alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
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Exhibit 31.1
CERTIFICATION

I, **Daniel Hunter**, certify that:

(1)         I have reviewed this Report on Form 10-QSB for the quarterly period ended September 30, 2007 of FinMetal Mining Ltd. (the "Report");

(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 small business issuer's other certifying officer(s) 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 small business issuer 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 report is being prepared;

(b)         Evaluated the effectiveness of the small business issuer'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 change in the small business issuer's internal control over financial reporting that occurred during the small business issuer's most recent fiscal quarter (the small business issuer's fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the small business issuer's internal control over financial reporting; and

(5)         The small business issuer's other certifying officer(s) and I have disclosed, based on our most recent evaluation of the internal control over financial reporting, to the small business issuer's auditors and the audit committee of the small business issuer'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 small business issuer'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 small business issuer's internal control over financial reporting.

Date:	November 14, 2007.

/s/ "Daniel Hunter"
UNPUBLISHED

UNITED STATES COURT OF APPEALS

FOR THE FOURTH CIRCUIT

No. 20-6766

LARYAN ALAN WILSON,

 Plaintiff - Appellant,

v.

HERACHIO M. HAYWOOD; TIMOTHY J. MCKOY; REGINALD R. 

MEWBORN; SGT. DUNN,

 Defendants - Appellees.

Appeal from the United States District Court for the Eastern District of North Carolina, at 

Raleigh. James C. Dever, III, District Judge. (5:19-ct-03253-D)

Submitted: September 30, 2021 Decided: October 25, 2021

Before NIEMEYER and THACKER, Circuit Judges, and KEENAN, Senior Circuit Judge.

Affirmed by unpublished per curiam opinion.

LaRyan Alan Wilson, Appellant Pro Se.

Unpublished opinions are not binding precedent in this circuit.
2

PER CURIAM:

LaRyan Wilson appeals the district court’s order dismissing his 42 U.S.C. § 1983 

complaint as frivolous. We have reviewed the record and find no reversible error. 

Accordingly, we affirm the district court’s order. Wilson v. Haywood, No. 5:19-ct-03253-

D (E.D.N.C. Apr. 13, 2020). 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
**Exhibit 32.1**

 

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

 

Inconnection with the Quarterly Report on Form 10-Q of TalecrisBiotherapeutics Holdings Corp. (the “Company”) for the quarter ended September 30,2010, as filed with the Securities and Exchange Commission on the date hereof(the “Report”), the undersigned officer of the Company certifies, pursuant to18 U.S.C. Section 1350, as adopted pursuant to Section 906 of theSarbanes-Oxley Act of 2002, that:

 

(1)          The Report fully complieswith the requirements of Section 13(a) or 15(d) of theSecurities Exchange Act of 1934; and

 

(2)          The information contained inthe Report fairly presents, in all material respects, the financial conditionand results of operations of the Company.

 

 
|   | Dated:  October 28, 2010              |
|--------|---------------------------------------|
|   |                                  |
|   | /S/  Lawrence D. Stern           |
|   | Lawrence  D. Stern                    |
|   | Chairman  and Chief Executive Officer |

 

----
#### James C. CLARK, Petitioner-Appellant, v. Warden G. LEVISTER, L.S.C.I. Butner, NC, Respondent-Appellee.

No. 13-6202.

United States Court of Appeals, Fourth Circuit.

Submitted: May 23, 2013.

Decided: May 29, 2013.

James C. Clark, Appellant Pro Se.

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

Affirmed by unpublished PER CURIAM opinion.

Unpolished opinions are not binding precedent in this circuit.

PER CURIAM:

James C. Clark, a federal prisoner, appeals the district court’s order dismissing without prejudice his 28 U.S.C.A. § 2241 (West 2006 & Supp.2012) petition. We have reviewed the record and find no reversible error. Accordingly, although we grant leave to proceed in forma pauperis, we affirm for the reasons stated by the district court. *Clark v. Levister,*No. 5:12-hc-02286-FL (E.D.N.C. Jan. 24, 2013). 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.*
<TABLE> <S> <C>

<ARTICLE> 5
<LEGEND>
This  Schedule  contains  summary  financial  information  extracted  from  the
consolidated  balance  sheet as of March 31, 2000 and the consolidated statement
of  income  for  the  three  months  ended  March  31,  2000 of Summit Brokerage
Services, Inc. and Subsidiaries and is qualified in its entirety by reference to
such  financial  statements.
</LEGEND>
<MULTIPLIER> 1000

<S>                                     <C>
<PERIOD-TYPE>                           3-MOS
<FISCAL-YEAR-END>                       DEC-31-2000
<PERIOD-START>                          JAN-01-2000
<PERIOD-END>                            MAR-31-2000
<CASH>                                      201182
<SECURITIES>                                  8850
<RECEIVABLES>                               837801
<ALLOWANCES>                                 31040
<INVENTORY>                                      0
<CURRENT-ASSETS>                           1055682
<PP&E>                                      156445
<DEPRECIATION>                               78862
<TOTAL-ASSETS>                             1173265
<CURRENT-LIABILITIES>                       596679
<BONDS>                                          0
<PREFERRED-MANDATORY>                            0
<PREFERRED>                                      0
<COMMON>                                       455
<OTHER-SE>                                  536131
<TOTAL-LIABILITY-AND-EQUITY>               1173265
<SALES>                                    1909040
<TOTAL-REVENUES>                           1925915
<CGS>                                            0
<TOTAL-COSTS>                              1930027
<OTHER-EXPENSES>                                 0
<LOSS-PROVISION>                                 0
<INTEREST-EXPENSE>                               0
<INCOME-PRETAX>                              (4112)
<INCOME-TAX>                                     0
<INCOME-CONTINUING>                              0
<DISCONTINUED>                                   0
<EXTRAORDINARY>                                  0
<CHANGES>                                        0
<NET-INCOME>                                (4112)
<EPS-BASIC>                              (0.001)
<EPS-DILUTED>                              (0.001)


</TABLE>
No. 444.

#### John S. Hord, Collector of Internal Revenue, *588etc., Plaintiff in Error, *v.*J. Casanovas.

In error to the Supreme Court of the Philippine Islands. December 14, 1908. Dismissed with costs, on motion of *Mr. Solicitor General Hoyt*for the plaintiff in error. *The Attorney General,*for plaintiff in error. No appearance for defendant in error. ■
EXHIBIT
32




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 annual report of Gisser Automotive Concepts, Inc. (the
“Company”) on Form 10-Q for the period ended July 31, 2009, as filed with the
Securities and Exchange Commission on the date hereof (the “Report”), I Daryl K.
Gisser certify, pursuant to 18 U.S.C. § 1350, as adopted pursuant to § 906 of
the Sarbanes-Oxley Act of 2002, that, to 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.




Company
      NameDate:  September
      20, 2009
                By:
                /s/ Daryl
      K. GisserDaryl
      K. GisserChief
      Executive Officer,
                  Principal
      Financial Officer and
Controller
FI L ED U.S. COURT OF A P P E A LS E LE V EN T H C IR C U IT FEB RUARY 5, 2007 THOMAS K. KAH

N CL ERK [ DO NOT PUBLISH] IN THE UN ITED STATES COURT OF APPEALS FO R T HE EL EV EN TH CIRC UI T

____ ____ ____ ____ ____ ____ N o. 05- 1230 5

____ ____ ____ ____ ____ ____ D. C. Dock etNo. 04 -8 00 11 -CR- DTKH UNITED STAT ES OF AMERIC A , Plaintiff-Appellee , ve rs us SEAN L. BRAY , D ef en dant- Appe llant .

____ ____ ____ ____ ____ ____ Appeal f rom the United State s District Court for the SouthernDistrict of Florida

____ ____ ____ ____ ____ ____ _ (F eb ru ar y 5, 200 7) Be fo re BL A CK , MA RC U S and KRA V IT CH , Ci rc uit Jud ge s. PE R CU RIA M:2

Se anL . Br ay

appe al s hi s c onvi ct ion s f or pos se ssi on o f a fi re ar

m and
am m uni tio n a s ac onvi ct ed

f el on, in vio latio n of

18 U
. S. C. § 92 2( g) (1 ), and poss ession o f m arij uana, in violation o f 21 U. S. C. § 844 (a). H e asserts the district court abused its d iscretion by : (1) excluding evidence of a pending internal aff airs inv es tig at ionr eg ar din g tw o of the G ove rnm en t’ s po lic e w itn es se s; ( 2) e xc lud ing evidence of prior conduct and a conviction of a non-witness third party who w as al le ge dly w ithBr ay

w he n he w as sto ppe d by pol ic e; ( 3) a dm itt ing e vid en ce of Bray ’ s tattoo at trial; and (4) adm itting evidence of a pr ior incident when Bray wa s stopp ed by

police. B ray

also appeals his sentence, contending the district court
erre d by apply ing a sentencing enhancem ent for Br ay ’ s prior convictio ns which
w er e not inc lud ed in the ind ic tm en t or

part of the j ur y ’ s ve rd ic t. W e rev ie w a di st ric t co urt’s ev id en ti ary ru li ng s fo r ab us e o f di sc ret io n. U nited Sta tes v . T

ok ars , 95 F. 3d 15 20, 1530 (11t h Cir. 1996 ). W e re view pr es er ve d c onst itutio na l se nte nc ing c ha lle nge s de novo and r ev er se onl y if the
erro r was ha rm fu l. U

nited Sta tes v . Paz , 405 F. 3d 94 6, 948 (11th Cir. 2005). Af ter hear ing oral argum ents and reviewing the rec ord, w e have determined th e d is tri ctco urt d idno t ab us e it s d is cret io n wi th reg ardto th e fi rs t fo uris su es . Br ay ’ s se nte nc ing c ont en tio n is f or ec los ed by the S upr em e Co urt’ s op ini on i n3

Alm endarez-Torres v. U

nited Sta tes , 118 S. Ct. 1219 (1998). T hus, we aff irm Bray ’ s convictio ns and sentence. AFFIRMED.
1110 Brickell Avenue

Suite 430k-200 

Miami, FL 33131 

www.ledgerx.com 

 

1

October 22, 2021

VIA COMMISSION PORTAL

Christopher J. Kirkpatrick

Secretary, Commodity Futures Trading Commission 

Three Lafayette Centre

1155 21st Street, N.W. 

Washington, D.C. 20581

Re: Weekly Notification of Rule Amendments [Reg. 40.6(d))]

LedgerX LLC Submission No. 21-21

Dear Mr. Kirkpatrick:

LedgerX LLC (“LedgerX”) hereby submits to the Commodity Futures Trading 

Commission (the “Commission”), pursuant to Section 5c(c) of the Commodity Exchange Act (the 

“CEA”) and Commission Regulation 40.6(d), this weekly notification following rule amendments 

made effective during the week of October 11, 2021. The attached Amendments became effective 

on October 15, 2021. 

Although a version control table already existed in the LedgerX Compliance Manual and 

the LedgerX Operations Manual, LedgerX augmented those table to make explicit its pre-existing 

procedure of identifying the date each version came into effect, identifying the individuals 

responsible for each change, and redlining all changes to those manuals from one version to the 

next. 

A redline of the change to the LedgerX Compliance Manual is attached hereto as Appendix 

A, with the final version of the Compliance Manual attached hereto as Appendix B. A redline of 

the change to the LedgerX Operations Manual is attached hereto as Appendix C, with the final 

version of the Operations Manual attached hereto as Appendix D. 

These amendments are consistent with CFTC Core Principles because they reduce 

operational risk through the development of appropriate controls and procedures, as required by 

DCO Core Principle I (CEA § 5b(c)(2)(I)(i)), DCM Core Principle 20 (CEA § 5(d)(20)(A)) and 

SEF Core Principle 15 requiring the establishment and administration of policies and procedures 

required by the CEA (CEA § 5h(f)(15)). 

LedgerX certifies that the changes comply with the CEA and Commission Regulations 

thereunder. LedgerX additionally certifies that it has concurrently posted a copy of this submission 

letter and the attachment hereto on LedgerX’s website at https://ledgerx.com/. LedgerX is not 

aware of any substantive opposing views to the Amendment. 
1110 Brickell Avenue

Suite 430k-200 

Miami, FL 33131 

www.ledgerx.com 

 

2

Please contact the undersigned at cco@ledgerx.com if you have any questions or you 

would otherwise like to discuss this further.

Sincerely,

Veronica Jedzejec

Chief Compliance Officer

LedgerX LLC
154 So. 607

#### W. J. BELL v. Flonie NELSON.

6 Div. 513.

Supreme Court of Alabama.

April 5, 1934.

Rehearing Denied May 24, 1934.

L. D. Gray, of Jasper, for petitioner.

Davis *&*Curtis, of Jasper, for respondent.

GARDNER, Justice.

Petition of W. J. Bell for certiorari to the Court of Appeals to review and revise the judgment and decision of that court in Bell v. Nelson, 154 So. 606.

Writ denied.

ANDERSON, C. J., and BOULDIN and FOSTER, JJ., concur.
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309552108.2 

TP ICAP Classification: Public
|   | (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 as of and for the period covered by the Report. |
|--------|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | /s/ Richard B. Collins                          |
|--------|-------------------------------------------------|
|   | Richard B. Collins                              |
|   | Chairman, President and Chief Executive Officer |

|                       | /s/ Mark A. Roberts                                  |
|----------------------------|------------------------------------------------------|
|                       | Mark A. Roberts                                      |
|                       | Executive Vice President and Chief Financial Officer |
|   August 7, 2009 |                                                 |
Bloomberg SEF LLC 

731 Lexington Avenue 

New York, NY 10022 

September 22, 2020 

FOIA CONFIDENTIAL TREATMENT REQUEST 

Submitted via email1

CFTC FOIA Compliance Office 

U.S. Commodity Futures Trading Commission 

Three Lafayette Centre 

1155 21st Street, N.W. 

Washington, D.C. 20581 

via email: FOIAsubmissions@cftc.gov 

Re: Freedom of Information Act (“FOIA”) Confidential Treatment Request for 

Information Submitted to the Commodity Futures Trading Commission 

(“Commission”) by Bloomberg SEF LLC, as operator of a swap execution facility 

Ladies and Gentlemen: 

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

40.6(a) of the regulations of the U.S. Commodity Futures Trading Commission (the 

“CFTC”, or the “Commission”), Bloomberg SEF LLC (“BSEF”) as the operator of a 

swap execution facility, submitted to the Commission a rule amendment (the 

“Amendment”). 

Bloomberg SEF hereby requests that the Confidential Information (as defined below) be 

accorded confidential treatment on the grounds that it would reveal Bloomberg SEF’s 

trade secrets and confidential commercial or financial information. We request this 

confidential treatment for an indefinite period. 

Please promptly inform the following of any request for the Confidential Information or 

its contents made pursuant to FOIA or the Commission’s rules so that we may 

substantiate the foregoing request for confidential treatment in accordance with Part 

145.9 of the Commission’s regulations. 

David Levine 

General Counsel 

Bloomberg L.P. 

731 Lexington Avenue 

New York, NY 10022 

1

 Request being submitted via email only given the circumstances surrounding the COVID-19

pandemic, including a security order declared by Governor Cuomo. 

600574255
600573941 

U.S. Commodity Futures Trading Commission 

Page 2

The certification described above and attached as Annex A hereto is referred to herein as 

the “Confidential Information.” 

Pursuant to Part 145.9(d)(4) of the Commission’s regulations, we have marked each page 

of the Confidential Information with the words “Confidential Treatment Requested by

Bloomberg SEF LLC” and have numbered each page of the Confidential Information 

with an identifying number and code, beginning with “BSEF-0920-0293” and ending 

with “BSEF-0920-0307.” 

[signature page follows] 
U.S. Commodity Futures Trading Commission

Page 3 

Please contact the undersigned at (212) 617-3918 with any questions regarding this matter. 

Thank you for your attention to this matter. 

Very truly yours,

Devi Shanmugham 

Chief Compliance Officer

Bloomberg SEF LLC 

731 Lexington Avenue 

New York, NY 10022 

cc: Jonathan Lave, Division of Market Oversight, U.S. Commodity Futures Trading 

Commission
U.S. Commodity Futures Trading Commission 

Page 4 

600574255

Annex A 

Confidential Information 

Name of Confidential Information Identifying Number and Code 

Rule Amendment Self-Certification BSEF-0920-0293-BSEF-0920-0307