alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
Commodity Futures Trading Commission 

 Office of Public Affairs 

 Three Lafayette Centre 

 1155 21st Street, NW 

 Washington, DC 20581 

 www.cftc.gov

Q & A – Orderly Liquidation Termination Provision in 

Swap Trading Relationship Documentation 

Requirements for Swap Dealers and Major Swap Participants 

What is the goal of the proposed rulemaking? 

The Dodd-Frank Act authorizes the CFTC to adopt regulations setting forth standards for the timely and accurate 

confirmation, processing, netting, documentation, and valuation of swaps. The goal of the proposed rulemaking is 

to require swap dealers and major swap participants to include a provision in their swap trading relationship 

documentation regarding termination rights in the event a party becomes subject to the orderly liquidation 

provisions of Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act or the Federal Deposit 

Insurance Act (FDIA). 

What registrants are covered by the proposed regulations? 

The proposed regulations would apply to swap dealers and major swap participants. 

By when must comments on the rules be submitted? 

Comments on the rules must be submitted within sixty (60) days of the publication of the proposal in the Federal 

Register. 

What are the orderly liquidation termination provision documentation requirements? 

The proposed regulation would require that swap dealers and major swap participants include in the documentation 

with each of their counterparties a provision that confirms both parties’ understanding of how the new orderly 

liquidation authority under the Title II of the Dodd-Frank Act and the Federal Deposit Insurance Act (FDIA) may 

affect their portfolios of uncleared, over-the-counter, bilateral swaps. 

As part of the resolution authority in Title II and in the existing provisions of the FDIA for insured depository 

institutions, the Federal Deposit Insurance Corporation (FDIC) is given a one business day period in which to 

transfer swaps and certain other contracts to a solvent third party financial institution. For this transfer authority to 

be effective, a brief stay on the ability of counterparties to terminate, liquidate, or net is necessary. 

The proposed regulation would ensure both counterparties to a swap understand that under particular, unique 

circumstances, if one of the counterparties to a swap defaults, the non-defaulting party’s swap positions could be 

transferred to a new, solvent counterparty by the FDIC, and the non-defaulting party may not be able to terminate 

its claims against the defaulting counterparty until 5:00 p.m. (U.S. eastern time) on the business day following the 

day the FDIC is appointed receiver. This stay would facilitate the FDIC’s orderly liquidation of the defaulting 

counterparty’s swap positions. 

Commodity Futures Trading Commission ♦ Office of Public Affairs ♦ 202-418-5080
#### Jerry Clark, Appellant, v Pfizer, Inc., Respondent.

[881 NYS2d 333]—In

an action, inter alia, to recover damages for harassment, the plaintiff appeals from (1) an order of the Supreme Court, Kings County (Knipel, J.), dated November 2, 2007, which granted the defendant’s motion to dismiss the *537complaint pursuant to CPLR 3211, and (2) an order of the same court dated March 26, 2008, which denied his motion for leave to reargue his opposition to the defendant’s motion to dismiss the complaint and, in effect, for leave to replead so as to assert a cause of action to recover damages for discrimination in the terms, privileges, and conditions of employment in violation of Executive Law § 296.

Ordered that the appeal from the order dated November 2, 2007 is dismissed; and it is further,

Ordered that the appeal from so much of the order dated March 26, 2008, as denied that branch of the plaintiffs motion which was for leave to reargue his opposition to the defendant’s motion is dismissed, as no appeal lies from an order denying re-argument; and it is further,

Ordered that the order dated March 26, 2008 is affirmed insofar as reviewed; and it is further,

Ordered that one bill of costs is awarded to the defendant.

The defendant correctly contends that the appeal from the order dated November 2, 2007 must be dismissed, inasmuch as the plaintiff failed to file a notice of appeal within 35 days after service upon him by mail of that order with notice of entry *(see*CPLR 2103 [b] [2]; [c]; 5513 [a]; *Matter of Wei v New York State Dept, of Motor Vehs.,*56 AD3d 484, 485 [2008]; *Jones Sledzik Garneau & Nardone, LLP v Schloss,*37 AD3d 417 [2007]; *Matter of Eagle Ins. Co. v Soto,*254 AD2d 483 [1998]).

Moreover, the Supreme Court properly denied that branch of the plaintiffs motion which was, in effect, for leave to replead so as to assert a cause of action to recover damages for discrimination in the terms, privileges, and conditions of employment in violation of Executive Law § 296. A motion for leave to replead, although now constituting little more than a “poor substitute” or “arcane alternative” to a motion for leave to amend a pleading under CPLR 3025 (b) *(Janssen v Incorporated Vil. of Rockville Ctr.,*59 AD3d 15, 19 [2008]), is still cognizable and is not expressly “constrained by any time limitation” *(id.).*Nonetheless, in the matter before us, the proposed complaint, as sought to be repleaded, is palpably insufficient and patently devoid of merit *(see Lucido v Mancuso,*49 AD3d 220, 226-227 [2008]; *see also Barnum v New York City Tr. Auth.,*62 AD3d 736 [2009]). Fisher, J.P, Dillon, Covello and Dickerson, JJ., concur.
Walter MERRITTE, petitioner, v. ILLINOIS.

No. 15-9243.

Supreme Court of the United States

Oct. 3, 2016.

Petition for writ of certiorari to the Appellate Court of Illinois, Third District denied.
_________________________________________ 

 

 

Order Michigan Supreme Court 

Lansing, Michigan 

December 27, 2005 Clifford W. Taylor,

 Chief Justice 

129378 Michael F. Cavanagh 

Elizabeth A. Weaver 

Marilyn Kelly 

Maura D. Corrigan 

PEOPLE OF THE STATE OF MICHIGAN,

Plaintiff-Appellee, 

Robert P. Young, Jr. 

Stephen J. Markman,

 Justices 

v SC: 129378 

 COA: 262245 

Osceola CC: 03-003608-FC 

RAY DARWIN MAGUIRE, 

Defendant-Appellant. 

_________________________________________/ 

On order of the Court, the application for leave to appeal the July 22, 2005 order 

of the Court of Appeals is considered, and it is DENIED, because we are not persuaded 

that the question presented should be reviewed by this Court. 

KELLY, J., would hold this case in abeyance for People v Drohan, lv gtd 472 Mich 

881 (2005). 

s1219 

I, Corbin R. Davis, Clerk of the Michigan Supreme Court, certify that the 

foregoing is a true and complete copy of the order entered at the direction of the Court. 

December 27, 2005 

Clerk
Michelle L. STEFANICK, petitioner, v. MERIT SYSTEMS PROTECTION BOARD, et al.

No. 16-223.

Supreme Court of the United States

Dec. 5, 2016.

Petition for rehearing denied.
<TABLE> <S> <C>

<ARTICLE> 5
<LEGEND>
THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED
FROM THE
CONSOLIDATED FINANCIAL STATEMENTS FOR THE PERIOD ENDED DECEMBER
31, 1998 AND
1997 (AUDITED) AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH
FINANCIAL
STATEMENTS.
</LEGEND>
<CIK> 0000933954
<NAME> DH MARKETING & CONSULTING INC

<S>                             <C>
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<OTHER-EXPENSES>                                 3,598
<LOSS-PROVISION>                                     0
<INTEREST-EXPENSE>                               3,598
<INCOME-PRETAX>                            (3,349,715)
<INCOME-TAX>                                   (4,788)
<INCOME-CONTINUING>                        (3,344,927)
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                               (3,344,927)
<EPS-BASIC>                                    (.50)
<EPS-DILUTED>                                    (.50)


</TABLE>
Exhibit 4.1


 


THE BANK OF NEW YORK MELLON


NEW YORK’S FIRST BANK-FOUNDED 1784 BY ALEXANDER HAMILTON


 


 


2 HANSON PLACE, 12TH FLOOR, BROOKLYN,
N.Y. 11217


 


 


 


May 17, 2016


 


Hennion & Walsh, Inc.


2001 Route 46, Waterview Plaza


Parsippany, New Jersey 07054


 


Smart Trust 243


 


Dear Sirs:


The Bank of New York
Mellon is acting as trustee for the series of Smart Trust set forth above (the “Trust”). We enclosed a list
of the Securities to be deposited in the Trust on the date hereof. The prices indicated therein reflect
our evaluation of such Securities as of close of business on May 16, 2016, in accordance with the valuation method set forth in
the Standard Terms and Conditions of Trust and Trust Agreement. We consent to the reference to The Bank of New York Mellon as the
party performing the evaluations of the Trust Securities in the Registration Statement (No. 333-210237) filed with the Securities
and Exchange Commission with respect to the registration of the sale of the Trust Units and to the filing of this consent as an
exhibit thereto.


 


 


	 	Very truly yours,
	 	 
	 	/s/ GERARDO CIPRIANO
	 	Gerardo Cipriano
	 	Vice President
CFTC’s Market Risk Advisory Committee 

1155 21 Street, N.W. 

Washington, DC 20581 

st

June 20, 2017

Agenda 

10:00 a.m. Welcome and Opening Remarks

10:05 a.m. Panel 1: Risk Surveillance Activities of CFTC’s Division of Clearing 

and Risk

Facilitator: 

 Luke Zubrod, Director of Strategic Initiatives, Chatham Financial

Key Speakers:

 John Lawton, Acting Director, Division of Clearing and Risk

 Glenn Schmeltz, Acting Associate Director, Division of Clearing 

and Risk

 Joseph Miller, Assistant Director, Division of Clearing and Risk

 Hugh J. Rooney, Assistant Director, Division of Clearing and Risk

Key Topics:

 Overview of Risk Surveillance Branch

 Daily Risk Monitoring

 Firm profiles

 Systemic Stress Testing

 Special Projects

 1.73 reviews

10:45 a.m. Break

10:55 a.m. Panel 2: An Economic Perspective on the Clearing Regulatory 

Framework 

Key Speakers:

 Robert Steigerwald, Senior Policy Advisor, Financial Markets, 

 Federal Reserve Bank of Chicago

 Sayee Srinivasan, Chief Economist, Office of the Chief Economist
 Richard Haynes, Supervisory Research Analyst, Office of the 

Chief Economist

Key Topics:

 Overview of academic research on CCPs

 Economic perspectives on assessing trade-offs and aligning 

incentives in the context of CCP default management

11:35 a.m. Break

11:45 a.m. Panel 3: Market Input - Brexit’s Effects on Markets

Facilitator: 

 Edward Pla, Futures Industry Association 

Key Questions: 

 Aside from the initial shock, the market appears to have taken 

Brexit in stride. How are the derivatives markets in which you 

trade responding to the upcoming Brexit negotiations? 

o Do you believe that the markets have accurately accounted

for the risks posed by Brexit as it unfolds? Or do you 

expect that there will be shocks coming in the future? 

 In ESMA’s recent proposal, there is a provision that could deny 

third country recognition to CCPs of “substantial systemic 

importance” unless they relocate to within the EU 27. What would 

be the effect of that on the derivatives markets? 

 Are many businesses moving operations to EU 27, or elsewhere, 

ahead of Brexit? If so, what challenges, if any, are they 

encountering?

 What is your prediction of how the derivatives markets will look 

post-Brexit? 

12:25 p.m. Closing Remarks

12:30 p.m. Adjournment
Jeffrey L. MAYS, petitioner, v. John E. WETZEL, Secretary, Pennsylvania Department of Corrections, et al.

No. 16-5881.

Supreme Court of the United States

Nov. 14, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Third Circuit denied.
Esteban GONZALEZ, petitioner, v. UNITED STATES.

No. 16-6053.

Supreme Court of the United States

Oct. 31, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Second Circuit denied.
Thomas David STEINER, petitioner, v. UNITED STATES.

No. 16-5660.

Supreme Court of the United States

Nov. 28, 2016.

On petition for writ of certiorari to the United States Court of Appeals for the Third Circuit. Motion of petitioner for leave to proceed *in forma pauperis* and petition for writ of certiorari granted. Judgment vacated, and case remanded to the United States Court of Appeals for the Third Circuit for further consideration in light of *Mathis v. United States,* 579 U.S. ----, 136 S.Ct. 2243, 195 L.Ed.2d 604 (2016).
COURT OF APPEALS

EIGHTH DISTRICT OF TEXAS

EL PASO, TEXAS

MICHELE DAWSON,

Appellant,

v.

THE STATE OF TEXAS,

Appellee. §

§

§

§

§

§ No. 08

- 11

- 00203

- CR

Appeal from the

County Criminal Court No. 4

of El Paso County, Texas

(TC# 20100C02742

J U D G M E N T

The Court has considered this cause on the record and concludes there was no error in the

judgment. We therefore affirm the judgment of the court below. This decision shall be certified

below for observance.

IT IS SO ORDERED THIS 7TH DAY OF AUGUST, 2013.

GUADALUPE RIVERA, Justice

Before McClure, C.J., Rivera, and Antcliff, JJ.

Antcliff, J., not participating
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</TABLE>
Mary C. VERNON, petitioner, v. UNITED STATES.

No. 15-1368.

Supreme Court of the United States

Oct. 3, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Tenth Circuit denied.
Ralph McELROY, petitioner, v. Jay CASSADY, Warden.

No. 16-6466.

Supreme Court of the United States

Jan. 9, 2017.

Petition for writ of certiorari to the Supreme Court of Missouri denied.
**Exhibit
23.1**
 
 
 
 **Consent
of Independent Registered Public Accounting Firm**
 
 
 
 The Board
of Directors
 GenVec,
Inc.:
 
 
 We
consent to the incorporation by reference in the Registration Statements on Form
S-3 (File No. 333-101963 and No. 333-76886), on Form S-4 (File No. 333-105320)
and the related post-effective amendments thereto, and on Form S-8 (File No.
333-110446, No. 333-55590, No. 333-55586 and No. 333-55584) of GenVec, Inc. of
our reports dated March 15, 2005, with respect to the balance sheets of GenVec,
Inc., as of December 31, 2004 and 2003 and the related statements of operations,
stockholders’ equity and comprehensive loss and cash flows for each of the years
in the three-year period ended December 31, 2004, management’s assessment of the
effectiveness of internal control over financial reporting as of December 31,
2004 and the effectiveness of internal control over financial reporting as of
December 31, 2004, which reports appear in the December 31, 2004 annual report
on Form 10-K of GenVec, Inc.
 
 
 
 
 Baltimore,
Maryland
 March 15,
2005
<TABLE> <S> <C>
                                              
<ARTICLE>                                          5
<LEGEND>                                      
THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM THE
FINANCIAL STATEMENTS OF FOUNTAIN PHARMACEUTICALS, INC. FOR THE SIX MONTHS ENDED
MARCH 31, 1999 AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL
STATEMENTS.
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<PERIOD-START>                                  OCT-01-1998
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<CASH>                                                  262
<SECURITIES>                                              0
<RECEIVABLES>                                            75
<ALLOWANCES>                                            (14)
<INVENTORY>                                             233
<CURRENT-ASSETS>                                        609
<PP&E>                                                  383
<DEPRECIATION>                                         (281)
<TOTAL-ASSETS>                                          865
<CURRENT-LIABILITIES>                                   718
<BONDS>                                                   0
<PREFERRED-MANDATORY>                                     0
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<TOTAL-REVENUES>                                        837
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<OTHER-EXPENSES>                                       (257)
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<INTEREST-EXPENSE>                                       16
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<INCOME-TAX>                                              0
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<CHANGES>                                                 0
<NET-INCOME>                                           (739)
<EPS-PRIMARY>                                         (0.31)
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</TABLE>