alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
Plaza 5, 185 Hudson St #2200 

Jersey City, NJ 07311

June 2, 2021

Submitted via CFTC Portal

Mr. Christopher J. Kirkpatrick

Office of the Secretariat

Commodity Futures Trading Commission

Three Lafayette Centre

1155 21st Street, N.W.

Washington, D.C. 20581

Re: DW SEF LLC – Rule Changes 

Dear Mr. Kirkpatrick:

Pursuant to Section 5c(c) of the Commodity Exchange Act (the “Act”) and Section 40.6(a) of the 

regulations of the Commodity Futures Trading Commission (the “Commission”), DW SEF LLC 

(“DW SEF”) hereby submits amendments to its IRS Fee Schedule, which has been amended to 

reflect updates to certain terms and fees. In addition, DW SEF hereby submits an Introducing 

Agent Fee Schedule, which is being introduced for the first time. The amendments will become 

effective on June 17, 2021, no fewer than ten business days from the date hereof. Pursuant to 

Commission Regulations 40.8 and 145.9(d), attached as Appendix A are the updates to the IRS 

Fee Schedule with the additions and deletions indicated in redline format and attached as 

Appendix B is the Introducing Agent Fee Schedule. In connection with this submission, DW SEF 

hereby notifies the Commission that:

1. Pursuant to CFTC Regulations 40.8 and 145.9, DW SEF is seeking to keep certain 

information confidential because it would otherwise reveal trade secrets or confidential 

commercial or financial information and has posted a notice of pending certification 

with the Commission and a redacted copy of this submission on DW SEF’s website.

2. DW SEF certifies that the Rules comply with the Act and the Commission’s regulations 

thereunder, including Core Principle 2 (Compliance with rules), as the Fee Schedule 

is a rule of the SEF; and

3. No substantive opposing views with respect to the Rules were expressed to DW SEF 

by its governing board or committee members, members of DW SEF or market 

participants.

Should you have questions regarding this submission, please contact the undersigned at (646) 

560-7223 or at Gregory.compa@tradeweb.com.

Very truly yours,

Gregory Compa

Chief Compliance Officer
CONFIDENTIAL TREATMENT REQUESTED BY DW SEF LLC PURSUANT TO 17 CFR PART 154

APPENDIX A

IRS Fee Schedule

(Blackline and Clean Copies)

[REDACTED]
CONFIDENTIAL TREATMENT REQUESTED BY DW SEF LLC PURSUANT TO 17 CFR PART 154

APPENDIX B

Introducing Agent Fee Schedule

(Clean Copy)

[REDACTED]
CONFIDENTIAL TREATMENT REQUESTED BY DW SEF LLC PURSUANT TO 17 CFR PART 154

APPENDIX A 

IRS Fee Schedule

(Blackline and Clean Versions)
CONFIDENTIAL TREATMENT REQUESTED BY DW SEF LLC PURSUANT TO 17 CFR PART 154

APPENDIX B

Introducing Agent Fee Schedule

(Clean Copy)
Case 1:07-cv-05804-GEL Document 45 Filed 06/07/2008 Page 1 of 7
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Case 1:07-cr-00566-GBD     Document 23      Filed 01/22/2008     Page 1 of 1
#### UNITED STATES of America, Plaintiff-Appellee v. Luis AGUILAR-HERNANDEZ, Defendant-Appellant.

No. 12-40656

Summary Calendar.

United States Court of Appeals, Fifth Circuit.

May 24, 2013.

Renata Ann Gowie, Assistant U.S. Attorney, U.S. Attorney’s Office, Houston, TX, for Plaintiff-Appellee.

Marjorie A. Meyers, Federal Public Defender, Molly Estelle Odom, Esq., Assistant Federal Public Defender, Federal Public Defender’s Office, Houston, TX, for Defendant-Appellant.

Before JONES, DENNIS, and HAYNES, Circuit Judges.

PER CURIAM: *

The Federal Public Defender appointed to represent Luis Aguilar-Hernandez has moved for leave to withdraw and has filed a brief in accordance with *Anders v. California,*386 U.S. 738, 87 S.Ct. 1396, 18 L.Ed.2d 493 (1967), and *United States v. Flores,*632 F.3d 229 (5th Cir.2011). Aguilar-Hernandez has filed a response. We have reviewed counsel’s brief and the relevant portions of the record reflected therein, as well as Aguilar-Hernandez’s response. We concur with counsel’s assessment that the appeal presents no non-frivolous issue for appellate review. Accordingly, counsel’s motion for leave to withdraw is GRANTED, counsel is excused from further responsibilities herein, and the APPEAL IS DISMISSED. *See*5th Cir. R. 42.2.

*

 Pursuant to 5th Cm. R. 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 5th Cm. R. 47.5.4.
#### MILLER v. DIEL.

(Supreme Court, General Term, Second Department.

June 18, 1894.)

Action by Frank W. Miller against Cornelius Diel.

No opinion. Order affirmed, with costs.
**EXHIBIT 31.2****CERTIFICATION**I, Thomas Liguori, certify that:1. I have reviewed this quarterly report on Form 10-Q of Hypercom Corporation.2. Based on my knowledge, this report does not contain any untrue statement of a material factor omit to state a material fact necessary to make the statements made, in light of thecircumstances under which such statements were made, not misleading with respect to the periodcovered by this report.3. Based on my knowledge, the financial statements, and other financial information included inthis report, fairly present in all material respects the financial condition, results ofoperations and cash flows of the registrant as of, and for, the periods presented in thisreport.4. The registrant’s other certifying officer and I are responsible for establishing andmaintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules13a-15(f) and 15d-15(f)) for the registrant and we have: a) Designed such disclosure controls and procedures, or caused such disclosure controlsand procedures to be designed under our supervision, to ensure that material informationrelating to the registrant, including its consolidated subsidiaries, is made known to us byothers within those entities, particularly during the period in which this report is beingprepared;  b) Designed such internal control over financial reporting, or caused such internalcontrol over financial reporting to be designed under our supervision, to providereasonable assurance regarding the reliability of financial reporting and the preparationof financial statements for external purposes in accordance with generally acceptedaccounting principles;  c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures andpresented in this report our conclusions about the effectiveness of the disclosure controlsand procedures, as of the end of the period covered by this report based on suchevaluation; and  d) Disclosed in this report any change in the registrant’s internal control over financialreporting that occurred during the registrant’s most recent fiscal quarter that hasmaterially affected, or is reasonably likely to materially affect, the registrant’sinternal control over financial reporting.5. The registrant’s other certifying officer and I have disclosed, based on our most recentevaluation of internal control over financial reporting, to the registrant’s auditors and theaudit committee of registrant’s board of directors (or persons performing the equivalentfunction): a) All significant deficiencies and material weaknesses in the design or operation ofinternal control over financial reporting which are reasonably likely to adversely affectthe 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 whohave a significant role in the registrant’s internal control over financial reporting.        Date: August 9, 2007 By:  /s/ Thomas Liguori    Thomas Liguori    Senior Vice President and ChiefFinancial Officer
Exhibit 23

LOGO

Consent of Independent Registered Public Accounting Firm

To the Board of Directors

Greer Bancshares Incorporated and Subsidiary

Greer, South Carolina

We consent to the incorporation by
reference in the registration statements (Nos. 333-128719, 333-128717, 333-128713 and 333-128712) on Forms S-8 of Greer Bancshares Incorporated and Subsidiary of our report dated March 31, 2009, with respect to the consolidated financial
statements of Greer Bancshares Incorporated and Subsidiary as of December 31, 2008 and 2007 and for each year in the three-year period ended December 31, 2008, which report appears in Greer Bancshares Incorporateds 2008 Annual Report
on Form 10-K.

LOGO

Charlotte, North Carolina

March 31, 2009
Case 1:07-cv-05354-AKH Document 12 Filed 09/12/2007 Page 1 of 2
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Case 1:07-cv-05556-AKH Document 42 Filed 03/17/2008 Page 1 of 2Case 1:07-cv-05556-AKH Document 42 Filed 03/17/2008 Page 2 of 2
TW SEF LLC

1177 Avenue of Americas

New York, NY 10036

Submitted via CFTC Portal

April 20, 2015

Ms. Melissa Jurgens

Office of the Secretariat

Commodity Futures Trading Commission

Three Lafayette Centre

1155 21st Street, N.W.

Washington, D.C. 20581

Re: TW SEF LLC:

Notice to Participants re MAT / Agency MBS Package Transactions

Dear Ms. Jurgens:

Pursuant to Section 5c(c) of the Commodity Exchange Act (the “Act”) and Section 40.6(a) of the 

regulations of the Commodity Futures Trading Commission (the "Commission”), TW SEF LLC 

(“TW SEF”) hereby notifies the Commission that it has issued a Notice to SEF Participants

regarding MAT / Agency MBS Package Transactions (the “Notice”). The Notice has been 

issued in accordance with CFTC No Action Letter No. 14-137 (November 10, 2014) and other 

Staff Guidance. The Notice will become effective on May 16, 2015.

TW SEF hereby certifies that (i) the Notice complies with the Act and the Commission’s 

regulations thereunder, and (ii) a copy of the Notice is being concurrently posted on TW SEF’s 

website. There were no substantive opposing views to the Notice.

Should you have questions regarding this submission, please contact the undersigned at (646) 

430-6228 or at Jeffrey.Letzler@tradeweb.com

Very truly yours,

Jeffrey T. Letzler

Jeffrey T. Letzler

Chief Compliance Officer

TW SEF LLC
Filed by Automated Filing Services Inc. (604) 609-0244 - Digital Ecosystems Corp. - Exhibit 10.1






December 27, 2005

Digital Ecosystems Corp. 
#1500 – 701 West Georgia Street

Vancouver, British Columbia 
Canada, V7Y1C6

Gentlemen:

          This
letter is to express the mutual intent between Digital Ecosystems Corp.
(“Digital”) and GSL Energy Corporation (“GSL”) concerning the amendment of the
Letter of Intent dated November 18, 2005(the “Letter of Intent”), by and between
Digitial and GSL. Paragraph 11 of the Letter of Intent stated that the Letter of
Intent, unless extended by mutual agreement, shall terminate on the earlier of
(a) the execution by Digital and GSL of the Agreement; or (b) December 31, 2005.
Both GSL and Digital agree to amend Paragraph 11 of the Letter of Intent, and
restate in its entirety, to read as follows:

11.     This Letter of Intent, unless
extended by mutual agreement, shall terminate on the earlier of (a) the
execution by Digital and GSL of the Agreement; or (b) January 31, 2006.

          The
Letter of Intent (including the provisions of the Letter of Intent not modified
hereby), as modified by this amendment, shall remain in full force and effect
following the execution of this amendment.

	 	Sincerely, 
	 	  	  
	 	  	  
	 	GSL ENERGY CORPORATION 
	 	  	  
	 	  	  
	 	By: 	/s/
      Kelly H. Nelson 
	 	  	Kelly H. Nelson 
	 	  	President 



	Acknowledgement of Intent: 	 
	  	  	 
	DIGITAL ECOSYSTEMS CORPORATION 	 
	  	  	 
	  	  	 
	By: 	/s/
      G. Leigh Lyons 	 
	  	G. Leigh Lyons 	 
	  	12/30/05
Exhibit 10.75
 CORNERSTONE THERAPEUTICS INC.
 Restricted Stock Agreement
     CORNERSTONE THERAPEUTICS INC.By:Name:Title: Accepted and Agreed:[Name of Recipient]
 -1-




---



##### 



CORNERSTONE THERAPEUTICS INC.
 Restricted Stock Agreement
  Issuance of Restricted Shares
  1
   Vesting
 Vesting Schedule  2
 Acceleration of Vesting 3  4
 
 1
    
    Officer specified generally should be the
Secretary except that the Treasurer should be specified for restricted stock
awards to the Secretary.2
    
    Insert vesting schedule.3
    
    Insert actual title of the employment
agreement between the Recipient and the Company. -2-




---



##### 



Forfeiture of Unvested Restricted Shares Upon Employment Termination
  Restrictions on Transfer
 provided
 
 4
    
    Insert date of the employment agreement
between the Recipient and the Company. -3-




---



##### 



Restrictive Legends
   Rights as a Shareholder
 th
 Provisions of the Plan
  Tax Matters
 Acknowledgments; Section 83(b) Election
 Withholding
 -4-




---



##### 



Miscellaneous
 Authority of the Board
 No Right to Continued Employment
 Governing Law
 Recipients Acknowledgments
 -5-
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Case 7:07-cv-05832-KMK-GAY Document 14 Filed 10/09/2007 Page 1 of 2Case 7:07-cv-05832-KMK-GAY Document 14 Filed 10/09/2007 Page 2 of 2
Exhibit U-1: Confidential Submissions

Small Exchange, Inc. requests that the information provided in the following Exhibits, including all 

attachments to the exhibits unless otherwise noted, be subject to its request for confidential treatment 

pursuant to §145.9 of the Commission regulations:

Exhibit A: Ownership

Exhibit B: Officers and Directors

Exhibit C: Fitness Standards

Exhibit D: Organizational Structure

Exhibit E: Personnel Qualifications

Exhibit F: Staffing Requirements

Exhibit H: Material Pending Litigations

Exhibit I: Financial Information

Exhibit K: Fees

Exhibit N: Third-Party Contracts

Exhibit O: Trade Practice, Market and Financial Surveillance Manual

Exhibit P: Disciplinary and Enforcement

Exhibit Q: Exchange Trading System

Exhibit S: Recordkeeping

Exhibit T: Clearing

Exhibit V: Technology Questionnaire
EXHIBIT 32.2

                            CERTIFICATION PURSUANT TO
                                 18 U.S.C. 1350,
                             AS ADOPTED PURSUANT TO
                  SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

In connection  with the Quarterly  Report of REVIVE-IT  CORP. (the "Company") on
Form 10-QSB for the period ended  December 31, 2007 as filed with the Securities
and Exchange Commission on the date hereof (the "Report"), I, Ahmad Galal, Chief
Financial  Officer of the  Company,  certify,  pursuant  to 18 U.S.C.  1350,  as
adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that:

The Report fully complies with the requirements of Section 13(a) or 15(d) of the
Securities Exchange Act of 1934; and

The  information  contained  in the  Report  fairly  presents,  in all  material
respects, the financial condition and results of operations of the Company.


                                           /s/ Ahmad Galal
                                           -------------------------------
Date: January 8, 2008                      Ahmad Galal
                                           Chief Financial Officer
Exhibit 11.1
EXHIBIT 11.1 STATEMENT RE COMPUTATION OF EARNINGS PER SHARE
In accordance with the disclosure requirements of SFAS 128, a reconciliation ofthe numerator and denominator of basic and diluted EPS is provided below.
(Unaudited and in thousands, except per share amounts)                     **Three Months Ended** **Nine Months Ended**   **September 30,** **September 30,**       **2003** **2002** **2003** **2002**      NUMERATOR                 Income (loss) before discontinued operationsand cumulative effect of change inaccounting principle $3,212  $(25,269) $1,393  $(25,313) Income (loss) from discontinued operations  956   (13,005)  1,239   (15,227) Cumulative effect of change in accountingprinciple  —   —   —   (21,766)              Net income (loss) $4,168  $(38,274) $2,632  $(62,306)             DENOMINATOR                 Denominator for basic earning per share -weighted-average common shares  49,811   47,982   48,901   45,512  Effect of dilutive securities                 Common stock options and warrants  1,432   —   856   —               Denominator for diluted earnings per share  51,243   47,982   49,757   45,512              EARNINGS PER SHARE                Basic:                 Income (loss) before discontinued operationsand cumulative effect of change inaccounting principle $0.06  $(0.53) $0.03  $(0.56) Income (loss) from discontinued operations  0.02   (0.27)  0.02   (0.33) Cumulative effect of change in accountingprinciple  —   —   —   (0.48)              Net income (loss) $0.08  $(0.80) $0.05  $(1.37)             Diluted:                 Income (loss) before discontinued operationsand cumulative effect of change inaccounting principle $0.06  $(0.53) $0.03  $(0.56) Income (loss) from discontinued operations  0.02   (0.27)  0.02   (0.33) Cumulative effect of change in accountingprinciple  —   —   —   (0.48)              Net income (loss) $0.08  $(0.80) $0.05  $(1.37)
March 24, 2006

Ms. Jean A. Webb Pos & OF
Secretary
Commodity Futures Trading Commission ve
Three Lafayette Center

1155 21° Street, N.W.

Washington, D.C. 20581

Reference File # 2658.01
Rule Certification
Dear Ms. Webb:

Pursuant to Commission Regulation 40.6(a), the Chicago Board of Trade (CBOT®) hereby
submits the following:

- Amendments to Regulation 3413.01 per the attached text (additions bold and
underlined; deletion bracketed and struck through).

Regulation 3413.01 defines the last trading day for CBOT Soybean Board Crush Spread Options
(“Soybean Crush Options”). Under this regulation, the earliest expiration among the options on
the three soybean crush futures components (i.e., Soybeans, Soybean Meal and Soybean Oil) is
also the expiration for the applicable Soybean Crush Option contract. With the exception of the
December expiration, all Soybean Crush Option months expire on the last Friday which
precedes, by at least two business days, the last day of the month prior to the option month.
However, in the case of the December expiration, the option expires two months prior to the
option month, as it contains a November Soybean futures leg (of which the corresponding option
expires at the end of October). The referenced amendments add descriptive language and
examples to illustrate this option expiration provision more clearly.

There were no opposing views concerning these amendments.

The CBOT intends to implement these amendments one day after the Commission’s receipt of
this filing.

The CBOT certifies that these amendments comply with the Commodity Exchange Act and the
tules thereunder.

Sincerely,

Paul J. Draths
Vice President and Secretary

b032106


Additions are bold and underlined. Deletion is [bracketed-with strikethrough}.

3413.01 Last Day of Trading - No trades in Soybean Board Crush Spread options expiring in
the current month shall be made after the close of trading of the Regular Daytime open auction
trading session for the corresponding Soybean Board Crush Spread on the day identical to the
earliest expiration of options corresponding to the Soybean, Soybean Meal and Soybean Oil
legs of the Crush Spread Option. Therefore, expiration will occur_on the last Friday which
precedes by at least two business days, the last business day of the month preceding that {the}
earliest expiring corresponding option month. If such Friday is not a business day, the last day of
trading shall be the business day prior to such Friday. For example, the January Soybean Board
Crush Spread Option (January Soybeans, Soybean Meal, and Soybean Oil) will expire on the
last Friday which precedes by at least two business days the last business day of December;
the December Soybean Board Crush Spread Option (November Soybeans, December
Soybean Meal and Soybean Oil) will expire on the last Friday which precedes by at least two
business days the last business day of October.
Case 1:07-cv-05403-AKH Document 12 Filed 09/04/2008 Page 1 of 2Case 1:07-cv-05403-AKH Document 12 Filed 09/04/2008 Page 2 of 2