alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
§ 5.14 Records to be kept by retail foreign exchange dealers and futures commission merchants. ( a ) No person shall be registered as a retail foreign exchange dealer under the Act unless, commencing on the date his application for such registration is filed, he prepares and keeps current ledgers or other similar records which show or summarize, with appropriate references to supporting documents, each transaction affecting his asset, liability, income, expense and capital accounts, and in which (except as otherwise permitted in writing by the Commission) all his asset, liability and capital accounts are classified into either the account classification subdivisions specified on Form 1-FR-FCM or categories that are in accord with generally accepted accounting principles as applicable. Each person so registered shall prepare and keep current such records.
( b ) Each applicant or registrant must make and keep as a record in accordance with § 1.31 of this chapter formal computations of its adjusted net capital and of its minimum financial requirements pursuant to § 1.17 or § 5.7 of this chapter, or the requirements of the designated self-regulatory organization to which it is subject, as applicable, as of the close of business each month. Such computations must be completed and made available for inspection by any representative of the National Futures Association, in the case of an applicant, or of the Commission or designated self-regulatory organization, if any, in the case of a registrant, within 17 business days after the date for which the computations are made, commencing the first month end after the date the application for registration is filed.
### §274l–1. Definitions

In this part:

(1) The term "Advisory Council" means the advisory council established by the Secretary under section 274k(a)(1) of this title.

(2) The term "bone marrow" means the cells found in adult bone marrow and peripheral blood.

(3) The term "outcomes database" means the database established by the Secretary under section 274l of this title.

(4) The term "Program" means the C.W. Bill Young Cell Transplantation Program established under section 274k of this title.

(July 1, 1944, ch. 373, title III, §379A–1, as added Pub. L. 109–129, §3(c), Dec. 20, 2005, 119 Stat. 2562.)
§ 38.158 Investigations and investigation reports. ( a ) *Procedures.* A designated contract market must establish and maintain procedures that require its compliance staff to conduct investigations of possible rule violations. An investigation must be commenced upon the receipt of a request from Commission staff or upon the discovery or receipt of information by the designated contract market that indicates a reasonable basis for finding that a violation may have occurred or will occur.
( b ) *Timeliness.* Each compliance staff investigation must be completed in a timely manner. Absent mitigating factors, a timely manner is no later than 12 months after the date that an investigation is opened. Mitigating factors that may reasonably justify an investigation taking longer than 12 months to complete include the complexity of the investigation, the number of firms or individuals involved as potential wrongdoers, the number of potential violations to be investigated, and the volume of documents and data to be examined and analyzed by compliance staff.
( c ) *Investigation reports when a reasonable basis exists for finding a violation.* Compliance staff must submit a written investigation report for disciplinary action in every instance in which compliance staff determines from surveillance or from an investigation that a reasonable basis exists for finding a rule violation. The investigation report must include the reason the investigation was initiated; a summary of the complaint, if any; the relevant facts; compliance staff's analysis and conclusions; and a recommendation as to whether disciplinary action should be pursued.
( d ) *Investigation reports when no reasonable basis exists for finding a violation.* If after conducting an investigation, compliance staff determines that no reasonable basis exists for finding a violation, it must prepare a written report including the reason(s) the investigation was initiated; a summary of the complaint, if any; the relevant facts; and compliance staff's analysis and conclusions.
( e ) *Warning letters.* No more than one warning letter may be issued to the same person or entity found to have committed the same rule violation within a rolling twelve month period.
#### § 4.40 [Reserved]
Federal Register / Vol. 69, No. 237 / Friday, December 10, 2004 / Notices 71785

Dated: December 3, 2004. 

Robert Grimm, 

Director, Department of Research and Policy 

Development.

[FR Doc. 04–27148 Filed 12–9–04; 8:45 am] 

BILLING CODE 6050–$$–P

DEPARTMENT OF DEFENSE

Office of the Secretary 

[Transmittal No. 05–05] 

36(b)(1) Arms Sales Notification

AGENCY: Department of Defense, Defense 

Security Cooperation Agency.

ACTION: Notice.

SUMMARY: The Department of Defense if 

publishing the unclassified text of a 

section 36(b)(1) arms sales notification. 

This is published to fulfill the 

requirements of section 155 of Public 

Law 104–164 dated 21 July 1996.

FOR FURTHER INFORMATION CONTACT: Ms. 

J. Hurd, DSCA/OPS–ADMIN, (703) 604–

6575. 

The following is a copy of a letter to 

the Speaker of the House of 

Representatives, Transmittal 05–05 with 

attached transmittal, policy justification, 

and Sensitivity of Technology.

Dated: December 6, 2004. 

Jeannette Owings-Ballard, 

OSD Federal Register Liaison Officer, 

Department of Defense.

BILLING CODE 5001–06–M

71786 Federal Register / Vol. 69, No. 237 / Friday, December 10, 2004 / Notices 


EN10DE04.078</GPH>
Federal Register / Vol. 69, No. 237 / Friday, December 10, 2004 / Notices 71787


EN10DE04.079</GPH>
71788 Federal Register / Vol. 69, No. 237 / Friday, December 10, 2004 / Notices 


EN10DE04.080</GPH>
Federal Register / Vol. 69, No. 237 / Friday, December 10, 2004 / Notices 71789

[FR Doc. 04–27125 Filed 12–9–04; 8:45 am] 

BILLING CODE 5001–06–C

DEPARTMENT OF DEFENSE

Office of the Secretary 

[Transmittal No. 05–07] 

36(b)(1) Arms Sales Notification

AGENCY: Department of Defense, Defense 

Security Cooperation Agency.

ACTION: Notice.

SUMMARY: The Department of Defense is 

publishing the unclassified text of a 

section 36(b)(1) arms sales notification. 

This is published to fulfill the 

requirements of section 155 of Public 

Law 104–164 dated July 21, 1996.

FOR FURTHER INFORMATION CONTACT: Ms. 

J. Hurd, DSCA/OPS–ADMIN, (703) 604–

6575. 

The following is a copy of a letter to 

the Speaker of the House of 

Representatives, Transmittal 05–07 with 

attached transmittal, policy justification, 

and Sensitivity of Technology.

Dated: December 6, 2004. 

Jeannette Owings-Ballard, 

OSD Federal Register Liaison Officer, 

Department of Defense.

BILLING CODE 5001–06–M


EN10DE04.081</GPH>
#### Carl Weiland, appellee, v. Chris G. Steger et al., appellants.

Gen. No. 27,613.

Action for personal injuries to plaintiff while working as a farm laborer for defendants' testator. Judgment for plaintiff after a remittitur from the verdict. Appeal from the Circuit Court of Cook county; the Hon. David M. Brothers, Judge, presiding. Heard in the Branch Appellate Court at the March term, 1922.

Reversed with finding of facts.

Opinion filed November 8, 1922.

Edward W. Rawlins and Donald H. Mann, for appellants. David K. Tone, Marcus J. Golden and Charles Horgan, for appellee.

Mr. Justice Morrill

delivered the opinion of the court.
§ 120.51 Reexport. ( a ) *Reexport,* except as set forth in § 120.54 or § 126.16 or § 126.17 of this subchapter, means: ( 1 ) An actual shipment or transmission of a defense article from one foreign country to another foreign country, including the sending or taking of a defense article to or from such countries in any manner;
( 2 ) Releasing or otherwise transferring technical data to a foreign person who is a citizen or permanent resident of a country other than the foreign country where the release or transfer takes place (a deemed reexport); or
( 3 ) Transferring registration, control, or ownership of any aircraft, vessel, or satellite subject to this subchapter between foreign persons.
( b ) Any release outside the United States of technical data to a foreign person is deemed to be a reexport to all countries in which the foreign person has held or holds citizenship or holds permanent residency.
#### § 1429.16 General remedial authority.

The Board shall take any actions which are necessary and appropriate to administer effectively the provisions of chapter 41 of title 22 of the United States Code.
§ 140.4 Applicability. Except as otherwise provided herein or as otherwise specially determined by the Secretary of State or the Secretary's designee (except that decisions on notification and/or disclosure shall in all cases be subject to the provisions of §§ 140.13 through 140.14), the procedures prescribed by this part apply to any “covered individual or entity,” *i.e.*, any individual or entity, including a foreign government entity, a multilateral institution or international organization, or a U.S. or foreign non-governmental entity: ( a ) ( 1 ) That is receiving or providing covered assistance as a party to a grant, loan, guarantee, cooperative agreement, contract, or other direct agreement with an agency of the United States (a “first-tier” recipient); or
( 2 ) That is receiving covered assistance ( A ) Beyond the first tier if specifically designated to receive such assistance by a U.S. government agency; or
( B ) In the form of a scholarship, fellowship, or participant training, except certain recipients funded through a multilateral institution or international organization, as provided in § 140.7(c); and
( b ) ( 1 ) That is located in or providing covered assistance within a covered country or within any other country, or portion thereof, that the Secretary of State or the Secretary's designee may at any time determine should be treated, in order to fulfill the purpose of this part, as if it were a covered country; or
( 2 ) As to which the agency providing assistance or any other interested agency has reasonable grounds to suspect current or past involvement in drug trafficking or conviction of a narcotics offense, regardless of whether the assistance is provided within a covered country.
Examples: (1) Under a $500,000 bilateral grant agreement with the Agency for International Development providing covered assistance, Ministry Y of Government A, the government of a covered country, enters into a $150,000 contract with Corporation X. Ministry Y is a covered entity. However, Corporation X is *not* a covered entity because the contract is *not* a direct contract with an agency of the United States. (2) Under a $1,000,000 grant from the Department of State providing covered assistance, Corporation B makes a $120,000 subgrant to University Y for the training of 12 individuals. If Corporation B is located in or providing assistance within a covered country, it is a covered entity and the 12 individuals receiving participant training are covered individuals. University Y is *not* a covered entity. (3) University C, which is not located in a covered country, receives a $1 million regional assistance research project grant from the Agency for International development, $80,000 of which is provided for research in covered countries. University C is *not* a covered entity. (However, if $100,000 or more were provided for research in a covered country or countries, or if University C were located in a covered country, then University C would be a covered entity.)
```

[Federal Register Volume 69, Number 237 (Friday, December 10, 2004)]
[Notices]
[Page 71850]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-27072]

-----------------------------------------------------------------------

DEPARTMENT OF JUSTICE

Antitrust Division

Notice Pursuant to the National Cooperative Research and 
Production Act of 1933--ASIS International

    Notice is hereby given that, on September 20, 2004, pursuant to 
section 6(a) of the National Cooperative Research and Production Act of 
1993, 15 U.S.C. 4301 et seq. (``the Act''), ASIS International 
(``ASIS'') has filed written notifications simultaneously with the 
Attorney General and the Federal Tarde Commission disclosing (1) the 
name and principal place of business of the standards development 
organization and (2) the nature and scope of its standards development 
activities. The notifications were filed for the purpose of invoking 
the Act's provisions limiting the recovery of antitrust plaintiffs to 
actual damages under specified circumstances.
    Pursuant to section 6(b) of the Act, the name and principal place 
of business of the standards development organization is: ASIS 
International, Alexandria, VA. The nature and scope of ASIS' standards 
development activities are: Security guidelines that address specific 
concerns and issues related to security in order to increase the 
effectiveness and productivity of risk mitigation security practices 
and solutions.

Dorothy B. Fountain,
Deputy Director of Operations, Antitrust Division.
[FR Doc. 04-27072 Filed 12-9-04; 8:45 am]
BILLING CODE 4410-11-M
```
#### UNITED STATES of America, Appellee, v. Christian T. VIERTEL, Defendant-Appellant.

Nos. 05-5012-cr(L), 05-6175-cr(Con).

United States Court of Appeals, Second Circuit.

Sept. 26, 2007.

Robert A. Culp, Garrison, NY, for Appellant.

Marcia S. Cohen, Assistant United States Attorney (Michael J. Garcia, United States Attorney, Mark D. Harris, Katherine Polk Failla, Assistant United States Attorneys, on the brief), United States Attorney’s Office for the Southern District of New York, New York, NY, for Appellee.

PRESENT: Hon. ROGER J. MINER, Hon. JOSÉ A. CABRANES and Hon. ROBERT A. KATZMANN, Circuit Judges.

SUMMARY ORDER

Defendant-appellant Christian T. Viertel (“Viertel”) appeals from (1) an order of the District Court denying his motion for a new trial pursuant to Federal Rule of Criminal Procedure 33; and (2) an order of the District Court denying his motion for resentencing pursuant to a remand of this Court. Viertel was convicted of conspiracy to commit mail and wire fraud in violation of 18 U.S.C. § 37 and two counts of wire fraud in violation of 18 U.S.C. §§ 1343, 1346, and 2. He was sentenced principally to a term of twenty-one months’ imprisonment and ordered to pay restitution in the amount of $345,673.96. On appeal, Viertel argues that the District Court erred in denying his motion for a new trial on the basis of certain allegedly newly discovered evidence. He also argues that his sentence was unreasonably lengthy because the District Court erroneously relied upon the total amount of loss which it found attributable to Viertel rather than the amount of the transaction which formed the basis for the wire fraud *780counts. Finally, he argues that the sentence imposed violates his Fifth and Sixth Amendment rights because it is based upon judge-found facts, although he acknowledges that these arguments are foreclosed by the precedents of this Court. We assume the parties’ familiarity with the facts and procedural history of the case.

We review the denial of a motion for a new trial for an abuse of discretion and the district court’s findings of fact in connection with such a motion for clear error. *United States v. Diaz,*922 F.2d 998, 1006-07 (2d Cir.1990). We review the district court’s finding of the amount of intended loss for clear error and review its interpretation of the relevant Guidelines provisions *de novo. United States v. Ortiz,*136 F.3d 882, 883 (2d Cir.1997).

Viertel’s arguments with respect to the District Court’s denial of his motion for a new trial are without merit. We conclude that the District Court did not err in its determination of the loss attributable to the offense and that the sentence imposed is not unreasonable. For substantially the same reasons articulated in the District Court’s Opinion and Order of May 4, 2005, 2005 WL 1053434, and its Memorandum Opinion and Order of August 2, 2005, 2005 WL 1844774, the judgment of the District Court is AFFIRMED.
#### § 300.201 Accounts introduced by same or different broker or dealer.

All accounts of a person which are introduced by the same broker or dealer shall be combined and protected as the single account of a separate customer, unless such accounts are maintained in different capacities as specified in §§ 300.100 through 300.105; accounts introduced by different brokers or dealers shall be protected separately.
§ 38.950 Core Principle 18. The board of trade shall maintain records of all activities relating to the business of the contract market: ( a ) In a form and manner that is acceptable to the Commission; and
( b ) For a period of at least 5 years.
#### § 37.301 General requirements.

To demonstrate to the Commission compliance with the requirements of § 37.300, a swap execution facility shall, at the time it submits a new swap contract in advance to the Commission pursuant to part 40 of this chapter, provide the applicable information as set forth in appendix C to part 38 of this chapter—Demonstration of Compliance That a Contract is not Readily Susceptible to Manipulation. A swap execution facility may also refer to the guidance and/or acceptable practices in appendix B of this part.
§ 31.3 Fraud in connection with certain transactions in silver or gold bullion or bulk coins, or other commodities. It shall be unlawful for any person, by use of the mails or any means or instrumentality of interstate commerce, directly or indirectly: ( a ) To employ any device, scheme, or artifice to defraud,
( b ) To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made in the light of the circumstances under which they were made, not misleading, or
( c ) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in, or in connection with ( 1 ) an offer to make or the making of, any transaction for the purchase, sale or delivery of silver bullion, gold bullion, bulk silver coins, bulk gold coins, or any other commodity pursuant to a standardized contract commonly known to the trade as a margin account, margin contract, leverage account, or leverage contract, or pursuant to any contract, account, arrangement, scheme, or device that serves the same function or functions as such a standardized contract, or is marketed or managed in substantially the same manner as such a standardized contract, or
( 2 ) the maintenance or carrying of any such contract.
The provisions of this section shall not apply to any transaction expressly prohibited by section 19(a) of the Act. (Secs. 2(a), 8a, and 19 of the Commodity Exchange Act and secs. 2 and 23 of Pub. L. 95-405 (92 Stat. 865, 870-871); 7 U.S.C. 2 and 12a)
[43 FR 58554, Dec. 15, 1978. Redesignated at 49 FR 5526, Feb. 13, 1984]
Editorial Note on Part 133
Editorial Note: Nomenclature changes to part 133 appear at 68 FR 66582, Nov. 26, 2003.

§ 133.205 What must I include in my drug-free workplace statement? You must publish a statement that— ( a ) Tells your employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in your workplace;
( b ) Specifies the actions that you will take against employees for violating that prohibition; and
( c ) Lets each employee know that, as a condition of employment under any award, he or she: ( 1 ) Will abide by the terms of the statement; and
( 2 ) Must notify you in writing if he or she is convicted for a violation of a criminal drug statute occurring in the workplace and must do so no more than five calendar days after the conviction.
#### § 13.1 Improper exaction of fees.

Any consular officer who collects, or knowingly allows to be collected, for any services any other or greater fees than are allowed by law for such services, shall, besides his or her liability to refund the same, be liable to pay to the person by whom or in whose behalf the same are paid, treble the amount of the unlawful charge so collected, as a penalty. The refund and penalty may be recovered with costs, in any proper form of action, by such person for his or her own use. The amount of such overcharge and penalty may at the discretion of the Secretary of the Treasury be ordered withheld from the compensation of such officer for payment to the person entitled to the same ([22 U.S.C. 4209](https://www.govinfo.gov/link/uscode/22/4209)).

Note:

The foregoing relates to improper collection and personal withholding of funds by consular officers. For procedure where a collection, having been erroneously made, has been returned by the officer to the Treasury in good faith, making a subsequent accounting adjustment necessary, see [§ 22.6](/on/2024-09-16/title-22/section-22.6), *Refund of fees* of this chapter.

[[22 FR 10789](https://www.federalregister.gov/citation/22-FR-10789), Dec. 27, 1957, as amended at [49 FR 16989](https://www.federalregister.gov/citation/49-FR-16989), Apr. 23, 1984; [79 FR 43247](https://www.federalregister.gov/citation/79-FR-43247), July 25, 2014]
FIRST DISTRICT COURT OF APPEAL

STATE OF FLORIDA

_____________________________

No. 1D17-3438

_____________________________

JAMARL W. VAUGHAN,

Appellant,

v.

STATE OF FLORIDA,

Appellee.

_____________________________

On appeal from the Circuit Court for Duval County.

Waddell A. Wallace, Judge.

February 6, 2018

PER CURIAM.

AFFIRMED.

WETHERELL, ROWE, and JAY, JJ., concur.

_____________________________

Not final until disposition of any timely and 

authorized motion under Fla. R. App. P. 9.330 or 

9.331.

_____________________________
2

Jamarl W. Vaughn, pro se, Appellant.

Pamela Jo Bondi, Attorney General, and Samuel B. Steinberg,

Assistant Attorney General, Tallahassee, for Appellee.
#### Town of Windsor, appellant, v. Charles W. Wittenberg, appellee.

Action to recover a penalty fof obstruction of a highway. Verdict and judgment of not guilty. Appeal from the Circuit Court of Shelby county; the Hon. W. B. Wright, Judge, presiding. Heard in this court at the October term, 1921.

Affirmed.

Opinion filed October 25, 1922.

Rehearing denied December 19, 1922.

J. C. Willard and Bryan H. Tivnen, for appellant; Thomas R. Figenbaum, of counsel. E. A. Richardson and Chew & Baker, for appellee.

Mr. Presiding Justice Niehaus

delivered the opinion of the court.
§ 1203.735-217 Requesting exceptions from certain statutory prohibitions. ( a ) Any employee desiring a written advance determination that the prohibitions of 18 U.S.C. 208(a) do not apply will prepare a written request addressed to an appropriate agency official. For purposes of this section, the appropriate agency official is: The Deputy Under Secretary for Management for State, the Administrator for AID, and the Director for ICA. The request will describe the particular matter giving rise to the conflict of interest, the nature and extent of the employee's anticipated participation in the particular matter, and the exact nature and amount of the financial interest related to the particular matter.
( b ) The employee will forward the request to the appropriate agency official through the immediate supervisor and the assistant agency head in charge of the organizational agency component to which the employee is assigned, or will be assigned in the case of a new employee. The assistant agency head will forward the written request to the appropriate agency official through the agency's Counselor. The Counselor shall attach a written opinion to the request, prepare a recommended written determination in final form for signature by the appropriate agency official, and shall forward all documents to that official.
( c ) The determination of the appropriate agency official will be sent to the employee by the Counselor. If the appropriate agency official grants the requested exception, the original written advance determination will be sent to the employee. A duplicate original shall be retained among the appropriate agency records under the control of the Counselor.