alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
<TABLE> <S> <C>

<PAGE>
<ARTICLE> 9
<MULTIPLIER> 1,000

<S>                             <C>
<PERIOD-TYPE>                   YEAR
<FISCAL-YEAR-END>                          MAR-31-1999
<PERIOD-START>                             APR-01-1998
<PERIOD-END>                               MAR-31-1999
<CASH>                                           4,964
<INT-BEARING-DEPOSITS>                             177
<FED-FUNDS-SOLD>                                16,762
<TRADING-ASSETS>                                     0
<INVESTMENTS-HELD-FOR-SALE>                     51,942
<INVESTMENTS-CARRYING>                               0
<INVESTMENTS-MARKET>                                 0
<LOANS>                                        280,346
<ALLOWANCE>                                      2,913
<TOTAL-ASSETS>                                 364,696
<DEPOSITS>                                     266,463
<SHORT-TERM>                                         0
<LIABILITIES-OTHER>                              2,491
<LONG-TERM>                                     57,000
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                         1,967
<OTHER-SE>                                      36,775
<TOTAL-LIABILITIES-AND-EQUITY>                 364,696
<INTEREST-LOAN>                                 21,673
<INTEREST-INVEST>                                4,323
<INTEREST-OTHER>                                     0
<INTEREST-TOTAL>                                25,996
<INTEREST-DEPOSIT>                              10,770
<INTEREST-EXPENSE>                              14,049
<INTEREST-INCOME-NET>                           11,947
<LOAN-LOSSES>                                        0
<SECURITIES-GAINS>                                 580
<EXPENSE-OTHER>                                  8,773
<INCOME-PRETAX>                                  4,542
<INCOME-PRE-EXTRAORDINARY>                       2,682
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                     2,682
<EPS-BASIC>                                     1.38
<EPS-DILUTED>                                     1.38
<YIELD-ACTUAL>                                    3.29
<LOANS-NON>                                        419
<LOANS-PAST>                                         0
<LOANS-TROUBLED>                                     0
<LOANS-PROBLEM>                                      0
<ALLOWANCE-OPEN>                                 2,886
<CHARGE-OFFS>                                       99
<RECOVERIES>                                       126
<ALLOWANCE-CLOSE>                                2,913
<ALLOWANCE-DOMESTIC>                                 0
<ALLOWANCE-FOREIGN>                                  0
<ALLOWANCE-UNALLOCATED>                              0


</TABLE>
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Home > Compliance > General Compliance Issues > NFA Audits 

NFA Audits 

NFA Members are required to fully comply at all times with the rules and regulations of NFA and the CFTC. As a means of monitoring 

and assuring compliance, NFA conducts periodic on-site audits. We view audits as a positive, collaborative process in which we

support your firm's commitment to meet its regulatory obligations. 

NFA generally notifies a Member of an upcoming audit by telephone shortly before the audit is scheduled to begin. FCMs and RFEDs 

which carry customer funds, and other Member firms at NFA's discretion, however, may be subject to unannounced audits. While all 

NFA Members are subject to being audited, the timing and frequency vary depending upon a number of factors including the amount of

money a firm has under management, customer complaints received, prior audit findings, or concerns noted during our review of 

Disclosure Documents or financial statements filed with NFA. 

Because NFA tailors an audit to each firm's business operations, the amount of time to conduct an audit varies. Auditors try to 

minimize the disruption to the Member's operations; however, they must perform a certain amount of work at the Member's office,

obtain representations from appropriate firm personnel and review firm documents. The best antidotes to a protracted audit are

preparation and access to information. 

NFA auditors communicate with the firm throughout the audit process. For example, if the auditors note any testing discrepancies or 

compliance deficiencies, they will immediately discuss them with the firm, giving the Member ample opportunity to work on correcting 

the problem. 

Upon completion of their fieldwork, the audit team will conduct an exit interview, during which time they will recap the findings of the 

audit with an emphasis on any deficiencies noted and ways in which they can be corrected. They will also provide a written report 

subsequent to fieldwork. 

NFA has several resources available to advise and assist Members in establishing and maintaining the required records. In addition 

to reviewing the NFA Manual and CFTC Regulations, you can find other valuable information contained in the resource section below. 

 

 

 

Resources Contact

 NFA Regulatory Requirements for FCMs, 

IBs, CPOs and CTAs 

 NFA Self-Examination Questionnaire 

 NFA Web Seminar: "Preparing for an NFA 

Audit" 

 Preparing for an NFA Audit (podcast) 

 Common Registration Deficiencies 

 NFA's Information Center 

(800) 621-3570 

NFA Audits Page 1 of 1

http://www.nfa.futures.org/NFA-compliance/NFA-general-compliance-issues/nfa-audits.H... 4/19/2012
<TABLE> <S> <C>


<ARTICLE>                     5
<MULTIPLIER>                                   1,000
       
<S>                             <C>
<PERIOD-TYPE>                   6-MOS
<FISCAL-YEAR-END>                              MAR-31-1997
<PERIOD-START>                                 APR-01-1996
<PERIOD-END>                                   SEP-30-1996
<CASH>                                         10,431
<SECURITIES>                                   175
<RECEIVABLES>                                  8,565
<ALLOWANCES>                                   3,789
<INVENTORY>                                    0
<CURRENT-ASSETS>                               0
<PP&E>                                         120
<DEPRECIATION>                                 41
<TOTAL-ASSETS>                                 18,512
<CURRENT-LIABILITIES>                          0
<BONDS>                                        22,050
<PREFERRED-MANDATORY>                          0
<PREFERRED>                                    0
<COMMON>                                       9
<OTHER-SE>                                     (6,874)
<TOTAL-LIABILITY-AND-EQUITY>                   18,512
<SALES>                                        1,099
<TOTAL-REVENUES>                               1,099
<CGS>                                          0
<TOTAL-COSTS>                                  2,939
<OTHER-EXPENSES>                               1,048
<LOSS-PROVISION>                               2,956
<INTEREST-EXPENSE>                             1,074
<INCOME-PRETAX>                                (6,918)
<INCOME-TAX>                                   0
<INCOME-CONTINUING>                            (6,918)
<DISCONTINUED>                                 370
<EXTRAORDINARY>                                0
<CHANGES>                                      0
<NET-INCOME>                                   (6,548)
<EPS-PRIMARY>                                  (1.413)
<EPS-DILUTED>                                  (1.413)
        


</TABLE>
Parsram CHETTANA, petitioner, v. Michael KIRKPATRICK, Superintendent, Clinton Correctional Facility.

No. 16-6778.

Supreme Court of the United States

Jan. 9, 2017.

Petition for writ of certiorari to the United States Court of Appeals for the Second Circuit denied.
# C_2011046EN.01001301.xml

| 12.2.2011 | EN | Official Journal of the European Union | C 46/13 |
| --- | --- | --- | --- |

12.2.2011

EN

Official Journal of the European Union

C 46/13

---

Judgment of the General Court of 16 December 2010 — Baena Grupo v OHIM — Neuman and Galdeano del Sel (Seated figure)

(Case T-513/09) (1)

1

(Community design - Invalidity proceedings - Registered Community design representing a seated figure - Earlier Community figurative mark - Ground for invalidity - Individual character - Different overall impression - Article 6 and Article 25(1)(b) of Regulation (EC) No 6/2002)

2011/C 46/25

Language of the case: Spanish

Parties

Parties

Applicant: José Manuel Baena Grupo, SA (Santa Perpètua de Mogoda, Spain) (represented by: A. Canela Giménez, lawyer)

Applicant:

Defendant: Office for Harmonisation in the Internal Market (Trade Marks and Designs) (represented by: J. Crespo Carrillo and A. Folliard-Monguiral, Agents)

Defendant:

Other parties to the proceedings before the Board of Appeal of OHIM, intervening before the General Court: Herbert Neuman (Tarifa, Spain) and Andoni Galdeano del Sel (Spain)

Other parties to the proceedings before the Board of Appeal of OHIM, intervening before the General Court:

Re:

Re:

Action brought against the decision of the Third Board of Appeal of OHIM of 14 October 2009 (Case R 1323/2008-3), relating to invalidity proceedings between Herbert Neuman and Andoni Galdeano del Sel, on the one hand, and José Manuel Baena Grupo, SA, on the other.

Operative part of the judgment

Operative part of the judgment

The Court:

| 1. | Annuls the decision of the Third Board of Appeal of the Office for Harmonisation in the Internal Market (Trade Marks and Designs) (OHIM) of 14 October 2009 (Case R 1323/2008-3); |
| --- | --- |

1.

Annuls the decision of the Third Board of Appeal of the Office for Harmonisation in the Internal Market (Trade Marks and Designs) (OHIM) of 14 October 2009 (Case R 1323/2008-3);

| 2. | Orders OHIM to bear its own costs and to pay those incurred by José Manuel Baena Grupo, SA., and orders Herbert Neuman and Andoni Galdeano del Sel to bear their own costs. |
| --- | --- |

2.

Orders OHIM to bear its own costs and to pay those incurred by José Manuel Baena Grupo, SA., and orders Herbert Neuman and Andoni Galdeano del Sel to bear their own costs.

---

(1)  OJ C 51, 27.2.2010.

1

---
# C_2009113EN.01004703.xml

| 16.5.2009 | EN | Official Journal of the European Union | C 113/47 |
| --- | --- | --- | --- |

16.5.2009

EN

Official Journal of the European Union

C 113/47

---

Action brought on 16 March 2009 — Wagner-Leclercq v Council

(Case F-24/09)

2009/C 113/101

Language of the case: French

Parties

Parties

Applicant: Inge Wagner-Leclercq (Edegem, Belgium) (represented by: S. Rodrigues, C. Bernard-Glanz, lawyers)

Applicant:

Defendant: Council of the European Union

Defendant:

Subject-matter and description of the proceedings

Subject-matter and description of the proceedings

Annulment of the decision of the appointing authority published in the staff notice No 75/08 of 24 April 2008, listing the AST officials (career path I-11) proposed for promotion in the 2008 promotion year.

Form of order sought

Form of order sought

| — | Annul the decision of the appointing authority published in the staff notice No 75/08 of 24 April 2008, listing the AST officials (career path I-11) proposed for promotion in the 2008 promotion year; |
| --- | --- |

—

Annul the decision of the appointing authority published in the staff notice No 75/08 of 24 April 2008, listing the AST officials (career path I-11) proposed for promotion in the 2008 promotion year;

| — | Annul, so far as necessary, the decision of the appointing authority rejecting the applicant’s complaint; |
| --- | --- |

—

Annul, so far as necessary, the decision of the appointing authority rejecting the applicant’s complaint;

| — | Order the Council of the European Union to pay the costs. |
| --- | --- |

—

Order the Council of the European Union to pay the costs.

---
COMMONWEALTH INDUSTRIES, INC.

                                  Amendment to
                    1997 Stock Incentive Plan, as amended and
                             restated April 23, 1999


Effective  December  18,  2000,  the Board of  Directors  adopted the  following
resolution:

RESOLVED,  that the first  sentence of Section 7, titled  Non-Employee  Director
Stock Options and Shares.,  of the  Commonwealth  Industries,  Inc.,  1997 Stock
Incentive Plan, as amended and restated April 23, 1999, be amended to, effective
December 18, 2000, to read in its entirety as follows:

         Nonqualified  Stock Options to purchase  10,000 shares of Common Stock,
         the number of shares being  subject to  adjustment  pursuant to Section
         13, shall be granted  automatically to each  Non-Employee  Director (a)
         upon the date such director  joins the Board or becomes a  Non-Employee
         Director and (b) on each succeeding January 1 which is not less than 90
         days after the date referred to in clause (a).


December 18, 2000.
<TABLE> <S> <C>

<ARTICLE> 9
       
<S>                             <C>
<PERIOD-TYPE>                   YEAR
<FISCAL-YEAR-END>                          JUN-30-1997
<PERIOD-END>                               JUN-30-1997
<CASH>                                       1,722,734
<INT-BEARING-DEPOSITS>                       1,950,522
<FED-FUNDS-SOLD>                                     0
<TRADING-ASSETS>                             2,921,251
<INVESTMENTS-HELD-FOR-SALE>                 25,550,974
<INVESTMENTS-CARRYING>                       4,003,575
<INVESTMENTS-MARKET>                         4,001,875
<LOANS>                                    111,530,092
<ALLOWANCE>                                    225,862
<TOTAL-ASSETS>                             155,675,191
<DEPOSITS>                                 102,862,152
<SHORT-TERM>                                18,000,000
<LIABILITIES-OTHER>                          1,220,730
<LONG-TERM>                                 11,000,000
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                        17,535
<OTHER-SE>                                  22,574,774
<TOTAL-LIABILITIES-AND-EQUITY>             155,675,191
<INTEREST-LOAN>                              8,206,364
<INTEREST-INVEST>                            1,907,129
<INTEREST-OTHER>                               315,048
<INTEREST-TOTAL>                            10,428,541
<INTEREST-DEPOSIT>                           4,924,144
<INTEREST-EXPENSE>                           6,149,103
<INTEREST-INCOME-NET>                        4,279,438
<LOAN-LOSSES>                                   60,000
<SECURITIES-GAINS>                             730,871
<EXPENSE-OTHER>                              4,371,758
<INCOME-PRETAX>                              1,401,553
<INCOME-PRE-EXTRAORDINARY>                   1,401,553
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                   922,829
<EPS-PRIMARY>                                      .52
<EPS-DILUTED>                                      .52
<YIELD-ACTUAL>                                    7.61
<LOANS-NON>                                    417,000
<LOANS-PAST>                                         0
<LOANS-TROUBLED>                                     0
<LOANS-PROBLEM>                                      0
<ALLOWANCE-OPEN>                               165,862
<CHARGE-OFFS>                                        0
<RECOVERIES>                                         0
<ALLOWANCE-CLOSE>                              225,862
<ALLOWANCE-DOMESTIC>                                 0
<ALLOWANCE-FOREIGN>                                  0
<ALLOWANCE-UNALLOCATED>                        225,862
        

</TABLE>
# C_2011145EN.01002501.xml

| 14.5.2011 | EN | Official Journal of the European Union | C 145/25 |
| --- | --- | --- | --- |

14.5.2011

EN

Official Journal of the European Union

C 145/25

---

Judgment of the General Court of 24 March 2011 — XXXLutz Marken v OHIM — Natura Selection (Linea Natura Natur hat immer Stil)

(Case T-54/09) (1)

1

(Community trade mark - Opposition proceedings - Application for Community figurative mark Linea Natura Natur hat immer Stil - Earlier Community figurative mark natura selection - Relative ground for refusal - Likelihood of confusion - Similarity of the signs - Article 8(1)(b) of Regulation (EC) No 40/94 (now Article 8(1)(b) of Regulation (EC) No 207/2009))

2011/C 145/40

Language of the case: German

Parties

Parties

Applicant: XXXLutz Marken GmbH (Wels, Austria) (represented by: H. Pannen, lawyer)

Applicant:

Defendant: Office for Harmonisation in the Internal Market (Trade Marks and Designs) (represented by: S. Schäffner, Agent)

Defendant:

Other party to the proceedings before the Board of Appeal of OHIM, intervening before the General Court: Natura Selection, SL (Barcelona, Spain) (represented by: E. Sugrañes Coca, lawyer)

Other party to the proceedings before the Board of Appeal of OHIM, intervening before the General Court:

Re:

Re:

Action brought against the decision of the Second Board of Appeal of OHIM of 28 November 2008 (Case R 1787/2007-2) relating to opposition proceedings between Natura Selection, SL and XXXLutz Marken Gmb.

Operative part of the judgment

Operative part of the judgment

The Court:

| 1. | Dismisses the action; |
| --- | --- |

1.

Dismisses the action;

| 2. | Orders XXXLutz Marken GmbH to pay the costs. |
| --- | --- |

2.

Orders XXXLutz Marken GmbH to pay the costs.

---

(1)  OJ C 90, 18.4.2009.

1

---
<PAGE>
                                                                     EXHIBIT 3.4

                           CERTIFICATE OF AMENDMENT OF

                          CERTIFICATE OF INCORPORATION

                                       OF

                         THE PEPSI BOTTLING GROUP, INC.

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

         The Pepsi Bottling Group, Inc. (the "Corporation"), a corporation
organized and existing under and by virtue of the General Corporation Law of the
State of Delaware, does hereby certify:

         FIRST: The name of the Corporation is The Pepsi Bottling Group, Inc.

         SECOND: The Certificate of Incorporation is hereby amended by striking
out Subparagraph (a) of Article SECOND thereof and substituting in lieu of said
Subparagraph (a) of Article SECOND the following:

                  "(a) The Corporation shall have the authority to issue
         920,100,000 shares, with a par value of $0.01 per share, of which (i)
         900,000,000 shares shall be Common Stock, and 100,000 shares shall be
         Class B Common Stock (the Common Stock and the Class B Common Stock
         being collectively referred to herein as the "Capital Stock"), and (ii)
         20,000,000 shares shall be shares of Preferred Stock (the "Preferred
         Stock")."

         THIRD: That the amendment of the Certificate of Incorporation herein
certified has been duly adopted in accordance with the provisions of Section 242
of the General Corporation Law of the State of Delaware.

         Executed on this 27th Day of November, 2001.



                                                    /s/ Pamela C. McGuire
                                             -----------------------------------
                                                      Pamela C. McGuire
                                             Senior Vice President and Secretary
EXHIBIT 31.2

                         MANAGEMENT CERTIFICATION

I, Richard H. Casper, certify that:

1. I have reviewed this annual report on Form 10-KSB of DOLPHIN
PRODUCTIONS, INC.;

2. Based on my knowledge, this annual 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
statement were made, not misleading with respect to the period covered by
this annual report;

3. Based on my knowledge, the financial statements, and other financial
information included in this annual 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 annual
report;

4. The registrant's other certifying officers and I are responsible for
establishing and maintaining disclosure controls and procedures (as
defined in Exchange Act Rules 13a-14 and 15d-14) for the registrant and
have:

a) designed such disclosure controls and procedures 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 annual report is
being prepared;

b) evaluated the effectiveness of the registrant's disclosure controls and
procedures as of a date within 90 days prior to the filing date of this
annual report (the"Evaluation Date"); and

c) presented in this annual report our conclusions about the effectiveness
of the disclosure controls and procedures based on our evaluation as of
the Evaluation Date;

5. The registrant's other certifying officers and I have disclosed, based
on our most recent evaluation to the registrant's auditors and the audit
committee of registrant's board of directors (or persons performing the
equivalent functions):

a) all significant deficiencies in the design or operation of internal
controls which could adversely affect the registrant's ability to record,
process, summarize and report financial data and have identified for the
registrant's auditors any material weaknesses in internal controls; and

b) any fraud, whether or not material, that involves management or other
employees who have a significant role in the registrant's internal
controls; and

6. The registrant's other certifying officers and I have indicated in this
annual report whether there were significant changes in internal controls
or in other factors that could significantly affect internal controls
subsequent to the date of our most recent evaluation, including any
corrective actions with regard to significant deficiencies and material
weaknesses.




Date: December 27, 2005



                                     /s/Richard H. Casper

                                    Richard. H. Casper, President
                                    and Principal Executive Officer