 2 ) If congestion exists at a FWS facility within the boundaries of a TMA, and the TMA's CMS does not provide coverage of the portions of the FWS transportation facilities experiencing congestion, the FWS shall develop a separate CMS to cover those facilities.
( 3 ) For portions of the FWS transportation system outside the boundaries of TMAs, the FWS shall: ( i ) Develop criteria to determine when a CMS is to be implemented for a specific transportation system; and
( ii ) Have CMS coverage for all transportation facilities serving the Refuge System, as appropriate, funded through the FLHP that meet minimum CMS needs criteria.
( 4 ) A CMS will: ( i ) Identify and document measures for congestion (e.g., level of service);
( ii ) Identify the causes of congestion;
( iii ) Include processes for evaluating the cost and effectiveness of alternative strategies to manage congestion;
( iv ) Identify the anticipated benefits of appropriate alternative traditional and nontraditional congestion management strategies;
( v ) Determine methods to monitor and evaluate the performance of the multi-modal transportation system;
( vi ) Appropriately consider the following example categories of strategies, or combinations of strategies for each area: ( A ) Transportation demand management measures;
( B ) Traffic operational improvements;
( C ) Public transportation improvements;
( D ) ITS technologies;
( E ) Additional system capacity; and
( vii ) Provide information supporting the implementation of actions.
### §545. Mount Pleasant National Scenic Area; purposes

The purposes of sections 545 and 545a of this title with respect to the Mount Pleasant National Scenic Area are to—

(1) ensure appropriate protection and preservation of the scenic quality, water quality, natural characteristics, and water resources;

(2) protect and manage vegetation to provide wildlife and fish habitat, consistent with paragraph (1);

(3) provide areas that may develop characteristics of old-growth forests; and

(4) provide a variety of recreation opportunities that are not inconsistent with the preceding purposes.

(Pub. L. 103–314, §2, Aug. 26, 1994, 108 Stat. 1703; Pub. L. 104–127, title IX, §915, Apr. 4, 1996, 110 Stat. 1187.)

#### **Editorial Notes**

#### Amendments

1996—Pub. L. 104–127 substituted "Mount Pleasant National Scenic Area" for "George Washington National Forest Mount Pleasant Scenic Area" in introductory provisions.

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

#### Short Title

Pub. L. 103–314, §1, Aug. 26, 1994, 108 Stat. 1703, as amended by Pub. L. 104–127, title IX, §915, Apr. 4, 1996, 110 Stat. 1187, provided that: "This Act [enacting sections 545 and 545a of this title] may be cited as the 'Mount Pleasant National Scenic Area Act'."
#### Frank McGovern, Respondent, v. Clarence J. Weis, Appellant.

Present—Cunningham, Taylor, Dowling, Harris and McCurn, JJ.
<PAGE>   1

                                                                 EXHIBIT 10.24.1

                                                                    July 1, 1998
Dr. Simon Cao
President
Avanex Corporation
42501 Albrae Street
Fremont, CA 94538
USA

Re: Patent License Agreement for the VIPA related devices between Fujitsu
Limited and Avanex Corporation

Dear Dr. Cao:

With regard to Section 7.3(h) of the agreement, Fujitsu Limited understands that
this term is defined as below.


"important change in controlling ownership of AVANEX" means acquisition of more
than half of Avanex Corporation by one of the major telecom system suppliers.

The major telecom system suppliers are defined as [*].


Sincerely,


/s/ Hideki Isono


Hideki Isono
Manager
Photonic Devices Development Dept.
Fujitsu Limited





--------
* Certain information on this page has been omitted and filed separately with
the Commission. Confidential treatment has been requested with respect to the
omitted portions.
<TABLE> <S> <C>

<ARTICLE> 5
<LEGEND>
THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM THE
FINANCIAL STATEMENTS OF REGENCY EQUITIES CORP. FOR THE PERIOD ENDED DECEMBER 31,
1995, AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL
STATEMENTS.
</LEGEND>
       
<S>                             <C>
<PERIOD-TYPE>                   12-MOS
<FISCAL-YEAR-END>                          DEC-31-1995
<PERIOD-END>                               DEC-31-1995
<CASH>                                       2,975,808
<SECURITIES>                                         0
<RECEIVABLES>                                  100,989
<ALLOWANCES>                                         0
<INVENTORY>                                          0
<CURRENT-ASSETS>                             3,076,797
<PP&E>                                       1,256,441
<DEPRECIATION>                                 245,340
<TOTAL-ASSETS>                               4,239,720
<CURRENT-LIABILITIES>                          213,098
<BONDS>                                              0
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                       872,836
<OTHER-SE>                                   3,153,786
<TOTAL-LIABILITY-AND-EQUITY>                 4,239,720
<SALES>                                              0
<TOTAL-REVENUES>                               925,796
<CGS>                                                0
<TOTAL-COSTS>                                  104,370
<OTHER-EXPENSES>                               650,577
<LOSS-PROVISION>                                     0
<INTEREST-EXPENSE>                                   0
<INCOME-PRETAX>                                170,849
<INCOME-TAX>                                 (121,432)
<INCOME-CONTINUING>                                  0
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                   292,281
<EPS-PRIMARY>                                     .003
<EPS-DILUTED>                                     .003
        

</TABLE>
# Official Journal C 196A/11 A

| | ISSN 1725-2423 |
| --- | --- |
| Official Journal
  of the European Union | C 196A |
| | |
| English edition | Information and Notices | Volume 4811 August 2005 |

ISSN 1725-2423

Official Journal

of the European Union

C 196A

English edition

Information and Notices

Volume 4811 August 2005

---

| Notice No | Contents | page |
| --- | --- | --- |
| | I   Information |
| | Commission |
| 2005/C 196A/1 | Common catalogue of agricultural plant species — fifth supplement to the 23rd complete edition | 1 |

Notice No

Contents

page

I   Information

Commission

2005/C 196A/1

Common catalogue of agricultural plant species — fifth supplement to the 23rd complete edition

1

---

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

EN
**Exhibit23.2**

**Consentof Independent Registered Public Accounting Firm**

The Board of Directorsand Stockholders ofAllied Motion Technologies Inc.:

We consent to theincorporation by reference in the registration statements (Nos. 33-44997,333-21337, 333-55344, and 333-122281) on Form S-8 andin the registration statement (No. 333-119090) on Form S-3 of AlliedMotion Technologies Inc. of our report dated March 20, 2006, with respect tothe consolidated balance sheets of Allied Motion Technologies Inc. andsubsidiaries as of December 31, 2005, and the related consolidated statementsof operations, stockholders’ investment and comprehensive income and cash flowsfor the years ended December 31, 2005 and 2004, and the related financialstatement schedule, which report appears in the December 31, 2006 annual reporton Form 10-K of Allied Motion Technologies Inc.

**KPMG LLP**

Denver, ColoradoMarch 20, 2007

 

----
•· .. . I 

•1 

Department of Energy 

Washington, DC 20585 

November 29, 1996 

FOLLOW-UP TO THE CLOTHES WASHER PUBLIC WORKSHOP ON THE· 

SCREENING OF DESIGN OPTIONS AND PRELIMINARY ENGINEERING 

ANALYSIS 

Thank you for attending the Department of Energy's Clothes Washer Screening ahd Engineering 

Analysis Workshop held on November 15, 1996. Your participation provided useful information 

to help us proceed with the clothes washer standards. 

As promised, we are.providing the following patent numbers for Whirlpool's four new prototype 

design·options which are identified as follows: 

Design Option No. 

1. V-Axis I 

2.. V-Axis II 

3. H-Axis G4. H-Axis G+ 

3/4a H-Axis Utility 

·Description 

Method of washing by moving clothes 

on a vertical axis nutating-plate while 

recirculating a wash solution through the 

clothes load. 

Method of washing in a vertical axis 

washer by accelerating the clothes load, 

and then decelerating, causing the clothes 

to tumble off ramps on the basket. 

Method of washing clothes in a horizontal 

axis washer by tumbling clothes at less 

than 1 gravity (g) of centrifugal force. 

Method of washing clothes in a horizontal 

axis washer by spinning basket to effect 

more than 1 g of centrifugal force on the 

clothes load, and recirculating a wash 

solution through the basket. 

Top-loading horizontal axis washer in · 

which the inner basket doors are opened 

automatically when the cabinet lid is raised. 

@ Prin~ with soy ink on racycled paper 

5,507,053 

5, 191,667 

~ 

5,219,370 

5,345,637 

5,448,900 
. I 

'\ 

In order for us to further proceed with these design options in the engineering analysis, we will 

· have to determine the costing for these design options. If you know of anyone who can perform 

such a cost analysis, please let us know. 

A copy of the transcript of the workshop and the patents will be made available for inspection at 

the Department of Energy's Freedom oflnformation Reading Room, Forrestal Building, Room 

lE-190, Washington D.C. 20585-0121, between the hours of9:00 a.m. and 4:00 p.m. 

Please provide your comments from the workshop and on these new design options by 

December 30, 1996. If you have any further questions, please contact Marc Lafrance at (202) 

586-8423 or Bryan Berringer at (202) 586-0371. 

cCabe, Director 

0 ce of Codes and Standards 

Building Technology, State and 

Community Programs 

Energy Efficiency and Renewable Energy