alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
NATIONAL F U T U R E S, A S S 0 C I A T I 

February 22, 2008 

Via E-mail (secretarv@cftc.gov) 

Mr. David Stawick 

Secretary 

Commodity Futures Trading Commission 

Three Lafayette Centre 

1155 21st St., N.W. 

Washington, D.C. 20581 

COMMENT 

Re: RIN 3038-AC26; Exemption From Registration for Certain Firms With 

Regulation 30.10 Relief 

Dear Mr. Stawick: 

National Futures Association (NFA) commends the Commission for its 

continued efforts to adapt CFTC requirements to a changing business environment. 

The proposed amendments remove unnecessary regulatory burdens without lessening 

any customer protections. Therefore, we support the Commission's proposal. 

Proposed Rule 3.1 O(c) codifies current no-action relief by providing a 

limited exemption from IB registration to certain Part 30.10 firms. The Commission has 

narrowly tailored the requirements of the exemption to ensure that customers are not 

harmed, and, in fact, the proposal eliminates unnecessary barriers to a U.S. institutional 

customer's ability to choose the firm that can best meet its needs. The proposed rule 

also requires exempt firms' U.S. FCM affiliates to file acknowledgements of liability with 

NFA, and we stand ready to be the depository for those documents. 

NFA is equally ready to stop collecting quarterly foreign futures and 

options activities reports. The Commission proposes deleting current Rule 30.8, which 

requires FCMs to prepare those reports and file them with NFA. We concur with the 

Commission's belief that this reporting requirement is overly burdensome and no longer 

necessary in light of the remaining FCM reporting requirements. 

300 South Riverside Plaza Suite 1800 Chicago, Illinois 60606 312.781.1300 800.621.3570 312.781.1672 fax www.nfa.futures.org 

:.··;;..-] 

:. -· (} '' l ,,, 
2 

Thank you for this opportunity to comment on the proposed amendments. 

We encourage the Commission to adopt them. 

Very truly yours, 

Thomas W. Sexton 

Vice President and General Counsel 

.· (kpc/comment letters/Registration Exemption)
<TABLE> <S> <C>

<PAGE>
<ARTICLE> 5

<S>                                        <C>
<PERIOD-TYPE>                              6-MOS
<FISCAL-YEAR-END>                          DEC-31-1999
<PERIOD-START>                             JAN-01-1999
<PERIOD-END>                               JUN-30-1999
<CASH>                                               0
<SECURITIES>                                         0
<RECEIVABLES>                                        0
<ALLOWANCES>                                         0
<INVENTORY>                                          0
<CURRENT-ASSETS>                                     0
<PP&E>                                               0
<DEPRECIATION>                                       0
<TOTAL-ASSETS>                               3,369,692
<CURRENT-LIABILITIES>                        1,906,550
<BONDS>                                              0
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                             0
<OTHER-SE>                                   1,463,142
<TOTAL-LIABILITY-AND-EQUITY>                 3,369,692
<SALES>                                              0
<TOTAL-REVENUES>                                     0
<CGS>                                                0
<TOTAL-COSTS>                                        0
<OTHER-EXPENSES>                               175,917
<LOSS-PROVISION>                                     0
<INTEREST-EXPENSE>                              56,879
<INCOME-PRETAX>                              (152,714)
<INCOME-TAX>                                         0
<INCOME-CONTINUING>                          (152,714)
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                 (152,714)
<EPS-BASIC>                                      (.88)
<EPS-DILUTED>                                    (.88)


</TABLE>
<PAGE>   1
THE SANTA CRUZ OPERATION, INC.                                       EXHIBIT 11

<TABLE>
<CAPTION>
COMPUTATION OF NET PROFIT (LOSS) PER SHARE
(In thousands, except per share data)
--------------------------------------------------------------------------------------------------------------------------------


                                                                     Three Months Ended                 Six Months Ended
                                                                         March 31,                            March 31,
                                                                 1997                1996             1997             1996
--------------------------------------------------------------------------------------------------------------------------------
<S>                                                          <C>                <C>             <C>              <C>   
Weighted average number of common shares outstanding                 36,611             37,186          36,762           35,077

Common equivalent shares from outstanding stock options (1)             911                978             832               --
--------------------------------------------------------------------------------------------------------------------------------

Average common and common equivalent shares outstanding              37,522             38,164          37,594           35,077
--------------------------------------------------------------------------------------------------------------------------------

Net profit                                                             $974             $2,911          $4,940         $(29,792)
(loss)
--------------------------------------------------------------------------------------------------------------------------------

Earnings (loss) per share (2)                                         $0.03              $0.08           $0.13           $(0.85)
--------------------------------------------------------------------------------------------------------------------------------
</TABLE>

(1)      Common equivalent shares from outstanding stock options are not
         included in six months 1996 calculations as they are antidilutive
(2)      Fully diluted earnings per share have not been presented because the
         effects are not material.

                                       12
*Pursuant to Local Rule 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 Local Rule 47.5.4.

IN THE UNITED STATES COURT OF APPEALS

FOR THE FIFTH CIRCUIT

 

No. 96-40439

 

UNITED STATES OF AMERICA,

Plaintiff-Appellee,

versus

JOHN H. FURH, IV,

Defendant-Appellant.

 

Appeal from the United States District Court for the

Eastern District of Texas, Sherman

(4:95-CR-7-1)

 

March 11, 1997

Before GARWOOD, WIENER and DeMOSS, Circuit Judges.*

PER CURIAM:

On consideration of the briefs, the argument of counsel, and

the record, this Court concludes that the appeal presents no

reversible error.

Appellant did not renew his motion for judgment of acquittal

at the close of all the evidence, although after the government

rested, the defense had produced evidence; nor was any postjudgment motion for acquittal filed. In any event, we conclude
2

that the evidence was plainly sufficient, even had a proper motion

been made at the close of all the evidence.

The court did not err in admitting the documents challenged on

the basis of lack of proof of authority. The defendant had earlier

stipulated to their authenticity, and it was also circumstantially

evidenced.

Finally, the district court did not abuse its discretion in

admitting the evidence concerning the false financial statement to

the bank. It was relevant to the centrally contested issue in this

case, intent; and, the trial court gave a proper limiting

instruction. We are unable to find any abuse of discretion

(moreover, it is clear that the admission of this evidence was

plainly harmless).

AFFIRMED
<TABLE> <S> <C>


<ARTICLE>                     5
<LEGEND>
THE SCHEDULE CONTAINS SUMMARY FINANCIAL  INFORMATION  EXTRACTED FROM THE BALANCE
SHEET AS OF JUNE 30,  2000 AND FROM  THE  STATEMENT  OF  OPERATIONS  FOR THE SIX
MONTHS ENDED JUNE 30, 2000 AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH
FINANCIAL STATEMENTS.
</LEGEND>

<S>                                            <C>
<PERIOD-TYPE>                                  6-MOS
<FISCAL-YEAR-END>                              DEC-31-2000
<PERIOD-END>                                   JUN-30-2000
<CASH>                                         1,980,309
<SECURITIES>                                   0
<RECEIVABLES>                                  53,670
<ALLOWANCES>                                   0
<INVENTORY>                                    0
<CURRENT-ASSETS>                               0<F1>
<PP&E>                                         17,946,822
<DEPRECIATION>                                 0<F2>
<TOTAL-ASSETS>                                 20,474,735
<CURRENT-LIABILITIES>                          0<F1>
<BONDS>                                        11,319,390
<PREFERRED-MANDATORY>                          0
<PREFERRED>                                    0
<COMMON>                                       0
<OTHER-SE>                                     8,059,712
<TOTAL-LIABILITY-AND-EQUITY>                   20,474,735
<SALES>                                        2,010,085
<TOTAL-REVENUES>                               2,122,184
<CGS>                                          0
<TOTAL-COSTS>                                  1,785,105
<OTHER-EXPENSES>                               0
<LOSS-PROVISION>                               0
<INTEREST-EXPENSE>                             427,166
<INCOME-PRETAX>                                (90,087)
<INCOME-TAX>                                   0
<INCOME-CONTINUING>                            (90,087)
<DISCONTINUED>                                 0
<EXTRAORDINARY>                                0
<CHANGES>                                      0
<NET-INCOME>                                   (90,087)
<EPS-BASIC>                                    0
<EPS-DILUTED>                                  0
<FN>
<F1>THE PARTNERSHIP HAS AN UNCLASSSIFIED BALANCE SHEET, THEREFORE THE VALUE IS
$0.
<F2>THIS INFORMATION IS NOT DISCLOSED IN THE PARTNERSHIP'S FORM 10-Q FILING.
</FN>



</TABLE>
[Federal Register Volume 66, Number 115 (Thursday, June 14, 2001)]
[Notices]
[Page 32393]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-15037]


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

DEPARTMENT OF LABOR

Employment and Training Administration

[NAFTA--4464]


OEM/Erie Westland L.L.C.; Notice of Termination of Investigation

    Pursuant to Title V of the North American Free Trade Agreement 
Implementation Act and in accordance with section 250(a), subchapter D, 
chapter 2, Title II of the Trade Act of 1974, as amended (19 U.S.C. 
2331), an investigation was initiated on January 19, 2001, in response 
to a worker petition which was filed on behalf of its workers at OEM/
Erie Westland L.L.C., Westland, Michigan. The workers produced plastic 
automotive interior parts.
    This case is being terminated because the Department was unable to 
locate an official of the company to obtain the information necessary 
to conduct the investigation. Consequently, further investigation in 
this case would serve no purpose, and the investigation has been 
terminated.

    Signed at Washington, DC, this 31st day of May, 2001.
Linda G. Poole,
Certifying Officer, Division of Trade Adjustment Assistance.
[FR Doc. 01-15037 Filed 6-13-01; 8:45 am]
BILLING CODE 4510-30-M
**Exhibit 32**

 

 

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

 

In connection with the Annual Report on Form 10-K of Marvel Entertainment, Inc. (the “Company”) for the fiscal year ended December 31, 2006 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), we, Isaac Perlmutter and Kenneth P. West, Chief Executive Officer and Chief Financial Officer, respectively, of the Company, certify, pursuant to 18 U.S.C. ss. 1350, as adopted pursuant to ss. 906 of the Sarbanes-Oxley Act of 2002, that:

 

(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 result of operations of the Company.

 

/s/ Isaac Perlmutter

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

Isaac Perlmutter

Chief Executive Officer

March 1, 2007

 

 

/s/ Kenneth P. West

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

Kenneth P. West

Chief Financial Officer

March 1, 2007

 

A signed original of this written statement required by Section 906 has been provided to Marvel Entertainment, Inc. and will be retained by Marvel Entertainment, Inc. and furnished to the Securities and Exchange Commission or its staff upon request.

 

 

----
No. 500.

#### Union National Bank *v.*Lamb, 337 U. S. 38.

Petition- for rehearing and alternative request for

modification of the opinion denied.
Frgm: Jeff Borchardt [mailto:jeffb@kcbt.com] 

Sent: Monday, February 09, 2009 3:09PM 

To: Dunn, Michael 

Subject: Proposed public director definition 

Mr. Chairman, 

COMMENT 

I regret not getting the opportunity to speak with you following your presentation last week at the Commodity Markets 

COUJ'lCil conference. However, I enjoyed hearing your regulatory perspective and agenda and look forward to talking with 

you in the near tuture. 

,, 

~ . 

Just a quick note, of support for the revised public director definition published for comment in connection with the SRO 

governance corel?rinciple guidelines. We are appreciative of the Commission narrowing the applicability of the $100,000 

in professional sel\tices payments to a public director (or the firm such public director represents) by a DCM or its 

affiliates. The remOval of payments made by a DCM's members or their affiliates tremendously increases the potential 

pool of experienced public director candidates who operate in our industry but have no material relationships with DCMs. 

Regards, . ..,., 

·~ 

Jeff , 

www.kcbt.com 

Jeffrey C. Borchardt 1 President & CEO 

4800 Nain Street, Suite 303, Kansas City, MD 64112. 

voice: 816.753.7500 1 fax: 816.931.1431 I jeffb@kcbt.com 

1
<TABLE> <S> <C>

<ARTICLE>6
<LEGEND>THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM
THE FORM 10-Q AS OF SEPTEMBER 30, 2000 AND IS QUALIFIED IN ITS ENTIRETY BY
REFERENCE TO SUCH FINANCIAL STATEMENTS.
<MULTIPLIER>1
<FISCAL-YEAR-END>              DEC-31-2000
<PERIOD-START>                 JAN-01-2000
<PERIOD-END>                   SEP-30-2000
<PERIOD-TYPE>                        9-MOS
<INVESTMENTS-AT-COST>           28,558,644
<INVESTMENTS-AT-VALUE>          21,303,294
<RECEIVABLES>                            0
<ASSETS-OTHER>                       9,862
<OTHER-ITEMS-ASSETS>            12,544,157
<TOTAL-ASSETS>                  33,857,313
<PAYABLE-FOR-SECURITIES>                 0
<SENIOR-LONG-TERM-DEBT>                  0
<OTHER-ITEMS-LIABILITIES>          137,052
<TOTAL-LIABILITIES>                137,052
<SENIOR-EQUITY>                          0
<PAID-IN-CAPITAL-COMMON>        40,975,611
<SHARES-COMMON-STOCK>              400,000
<SHARES-COMMON-PRIOR>              400,000
<ACCUMULATED-NII-CURRENT>                0
<OVERDISTRIBUTION-NII>                   0
<ACCUMULATED-NET-GAINS>                  0
<OVERDISTRIBUTION-GAINS>                 0
<ACCUM-APPREC-OR-DEPREC>        (7,255,350)
<NET-ASSETS>                    33,720,261
<DIVIDEND-INCOME>                        0
<INTEREST-INCOME>                1,743,758
<OTHER-INCOME>                           0
<EXPENSES-NET>                     966,144
<NET-INVESTMENT-INCOME>            777,614
<REALIZED-GAINS-CURRENT>        18,856,686
<APPREC-INCREASE-CURRENT>      (26,592,235)
<NET-CHANGE-FROM-OPS>           (6,957,935)
<EQUALIZATION>                           0
<DISTRIBUTIONS-OF-INCOME>                0
<DISTRIBUTIONS-OF-GAINS>                 0
<DISTRIBUTIONS-OTHER>           (1,935,574)
<NUMBER-OF-SHARES-SOLD>                  0
<NUMBER-OF-SHARES-REDEEMED>              0
<SHARES-REINVESTED>                      0
<NET-CHANGE-IN-ASSETS>          (8,893,509)
<ACCUMULATED-NII-PRIOR>                  0
<ACCUMULATED-GAINS-PRIOR>                0
<OVERDISTRIB-NII-PRIOR>                  0
<OVERDIST-NET-GAINS-PRIOR>               0
<GROSS-ADVISORY-FEES>              185,916
<INTEREST-EXPENSE>                       0
<GROSS-EXPENSE>                    972,094
<AVERAGE-NET-ASSETS>            38,167,016
<PER-SHARE-NAV-BEGIN>               103.99
<PER-SHARE-NII>                     (13.07)
<PER-SHARE-GAIN-APPREC>                  0
<PER-SHARE-DIVIDEND>                     0
<PER-SHARE-DISTRIBUTIONS>                0
<RETURNS-OF-CAPITAL>                     0
<PER-SHARE-NAV-END>                  90.92
<EXPENSE-RATIO>                        2.5

</TABLE>
[Federal Register Volume 66, Number 117 (Monday, June 18, 2001)]
[Notices]
[Page 32831]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-15244]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

National Institutes of Health


National Institute of Arthritis and Musculoskeletal and Skin 
Diseases; Notice of Closed Meeting

    Pursuant to section 10(d) of the Federal Advisory Committee Act, as 
amended (5 U.S.C. Appendix 2), notice is hereby given of the following 
meeting.
    The meeting will be closed to the public in accordance with the 
provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 
U.S.C., as amended. The grant applications and the discussions could 
disclose confidential trade secrets or commercial property such as 
patentable material, and personal information concerning individuals 
associated with the grant applications, the disclosure of which would 
constitute a clearly unwarranted invasion of personal privacy.

    Name of Committee: National Institute of Arthritis and 
Musculoskeletal and Skin Diseases Special Emphasis Panel.
    Date: July 16, 2001.
    Time: 8:30 a.m. to 5 p.m.
    Agenda: To review and evaluate grant applications.
    Place: Holiday Inn, 5520 Wisconsin Ave, Terrace A & B, Chevy 
Chase, MD 20815.
    Contact Person: Tracy A Shahan, PhD, Scientific Review 
Administrator, National Institutes of Health/NIAMS, Natcher Bldg., 
Room 5AS25H, Bethesda, MD 20892, (301) 594-4952.

(Catalogue of Federal Domestic Assistance Program Nos. 93.846, 
Arthritis, Musculoskeletal and Skin Diseases Research, National 
Institutes of Health, HHS)


    Dated: June 11, 2001.
Anna Snouffer,
Acting Director, Office of Federal Advisory Committee Policy.
[FR Doc. 01-15244 Filed 6-15-01; 8:45 am]
BILLING CODE 4140-01-M
Stephen Shane HALL, petitioner, v. UNITED STATES.

No. 16-6380.

Supreme Court of the United States

Nov. 28, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Fifth Circuit denied.
William Cecil THORNTON, petitioner, v. Edmund G. BROWN, Jr., Governor of California, et al.

No. 16-6350.

Supreme Court of the United States

Dec. 5, 2016.

Motion of petitioner for leave to proceed *in forma pauperis* denied, and petition for writ of certiorari to the United States Court of Appeals for the Ninth Circuit dismissed. See Rule 39.8. As petitioner has repeatedly abused this Court's process, the Clerk is directed not to accept any further petitions in noncriminal matters from petitioner unless the docketing fee required by Rule 38(a) is paid and petition submitted in compliance with Rule 33.1. See *Martin v. District of Columbia Court of Appeals,*506 U.S. 1, 113 S.Ct. 397, 121 L.Ed.2d 305 (1992) (*per curiam* ).
**REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**

To the Trustees of Fidelity Investment Trust and the Shareholders of Fidelity International Value Fund and Fidelity Total International Equity Fund: 

In planning and performing our audits of the financial statements of Fidelity International Value Fund and Fidelity Total International Equity Fund (the “Funds”), each a fund of Fidelity Investment Trust, as of and for the year ended October 31, 2016, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds’ internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds’ internal control over financial reporting. Accordingly, we express no such opinion.
<TABLE> <S> <C>

<ARTICLE>	6

<CIK>	0000744822

<NAME>	Fidelity Investment Trust

<SERIES>

	<NUMBER>	131

	<NAME>	Fidelity Latin America Fund

<MULTIPLIER>	1,000



<S>

<C>

<PERIOD-TYPE>
year
<FISCAL-YEAR-END>
oct-31-1999
<PERIOD-END>
oct-31-1999
<INVESTMENTS-AT-COST>
344,672
<INVESTMENTS-AT-VALUE>
344,641
<RECEIVABLES>
3,501
<ASSETS-OTHER>
8
<OTHER-ITEMS-ASSETS>
0
<TOTAL-ASSETS>
348,150
<PAYABLE-FOR-SECURITIES>
554
<SENIOR-LONG-TERM-DEBT>
0
<OTHER-ITEMS-LIABILITIES>
40,260
<TOTAL-LIABILITIES>
40,814
<SENIOR-EQUITY>
0
<PAID-IN-CAPITAL-COMMON>
402,768
<SHARES-COMMON-STOCK>
24,971
<SHARES-COMMON-PRIOR>
30,967
<ACCUMULATED-NII-CURRENT>
2,896
<OVERDISTRIBUTION-NII>
0
<ACCUMULATED-NET-GAINS>
(98,029)
<OVERDISTRIBUTION-GAINS>
0
<ACCUM-APPREC-OR-DEPREC>
(299)
<NET-ASSETS>
307,336
<DIVIDEND-INCOME>
8,343
<INTEREST-INCOME>
1,032
<OTHER-INCOME>
17
<EXPENSES-NET>
4,293
<NET-INVESTMENT-INCOME>
5,099
<REALIZED-GAINS-CURRENT>
(23,809)
<APPREC-INCREASE-CURRENT>
59,451
<NET-CHANGE-FROM-OPS>
40,741
<EQUALIZATION>
0
<DISTRIBUTIONS-OF-INCOME>
7,667
<DISTRIBUTIONS-OF-GAINS>
0
<DISTRIBUTIONS-OTHER>
0
<NUMBER-OF-SHARES-SOLD>
12,312
<NUMBER-OF-SHARES-REDEEMED>
19,010
<SHARES-REINVESTED>
702
<NET-CHANGE-IN-ASSETS>
(24,903)
<ACCUMULATED-NII-PRIOR>
6,697
<ACCUMULATED-GAINS-PRIOR>
(75,452)
<OVERDISTRIB-NII-PRIOR>
0
<OVERDIST-NET-GAINS-PRIOR>
0
<GROSS-ADVISORY-FEES>
2,413
<INTEREST-EXPENSE>
0
<GROSS-EXPENSE>
4,337
<AVERAGE-NET-ASSETS>
329,703
<PER-SHARE-NAV-BEGIN>
10.730
<PER-SHARE-NII>
 .180
<PER-SHARE-GAIN-APPREC>
1.610
<PER-SHARE-DIVIDEND>
 .250
<PER-SHARE-DISTRIBUTIONS>
0
<RETURNS-OF-CAPITAL>
0
<PER-SHARE-NAV-END>
12.310
<EXPENSE-RATIO>
132





</TABLE>