alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
Page 1 

Commodity Futures Trading Commission 

CEA CASES 

NAME: THE SIEGEL TRADING CO., INC., JOSEPH E. SIEGEL, ALVIN C. WINOGRAD, AND D. 

PETER ANDERSON 

DOCKET NUMBER: 159 

DATE: MARCH 5, 1970 

DOCUMENT TYPE: SUMMARY OF CASE 

UNITED STATES DEPARTMENT OF AGRICULTURE 

Kraynak DU 8-5709 

McDavid DU 8-4026 

Washington, Mar. 5, 1970 

Consent Order Issued Against Commodity Brokerage Firm and Two of Its Officers 

The United States Department of Agriculture today announced issuance of a 

consent order against The Siegel Trading Co., Inc., a Chicago brokerage firm, 

Joseph E. Siegel and Alvin C. Winograd, two of its officers, and D. Peter 

Anderson, a former employee. 

A complaint which was issued on May 5, 1969, charged the firm and the two 

officers, Mr. Siegel and Mr. Winograd, with mishandling certain customers' 

accounts and failing to maintain required records. It charged that in April 

1968, six customers trading in potato futures were cheated by the manner in 

which certain trades were closed out. It also charged that on March 7, 1968, 

certain trades in cotton futures were bucketed (taking the opposite side of a 

customer's order into the broker's account). It further charged that in October 

1967, a customer was given a false report. Mr. Anderson was charged in 

connection with the potato transactions. The recordkeeping violations alleged 

in the complaint occurred between August 1, 1967, and April 19, 1968. 

In the consent agreement the respondents admitted the basic facts alleged in 

the complaint for the purpose of the proceeding and waived hearing. 

Respondents, The Siegel Trading Co., Inc., Joseph E. Siegel and Alvin C. 

Winograd, stipulated that an internal management and audit system had been set 

up and would be maintained by the corporate respondent which would result in (1) 

due diligence being used in the selection, training and supervision of the 

firm's officers and employees who handle customers' commodity futures accounts, 

and (2) all officers and employees of the firm operating in compliance with the 

Commodity Exchange Act and Exchange rules. Respondent, The Siegel Trading Co., 

Inc., also stipulated that the firm had reimbursed the six customers for 

commission overcharges regarding the closing out of their potato futures 

positions in April 1968 and that the firm was in the process of reimbursing the 

customer for his loss occasioned by the false report in October 1967. 

The order agreed to was issued by U.S. Department of Agriculture's Judicial 

Officer, Thomas J. Flavin, March 2, 1970. It directs the respondents to cease 

and desist from violating the Commodity Exchange Act in the manner charged in 

the complaint. It also provides that if any of the respondents is found to have 

again violated the Act within 3 years, sanctions will become effective against 

the offender. The sanctions, 30 days for the firm and 15 days for the 

individuals, would prevent the offender from conducting customers business in 

regulated commodities and would suspend the offender from all regulated trading 

activity. 
Page 2 

LOAD-DATE: June 16, 2008 
Page 3
II-00673

From:

Sent:

To:

Subject:

Lisa Markwart <lisag@triad773.com>

Thursday, December 2, 2010 12:40 PM

dfadefinitions <dfadefinitions@CFTC.gov>

Re: No loopholes in Dodd-Frank

1) Securities and Exchange Commission/Commodities Futures Trading Commission, Re: Commercial Risk (CFTC RIN

3235-AK65, SEC File Number $7-12-10)

Dear Commissioners Shapiro and Gensler: Don’t let the American Bankers Association (ABA) redefine important terms like

"commercial risk" to keep banks that engage in risky derivatives trading from complying with transparency and business

conduct requirements. Commercial risk should not be expanded to include financial risk. Accepting the ABA argument

would open the door for exemptions for risky hedge funds and insurance companies.

2) Commodities Futures Trading Commission, Re: Position Limits (RIN 3038-AD 17 )

Dear Commissioner Gensler: The CFTC needs to set strong position limits to crack down on the energy and food commodity

speculation that serves no productive purpose. I urge the Commission to define limits that will address not only manipulation,

but also excessive speculation, which will require a stricter approach.

3) U.S. Department of the Treasury, Re: FX Swaps (75 FR 66426 Document Number 2010-27274)

Dear Secretary Geithner: Just say "no" to foreign exchange traders who want to exempt foreign currency derivatives from the

clearing and transparency requirements of the

Dodd-Frank Act. $4 trillion dollars a day is traded in these highly-leveraged swaps and this number may increase to over $10

trillion in a decade. As the head of the Financial

Stability Oversight Board your job is to decrease risk in the system, not encourage off-book trading and opaque markets.

Lisa Markwart

505 Thomas

Forest Park, IL 60130
*Rehearing Denied.*

*(See also No. 13, Original and No. 500, supra.)*

No. 679.

#### Kennedy *v.*Walker, Warden, 337 U. S. 901.

Motion for. leave to file petition for rehearing denied.
Robert GAYOL, petitioner, v. ILLINOIS.

No. 16-6626.

Supreme Court of the United States

Jan. 9, 2017.

Petition for writ of certiorari to the Appellate Court of Illinois, First District denied.
GEICO GENERAL INSURANCE CO., et al., petitioners, v. Samuel CALDERON, Individually and on Behalf of All Others Similarly Situated, et al.

No. 15-1346.

Supreme Court of the United States

Oct. 3, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Fourth Circuit denied.
II-01124

From:

Sent:

To:

Subject:

Vic Kern <vkernl @cox.net>

Thursday, December 2, 2010 8:05 AM

dfadefinitions <dfadefinitions@CFTC.gov>

Re: No loopholes in Dodd-Frank

1) Securities and Exchange Commission/Commodities Futures Trading Commission, Re: Commercial Risk (CFTC RIN

3235-AK65, SEC File Number $7-12-10)

Dear Commissioners Shapiro and Gensler: Don’t let the American Bankers Association (ABA) redefine important terms like

"commercial risk" to keep banks that engage in risky derivatives trading from complying with transparency and business

conduct requirements. Commercial risk should not be expanded to include financial risk. Accepting the ABA argument

would open the door for exemptions for risky hedge funds and insurance companies.

2) Commodities Futures Trading Commission, Re: Position Limits (RIN 3038-AD 17 )

Dear Commissioner Gensler: The CFTC needs to set strong position limits to crack down on the energy and food commodity

speculation that serves no productive purpose. I urge the Commission to define limits that will address not only manipulation,

but also excessive speculation, which will require a stricter approach.

3) U.S. Department of the Treasury, Re: FX Swaps (75 FR 66426 Document Number 2010-27274)

Dear Secretary Geithner: Just say "no" to foreign exchange traders who want to exempt foreign currency derivatives from the

clearing and transparency requirements of the

Dodd-Frank Act. $4 trillion dollars a day is traded in these highly-leveraged swaps and this number may increase to over $10

trillion in a decade. As the head of the Financial

Stability Oversight Board your job is to decrease risk in the system, not encourage off-book trading and opaque markets.

Vic Kern

756 Westglen Dr.

Yukon, OK 73099
# C_2010234EN.01001301.xml

| 28.8.2010 | EN | Official Journal of the European Union | C 234/13 |
| --- | --- | --- | --- |

28.8.2010

EN

Official Journal of the European Union

C 234/13

---

Judgment of the Court (First Chamber) of 1 July 2010 (reference for a preliminary ruling from the Hof van beroep te Antwerpen — Belgium) — Gerhard Dijkman, Maria Dijkman-Lavaleije v Belgische Staat

(Case C-233/09) (1)

1

(Freedom to provide services - Free movement of capital - Direct taxation - Difference in treatment according to the place of investment)

2010/C 234/18

Language of the case: Dutch

Referring court

Referring court

Hof van beroep te Antwerpen

Parties to the main proceedings

Parties to the main proceedings

Applicant: Gerhard Dijkman, Maria Dijkman-Lavaleije

Applicant:

Defendant: Belgische Staat

Defendant:

Re:

Re:

Reference for a preliminary ruling — Hof van beroep te Antwerpen (Belgium) — National income tax rules — Supplementary municipal tax calculated on the basis of the amount of income tax — Discharge resulting from withholding tax on movable assets — Different treatment according to the place of investment — Compatibility with Article 56(1) EC

Operative part of the judgment

Operative part of the judgment

Article 56 EC precludes legislation of a Member State according to which taxpayers resident in that Member State who receive interest or dividends from investments made in another Member State are subject to a supplementary municipal tax when they have not elected for that income from moveable assets to be paid to them by an intermediary established in their Member State of residence, whereas income of the same type from investments made in their Member State of residence, because it is subject to withholding tax at source, need not be declared and, in that case, is not subject to the supplementary municipal tax.

---

(1)  OJ C 220, 12.9.2009.

1

---
```

[Congressional Bills 111th Congress]
[From the U.S. Government Publishing Office]
[H. Res. 1333 Introduced in House (IH)]

111th CONGRESS
  2d Session
H. RES. 1333

  Expressing support for the goals and ideals of Children's Book Week.

_______________________________________________________________________

                    IN THE HOUSE OF REPRESENTATIVES

                              May 6, 2010

  Mr. Roe of Tennessee submitted the following resolution; which was 
            referred to the Committee on Education and Labor

_______________________________________________________________________

                               RESOLUTION

 
  Expressing support for the goals and ideals of Children's Book Week.

Whereas research has indicated that children who are read to three or four times 
        a week are more likely to recognize the letters of the alphabet, be able 
        to count to 20, and write their own names;
Whereas children's books are instrumental in teaching children to read by 
        providing simple phrases that promote reading techniques, including 
        phonics, and retaining children's interest;
Whereas many teachers use children's books in the classroom as a tool to promote 
        and teach literacy to their students;
Whereas Children's Book Week has been celebrated nationally since 1919 and is 
        founded on the declaration that a ``great nation is a reading nation'';
Whereas Children's Book Week highlights the importance of parents and guardians 
        taking the time to read with their children and encourages libraries, 
        schools, and community organizations to hold events to promote reading; 
        and
Whereas Children's Book Week is recognized May 10 to May 16, 2010: Now, 
        therefore, be it
    Resolved, That the House of Representatives--
            (1) supports the goals and ideals of Children's Book Week; 
        and
            (2) encourages parents to read with their children and 
        schools, libraries, and community organizations to hold events 
        to encourage children and students of all ages to read.
                                 <all>
```
---

EXHIBIT 32.1

CERTIFICATION

In connection
with the Quarterly Report of Santa Fe Gold Corporation (the "Company") on Form
10-QSB for the fiscal quarter ended December 31, 2007, as filed with the
Securities and Exchange Commission on the date hereof (the "Report"), I, Pierce
Carson, President & Chief Executive Officer, certify, pursuant to 18 U.S.C.
Section 1350, as adopted pursuant to Section 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 results of
      operations of the Company, as of, and for the periods presented in the
      Report.

|Date: February 14, 2008 | By: /s/ Pierce Carson                             
|----------------------- | --------------------------------------------------
|                        | Pierce Carson                                     
|                        | Chief Executive Officer, President,
      Director
|                        | and Principal Accounting Officer                  

20

---
II-Oll41

From:

Sent:

To:

Subject:

Terrell Beck <beck.terr@uwlax.edu>

Thursday, December 2, 2010 7:52 AM

dfadefinitions <dfadefinitions@CFTC.gov>

Re: No loopholes in Dodd-Frank

1) Securities and Exchange Commission/Commodities Futures Trading Commission, Re: Commercial Risk (CFTC RIN

3235-AK65, SEC File Number $7-12-10)

Dear Commissioners Shapiro and Gensler: Don’t let the American Bankers Association (ABA) redefine important terms like

"commercial risk" to keep banks that engage in risky derivatives trading from complying with transparency and business

conduct requirements. Commercial risk should not be expanded to include financial risk. Accepting the ABA argument

would open the door for exemptions for risky hedge funds and insurance companies.

2) Commodities Futures Trading Commission, Re: Position Limits (RIN 3038-AD 17 )

Dear Commissioner Gensler: The CFTC needs to set strong position limits to crack down on the energy and food commodity

speculation that serves no productive purpose. I urge the Commission to define limits that will address not only manipulation,

but also excessive speculation, which will require a stricter approach.

3) U.S. Department of the Treasury, Re: FX Swaps (75 FR 66426 Document Number 2010-27274)

Dear Secretary Geithner: Just say "no" to foreign exchange traders who want to exempt foreign currency derivatives from the

clearing and transparency requirements of the

Dodd-Frank Act. $4 trillion dollars a day is traded in these highly-leveraged swaps and this number may increase to over $10

trillion in a decade. As the head of the Financial

Stability Oversight Board your job is to decrease risk in the system, not encourage off-book trading and opaque markets.

Terrell Beck

$3368A Haugrud Ridge Road

LaFarge, WI 54639
Gary Dwayne WARD, petitioner, v. Eric COOKE, et al.

No. 15-9264.

Supreme Court of the United States

Oct. 3, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Fourth Circuit denied.
<TABLE> <S> <C>
 
 
<ARTICLE> 6 
<CIK> 0000744822
<NAME> Fidelity Investment Trust
<SERIES>
 <NUMBER> 201
 <NAME> Fidelity Hong Kong and China  Fund
<MULTIPLIER> 1,000
       
<S>
<C>
<PERIOD-TYPE>                year         
 
<FISCAL-YEAR-END>            oct-31-1998  
 
<PERIOD-END>                 oct-31-1998  
 
<INVESTMENTS-AT-COST>        134,426      
 
<INVESTMENTS-AT-VALUE>       142,206      
 
<RECEIVABLES>                1,427        
 
<ASSETS-OTHER>               108          
 
<OTHER-ITEMS-ASSETS>         0            
 
<TOTAL-ASSETS>               143,741      
 
<PAYABLE-FOR-SECURITIES>     2,506        
 
<SENIOR-LONG-TERM-DEBT>      0            
 
<OTHER-ITEMS-LIABILITIES>    411          
 
<TOTAL-LIABILITIES>          2,917        
 
<SENIOR-EQUITY>              0            
 
<PAID-IN-CAPITAL-COMMON>     192,430      
 
<SHARES-COMMON-STOCK>        13,743       
 
<SHARES-COMMON-PRIOR>        16,040       
 
<ACCUMULATED-NII-CURRENT>    3,799        
 
<OVERDISTRIBUTION-NII>       0            
 
<ACCUMULATED-NET-GAINS>      (63,188)     
 
<OVERDISTRIBUTION-GAINS>     0            
 
<ACCUM-APPREC-OR-DEPREC>     7,783        
 
<NET-ASSETS>                 140,824      
 
<DIVIDEND-INCOME>            6,326        
 
<INTEREST-INCOME>            801          
 
<OTHER-INCOME>               (220)        
 
<EXPENSES-NET>               2,166        
 
<NET-INVESTMENT-INCOME>      4,741        
 
<REALIZED-GAINS-CURRENT>     (61,778)     
 
<APPREC-INCREASE-CURRENT>    41,852       
 
<NET-CHANGE-FROM-OPS>        (15,185)     
 
<EQUALIZATION>               0            
 
<DISTRIBUTIONS-OF-INCOME>    969          
 
<DISTRIBUTIONS-OF-GAINS>     0            
 
<DISTRIBUTIONS-OTHER>        0            
 
<NUMBER-OF-SHARES-SOLD>      10,104       
 
<NUMBER-OF-SHARES-REDEEMED>  12,482       
 
<SHARES-REINVESTED>          81           
 
<NET-CHANGE-IN-ASSETS>       (36,592)     
 
<ACCUMULATED-NII-PRIOR>      2,039        
 
<ACCUMULATED-GAINS-PRIOR>    3,137        
 
<OVERDISTRIB-NII-PRIOR>      0            
 
<OVERDIST-NET-GAINS-PRIOR>   0            
 
<GROSS-ADVISORY-FEES>        1,147        
 
<INTEREST-EXPENSE>           0            
 
<GROSS-EXPENSE>              2,170        
 
<AVERAGE-NET-ASSETS>         154,345      
 
<PER-SHARE-NAV-BEGIN>        11.060       
 
<PER-SHARE-NII>              .310         
 
<PER-SHARE-GAIN-APPREC>      (1.100)      
 
<PER-SHARE-DIVIDEND>         .060         
 
<PER-SHARE-DISTRIBUTIONS>    0            
 
<RETURNS-OF-CAPITAL>         0            
 
<PER-SHARE-NAV-END>          10.250       
 
<EXPENSE-RATIO>              141          
 
<AVG-DEBT-OUTSTANDING>       0            
 
<AVG-DEBT-PER-SHARE>         0
Antonio D. BARBEAU, petitioner, v. WISCONSIN.

No. 16-749.

Supreme Court of the United States

Jan. 17, 2017.

Petition for writ of certiorari to the Court of Appeals of Wisconsin, District II denied.
Michael M. MOFFETT, petitioner, v. Brian FOSTER, Warden.

No. 15-9343.

Supreme Court of the United States

Oct. 3, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Seventh Circuit denied.
# C_2009129EN.01002201.xml

| 6.6.2009 | EN | Official Journal of the European Union | C 129/22 |
| --- | --- | --- | --- |

6.6.2009

EN

Official Journal of the European Union

C 129/22

---

Action brought on 26 March 2009 — Noël v Council

(Case F-31/09)

2009/C 129/38

Language of the case: French

Parties

Parties

Applicant: Isabelle Noël (Rosières-Saint-André, Belgium) (represented by: S. Orlandi, A. Coolen, J.-N. Louis and É. Marchal, 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 appointing the applicant a probationary official to the extent that that decision affects his AST 1-7 career path.

Form of order sought

Form of order sought

| — | Annul the decision of 13 November 2006 appointing the applicant an official to the extent that that decision affects his AST 1-7 career path; |
| --- | --- |

—

Annul the decision of 13 November 2006 appointing the applicant an official to the extent that that decision affects his AST 1-7 career path;

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

—

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

---
Daniel BONVENTRE, petitioner, v. UNITED STATES.

No. 16-6800.

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.
ARKANSAS STATE POLICE, et al., petitioners, v. Daniel E. WREN.

No. 16-313.

Supreme Court of the United States

Jan. 9, 2017.

Petition for writ of certiorari to the Supreme Court of Arkansas denied.
WOODMAN'S FOOD MARKET, INC., petitioner, v. The CLOROX COMPANY, et al.

No. 16M75.

Supreme Court of the United States

Jan. 23, 2017.

Motion for leave to file a petition for writ of certiorari under seal with redacted copies for the public record granted.
[Federal Register Volume 66, Number 123 (Tuesday, June 26, 2001)]
[Notices]
[Page 33963]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-15931]


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

FEDERAL EMERGENCY MANAGEMENT AGENCY

[FEMA-1379-DR]


Texas; Amendment No. 1 to Notice of a Major Disaster Declaration

AGENCY: Federal Emergency Management Agency (FEMA).

ACTION: Notice.

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

SUMMARY: This notice amends the notice of a major disaster declaration 
for the State of Texas, (FEMA-1379-DR), dated June 9, 2001, and related 
determinations.

EFFECTIVE DATE: June 18, 2001.

FOR FURTHER INFORMATION CONTACT: Madge Dale, Response and Recovery 
Directorate, Federal Emergency Management Agency, Washington, DC 20472, 
(202) 646-3772.

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration 
for the State of Texas is hereby amended to include the following areas 
among those areas determined to have been adversely affected by the 
catastrophe declared a major disaster by the President in his 
declaration of June 9, 2001:

Grimes and Harrison Counties for Individual Assistance

(The following Catalog of Federal Domestic Assistance Numbers (CFDA) 
are to be used for reporting and drawing funds: 83.537, Community 
Disaster Loans; 83.538, Cora Brown Fund Program; 83.539, Crisis 
Counseling; 83.540, Disaster Legal Services Program; 83.541, 
Disaster Unemployment Assistance (DUA); 83.542, Fire Suppression 
Assistance; 83.543, Individual and Family Grant (IFG) Program; 
83.544, Public Assistance Grants; 83.545, Disaster Housing Program; 
83.548, Hazard Mitigation Grant Program.)
Lacy E. Suiter,
Assistant Director, Readiness, Response and Recovery Directorate.
[FR Doc. 01-15931 Filed 6-25-01; 8:45 am]
BILLING CODE 6718-02-P
Document Headings

                    Document headings vary by document type but may contain                    the following:                  
                -                       the agency or agencies that issued and signed a document                    
                -                       the number of the CFR title and the number of each part                      the document amends, proposes to amend, or is directly                      related to                    
                -                       the agency docket number / agency internal file number                    
                -                       the RIN which identifies each regulatory action listed in                      the Unified Agenda of Federal Regulatory and Deregulatory                      Actions                    

                    See the                                          Document Drafting Handbook                                        for more details.                  

###### Nuclear Regulatory Commission

          - 10 CFR Part 2 
          - RIN 3150-AG44 

# AGENCY:

Nuclear Regulatory Commission.

# ACTION:

Final rule; correction.

# SUMMARY:

                        This document corrects a rulemaking appearing in the                         **Federal Register**                         on May 31, 2001 (66 FR 29453). This document is necessary to correct the omission of a word.                     

# FOR FURTHER INFORMATION CONTACT:

Francis X. Cameron, Office of the General Counsel, Nuclear Regulatory Commission, telephone 301-415-1642, e-mail: fxc@nrc.gov. 

# SUPPLEMENTARY INFORMATION:

On page 29460, in the third column, in Footnote 3, the 21st line, insert the word “or” after “application”. 

Dated at Rockville, Maryland, this 14th day of June 2001.

For the Nuclear Regulatory Commission. 

Alzonia W. Shepard,

Acting Chief, Rules and Directives Branch, Division of Administrative Services, Office of Administration. 

[FR Doc. 01-15473 Filed 6-19-01; 8:45 am] 

BILLING CODE 7590-01-P