alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
1110 Brickell Avenue

Suite 430k-200

Miami, FL 33131

https://derivs.ftx.us/

1

October 11, 2022

VIA COMMISSION PORTAL

Christopher J. Kirkpatrick

Secretary, Commodity Futures Trading Commission

Three Lafayette Centre

1155 21st Street, N.W.

Washington, D.C. 20581 

Re: Commission Regulation 40.6(a) – Rule Certification

LedgerX LLC Submission No. 22-14

Dear Mr. Kirkpatrick:

LedgerX LLC, d/b/a FTX US Derivatives, (“FUSD”) hereby notifies the Commodity 

Futures Trading Commission (the “Commission”), pursuant to Section 5c(c) of the 

Commodity Exchange Act (the “CEA”) and Commission Regulation 40.6(a), that it is 

certifying the attached amendments to the FUSD Operations Manual. The attached 

amendments will become effective on October 25, 2022. 

The following is a concise explanation and analysis of the changes and amendments, 

and their compliance with applicable provisions of the CEA, including the Core Principles and 

the Commission’s Regulations. FUSD has revised its operations manual to update its 

operational procedures pertaining to deposits through the Automated Clearing House (“ACH”) 

system, and manage returns of such ACH deposits. 

The above changes are consistent with DCO Core Principle B in that they ensure 

FUSD has adequate financial, operational, and managerial resources, DCO Core Principle F

and CFTC Regulation 39.15(c) in that they protect and ensure the safety of member and 

participant assets, and DCO Core Principle I in that they reduce operational risk through the 

development of appropriate controls and procedures.

These changes are also consistent with DCM Core Principle 21 and SEF Core 

Principle 13 in that they ensure FUSD has adequate financial, operational, and managerial 

resources. It is also consistent with DCM Core Principle 11 and CFTC Regulation 38.603 in 

that it results in the protection of customer funds. Additionally, it is consistent with DCM 

Core Principle 20 and SEF Core Principle 14 in that it constitutes the development of 

appropriate controls and procedures.

Redlines reflecting these changes and amendments to the Operations Manual are 

attached hereto as Appendix A. The final version of the revised Operations Manual is attached 

at Appendix B.

FUSD certifies that the changes and amendments comply with the CEA and 

Commission Regulations thereunder. FUSD additionally certifies that it has concurrently 

posted a copy of this submission letter and the attachments hereto on FUSD’s website at 
1110 Brickell Avenue

Suite 430k-200

Miami, FL 33131

https://derivs.ftx.us/

2

https://derivs.ftx.us/. FUSD is not aware of any or substantive opposing views to the changes 

and amendments.

Please contact the undersigned at brian@ftx.us if you have any questions or you would 

otherwise like to discuss this further.

Sincerely,

Brian G. Mulherin

General Counsel, FTX US Derivatives
**Exhibit 10.73**

Intelsat Global, Ltd. 

Wellesley House North 

90 Pitts Bay Road 

Pembroke, Bermuda HM08 

December 7, 2009 

Dear Mr. McGlade: 

Reference is made to that certain Side Letter Agreement tothe Management Shareholders Agreement of Intelsat Global, Ltd. (the “Company”), dated as of May 6, 2009, by and among you, the McGlade Family Trust dated January 2, 2009, and the Company (as amended, the “MSA SideLetter”). Capitalized terms used but not otherwise defined in this letter agreement (the “Letter Agreement”) shall have the meanings ascribed to them in the MSA Side Letter. 

Notwithstanding anything to the contrary in the MSA Side Letter or the Equity Award Agreements, you and the Company acknowledge and agreethat any benefits not generally available to shareholders of the Company which are provided to you pursuant to the MSA Side Letter (including any benefits in connection with the Co-Investment) or pursuant to the Equity Award Agreements are providedas part of your incentive package in connection with your employment with the Company or one of its subsidiaries and affiliates in accordance with the Employment Agreement and, for the avoidance of doubt, are not provided to you in connection withyour status as a shareholder of the Company. 

This Letter Agreement, the MSA Side Letter, the Equity Award Agreements and theEmployment Agreement constitute the entire agreement between you and the Company with respect to the subject matter described herein. 

This Letter Agreement may be executed in counterparts, each of which when so executed shall be deemed an original and all of which taken together shall constitute one and the same instrument. 

[Signature page follows] 

Please indicate your acceptance of the terms and provisions of this Letter Agreement bysigning below. By signing below, you acknowledge and agree that you have carefully read this Letter Agreement in its entirety, fully understand and agree to its terms and provisions, and intend and agree that it be final and legally binding.

 
**INTELSAT GLOBAL, LTD.**By: 
 
 Name: Title:
Agreed and acknowledged as of the date firstabove written: 

 

 
David McGlade
**[AMENDMENTTO MCGLADE MSA SIDE LETTER]**
Case 1:07-cv-05412-AKH Document 19 Filed 07/01/2008 Page 1 of 5
Case 1:07-cv-05412-AKH Document 19 Filed 07/01/2008 Page 2 of 5
Case 1:07-cv-05412-AKH Document 19 Filed 07/01/2008 Page 3 of 5
Case 1:07-cv-05412-AKH Document 19 Filed 07/01/2008 Page 4 of 5
Case 1:07-cv-05412-AKH Document 19 Filed 07/01/2008 Page 5 of 5
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 Annual Report of Vascular Solutions, Inc. (the Company) on Form 10-K for the period ended December 31, 2006, as filed with the Securities and Exchange Commission (the Report), I, James Hennen, 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, to the best of my knowledge:



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 operations of the Company.




| | /s/   James Hennen                                 
| | ---------------------------------------------------
| | James HennenChief Financial OfficerJanuary 29, 2007

---
Refinitiv US SEF LLC

3 Times Square – 20th Floor

New York, NY 10036

www.refinitiv.com

1

November 20, 2020

SUBMITTED VIA PORTAL

Commodity Futures Trading Commission 

Three Lafayette Centre 

1155 21st Street, NW 

Washington, DC 20581 

Re: FOIA Confidential Treatment: Petition Pursuant to 17 C.F.R. §§ 145.5 and 145.9 

Re: Submission 20-03-A: Refinitiv US SEF LLC – Amendments to Rulebook

Ladies and Gentlemen:

Pursuant to Commodity Futures Trading Commission (the “Commission”) Regulation 40.6(a), 

Refinitiv US SEF LLC (“RSEF”) hereby self-certifies the amendments to its Rulebook identified 

in Exhibit A. The Rulebook has been amended in order to reflect certain new requirements 

related to counterparty anonymity under Commission Regulation 37.9(d). The amended 

Rulebook will become effective on December 8, 2020.

A concise explanation and analysis of the amendments to the Rulebook and their compliance 

with applicable provisions of the Commodity Exchange Act (the “CEA”) is attached hereto as 

Exhibit A, and the amendments showing changes against the version submitted to the 

Commission in Submission 19-01 on March 1, 2019, is attached hereto as Exhibit B.

RSEF hereby certifies that: (i) the amended Rulebook complies with the CEA and the 

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

concurrently posted on RSEF’s website. No substantive opposing views were expressed with 

respect to the amendments to the Rulebook.

Please contact me using the information below if you have any questions regarding these 

amendments to the Rulebook.

Michael W. Rooney

3 Times Square – 20th Floor

New York, NY 10036

Phone: (646) 223-7397

Email: Michael.w.rooney@refinitiv.com
2 

Sincerely, 

Michael W. Rooney

Chief Compliance Officer

cc: Nancy Markowitz, Deputy Director, Division of Market Oversight, Exchange and Data

Repository Branch

Jasmine Lee, Special Counsel, Division of Market Oversight

(Commodity Futures Trading Commission) 
3

EXHIBIT A

Explanation and Analysis of Material Amendments

Summary: The Rulebook has been amended in order to reflect certain new 

requirements related to post-trade name give-up under Commission Regulation 37.9(d). The

amended Rulebook showing changes against the version submitted to the Commission in

Submission 19-01 on March 1, 2019, is attached hereto as Exhibit B.

Capitalized terms used but not otherwise defined herein have the meanings assigned to

them in the Rulebook.

Amendment and Explanation Relevant Law, Regulation or

Guidance

Rule 702

Added a proviso stating that the identity of each Counterparty 

to a Permitted Transaction executed on the CLOB will only be 

disclosed if the transaction is not intended to be submitted for 

clearing.

Core Principle 2

Rule 707

Added new Rule 707 explaining the prohibition of post-trade

name give-up for swaps executed anonymously and intended to 

be cleared.

Core Principle 2
4

EXHIBIT B

Rulebook Amendments
Case 1:07-cv-05564-AKH Document 5 Filed 08/08/2007 Page 1 of 8
Case 1:07-cv-05564-AKH Document 5 Filed 08/08/2007 Page 2 of 8
Case 1:07-cv-05564-AKH Document 5 Filed 08/08/2007 Page 3 of 8
Case 1:07-cv-05564-AKH Document 5 Filed 08/08/2007 Page 4 of 8
Case 1:07-cv-05564-AKH Document 5 Filed 08/08/2007 Page 5 of 8
Case 1:07-cv-05564-AKH Document 5 Filed 08/08/2007 Page 6 of 8
Case 1:07-cv-05564-AKH Document 5 Filed 08/08/2007 Page 7 of 8
Case 1:07-cv-05564-AKH Document 5 Filed 08/08/2007 Page 8 of 8
(105 So. 713)

#### Ex parte Tip TANNER et al.

(4 Div. 229.)

(Supreme Court of Alabama.

Oct. 15, 1925.)

Certiorari to Court of Appeals.

W. W. Sanders, of Elba, for petitioners.

Harwell G. Davis, Atty. Gen., opposed.

PER CURIAM.

Petition of Tip ' Tanner, Perry Veasey, and Martin Burdick for certiorari to the Court of Appeals to review and revise the judgment and decision of that court in Tanner et al. v. State, 105 So. 712.

Writ denied.

ANDERSON, C. X, and SAYRE, GARDNER, and MILLER, JJ., concur.
EXHIBIT
10.80
 CORNERSTONE THERAPEUTICS INC.
 AMENDED AND RESTATED
 NON-EMPLOYEE DIRECTOR COMPENSATION AND REIMBURSEMENT
POLICY
 Effective
October 31, 2008
 A.
    
    BOARD FEES FOR NON-EMPLOYEE DIRECTORS
 Board Corporation Non-Employee
Director
 -
    
    $30,000 annual retainer, payable in installments of $7,500 quarterly in arrears
(payments for partial years shall be made on a pro rata basis); and-
    
    Up to an annual aggregate maximum of $15,000 for attendance fees for the following:
 
    
    $2,000 for each meeting of the Board that the Non-Employee Director attends
in person;
    
    $1,000 for each meeting of any committee of the Board on which the
Non-Employee Director serves that he or she attends in person;
    
    $1,000 for each meeting of the Board that the Non-Employee Director attends
by teleconference; and
    
    $500 for each meeting of any committee of the Board on which the
Non-Employee Director serves that he or she attends by teleconference.
  1 of 3




---



##### 



B.
    
    EQUITY GRANTS FOR NON-EMPLOYEE DIRECTORS
  
    
    a nonstatutory option under the Corporations 2004 Stock Incentive Plan, as amended
(the 2004 Plan), or other stock incentive plan approved by the Board and
stockholders of the Corporation, to purchase up to 15,000 shares of the Corporations
common stock (Common Stock) upon his or her initial election to the Board (the
Initial Grant); and
    
    a nonstatutory option to purchase up to 10,000 shares of Common Stock at each years
annual meeting after which he or she continues to serve as a director (such option to be
pro-rated for partial years at an amount equal to 1/12 of such shares for each full month
of service from the date of election to the Board until the date of the first annual
meeting) (the Annual Meeting Grant).
  C.
    
    EXPENSE REIMBURSEMENT FOR NON-EMPLOYEE DIRECTORS
  D.
    
    CONTINUING DIRECTOR EDUCATION REIMBURSEMENT FOR
NON-EMPLOYEE DIRECTORS
  2 of 3




---



##### 



E.
    
    SERVICE UPON BOARD OF DIRECTORS OF SUBSIDIARIES OF THE CORPORATION
  E.
    
    CHANGE IN EMPLOYEE STATUS
  * * *Approved by the Board of Directors on December 18, 2008,
effective as of October 31, 2008

3 of 3
Exhibit 31.2

Sarbanes-Oxley Act Section 302 Certification of Tim T. Hart



CERTIFICATION



I,
Tim T. Hart, certify that:



1. I have reviewed
this annual report on Form 10-K of SeraCare Life Sciences, 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;



4. The registrants other certifying officer 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, is made known to us by others within this entity, particularly during the period in which this 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; and



c) disclosed in this report any changes in the
registrants internal control over financial reporting that occurred during the registrants fourth quarter 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 officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, 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 control over financial reporting.



Date: December 22, 2003



|                                   
|-----------------------------------
|/s/    TIM T. HART                 
|                                   
|Tim T. Hart Chief Financial Officer
n:ArvuR QF SItRVrcti: ()t. srrMI{pN!

'i"(): 

I'lrs {rnion ('cnlrll l.i{'c Instrrarrcc ('orrpan1,

P.t) l"lox J{)liti

I Inrrlirrd. {"t' 0f l0+-:q93

I uckttrirvledgu rtccipl o['yeiur requ*it thlit I n*ivEr servic* nl,srrrrrr.:rurrs in tlrc *ctir.rn

rrl'Ilalir/ McCl*iu r'. ?}rs Llnion (snffu! Lifc Insur*nrc Crtrn;ttnr.1,, tvlrich is casc rrurntrcr 0? Cil.

594? in tlrc tinitcd statcs l)istrict c'ourt of thc $outhenr District ol'Ntrrl,ytrrk. Ihavr.: also rccr:ivcd rr

cnpy oi'tltc {'ornpliririt in this nctiorr. tlvrrcopics pl'tfiis ipslrunrell artrl tlir rllfans [,, rr,,hich lcurr

rrtrtrn n signr:d Waii,cr t() vou without uost lo tne .

Iitgrcc l{) saYc the c:0sl ol'scrvicc r.ll'Sur:rntons orrd ilrr uddilisnll (r)fi\.rrl:tlris

Liarnplaint in this lur.vsuit b.v nut requir.ing'l'hr,r l,jniolt Cl*ntral..ifb lrrsrirnnr.rc (li:r.rrplrr\. t(i bc scl,ed

tvith.iutlir:irrl prtlc*ssintlte tnitnnr:rprovitlctlhyl{ulr4.'l'helJniorrClcprral tilblnsurnnecL'orr;ran-r,

rviii rctiiin alldclcn'ses or 0lr.icctiorr.s lri thc larvsuit ()r r.o rhc iurisclictionnl v,]nrrr *l'tlrc fl.Lrrt c\r.,pt

lirr 0lrjections irasr:d trn a rJelbct in thc Surnnrilns tlr the srrvicr ol"lhc Sinrrrnnns.

I uttri*rslsnrj;t.iitclgnttnt may [:c cntcl'cd ngainsl'l-1c Iiirigp (]cntrul l.il.: lrrsurlncc

f0nrp*n)'il'ittt iittsrvet'ilr nrulitln under Rulr l3 is not servr.'d uporl v()n lvilhin sixtr,((r{}} dr.i,s l,l,icr

Jun* 29' 1007 or rvithin rtinL'l\'(9(l; ilgy5 nitcr thc datc if thu reqircst \\,ns sen{ uutsiclc the lt:rrrerd

Stltes rvhich it w;rs r1rrr.

Datucl: .lule 19. lilliT

'tr'ltc I lninrr

I i1':

Ptutru R+trt**f

Case 7:07-cv-05947-CLB Document 3 Filed 08/17/2007 Page 1 of 1
[Federal Register Volume 66, Number 96 (Thursday, May 17, 2001)]
[Notices]
[Pages 27533-27534]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-12433]


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

DEPARTMENT OF THE INTERIOR

National Park Service


Gettysburg National Military Park Advisory Commission

AGENCY: National Park Service, Interior.

ACTION: Notice of meeting.

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

SUMMARY: This notice sets forth the date of the thirty-fifth meeting of 
the Gettysburg National Military Park Advisory Commission.

DATES: The public meeting will be held on June 21, 2001, from 7 p.m. to 
9 p.m.
    Location: The meeting will be held at the Cyclorama Auditorium, 125 
Taneytown Road, Gettysburg, Pennsylvania 17325.
    Agenda: Sub-Committee Reports, Federal Consistency Projects Within 
the Gettysburg Battlefield Historic District, Operational Updates on 
Park Activities, and the Citizens Open Forum.

FOR FURTHER INFORMATION CONTACT: John A. Latschar, Superintendent, 
Gettysburg National Military Park, 97 Taneytown Road, Gettysburg, 
Pennsylvania 17325.

SUPPLEMENTARY INFORMATION: The meeting will be open to the public. Any 
member of the public may file with the Commission a written statement 
concerning agenda items. The statement should be addressed to the 
Advisory Commission, 97 Taneytown Road, Gettysburg, Pennsylvania 17325. 
Minutes of the meeting will be available

[[Page 27534]]

for inspection four weeks after the meeting at the permanent 
headquarters of the Gettysburg National Military Park located at 97 
Taneytown Road, Gettysburg, Pennsylvania 17325.

    Dated: May 7, 2001.
John A. Latschar,
Superintendent, Gettysburg NMP/Eisenhower NHS.
[FR Doc. 01-12433 Filed 5-16-01; 8:45 am]
BILLING CODE 4310-70-M
[Federal Register Volume 66, Number 96 (Thursday, May 17, 2001)]
[Notices]
[Page 27539]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-12474]


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

DEPARTMENT OF LABOR

Pension Welfare Benefits Administration


Working Group on Challenges to the Employment-Based Healthcare 
System, Advisory Council on Employee Welfare and Pension Benefits 
Plans; Notice of Meeting

    Pursuant to the authority contained in Section 512 of the Employee 
Retirement Income Security Act of 1974 (ERISA), 29 U.S.C. 1142, a 
public meeting will be held Tuesday, June 12, 2001, of the Advisory 
Council on Employee Welfare and Pension Benefit Plans Working Group 
assigned to study challenges to the employment-based healthcare system.
    The session will take place in Room N-5437 A-C, U.S. Department of 
Labor Building, Second and Constitution Avenue, NW., Washington, DC 
20210. The purpose of the open meeting, which will run from 9:30 a.m. 
to approximately noon, is for working group members to examine 
weakenesses, strengths and alternatives to employer-based health 
benefits from both employer and employee perspectives.
    Members of the public are encouraged to file a written statement 
pertaining to the topic by submitting 20 copies on or before June 4, 
2001, to Sharon Morrissey, Executive Secretary, ERISA Advisory Council, 
U.S. Department of Labor, Room N-5677, 200 Constitution Avenue, NW., 
Washington, DC 20210. Individuals or representatives of organizations 
wishing to address the Working Group should forward their request to 
the Executive Secretary or telephone (202) 219-8753. Oral presentations 
will be limited to 20 minutes, but an extended statement may be 
submitted for the record. Individuals with disabilities, who need 
special accommodations, should contact Sharon Morrissey, by June 4, at 
the address indicated in this notice.
    Organizations or individuals may also submit statements for the 
record without testifying. Twenty (20) copies of such statements should 
be sent to the Executive Secretary of the Advisory Council at the above 
address. Papers will be accepted and included in the record of the 
meeting if received on or before June 4.

    Dated: Signed at Washington, DC, this 11th day of May 2001.
Ann L. Combs,
Assistant Secretary, Pension and Welfare Benefits Administration.
[FR Doc. 01-12474 Filed 5-16-01; 8:45 am]
BILLING CODE 4510-29-M
[Federal Register Volume 66, Number 94 (Tuesday, May 15, 2001)]
[Rules and Regulations]
[Page 27012]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-12214]



[[Page 27011]]

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Part X





Department of Defense

General Services Administration

National Aeronautics and Space Administration





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



48 CFR Parts 2 and 37



Federal Acquisition Regulation; Correction to FAR Case 1999-403, 
Definitions; Final Rule

Federal Register / Vol. 66, No. 94 / Tuesday, May 15, 2001 / Rules 
and Regulations

[[Page 27012]]


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

DEPARTMENT OF DEFENSE

GENERAL SERVICES ADMINISTRATION

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

48 CFR Parts 2 and 37

[FAC 97--22 Correction]


Federal Acquisition Regulation; Correction to FAR Case 1999--403, 
Definitions

AGENCIES: Department of Defense (DOD), General Services Administration 
(GSA), and National Aeronautics and Space Administration (NASA).

ACTION: Corrections.

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

SUMMARY: The Civilian Agency Acquisition Council and the Defense 
Acquisition Regulations Council are issuing corrections to the 
definition of ``Performance--based contracting.''

EFFECTIVE DATE: May 15, 2001.

FOR FURTHER INFORMATION CONTACT: Ms. Laurie Duarte at (202) 501-4755, 
General Services Administration, FAR Secretariat, Washington, DC 20405.

Corrections

    In the document appearing in the Federal Register at 66 FR 2116, 
January 10, 2001:

    1. On page 2124, in the bottom of the third column, revise the 
definition ``Performance--based contracting'' to read as follows:


2.101  [Corrected]

* * * * *
    Performance-based contracting means structuring all aspects of an 
acquisition around the purpose of the work to be performed with the 
contract requirements set forth, in clear, specific, and objective 
terms with measurable outcomes as opposed to either the manner by which 
the work is to be performed or broad and imprecise statements of work.
* * * * *


37.101  [Corrected]

    2. On page 2133, in instruction number 93., remove the words `` 
`Performance-based contracting' and''.

    Dated: May 10, 2001.
Al Matera,
Director, Acquisition Policy Division.
[FR Doc. 01-12214 Filed 5-14-01; 8:45 am]
BILLING CODE 6820-EP-P