alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
2005

-1 FA10 42

EMF FINANCIAL PRODUCTSyL.LG:

£ SECRETARIAT
June 30, 2005

Office of the Secretariat at CFTC
3 Lafayette Center

1155 21* Street NW

Washington, D.C. 20581

Dear Secretary,

The recent CBOT proposal to limit open interest on financial futures starting with the December 2005
contracts is deeply flawed for several reasons, First among the reasons is that both the CBOT and the
CFTC have repeatedly assured us and other market participants that there would be no changes in
specifications made to contracts with existing open interest. Open interest in TYZS5 as of June 29, 2005
was 109,702 contracts, or nearly $11 billion in cash equivalents. As traders, we rely on the word of the
CBOT and the CFTC in building our book of trades. Accordingly, we relied on the affirmative assurance
that there would be no changes to the TYZ5, but that there could be changes to TYH6.

Further, it is extremely important to realize that the contract does not exist in a vacuum, but in fact, is an
expression of the value of the underlying deliverable securities. When you change position limits, you
affect the likely open interest in the contract. This affects the financing value of those securities most likely
to be delivered. If open interest is large then the financing value of the CTD is likely to be very strong. If
you reduce open interest, then you reduce the value of the CTD issue in financing. A change in the term
financing of the CTD affects the value of the CTD security directly. It is demonstrable that an action
which limits open interest reduces the value of the term financing for the CTD which reduces the value of
the CTD in the cash market. This in turn affects the value of the futures contract which is a derivative of
that basket of deliverable securities. In the case of TYZS5, the CTD issue, 8/12, cheapened in term
financing from 2.25% to 2.50% on the day following the proposed rule change. A 25 basis point change in
a 6 month term financing is worth $1,250 per million, or approximately 4/32nds. The key point is that
TYZS, 8/12 cash, and 8/12 term financing are inextricably intertwined. It is specious to argue that changes
in position limits do not affect the value of the contract. Generically, anything that limits open interest
affects the financing and cash value of probable CTD issues and therefore the value of the contract.

If the CBOT deferred the implementation of the proposed position limits until March 2006 they would both
respect their promise to not change specifications on contracts with existing open interest, and would avoid
damaging futures customers with open interest in December contracts who relied on that promise. Since
there is effectively no open interest in any futures contract to March 2006, we are formally requesting that
the implementation of the proposed open interest limitations be deferred until the March 2006 cycle.

Very truly yours,

cm t—~

Eric M. Flanagan
President

675 Third Avenue, Suite 2800, New York, New York 10017
Telephone (212)490-1990 Facsimile (212)490-1966
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cmesé

Chicago Mercantile Exchange

December 13, 2005

Ms. Jean A. Webb

Office of the Secretariat

Commodity Futures Trading Commission
Three Lafayette Centre

1155 21st Street, NW

Washington, DC 20581

RE: Section Sc(c)(1), Part 40.6(a) — Rule Certification for Change in the January 2006 CME
Brazilian Real Futures and Options Termination of Trading Day.
CME Submission 05-131.

Dear Ms. Webb:

Chicago Mercantile Exchange Inc. ("CME" or "Exchange") hereby notifies the
Commission that, analogous to CME procedures for the last five years, the Exchange is
interpreting the termination of trading day for the January 2006 CME Brazilian real futures and
options to be Thursday, December 29, 2005. The Central Bank of Brazil has informed CME
today that it will release the same “PTAX Rate” on Friday, December 30, 2005, that was
calculated based on spot market activity for Thursday, December 29, 2005. Although the last
business day of the month for the Central Bank of Brazil is Friday, December 30, 2005, the
published "PTAX Rate" of December 30, 2005, will be the same as the "PTAX Rate" of
December 29, 2005. Therefore, for the purpose of determining the termination of trading day for
the January 2006 CME Brazilian real futures and options contracts, the last business day of the
month for the Central Bank of Brazil is Thursday, December 29, 2005, when the end-of-month
"PTAX Rate" will be first issued. There are eighty-eight contracts of open interest in the January
2006 CME Brazilian real futures and no open interest in the January 2006 CME Brazilian real
options on futures contracts. CME Clearing House has telephoned all of the CME clearing firms
holding open interest in the January 2006 CME Brazilian real futures contracts and notified them
of the termination of trading date change.

This change in the termination of trading day for the January 2006 CME Brazilian real
futures and options contracts will be communicated to members in CME Special Executive
Report, S-4390, dated Thursday, December 15, 2005.

The Exchange notes that this action neither violates nor is inconsistent with any provision
of the Commodity Exchange Act or of the rules thereunder. There were no substantive opposing
views to this proposal.

20 South Wacker Drive, Chicago IL 60606-7499, Tel. 312-930-1000


Ms. Jean A. Webb
December 13, 2005
Page 3 of 3

If you require any additional information regarding this action, please do not hesitate to
contact Mr. Steven Youngren at 312-930-4583 or via e-mail at syoungre@cme.com. Please
reference our CME Submission 05-131 on all future correspondence regarding this notification.

Sincerely,

John W. Labuszewski
Director, Research & Product Development
Exhibit 31.3

OMNI ENERGY SERVICES CORP.

A LOUISIANA CORPORATION

CERTIFICATION OF CHIEF ACCOUNTING OFFICER

SECTION 302 CERTIFICATION

I, Gregory B. Milton, certify that:

1. I have reviewed this quarterly report on Form 10-Q of OMNI Energy Services Corp., a Louisiana corporation (the registrant);

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

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

4. The registrants other certifying officers and I, are responsible
for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) for the registrant and have:

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

b) Evaluated the effectiveness of the registrants disclosure controls and procedures and presented in this report our conclusions
about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation;

c) Disclosed in this report any change in the registrants internal control over financial reporting that occurred during the registrants most recent fiscal quarter (the registrants fourth fiscal
quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrants internal control over financial reporting; and

5. The registrants other certifying officers and I have disclosed, based on our most recent evaluation, to the registrants auditors and the
audit committee of the registrants board of directors (or persons performing the equivalent functions):

a) All
significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably 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 management or other employees who have a significant
role in the registrants internal controls over financial reporting.

Date: November 13, 2006



|                        
|------------------------
|/s/ Gregory B. Milton   
|Gregory B. Milton       
|Chief Accounting Officer



35
#### UNITED STATES of America, Plaintiff-Appellee, v. Jerry Lee MERCER, Defendant-Appellant.

No. 13-6210.

United States Court of Appeals, Fourth Circuit.

Submitted: May 23, 2013.

Decided: May 29, 2013.

Jerry Lee Mercer, Appellant pro se. Jennifer P. May-Parker, Assistant United States Attorney, Raleigh, North Carolina, for Appellee.

Before MOTZ and AGEE, Circuit Judges, and HAMILTON, Senior Circuit Judge.

Dismissed by unpublished PER CURIAM opinion.

Unpublished opinions are not binding precedent in this circuit.

PER CURIAM:

Jerry Lee Mercer seeks to appeal the district court’s order denying relief on his 28 U.S.C.A. § 2255 (West Supp.2012) motion and motion for reconsideration.* The orders are not appealable unless a circuit *229justice or judge issues a certificate of appealability. 28 U.S.C. § 2253(c)(1)(B) (2006). A certificate of appealability will not issue absent “a substantial showing of the denial of a constitutional right.” 28 U.S.C. § 2253(c)(2) (2006). When the district court denies relief on the merits, a prisoner satisfies this standard by demonstrating that reasonable jurists would find that the district court’s assessment of the constitutional claims is debatable or wrong. *Slack v. McDaniel,*529 U.S. 473, 484, 120 S.Ct. 1595, 146 L.Ed.2d 542 (2000); *see Miller-El v. Cockrell,*537 U.S. 322, 336-38, 123 S.Ct. 1029, 154 L.Ed.2d 931 (2003). When the district court denies relief on procedural grounds, the prisoner must demonstrate both that the dispositive procedural ruling is debatable, and that the motion states a debatable claim of the denial of a constitutional right. *Slack,*529 U.S. at 484-85, 120 S.Ct. 1595.

We have independently reviewed the record and conclude that Mercer has not made the requisite showing. Accordingly, we deny a certificate of appealability and dismiss the appeal. We dispense with oral argument because the facts and legal contentions are adequately presented in the materials before this court and argument would not aid the decisional process.

*DISMISSED.*

*

**We construe Mercer’s February 11, 2013, notice of appeal together with his motion filed in the district court on December 18, 2013, to grant "permission to file a petition to the Appeals Court for a 'Certificate of Appealability,’ ” as a notice of appeal from the district court's orders denying Mercer’s Fed.R.Civ.P. 59(e) and § 2255 motions.
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CBOE FUTURES EXCHANGE

April 21, 2006

Via Electronic Mail

Ms. Jean A. Webb

Secretary

Commodity Futures Trading Commission
Three Lafayette Centre

1155 21st Street, N.W.

Washington, D.C. 20581

Futures Exchange,
umber CF.

C Rule Certification

Dear Ms. Webb:

Pursuant to Section Sc(c)(1) of the Commodity Exchange Act, as amended ("Act"), and
§40.6(a) of the regulations promulgated by the Commodity Futures Trading Commission
("CFTC") under the Act, CBOE Futures Exchange, LLC ("CFE" or "Exchange") hereby submits
an amendment ("Amendment") that expands the number of contract months that CFE may list for
trading on CBOE Volatility Index futures.

The Amendment will become effective on April 24, 2006. CFE is not aware of any
substantive opposing views to the Amendment. CFE hereby certifies that the Amendment
complies with the Act and the regulations thereunder.

[bracketed] text, consists of the following:

wee RS

CFE Rule 1202. Contract Specifications

eee

(b) Schedule. The Exchange may list for trading up to three near-term serial
months and [five] eight months on the February quarterly cycle for the VIX
futures contract. The fina] settlement date for a VIX futures contract shall be
on the Wednesday that is thirty days prior to the third Friday of the calendar
month immediately following the month in which that contract expires.

The trading days for VIX futures contracts shall be the same trading days of
options on the S&P 500 Composite Stock Price Index, as those days are
determined by CBOE.

The trading hours for VIX futures contracts are from 8:30 a.m. Chicago time

to 3:15 p.m Chicago time.
errors

400 South LaSalle Street Chicago, Nlinois 60605-1023 www.cboe.com/cfe



Ms. Jean A. Webb
Page 2 of 2

eee

Questions regarding this submission may be directed to Arthur Reinstcin at (312) 786-
7570. Please reference our submission number CFE-2006-08 in any related correspondence.

CBOE Futures Exchange, LLC

Og ick Fay

Managing Director

ce) Mark Baumgardner (OCC)
Edward Dasso (NFA)
WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.

<TABLE> <S> <C>

<ARTICLE> 5
<LEGEND>
THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM THE
CONDENSED CONSOLIDATED BALANCE SHEET AS OF SEPTEMBER 30, 1997 AND THE CONDENSED
CONSOLIDATED STATEMENT OF OPERATIONS FOR THE THREE MONTHS ENDED SEPTEMBER 30,
1997 AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH STATEMENTS ON FORM
10-Q FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 1997.
</LEGEND>
<CIK> 
<NAME> NOVA CARE EMPLOYEE SERVICES, INC.
<MULTIPLIER> 1000
<CURRENCY> US DOLLARS
       
<S>                             <C>
<PERIOD-TYPE>                   3-MOS
<FISCAL-YEAR-END>                          JUN-30-1998
<PERIOD-START>                             JUL-01-1997
<PERIOD-END>                               SEP-30-1997
<EXCHANGE-RATE>                                      1
<CASH>                                           2,428
<SECURITIES>                                         0
<RECEIVABLES>                                   43,114
<ALLOWANCES>                                      (64)
<INVENTORY>                                          0
<CURRENT-ASSETS>                                 1,551
<PP&E>                                           2,471
<DEPRECIATION>                                   (323)
<TOTAL-ASSETS>                                 104,160
<CURRENT-LIABILITIES>                           96,093
<BONDS>                                          1,290
<PREFERRED-MANDATORY>                            3,586
<PREFERRED>                                          0
<COMMON>                                           204
<OTHER-SE>                                       1,308
<TOTAL-LIABILITY-AND-EQUITY>                   104,160
<SALES>                                              0
<TOTAL-REVENUES>                               266,757
<CGS>                                                0
<TOTAL-COSTS>                                  264,021<F1>
<OTHER-EXPENSES>                                   514<F2>
<LOSS-PROVISION>                                    38
<INTEREST-EXPENSE>                                 433
<INCOME-PRETAX>                                  1,751
<INCOME-TAX>                                       814
<INCOME-CONTINUING>                                937
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                       937
<EPS-PRIMARY>                                      .00
<EPS-DILUTED>                                      .00
<FN>
<F1>"TOTAL COSTS" CONSIST OF COST OF SERVICES AND SELLING AND ADMINISTRATIVE
EXPENSES.
<F2>"OTHER EXPENSES" CONSIST OF AMORTIZATION OF GOODWILL OFFSET BY INTEREST INCOME.
</FN>
        

</TABLE>
Exhibit 31(i).1




Certification of the Principal Executive Officer


Rule 13a – 14(a) of the Securities Exchange Act of 1934





I, Shaun A. Burke, certify that:





1. I have reviewed this quarterly report on Form 10-Q of Guaranty Federal Bancshares, Inc.;





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





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













































Date: August 12, 2010/s/ Shaun A. BurkeShaun A. BurkeChief Executive Officer(Principal Executive Officer)
<TABLE> <S> <C>

<ARTICLE> 9
<CIK> 0001046002
<NAME> ALLIANCE BANCORP OF NEW ENGLAND, INC
<MULTIPLIER> 1000
<CURRENCY> US$
       
<S>                             <C>
<PERIOD-TYPE>                   3-MOS
<FISCAL-YEAR-END>                          DEC-31-1999
<PERIOD-START>                             JAN-01-1999
<PERIOD-END>                               MAR-31-1999
<EXCHANGE-RATE>                                      1
<CASH>                                           7,865
<INT-BEARING-DEPOSITS>                           9,479
<FED-FUNDS-SOLD>                                     0
<TRADING-ASSETS>                                     0
<INVESTMENTS-HELD-FOR-SALE>                     63,356
<INVESTMENTS-CARRYING>                          13,176
<INVESTMENTS-MARKET>                            13,276
<LOANS>                                        182,371
<ALLOWANCE>                                      3,200
<TOTAL-ASSETS>                                 281,770
<DEPOSITS>                                     237,867
<SHORT-TERM>                                     2,000
<LIABILITIES-OTHER>                              1,678
<LONG-TERM>                                     23,576
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                            25
<OTHER-SE>                                      16,624
<TOTAL-LIABILITIES-AND-EQUITY>                 281,770
<INTEREST-LOAN>                                  3,543
<INTEREST-INVEST>                                1,226
<INTEREST-OTHER>                                    92
<INTEREST-TOTAL>                                 4,861
<INTEREST-DEPOSIT>                               2,176
<INTEREST-EXPENSE>                               2,475
<INTEREST-INCOME-NET>                            2,386
<LOAN-LOSSES>                                      125
<SECURITIES-GAINS>                                 104
<EXPENSE-OTHER>                                  1,303
<INCOME-PRETAX>                                    958
<INCOME-PRE-EXTRAORDINARY>                         958
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                       700
<EPS-PRIMARY>                                        0
<EPS-DILUTED>                                     0.30
<YIELD-ACTUAL>                                    3.77
<LOANS-NON>                                        960
<LOANS-PAST>                                         0
<LOANS-TROUBLED>                                     0
<LOANS-PROBLEM>                                  1,249
<ALLOWANCE-OPEN>                                 3,060
<CHARGE-OFFS>                                        9
<RECOVERIES>                                        24
<ALLOWANCE-CLOSE>                                3,200
<ALLOWANCE-DOMESTIC>                             3,200
<ALLOWANCE-FOREIGN>                                  0
<ALLOWANCE-UNALLOCATED>                            816
        

</TABLE>
Exhibit 10.22
 
 Performance Unit Award Agreement
Pursuant to the Symetra Financial Corporation Equity Plan
2010-2012 Grant
 Agreement Grant Date Company Participant
 Plan 
   Definitions
 Annualized Return on Equity
 Earned
Value
 Minimum
Threshold
 Modified Operating Income
 Modified Operating Return on Equity




---



##### 



Award Period
 Value of Performance Units
 Performance Objective
 Performance Percentage
 Performance Objective
    
    Performance Percentage7% or lower
    
    0%12%
    
    100%17% or higher
    
    200%
  Award Payment provided however
 Termination of Employment
 provided
 - 2 -




---



##### 



Change in Control
   Successor Requirement Purchaser
 Withholding
 - 3 -




---



##### 



Non-Transferability of Performance Units
 Rights of the Participant
 Relation to Plan
 Designation of Beneficiary by Participant
 Notices
 - 4 -




---



##### 



Waiver of Breach
 Participants Undertaking
 Amendment
 Professional Advice
 Governing Law
 - 5 -




---



##### 



Counterparts
 Entire Agreement
 Severability
 - 6 -




---



##### 



Symetra Financial CorporationByName
    
    Date
    
    
    
    
    
    Randall H. Talbot, President & CEO
 - 7 -