alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
Editorial Note on Part 240
Editorial Note: Nomenclature changes to part 240 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.

§ 240.3a67-1 Definition of “major security-based swap participant.” ( a ) *General. Major security-based swap participant* means any person: ( 1 ) That is not a security-based swap dealer; and
( 2 ) ( i ) That maintains a substantial position in security-based swaps for any of the major security-based swap categories, excluding both positions held for hedging or mitigating commercial risk, and positions maintained by any employee benefit plan (or any contract held by such a plan) as defined in paragraphs (3) and (32) of section 3 of the Employee Retirement Income Security Act of 1974 (29 U.S.C. 1002) for the primary purpose of hedging or mitigating any risk directly associated with the operation of the plan;
( ii ) Whose outstanding security-based swaps create substantial counterparty exposure that could have serious adverse effects on the financial stability of the United States banking system or financial markets; or
( iii ) That is a financial entity that: ( A ) Is highly leveraged relative to the amount of capital such entity holds and that is not subject to capital requirements established by an appropriate Federal banking agency (as defined in 15 U.S.C. 78c(a)(72)); and
( B ) Maintains a substantial position in outstanding security-based swaps in any major security-based swap category.
( b ) *Scope of designation.* A person that is a major security-based swap participant in general shall be deemed to be a major security-based swap participant with respect to each security-based swap it enters into, regardless of the category of the security-based swap or the person's activities in connection with the security-based swap, unless the Commission limits the person's designation as a major security-based swap participant to specified categories of security-based swaps.
Editorial Note on Part 3
Editorial Note: Nomenclature changes to part 3 appear at 89 FR 71806, Sept. 4, 2024.

§ 3.46 Termination. ( a ) A temporary license issued pursuant to § 3.44 shall terminate: ( 1 ) Five days after service upon the applicant of a notice by the National Futures Association that the applicant for registration may be found subject to a statutory disqualification from registration;
( 2 ) Immediately upon termination of the applicant's guarantee agreement in accordance with § 1.10(j)(4)(ii) or (j)(5) of this chapter, unless a new guarantee agreement is filed in accordance with § 3.45(b);
( 3 ) Immediately upon the failure of an applicant to respond to a written request by the Commission or the National Futures Association for clarification of information set forth in the application of the applicant or any principal (including any branch office manager) thereof or for the resubmission of a fingerprint card pursuant to § 3.44(c) in accordance with such request;
( 4 ) Immediately upon the revocation or withdrawal of the guarantor futures commission merchant's registration;
( 5 ) Immediately upon the withdrawal of the registration application pursuant to § 3.44(c);
( 6 ) Immediately upon failure to comply with an order to pay a civil monetary penalty, restitution, or disgorgement within the time permitted under section 6(e), 6b, or 6c(d) of the Act;
( 7 ) Immediately upon failure to pay the full amount of a reparation order within the time permitted under section 14(f) of the Act;
( 8 ) Immediately upon failure to comply with an award in an arbitration proceeding conducted pursuant to the rules of a designated contract market, swap execution facility, or registered futures association within the time specified in section 10(g) of the National Futures Association's Code of Arbitration or the comparable time period specified in the rules of a contract market, swap execution facility, or other appropriate arbitration forum.
( 9 ) Whenever a person not listed as a principal on the applicant's initial registration application becomes a principal under § 3.1(a); or
( 10 ) Immediately upon notice to the applicant and the guarantor futures commission merchant that: ( i ) The applicant or any principal (including any branch officer manager) failed to disclose relevant disciplinary history information on the applicant's Form 7-R or on a principal's Form 8-R; or
( ii ) An event has occurred leading to a required disclosure on the applicant's Form 7-R or on a principal's Form 8-R.
( b ) Upon termination, the applicant may not engage in any activity which requires registration as an introducing broker.
[51 FR 45761, Dec. 22, 1986, as amended at 53 FR 8435, Mar. 15, 1988; 58 FR 19595, Apr. 15, 1993; 67 FR 38876, June 6, 2002; 77 FR 51908, Aug. 28, 2012]
Editorial Note on Part 260
Editorial Note: Nomenclature changes to part 260 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.

§ 260.4d-7 Application for exemption from one or more provisions of the Act. ( a ) Three copies of every application for an order under section 304(d) of the Act (15 U.S.C. 77ddd(d)) and of every amendment thereto shall be filed with the Commission at its principal office.
( b ) One copy shall be manually signed by a duly authorized officer of the applicant (or individual customarily performing similar functions with respect to an organization, whether incorporated or unincorporated), or by a natural person seeking exemption under section 304(d) of the Act.
( c ) Such applications shall be on paper no larger 81 ⁄ 2 × 11 inches in size. If reduction of large documents would render them illegible, such documents may be filed on paper larger than 81 ⁄ 2 × 11 inches in size. The left margin shall be at least 11 ⁄ 2 inches wide and if the application is bound, it shall be bound on the left side.
( d ) The application shall be typed, printed, copied, or prepared by a process which produces copies suitable for repeated photocopying and microfilming. All typewritten or printed matter shall be set forth in black ink to permit photocopying. If printed, the application shall be in type not smaller than 10-point, roman type, at least two points leaded.
( e ) Rules 7a-28 through 7a-32 (§§ 260.7a-28 through 260.7a-32 of this chapter) relating to incorporation by reference shall be applicable to applications for exemption pursuant to section 304(d) of the Act.
[56 FR 22319, May 15, 1991]
#### The People of the State of New York v. Abbott Maintenance Corporation and Instalment Department, Inc.

Motion by plaintiff-appellant, The People of the State of New York, for leave to appeal to the Court of Appeals denied, with $10 costs. Motion by defendant-respondent, Abbott Maintenance Corp., for leave to reargue or for leave to appeal to the Court of Appeals denied, with $10 costs. Concur — Botein, P. J., Valente, Stevens and Bergan, JJ.
**Exhibit 31.3**

 

**CERTIFICATION**

 

I,Ted S. Smith, certify that:

 

1.I have reviewed this quarterly report on Form 10-Q as amended by this Form 10-Q/Aof MarkWest Hydrocarbon, Inc.;

 

2.Based on my knowledge, this report does not contain any untrue statement of amaterial fact or omit to state a material fact necessary to make the statementsmade, in light of the circumstances under which such statements were made, notmisleading with respect to the period covered by this report;

 

3.Based on my knowledge, the financial statements, and other financialinformation included in this report, fairly present in all material respectsthe financial condition, results of operations and cash flows of the registrantas of, and for, the periods presented in this report;

 

4.The registrant’s other certifying officers and I are responsible forestablishing and maintaining disclosure controls and procedures (as defined inExchange Act Rules 13a-15(e) and 15d-15(e)) for the registrant andhave:

 

a)              Designed such disclosure controls and procedures, or causedsuch disclosure controls and procedures to be designed under our supervision,to ensure that material information relating to the registrant, including itsconsolidated subsidiaries, is made known to us by others within those entities,particularly during the period in which this report is being prepared;

 

b)             Evaluated the effectiveness of the registrant’s disclosurecontrols and procedures****andpresented in this report our conclusions about the effectiveness of thedisclosure controls and procedures, as of the end of the period covered by thisreport based on such evaluation; and

 

c)              Disclosed in this report any change in the registrant’sinternal control over financial reporting that occurred during the registrant’smost recent fiscal quarter (the registrant’s fourth fiscal quarter in the caseof an annual report) that has materially affected, or is reasonably likely tomaterially affect, the registrant’s internal control over financial reporting;and

 

5.The registrant’s other certifying officers and I have disclosed, based on ourmost recent evaluation of internal control over financial reporting, to theregistrant’s auditors and the audit committee of registrant’s board ofdirectors (or persons performing the equivalent function):

 

a)             All significant deficiencies and material weaknesses in thedesign or operation of internal control over financial reporting which arereasonably likely to adversely affect the registrant’s ability to record,process, summarize and report financial information; and

 

b)         Any fraud, whether or not material, that involves managementor other employees who have a significant role in the registrant’s internalcontrols over financial reporting.

 

 
| Date: October 20, 2005 | By:    |   /s/ TED S. SMITH         |   |
|-----------------------------|--------|--------------------------------------|--------|
|                        |   |   Ted S. Smith             |
|                        |   |   Chief Accounting Officer |

 

----
(March 21, 1955.)

#### Cass Carr, Appellant, v. John E. Hoy, Individually and as Sheriff of Westchester County, Respondent.

Action to recover a sum of money consisting of fees collected by appellant for conducting a certain photographic outing, delivered to respondent upon his request at the time the group was arrested. Appellant pleaded guilty to a charge of violation of section 43 of the Penal Law and was fined. His demand for the return of the aforesaid money being refused, he brought this action. Order of the County Court, Westchester County, affirming a judgment of the City Court of Yonkers dismissing the complaint, unanimously affirmed, with costs. It was found as a fact by the trial court that the money sought to be recovered was received by appellant for permission to participate in an act which outraged public decency, and appellant does not contend on this appeal that the finding was contrary to the evidence. Under such circumstances, he acquired no legal title to the money in dispute and may not recover same from respondent, notwithstanding that there is no specific statutory provision for the disposition of such seized funds. (Cf. *Biggs*v. Palmer, 115 3ST. Y. 506, 511; *Bradley*v. *Boe,*282 N. Y. 525, 531, and *Eofferman*V. Simmons, 290 N. Y. 449.) Present — Nolan, P. J., MacCrate, Schmidt, Beldock and Murphy, JJ. [See *post,*p. 1082.]
```

[Congressional Bills 112th Congress]
[From the U.S. Government Publishing Office]
[H.R. 4137 Introduced in House (IH)]

112th CONGRESS
  2d Session
                                H. R. 4137

To make permanent the exclusion from gross income for employer-provided 
                        educational assistance.

_______________________________________________________________________

                    IN THE HOUSE OF REPRESENTATIVES

                             March 5, 2012

  Mr. Sam Johnson of Texas (for himself and Mr. Neal) introduced the 
 following bill; which was referred to the Committee on Ways and Means

_______________________________________________________________________

                                 A BILL

 
To make permanent the exclusion from gross income for employer-provided 
                        educational assistance.

    Be it enacted by the Senate and House of Representatives of the 
United States of America in Congress assembled,

SECTION 1. SHORT TITLE.

    This Act may be cited as the ``Employee Educational Assistance Act 
of 2012''.

SEC. 2. EXCLUSION FOR EMPLOYER-PROVIDED EDUCATIONAL ASSISTANCE MADE 
              PERMANENT.

    Section 901 of the Economic Growth and Tax Relief Reconciliation 
Act of 2001 shall not apply to section 411 of such Act.
                                 <all>
```
* Pursuant to Local Rule 47.5, the court has determined that

this opinion should not be published and is not precedent except under the limited circumstances set forth in Local Rule 47.5.4.

IN THE UNITED STATES COURT OF APPEALS

FOR THE FIFTH CIRCUIT

_____________________ No. 96-30663

_____________________ LIFECARE HOSPITALS INC Plaintiff-Appellee
v. FRIDEN HOTEL CO; ET AL Defendants FRIDEN HOTEL CO; R E HARRINGTON INC Defendants-Appellants

_________________________________________________________________

Appeal from the United States District Court for the Eastern District of Louisiana

(95-cv-1313)

_________________________________________________________________ March 6, 1997 Before REAVLEY, KING, and BARKSDALE, Circuit Judges. PER CURIAM: * The district court correctly concluded that the preemption issue in this case is controlled by our decision in Memorial Hospital System v. Northbrook Life Ins. Co. , 904 F.2d 236 (5th Cir. 1990). Further, the district court correctly held that under the evidence presented the defendants owed a duty to the plaintiff to supply it with correct information regarding the2

benefits available to Ms. Griffin, that the defendants breached that duty as a result of their negligence and that the plaintiff was damaged as a result of the defendants’ negligent misrepresentations. The factual findings made by the district court in this connection are not clearly erroneous. AFFIRMED.
1... See TEX. R. APP. P. 47.4.

COURT OF APPEALS

SECOND DISTRICT OF TEXAS

FORT WORTH

NO. 2-07-426-CR

DONALD SHIRLEY APPELLANT

V.

THE STATE OF TEXAS STATE

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

FROM THE 297TH DISTRICT COURT OF TARRANT COUNTY

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

MEMORANDUM OPINION1

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

Appellant Donald Shirley appeals from the revocation of his deferred

adjudication community supervision. Appellant pleaded guilty to possession of

less than one gram of cocaine in October 1999 in accordance with a plea

bargain, and the trial court placed him on four years’ deferred adjudication

community supervision. The State filed a petition to proceed to adjudication in
2

October 2001, asserting that Appellant had failed to report to the community

supervision office for the prior fifteen months. Six years later, on November 9,

2007, the trial court conducted a hearing on the petition, found that Appellant

had violated the terms of community supervision, and sentenced him to 180

days in jail. 

In his second point, Appellant argues that he established a prima facie

defense of lack of due diligence and that the State failed to rebut the defense.

See TEX. CODE CRIM. PROC. ANN. art. 42.12 § 24 (Vernon Supp. 2007)

(providing an affirmative defense to revocation of community supervision for

failure to report when an officer with the power of arrest under a warrant

issued for the alleged violation fails to contact or attempt to contact the

defendant in person at the defendant’s last known address or place of

employment). The State has filed a letter brief conceding that Appellant’s

second point is meritorious and joining Appellant’s prayer to reverse his

conviction and sentence and remand the case to the trial court.
2... In his first point, Appellant argues that the trial court erred by

overruling his hearsay and Confrontation Clause objections to the testimony of

a community supervision officer after the officer testified that his knowledge

of Appellant’s failure to report derived solely from the community supervision

records.

3

We therefore sustain Appellant’s second point and, without considering

his first point, reverse the trial court’s judgment and remand the case for 2

further proceedings. See TEX. R. APP. P. 43.2(d), 47.1.

PER CURIAM

PANEL F: GARDNER, J.; CAYCE, C.J.; and LIVINGSTON, J.

DO NOT PUBLISH

TEX. R. APP. P. 47.2(b)

DELIVERED: April 10, 2008
EXHIBIT 32.2

                            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 the quarterly report of PetCARE Television Network,
Inc. (the "Company") on Form 10-QSB for the quarter ending June 30, 2004 as
filed with the Securities and Exchange Commission on August 14, 2004 (the
"Report"), I, Donald R. Mastropietro, Chief Financial Officer of the Company,
certify, pursuant to 18 U.S.C. ss. 1350, as adopted pursuant to ss. 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 result of operations
            of the Company.



/s/ Donald R. Mastropietro
--------------------------
Donald R. Mastropietro
Chief Financial Officer
August 14, 2004


A signed original of this certification has been provided to the Company and
will be retained by the Company and furnished to the Securities and Exchange
Commission or its staff upon request.
Power of Attorney


Know all by these presents, that the undersigned (the "Reporting Person")
hereby constitutes and appoints each of Melanie A. DeMorrow, Assistant Vice
President-Shareholder Relations; Richard M. Lavers, Secretary; Joseph P.
Tomczak, Executive Vice President & C.F.O.; Kathy Samovitz, Associate
Counsel; and Jessica L. Long, Assistant Secretary,  signing singly, as the
Reporting Person's true and lawful attorney-in-fact, to:

(1) execute for and on behalf of the Reporting Person, in the Reporting
Person's capacity as an officer or trustee of Coachmen Industries, Inc.
(the "Company"), Forms 3, 4, and 5 and such other similar forms as may be
required for filing in accordance with Section 16(a) of the Securities
Exchange Act of 1934, or the Sarbanes-Oxley Act of 2002, and the rules
thereunder;

(2) do and perform all acts for and on behalf of the Reporting Person
which may be necessary or desirable to complete and execute any such forms
and timely file such forms with the United States Securities and Exchange
Commission and any stock exchange or similar authority or other federal
agency; and

(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit
to, and in the best interest of, or legally required by, the Reporting
Person.

The Reporting Person hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the Reporting Person
might or could do if personally present, with full power of substitution or
revocation, hereby ratifying and confirming all that such attorney-in-fact, or
such attorney-in-facts substitute or substitutes, shall lawfully do or cause to
be done by the virtue of this Power of Attorney and the rights and powers
herein granted.  The Reporting Person acknowledges that the foregoing
attorneys-in fact, in serving in such capacity at the request of the Reporting
Person, are not assuming, nor is the company assuming, any of the Reporting
Persons responsibilities to comply with any of the above specified laws or
regulations.

This Power of Attorney shall remain in full force and effect until the
Reporting Person is no longer required to file such forms with respect to the
Reporting Person's holdings of and transactions in securities issued by the
Company, unless earlier revoked by the Reporting Person in a signed writing
delivered to the Secretary of  the Company.

IN WITNESS WHEREOF, the Reporting Person has caused this Power of Attorney to
be executed as of this 14th day of June, 2004.



						s/William G. Lenhart
#### § 38.605 Requirements for financial surveillance program.

A designated contract market's financial surveillance program for futures commission merchants, retail foreign exchange dealers, and introducing brokers must comply with the requirements of § 1.52 of this chapter to assess the compliance of such entities with applicable contract market rules and Commission regulations.
§ 5.19 Pending legal proceedings. ( a ) Every retail foreign exchange dealer or futures commission merchant and each CPO, CTA or IB subject to this part 5 shall submit to the Commission copies of any dispositive or partially dispositive decision for which a notice of appeal has been filed, the notice of appeal and such further documents as the Commission may thereafter request filed in any material legal proceeding to which the retail foreign exchange dealer, futures commission merchant, CPO, CTA or IB is a party or to which its property or assets is subject with respect to retail forex transactions.
( b ) Every retail foreign exchange dealer or futures commission merchant and each CPO, CTA or IB subject to this part 5 shall submit to the Commission copies of any dispositive or partially dispositive decision concerning which a notice of appeal has been filed, the notice of appeal, and such further documents as the Commission may thereafter request filed in any material legal proceeding instituted against any person who is a principal of the retail foreign exchange dealer, futures commission merchant CPO, CTA or IB (as the term “principal” is defined in § 3.1(a) of this chapter) arising from conduct in such person's capacity as a principal of the retail foreign exchange dealer, futures commission merchant, CPO, CTA or IB and alleging violations, with regard to retail forex transactions, of: ( 1 ) The Act or any rule, regulation, or order thereunder; or
( 2 ) Provisions of state law relating to a duty or obligation owed by such a principal.
( c ) All documents required by this section to be submitted to the Commission shall be mailed via first-class or submitted by other more expeditious means to the Commission's headquarters office in Washington, DC, Attention: Director, Division of Enforcement. All documents required by this section to be submitted to the Commission as to matters pending on October 18, 2010 shall be mailed to the Commission within 45 days of that effective date. Thereafter, all decisions and notices of appeal required to be submitted by retail foreign exchange dealers, futures commission merchants, CPOs, CTAs or IBs shall be mailed within 10 days of the filing or receipt by the retail foreign exchange dealer or futures commission merchant of the relevant notice of appeal. For purposes of paragraph (a) and (b) of this section, a “material legal proceeding” includes but is not limited to actions involving alleged violations of the Commodity Exchange Act or the Commission's regulations. However, a legal proceeding is not “material” for the purposes of this rule if the proceeding is not in a federal or state court or if the Commission is a party.