alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
February 22, 2023 

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: tpSEF Inc. – Regulation 40.6(a) Rule Certification; Notification of 

Amendments to tpSEF Fee Schedule (tpSEF Submission #23-02R)

Dear Mr. Kirkpatrick: 

Pursuant to Section 5c(c) of the Commodity Exchange Act, as amended (the “Act”), and Section 

40.6(a) of the regulations of the Commodity Futures Trading Commission (the “Commission”), 

tpSEF Inc. (“tpSEF”), a registered swap execution facility, hereby notifies the Commission that 

it wishes to amend its fee schedule (“Fee Schedule”) as described in Exhibit A. The amended 

Fee Schedule will become effective on March 8, 2023. 

Pursuant to Commission Regulation 40.6, this submission includes: 

(i) A concise explanation and analysis of the amended Fee Schedule and its compliance

with applicable provisions of the Act, attached as Exhibit A;

(ii) A clean copy of the amended Fee Schedule, attached as Exhibit B; and

(iii) A copy of the amended Fee Schedule, marked to show changes to the version

currently in effect (the “Marked Fee Schedule”), attached as Exhibit C.

tpSEF hereby certifies that (i) the amendment complies with the requirements of the Act and 

Commission regulations thereunder, and (ii) a notice and copy of this submission is being 

concurrently posted on tpSEF’s website. tpSEF is not aware of any substantive opposing views 

expressed with respect to this filing. 
Mr. Christopher J. Kirkpatrick 

February 22, 2023 

Page 2 

tpSEF is separately filing with the Assistant Secretary of the Commission for FOI, Privacy and 

Sunshine Acts Compliance, pursuant to Commission Regulation 145.9, a petition for confidential 

treatment of (i) the amended Fee Schedule attached as Exhibit B, (ii) the Marked Fee Schedule 

attached as Exhibit C and (iii) the explanation and analysis of the amendments to the Fee 

Schedule attached as Exhibit A. A copy of the FOIA Confidential Treatment Request is included 

with this submission. 

Please contact Brian D. Donnelly, Chief Compliance Officer, at (201) 984-6956 or by email at 

bddonnelly@tullettprebon.com with any questions regarding this matter. 

Very truly yours, 

tpSEF Inc. 

By: __________________________ 

Name: Brian D. Donnelly 

Title: Chief Compliance Officer 

Date: February 22, 2023 

Enclosures 

cc: CFTC Division of Market Oversight (dmosubmissions@cftc.gov) 

Nancy Markowitz, CFTC (nmarkowitz@cftc.gov) 
Mr. Christopher J. Kirkpatrick 

February 22, 2023

EXHIBIT A 

Explanation of Amendments to tpSEF Fee Schedule 

[FOIA Confidential Treatment Requested] 
Mr. Christopher J. Kirkpatrick 

February 22, 2023

EXHIBIT B

Amended tpSEF Fee Schedule 

[FOIA Confidential Treatment Requested] 
Mr. Christopher J. Kirkpatrick 

February 22, 2023

EXHIBIT C

Marked Version of Amended tpSEF Fee Schedule 

[FOIA Confidential Treatment Requested]
[Federal Register Volume 66, Number 91 (Thursday, May 10, 2001)]
[Notices]
[Page 23903]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-11823]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF EDUCATION

[CFDA No. 84.330]


Notice To Correct Deadline for Intergovernmental Review

AGENCY: Office of Elementary and Secondary Education, Department of 
Education.

ACTION: Advanced Placement Incentive Program; Notice inviting 
applications for new awards for Fiscal Year (FY 2001; Notice to correct 
deadline for intergovernmental review).

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

SUMMARY: On April 23, 2001 (66 FR 20440-20442), the Department 
published a notice inviting applications for new awards for FY 2001. 
The notice established June 22, 2001 as the deadline for 
intergovernmental review. The Secretary corrects the deadline the 
intergovernmental review for the Advanced Placement Incentive Program 
grant competition.

DATES: The new deadline for intergovernmental review is August 6, 2001. 
The deadline for transmittal of applications remains June 7, 2001.

FOR FURTHER INFORMATION CONTACT: Frank B. Robinson, U.S. Department of 
Education, School of Improvement Programs, 400 Maryland Avenue, SW., 
Room 3C153, Washington, DC 20202-6140; Telephone (202) 260-2669. If you 
use a telecommunications device for the deaf (TDD), you may call the 
Federal Information Relay Service (FIRS) at 1-888-877-8339.

Electronic Access to This Document

    You may view this document, as well as all other Department of 
Education documents published in the Federal Register, in text or Adobe 
Portable Document Format (PDF) on the Internet at the following site: 
www.ed.gov./legislation/FedRegister.
    To use PDF, you must have Adobe Acrobat Reader, which is available 
free at the previous site. If you have questions about using PDF, call 
the U.S. Government Printing Office (GPO) toll free at 1-888-293-6498; 
or in the Washington, DC area at (202) 512-1530.


    Note: The official version of this document is the document 
published in the Federal Register. Free Internet access to the 
official edition of the Federal Register and the Code of Federal 
Regulations is available on GPO Access at: http://www.access.gpo.gov/nara/index.html.


    Authority: 20 U.S.C. 7131.

    Dated: May 4, 2001.
Thomas M. Corwin,
Acting Deputy Assistant Secretary for Elementary and Secondary 
Education.
[FR Doc. 01-11823 Filed 5-9-01; 8:45 am]
BILLING CODE 4000-01-M
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<PAGE>

                                                                    EXHIBIT 23.1

            CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

         We consent to the incorporation by reference in Registration Statement
No. 333-126119 on Form S-3 and Nos. 333-131037, 333-125892 and 333-119409 on
Form S-8 of our reports dated March 1, 2006, relating to the financial
statements of Critical Therapeutics, Inc. and management's report on the
effectiveness of internal control over financial reporting, appearing in this
Annual Report on Form 10-K of Critical Therapeutics, Inc. for the year ended
December 31, 2005.

/s/ DELOITTE & TOUCHE LLP

Boston, Massachusetts
March 7, 2006
EXHIBIT 32.1

                            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 SIMPLE TECH, Inc. (the "Company") on
Form 10-QSB for the period ending March 31, 2008, as filed with the Securities
and Exchange Commission on the date hereof (the "Report"), I, Moshe Danino,
principal executive officer of the Company, certify, pursuant to 18 U.S.C.
Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of
2002, that, to the best of my knowledge and belief:

     (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 results of the
          operation of the Company.


                                     /s/ Moshe Danino
                                     -------------------------------------------
                                     Moshe Danino
                                     Principal Executive Officer
                                     May 5, 2008

This certification accompanies this Report pursuant to ss.906 of the
Sarbanes-Oxley Act of 2002 and shall not, except to the extent required by the
Sarbanes-Oxley Act of 2002, be deemed filed by Registrant for the purposes of
ss.18 of the Securities Exchange Act of 1934, as amended. This certification
shall not be incorporated by reference into any filing under the Securities Act
of 1933, as amended, or the Securities Exchange Act of 1934, as amended (whether
made before or after the date of this Report), irrespective of any general
incorporation language contained in such filing.

A signed original of this written statement required by ss.906 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.
06/28/2007 08:25 FAX 2124819062 TKD 

UNITED STATES DISTRICT COURT 

sou'r[-r ERN DISTRICT OF NEW YORK 

-----------------.--------------------.-----------------------

GREEN'TKEB STEUBEN. LLC, 

: Case No. 07 CV 5768 

:Plaintiff, 

: STIPULATION AND 

-against- : ORDER 

LOCAL 670 STATIONARY ENGINEERS, FIREMEN, 

MAINTENANCE AND BUILDING SERVICE UNION, : 

R.W.D.S.U., 

Defendant. x 

_-__-___-__----___-------..------------------------------------

IT IS HEREBY STIPULATED BY AND BETWEEN THE UNDERSIGNED 

COUNSEL FOR THE RESPECTIVE PARTIES HERETO AS FOLLOWS: 

1. Plaintiff voluntarily withdraws the above captioned action without attorney's fees 

or costs as against any party or its counsel. 

2. Defendant withdraws the arbitration it commenced, against Greentree 

Steuben, before the New York State Employment Relations Board bearing case No. MS 27057 

without costs or attorney's fees as against any party or its counsel. 

3. Defendant and its agents shall not commence or continue anarbitration 

proceeding against Greentree Steuben, LLC unless it has proceeded with or 

commenced an arbitration against the seller to Greentree Steuben of the pre~nises 

195 and 231 Steuben Street, Staten Island, New York (the "Premises"), on thc 

issue of whether the seller faiIed to get the purchaser of the Premises to assume a 

collective bargaining agreement covering employees at the Premises, and such 

arbitration has been fully determined and the time to obtain a final award 

including any motion to confirm or vacate the award has expired. 

06/28/07 THU 09:25 [TX/RX NO 73731 

Case 1:07-cv-05768-RMB Document 4 Filed 06/28/2007 Page 1 of 2
06/28/2007 08:26 FAX 2124819062 

4. Defendant shall provide Plaintiff a copy of any arbitration award rendered in an 

arbitration against the seller to Greentree Steuben of the Premises within ten (1 0) 

calendar days of Defendant's receipt of any such award or prior to the 

commencement of an arbitration against Plaintiff, whichever is earlier, or as 

rnutuat ly agreed between counsel for the parties to this stipulation and order. 

Ilatetl: New York, New York 

June 28,2007 

LAW OFFICES OF RICHARD M. 

GREENSPAN, P.C. 

/ Ardsley, New York 10502 

(914) 345-2100 

Doteda;oi;rk, NY 

Iune, 

TARTER KRWSKY & DROGIN LLI' 

Attorneys for Plaintiff 

By: 

470 Park p venue SO;& 

New York, NY 100 16 

(21 2) 48 1-8585 

06/28/07 THU 09:25 [TX/RX NO 73731 

Case 1:07-cv-05768-RMB Document 4 Filed 06/28/2007 Page 2 of 2
Exhibit 99

Statement of Chief Financial Officer

Pursuant to Section 1350 of Title 18 of the United States Code

 

Pursuant to Section 1350 of Title 18 of the United States Code, I, Dale G. Rettinger, the Chief Financial Officer of Petroleum Development Corporation, the managing general partner of PDC 2001-D Limited Partnership (the "Partnership"), hereby certify that: 

- I have reviewed the Annual Report on Form 10-K/A of the Partnership (the "Report") to which this statement is an Exhibit;
- 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 Partnership.

 

 

_/s/ Dale G. Rettinger   

Dale G. Rettinger

Chief Financial Officer

___July 23, 2003_________
#### In the Matter of Terrence McFadden, Petitioner, v Board of Education of Nanuet Union Free School District, Respondent.

Proceeding pursuant to CPLR article 78 to review a determination of the respondent Board of Education of the Nanuet Union Free School District, dated March 18, 1987, which, after a hearing, found the petitioner guilty of conduct unbecoming a teacher and imposed a penalty of suspension from his position as a school teacher, without pay, from April 1, 1987, to December 31, 1987.

Adjudged that the petition is granted, on the law, without costs or disbursements, to the extent that the penalty imposed is annulled; the determination is otherwise confirmed, the proceeding is otherwise dismissed, without costs or disbursements, and the matter is remitted to the respondent for the imposition of a new penalty not to exceed suspension, without pay, for a period of six months, and to determine the amount of back pay to which petitioner is entitled.

The record contains substantial evidence to support the respondent’s determination, adopting the factual findings of the majority of the hearing panel, that the petitioner was guilty of 4 of the 7 charges of conduct unbecoming a teacher *(see, Matter of Silberfarb v Board of Coop. Educ. Servs.,*60 NY2d 979). None of the sustained charges involved illegal conduct or an act of moral turpitude. Rather the conduct unbecoming a teacher pertained to the petitioner’s choice of language directed to various students. In light of all circumstances of this case, particularly the petitioner’s unblemished, 17-year teaching record in the school district, a sanction of suspension without pay for a period in excess of six months is so disproportionate to the offense as to be shocking to one’s sense of fairness *(Matter of Pell v Board of Educ.,*34 NY2d 222, 233). Accordingly, we have modified the determination by annulling the penalty of suspension, without pay, for a period *743of nine months; and the matter is remitted to the respondent for the imposition of a new penalty not to exceed suspension, without pay, for a period of six months. Mollen, P. J., Thompson, Rubin and Spatt, JJ., concur.
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exv4w4



 







Exhibit 4.4




RESTATED




CERTIFICATE OF TRUST




OF




USB CAPITAL VIII




     THIS RESTATED CERTIFICATE OF TRUST of USB CAPITAL VIII (the “Trust”), dated as of December 23,
2005, is being duly executed and filed by the undersigned, as trustees, to amend and restate under
the Delaware Statutory Trust Act (12 Del. C. (Section) 3801 et seq.) the Certificate of Trust of
the Trust which was originally filed on April 27, 2005.



     The Certificate of Trust is hereby amended and restated in its entirety to read as follows:



     1. NAME. The name of the statutory trust is USB Capital VIII.



     2. DELAWARE TRUSTEE. The name and business address of the trustee of the Trust with a
principal place of business in the State of Delaware are Wilmington Trust Company, 1100 North
Market Street Wilmington, Delaware 19890.



     3. EFFECTIVE DATE. This Restated Certificate of Trust shall be effective upon filing.



     IN WITNESS WHEREOF, the undersigned, being the trustees of the Trust, have executed this
Restated Certificate of Trust as of the date first above written.



	 	 	 	 	 
	 	WILMINGTON TRUST COMPANY,

as Trustee

 	 
	 	By:  	/s/      Denise M. Geran
 	 
	 	 	Name:  	Denise M. Geran 	 
	 	 	Title:  	Vice President 	 
	 



	 	 	 	 	 
	 	 	 
	 	            /s/      David M. Moffet
 	 
	 	David M. Moffett, as Administrative Trustee 	 
	 	 	 
	 



	 	 	 	 	 
	 	 	 
	 	            /s/      Daryl N. Bible
 	 
	 	Daryl N. Bible, as Administrative Trustee 	 
	 	 	 
	 



	 	 	 	 	 
	 	 	 
	 	            /s/      Lee R. Mitau
 	 
	 	Lee R. Mitau, as Administrative Trustee
#### Brian L. TRUDELL, Plaintiff-Appellant, v. Tommy W. ALLEN, Jr., Sheriff of Anson County, North Carolina; The Ohio Casualty Insurance Company, Defendants-Appellees.

No. 13-1013.

United States Court of Appeals, Fourth Circuit.

Submitted: April 17, 2013.

Decided: April 30, 2013.

Brian L. Trudell, Appellant Pro Se. Mary Craven Adams, James R. Morgan, Jr., Womble Carlyle Sandridge & Rice, Winston-Salem, North Carolina, for Ap-pellees.

Before KING and DUNCAN, Circuit Judges, and HAMILTON, Senior Circuit Judge.

Affirmed by unpublished PER CURIAM opinion.

Unpublished opinions are not binding precedent in this circuit.

PER CURIAM:

Brian L. Trudell appeals the district court’s order granting summary judgment to the defendants on Trudell’s wrongful discharge claims. We have reviewed the record and find no reversible error. Accordingly, we affirm for the reasons stated *181by the district court. *Trudell v. Allen,*No. 3:11-cv-00542-RJC-DSC, 2012 WL 5985516 (W.D.N.C. Nov. 28, 2012). We grant leave to proceed in forma pauperis. 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.

*AFFIRMED.*
Case 1:07-cv-05794-MGC Document 5 Filed 07/16/2007 Page 1 of 1
143 So. 923

#### G. W. ACTON v. Mrs. A. P. JONES.

6 Div. 118.

Supreme Court of Alabama.

Oct. 6, 1932.

London, Yancey & Brower, of Birmingham, for appellant.

Nesbit & Sadler and John W. Altman, all of Bix-mingham, for appellee.

PER CURIAM.

Appeal dismissed by agreement.
[Federal Register Volume 66, Number 95 (Wednesday, May 16, 2001)]
[Notices]
[Page 27144]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-12377]


=======================================================================
-----------------------------------------------------------------------

FEDERAL RESERVE SYSTEM


Change in Bank Control Notices; Acquisition of Shares of Bank or 
Bank Holding Companies

    The notificants listed below have applied under the Change in Bank 
Control Act (12 U.S.C. 1817(j)) and Sec. 225.41 of the Board's 
Regulation Y (12 CFR 225.41) to acquire a bank or bank holding company. 
The factors that are considered in acting on the notices are set forth 
in paragraph 7 of the Act (12 U.S.C. 1817(j)(7)).
    The notices are available for immediate inspection at the Federal 
Reserve Bank indicated. The notices also will be available for 
inspection at the office of the Board of Governors. Interested persons 
may express their views in writing to the Reserve Bank indicated for 
that notice or to the offices of the Board of Governors. Comments must 
be received not later than May 31, 2001.
    A. Federal Reserve Bank of Atlanta (Cynthia C. Goodwin, Vice 
President) 104 Marietta Street, N.W., Atlanta, Georgia 30303-2713:
    1. Murphy O'Banion, Leesville, Louisiana; to acquire additional 
voting shares of Vernon Bancshares, Inc., Leesville, Louisiana, and 
thereby indirectly acquire additional voting shares of The Vernon Bank, 
Leesville, Louisiana.
    B. Federal Reserve Bank of Chicago (Phillip Jackson, Applications 
Officer) 230 South LaSalle Street, Chicago, Illinois 60690-1414:
    1. William Robert Phelps, Fairmont, Minnesota; to retain voting 
shares of Swea City Bancorporation, Inc., Estherville, Iowa; and 
thereby indirectly retain voting shares of Bank Plus, Estherville, 
Iowa.

    Board of Governors of the Federal Reserve System, May 11, 2001.
Robert deV. Frierson
Associate Secretary of the Board.
[FR Doc. 01-12377 Filed 5-15-01; 8:45 am]
BILLING CODE 6210-01-S
<PAGE>

                                                                    EXHIBIT 10.1

                               FIRST AMENDMENT TO
                       WEST POINTE BANK AND TRUST COMPANY
                      DIRECTOR'S DEFERRED COMPENSATION PLAN


        West Pointe Bank And Trust Company (the "Company") hereby adopts this
First Amendment (this "Amendment") to the West Pointe Bank And Trust Company
Director's Deferred Compensation Plan effective January 1, 2006.

                                    RECITALS

                A.      The Company adopted the West Pointe Bank And Trust
Company Director's Deferred Compensation Plan (the "Plan") on December 9th,
1992.

                B.      The Company desires to amend the interest rate payable
on deferred balances as provided in the Plan.

                NOW, THEREFORE, it is hereby agreed as follows:

                1.      Interest Rate on Deferred Balances. The references to
"eight percent (8%)" in Section 1.12, Section 3.1(b) and Section 7.3 of the Plan
shall be replaced with "six percent (6%)".

                2.      Ratification. Except as set forth above, all terms and
conditions of the Plan shall remain in full force and effect.

                IN WITNESS WHEREOF, the Company adopts this First Amendment to
the West Pointe Bank And Trust Company Director's Deferred Compensation Plan
effective as of the date first written above.

WEST POINT BANK AND TRUST COMPANY


By:  /s/  Terry W. Schaefer
    -------------------------------------------------
Title:  President and CEO



ATTEST:

/s/ J.  E.  Cruncleton
-----------------------------------------------------