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Arthur Levitt papers, 1948-2007

Summary Information

At a Glance

Call No.: MS#0774
Bib ID 4079912 View CLIO record
Creator(s) Levitt, Arthur, 1931-
Title Arthur Levitt papers, 1948-2007
Physical Description 30 linear feet (62 boxes 1 oversize box)
Language(s) English .
Access You will need to make an appointment in advance to use this collection material in the Rare Book and Manuscript Library reading room. You can schedule an appointment once you've submitted your request through your Special Collections Research Account.

This collection is located off-site. You will need to request this material at least three business days in advance to use the collection in the Rare Book and Manuscript Library reading room.

This collection has no restrictions.

Arrangement

Arrangement

This collection is arranged into 13 series.

Description

Summary

Correspondence, speeches, speech materials, news clippings, subject files, audio and videotapes relating to the professional activity of Arthur Levitt, Jr. The papers and audiovisual material deal primarily with his tenure as the Chairman of the Securities and Exchange Commission (1993-2001), but also contain earlier records, including some materials relating to Levitt's school years at the Polytechnic Preparatory Country Day School and at Williams College, and his work at Hayden Stone, the American Stock Exchange, and the New York Economic Development Corporation, and his advocacy of the National Endowment of the Arts during the 1991-1992 funding controversy. These papers also contain materials relating to his father, Arthur Levitt, Sr., who served for 24 years as New York State Comptroller.

Using the Collection

Rare Book and Manuscript Library

Restrictions on Access

You will need to make an appointment in advance to use this collection material in the Rare Book and Manuscript Library reading room. You can schedule an appointment once you've submitted your request through your Special Collections Research Account.

This collection is located off-site. You will need to request this material at least three business days in advance to use the collection in the Rare Book and Manuscript Library reading room.

This collection has no restrictions.

Terms Governing Use and Reproduction

Single photocopies may be made for research purposes. The RBML maintains ownership of the physical material only. Copyright remains with the creator and his/her heirs. The responsibility to secure copyright permission rests with the patron.

Preferred Citation

Identification of specific item; Date (if known); Arthur Levitt papers; Box and Folder; Rare Book and Manuscript Library, Columbia University Library.

Accruals

Materials may have been added to the collection since this finding aid was prepared. Contact rbml@columbia.edu for more information.

Immediate Source of Acquisition

Papers: Source of acquisition--U.S. Securities & Exchange Commission. Method of acquisition--Gift; Date of acquisition--02/26/2001. Accession number--M-01-02-26.

Gift of Hilda Harding of the Securities and Exchange Commission, 2001. Accessioned by Patrick Lawlor on Feb. 26, 2001. Addition donated by Arthur Levitt Jr., accessioned by Patrick Lawlor on Aug. 29,2002 (accession no. 2002/2003-05)

About the Finding Aid / Processing Information

Columbia University Libraries, Rare Book and Manuscript Library

Processing Information

Papers Processed JG/HR 07/12/2002. First installment (22 linear feet in 34 boxes) was processed by Jane Gorjevsky, Summer 2002. The additions were processed and integrated into the collection by Jane Gorjevsky, Spring 2003.

Revision Description

2010-02-16 Legacy finding aid created from Pro Cite.

2019-05-20 EAD was imported spring 2019 as part of the ArchivesSpace Phase II migration.

Subject Headings

The subject headings listed below are found in this collection. Links below allow searches at Columbia University through the Archival Collections Portal and through CLIO, the catalog for Columbia University Libraries, as well as ArchiveGRID, a catalog that allows users to search the holdings of multiple research libraries and archives.

All links open new windows.

Genre/Form

Heading "CUL Archives:"
"Portal"
"CUL Collections:"
"CLIO"
"Nat'l / Int'l Archives:"
"ArchivedGRID"
Articles Portal CLIO ArchiveGRID
Audiotapes Portal CLIO ArchiveGRID
Certificates Portal CLIO ArchiveGRID
Memorandums Portal CLIO ArchiveGRID
Notes (documents) Portal CLIO ArchiveGRID
Photographs Portal CLIO ArchiveGRID
Reports Portal CLIO ArchiveGRID
Speeches (documents) Portal CLIO ArchiveGRID
Videotapes Portal CLIO ArchiveGRID

Subject

Heading "CUL Archives:"
"Portal"
"CUL Collections:"
"CLIO"
"Nat'l / Int'l Archives:"
"ArchivedGRID"
American Stock Exchange Portal CLIO ArchiveGRID
Civil service Portal CLIO ArchiveGRID
Hayden, Stone & Co. Portal CLIO ArchiveGRID
Levitt, Arthur, 1900-1980 Portal CLIO ArchiveGRID
National Endowment for the Arts Portal CLIO ArchiveGRID
New York City Economic Development Corporation Portal CLIO ArchiveGRID
Polytechnic Preparatory Country Day School Portal CLIO ArchiveGRID
Securities industry -- Law and legislation Portal CLIO ArchiveGRID
Stockbrokers Portal CLIO ArchiveGRID
United States. Securities and Exchange Commission Portal CLIO ArchiveGRID
Williams College Portal CLIO ArchiveGRID

History / Biographical Note

Biographical / Historical

Levitt, the 25th Chairman of the U.S. Securities and Exchange Commission, was first appointed by President Clinton in July of 1993 and reappointed to a second five-year term in May of 1998. The longest serving Chairman in the history of the Commission, Arthur Levitt retired from the SEC on Feb. 9th 2001.

The SEC is an independant, nonpartisan, quasijudicial regulatory agency with responsibility for administering the federal securities laws. The purpose of these laws is to protect investors in securities markets that operate fairly and to ensure that investors have access to disclosure of all material information concerning publicly traded securities. The Commission also regulates firms engaged in the purchase or sale of securities, people who provide investment advice, and investment companies. Five Commissioners sit on the SEC with one designated as chairman by the President of the United States.

Key successes of Levitt's first term include reforming the debt markets, improving broker sales and pay practices, promoting the use of plain English in investment literature as well as in SEC communications with the public, preserving the independence of the private sector standard setting process, ensuring the independence of accountants, and encouraging foreign companies to list on U.S. markets.

During Chairman Levitt's tenure, the SEC established the Office of Investor Education and Assistance and created the SEC's World Wide Web site, one of the most popular on the internet, which allows the SEC to make all corporate filings available to the public free of charge. Chairman Levitt has been supportive of high-tech and online securities trading. He supported passage of both the Securities Litigation Uniform Standards Act in 1998 and the Private Securities Litigation Reform Act in the 104th Congress. These bills are designed to reduce the number of frivolous class action lawsuits brought primarily against high tech companies in the computer, internet, and biotech industries.

Chairman Levitt has also sought to raise the industry's sales prectice standards and eliminate the conflicts of interest in how brokers are compensated. During his tenure at the SEC, Levitt worked to protect the interests of the individual investor, which manifested itself most clearly in the passage of Regulation FD. Regulation FD, which went into effect in October 2000, mandates that public companies must broadly disseminate material non-public information simultaneously to all investors. In the wake of Regulation FD, webcasting of company conference calls and other investment events has emerged as one of the most efficient and effective ways companies can help immunize themselves against potential selective disclosure issues.

The SEC has worked to sever ties between political campaign contributions and minicipal underwriting business, a practice known as pay-to-play, as well as improving the disclosure and transparency of the municipal bond market. Chairman Levitt tried to introduce rules barring CPA firms from providing consulting services to their audit clients, believing that consulting feed offer an unhealthy temptation to professional services firms that conduct certified audits. Levitt's initiatives were ment with a determined lobbying effort by the accounting industry. Eventually Levitt was forced to water down his proposals and he accepted a requirement that made companies disclose the dollar amount of the audit and consulting fees that they pay.

The Commission, together with the industry, has developed the Profile Prospectus and other plain English guidelines for investment products in an effort to make disclosure documents easier to understand without compromising the value of the information provided to investors.

Before joining the Commission, Mr Levitt owned Roll Call, a newspaper that covers Capitol Hill. From 1989 to 1993, he served as the Chairman of the New York City Economic Development Corporation. And from 1978 to 1989, he was the Chairman of the American Stock Exchange. Prior to joining the American Stock Exchange, Mr Levitt worked on Wall Street for 16 years, serving as a president for Carter Berlind & Weill and Shearson Hayden Stone, Inc. He graduated Phi Beta Kappa from Williams College in 1952 before serving for two years in the Air Force.

External users and Columbia affiliates may view materials on-site at RBML. Due to COVID-19 restrictions, only Columbia affiliates may view materials on-site at Avery, Starr, and Burke. After clicking 'Submit Request', users will login with their UNI and password (Columbia affiliates) or their special collections account (external users). Appointments are required and will be arranged according to each individual repository's policy.


Series I: Cataloged Correspondence

Original letters to Levitt from US congressmen and US and foreign government members.



Box 1 Folder 1 Bowles, Erskine B. Chief of Staff to the US President to: Arthur Levitt, Jr., Washington, DC, Dec. 18, 1996; Nov. 21, 1997, 1p. t.l.s. with ms. note, 1p. a.c.s.


Box 1 Folder 2 Bush, George H. W. US President to: Arthur Levitt, Jr., Washington, DC; Houston, TX, Sep. 27, 1991; Dec. 14, 1998, 2 t.l.s.


Box 1 Folder 2A Carter, Jimmy US President to: Arthur Levitt, Jr., Washington, DC, Oct. 13, 1978, 1p. t.l.s.


Box 1 Folder 3 Clinton, Bill US President to: Arthur Levitt, Jr., Washington, DC, Feb. 1998 - Jan. 2001, 3 t.l.s.


Box 1 Folder 4 Coelho, Tony to: Arthur Levitt, Jr., n.p., Feb. 23, 1995, 1p. a.c.s.


Box 1 Folder 5 Cohen, William US Secretary of Defense to: Arthur Levitt, Jr., Washington, DC, Jul. 14, 1998, 1p. t.l.s.


Box 1 Folder 6 Collins, Susan M. US Senate (R - ME) to: Arthur Levitt, Jr., Washington, DC, Jan. 22, 2001, 1p. a.c.s.


Box 1 Folder 7 Cox, Christopher US House of Representatives (R - CA) to: Arthur Levitt, Jr., Washington, DC, Apr. 10, 1996, 1p. t.l.s.


Box 1 Folder 8 D'Amato, Alphonse US Senate (R - NY) to: Arthur Levitt, Jr. - Subpoena for Whitewater Investigation, Washington, DC, Oct. 26, 1995, 3p. t.l.s. (faximile)

[Subpoena attachment is also signed by Sarbanes, Paul]


Box 1 Folder 9 Daschle, Thomas. U. S. Senate (D - SD) to: Arthur Levitt, Jr., Washington, DC, Mar. 6, 1999, 1p. a.c.s.

[Photocopy of Levitt's reply enclosed]


Box 1 Folder 10 Dingell, John D. US House of Representatives (D - MI) to: Arthur Levitt, Jr., Washington, DC, n.d. - Dec. 7, 2000, 4 a.c.s.

[News Clippings enclosed]


Box 1 Folder 11 Dinkins, David N. Mayor, New York City to: Arthur Levitt, Jr., New York, NY, Dec. 16, 1993, 1p. t.l.s.


Box 1 Folder 12 Dodd, Christopher J. US Senate (D - CT) to: Arthur Levitt, Jr., Washington, DC, Sep. 8, 1993; Mar. 24, 1999, 2 a.l.s.


Box 1 Folder 13 Donaldson, William H. New York Stock Exchange, Chairman to: Arthur Levitt, Jr., New York, NY, May 26, 1995, 1p. a.l.s.

[US SEC Chairman since Jan. 2003]


Box 1 Folder 14 Domenici, Pete V. US Senate (R - NM) to: Arthur Levitt, Jr., Washington, DC, Nov. 28, 1995, 1p. t.l.s. with ms. note


Box 1 Folder 15 Eshoo, Anna G. US House of Representatives (D - CA) to: Arthur Levitt, Jr., Washington, DC, Jul. 1996 - Oct. 1998, 2 a.l.s., 1p. t.l.s., 1 a.c.s.


Box 1 Folder 16 Ewing, Thomas W. US House of Representatives (R - IL) to: Arthur Levitt, Jr., Pontiac, IL, Dec. 22, 2000, 1p. t.l.s.


Box 1 Folder 17 Faircloth, Lauch US Senate (R - NC) to: Arthur Levitt, Jr., Washington, DC, Mar. 15, 1994; Jan. 19, 1995, 2 t.l.s.


Box 1 Folder 18 Fields, Jack US House of Representatives (R - TX) to: Arthur Levitt, Jr., Washington, DC, Jan. 12, 1995, 1p. t.l.s.


Box 1 Folder 19 Ford, Gerald R. US President to: Arthur Levitt, Jr., n.p., Aug. 25, [n.y.], 1p. a.l.s.


Box 1 Folder 20 Ginsburg, Ruth Bader Supreme Court of the US to: Arthur Levitt, Jr., Washington, DC, Oct. 12, 1995, 1p. t.l.s.

[enclosed:letter from A. Levitt to: Payne, Hank, President, Williams College, Williamstown, MA]


Box 1 Folder 20 Levitt, Arthur Jr. US SEC to: Payne, Hank, President, Williams College, Williamstown, MA, Washington, DC, Oct. 17, 1995, 1p. t.l.s.

[re: Judge Ginsburg Letter of Oct. 12, 1995 - filed under Ginsburg]


Box 1 Folder 21 Gore, Al US Vice President to: Arthur Levitt, Jr., Washington, DC, Jun. 23, 1997, 1p. t.l.s.


Box 1 Folder 22 Hatch, Orrin US Senate (R - UT) to: Arthur Levitt, Jr., Washington, DC, Sep. 11, 1995, 1p. t.l.s.


Box 1 Folder 23 Kennard, William E. Federal Communication Commission (FCC), President to: Arthur Levitt, Jr., Washington, DC, Oct. 29, 2000, 1p. a.c.s.


Box 1 Folder 24 Kerry, John F. US Senate (D - MA) to: Arthur Levitt, Jr., Staten Island, NY, Sep. 19, n.y., 2p a.l.s.


Box 1 Folder 25 Lackritz, Mark E. Securities Industry Association (SIA), president to: Arthur Levitt, Jr., n.p. [Washington, DC], Jan. 1995 - Nov. 1999, 3 a.c.s., 1p. t.l.s. (on cardboard backing), 1 t.d. (faximile)

[Typed letter also signed by Zuckenberg, Roy J., SIA Chairman. Enclosed faximile of SIA board of Directors resolution commending Levitt.]


Box 1 Folder 26 Largent, Steve US House of Representatives (R - OK) to: Arthur Levitt, Jr., n.p., n.d., 1p. a.l.s.



Box 59 Folder 1-3 Morrow, Carol files on Arthur Levitt (correspondence and articles), 2002-2004



Box 1 Folder 27 Murray, Patty US Senate (D - WA) to: Arthur Levitt, Jr., Washington, DC, Mar. 29, 1995, 1p. t.l.s.


Box 1 Folder 28 Panetta, Leon White House Chief of Staff to: Arthur Levitt, Jr., Washington, DC, Oct. 28, 1994, 1p. t.l.s.


Box 1 Folder 29 Rainer, William J. US Commodity Futures Trading Commission to: Arthur Levitt, Jr., Washington, DC, Sep. 10, 1999, 1p. a.l.s.


Box 1 Folder 30 Richardson, William US Secretary of Energy to: Arthur Levitt, Jr., Washington, DC, Dec. 26, 2000, 1p. t.l.s.


Box 1 Folder 31 Reich, Robert Biff, Secretary of Labor to: SEC Chairman (Skip Hayward), Washington, DC, Sep. 10, 1996, 1p. t.l.s., 1p. t.l.s.(copy)

[photocopy of Levitt's reply (Sep. 19, 1996) enclosed]


Box 1 Folder 32 Riegle, Donald W., Jr. US Senate (D - MI) to: Arthur Levitt, Jr., Washington, DC, Jan. 21, 1994, 2p. a.l.s.


Box 1 Folder 33 Sheng, Andrew Securities and Futures Commission, Chairman to: Arthur Levitt, Jr., Hong Kong, Sep. 20, 2000, 1p. t.l.s.


Box 1 Folder 34 Stevens, Ted US Senate (R - AK) to: Arthur Levitt, Jr., Washington, DC; AK, Sep. - Dec. 2000, 1p. t.l.s. with ms. note, 1p. t.l. (dictated), 1p. 1, a.c.s.


Box 1 Folder 35 Udall, Mark E. US House of Representatives (D - CO) to: Arthur Levitt, Jr., Washington, DC, Oct. 25, [2000], 1p. a.l.s., 1p. clipping

[Enclosed photocopy of congressional remarks]


Box 1 Folder 36 Levitt, Arthur Jr. Carter. Berlind & Weill, Inc. to: Wilson, Joseph C., Chairman of the Board, Xerox Corporation, New York, NY, Sep. 27, 1966, 2p. t. l.

[re: A. Levitt Sr. re-election campaign]


Box 1 Folder 36 Wilson, Joseph C. Xerox Corporation to: Arthur Levitt, Jr., Rochester, NY, Oct. 5, 1966, 1p. t.l.s.

[re: A. Levitt Sr. re-election campaign]

Series II: Arranged Correspondence


Subseries II.1: Originals

includes some emails and faximiles. Most correspondence from SEC Correspondence 1993 - 2001scrapbook. Anonimous correspondence filed first.


Box 1 Folder 37 Anderson, Joseph F.; Koppes, Richard - see Aronson, Tracey; [Athis], Paul; Bachman, John W.; Baird, Brent D.; Baker, William; Barr, Clifford; Barry, Grace; Blackmore, Robert L.; Blair, Warren E.; Brodsky, William J.; Brophy, Raymond C.; Brown, David A.; Callaway, Howard H.; Clarkson, James A.; Carey, Paul A.; Catell, Robert B; Cogan, Marshall S.; Critchlow, Paul W.; Damson, Barry; Davidson, Joan; Degenhardt, Harold F.; Derderian, James E.; Dibble, Edward T.; Dilenschneider, Robert L; Dulski, Walter; Edelman, Stanley; Emmott, William; Evans, Carol; Evans, Thomas W.; Fields, Harvey J; Figueres, Muni; Forbes, Malcolm S. (Steve); Fink, Matthew P.; Friedland, Rhoda; Glassman, Mary; Goldin, Harrison J.; Goldsmith, Margie; [Greenbaum], Teddy; Groves, Ray J.; Guggenheim, Charles; Haskell, Janelle; Herman, James A.; [Jores], Michael; Komives, Michael; [Krongard, A. B.] Buzzy Automatic Data Processing - see Weston, Josh S.; Brooklyn Union - see Catell, Robert B; Center for Working Capital - see Tarbox, Monte; Chicago Mercantile Exchange - See Brodsky, William J; Consumer Federation of America - see Metzenbaum, Howard M; Coopers & Lybrand - see McKinney, James E.; Council for Institutional Investors - see Teslik, Sarah; The Economic Club of Chicago - see Barry, Grace; The George Washington University - see Trachtenberg, Stephen Joel; Investment Company Institute - see Fink, Matthew P. General: A - K


Box 1 Folder 38 La Ganga, Charles; Lord, Sandra; Linton, R. E.; Lorne, Simon M; Lufkin, Dan W.; McKane, David B.; McKinney, James E.; McLucas, William R.; Madoff, Bernard L; Madoff, Peter B.; Manley, John M.; Mathisen, Tyler; Metzenbaum, Howard M; Martin, David - see Aronson, Tracey; Minow, Newton N.; Morse, William E.; Nemser, Earl; Nowicki, Elizabeth; Olson, John F.; Payne, Harry C.; Petchesky, Harry J.; Pottruck, David S.; Quinn, Linda C.; Reed, William S.; Rogers, William; Rubinstein, Peter J.; Ruder, William; Scardino, Jennifer; Schadt, James P.; Schlosser, Alfred M.; Schwartz, Robert; Segal, Martin E.; Silverstone, Leslie J.; Smythe, Marianne K.; Sobel, Ronald B.; Sole, Kelly Ann; Sommer, A. A. Jr.; Stanton, Frank; Stone, J. Jacques; Spatz, Theodore; Summers, Laurence; Tarbox, Monte; Teslik, Sarah; Tolleris, Bea; Trachtenberg, Stephen Joel; Walker, Richard H.; Weisbrod, Carl; Wang, [Leo]; Weston, Josh S.; Wilpon, Fred; Woolf, Harry. Los Angeles Times - see Sole, Kelly Ann; Merrill Lynch & Co. - see Critchlow, Paul W.; Ontario Securities Commission - see Brown, David; Poly Prep School - see Petchesky, Harry J.; Salomon Brothers, Inc - see Lorne, Simon; Charles Shwab & Co - see Pottruck, David S.; VEBA; Wellesley College - see Reed, William S.; Williams College - see Payne, Harry C.; General: L - Z


Box 1 Folder 39 Andreesen, Matthew; Augustine, Norman A.; Balamaci, Nick; Beard, Sam; Beresford, Dennis R.; Bialkin, Kenneth J.; Bloch, Robert W.; Blaskovich, Fred; Brennan, John J.; Brinkley, James W.; Buffett, Warren E.; Catto, Henry E.; Chin, Faye; Colson, Robert H.; Davies, Howard; Dilenschneider, Robert L.; Emerson, John B.; Fickling, William A., Jr.; Fleischer, Arthur; Goldmark, Peter C., Jr.; Gorman, D. J.; Hopkins, Karen B.; Hunter, David W.; Job, Peter; Kelley, Aloysius P.; Koski-Grafer, Susan; Kraft, Robert K.; Linowitz, Sol M.; Lowenstein, Lou; McDonough, William J.; McIntosh, Bill; McLendon, Heath B.; Malkin, Peter L.; Mikva, Abner J.; Muis, Jules W.; Nemser, Earl; Newman, Fred; Olson, John; Perlman, Jay; Reese, James R.; Ross, Alan; Ross, Richard S.; Schneiderman, Irwin; Schwab, Richard L.; Seligman, Joel; Senatore, Charles V.; Sollazzo, Bob; Steinbrenner, George M, III; Stern, Walter P.; Stevens, Rick; Sturner, William; Sowan, Richard J.; Stalcup, Steve; Till, John G.; Williams, Harold M.; Willmott, Peter S.; Zarr, Gary; Zelinka, Robert. Wall Street Journal Levitt's Resignation from SEC

[Original correspondence removed from scrapbook of the same name, replaced by photocopies.]



Box 59 Folder 1-3 Carol Morrow files on Arthur Levitt (correspondence and articles), 2002-2004


Box 59 Folder 4 Correspondence, 2002-2004


Subseries II.2: Congressional photocopies.

These materials were part of additions, donated by A. Levitt in 2002. Photocopies of SEC chairman correspondence with members of US Senate and US House of Representatives. Fisrt folder contains index for this subseries. Subject files, arranged alphabetically by policy topic. Also includes transcripts of congressional hearings and background materials.



Box 1 Folder 40 Complete Index, 1993 - 2001


Box 1 Folder 41 Bayh, Evan; Bennett, Robert F; Biggert, Judy; Bliley, Tom; Campbell, Tom; Chabot, Steve; Crane, Phillip; Crapo, Mike; Dingell, John D.; Dodd, Christopher J; Doyle, Mike; Enzi, Michael; Fowler, Tille K; Frank, Barney; Gejdenson, Sam; Grams, Rod; Isakson, Johnny; Johnson, Tim; Kanjorski, Paul E.; Latoure[...], Steven C.; Minge, David; Mink, Patsy T.; Obey, David; Oxley, Michael G.; Pitts, Joseph R; Ros-Lehtinen, Ileana; Sawyer, Thomas; Shays, Christopher; Tauzin, Billy; Torricelli, Robert; Towns, Edolphus; Voinovich, George V.; Wayne, Allard; Auditors Independence + index, 2000


Box 1 Folder 42 Baker, Richard H.; Bliley, Thomas J.; Gram, Phil; Greenwood, James C.; Kennedy, Edward M.; Kerry, John F.; Leach, James A.; Wyden, Ron. Banking Reform (Glass-Seagal Act; Gramm-Leach-Bliley bill), 1994 - 2000



Box 1A Folder 1 Bliley, Thomas J.; Burton, Dan; Dingell, John D.; Dreier, David; Fossella, Vito J.; Gramm, Phil; Livingson, Bob; Manton, Thomas; Markey, Edward J; Oxley, Michael G.; Schumer, Charles E.; Stevens, Ted; Thomas, William M; Thompson, Fred; Towns, Edolphus; Decimalization + index, 1997 - 2000


Box 1A Folder 2 Bliley, Thomas J.; Dingell, John D.; Gore, Al; Gramm, Phil; Lasio, Rick; Markey, Edward J; Pressler, Larry; EDGAR - SEC Electronic Data Gathering Analysis and Retrieval System + index, 1993 - 1998


Box 1A Folder 3 Burton, Dan Mutual Funds, Feb. 2000


Box 1A Folder 4 Dingell, John D.; Markey, Edward J; Obey, David R.; Serrano, Jose E.; Towns, Edolphus; Pay Parity (H. R. 2441), Oct. 2000


Box 1A Folder 5 D'Amato, Alphonse M; Dingell, John D.; Gramm, Phil; Markey, Edward J; Moseley-Braun, Carol; Wyden, Ron; Pay-to-Play in Municipal Bonds Market + Index, 1993 - 2000


Box 1A Folder 6 Bliley, Thomas J.; Dingell, John D.; Fields, Jack; Greenwood, James; Hall, Ralph; Santorum, Rick; Saxton, Jim; Stevens, Ted; Payment for Order Flow/Order Handling Rules + index, 1995 - 2000


Box 1A Folder 7 - 8 Burton, Dan; Cohen, William S.; D'Amato, Alphonse M; Dingell, John D.; Dodd, Christopher J; Dorgan, Byron L; Fields, Jack; Gillmor, Paul E.; Gore, Al; Markey, Edward J; Oxley, Michael G.;Riegle, Donald W.; Synar, Mike; Plain English, 1993 - 2000



Box 1B Folder 1 Breeden, Richard C.; Cohen, William S.; Dingell, John D.; Division of Investment Management Plain English - correspondence of Richard C. Breeden, SEC Division of Investment Management


Box 1B Folder 2 Eshoo, Anna G.; Frank, Barney Regulation FD / Selective Disclosure, Jul. - Dec. 2000


Box 1B Folder 3 Bliley, Thomas J.; D'Amato, Alphonse M; Dingell, John D.; Fields, Jack;Schenk, Lynn; Wyden, Ron Securities Litigation Reform, 1994 - 1998


Box 1B Folder 4 - 5 Abraham, Spencer; Armey, Dick; Baker, Richard; Bayh, Evan; Bennett, Robert; Bilbray, Brian; Blunt, Roy; Bliley, Thomas J.; Boren, David; Bunning, Jim; Burr, Richard; Cox, Christopher; Crapo, Mike; Crowley, Joseph; Cubin, Barbara; Davis, Tom; Deal, Nathan; Deutsch, Peter; Dingell, John D.; Dooley, Cal; Dunn, Jennifer; Eshoo, Anna G.; Fossella, Vito J.; Fowler, Tillie; Gillmor, Paul E.; Gonzalez, Charles A.; Goodlatte, Bob; Gramm, Phil; Grams, Rod; Greenwood, James; Hagel, Charles; Houghton, Amo; Jeffords, James; Kind, Ron; Lieberman, Joseph; McCarthy, Carolyn; McCrerey, James; Maloney, Jim; Markey, Edward J; Moran, Jim; Myrick, Sue; Norwood, Charles W.; Oxley, Michael G.; Pickering, Charles W.; Pryce, Deborah; Roemer, Tom; Sanders, Bernard; Sandlin, Max; Santorum, Rick; Schumer, Charles; Shelby, Richard; Shimkus, John; Smith, Adam; Tauscher, Ellen; Tauzin, Billy; Torricelli, Robert; Towns, Edolphus; Udall, Mark; Upton, Fred; Waxman, Henry; Wayne, Allard; Wilson, [...]; Standards (FASB, independence), 1994 - 2000

[Index in folder 1 - 41]


Box 1B Folder 6 Bennett, Robert F; D'Amato, Alphonse M; Dingell, John D.; Dodd, Christopher J.; Horn, Stephen; Morella, Connie. Year 2000 Compliance, 1997 - 1999


Box 1B Folder 7 US Senate Committee on Banking, Housing and Urban Affairs Hearing Transcript - S. 1815, Jan. 5, 1996


Box 1B Folder 8 US House of Representatives Hearing Transcript - H. R. 3005, Jun. 18, 1996


Box 1B Folder 9 US Senate Committee on Banking, Housing and Urban Affairs Hearing Transcript - Market Circiut Breakers, Jan. 29, 1998


Subseries II.3: SEC Copy Correspondence

Series consists of photocopies of incoming and outgoing correspondence of Levitt as a SEC chairman. Letters are in original order - cronological (by outgoing correspondence) with threads grouped together. Thus incoming letters are usually filed immediately following the corresponding outgoing reply. In some cases incoming letters are filed both separately under their original arrival date and after the response. Correspondence, both external and internal, often includes lengthy attachments. Series is indexed by last name. (see SEC Correspondence Index) People referred to by their first name only are not indexed. Attachments, including enclosed letters to/from third parties are not indexed.


Box 1B Folder 10 Congratulations on Confirmation, Jul. - Oct. 1993



Box 1C Folder 1 Responses to Congratulations on Confirmation, Jul. - Oct. 1993


Box 1C Folder 2 Congratulations on Re-nomination and the Longest Service, 1998 - 1999


Box 1C Folder 3 Undated correspondence and fragments, 1993 - 2000


Box 1C Folder 4 Personal File, 1993 - 2000


Box 1C Folder 5 Jul. 1993 - Dec. 1994

[Aug. 1993 - Feb. 1995 formerly Box 1, folders 25 - 28]


Box 1C Folder 6 - 7 Jan. 1995


Box 1C Folder 8 - 10 Feb. 1995



Box 2 Folder 1 - 4 Mar. 1995 - Apr. 1995



Box 3 Folder 1 - 5 May 1995 - Sep. 1995



Box 4 Folder 1 - 6 Oct. 1995 - Jan. 1996



Box 5 Folder 1 - 5 Feb. 1996 - Jun. 1996



Box 6 Folder 1 - 6 Jul. 1996 - Dec. 1996



Box 7 Folder 1 - 5 Jan. 1997 - Apr. 1997



Box 8 Folder 1- 6 May 1997 - Oct. 1997



Box 9 Folder 1 - 6 Nov. 1997 - Apr. 15, 1998



Box 10 Folder 1 - 7 Apr. 16, 1998 - Oct. 1998



Box 11 Folder 1 - 9 Nov. 1998 - Jul. 1999



Box 12 Folder 1 - 9 Aug. 1999 - Apr. 2000



Box 13 Folder 1 - 9 May 2000 - Jan. 2001


Box 13 Folder 10 SEC Kids Party Thank You notes, Jan. 22, 2001

Series III: Speeches and Testimonies


Subseries III.1: SEC Speeches

Computer printouts of speeches, delivered by A. Levitt Jr. during his SEC tenure.



Box 14 Folder 1 Speeches' Index, 1993 - 2000


Box 14 Folder 2 Remarks by Levitt on the Occasion of His Swearing In, Washington, DC, July 27, 1993


Box 14 Folder 2 Opening Remarks, Concerning Executive Compensation Disclosure at the Public Meeting of the Commission, Washington, DC, August 6, 1993


Box 14 Folder 2 Opening Remarks, Regarding the Adoption of Amendments to the Net Capital Rule, before US SEC, Washington, DC, August 11, 1993


Box 14 Folder 2 Remarks at the 12th Annual SEC Government-Business Forum on Small Business Capital Formation, Washington, DC, September 9, 1993


Box 14 Folder 2 Comments on the FASB, September 10, 1993


Box 14 Folder 2 Welcoming Remarks at the Penny Stock Meeting, September 20, 1993


Box 14 Folder 2 Opening Remarks, Concerning Rules to Implement the Energy Policy Act of 1992 at the Public Meeting of US SEC, Washington, DC, September 22, 1993


Box 14 Folder 2 Protecting the American Investor: A New Partnership - Remarks at the Fall Conference of the North American Securities Administrators Association (NASAA) , Orlando, FL, September 29, 1993


Box 14 Folder 2 Talking Points for Daimler-Benz dinner, October 4, 1993


Box 14 Folder 2 Opening Statement of at the US SEC Open Meeting, Washington, DC, October 6, 1993


Box 14 Folder 2 Talking Points for MSRB Meeting pay to play, October 13, 1993


Box 14 Folder 2 CFC Kickoff Statement, October 18, 1993


Box 14 Folder 2 Statements on Pay-to-Play in the Municipal Securities markets, October 18, 1993


Box 14 Folder 2 Toward a New Global Partnership: Integrity, Stability and Opportunity -Remarks at the 1993 Annual Conference of the International Organization of Securities Commissions, Mexico City, Mexico, October 26, 1993


Box 14 Folder 2 Opening Statement at the US SEC Open Meeting, Washington, DC, November 3, 1993


Box 14 Folder 2 Remarks before the NASD, Washington, DC, November 12, 1993


Box 14 Folder 2 Opening Statement at the US SEC Open Meeting, Washington, DC, November 17, 1993


Box 14 Folder 2 Opening Statement - Amendments to Executive Compensation Disclosure Rules at the US SEC Open Meeting, Washington, DC, November 22, 1993


Box 14 Folder 2 Opening Remarks at the Public Meeting of the US SEC, Washington, D.C, December 15, 1993


Box 14 Folder 2 SEC in 1994 on the Threshold of the Twenty-First Century. Prudential Securities Statement. Disclosure Statement. Opening Statement - Amendments to the NASD's Small Order Execution System at the US SEC Open Meeting, December 22, 1993


Box 14 Folder 3 Remarks: Bond Buyer Conference, New York, NY, January 24, 1994


Box 14 Folder 3 Remarks: Private Litigation Under the Federal Securities Laws at Securities Regulation Institute, The University of California, San Diego Coronado, CA, January 26, 1994


Box 14 Folder 3 Remarks: Financing Growth in the 90's: The SEC's Perspective at Swiss-American Chambers of Commerce, Zurich, Switzerland, January 31, 1994


Box 14 Folder 3 Opening Remarks at Public Meeting of the SEC: Rule Proposal, Trading Systems, February 9, 1994


Box 14 Folder 3 Remarks at American Chamber of Commerce, Frankfurt, Germany, February 28, 1994


Box 14 Folder 3 Remarks for National Association of State Treasurers, Washington, DC, March 2, 1994


Box 14 Folder 3 Remarks at Public Securities Association Annual Meeting, Orlando, FL, March 4, 1994


Box 14 Folder 3 Opening Statement: Municipal Securities Disclosure, March 9, 1994


Box 14 Folder 3 Keynote Address for Consumer Federation of America, Washington, DC, March 10, 1994


Box 14 Folder 3 Opening Statement: Proposed Rules - Investment Advisers, March 16, 1994


Box 14 Folder 3 Remarks: Mutual Fund Directors: On the Front Line for Investors at Mutual Funds and Investment Management Conference, Scottsdale, AZ, March 21, 1994


Box 14 Folder 3 Remarks: Financial Writers Association, New York, NY, April 5, 1994


Box 14 Folder 3 Opening Statement: Open Meeting - Municipal Securities, April 6, 1994


Box 14 Folder 3 Talking Points at the Business Roundtable, Washington, DC, April 6, 1994


Box 14 Folder 3 Remarks before the American Bar Association, Washington, DC, April 8, 1994


Box 14 Folder 3 Opening Statement: Entry of Foreign Issuers Into the US Public Capital Markets, April 19, 1994


Box 14 Folder 3 Opening Statement: Concept Release: Trading Practices Rules, April 19, 1994


Box 14 Folder 3 Remarks: Amendments Regarding Wrap Fee Programs, April 19, 1994


Box 14 Folder 3 Remarks: Our Changing Municipal Bond Marketplace for National Association of Bond Lawyers, Washington, DC, May 6, 1994


Box 14 Folder 3 Remarks before Investment Company Institute Annual Conference, Washington, DC, May 18, 1994


Box 14 Folder 3 Remarks before the National Association of Securities Dealers, Inc. (NASD), May 19, 1994


Box 14 Folder 3 Opening Statement: SRO proposals at Open Commission Meeting, June 1, 1994


Box 14 Folder 3 Opening Statement: Proposals-Trading in the NASDAQ Market, June 29, 1994


Box 14 Folder 3 Remarks: Public Utilities Holding Company Act: 60 Years Later at The Willard Hotel, Washington, DC, July 18, 1994


Box 14 Folder 3 Securities Industry Associaton Remarks at the Annual Meeting of the SIA Sales and Marketing Committee, July 22, 1994


Box 14 Folder 3 Remarks: Public Meeting of the Securities and Exhange Commission, August 10, 1994


Box 14 Folder 3 Opening Remarks: Rating Agencies and Credit Ratings, August 31, 1994


Box 14 Folder 4 Remarks: Market Structure and Market Regulation: The SEC Prepares for the 21st Century at ABA Capital Markets Symposium, Chantilly, VA, September 16, 1994


Box 14 Folder 4 Talking Points, Kronberg, Germany, September 21, 1994


Box 14 Folder 4 Remarks: Mutual Fund Directors and Investor Advocates at Investment Company Directors Conference, Washington, DC, September 23, 1994


Box 14 Folder 4 Opening Statement: Open Meeting - Proposals, Limit Order Protection Rule for NASDAQ/NMS Market and Adoption Rule for Payment for Order Flow, September 27, 1994


Box 14 Folder 4 Remarks at the Financial Executives Institute Conference, Washington, DC, October 5, 1994


Box 14 Folder 4 Remarks: Consumer Protection: Tips From an insider at Rotary Club of Chicago, Chicago, IL, October 11, 1994


Box 14 Folder 4 Remarks: Our Partnership for Consumer Protection at North American Securities Administration Association (NASAA) Conference, Boston, MA, October 12, 1994


Box 14 Folder 4 Opening Statement: Open Meeting - Proxy Rule IM., Concept Release CF, October 13, 1994


Box 14 Folder 4 Taking The Mystery Out Of The Marketplace - Remarks of SEC Insider before the National Press Club, October 13, 1994


Box 14 Folder 4 Remarks: Consumer Protection: Tips From and SEC Insider at Florida Atlantic University, Boca Raton, FL, October 14, 1994


Box 14 Folder 4 Remarks: Preventing Securities Fraud Against the Elderly: Tips from An SEC Insider before Florida Crime Prevention Association, October 14, 1994


Box 14 Folder 4 Remarks: Putting Investors Firstbefore International Organization of Securities Commission, Tokyo, Japan, October 19, 1994


Box 14 Folder 4 Opening Remarks: Concept Release IM., Proposing Release CF., Adopting Release CF., November 1, 1994


Box 14 Folder 4 Remarks at the Municipal Securities Rulemaking Board Annual Dinner, Washington, DC, November 3, 1994


Box 14 Folder 4 Remarks: The SEC Today: Putting Investors Firstbefore the Practicing Law Institute, New York, NY, November 3, 1994


Box 14 Folder 4 Opening Statement: Municipal Securities Proposals, November 10, 1994


Box 14 Folder 4 Remarks before the New York Chapter of the Arthritis Foundation, New York, NY, November 22, 1994


Box 14 Folder 4 Remarks: A More Perfect World: The Continuing Conversation Between the SEC and Wall Street before the Securities Industry Association, December 3, 1994


Box 14 Folder 4 Remarks: The SEC Today: Putting Investors First before Women in Housing and Finance, Washington, DC, December 6, 1994


Box 14 Folder 4 Remarks: Public Debt, Public Obligations: A Municipal Market for the 21st Century for Public Securities Association, New York, NY, December 8, 1994


Box 14 Folder 4 Opening Statement: Open Meeting - Financial Reporting for US and Foreign Companies, December 13, 1994


Box 14 Folder 4 Opening Statement: Rule Proposal CF. Financial Reporting for US and Foreign Companies, December 13, 1994


Box 14 Folder 4 Remarks: Consumer Protection: Tips From A SEC insider at L.A. Town Hall, Los Angeles, CA, December 14, 1994


Box 14 Folder 4 Remarks: Consumer Protection: Tips From a SEC insider at Albuquerque Marriott, Albuquerque, NM, December 16, 1994


Box 14 Folder 5 Between CAVEAT EMPTOR and CAVEAT VENDITOR: The Middle Ground of Litigation Reform Remarks at the 22nd Annual Securities Regulation Institute, January 25, 1995


Box 14 Folder 5 Remarks: Professional Standards: The Next Competitive Frontierat the New York Stock Exchange Ethics Conference, New York, NY, February 9, 1995


Box 14 Folder 5 Opening Statement: Hearing, February 13, 1995


Box 14 Folder 5 Remarks: Municipal Securities in the SpotlightNational Assoc. of State Treasurers 1995 Legislative Conference, Washington, DC, February 14, 1995


Box 14 Folder 5 Opening Statement: Proposed New Rule Making - Soft Dollarat [US SEC] Open Meeting, February 14, 1995


Box 14 Folder 5 Remarks: The United States and South Africa: A Partnership For Progress at the Signing Ceremony at the Financial Services Board, Pretoria, Republic of South Africa, March 2, 1995


Box 14 Folder 5 Remarks: Shareholder Interests as the Director's Touchstone at Directors' College, Stanford, CA, March 23, 1995


Box 14 Folder 5 Remarks, The SEC at 60at Council of Institutional Investors, Washington,DC, March 27, 1995


Box 14 Folder 5 Opening Statement: Open Meeting, Recommendation from Investment Management, March 28, 1995


Box 14 Folder 5 Remarks: The SEC at 60at Center for Strategic & International Studies Financial Markets Forum, Washington, DC, March 29, 1995


Box 14 Folder 5 Remarks: The SEC At 60at the National Legal Center For The Public Interest General Counsel Briefing, March 29, 1995


Box 14 Folder 5 Talking Points before the American Business Conference Membership Meeting, April 5, 1995


Box 14 Folder 5 Remarks: Mutual Fund Directors as Investor Advocates at the Second Annual Symposium For Mutual Fund Trustees and Directors, April 11, 1995


Box 14 Folder 5 Remarks: Investor Protection: Tips From An SEC Insider at Investor's Town Meeting, Lowes Anatole Hotel, Dallas, TX, April 11, 1995


Box 14 Folder 5 Remarks: Investor Protection- Tips From An SEC insider at Investor's Town Meeting, Houstonian Hotel, Houston, TX, April 12, 1995


Box 14 Folder 5 Remarks: The SEC at 60 before The Dallas Friday Group And the Greater Dallas Chamber of Commerce, Lowes Anatole Hotel, Dallas, TX, April 12, 1995


Box 14 Folder 5 Remarks: Spotlight on Investors: The SEC's Agenda for 1995 Before The Society of American Business Editors and Writers, May 1, 1995


Box 14 Folder 5 Opening Statement: Open Meeting - T+3 Settlement Schedule, May 10, 1995


Box 14 Folder 5 Remarks: The SEC And The Mutual Fund Industry: An Enlightened Partnershipbefore the Investment Company Institute, May 19, 1995


Box 14 Folder 5 Remarks: Education Today for A Secure Retirement Tomorrowat TIAA-CREF Officer's Meeting, New York, NY, May 23, 1995


Box 14 Folder 5 Remarks at the Pojoaque High School Graduation, Pojoaque Pueblo, NM, May 27, 1995


Box 14 Folder 5 Remarks: The SEC At the Threshold Of A New Centuryat Conference of Chairmen of the Federal Reserve Banks, Washington,DC, May 31, 1995


Box 14 Folder 5 Remarks: Reform Efforts In Municipal Finance, Litigation and Banking: Progress and Prognosis before the Association of the Bar, City of New York, New York, NY, June 5, 1995


Box 14 Folder 5 Remarks: Public Funds and Public Trust At The Dawn of the Twenty-First Century before Government Finance Officers Association, Baltimore, MD, June 13, 1995


Box 14 Folder 5 Remarks: Small Business, Large Contribution at the White House Conference, Washington,DC, June 14, 1995


Box 14 Folder 5 Opening Statement: Public Utility Holding Company Act, June 20, 1995


Box 14 Folder 5 Opening Statement: Disclosure Process, June 27, 1995


Box 14 Folder 5 Opening Statement: Money Market Funds, July 19, 1995


Box 14 Folder 6 Remarks: SEC Edgar Technology Conference, August 14, 1995


Box 14 Folder 6 Remarks: Public Funds and Public Obligations before Municipal Treasurer's Association of the US and Canada, Spokane, WA, August 16, 1995


Box 14 Folder 6 Remarks: Investor Protection - Tips From An SEC Insider before National Association of Investors Corporation, Nashville, TN, August 27, 1995


Box 14 Folder 6 Taking Points before the Virginia SIA Board of Directors, September 19, 1995


Box 14 Folder 6 Opening Statement: The State of Minorities and Women in the Finance Industry before the National Association of Securities Professionals, Washington, DC, September 21, 1995


Box 14 Folder 6 Opening Statement: Opening Meeting, September 27, 1995


Box 14 Folder 6 Opening Statement: Opening Meeting, October 5, 1995


Box 14 Folder 6 Remarks: Public Trust and Public Funds before National Association of State Treasurers, Lake Tahoe, NV, October 16, 1995


Box 14 Folder 6 Remarks: Common Sense and Sacred Cows: SEC Self-Assessment Todayat the 34th Annual Corporate Counsel Institute, Chicago, IL, October 19, 1995


Box 14 Folder 6 Remarks: The SEC and the States: Toward a More Perfect Union at the North American Securities Administrators Association (NASAA) Conference, Vancouver, British Columbia, Canada, October 23, 1995


Box 14 Folder 6 Remarks: Investor Protection: Tips From a SEC insider at Town Meeting, Columbus, OH, October 30, 1995


Box 14 Folder 6 Remarks: Investor Education: Disclosure for the 1990s at the University of Virginia, Charlottesville, VA, November 1, 1995


Box 14 Folder 6 Remarks: The SEC Today before the Greater Boston Chamber of Commerce, Boston, MA, November 6, 1995


Box 14 Folder 6 Remarks: Investor Protection: Tips From and SEC Insider at Town Meeting, Boston, MA, November 6, 1995


Box 14 Folder 6 Remarks: Derivatives Use in the 1990s at the IDB/ISDA Conference, Washington, DC, November 9, 1995


Box 14 Folder 6 Remarks: Cultural Change on Wall Street: The Race to the Top before the Securities Industry Association, Boca Raton, FL, November 10, 1995


Box 14 Folder 6 Remarks: Investor Protection: Tips From and SEC Insider at Town Meeting, Washington, DC, November 15, 1995



Box 15 Folder 5 Remarks: The Future For America's Investors - Their Rights and Obligations at Investors Town Hall Meeting, Philadelphia, PA, January 16, 2001


Box 15 Folder 1 Remarks: Final Thoughts On Litigation Reform at the Financial Executives Institute, San Diego, CA, January 24, 1996


Box 15 Folder 1 Remarks: Speeding Up Settlement: The Next Frontierat the Symposium on Risk Reduction in Payments, Clearance and Settlement Systems, New York, NY, January 26, 1996


Box 15 Folder 1 Remarks: Public and Public TrustCalifornia Society of Municipal Finance Officers, Burbank, CA, February 26, 1996


Box 15 Folder 1 Opening Statement : Open Meeting - Report of the Task Force on Disclosure Simplification, March 5, 1996


Box 15 Folder 1 Remarks: Joint Meeting with Treasury Secretary Rubin, March 12, 1996


Box 15 Folder 1 Remarks: Our Partnership To Improve Practices Before the Securities Industry Association's Compliance and Legal Division, Palm Desert, CA, March 18, 1996


Box 15 Folder 1 Remarks: The SEC Today: An Accent On Individual Investors Before the Public Pension Investment Policy Conference, New York, NY, March 20, 1996


Box 15 Folder 1 Opening Statement: Amendments to Rule 2-A-7, March 21, 1996


Box 15 Folder 1 Remarks: Shareholders Interests as the Director's Touchstone at the Directors' College, Stanford Law School, Palo Alto, CA, March 28, 1996


Box 15 Folder 1 Opening Statement: Open Meeting - Proposals for Trading Practices Rules, April 10, 1996


Box 15 Folder 1 Remarks : Public Funds, Public Obligations at International Municipal Lawyers Association, Washington, DC, April 15, 1996


Box 15 Folder 1 Remarks : Public Trust and Public Obligations in the Municipal Bond Market at Municipal Forum, New York, NY, April 17, 1996


Box 15 Folder 1 Remarks: Investor Interests As The Common Interest: The SEC's Campaign For Fair Trading Practices at the Economic Club of Chicago, Chicago, IL, April 24, 1996


Box 15 Folder 1 Remarks: Market Oversight in the 1990s before the Public Securities Association, White Sulphur Springs, WV, April 26, 1996


Box 15 Folder 1 Remarks: Small Business Makes a Large Contribution at California Forum on Small Business Capital Formation, Los Angeles, CA, May 2, 1996


Box 15 Folder 1 Remarks before the National Federation of Municipal Analysts, Baltimore, MD, May 8, 1996


Box 15 Folder 1 Remarks: Investor Protection: Tip From an SEC insider at Investor's Town Meeting, New York, NY, May 15, 1996


Box 15 Folder 1 Remarks: Why Protect Investors? at Commonwealth Club, San Francisco, CA, May 17, 1996


Box 15 Folder 1 Remarks: From Security to Self-Reliance: American Investors in the 1990s before the Investment Company Institute, Washington, DC, May 22, 1996


Box 15 Folder 1 Opening Statement: Proposals from the Division of Corporation Finance, May 30, 1996


Box 15 Folder 1 Remarks: The Guardians of Financial Truth at Financial Reporting Institute, University of Southern California, Pasadena, CA, June 6, 1996


Box 15 Folder 1 Remarks: Investor Protection: Tips From an SEC insider at Investors' Town Meeting, Philadelphia, PA, June 11, 1996


Box 15 Folder 1 Remarks: Cora Annual Meeting, Washington, DC, June 20, 1996


Box 15 Folder 1 Remarks: Consumer Affairs Advisory Committee Meeting, July 22, 1996


Box 15 Folder 1 Opening Statement: Open Meeting - Registering Companies, July 24, 1996


Box 15 Folder 1 Statement Regarding the NASD at a US SEC Press Conference , Washington, DC, August 8, 1996


Box 15 Folder 1 Opening Statement Regarding Adoption of Order Execution Rules at an Open Meeting of the US SEC, Washington, DC, August 28, 1996


Box 15 Folder 1 Remarks: The SEC and NASAA: Working Together to Protect Investors before the North American Securities Administrators Association, Salt Lake City, UT, September 9, 1996


Box 15 Folder 1 Remarks: Small Business Makes a Large Contribution at Los Angeles Venture Association Town Meeting, Los Angeles, CA, September 13, 1996


Box 15 Folder 1 Remarks: Regulatory Response to Change at the International Organization of Securities Commissions, Montreal, Quebec, Canada, September 18, 1996


Box 15 Folder 1 Remarks: Investor Protection and Capital Formation: A False Dichotomyat the Columbia University Law School, New York, NY, September 26, 1996


Box 15 Folder 1 Remarks: U.S. Capital Markets: Open for Business at the U.S.-Italy Investment Conference, New York, NY, October 3, 1996


Box 15 Folder 1 Opening Statement on Corporate Finance Proposals at the Open Meeting of the SEC, Washington, DC, October 9, 1996


Box 15 Folder 1 Remarks: Small Business Makes a Large Contribution at the Small Business Town Meeting, Ft. Lauderdale, FL, November 6, 1996


Box 15 Folder 1 Remarks: A Good Year for the Markets, A Busy Year for the SEC before the SIA, Boca Raton, FL, November 7, 1996


Box 15 Folder 1 Remarks: Investor Protection: Tips From an SEC InsiderInvestors' Town Meeting, San Francisco, CA, November 18, 1996


Box 15 Folder 1 Remarks: A Good Year for the Markets, A Busy Year for the SEC before the Economic Club of Memphis, Memphis, TN, November 21, 1996


Box 15 Folder 1 Remarks: The Accountant's Critical Eye at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants (AICPA), Washington, DC, December 10, 1996


Box 15 Folder 1 Opening Statement: Open Meeting - Regulation M, December 18, 1996


Box 15 Folder 1 Opening Statement: Rulemaking Proposals to Implement Certain Provisions of the National Securities Markets Improvement Act of 1996, December 18, 1996


Box 15 Folder 2 Remarks: Changes in American Savings Habits and the SEC's Response at the Anti-Defamation League of B'Nai B'rith, Chicago, IL, January 15, 1997


Box 15 Folder 2 Remarks: Corporate Finance in the Information Age at the Securities Regulation Institute, San Diego, CA\, January 23, 1997


Box 15 Folder 2 Remarks: The Options Markets: A Cornerstone of U.S. Capital Markets Todayat the 13th Annual Risk Management Conference, Tucson, AZ, January 30, 1997


Box 15 Folder 2 Remarks: Investing Wisely: Tips From an SEC insider at the L.A. Times Investment Strategies Conference, Los Angeles, CA, February 23, 1997


Box 15 Folder 2 Remarks: Taking the Mystery Out of Mutual Funds at the Boston Citizens Seminar, Boston, MA, February 25, 1997


Box 15 Folder 2 Remarks: Values Add Value at the Trinity Church Tercentenary, New York, NY, March 18, 1997


Box 15 Folder 2 Remarks: Preserving Municipal Market Trust - The Road Ahead at the New York State Government Finance Officers Association, Albany, NY, March 21, 1997


Box 15 Folder 2 Remarks: Investing Wisely: Tips From an SEC insider at the Investors' Town Meeting, Hamden, CT, April 14, 1997


Box 15 Folder 2 Remarks: Corporate Connecticut and the Markets' Nest Millennium before the Connecticut Policy and Economic Council, Stamford, CT, April 14, 1997


Box 15 Folder 2 Remarks: Small Business Makes a Large Contribution at the Small Business Town Meeting, Richmond, VA, April 21, 1997


Box 15 Folder 2 Remarks: A Good Year for the Markets, A Busy Year for the SEC to the SIA Regional Firms Committee, Chicago, IL, May 6, 1997


Box 15 Folder 2 Remarks: CPAs and CEOs: A Relationship at Riskat the Economic Club Of Detroit, Detroit, MI, May 19, 1997


Box 15 Folder 2 Opening Statement: Concept Release on Exchange Regulation and Foreign Market Access to the United States at the Open Meeting of the SEC, Washington, DC, May 23, 1997


Box 15 Folder 2 Remarks: Lawyers And Ethics: The Problem of Pay-to-Playat the Fixed Income Daily Conference on Municipal Finance, Philadelphia, PA, June 26, 1997


Box 15 Folder 2 Remarks: Fulfilling the Promise of Disclosure at the American Savings Education Council, New York, NY, July 23, 1997


Box 15 Folder 2 Remarks: Investing Wisely: Tips From an SEC insider at the Investors' Town Meeting, Union Performing Arts Center, Tulsa, OK, August 4, 1997


Box 15 Folder 2 Remarks concerning pay-to-play to the American Bar Association, House of Delegates, San Francisco, CA, August 6, 1997


Box 15 Folder 2 Remarks: The Importance of High Quality Accounting Standards at the Inter-American Development Bank, Washington, DC, September 29, 1997


Box 15 Folder 2 Remarks: A Declaration of Accounting Independenceto The Conference Board, New York, NY, October 8, 1997


Box 15 Folder 2 Remarks: The Risks and Rewards of Technology to the International Federation of Stock Exchanges, New York, NY, October 13, 1997


Box 15 Folder 2 Welcoming Remarks to SEC's Consumer Affairs Advisory Committee, Washington, DC, October 14, 1997


Box 15 Folder 2 Remarks: A Renewed Precedent: The Securities Bar and the SEC to the Practicing Law Institute, 29th Annual Institute on Securities Regulation, November 6, 1997


Box 15 Folder 2 Remarks to the Securities Industry Association, Boca Raton, FL, November 7, 1997


Box 15 Folder 2 Remarks: Investing Wisely: Tips From an SEC insider at the Investors' Town Meeting, Des Moines, IA, November 21, 1997


Box 15 Folder 3 Remarks: Inclusion and Diversity on Wall Streetto the Wall Street Project // Rainbow-PUSH Coalition, January 16, 1998


Box 15 Folder 3 Remarks: Technological Challenges for Modern Marketsto Women in Housing and Finance, Inc., January 21, 1998


Box 15 Folder 3 Remarks: Financial Self-Defense: Protection in the Modern Markets at the Investors' Town Meeting, Los Angeles, CA, February 8, 1998


Box 15 Folder 3 Remarks: Financial Self-Defense: Tips From an SEC insider at the Investors' Town Meeting, Palo Alto, CA, February 17, 1998


Box 15 Folder 3 Remarks: A Question of Integrity: Promoting Investor Confidence by Fighting Insider Trading to the S.E.C. SpeaksConference, Washington, DC, February 27, 1998


Box 15 Folder 3 Remarks: Investor Protection in the Age of Technologyat the Third Annual Financial Services and Technology Conference, Salt Lake City, UT, March 6, 1998


Box 15 Folder 3 Remarks: Corporate Governance: Integrity in the Information Age at the Tenth Annual Corporate Law Institute, Tulane University, New Orleans, LA, March 12, 1998


Box 15 Folder 3 Remarks to the National Roundtable on Saving and Investing, Facts on Saving and Investing Campaign, Federal Trade Commission, Washington, DC, March 30, 1998


Box 15 Folder 3 Remarks: The State of the Brokerage Profession before the Securities Industry Association's Legal and Compliance Seminar, Scottsdale, AZ, April 20, 1998


Box 15 Folder 3 Remarks: Reaching the Right Balance: Options for Innovative Marketson the Occasion of the 25th Anniversary of the Chicago Board Options Exchange and Options Clearing Corporation, Chicago, IL, April 24, 1998


Box 15 Folder 3 Remarks at the Enforcement Division Meeting, Solomon's Island, May 6, 1998


Box 15 Folder 3 Remarks at the Investment Company Institute, Washington, DC, May 15, 1998


Box 15 Folder 3 Remarks: Financial Self-Defense: Tips From an SEC insider at the Investors' Town Meeting, Bloomington, MN, June 1, 1998


Box 15 Folder 3 Remarks: Financial Self-Defense: Tips From an SEC insider at the Investors' Town Meeting, Bangor, ME, June 30, 1998


Box 15 Folder 3 Remarks: The Importance of Transparency In America's Debt Market at the Media Studies Center, New York, NY, September 9, 1998


Box 15 Folder 3 Remarks: The Numbers Game at the New York University Center for Law and Business, New York, NY, September 28, 1998



Box 50 Folder 1 NYU Center for Law and Business, September 28, 1998



Box 15 Folder 3 Remarks: The SEC Perspective on Investing Social Security in the Stock Market at the John F. Kennedy School of Government Forum, Harvard University, Cambridge, MA, October 19, 1998


Box 15 Folder 3 Remarks: Meeting the Challenges of a 21st Century Marketplace at the Securities Industry Association Annual Meeting, Boca Raton, FL, November 6, 1998


Box 15 Folder 3 Remarks: A Financial Partnershipat the Financial Executives Institute, New York, NY, November 16, 1998


Box 15 Folder 3 Remarks: Expanding the Promise of Opportunity and Security Through Saving and Investing before the Consumer Federation of America, Washington, DC, December 3, 1998


Box 15 Folder 3 Remarks: A Partnership for the Public Trust at the American Institute of Certified Public Accountants (AICPA) , Washington, DC, December 8, 1998


Box 15 Folder 4 Opening Remarks at the SEC Roundtable on the Role of Independent Investment Company Directors, Washington, DC, February 23, 1999


Box 15 Folder 4 Remarks: Financial Self-Defense: Tips From an SEC insider at the Miami Heralds First Annual Personal Finance Conference, Miami, FL, March 6, 1999


Box 15 Folder 4 Remarks to the Directors' College 1999, Stanford Law School, Stanford University, Stanford, CA, March 22, 1999


Box 15 Folder 4 Remarks: Keeping Faith with the Shareholder Interest: Strengthening the Role of Independent Directors of Mutual Funds at the Mutual Funds and Investment Management Conference, Palm Springs, CA, March 22, 1999


Box 15 Folder 4 Remarks: In the Best Interests of Beneficiaries: Trust and Public Funds at the 1999 Annual Meeting of the Council of Institutional Investors, Washington, DC, March 30, 1999


Box 15 Folder 4 Remarks Before the Securities Industry Association's Legal and Compliance Seminar, Boca Raton, FL, April 13, 1999


Box 15 Folder 4 Remarks at the 19th Annual Ray Garret, Jr. Corporate and Securities Law Institute, Northwestern Law School, April 22, 1999


Box 15 Folder 4 Remarks Before the Bond Market Association, San Francisco, CA, April 23, 1999


Box 15 Folder 4 Remarks: Financial Literacy and Role of the Mediaat the Media Studies Center, New York, NY, April 26, 1999


Box 15 Folder 4 Remarks: Plain Talk About On-Line Investingat the National Press Club, May 4, 1999


Box 15 Folder 4 Remarks to the Committee for Economic Development, New York, NY, May 19, 1999


Box 15 Folder 4 Remarks: Common Sense Investing in the 21st Century Marketplace at the Los Angeles Times 3rd Annual Investment Strategies Conference, Los Angeles, CA, May 23, 1999


Box 15 Folder 4 Remarks: An Essential Next Step in the Evolution of Corporate Governance at the Audit Committee Symposium, New York, N. Y., June 29, 1999


Box 15 Folder 4 Remarks to the President's Council on Year 2000 Conversion, Financial Sector Group Year 2000 Summit, Washington, DC, September 17, 1999


Box 15 Folder 4 Remarks: Dynamic Markets, Timeless Principles at Columbia Law School, New York, NY, September 23, 1999


Box 15 Folder 4 Remarks: Corporate Governance in a Global Arenato the American Council on Germany, New York, NY, October 7, 1999


Box 15 Folder 4 Remarks to the Panel on Audit Effectiveness of the Public Oversight Board, Public Oversight Hearings, New York, N. Y., October 7, 1999


Box 15 Folder 4 Remarks at the Municipal Market Roundtable, SEC Headquarters, Washington, DC, October 14, 1999


Box 15 Folder 4 Remarks: Financial Self-Defense: Tips From an SEC insider at the Boston Globed MoneymattersPersonal Finance Conference, Boston, MA, October 16, 1999


Box 15 Folder 4 Remarks: Quality Information: The Lifeblood of Our Markets at the Economic Club of New York, New York, NY, October 18, 1999


Box 15 Folder 4 Remarks on Proposals Concerning Mergers and Acquisitions, SEC Headquarters, Washington, DC, October 19, 1999


Box 15 Folder 4 Remarks: Best Execution: Promise of Integrity, Guardian of Competitionto the Securities Industry Association, Boca Raton, FL, November 4, 1999


Box 15 Folder 4 Remarks: Common Sense Investing in the 21st Century Marketplace at Investor's Town Meeting, Albuquerque, NM, November 20, 1999


Box 15 Folder 4 Remarks: Common Sense Investing in the 21st Century Marketplace at Investor's Town Meeting, New York, NY, December 9, 1999


Box 15 Folder 5 Remarks: Investing With Your Eyes Open at the Los Angeles Times 4th Annual Investment Strategies Conference, Los Angeles, CA, February 12, 2000


Box 15 Folder 5 Remarks to the Mutual Fund Directors Education Council Conference, Washington, DC, February 17, 2000


Box 15 Folder 5 Remarks: The New Economyat The Finance Conference 2000, Boston College, Boston, MA, March 6, 2000


Box 15 Folder 5 Remarks: Visible Prices, Accessible Markets, Order Interaction at the Northwestern University School of Law, Kellogg Graduate School of Management, March 16, 2000


Box 15 Folder 5 Remarks: Best Execution, Price Transparency and Linkages: Protecting the Investor Interest at the Washington University School of Law, March 24, 2000


Box 15 Folder 5 Opening Statement: Amendments to Form ADVat the Open Commission Meeting, Washington, DC, April 5, 2000


Box 15 Folder 5 Remarks at the Economic Club of Washington, April 6, 2000


Box 15 Folder 5 Remarks at the Annual Options Industry Conference, Palm Beach, FL, May 5, 2000


Box 15 Folder 5 Remarks: Renewing the Covenant With Investors at the New York University Center for Law and Business, New York, NY, May 10, 2000


Box 15 Folder 5 Remarks to the Panel on Audit Effectiveness, , New York, NY, July 10, 2000


Box 15 Folder 5 Remarks: Investing With Your Eyes Open at the SEC Investors Town Meeting, Cleveland, OH, July 25, 2000


Box 15 Folder 5 Opening Statement to the US SEC Open Meeting on Market Structure Initiatives in the Options Market and Public Disclosure of Order Routing Practices and Execution Quality, July 25, 2000


Box 15 Folder 5 Opening Statement to the US SEC Open Meeting on Regulation Fair Disclosure, August 10, 2000


Box 15 Folder 5 Remarks: Investing With Your Eyes Open at The Washington Post Investors Town Meeting, Washington, DC, September 16, 2000


Box 15 Folder 5 Remarks: A Profession at the Crossroads before the National Association of State Boards of Accountancy, Boston, MA, September 18, 2000


Box 15 Folder 5 Remarks on the 60th Anniversary of the Investment Company Act and the Investment Company Institute, October 5, 2000


Box 15 Folder 5 Remarks: Toward Markets Driven by Footsteps at the 67th Annual Conference and Business Meeting of the Security Traders Association, Boca Raton, FL, October 12, 2000


Box 15 Folder 5 Remarks before the National Conference of CPA Practitioners, Great Neck, NY, October 20, 2000


Box 15 Folder 5 Remarks: The Public's Profession at the Fall Council of the American Institute of Certified Public Accountants (AICPA), Las Vegas, NV, October 24, 2000


Box 15 Folder 5 Remarks: Costs Paid With Other People's Moneyat the A. A. Sommer Lectureship, Fordham Law School, New York, NY, November 3, 2000


Box 15 Folder 5 Remarks before the 2000 Annual Meeting, Securities Industry Association, Boca Raton, FL, November 9, 2000


Box 15 Folder 5 Opening Statement to the US SEC Open Meeting on Market Structure Initiatives in the Options and Equities Markets, and Rules Governing Auditor Independence, November 15, 2000


Box 15 Folder 5 Remarks before the Forum Club of Southwest Florida. Introduction attached. Naples, FL, December 1, 2000


Box 15 Folder 5 Remarks at the Conference on the Rise and Effectiveness of New Corporate Governance Standards, Federal Reserve Bank of New York, New York, NY, December 12, 2000


Box 15 Folder 5 Announcement of Levitt's Resignation, US SEC, Washington, DC, December 19, 2000



Box 50 Folder 2 Speech materials, 2001



Box 15 Folder 5 The National Market System: A Vision That Endures at Stanford University, Stanford, CA, January 8, 2001


Box 15 Folder 5 Opening Statement: The NASD's Proposed SuperMontage and Streamlining the SEC's Process of Reviewing Filings by Self Regulatory Organizations before the US SEC Open Meeting, Washington, DC, January 10, 2001



Box 50 Folder 3 Edward Jones, January 18, 2001


Box 50 Folder 4 Enron, January 24, 2001



Box 16 Folder 1 Testimonies' Index, 1993 - 2000


Subseries III.2: Congressional Testimonies

Computer printouts of Congressional Testimonies by Arthur Levitt Jr. as SEC chairman


Box 16 Folder 2 Statement of Arthur Levitt, Before the Senate Committee on Banking, Housing, and Urban Affairs, concerning his nomination to be a member of the U.S. Securities and Exchange Commission, July 13, 1993


Box 16 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: Authorization Request for Fiscal Years 1994-1995 (oral and written), July 29, 1993


Box 16 Folder 2 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: Investment Company Industry, August 4, 1993


Box 16 Folder 2 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: the State of the Municipal Securities Market, September 9, 1993


Box 16 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: the Investment Company Industry, November 10, 1993


Box 16 Folder 3 Before the House Subcommittee on Oversight and Investigations committee on Energy and Commerce re: Proposed Merger between Mellon Bank Corporation and Dreyfus Corporation and related functional regulation issues, March 2, 1994


Box 16 Folder 3 Before the House Subcommittee on Commerce, Justice, and State, the Judiciary and related agencies, Committee on Appropriations, re: Appropriations for Fiscal Year 1995, March 16, 1994


Box 16 Folder 3 Before the House Committee on Banking, Finance and Urban Affairs, re: Hedge Fund Activities in the US Financial Markets (oral and written), April 13, 1994


Box 16 Folder 3 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: H.R. 3447, (oral and written), April 14, 1994


Box 16 Folder 3 Before Senate Subcommittee on Commerce, Justice, and State, the Judiciary and related agencies, Committee on Appropriations, re: Appropriations for Fiscal Year 1995, May 5, 1994


Box 16 Folder 3 Before the Senate Subcommittee on Securities Committee on Banking, Housing, and Urban Affairs, re: Central Bank of Denver Decision, May 12, 1994


Box 16 Folder 3 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: Derivative Financing Instruments, May 25, 1994


Box 16 Folder 3 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Finance, re: Litigation Under TI-IF, Federal Securities Laws, July 22, 1994


Box 16 Folder 3 Before House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: Commission's recent efforts to combat sales practice abuses in the securities industry (oral and written), September 14, 1994


Box 16 Folder 3 Before the Senate Committee on Banking, Housing and Urban Affairs, re: International Markets and Individual Investors, September 18, 1994


Box 16 Folder 3 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: Regulation of the Investment Company Industry, September 27, 1994


Box 16 Folder 3 Before the Senate Committee on Banking, Housing, and Urban Affairs, re: International Markets and Individual Investors, September 28, 1994


Box 16 Folder 4 Before the Senate Committee on Banking, Housing, and Urban Affairs, re:Municipal Bond and Government Securities Markets (oral and written), January 5, 1995


Box 16 Folder 4 Before the House Committee on Commerce, re: The Municipal Securities Market, January 12, 1995


Box 16 Folder 4 Before U.S. House of Representatives, re:Litigation Reform Proposals (oral and written), February 10, 1995


Box 16 Folder 5 Before U.S. House of Representatives, re:The Financial Services Competitiveness Act of 1995And Related Issues (oral and written), March 15, 1995


Box 16 Folder 5 Before the Subcommittee on Capital, Markets, Securities and Government sponsored enterprises, Committee on Banking and Financial, re: Markets and Trading Reorganization and Reform Act, March 30, 1995


Box 16 Folder 5 Before House Subcommittee on Commerce, Justice, and State, the Judiciary and related agencies, Committee on Appropriations, re: Appropriations for Fiscal Year 1996, April 4, 1995


Box 16 Folder 5 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re:Litigation Reform Proposals (oral and written), April 6, 1995


Box 16 Folder 5 Before U.S. House of Representatives, Testimony on H.R. 1062, The Financial Services Competitiveness Act of 1995(oral and written), June 6, 1995


Box 16 Folder 5 Before the Subcommittee on Telecommunications and Finance, Committee on Commerce, U.S. House of Representatives, Oral Statement re:PUCHA, August 4, 1995


Box 16 Folder 5 Before the House Committee on Commerce, Subcommittees on Telecommunications and Finance and Energy and Power, re: The Public Utility Holding Company Act of 1935, August 4, 1995


Box 16 Folder 5 Before the Subcommittee on Telecommunications and Finance, Committee on Commerce, U.S. House of Representatives, re:H.R. 2131, The Capital Markets Deregulation and Liberalization Act of 1995,(oral and written)., November 30, 1995


Box 16 Folder 6 Before the Subcommittee on Telecommunications and Finance, Committee on Commerce, U.S. House of Representatives, re:the Commission's Authorization Request for Fiscal Year 1997 (oral and written)., February 28, 1996


Box 16 Folder 6 Before the House of Representatives re:Appropriations for Fiscal Year 1997 (oral and written)., May 9, 1996


Box 16 Folder 6 Before the Senate Committee on Banking, Housing and Urban Affairs, re: S1815, the Securities Investment Promotion Act (oral and written)., June 5, 1996


Box 16 Folder 6 Before the House of Representatives on S1815, June 5, 1996


Box 16 Folder 7 Before the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Banking and Financial Services, U.S. House of Representatives, re:H.R. 268, The Depository Institution Affiliation and Thrift Charter Conversion Act,(oral and written), February 13, 1997


Box 16 Folder 7 Before the House Commerce Subcommittee on Finance and Hazardous Materials, re:SEC Reauthorization, March 6, 1997


Box 16 Folder 7 Before the House Appropriations Subcommittee on Commerce, Justice, and State, the Judiciary, and Related Agencies, re:Appropriations for Fiscal Year 1998, March 14, 1997


Box 16 Folder 7 Before the House Appropriations Subcommittee on Commerce, Justice, and State, the Judiciary, and Related Agencies, re:the U.S. Securities and Exchange Commission's Appropriations for Fiscal Year 1998, March 19, 1997


Box 16 Folder 7 Before the Committee on Banking and Financial Services, U.S. House of Representatives, re: Financial Modernization, May 22, 1997


Box 16 Folder 8 Before the Committee on Commerce, Subcommittee on Financial and Hazardous Materials, U.S. House of Representatives,re:Financial Modernization and H.R. 10, The Financial Services Competition Act of 1997, July 17, 1997


Box 16 Folder 8 Before the Senate Banking Subcommittee on Securities, re:the Impact of the Private Securities Litigation Reform Act of 1995, July 24, 1997


Box 16 Folder 8 Before the Subcommittee on Financial Services and Technology of the Committee on Banking, Housing, and Urban Affairs, U.S. Senate, re:the Readiness of the United States Securities Industry and Public Companies To Meet the Information Processing Challenges of the Year 2000, July 30, 1997


Box 16 Folder 8 Before the Senate Governmental Affairs Permanent Subcommittee on Investigations re: Micro CapMarket (NOTE: text corrected 10-03-97), September 22, 1997


Box 16 Folder 8 Before the Subcommittee on Capital Markets, Securities and Government Sponsored Enterprises re: FASB's Proposed Accounting Rules for Derivative Financial Contracts, October 1, 1997


Box 16 Folder 8 Before the House Commerce Subcommittee on Finance and Hazardous Materials, re: The Implementation of the Private Securities Litigation Reform Act of 1995, October 21, 1997


Box 16 Folder 8 Before the Senate Banking Subcommittee on Securities, re: S. 1260, the Securities Litigation Uniform Standards Act of 1997, October 29, 1997



Box 17 Folder 1 Before the Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: Circuit Breakers, January 29, 1998


Box 17 Folder 1 Before the Subcommittee on Commerce, Justice, State and Judiciary of the House Committee on Appropriations, re: Appropriations for Fiscal Year 1999 (oral and written)., March 18, 1998


Box 17 Folder 1 Before the Subcommittee on Commerce, Justice, State and Judiciary of the Senate Committee on Appropriations, re: Appropriations for Fiscal Year 1999 (oral and written)., March 19, 1998


Box 17 Folder 1 Before the Senate Committee on Banking, Housing and Urban Affairs, re: Nomination, March 25, 1998


Box 17 Folder 1 Before the Subcommittee on Finance and Hazardous Materials, House Committee on Commerce re: H.R. 1689, The Securities Litigation Uniform Standards Act of 1997(NOTE: text corrected 05-22-98), May 19, 1998


Box 17 Folder 1 Before the Senate Committee on Banking, Housing and Urban Affairs, re: Modernizing the Laws That Govern Our Financial Services Industry, June 25, 1998


Box 17 Folder 1 Before the Senate Committee on Agriculture, Nutrition, and Forestry re: The Regulation of the Over-the-Counter Derivatives Market and Hybrid Instruments, July 30, 1998


Box 17 Folder 1 Before the House Subcommittee on Finance and Hazardous Materials re: Transparency in the United States Debt Market and Mutual Fund Fees and Expenses, September 29, 1998


Box 17 Folder 2 Before the Senate Committee on Banking, Housing and Urban Affairs re: Financial Modernization Legislation, February 24, 1999


Box 17 Folder 2 Before the House Subcommittee on Finance and Hazardous Materials, Committee on Commerce, re: Transparency in the United States Corporate Debt Market, March 18, 1999


Box 17 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: Fee Collections, March 24, 1999


Box 17 Folder 2 Before the Senate Subcommittee on Commerce, Justice, State and the Judiciary of the Committee on Appropriations, re: Appropriations for Fiscal Year 2000, March 25, 1999


Box 17 Folder 2 Before the Subcommittee on Commerce, Justice, State and the Judiciary of the Committee on Appropriations, U.S. House of Representatives, re: Appropriations for Fiscal Year 2000 (oral and written), April 14, 1999


Box 17 Folder 2 Before the House Committee on Commerce, re: H. R. 10 The Financial Services Act of 1999, May 5, 1999


Box 17 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing and Urban Affairs, re: Loan Loss Allowances, July 29, 1999


Box 17 Folder 2 Before the Senate Permanent Subcommittee on Investigations, Committee on Governmental Affairs, re: Day Trading (oral and written), September 16, 1999


Box 17 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs re: Market Structure Issues Currently Facing the Commission, October 27, 1999


Box 17 Folder 3 Before the Senate Committee on Banking, Housing, and Urban Affairs, re: The Competitive Market Supervision Act, February 28, 2000


Box 17 Folder 3 Before the Senate Subcommittee on Commerce, Justice, State and the Judiciary, Committee on Appropriations, re: Appropriations for Fiscal Year 2001, March 21, 2000


Box 17 Folder 3 Before the House Subcommittee on Commerce, Justice, State and the Judiciary, Committee on Appropriations, re: Appropriations for Fiscal Year 2001, March 21, 2000


Box 17 Folder 3 Before the House Subcommittee on Commerce, Justice, State and the Judiciary, Committee on Appropriations, re: Appropriations for Fiscal Year 2001, March 30, 2000


Box 17 Folder 3 Before the Senate Committee on Banking, Housing, and Urban Affairs, re: Preserving and Strengthening the National Market System for Securities in the United States, May 8, 2000


Box 17 Folder 3 Before the House Subcommittee on Finance and Hazardous Materials, Committee on Commerce, re: Decimal Pricing in the Securities and Options Markets, June 13, 2000


Box 17 Folder 3 Before the Senate Committee on Agriculture, Nutrition, and Forestry, and the Committee on Banking, Housing, and Urban Affairs, re: S. 2697, The Commodity Futures Modernization Act of 2000, June 21, 2000


Box 17 Folder 3 Before the House Subcommittee on Finance and Hazardous Materials, Committee on Commerce, re: H.R. 4541, The Commodity Futures Modernization Act of 2000, July 12, 2000


Box 17 Folder 3 Before the Senate Subcommittee on Securities, Committee on Banking, Housing and Urban Affairs, re: Clarification of Independent Auditor Status, September 28, 2000


Box 17 Folder 3 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: the Commission's Auditor Independence Proposal, September 28, 2000


Subseries III.3: Pre-SEC

Texts and drafts of speeches and testimonies by A. Levitt, 1969 - 1993.


Box 17 Folder 4 Carter, Berlind & Well, (president) Testimony before the House Committee on Ways and Means, re: Tax Reform - Farm Losses., Washington, DC, Mar. 10, 1969


Box 17 Folder 4 Speech: Profits and Professionalismbefore Columbia University Graduate School of Business Administration, New York, NY, Dec. 5, 1972


Box 17 Folder 4 Hayden Stone Inc. (President) Excerpt: Professionalism Is Right from Speech: Profits and Professionalismbefore Columbia University Graduate School of Business Administration, Mar. 2, 1973


Box 17 Folder 4 Speech: To Save Our City - A New Partnershipbefore the City Club of New York (draft and final), New York, NY, May 18, 1973


Box 17 Folder 5 Shearson Hayden Stone Inc. (President) Remarks to Managers at Branch Managers Meeting, Harrison House, Glen Cove, NY, Jun. 27-29, 1975


Box 17 Folder 5 Shearson Hayden Stone Inc. (President) Address Before the 1976 President's Council Session, [1976]


Box 17 Folder 5 Commencement Address to the Class of 1977 Polythechnic Preparatory Country Day School, Jun. 9, 1977


Box 17 Folder 5 American Stock Exchange (Chairman) Remarks at Business Week Conference on Personal Financial Planning, [Brooklyn, NY], May 22, 1978


Box 17 Folder 5 American Stock Exchange (Chairman) Commencement Address on Ethics to the Mary Bergstraum High School for Business Careers, Jun. 27, 1978


Box 17 Folder 5 American Stock Exchange (Chairman) Luncheon Remarks before Securities Regulation Institute, Hotel Del Coronado, Coronado, CA, Jan. 17, 1979


Box 17 Folder 5 American Stock Exchange (Chairman) Remarks at MBA Tournament Corporate Recruiters Dinner, Harbor View Club, New York, NY, Jan. 25, 1979


Box 17 Folder 5 American Stock Exchange (Chairman) Address: Small Potatoes in the Big Apple, Citizens Union, New York, NY, Apr. 17, 1979


Box 17 Folder 5 American Stock Exchange (Chairman) Address before the White House Commission on Small Business, Washington, DC, Jan. 13, 1980



Folder 17 6 Economic Club of Chicago The Greening of American Enterprise, Chicago, IL, Feb. 13, 1981



Box 17 Folder 6 American Stock Exchange (Chairman) Commencement Address on Ethics to the Hamilton College (draft and final), May 24, 1981


Box 17 Folder 6 American Stock Exchange (Chairman) Address: The American Economy: Is the Sky Falling? to the Economic Club of Detroit, Detroit, MI, Nov. 2, 1981


Box 17 Folder 6 American Stock Exchange (Chairman) Speech at National Press Club, Mar. 17, 1982


Box 17 Folder 6 American Stock Exchange (Chairman) Address to Seattle Chamber of Commerce, Seattle, WA, May 11, 1982


Box 17 Folder 6 American Stock Exchange (Chairman) Address: Corporate Community InvolvementConference, The President's Task Force on Private Sector Initiative, Washington, DC, Jul. 27, 1982


Box 17 Folder 6 American Stock Exchange (Chairman) Address to Federal Reserve Bank, Atlanta, GA, Oct. 7, 1982


Box 17 Folder 6 American Stock Exchange (Chairman) Dinner Address at the Bank of New York Conference, Rye, NY, Nov. 8, 1982


Box 17 Folder 7 American Stock Exchange (Chairman) Address to American Council on Capital Formation, Washington, DC, Jan. 19, 1983

[Speaking Engagement Cancelled]


Box 17 Folder 7 American Stock Exchange (Chairman) Address to the Government Research Corporation's National Leadership Conference, Washington, DC, Feb. 1, 1983


Box 17 Folder 7 American Stock Exchange (Chairman) Address for Rudin Memorial Lecture Series, New York University (draft and final), New York, NY, Feb. 2, 1983


Box 17 Folder 7 American Stock Exchange (Chairman) Address: The Entrepreneurial Animalat Yale School of Organization and Management, [New Haven, CT], Feb. 9, 1983


Box 17 Folder 7 American Stock Exchange (Chairman) Address Public Policy, PACs and Power Politics - New Rules For an Old Game at LBJ School of Public Affairs, University of Texas (draft and final), Austin, TX, Feb. 28, 1983


Box 17 Folder 7 American Stock Exchange (Chairman) Address: Growth Industries in the 1980s at Federal Reserve Bank of Atlanta Conference, [Atlanta, GA], Mar. 17, 1983


Box 17 Folder 7 American Stock Exchange (Chairman) Welcoming Remarks, American Stock Exchange Regional Forum, Houston/Dallas, Apr. 26-27, 1983


Box 17 Folder 7 American Stock Exchange (Chairman) Dinner Address, American Stock Exchange Regional Forum, Houston/Dallas, Apr. 26-27, 1983



Box 18 Folder 1 American Stock Exchange (Chairman) Address to Young Presidents' Organization , New York, NY, May 3, 1983


Box 18 Folder 1 American Stock Exchange (Chairman) Luncheon Address to Young Presidents' Organization (draft and final), New York, NY, May 3, 1983


Box 18 Folder 1 American Stock Exchange (Chairman) Remarks at Key Pharmaceuticals Annual Meeting, Miami, FL, May 5, 1983


Box 18 Folder 1 American Stock Exchange (Chairman) Address at Mitchell Energy & Development Corporation, Woodlands, TX, Jun. 29, 1983


Box 18 Folder 1 American Stock Exchange (Chairman) Testimony before the Senatel Small Business Committee, Washington, DC, Jul. 13, 1983


Box 18 Folder 1 American Stock Exchange (Chairman) Remarks at Peat Marwick Annual Partners' Meeting, Boca Raton, FL, Oct. 21, 1983


Box 18 Folder 1 American Stock Exchange (Chairman) Statement: A Survey of Wall Street Executives and Amex CEO's conducted by Decima Research, McLean, VA, Nov. 17, 1983


Box 18 Folder 1 American Stock Exchange (Chairman) Speech at Annual Meeting, Pope Evans & Robbins, Amex Boardroom, Dec. 6, 1983


Box 18 Folder 1 American Stock Exchange (Chairman) Speech for Trans-Lux Directors; Day, Dec. 6, 1983


Box 18 Folder 2 Address: 1984 and Beyond: The Future for Growth Capital, Downtown Long Island Forum, Hofstra University, Jan. 18, 1984


Box 18 Folder 2 Remarks at the Forum Club of Houston (clean and edited drafts), Jan. 25, 1984


Box 18 Folder 2 Remarks to the Conference Board, Conference on Strategic Planning, Mar. 20, 1984


Box 18 Folder 2 Remarks at Central Cynagogue, Apr. 5, 1984


Box 18 Folder 2 Address to Young Presidents' Organization International University, New York, NY, Apr. 12, 1984


Box 18 Folder 2 Address at SIA Spring Conference, Hilton Head, FL, May 8, 1984


Box 18 Folder 2 Welcoming Address at American Stock Exchange Washington Conference, Washington, DC, Jun. 11, 1984


Box 18 Folder 2 Dinner Address to the Committee of 200 and the Women's Forum, Amex Trading Floor (Draft & Final), New York, NY, Oct. 2, 1984


Box 18 Folder 2 Keynote Address, Prudential-Bache Luncheon (draft), Tampa, FL, Nov. 16, 1984


Box 18 Folder 3 Address at C.W. Post Campus, Long Island University, Feb. 11, 1985


Box 18 Folder 3 Speech at Beta Gamma Sigma National Honoree Luncheon, American Assembly of Collegiate Schools of Business, Orlando, FL, Apr. 15, 1985


Box 18 Folder 3 Speech at the Financial Post Conference, Toronto, Canada, May 28, 1985


Box 18 Folder 3 Statement before the Securities Subcommittee of the Senate Committee on Banking, Housing and Urban Affairs, Washington, DC, Jun. 12, 1985


Box 18 Folder 3 Address at NYSSCPA/FAE Tax Conference, New York, NY, Oct. 18, 1985


Box 18 Folder 3 Luncheon Address to Beta Gamma Sigma , New York, NY, Oct. 24, 1985


Box 18 Folder 4 Luncheon Address at Minneapolis Meeting, Minneapolis, MN, Jan. 23, 1986


Box 18 Folder 4 Introduction of T. Boone Pickens at International Investors Conference, Washington, DC, Oct. 20, 1986


Box 18 Folder 4 Address to American Electronics Association, Monterey, CA, Oct. 27, 1986


Box 18 Folder 4 Speech The Significance of Environmental Change at Amex Officers Weekend, 1986 - outline draft, Oct. 30, 1986


Box 18 Folder 4 Statement before the Securities and Exchange Comission (SEC) - 2 versions, Washington, DC, Dec. 16, 1986


Box 18 Folder 5 Remarks at Curtice-Burns Foods, Inc. Board Dinner, Jan. 7, 1987


Box 18 Folder 5 Luncheon Address, Economic Club of Indianapolis, Indianapolis, IN, Feb. 20, 1987


Box 18 Folder 5 Address at Financial World Dinner, New York, NY, Mar. 1987


Box 18 Folder 5 Welcoming Remarks, Interracial Council for Business Opportunity, New York, NY, Apr. 29, 1987


Box 18 Folder 5 Opening Remarks, Amex Board Dinner, Wave Hill, New York, NY, May 13, 1987


Box 18 Folder 5 Gift Presentations, Amex Board Dinner, Wave Hill, New York, NY, May 13, 1987


Box 18 Folder 5 Address: Competitive Challenge to American Industry, (on Ethics) before a National Issues Forum on Enhancing the Competitiveness of US Industry, The Brookings Institution, Washington, DC, May 27, 1987


Box 18 Folder 5 Address , Amex Seminar Dinner, Los Angeles, CA, May 28, 1987


Box 18 Folder 5 Address to Young Presidents' Organization New York Chapter, New York, NY, Jun. 10, 1987


Box 18 Folder 5 Statement before the Securities and Exchange Comission (SEC), Washington, DC, Jul. 22, 1987


Box 18 Folder 5 Keynote Address at Joint Meeting: Southern Governors' Association, The Southern Growth Policies Board and the Southern States Energy Board, Louisville, KY, Aug. 31, 1987


Box 18 Folder 5 Address to Young Presidents' Organization Bermuda Conference, New York, NY, Oct. 9, 1987


Box 18 Folder 5 SIA Luncheon Remarks, Oct. 12, 1987


Box 18 Folder 5 Luncheon Remarks and Introduction of Manuel H. Johnson, Amex International Conference (Progam of events enclosed), Washington, DC, Oct. 19, 1987


Box 18 Folder 5 Address, Council of Institutional Investors - draft and final verstion. Program and related correspondence enclosed, New York, NY, Nov. 5, 1987


Box 18 Folder 6 Speech: After The Crash - A Look Ahead, National Press Club, Washington, DC, Apr. 5, 1988


Box 18 Folder 6 Opening Remarks, Amex Board Dinner, New York, NY, Apr. 13, 1988


Box 18 Folder 6 Gift Presentations, Amex Board Dinner, New York, NY, Apr. 13, 1988


Box 18 Folder 6 Speech at Amex Regional Dinner, New York, NY, Apr. 19, 1988


Box 18 Folder 6 Keynote Address, Institutional Investor Institute's Spring Pension Fund Roundtable, New York, NY, Apr. 21, 1988


Box 18 Folder 6 Address Charge to the Graduating Classon Ethics, University of Connecticut, CT, May 22, 1988


Box 18 Folder 6 Opening Statement, NYU Symposium, Information Technology and Securities Market under Stress, New York, NY, [Jun. 13, 1988]


Box 18 Folder 6 Convocation Address, College of Arts and Sciences, Northwestern University, Evanston, IL, Jun. 18, 1988


Box 18 Folder 6 Address to Industrial Designers of America Conference, New York, NY, Aug. 26, 1988


Box 18 Folder 6 Remarks at Cocktail Reception for Chief Executieves, Amex Washington Conference, Washington, DC, Nov. 7, 1988


Box 18 Folder 6 Remarks at Union Station, Amex Washington Conference, Washington, DC, Nov. 7, 1988


Box 18 Folder 6 Remarks and Introduction of Frank Carlucci, Amex Washington Conference, Washington, DC, Nov. 8, 1988


Box 18 Folder 6 Address, Fall Conference, National Investor Relations Institute, Nov. 16, 1988



Box 19 Folder 1 Dinner Address, Economic Club of Oklahoma, OK, Feb. 20, 1989


Box 19 Folder 1 ; Morgan, Porter P. American Stock Exchange (Chairman, Exec. VP) Presentations for American College of Probate Counsel, Tuscon, AZ, Mar. 14, 1989


Box 19 Folder 1 Concluding Address, SIA Meeting, New York, NY, Mar. 22, 1989


Box 19 Folder 1 Speech at Amex Annual Meeting - draft, Apr. 10, 1989


Box 19 Folder 1 Opening Remarks, Amex Board Dinner at Guggenheim Museum - draft, New York, NY, Apr. 12, 1989


Box 19 Folder 1 Gift Presentations to retiring governors: Bill Silver, George Voner Linden, Al Einbender, at Amex Board Dinner - draft, New York, NY, Apr. 12, 1989


Box 19 Folder 1 Address on Ethics and Insider Trading, Williams College, Apr. 14, 1989


Box 19 Folder 1 Speech at Amex Regional Meetings in California - draft and final, San Francisco, CA; Palo Alto, CA, Apr. 24, 1989


Box 19 Folder 1 Remarks at Chieftain International, Calgary, Canada, Apr. 26, 1989


Box 19 Folder 1 Address at Fraser Institute, Vancuver, Canada, Apr. 26, 1989


Box 19 Folder 1 Opening Keynote Address, National Financial Computer and Automation Conference, New York, NY, May 9, 1989


Box 19 Folder 1 Address on Ethics at Chief Executive Roundtable, University of California, Irvine, CA, May 17, 1989


Box 19 Folder 1 Speech at Amex Regional Dinner, with announcement of resignation from Amex and with Robert A. Mosbacher Introduction, New York, NY, Jun. 20, 1989


Box 19 Folder 1 Remarks at Amex Washington Conference Dinner, Library of Congress - draft, Washington, DC, Oct. 30, 1989


Box 19 Folder 2 Roll Call and Stagebill (owner) Testimony on NEA before the House Interior Appropriations , Washington, DC, May 15, 1990


Box 19 Folder 2 Luncheon Address: Getting to 2000 - No Easy Answers For the Artsfor the Arts and Business Council Symposium, Sep. 26, 1991


Box 19 Folder 2 Levitt Media Company (chairman); Economic Development Corporation of New York (Chairman) Testimony on NEA before the Subcommittee on Government Activities and Transportation at Brooklyn Museum of Arts, Brooklyn, NY, Oct. 28, 1991


Box 19 Folder 2 Keynote Address for the National Assembly of State Arts Councils - draft and final, Nov. 9, 1991


Box 19 Folder 2 Keynote Address for the Illinois Arts Alliance, [IL], Feb. 4, 1992


Box 19 Folder 2 Remarks for the Illinois Arts Alliance and Major Arts Institutions, [IL], Feb. 5, 1992


Box 19 Folder 2 Speech for State of Connecticut Commission on the Arts, [CT], Mar. 10, 1992


Box 19 Folder 2 Speech for International Theatre Festival Board of Directors, Chicago, IL, Mar. 12, 1992


Box 19 Folder 2 Speech: Getting to 2000 - No Easy Answers For the Artsfor the Arts and Business Council Inc., IBM Corporation, Council of Arts in Westchester, Inc; Westchester County Office of Cultural Affairs, Mariott Hotel, Tarrytown, NY, Jun. 19, 1992


Box 19 Folder 2 Speech at Investors Dinner, [New York, NY], Oct. 5, 1992


Box 19 Folder 2 Speech: Reflection on Wall Street at SIA Conference, Apr. 14, 1993


Box 19 Folder 3 Undated speeches, drafts and fragments, n.d.


Subseries III.4: Post-SEC

Texts and drafts of speeches and testimonies by A. Levitt, 2001 - 2007.



Box 50 Folder 5 Ernst & Young Conference, May 22, 2001


Box 50 Folder 6 Remarks by Arthur Levitt, Denver, CO, July 24, 2001


Box 50 Folder 7 Carlyle Presentation, September 10, 2001


Box 50 Folder 8 NAVA Conference, October 9, 2001


Box 50 Folder 9 Charles Schwab, October 10, 2001


Box 50 Folder 10 Powermart, October 16, 2001



Box 51 Folder 1 CCBN, October 23, 2001


Box 51 Folder 2 Charles River Ventures retreat, October 25, 2001


Box 51 Folder 3 Putnam Investments, October 26, 2001


Box 51 Folder 4 Carlyle Group, October 29, 2001


Box 51 Folder 5 SunGard World, October 29, 2001


Box 51 Folder 6 Spear, Leads, and Kellog, November 29, 2001


Box 51 Folder 7 Levitt on Enron, January 24, 2002


Box 51 Folder 8 Goldman Scchs Debt Capital, March 14, 2002


Box 51 Folder 9 CCBN Panel, March 26, 2002


Box 51 Folder 10 American Century Funds, April 4, 2002


Box 51 Folder 11 Business Week CFO Forum, April 25, 2002



Box 52 Folder 1 The Carlyle Group, April 29, 2002


Box 52 Folder 2 National Retail Federation, April 29, 2002


Box 52 Folder 3 California Bankers' Association, May 2, 2002


Box 52 Folder 4 Foley Lardner, May 9, 2002


Box 52 Folder 5 Grantham, Mayo, Van Otterloo Forum, May 14, 2002


Box 52 Folder 6 CIGNA Conference, May 16, 2002


Box 52 Folder 7 Fairfield County Day School, June 5, 2002


Box 52 Folder 8 Williams College Reunion Weekend, June 7, 2002


Box 52 Folder 9 Jay Alix and Associates Conference, June 14, 2002


Box 52 Folder 10 Calpers Option Workshop, June 17, 2002


Box 52 Folder 11 Rutgers Business School, June 24, 2002


Box 52 Folder 12 American Council of Life Insurers, June 28, 2002


Box 52 Folder 13 Carlyle Group Investor Conference, September 10, 2002


Box 52 Folder 14 Nixon Peabody, September 18, 2002


Box 52 Folder 15 Mercer Global Investment Forum, September 19, 2002


Box 52 Folder 16 Forbes, September 26, 2002


Box 52 Folder 17 Capital Resources Advisors Conference, October 3, 2002



Box 53 Folder 1 Fidelity Investments Conference, October 4, 2002


Box 53 Folder 2 Forbes CEO Forum, October 9, 2002


Box 53 Folder 3 American Petroleum Institute, October 15, 2002


Box 53 Folder 4 Risk Management Association, October 16, 2002


Box 53 Folder 5 Family Office Exchange Conference, October 22, 2002


Box 53 Folder 6 Business for Social Responsibility, November 8, 2002


Box 53 Folder 7 Brandes Investment Partners, November 12, 2002


Box 53 Folder 8 Hanson McClain Conference, November 12, 2002


Box 53 Folder 9 Carlyle Group, November 14, 2002


Box 53 Folder 10 Fannie Mae Executive Retreat, December 10, 2002


Box 53 Folder 11 AEA-AFA Convention, January 3, 2003


Box 53 Folder 12 PCMA Annual Meeting, January 8, 2003


Box 53 Folder 13 TIAA-CREF Forum, January 24, 2003


Box 53 Folder 14 Kelley School of Business Conference, March 5, 2003


Box 53 Folder 15 CFO Conference: Palm barbor, FL, March 18, 2003


Box 53 Folder 16 CCBN Seminar, March 20, 2003


Box 53 Folder 17 Charles River Ventures Retreat, March 27, 2003



Box 54 Folder 1 Pimco Conference, March 31, 2003


Box 54 Folder 2 Illinois Teachers Retirement Fund, April 3, 2003


Box 54 Folder 3 AESC Conference, April 11, 2003


Box 54 Folder 4 CFO Summit: Marina Del Rey, April 29, 2003


Box 54 Folder 5 Andor Capitol, May 7, 2003


Box 54 Folder 6 Miami School of Business, May 9, 2003


Box 54 Folder 7 Windy City Summit, May 14, 2003


Box 54 Folder 8 Commencement, University of Connecticut, May 18, 2003


Box 54 Folder 9 Vanderbilt University, June 9, 2003


Box 54 Folder 10 Bindview "Webinar", June 17, 2003


Box 54 Folder 11 Buy Side Market Data, June 18, 2003


Box 54 Folder 12 Conference Board Audit Committee, June 19, 2003


Box 54 Folder 13 Bindview "Webinar", July 30, 2003


Box 54 Folder 14 Curian Capital Summit, September 2, 2003


Box 54 Folder 15 Hyperion Seminar, September 10, 2003


Box 54 Folder 16 Institutional Investor's Corporate Roundtable, September 15, 2003


Box 54 Folder 17 Mutual Fund Directors Forum, September 22, 2003


Box 54 Folder 18 Advent Software Conference, September 22, 2003



Box 55 Folder 1 Hyperion Seminar, October 14, 2003


Box 55 Folder 2 A. Brean Murray Conference, October 29, 2003


Box 55 Folder 3 Testimony before Subcommittee on Capital Markets, November 4, 2003


Box 55 Folder 4 Professional Liability Underwriting Conference, November 10, 2003


Box 55 Folder 5 KPMG Partners, November 20, 2003


Box 55 Folder 6 Church Alliance Meeting, December 4, 2003


Box 55 Folder 7 NYU Integrity of Financial Markets Conference, December 5, 2003


Box 55 Folder 8 Veritas Software Webcast, December 11, 2003


Box 55 Folder 9 Lacera Meeting, January 27, 2004


Box 55 Folder 10 TD Waterhouse, February 6, 2004


Box 55 Folder 11 CERA Global Oil Summit, February 9, 2004


Box 55 Folder 12 ALCAN Executives Retreat, February 14, 2004


Box 55 Folder 13 Deloitte Risk Management, March 25, 2004


Box 55 Folder 14 NYU Haskins Award Ceremony, April 28, 2004


Box 55 Folder 15 Reinsurance Conference, April 29, 2004


Box 55 Folder 16 Dickinson College Rush Award, May 6, 2004


Box 55 Folder 17 CFO Summit, May 11, 2004



Box 56 Folder 1 KPMG Global Energy Conference, May 24, 2004


Box 56 Folder 2 NIRI Annual Conference, June 8, 2004


Box 56 Folder 3 Grant and Eisenhoffer, June 9, 2004


Box 56 Folder 4 Eliot Spitzer Lunch, September, 2004


Box 56 Folder 5 Pfizer, September 17, 2004


Box 56 Folder 6 Poly Prep, October 2, 2004


Box 56 Folder 7 Columbia University Law School, October 15, 2004


Box 56 Folder 8 IOSCO Conference, October 28, 2004


Box 56 Folder 9 ADP Conference, October 29, 2004


Box 56 Folder 10 Deloitte CFO Conference, November 19, 2004


Box 56 Folder 11 KPMG: Atlanta, November 22, 2004


Box 56 Folder 12 KPMG: Boston, November 30, 2004


Box 56 Folder 13 KPMG: Philadelphia, December 1, 2004


Box 56 Folder 14 KPMG: Dallas, December 2, 2004


Box 56 Folder 15 KPMG: Phoenix, AZ, December 7, 2004


Box 56 Folder 16 KPMG: Detroit, December 14, 2004


Box 56 Folder 17 Odyssey Club, March 9, 2005


Box 56 Folder 18 Bank of America Hedge Fund Conference, June 6, 2005



Box 57 Folder 1 Rand Center for Corporate Ethics, June 16, 2005


Box 57 Folder 2 Bindview "State of Regulatory Compliance Summit", July 19, 2005


Box 57 Folder 3 SAS Webcast, July, 20, 2005


Box 57 Folder 4 Economist General Counsel Dinner, March 23, 2006


Box 57 Folder 5 Jackson National Life Dinner, June 20, 2006


Box 57 Folder 6 Riskmeterics Conference, June 21, 2006


Box 57 Folder 7 Bloomberg Securities Law Forum, June 22, 2006


Box 57 Folder 8 Bloomberg Securities Law Symposium, June 29, 2007

Series IV: Speeches Background Material

Printed materials, speeches by others with associated correspondence, notes and drafts relating to specific subjects and to public speaking in general.


Subseries IV.1: Individual Speakers' files

Individual files with speaches' texts by selected speakers



Box 19 Folder 4 Brademas, John New York University, President, 1986 - 1989


Box 19 Folder 5 Grace, J. Peter Foundation for the President's Private Sector Survey on Cost Control, Inc., Apr. - Jun. 1984


Box 19 Folder 6 Hunter, David W. SIA (Chairman); Parker/Hunter Inc., 1976 - 1984

[Includes undated speech honoring A. Levitt at B'nai B'rith Dinner]


Box 19 Folder 7 Kolton, Paul American Stock Exchange (Chairman), 1971 - 1977



Box 20 Folder 1 Peterson, Peter G. Lehman Brothers, Kuhn, Loeb, Inc., 1981 - 1984


Box 20 Folder 2 Williams, Harold M. US SEC (Chairman), 1978 - 1981


Box 20 Folder 3 Alda, Alan A - C, May 25, 1980


Box 20 Folder 3 Allen, Peter J. Human Resources Network, Feb. 17, 1978


Subseries IV.2: Various speakers

Arranged alphabetically


Box 20 Folder 3 Baldwin, Robert H.B. Morgan Stanley & Co.; SIA (Chairman), Dec. 1977 - Nov. 1978


Box 20 Folder 3 Bernstein, Peter L. Peter L. Bernstein, Inc., Mar. 1977 - Apr. 1978


Box 20 Folder 3 Biggs, Barton M. Morgan Stanley & Co., n.d.


Box 20 Folder 3 Birch, David, 1979


Box 20 Folder 3 Bladen, Ashley Guardian Life Insurance Co., Jan. 15, 1980


Box 20 Folder 3 Boothby, Willard S., Jr. SIA (Chairman-elect), Dec. 1, 1978


Box 20 Folder 3 Bunting, John R. First Pennsylvania Corp., Oct. 27, 1977


Box 20 Folder 3 Burns, Arthur F. Chairman, Federal Reserve System Board of Governors, Oct. 27, 1977


Box 20 Folder 3 Butcher, Willard C. Chase Manhattan Bank, Oct. 5, 1983


Box 20 Folder 3 Chandler, John W. Williams College, 1979 - 1983


Box 20 Folder 3 Collier, D. W., Oct. 3, 1977


Box 20 Folder 3 Cooper, Alan B. Wright State University, May 7, 1984


Box 20 Folder 3 Corn, Ira G. Michigan General Corp., Feb. 22, 1982


Box 20 Folder 3 Cox, Carol G. Committee for a Responsible Federal Budget, Dec. 13, 1983


Box 20 Folder 3 Cox, Morris A. William Volker Fund, Jun. 2, 1976


Box 20 Folder 3 Cunniff, John Associated Press, Oct. 28, 1977


Box 20 Folder 4 Davant, James W. Paine Webber Inc. D - I, Jul. 18, 1978


Box 20 Folder 4 Davis, Sidney, n.d.


Box 20 Folder 4 Dee, Robert F. Smithkline Corp., Jun. 19, 1980


Box 20 Folder 4 Demsetz, Harold Hoover Institution, Oct. 18, 1977


Box 20 Folder 4 Diamond, Joseph Skadden, Arps, Slate, Meagher & Flom, Oct. 22, 1984


Box 20 Folder 4 Driskoll, Robert S. Lord, Abbett & Co., May 8, 1979


Box 20 Folder 4 Etherington, Edwin D. Wesleyan University, 1968 - 1981


Box 20 Folder 4 Evans, Eli N., Feb. 26, 1989


Box 20 Folder 4 Evans, James H. Union Pacific Corporation, Oct. 25, 1982


Box 20 Folder 4 Frooks, Leighton, n.d.


Box 20 Folder 4 Gartner, David G. Commodity Futures Trading Commission, Feb. 16, 1979


Box 20 Folder 4 Gervitz, Don, Jan. 27, 1987


Box 20 Folder 4 Goldmark, Peter G. Rockefeller Foundation, Oct. 26, 1989


Box 20 Folder 4 Graziano, Frank J. Crompton & Knowles Corp., Apr. 13, 1976


Box 20 Folder 4 Horan, John J. Merck & Co., Dec. 9, 1980


Box 20 Folder 5 Jacobs, Harry A. Prudential-Bache Securities J - L, Nov. 4, 1983


Box 20 Folder 5 Jennings, Eugene, n.d.


Box 20 Folder 5 Jones, Reginald H. General Electric Company, 1974 - 1977

[Speeches on Capital Formation]


Box 20 Folder 5 Jordan, Vernon E. National Urban League, May 18, 1981


Box 20 Folder 5 Kaufman, Henry Salomon Brothers, May 1, 1980


Box 20 Folder 5 Kemp, Jack US House of Representatives, 1978 - 1983


Box 20 Folder 5 Krug, Maurice F. Technology, Inc., Sep. 1977


Box 20 Folder 5 Kudlow, Laurence A. New Economic Review, Mar. - Dec. 1980


Box 20 Folder 5 Lamm, Richard ex-Governor, CO, Oct. 1989


Box 20 Folder 5 Lazarus, Ralph Federated Department Store, May 3, 1979

[Small Business]


Box 20 Folder 5 Lehrer, Jim MacNeil/Lehrer Newshour, 1993


Box 20 Folder 5 Levitt, Theodore, n.d.


Box 20 Folder 5 Liebman, Walter H., n.d.


Box 20 Folder 5 Lipson, Leon S., 1979


Box 20 Folder 5 Little, Arthur D. Narragansett Capital Corp., Mar. 3, 1980

[Small Business]


Box 20 Folder 6 Malabre, Alfred L., Jr., Mar. 5, 1980


Box 20 Folder 6 Malkiel, Burton G.; Firstenberg, Paul Princeton University, Jun. 1979


Box 20 Folder 6 Minsky, Hyman P. Washington University, 1980


Box 20 Folder 6 Nelson, Gaylord US Senate, Jan. 14, 1980

[Small Business]


Box 20 Folder 6 Norris, William Control Data Corp., Jan. 28, 1980


Box 20 Folder 6 O'Brien, Edward I. SIA (President), 1978-1980


Box 20 Folder 6 O'Connell, Brian Independent Sector, May 17, 1986


Box 20 Folder 6 O'Leary, James J. US Trust Co., 1979 - 1983


Box 20 Folder 6 O'Sullivan, Don, Mar. 21, 1973



Box 21 Folder 1 Patricof, Alan J. Alan Patricof Associates P - R, Feb. 28, 1978


Box 21 Folder 1 Petersen, S. R.; Berg, H. E. Getty Oil Company, Feb. 8, 1978


Box 21 Folder 1 Phelan, John J. New York Stock Exchange, Chairman, 1981 - 1986


Box 21 Folder 1 Pollock, Oscar S., Sep. 23, 1980


Box 21 Folder 1 Poser, Norman S. American Stock Exchange (Exec. VP), Sep. 14, 1979


Box 21 Folder 1 Rappleye, Willard C., Jr., Dec. 1980


Box 21 Folder 1 Reich, Robert B., Apr. 12, 1987


Box 21 Folder 1 Robinson, James D., III American Express Co. (Chairman), Aug. 5, 1983


Box 21 Folder 1 Rohatyn, Felix G. Lazard Freres & Co., Jan. 26, 1988


Box 21 Folder 2 Samuels, Howard, n.d.

[Small Business]


Box 21 Folder 2 Scribner, Richard O. American Stock Exchange (Exec. VP), Oct. 16, 1980


Box 21 Folder 2 Simon, [?], n.d.


Box 21 Folder 2 Sullivan, Joseph W. Chicago Board Options Exchange (President), Jan. 10, 1978


Box 21 Folder 2 [Stean], Martha, n.d.


Box 21 Folder 2 Steinberg, David Long Island University (President), Nov. 13, 1985


Box 21 Folder 2 Stevenson, Howard H. Harvard University, Jun. 6, 1983



Box 59 Folder 5 Sweeney, John J. Remarks for Arthur Levitt reception, October 2, 2002



Box 21 Folder 2 Taylor, Arthur R., Feb. 15, 1977


Box 21 Folder 2 Thatcher, Margaret Prime Minister, UK, Nov. 12, 1979


Box 21 Folder 2 Thomas, Barbara S. US SEC, Jun. 1981


Box 21 Folder 2 Tolley, Joseph C., Apr. 25, 1976


Box 21 Folder 2 Vitullo-Martin, Julia Fiscal Observer, Nov. 19, 1979


Box 21 Folder 2 Walker, James W., Jr. SIA (Exec. VP), Mar. 24, 1977


Box 21 Folder 2 Wriston, Walter B. Citicorp, 1980-1982


Box 21 Folder 2 Zises, Alvin, 1977


Subseries IV.3: Drafts and Background Information

Speech drafts, notes, printed material, quotes, memos etc used as background for speeches. Arranged by subject.


Box 21 Folder 3 Drafts and Notes, n.d.


Box 21 Folder 4 Capital Formation 1977 - 1990


Box 21 Folder 5 Clippings 1978 - 1988


Box 21 Folder 6 The Executive Speaker 1982 - 1987


Box 21 Folder 7 Small Business 1979 - 1981


Box 21 Folder 8 Securities Industry Association 1990 - 1993


Box 21 Folder 9 Printed Materials 1975 - 1985


Box 21 Folder 10 Quotes and correspondence 1973 - 1990



Box 59 Folder 8 Restructuring the Financial Accounting Foundation, April 9, 2001

Series V: Biographical & Articles About Levitt

Contains materials from Levitt's school years, pre-sec employment,TV appearances, honors.



Box 22 Folder 1 Poly Prep School - Diary, 1945 - 1947


Box 22 Folder 2 Poly Prep School Yearbook, 1948


Box 22 Folder 3 Biographical Information, 1967 - 1998


Box 22 Folder 4 American Stock Exchange, 1978 - 2000


Box 22 Folder 5 Hamilton College Arthur Levitt Public Affairs Center, 1981 - 1998


Box 22 Folder 6 Peterson, Peter; Levitt, Arthur; Weiss, Stanley BENS METRO Seminar, Feb. 20, 1988


Box 22 Folder 7 Moscovitch, Edward New England Economic Review The Downturn in the New England Economy: What Lies Behind It, with related correspondence, 1990


Box 22 Folder 8 Roll Call, 1990 - 1995


Box 22 Folder 9 Fields, Jack; Klein, Martin I.; Lang, Robert Todd; McLucas, William R.; Seligman, Joel Speeches of others about A. Levitt, 1994 - 2000


Box 22 Folder 10 National Securities Clearing Corporation (NSCC); Depository Trust Company (DTC) Report of the Vision 2000 Committee, Sep. 1994


Box 22 Folder 11 Zanford, Charles Zanford vs. Levitt Case, 1996


Box 22 Folder 12 Awards, 1996 - 2002


Box 22 Folder 13 Wall Street Week with Louis Rukeyser, No. 2940, Mar. 31, 2000



Box 59 Folder 6 Article on Levitt from San Francisco Chronicle and Washington Post, November 15 and 17, 2002


Box 59 Folder 7 Remarks of Philip Le B. Douglas at Presentation of Douglas Award to Arthur Levitt, Jr., September 17, 2002


Box 59 Folder 9 Congressional Record: "Arthur Levitt: The Investors' Advocate", February 7, 2001


Box 59 Folder 9 Invitation to Breakfast with Stanley Fisher, April 15, 2002

Series VI: Printed Materials


Subseries VI.1: Periodicals and broshures

These materials were part of additions, donated by A. Levitt in 2002. They represent contents of original scrapbooks, created by A. Levitt. Materials are in original chronological order.



Box 23 Folder 1 - 5 Periodicals and broshures, 1979 - 2001



Box 60 Miscellaneous magazines, brochures, and pamphlets, 2001-2003


Subseries VI.2: News Clippings



Box 23A Folder 1 - 6 Scrapbooks, 1965 - 2001

[Materials represent contents of original scrapbooks, created by A. Levitt. Materials are in original chronological order. Correspondence and photographs from scrapbooks are replaced by photocopies, and the originals are moved to the corresponding series.]


Box 23A Folder 7 SEC Resignation Letters and Clippings scrapbook, 2000 - 2001


Box 23A Folder 8 After SEC Resignation, 2001 - 2002


Box 23A Folder 9 Articles by A. Levitt Jr., 1977 - 1990


Box 23A Folder 10 American Stock Exchange, Roll Call Articles re: A. Levitt Jr., 1977 - 1991


Box 23A Folder 11 Articles sent by A. Levitt Jr. to son A. Levitt III, 1990 - 1991


Box 23A Folder 12 Various clippings, 1988 - 1991



Box 59 Folder 10-13 Clippings and articles, 2001-2003


Subseries VI.3: Books



Box 60 Arthur levitt. Take On The Street: How to Fight for Your Financial Future, 2002


Box 60 Jim Salim with R. Foster Winans. The Great Wall Street Swindle, 2001

Series VII: Arthur Levitt Sr. Papers

Papers relating to father, NY State Comptroller Arthur Levitt Sr. See Audiovisual - Photos and Audio subseries for audiovisual materials related to A. Levitt Sr.



Box 24 Folder 1 Correspondence, 1976 - 1980


Box 24 Folder 2 Speeches and Biography, 1963 - 1979


Box 24 Folder 3 Printed Materials, 1977 - 1980


Box 24 Folder 4 Weinstein, Jack B. A Modern Constitution for New York, Syracuse, NY, 1966


Box 24 Folder 5 NY State Comptroller Studies on Issues in Public Finance, 1973


Box 24 Folder 6 US Treasury Bill Covering Guarantees of NYC Bonds, 1978


Box 24 Folder 7 Public Hearing on NY State Public Employee Pensoin Fund Investment Practices, 1979


Box 24 Folder 8 Columbia University, 1975 - 1979


Box 24 Folder 9 Green, S. William US House of Representatives Service Academy Selection Committee, 1979 - 1980


Box 24 Folder 10 Excerpts from Speeches at Hamilton College, 1968 - 1995


Box 24 Folder 11 A. Levitt Sr. Materials in New York State Archives, 1955 - 1978


Box 24 Folder 12 NY State Comptroller News Clippings, 1971 - 1978

Series VIII: Audiovisual Records

Series consists of 127 VHS tapes and 9 Audiotapes. Arranged Chronologically. Duplicate tapes are at the end of the series


Subseries VIII.1: Video


Sub-subseries VIII.1.1: Hearings and Testimonies.

37 unique VHS (24 total) tapes



Box 61 Tape 1 CN8: Mutual Fund Scandal, undated



Box 62 Tape 1 Levitt Speech, undated



Box 61 Tape 3 Bloomberg Television tape, undated



Box 62 Tape 3 "Character Studies" An Introduction, undated


Box 62 Tape 5 Decisions 2003. Hunter College, NYC, undated


Box 62 Tape 6 Fox News. "Your World with Neil Cavuto", undated



Box 61 Tape 2 PBS: Frontline: DOT CON, January 24, 2002


Box 61 Tape 4 AART. Arthur Levitt 2002 Andrus Award, April 29, 2002



Box 62 Tape 2 NHK Special: Enron Collapse, June 20, 2002



Box 61 Tape 5 Financial Management Network: Arthur Levitt Speaks Out, November 2002



Box 25 Folder 1 Senate Confirmation Hearings, US SEC Chairman Arthur Levitt, [1993], 1

[2 duplicates]



Box 61 Tape 6 Arthur Levitt's ROBTV Interview with Howard Green. Part 1, February 26, 2003



Box 62 Tape 4 Arthur Levitt's ROBTV Interview with Howard Green. Part 2, February 27, 2003



Box 25 Folder 2 Telecommunication and Finance Hearing. The Municipal Securities Market - Chairman Levitt, Sep. 9, 1993, 1

[1 duplicate]


Box 25 Folder 3 Hearing on Mutual Fund Industry, Nov. 10, 1993, 1


Box 25 Folder 4 - 7 Subcommittee on Oversight and Investigations, Committee of Energy and Commerce, Concerning Bank Sales of Mutual Funds, Parts 1 - 4, Mar. 3, 2994, 4


Box 25 Folder 8 Subcommittee on Telecommunications and Finance. Chairman Levitt - Securities Regulatory Equality Act, Apr. 13, 1994, 1


Box 25 Folder 9 H. R. 3447, Panel # 2, Apr. 14, 1994, 1


Box 25 Folder 10-11 Chairman's Hearing, Parts 1 - 2, May 25, 1994, 2


Box 25 Folder 12 Hearing before House Energy & Commerce Committee, Telecommunication and Finance Subcommittee on Securities Fraud Litigation with Arthur Levitt., Jul. 22, 1994, 1 (RT: 2 hrs. 8 min. 23 sec.)


Box 25 Folder 13 Rogue Brokers, Rep. Markey, Sep. 14, 1994, 1



Box 26 Folder 1 Banking, Housing and Urban Affairs, Jan. 5, 1995, 1 (RT: 3 hrs. 22 min.)


Box 26 Folder 2 - 3 H. R. 10, Feb. 10, 1995, 2


Box 26 Folder 4 H. R. 10 Fields, Feb. 10, 1995, 1


Box 26 Folder 5 - 6 H. R. 18, Mar. 15, 1995, 2


Box 26 Folder 7 Subcommittee on Capital Market, Mar. 30, 1995, 1


Box 26 Folder 8 Testimony before the Subcommittee on Telecommunications and Finance and the Subcommittee on Commerce, Trade and Hazardous Material. Arthur Levitt, Chairman, US SEC, Regarding H. R. 1062 The Financial Services Competitiveness Act of 1995, Jun. 6, 1995, 1


Sub-subseries VIII.1.2: Speeches and media appearances

Series consists of 89 unique tapes (94 total)


Box 26 Folder 9 American Electronics Association: Stock Options Rally, n.d., 1


Box 26 Folder 10 Arthur Levitt, Jr.: A Man For All Seasons, n.d., 1


Box 26 Folder 11 American Association of Retired Persons: SEC Advice VNR, n.d., 1


Box 26 Folder 12 Coastline Community College: Dollars & Sense. Program 119: Stocks., n.d., 1


Box 26 Folder 13 WFSB-TV (CBS); WTIC-TV (FOX) Connecticut Investors' Town Meeting, n.d., 1



Box 27 Folder 1 The Fight to Expose: The Blinder Robinson Scandals, n.d., 1

[Denver-based Blinder Robinson & Co.the largest penny stock brokerage in the country, filed for bankruptcy in 1990. The company's founder, Meyer Blinder, was convicted of securities fraud racketeering and money laundering two years later.]


Box 27 Folder 2 US SEC How to Invest Wisely, n.d., 1


Box 27 Folder 3 Levitt News Highlights, 1


Box 27 Folder 4 Levitt on CNBC, n.d., 1


Box 27 Folder 5 National Press Club, n.d., 1


Box 27 Folder 6 US SEC New York Town Meeting by Crosswalks TV, n.d., 1

[1 duplicate]


Box 27 Folder 7 PBS Newshour with Jim Lehrer: Full Disclosure, n.d., 1


Box 27 Folder 8 PBS Nightly Business Report: Chairman Levitt on Mutual Funds, n.d., 1


Box 27 Folder 9 PBS Nightly Business Report: Levitt Story, n.d., 1


Box 27 Folder 10 WNBC-TV (NBC) Nightly News: Wall Street Journal Scandal, Apr. 18, n.y., 1


Box 27 Folder 11 Office of Thrift Supervision Seminar: Facing the Year 2000 Challenge Together, n.d., 1 ( RT: 57 min.)


Box 27 Folder 12 Philadelphia District Office: Jonathan Lebed, n.d., 1(RT: 10 min.)


Box 27 Folder 13 Shareholders Rights / Accounting Wrongs, n.d., 1 (RT: 7 min.)



Box 28 Folder 1 Bowne; Northeast Chapter for the American Corporate Counsel Association Think Twice 2: How the SEC Detects and Pursues Insider Trading, n.d., 1


Box 28 Folder 2 A Time for Justice, n.d., 1


Box 28 Folder 3 Tuesday Morning General Session. Speaker: Arthur Levitt, n.d., 1 (RT: 31 min. 12 sec.)


Box 28 Folder 4 PBS Wall Street Week # 748, n.d., 1


Box 28 Folder 5 City Club: Arthur Levitt, Jr., 1981, 1


Box 28 Folder 6 CNN Pinnacle with Arthur Levitt, Mar. 17, 1984, 1

[Tape also contains: Pinnacle with Deborah Szekely, Apr. 22, 1989]


Box 28 Folder 7 ABC Good Morning America: Arthur Levitt, Dec. 1, 1986, 1


Box 28 Folder 8 CNN Inside Business: Arthur Levitt, Dec. 13, 1987, 1


Box 28 Folder 9 NBC Meet the Press: Arthur Levitt, Oct. 16, 1988, 1

[One of the tapes also contains: Cardinal O'Conner's Visit (FOX, Channel 5). 1 Duplicate]


Box 28 Folder 10 US SEC Swearing In Video, [1993], 1

[Chairman's copy]


Box 28 Folder 11 PBS Nightly Business Report: Chairman Levitt on Fund Managers, Jan. 11, 1994, 1


Box 28 Folder 12 PBS Morning Business Report: Chairman Levitt on Mutual Fund, Personal Trading, Jan. 12, 1994, 1


Box 28 Folder 13 ABC Good Morning America: Arthur Levitt, May 20, 1994, 1



Box 29 Folder 1 Enforcement Roundtable Discussion, Jun. 13, 1994, 1


Box 29 Folder 2 Bloomberg L. P. The Bloomberg Forum: SEC Chairman Arthur Levitt Interview, Aug. 29, 1994, 1


Box 29 Folder 3 CNN Moneyline: SEC Budget, Oct. 4, 1994, 1


Box 29 Folder 4 Security Industry Association Annual Convention, Nov. 30 - Dec. 3. 1994. Day Three Module, [1994], 1


Box 29 Folder 5 CNBC Inside Opinion: Chairman Levitt on Mutual Funds, Mar. 31, 1995, 1


Box 29 Folder 6 WFAA-TV Investors' Town Meeting: SEC Chairman Arthur Levitt Appearance, Dallas, TX, Apr. 12, 1995, 1


Box 29 Folder 7 WFAA-TV Arthur Levitt SEC Air Check, Dallas, TX, Apr. 16, 1995, 1


Box 29 Folder 8 National Association of Securities Dealers NASD Annual Conference: Arthur Levitt speech on Broker Practices, May 19, [1994/1995], 1

[Year is 1995 on spine, 1995 on front label - Verify. Beninning of speech is missing.]


Box 29 Folder 9 PBS Wall Street Week with Louis Rukeyser. Guest: Arthur Levitt, Jr., Jun. 9, 1995, 1


Box 29 Folder 10 WNET-TV (PBS); Merrill Lynch Wall Street Week: Chairman Arthur Levitt., Jun. 10, 1996, 1 ( RT: 11 min.)

[1 duplicate]


Box 29 Folder 11 GMA; CNBC Profile Prospectus, July 31, 1995, 1


Box 29 Folder 12 WJLA-TV (ABC) Good Morning America: Arthur Levitt / SEC and Mutual Funds, Washington, DC, July 31, 1995, 1 (RT: 1 hr. 45 min.)


Box 29 Folder 13 Government Finance Officers Association (GFOA); National Association of Counties (NACo) A Whole New Ballgame in Municipal Bond Disclosure, 1995, 1 (RT: 85 min. 14 sec.)



Box 30 Folder 1 Stanford Law School Executive Education Programs - Directors' College. Keynote Speech by Arthur Levitt., Mar. 1996, 1


Box 30 Folder 2 PBS; Alvin H. Perlmutter, Inc. Adam Smith Show # 1223: Arthur Levitt: A Conversation, Apr. 18, 1996, 1 (RT: 26 min. 46 sec.)


Box 30 Folder 3 EdwardJones Regional Leader Meeting: Arthur Levitt, SEC Chairman, Apr. 21-23, 1996, 1

[Note on label: For internal use only. Do not show to the Public.]


Box 30 Folder 4 C-SPAN Philadelphia Investors' Town Meeting, Philadelphia, PA, Jun. 11, 1996, 1


Box 30 Folder 5 National Association of Securities Dealers NASD Press Conference, Aug. 8, 1996, 1


Box 30 Folder 6 CNN-TV; Video Monitoring Services of America Moneyline: Arthur Levitt, Dec. 26, 1996, 1 (RT: 5 min. 23 sec.)


Box 30 Folder 7 TV Footage on Arthur Levitt in Israel (KDH Ceremony), [1996], 1


Box 30 Folder 8 LA Times I.S.C: Arthur Levitt, Mar. 1997, 1


Box 30 Folder 9 Detroit Economic Club Luncheon Talk. Hon. Arthur Levitt, SEC Chairman: CPA and CEO's - A Relationship at Risk, Detroit, MI, May 19, 1997, 1(RT: 51 min. 45 sec.)


Box 30 Folder 10 Bloomberg L. P. The Bloomberg Forum: SEC Chairman Arthur Levitt Interview, Jul. 30, 1997, 1


Box 30 Folder 11 CNBC Arthur Levitt in the news, May 27, 1997; May 6, 1998; Jul. 13, 1998, 1


Box 30 Folder 12 US SEC Summary of Investor Education Campaign (Informese Es Su Dinero Es Su Futuro), Chile, May 1, 1998, 1 (RT: 5 min.)


Box 30 Folder 13 Court TV Arthur Levitt Interview, Jun. 19-21, 1998, 1



Box 31 Folder 1 CNBC Arthur Levitt on Broker Pay, Jul. 13, 1998, 1

[Tape also contains: CNBC - John Stark on Internet Fraud, Jul. 13, 1998]


Box 31 Folder 2 FOX News Channel Cavuto Report, Sep. 28, 1998, 1


Box 31 Folder 3 NBC; CNBC Nightly News: Arthur Levitt on Mutual Funds; Levitt on Mutual and Hedge Funds, Oct. 13-14, 1998, 1 (2 segments)


Box 31 Folder 4 CNBC Hedge Fund Regulation, Oct. 15, 1998, 1


Box 31 Folder 5 William O. Douglas, Commission Meeting Room Dedication, Oct. 16, 1998, 1

[Note on label Master]


Box 31 Folder 6 CNN Moneyline: Arthur Levitt, Oct. 30, 1998, 1


Box 31 Folder 7 Bloomberg L. P. The Bloomberg Forum: SEC Chairman Arthur Levitt Interview, Nov. 18, 1998, 1

[1 duplicate]


Box 31 Folder 8 [US SEC] Confirmation, 1998, 1


Box 31 Folder 9 [US SEC] Swearing In, 1998, 1


Box 31 Folder 10 CNN Arthur Levitt on Social Security, Feb. 17, 1999, 1


Box 31 Folder 11 [ABC News] Nightline, Mar. 2, 1999, 1


Box 31 Folder 12 PBS Wall Street Week with Louis Rukeyser. Guest: Arthur Levitt, Jr., #2837, Mar. 12, 1999, 1


Box 31 Folder 13 CNBC Arthur Levitt, Apr. 1999, 1



Box 32 Folder 1 National Press Club Luncheon - Arthur Levitt, May 4, 1999, 1


Box 32 Folder 2 CNBC Business Center: Phil Gramm, Sep. 28, 1999, 1


Box 32 Folder 3 NBC Fleecing of America: Arthur Levitt on Investment Advises Fraud., Nov. 17, 1999, 1


Box 32 Folder 4 Remarks by Chairman Arthur Levitt, US SEC, Nov. 20, 1999, 1


Box 32 Folder 5 PBS Nightly Business Report: Arthur Levitt, Jan. 11, 2000, 1


Box 32 Folder 6 PBS Nightly Business Report: Arthur Levitt Interview, Jan. 17, 2000, 1


Box 32 Folder 7 PBS Wall Street Week with Louis Rukeyser: Arthur Levitt, Mar. 31, 2000, 1


Box 32 Folder 8 CNBC The Squawk Box: Arthur Levitt, SEC, May 10, 2000, 1 [RT: 6 min. 48 sec.]


Box 32 Folder 9 Investing for Success: Interview with Hugh Price, May 12, 2000, 1

[Note on label: No cutaways]



Box 58 Item 1 Sungard World, September 5, 2001. (VHS videotape)



Box 32 Folder 10 CBS 60 Minutes: Jonathan Lebed and Arthur Levitt, Oct. 22, 2000, 1


Box 32 Folder 11 PBS Wall Street Week with Louis Rukeyser: 30th Anniversary, # 3018, Nov. 3, 2000, 1

[1 duplicate]


Box 32 Folder 12 North American Securities Administrators Association Annual Meeting of NASAA: SEC Chairman Arthur Levitt, Sep. 2000, 1 (RT: 12 min)


Box 32 Folder 13 SEC Chairman Arthur Levitt: Retirement Message, Dec. 20, 2000, 1



Box 33 Folder 1 PBS, MPT Wall Street Week with Louis Rukeyser: First 30 Years, 2000, 1 (RT: approx 60 min.)


Box 33 Folder 2 CBS 60 Minutes II - Roel of TV Analysts, Jan. 20, 2001, 1


Box 33 Folder 3 Fairfield University, 51st Commencement Exercises, Class of 2001 - Awards, Honorary Degree Recepients, Addresses, Fairfield, CT, May 20, 2001, 1


Box 33 Folder 4 Economic Club of Chicago The Greening of American Enterprise, Chicago, IL, Feb. 13, 1980, 1


Box 33 Folder 5 Financial Management Network 1. Arthur Levitt Speaks out; (segment 1 - FEI and IMA news) 2. Corporate Governance and Financial Executives. 3. Business strategy and sales taxes. 4, Cash Flow in hard times., Nov. 2002


Subseries VIII.2: Audio


Sub-subseries VIII.2.1: Arthur Levitt Jr.



Box 34 Folder 1 NPR Consumer Initiative, Oct. 20, 1994, 1 side


Box 34 Folder 2 Prime Time Radio: Investing Information in Plain English, Mar. 11, 1997, 1/2 side


Box 34 Folder 3 - 4 Symposium on Career Options For Minority Students in the Securities and Commodity Futures Industries, Feb. 19, 1998, 2 tapes (3 sides)


Box 34 Folder 5 NPR Market Structure, Dec. 21, 1999, 1 side


Box 34 Folder 6 LA Times Keynote: Tech Stock All-Stars: Top Fund Managers Give Picks, n.d., 1 side


Box 34 Folder 7 US SEC Public Funds, Public Trust and the Federal Securities Laws, Alexandria, VA, n.d., 1 side


Box 34 Folder 8 Economic Club of Chicago Take on Wall Street, Chicago, IL, Oct. 15, 2002, 2 sides


Box 34 Folder 9 - 10 unmarked tape, 2 tapes


Sub-subseries VIII.2.2: Arthur Levitt Sr.

vinyl records, 10'' LP, 33 1/3 rpm. These materials were part of additions, donated by A. Levitt in 2002.


Box 34 Folder 11 Talk by Hon. Arthur Levitt, Rochester, NY, Apr. 23, 1957

[78 needle ]


Box 34 Folder 12 NBC-TV Citizens Union Searchlight, Oct. 25, 1959


Box 34 Folder 13 WNEW-TV Metropolitan Probe, Jan. 10, 1960


Box 34 Folder 14 CBS Let's Find Out, Jan. 31, 1960


Box 34 Folder 15 WBAI Albany Report, Feb. 11, 1960


Box 34 Folder 16 WNTA-TV Between the Lines, Feb. 14, 1960


Box 34 Folder 17 WMCA Barry Gray Show, Mar. 19, 1960


Box 34 Folder 18 WNEW Compulsory Fall-out Shelters, Mar. 20, 1960


Subseries VIII.3: Photographs


Sub-subseries VIII.3.1: Arthur Levitt Jr.

These materials were part of additions, donated by A. Levitt in 2002. Arthur Levitt in all pictures


Box 34 Folder 19 Berlind, Roger S.; Ball, […]; Cogan, Marshall S.; Courter, James Andrew; Levitt family; Sturat, […]; Weill, Sanford I.; American Stock Exchange; Brandeis University; Defense Base Closure Commission; Hayden, Stone; Pre-SEC photos, v.p., 1967 - 1993, 6 8x10 b&w print, 3 8x10 color print, 1 5x7 color prints


Box 34 Folder 20 Carter, Jimmy; Clinton, Bill; Clinton, Hillary Rodham; Gore, Albert; Reagan, Ronald; White House , Washington, DC, 1980 - 1999, 13 8x10 color print, 1 4x6 color print

[Photos contain signatures and autographs by Carter, Reagan, Clinton, Gore]


Box 34 Folder 21 Block, Herbert; Dinkins, David; Photos with New York City Mayor David Dinkins, New York, NY, Aug. 18, 1993, 2 8x10 b&w print


Box 34 Folder 22 Carey, […]; Hunt, [Isaac C.]; Johnson, […]; Schuetze, Walter P.; Turner, Lynn E.; Unger, Laura; SEC Staff , Washington, DC,, n.d., 4 8x10 color print

[Photo by Greenfeld-Sanders, Timothy]


Box 34 Folder 23 Dingell, John D. Boston Globe, New York Times; Washington Post Newspaper Photos of SEC chairman, v.p., n.d., 2 8x10 color print, 1 8x10 b&w print

[Washington Post photo inscribed to Levitt by John Dingell]


Box 34 Folder 24 Brodsky, William J; Goldsberry, John W.; Goldsberry, William; Hartmann, Ulrich; Luthringshausen Wayne P.; Petzel, Todd; Sandner, Jack; Tully, Daniel P.; American Stock Exchange, Chicago Board Options Exchange; Chicago Mercantile Exchange; Merrill Lynch & Co; National Association of Securities Dealer; New York Stock Exchange, North American Securities Administration Association; Securities Industry Association; VEBA AG Industry Leaders, Chicago, IL; New York, NY, 1993 - 1998, 4 4x6 color print, 6 8x10 color print, 1 8x10 b&w print

[Copies of related correspondence enclosed. CBOE photos by Richard Shay,]


Box 34 Folder 25 Rukeyser, Louis Maryland Public Television [Wall Street Week], [MD], 1995, 11 8x10 color print

[Inscription by Rukeyser (2 prints). Photos by Susan Noonan]


Box 34 Folder 26 Gore, Albert; Swearing In for the 2nd SEC term, 1998, 6 4x6 color print

[Copy of the letter to Mr. Charles Burson of Apr. 29, 1998 re: swearing in.]


Box 34 Folder 27 George Washington University; Hofstra University Universities, Washington, DC; Hempstead, NY, n.d., 8 8x10 color print

[Hofstra Photos by Brian Ballweb, Garden City, NY]


Box 34 Folder 28 Cameron, Alan Australian Securities and Investment Commission Trips - Australia, n.p., n.d., 3 5x7 b&w prints, 1 5x7 color prints


Box 34 Folder 29 Trips - Egypt, Egypt, n.d., 4 5x7 color prints


Box 34 Folder 30 Arnon, Igai; Karet, […]; [Netanyahu, Benjamin]; Nissim, Moshe; Ofir, […]; Ronel, Shalon Israel Securities Authority Trips - Israel, Israel, [1994], 7 5x7 color prints

[Invitation in Hebrew enclosed. Photos by Sarit Uziely]


Box 34 Folder 31 Securities and Futures Commission Trips - Hong Kong, Hong Kong, [2000], 2 5x7 color prints, 3 4x6 color print, 5 4x5 color print

[Copy of the letter from Andrew Sheng of Jul. 31, 2000 enclosed]


Box 34 Folder 32 Public Education / Dallas Town Meeting., v.p., n.d., 2 8x10 b&w print, 3 5x7 color prints


Box 34 Folder 33 American Bar Association; Anti-Defamation League Associations, [1997], 4 5x7 b&w prints, 2 4x6 color print

[Copy of letter from Salomon Brothers' Simon M. Lorne enclosed]


Box 34 Folder 34 Various Photographs, 4 8x10 color print, 5 5x7 color prints, 5 5x7 b&w prints, 1 8x10 b&w print, 5 4x6 color prints and smaller


Sub-subseries VIII.3.2: Arthur Levitt Sr.


Box 34 Folder 35 Photos of A. Levitt, Sr., 8 b&w, 1 color


Box 34 Folder 36 Mark Bomse Contact Sheets of A. Levitt, Sr., 9 b&w


Box 34 Folder 37 Faximile of signatures of various politicians, including A. Levitt, NY State Comptroller

Series IX: Digital Materials

These materials were part of additions, donated by A. Levitt in 2002 and 2014.


Box 34 Folder 38 Selected Releases from the SEC Website, www.sec.gov, prepared by chairman A. Levitt, Sep. 1995 - Jan. 2001, CD-R

[primarily .html and .pdf files]


Box 34 Folder 39 Janelle Haskell Prime Time Radio; AARP Arthur Levitt (tracks 1 and 2), Oct. 15, 2002, 30:06 audio CD



Box 58 Item 2 C-Span Washington Journal "Dial-in Q&A with Arthur Levitt, October 16, 2008. (CD)


Box 58 Item 3 CBS Evening News "Arthur Levitt Interview", October 24, 2008. (CD)


Box 58 Item 4 Bloomberg "Night Talk" Mike Schneider with Arthur Levitt, November 6, 2008. (CD)


Box 58 Item 5 Bloomberg "Night Talk" Mike Schneider with Arthur Levitt, November 6, 2008. (CD).


Box 58 Item 6 Arthur Levitt at Indian River State College, March 2, 2009. (CD)


Box 58 Item 7-10 Various credit and home loan commercials, 2000s. (4 CDs)


Box 58 Item 11 Smooth jazz (CD)

Series X: SEC Work Files

All files in this series were part of additions, donated by A. Levitt in 2002. Original titles. General SEC subject files are followed by subseries arranged alphabetically by office of origin or subject.


Subseris X.1: General



Box 35 Folder 1 - 4 SEC Annual Reports, 1993 - 1999


Box 35 Folder 5 - 6 Legislative developments affecting SEC, 1993 - 2000


Box 35 Folder 7 SEC Press Releases Index, 1993 - 2000


Box 35 Folder 8 SEC Rules - proposed and final, 1993 - 2001



Box 36 Folder 1 Press Statements by Levitt, 1993 - 2000


Box 36 Folder 2 IPO Study on behalf of Philadelphia, Boston, Chicago and Pacific Stock Exchanges, Feb. 17, 1995


Box 36 Folder 3 The Common Sense Legal Reforms Act of 1995 (re: H.R. 10), Feb. 23, 1995


Box 36 Folder 4 Calendar for Levitt, 1996 - 2001


Box 36 Folder 5 Report to Congress re: Securities and Litigation Reform Act, Apr. 1997


Box 36 Folder 6 General Accounting Office GAO Draft Report to Congressional Committees, May 1997


Box 36 Folder 7 Confirmation Hearing Q&A, Mar. 25, 1998


Subseris X.2: Auditors' Independence

Files arranged chronologically by starting date.


Box 36 Folder 8 Commission on Auditors Responsibilities (Cohen Commission) Report, 1978


Box 36 Folder 9 Letters by SEC Chief Accountant, 1998 - 2000



Box 37 Folder 1 - 2 Press Articles on Auditor Independence, Jan. 2000 - Jul. 2000


Box 37 Folder 3 - 4 Public Hearing on Independence - Participant Binder, Jul. 26, 2000



Box 38 Folder 1 - 2 Public Hearing on Independence - Background Prep. Binder, Jul. 26, 2000


Box 38 Folder 3 - 4 Public Hearing on Independence - Supplemental Materials, Jul. 26, 2000


Box 38 Folder 5 Public Hearing on Independence - Transcript, Jul. 26, 2000


Box 38 Folder 6 Selected Letters from Small Firms, Aug. - Sep. 2000



Box 39 Folder 1 Industry and other support, Sep. - Nov. 2000


Box 39 Folder 2 - 3 Public Hearing on Independence - Participant Binder, Sep. 13, 2000


Box 39 Folder 4 - 5 Public Hearing on Independence - Participant Binder, Sep. 20, 2000


Box 39 Folder 6 Public Hearing on Independence - Participant Binder, Sep. 21, 2000


Box 39 Folder 7 US Senate, Securities Subcommittee, Banking Housing and Urban Affairs Committee Hearing on SEC Audit Rules - Transcript, Sep. 28, 2000


Subseris X.3: Division of Corporate Finance

Files arranged chronologically by starting date.



Box 40 Folder 1 Staff Legal Bulletin, Nos. 1 - 7, Feb. 1997 - Sep. 1998


Box 40 Folder 2 Plain English Proposal, Jun. 1997


Box 40 Folder 3 Significant Accomplishment, 1996 - 2000, [2000]


Box 40 Folder 4 Office of Small Business Policy, Dec. 2000


Box 40 Folder 5 - 8 Releases, 1995 - 2000


Subseris X.4: Division of Enforcement

Files arranged chronologically by starting date.



Box 41 Folder 1 BT Securities Corp; Bear Stearns Sec. Corp; Bennett Funding Group; Cendant; Dreyfus, Exchange Options (AMEX, CBOE, Pacific, Philadelphia); First Jersey; Livent, NASDAQ (filed under Certain Market Activities on NASDAQ) Significant Cases of Levitt's Tenure: Index + A - L, 1993 - 2000


Box 41 Folder 2 Milken, Michael R; O'Hagan, James; MC Group; NASD; NYSE; Paine Webber, PriceWaterhouseCoopers; Prudential Securities; Stratton Oakmont; Van Kampen Investment Advisory Group; W. R. Grace & Co. Significant Cases: M - Z, 1993 - 2000


Box 41 Folder 3 Municipal Securities Cases, 1994 - 2000


Box 41 Folder 4 Office of Internet Enforcement, 1996 - 2000


Box 41 Folder 5 Wheat First Securities Investigation, 1998


Box 41 Folder 6 Microcap Fraud, 1998 - 2000


Box 41 Folder 7 Significant Insider Training Actions, 2000


Box 41 Folder 8 Yield Burning Actions, 2000


Subseris X.5: Division of Investment Management

Files arranged chronologically by starting date.


Box 41 Folder 9 - 10 Public Utility Holding Company Act (PUCHA), 1992 - 2001



Box 42 Folder 1 Multi-Class Master Feeds, 1993 - 1995


Box 42 Folder 2 Money Market Funds Rule 12a-7, 1993 - 1996


Box 42 Folder 3 Large Firm Project, 1994


Box 42 Folder 4 Personal Investments of Investment Company Personnel (Rule 17j - 1), 1994 - 1999


Box 42 Folder 5 Mutial Funds, 1994 - 2000


Box 42 Folder 6 Releases on SEC Electronic Data Gathering Analysis and Retrieval System (EDGAR), 1994 - 2000


Box 42 Folder 7 Contingent Deferred Sales Loads (Rule 6c-10), 1995


Box 42 Folder 8 1995 Permitted Arrangements, 1995 - 1999


Box 42 Folder 9 Report on Compensation Practices, Apr. 10, 1995


Box 42 Folder 10 Technical Amendments, 12b-1, 1996


Box 42 Folder 11 Privately Offered Investment Companies, 1996 - 1997


Box 42 Folder 12 Independent Directors, 1999 - 2001


Box 42 Folder 13 Householding, Nov. 16, 1999


Box 42 Folder 14 Regulation S-P (Privacy of consumer financial info), 2000


Box 42 Folder 15 Electronic Signatures Exemption, 2000


Box 42 Folder 16 Significant Accomplishment, as of Dec. 15, 2000, Dec. 15, 2000


Subseris X.6: Division of Market Regulation

Files arranged chronologically by starting date.



Box 43 Folder 1 Net Capital Requirements, 1993 - 1997


Box 43 Folder 2 Municipal Securities Disclosure, Mar. - Nov. 1994


Box 43 Folder 3 Municipal Securities Rulemaking Board (MSRB) rule change on Pay-to-Play, Apr. 7, 1994


Box 43 Folder 4 Rule 19c-4 (shareholder voting rights), Dec. 19, 1994


Box 43 Folder 5 Rule 15c6-1 (T + 3- Three business days as standard settlement timeframe), [1995]


Box 43 Folder 6 Electronic Media Releases, 1995 - 2000


Box 43 Folder 7 Derivatives Policy Group, Mar. 1995


Box 43 Folder 8 Office of Interpretation and Guidance, Jul. - Aug. 1996


Box 43 Folder 9 Concept Release on regulation of Exchanges, [1997]


Box 43 Folder 10 Releases re: Year 2000, 1997 - 1998


Box 43 Folder 11 Security Arbitration Clinic, 1997 - 1998


Box 43 Folder 12 Rule 17a-4 (Reporting requirements), Feb. 12, 1997


Box 43 Folder 13 Report on Preferencing, Apr. 11, 1997


Box 43 Folder 14 New York Stock Exchange (NYSE) Rule 500, [Dec. 1997]



Box 44 Folder 1 Order Approving Order Audit Trail System (OATS) for National Association of Securities Dealers (NASD), Mar. 6, 1998


Box 44 Folder 2 Circuit Breaker Approval Order, Apr. 1998


Box 44 Folder 3 Technology Roundtable, Apr. 1998


Box 44 Folder 4 Tradepoint Exemption, Jul. 1998 - Mar. 1999


Box 44 Folder 5 OTC Derivatives Dealers, Nov. 3, 1998


Box 44 Folder 6 New Products Exemptions, Dec. 8, 1998


Box 44 Folder 7 Release on Exchanges and Alternative Trading Systems (ATS), Dec. 22, 1998


Box 44 Folder 8 Report on Hedge Funds, Apr. 1999


Box 44 Folder 9 Intermarket Trading System (ITS) Plan Amendments, Apr. 1999 - Jul. 1999


Box 44 Folder 10 Web Central Registration Depository (CRD), May 1999 - Jul. 1999


Box 44 Folder 11 Releases re: Options Linkage, Oct. 1999 - Jul. 2000


Box 44 Folder 12 Commodity Exchange Act (CEA) - Shad-Johnson, Nov. 1999 - Dec. 2000


Box 44 Folder 13 Market Data Concept Release, [2000]


Box 44 Folder 14 Decimalization, Jan. 2000 - Jun. 2000



Box 45 Folder 1 International Securities Exchange (ISE) Registration, Feb. 24, 2000


Box 45 Folder 2 National Money Laundering Strategy, Mar. 2000


Box 45 Folder 3 Electronic Communication Networks (ICN) and After-Hours Trading, Jun. 2000


Box 45 Folder 4 Releases re: Decimals, Jun. 8, 2000


Box 45 Folder 5 Order Execution Quality, Aug. - Dec. 2000


Box 45 Folder 6 Regulation S-P (Privacy of consumer financial info), [Nov. 2000]


Box 45 Folder 7 Payment for Order Flow, Dec. 19, 2000


Box 45 Folder 8 Regulation M, [Jan. 2001]


Box 45 Folder 9 Short Sale Concept Release, [Jan. 2001]


Box 45 Folder 10 Firm Quote and Trade Through Disclosure Rules, Feb. 1, 2001


Subseris X.7: International Accounting Standards Committee

Files arranged chronologically by starting date.



Box 46 Folder 1 Memoranda of Understanding: Australia, China, Egypt, Germany, Hong-Kong, india, Israel, Portugal, Russia, Singapore, South Africa, UK, 1993 - 2000


Box 46 Folder 2 I International Securities correspondence (copies), 1994 - 1998


Box 46 Folder 3 Litigation Releases (Lexis-Nexis), 1994 - 2000


Box 46 Folder 4 International Organization of Securities Commissions IOSCO, 1998 - 2000


Box 46 Folder 5 International Accounting Standards Committee, 1999 - 2001


Box 46 Folder 6 International Disclosure Standards, 2000


Box 46 Folder 7 International Accomplishments, 1993 - 2000, [Dec. 2000]


Subseris X.8: Office of Chief Accountant

Files arranged chronologically by starting date.



Box 47 Folder 1 Financial Accounting Foundation, 1996


Box 47 Folder 2 Financial Accounting Standards Board, 1996 - 1997


Box 47 Folder 3 Loan Loss Reserves, 1998 - 1999


Box 47 Folder 4 Staff Accounting Bulletin, Nos. 99 - 101, 1999


Box 47 Folder 5 Earnings Management, 1999 - 2000


Box 47 Folder 6 Audit Committee Disclosure, Jan. 2001


Box 47 Folder 7 OCA Significant Accomplishments, Jan. 2001


Subseris X.9: Office of Compliance, Inspection and Examination

Files arranged chronologically by starting date.


Box 47 Folder 8 OCIE Creation, 1995


Box 47 Folder 9 Memoranda of Understanding, 1995


Box 47 Folder 10 Sales Practice Sweep Report, Mar. 1996


Box 47 Folder 11 Mutual Fund Oversight, May 28, 1997


Box 47 Folder 12 Soft Dollar Sweep, Sep. 22, 1998


Box 47 Folder 13 Year 2000 Readiness, Jun. 1999


Box 47 Folder 14 Enforcement Action Against NYSE, Jun. 29, 1999


Box 47 Folder 15 Risk Management, Jul. 1999


Box 47 Folder 16 Day Trading Report, Feb. 25, 2000


Box 47 Folder 17 Limit Orders Report, May 4, 2000


Box 47 Folder 18 Enforcement Actions Against Options Exchanges, Sep. 11, 2000


Box 47 Folder 19 Payment for Order Flow, Dec. 2000


Box 47 Folder 20 OCIE Significant Accomplishments, Jan. 2001


Subseris X.10: Office of General Council

Files arranged chronologically by starting date.



Box 48 Folder 1 Blount, William B., 1994 - 1995


Box 48 Folder 2 USA vs. O'Hagan, 1996 - 2001


Box 48 Folder 3 Regulation FD, 1999 - 2000


Box 48 Folder 4 Garten Committee, 2000


Box 48 Folder 5 OGC Significant Accomplishments, Jan. 2001


Subseris X.11: Office of Investor Education and Assistance

Files arranged chronologically by starting date.


Box 48 Folder 6 Investor Education and Protection Initiatives, 1994


Box 48 Folder 7 Town Hall Meetings, 1995 - 2000


Box 48 Folder 8 General Information, 1995 - 2000


Subseris X.12: Office of Municipal Securities

Files arranged chronologically by starting date.


Box 48 Folder 9 Municipal Securities Correspondence (copies), 1994 - 1995


Box 48 Folder 10 Disclosure Obligations, Mar. 9, 1994


Box 48 Folder 11 Final Disclosure Rule, Nov. 1994


Box 48 Folder 12 Municipal Securities Disclosure (Rule 15c2 - 12), [Apr. 1995]



Box 49 Folder 1 Municipal Securities Cases and Materials, Apr. 1999


Box 49 Folder 2 First Annual Municipal Market Roundtable, Oct. 14, 1999


Box 49 Folder 3 Second Annual Municipal Market Roundtable, Oct. 12, 2000


Box 49 Folder 4 Municipal Securities Rules G-37 and G-38, [2000]


Box 49 Folder 5 OMS Significant Accomplishments, 1995 - 2000, Dec. 2000

Series XI: NEA Controversy

Arthur Levitt strongly advocated continued public funding for NEA without content restriction. Files arranged chronologically by starting date.


Box 49 Folder 6 NEA Speech File, 1988 - 1992


Box 49 Folder 7 Levitt's Congressional Testimonies, 1990 - 1992


Box 49 Folder 8 News Clippings, 1990 - 1992


Box 49 Folder 9 Frohnmayer, John E. ; Leventhal, Nathan National Endowment of Arts, Lincoln Center for Performing Arts Levitt's Wall Street Journal Article on NEA and related correspondence, Jun. 1990


Box 49 Folder 10 Doctorow, E. L.; Goldmark, Peter C.; Keillor, Garrison Rockefeller Foundation NEA Congressional Testimonies, 1991


Box 49 Folder 11 Levitt's Luncheon Address: Getting to 2000 - No Easy Answers For the Arts for the Arts and Business Council Symposium, and associated correspondence, Oct. - Dec. 1991


Box 49 Folder 12 Americans and the Arts VI poll by Louis Harris, 1992

Series XII: Oversized Documents



Flat Box 344 Folder 1 Bush, George President of the USA Certificate appointing Arthur Levitt as a member of the Defense Base Closure and Realignment Commission, Jan. 8, 1993


Flat Box 344 Folder 1 Clinton, William Jefferson President of the USA Certificate appointing Arthur Levitt as a member of the Defense Base Closure and Realignment Commission, Mar. 5, 1993


Flat Box 344 Folder 2 Scrapbook pages containing newspaper clippings on A. Levitt Sr., 1967 - 1978, 11


Flat Box 344 Folder 3 Mounted portrait photographs of Mr. and Mrs. Arthur Levitt, Sr. and Dorothy Wolff Levitt, n.d.


Flat Box 344 Folder 4 Images of A. Levitt Jr. with father, A. Levitt., n.d.


Flat Box 344 Folder 5 Polytechnic Preparatory Country Day School Issue of Polygon newspaper with article about A. Levitt Jr. as a officer at US Air Force., Brooklyn, NY, Feb. 6, 1953


Flat Box 344 Folder 6 Hayden, Stone Inc. Copy of Fortune Magazine article The Unbelievable Last Month of Hayden, Stone- with photo of A. Levitt, Jr., Jan. 1971


Flat Box 344 Folder 7 Mounted photo from a table-top exhibit: Arbitrageur Ivan Boesky, commissioner Edward H. Fleischman, American Stock Exchange Chairman Arthur Levitt Jr.., n.d.


Flat Box 344 Folder 8 New York Times Clipping original Steaming to Serenity at the Turkish Baths, with note and signed by Dick D., New York, NY, May 10, 1991


Flat Box 344 Town Hall Meeting Scrapbook , Philadelphia, PA, Jan. 16, 2001

Series XIII: SEC Correspondents Index

This index desribes Arranged Correspondence - SEC Photocopies subseries


Aaron, David L Organization for Economic Cooperation and Development - US Representative, FROM: Dec. 4, 1996; TO: Dec. 30, 1996;


Abernathy, E. H. New Zealand Securities Commission, TO: May 7, 1996


Abraham, Spencer US Senate, FROM: Dec. 16, 1999; TO: Feb. 10, 2000;


Abrams, Bernard, TO: Apr. 20, 1995


Abramson, Julie Australian Securities and Investment Commission, Australia, TO: Aug. 9, 2000;


Abramson, Karin White House - Intern Program, TO: Feb. 21, 1996 (RE: Rivera-Dirks, John)


Ackerman, Gary L. US House of Representatives, FROM: Mar. 17, 1997; May 14, 1997; Feb. 24, 1998; TO: Apr. 30, 1997; Mar. 18, 1998;


Ackermann, Josef Deutsche Bank AG, Germany, TO: Apr. 25, 1997; Jan. 5, 1999;


Adams, Jeffrey Dean Witter Reynolds, TO: Feb. 17 1995


Agostino, Anthony, FROM: Oct. 9, 2000; TO: Oct. [26], 2000;


Akaka, Daniel K. US Senate, TO: Nov. 20, 1997;


Albrecht, W. Steve Brigham Young University, FROM: May 23, 1997; TO: Jun. 27, 1997;


Albright, Madeline US Department of State - Secretary, TO: Dec. 12, 1996; Apr. 24, 1997;


Alcantara, Joyce Ministry of Finance, Trinidad and Tobago (Permanent Secretary), TO: Jan. 25, 1995


Aliber, Robert Z. University of Chicago, IL - Graduate School of Business, FROM: Jun. 25, 1999; TO: Jul. 13, 1999;


Allard, Wayne US Senate, FROM: May 18, 1998; Oct. 3, 2000; TO: Jul. 10, 1998; Sep. 18, 2000; Nov. 3, 2000;


Allardice, Robert Deutsche Morgan Grenfell Inc., TO: Apr. 8, 1998;


Allen, William T. New York University School of Law; Independence Standards Board., TO: Aug. 29, 1997; Jan. 7, 1999 (Turner, Lynn);


Allison, Graham Harvard University, JFK School of Government, TO: Oct. 21, 1998;


Allison, Herbert C. Merrill Lynch & Co., Inc., TO: Jan. 30. 1997; Oct. 17, 1997;


Al-Otabi, Hisham S. Kuwait Stock Exchange Commission, FROM: Jul. [12], 1996; TO: Jul. 23, 1996;


Adduci, Jeffrey Regional Investment Bankers Association, FROM: Sep. 18, 1997; TO: Nov. 17, 1997;


Albertine, Jack Albertine Enterprises, Inc., TO: Oct. 23, 1995; Mar. 6, 1996


Alda, Alan Martin Bregman Productions, TO: Mar. 1, 1996


Alford, Joan C. Dolphin Financial Advisors, TO: Apr. 20, 1995


Allbritton, Joseph Riggs Bank, TO: Oct. 21, 1998;


Allecta, Julie Paul, Hastings, Janofsky & Walker, LLP, TO: Mar. 16, 1999;


Allen, John H., FROM: Nov. 13, 1995; TO: Jan. 18, 1996


Allen, Ronald W. Delta Airlines (CEO), TO: Jan. 6, 1995; May 1, 1995


Alvarez, Aida Office of Federal Housing Enterprise Oversight, FROM: May 1, 1995; TO: May 31, 1995


Ambler, Diane E. Meyer, Brown & Platt, TO: Mar. 16, 1999;


Ameen, Philip D. Financial Executives Institute, TO: Nov. 22, 2000 (+auditors independence mailout list);


Amos, Daniel P. AFLAC, Inc., TO: Apr. 20, 1995; May 2, 1996


Anderson, Anna Washington Service, FROM: Mar. 5, 1997; TO: Mar. 13, 1997 (Butler, Wilson A.);


Anderson, Debbie Federal Bar Association, TO: May 15, 1997 (RE: McLucas, William);


Anderson, Diane Philadelphia Stock Exchange, TO: Feb. 17 1995


Anderson, Hugh Council on Economic Education, NV, TO: May 14, 1998;


Andresen, Matthew Island ECN, Inc., FROM: Aug. 15, 2000; TO: Sep. 18, 2000;


Arbor, Patrick H. Chicago Board of Trade, FROM: Feb. 18, 1997; TO: Mar. 4, 1997;


Archer, Bill US House of Representatives, TO: Mar. 27, 1995; Jan. 19, 1996;


Arias Sanchez, Rodrigo Bolsa Nacional de Valores, S.A., Costa Rica, FROM: Sep. 11, 1997; Apr. 16, 1998; TO: Oct. 16, 1997; May 15, 1998;


Armey, Richard K. US House of Representatives, TO: Mar. 27, 1995


Arms, Abigail US SEC - Division of Corporation Finance, TO: Oct. 11, 1995


Armstrong, James Sinclair Whitman, Breen, Abbott & Morgan, FROM: Mar. 13, 1995; TO: Mar. 27, 1995; Apr. 5, 1995; Oct. 5, 1995; Nov. 5, 1996;


Arnold, Thomas Treasury and Civil Service Committee, UK, FROM: Mar. 15, 1995; TO: Jan. 30, 1995 (Greenspan); Apr. 18, 1995


Aronson, Tracey E. US SEC - Counsel, FROM: Jan. 20, 2000 (Spemann, Thomas);


Artzt, Edwin L. Procter & Gamble Company, FROM: Jun. 14, 1995; TO: Jun. 28, 1995


Ascher, William Claremont McKenna College, FROM: Sep. 4, 2000; TO: Oct. 18, 2000 (Hannigan, Barbara);


Atkin, Doug M. Instinet, TO: Oct. 15, 1999;


Atkins, Paul S. Coopers & Lybrand, FROM: Nov. 11, 1994; Mar. 14, 1996; TO: Apr. 30, 1996


Auch, Walter E., FROM: Sep. 30, 1995; TO: Oct. 24, 1995


Austin, Richard J.C. Bradford & Co., TO: Feb. 17 1995


Avril, George J. Nagdeman & Company, Inc., FROM: Aug. 14, 1996; TO: Aug. […], 1996


Babbitt, Bruce Secretary of the Interior, TO: Nov. 18, 1998;


Bachman, John W. Edward D. Jones & Co., FROM: Jan. 10, 1995; Apr. 3, 1998; Jun. 17, 1999; Jan. 25, 2001; TO: Mar. 2, 1995; Apr. 20, 1995; Jun. 7, 1995; Oct. 18, 1995; Oct. 23, 1995 (+list); Jan. 19, 1996; Apr. 15, 1998; Jul. 15, 1999; Sep. 28, 1999; Jan. 29, 2001;


Bailey, Andrew D. University of Illinois, Urbana-Champaign, IL, Sep. 20, 1996; TO: Oct. 29, 1996


Bailey, Joseph A. New York Stock Exchange, TO: Feb. 17 1995


Bair, Elizabeth US SEC - Northeast Regional Office, TO: Feb. 24, 1995


Baker, Russell Office of the Secretary of State, USA, TO: Apr. 21, 1995


Baker, William, FROM: Feb. 13, 1994 (personal file)


Baladi, Andre Andre Baladi & Associates, Switzerland, FROM: Apr. 20, 1995; TO: May 19, 1995


Balamaci, Nicholas S. US SEC - Office of Public Affairs, Policy Evaluation & Research, TO: Feb. 17 1995; Sep. 29, 1995; FROM: May 27, 1997;


Baird, Brent D., FROM: Apr. 26, 1996; TO: May 8, 1996;


Baker, Howard American Stock Exchange, TO: Feb. 17 1995; Sep. 29, 1995; FROM: May 27, 1997;


Baker, Howard H. US Senate, TO: Mar. 2, 1998


Baker, Len Sutter Hill Ventures, TO: Jun. 13, 2000;


Baker, Nat Boy Scouts of America, TO: Mar. 24, 1998


Baker, Richard H. US House of Representatives, FROM: Feb. 28, 1995; Nov. 20, 1997; TO: Mar. 10, 1995; Aug. 25, 1995 (Maco); Feb. 25, 1998; Apr. 15, 1998; Sep. 30, 1998;


[Bandzwoler], Joseph, FROM: Aug. 7, 1998;


Barbash, Barry US SEC - Division of Investment Management; Shearman & Sterling, FROM: Aug. 10, 1998; TO: Feb. 13, 1998; Feb. 26, 1999; Mar. 16, 1999; Oct. 20, 1999;


Barchilon, Rene, FROM: Aug. 3, 1993; TO: Aug. 12, 1993


Balducchi, Deborah K. US SEC - Office of Equal Employment Opportunity, TO: Oct. 30, 1998; Feb. 26, 1999;


Baris, Jay G. Kramer, Levin, Naftalis & Frankel, LLP, FROM: Feb. 25, 1999; TO: Mar. 25, 1999;


Barclay, Betsy E*Trade Group, Inc., FROM: Jul. 25, 2000; TO: Aug. 9, 2000;


Barnes, Liz-Ann New York Stock Exchange Market Surveillance, TO: Feb. 8, 1995


Barnett, Jonathan S. Securities Industry Association, FROM: Jul. 23, 1993; TO: Aug. 4, 1993


Baron, Neil D. Fitch Investors Service, L.P., FROM: Feb. 3, 1995; TO: Feb. 21, 1995


Barr, Bob US House of Representatives, FROM: Mar. 28, 2000; TO: Apr. 3, 2000;


Barr, Clifford, FROM: Jul. 9, 1996; Apr. 14, 1999; TO: Jul. 19, 1996; May 18, 1999;


Barram, David General Services Administration, TO: Mar. 11, 1996


Barrentine, Glen US SEC - Division of Market Regulation, TO: Feb. 17 1995


Barrett, Matthew W. Bank of Montreal, Ontario, Canada, FROM: Dec. 18, 1995; TO: Jan. 16, 1996;


Barrett, Thomas M. US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996; May 3, 2000;


Barry, Marion Mayor, DC, TO: Dec. 24, 1996;


Barry, Poala Department of Banking, CT - Division of Securities, TO: Feb. 17 1995


Barry, Robert US Embassy, Indonesia - Ambassador, TO: May 5, 1995


Barshefsky, Charlene US Trade Representative, TO: Nov. 5, 1996


Bartell, Michael E. US SEC, TO: Oct. 4, 1995


Bartley, Robert L. Wall Street Journal, TO: Aug. 15, 1995; Mar. 26, 1997; Apr. 15, 1998; May 18, 1999; Aug. 19, 1999; Jan. 29, 2001;


Barton, Joe US House of Representatives, FROM: Sep. 26, 1996; Feb. 13, 1997; TO: Mar. 27, 1995; Oct. 28, 1996; Mar. 14, 1997;


Battista, Felicia US SEC - Division of Corporation Finance, TO: May 3, 1995; Oct. 23, 1995


Bauer, Charles H., TO: Apr. 20, 1995


Bauer, Robert A., TO: Apr. 20, 1995


Baumann, Karl-Hermann Supervisory Board, Germany, TO; Jan. 29, 2001;


Bayer, Daniel S. British-American Chamber of Commerce, From: Nov. 27, 1995; TO: Dec. 21, 1995


Bayh, Evan US Senate, FROM: May 25, 2000 (see Jun. 21, 2001, Mason, Eli); TO: Jul. 17, 2000;


Bayless, David B. US SEC - San Francisco District Office, CA, FROM: Sep. 25, 1995 (personal file); TO: Dec. 30, 1996;


Bayless, Robert US SEC - Division of Corporation Finance, TO: Mar. 16, 1995; Oct. 11, 1995


Beattie, Richard I. Simpson, Thacher & Bartlett, FROM: Aug. 2, 1993; TO: Aug. 9, 1993


Belluck, Robert US SEC, TO: Sep. 29, 1995


Benardete, Steven M. Securities Industry Association, FROM: Dec. 31, 1996; TO: Jan. 15, 1997;


Bender, Gerard, TO: Apr. 20, 1995


Becker, JoAnne E. LNC Equity Sales Corporation, TO: Apr. 20, 1995


Beebe, Jodi Utility Consumers' Action Network, FROM: May 9, 2000; TO: Jun. 20, 2000;


Beemer, David, FROM: Nov. 13 1995; TO: Dec. 7, 1995


Beese, Carter Center for Strategic & International Studies; Alex Brown International;, FROM: Oct. 7, 1996; Jan. 27, 1997; TO: Apr. 26, 1995; Oct. 29, 1996; Feb. 12, 1997


Behr, Soma Golden New York Times, TO: Mar. 28, 1995


Behrmann, Matthew P., TO: Apr. 22, 1996


Bela, Richard J. Hispanic Association on Corporate Responsibility, FROM: Oct. 9, 1998; TO: Oct. 16, 1998;


Belash, Judith Goldman Sachs & Co., TO: Feb. 17 1995


Bender, Mary Chicago Board Options Exchange, TO: Dec. 5, 1995


Benn, Caroline M. Bond Market Association, TO: Apr. 14, 1998;


Bennett, Marshall National Association of State Auditors, Comptrollers and Treasurers., FROM: May 24, 1996; TO: Jul. 16, 1996;


Bennett, Robert F. US Senate, FROM: Feb. 21, 1995; Feb. 27, 1997; Nov. 12, 1998; May 24, 1999; Dec. 16, 1999; May 25, 2000 (filed under Jun. 21, 2001, Mason, Eli); TO: Jan. 17, 1995; Mar. 2, 1995; Jun. 7, 1995; Apr. 15, 1997; Nov. 20, 1997; Apr. 7, 1998; Nov. 20, 1998; Mar. 5, 1999;


Bentsen, Kenneth E. US House of Representatives, FROM: Aug. 20, 1999; TO: Mar. 27, 1995; Aug. 26, 1999;


Bentsen, Lloyd US Department of Treasury, FROM: Nov. 3, 1994 ( Waigel, Theodore)


Benzie, J. Peter Chase Manhattan Investment Services, FROM: Feb. 16, 1995; TO: Mar. 22, 1995; Apr. 20, 1995


Berardino, Joseph F. Arthur Andersen, LLP, TO: Nov. 27, 2000


Beresford, Dennis R. Financial Accounting Standards Board; University of Georgia - J.M. Tull School of Accounting, FROM: Jan. 6, 1995; Mar. 9, 1995; Jul. 31, 1995; Apr. 5, 1996; May 19, 1997; Apr. 6, 1998; TO: Jan. 19, 1995; Mar. 16 1995; Aug. 29, 1995; Dec. [5], 1995; Apr. 24, 1996; Apr. 15, 1998;


Berg, David, FROM: Dec. 8, 1994


Berger, David, Esq. Berger & Montague, P.C., FROM: Jul. 29, 1993; TO: Aug. 4, 1993


Berko, Malcolm Trading Stock, FROM: Jun. 14, 1995; TO: Jun. 28, 1995


Berkson, Edward J. Locust Street Securities, Inc., FROM: Dec. 1, 1997; TO: Mar. 4, 1998


Berlanda, Enzo Comissione Nazionale per le Societa e la Borsa, Italy, FROM: Aug. 11, 1993; Feb. 2, 1996; TO: Aug. 18, 1993; Feb. 6, 1996; Feb. 27, 1996; Dec. 26, 1996;


Berman, Howard L. US House of Representatives, FROM: Oct. 10, 1996; Dec. 10, 1997; TO: Dec. 10, 1996; Jan. 20, 1998;


Berman, Norman New York University Leonard N. Stern School of Business, TO: May 2, 1995


Berry, Joanah US SEC - Office of Investor Education, TO: Dec. 3, 1998;


Bertera, William J. American Public Works Association, TO: Jan. 9, 1997;


Berthel, Thomas J. Berthel Fisher & Co Financial Services Inc., FROM: Apr. 21, 1997; TO: May 22, 1997;


Bertram, Janine, TO: Aug. 14, 1997


Beyer, John T. PFS Investments, Inc., TO: Apr. 20, 1995


Bialkin, Kenneth J. Skadden, Arps, Slate, Meagher & Flom, TO: Oct. 23, 1995; Mar. 6, 1996; May 7, 1996; Mar. 5, 1998


Bibliowicz, Jessica Smith Barney; John A. Levin & Co.;, TO: Mar. 8, 1995; Mar. 16, 1999;


Biggins, J. Veronica Heidrick & Struggles, FROM: [Jul.], 1997; TO: Jul. 23, 1997;


Biggs, John H. TIAA-CREF, FROM: Jul. 15, 1999; TO: Nov. 6, 1996; Aug. 16, 1999; Nov. 27, 2000;


Bilbray, Brian P. US House of Representatives, TO: Feb. 18, 1997


Billici, George W. Cravath, Swaine & Moore, TO: Dec. 23, 1996;


Bindenagel, J.D. US Embassy, Germany, FROM: May 21, 1997; TO: Apr. 25, 1997; Jul. 16, 1997;


Binder, Gordon M. Amgen, Inc., TO: May 1, 1995


Birnbaum, Robert J., FROM:Jun. 21, 1999; TO: Jul. 21, 1999;


Bishop, Keith Paul Department of Corporations, CA, FROM: Nov. 13, 1996 (See also Griffin, Mark, Jan. 27, 1997); TO: Jan. 17, 1997;


Bishop, William G. Institute of Internal Auditors, FROM: Jun. 6, 1997; TO: Jun. 27, 1997; Jun. 13, 1999;


Bingaman, Jeff US Senate, FROM: Apr. 21, 1999; TO: Jun. 14, 1999;


Birgfeld, Frank J. National Association of Securities Dealers Regulation, Inc., TO: May 14, 1998;


Black, Ella M. US SEC - Office of Municipal Securities, TO: Feb. 5, 1996


Blackmore, Robert L., FROM: Apr. 30, 1998; TO: May 11, 1998;


Blair, Shila, C. Commodity Futures Trading Commission, FROM: Jul. 30, 1993; TO: Aug. 4, 1993


Blair, Warren E. US SEC - Chief Administrative Law Judge, FROM: Feb. 28, 1994


Blandin, Don American Savings Education Council, TO: Apr. 14, 1998; May 22, 2000;


Blant, Roy US House of Representatives, FROM: Sep. 27, 2000; TO: Oct. 31, 2000;


Blaydon, Colin C. Dartmouth College, TO: Apr. 26, 1995


Blea, Arthur Pojoaque Valley Schools, TO: Jun. 19, 1996 (RE: John Rivera-Dirks)


Blezarde, Thomas Williams Alumni Review, TO: Aug. 27, 1998;


Bliley, Thomas J. US House of Representatives, FROM: Mar. 3, 1996; Mar. 5, 1996; Apr. 23, 1996; Feb. 5, 1997; May 2, 1997; May 23, 1997 (filed under Buffet, Warren, Aug. 25, 1997); Jun. 16, 1997; Apr. 24, 1998; Nov. 18, 1998; Jan. 20, 2000; Apr. 3, 2000; May 8, 2000; Jun. 20, 2000; Jul. 13, 2000; T


Block, Dennis J. Cadwalader, Wickersham & Taft, TO: May 30, 2000;


Bluestain, Sanfurd G., FROM: Oct. [21], 1997; Sep. [20], 1999; TO: Aug. 6, 1993; Oct. 30, 1997; Oct. 12, 1999;


Blum, Andrew M. C.E. Unterberg, Towbin International, FROM: Jun. 8, 2000; TO: Jun. 14, 2000;


Blumenthal, Richard Attorney General, CT, FROM: Sep. 21, 2000; TO: Oct. 31, 2000; Nov. 27, 2000;


Blunt, Roy US House of Representatives, FROM: Jul. 9, 1997; Sep. 27, 2000; TO: Aug. 1, 1997; Nov. 14, 1997; Oct. 31, 2000;


Boaz, Thomas M., TO: Apr. 20, 1995


Boehmler, Sarah Porter, FROM: Feb. 5, 1997; TO: Feb. 14, 1997


Boehner, John A. US House of Representatives, FROM: Feb. 2, 1999; TO: Feb. 23, 1999;


Boggs, Lindy Tulane University, TO: May 2, 1996


Bogle, John C. (Jack) Vanguard Group, FROM: May 19, 1998; Feb. 22, 1999; TO: Apr. 26, 1995; Jun. 19, 1998; Dec. 1, 1998; Mar. 5, 1999; Mar. 31, 1999; Nov. 27, 2000;


Bohan, Gloria Omega World Travel, TO: Mar. 18, 1997 (RE: Downs, Phil); Oct. 28, 1997;


Bollinger, Debra M. Division of Securities, SD (Director), TO: Apr. 21, 1995


Bon, Helene Federation des Experts Comptables Europeens, Belguim, FROM: Jan. 24, 2000; TO: Mar. 27, 2000;


Bond, Christopher S. US Senate, TO: Apr. 7, 1997; Mar. 31, 1999;


Bonilla, Henry US House of Representatives, TO: Mar. 27, 1995


Bonior, David E. US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996


Booker, Walter K. Sponsors for Educational Opportunity, FROM: Feb. 9, 1998; TO: Mar. 18, 1998;


Bookey, Jack H. US SEC - Seattle Office, FROM: Jul. 29, 1993; TO: Aug. 4, 1993


Booren, Steve Smith Barney Shearson, Inc, TO: Apr. 20, 1995


Boosalis, Helen American Association of Retired Persons, TO: Apr. 20, 1995; May 2, 1996


Borchers, Eric S. Boy Scouts of America, TO: Jul. 17, 1998;


Borders, Brian T. Association of Publicly Traded Companies, FROM: Feb. 23, 1995; TO: Feb. 24, 1995


Borg, Joseph Securities Commission, CA, TO: Apr. 21, 1995; Oct. 25, 1995 (+list)


Boris, James R. Kemper Securities, Inc., TO: Mar. 2, 1995; Apr. 20, 1995; Jun. 7, 1995


Born, Brooksley Commodity Futures Trading Commission, FROM: Dec. 9, 1996; Jan. 7, 1997; Jan. 28, 1997; Feb. 5, 1997; Feb. 10, 1997; Feb. 14, 1997; TO: Dec. 26, 1996; Jan. 17, 1997; Feb. 7, 1997; Feb. 14, 1997;


Bortner, Deborah Securities Division, WA, TO: Apr. 21, 1995


Bosley, Daniel US House of Representatives, TO: May 9, 1995


Bothwell, James L. US Government Accounting Office, FROM: Sep. 26, 1995 (filed under Hatfield, Nov. 15, 1995)


Boucher, John US SEC, TO: Sep. 29, 1995


Bowden, William P. Societe Generale USA, FROM: Mar. 7, 1997; TO: Apr. 4, 1997;


Bowlding, Michael US SEC - Print Shop, TO: Oct. 6, 1997;


Bowles, Erskine B. White House - Deputy Chief of Staff; Forstmann Little & Co., FROM: Dec. 18, 1996; TO: Jun. 12, 1995; Dec. 4, 1996; Dec. 10, 1997; Jan. 29, 2001;


Bowman, Thomas A. Association for Investment Management and Research, FROM: Dec. 14, 1994; TO: Jan. 11, 1995


Bowsher, Charles A. US Comptroller General; Public Oversight Board;, FROM: Jun. 27, 1996; Dec. 9, 1999 (Turner, Lynn); TO: Aug. 22, 1996; Aug. 26, 1996; May 27, 1997(Balamaci, N.); Dec. 21, 1999 (Turner, Lynn);


Box, Michael House of Representatives, AL, FROM: Mar. 18, 1997; TO: Mar. 26, 1997;


Boxer, Barbara US Senate, FROM: Jan. 23, 1995; TO: Feb. 6, 1995; Feb. 7, 1995


Boyce, Ralph US Embassy, Thailand, TO: May 5, 1995;


Boyles, Harlan E. Treasurer, NC, FROM: Feb. 4, 1994 (Clinton, William); Nov. 3, 1995; TO: Nov. 27, 1995;


Breeden, Richard C. Coopers & Lybrand; Richard C. Breeden & Co., TO: Aug. 6, 1993; Jul. 7, 1995; Oct. 5, 1995; Apr. 15, 1996; Nov. 5, 1996; Nov. 6, 1996; Jul. 28, 2000;


Brennan, John J. Vanguard Group, FROM: May 9, 1996; Apr. 7, 1998; TO: Jun. 5, 1996; Apr. 23, 1998; Oct. 13, 2000; Jan. 29, 2001;


Brennan, John C. Vanguard Group, TO: Apr. 17, 1998;


Brennan, Ursula, TO: Apr. 20, 1995


Brademas, John New York University - President Emeritus, FROM: Apr. 23, 1999; TO: May 18, 1999;


Bradford, J.C. J.C. Bradford & Co., TO: Aug. 23, 1995


Bradley, Harold S. American Century, TO: Oct. 15, 1999;


Brady, M. Jane Office of Attorney General, DE, FROM: Sep. 25, 1997; TO: Oct. 16, 1997;


Brakatselos, George Bond Market Trade Association - Municipal Securities Division, TO: Jan. 9, 1997;


Braun, David B. US SEC, TO: May 7, 1996


Bredesen, Philip Mayor, Nashville, TN, TO: Aug. 21 1995


Breuer, Rolf Deutsche Bank AG, Germany, TO: Dec. 24, 1998;


Breyer, Stephen G. US Supreme Court, TO: Oct. 5, 1998;


Brickman, Mark US SEC - Web Development, TO: Sep. 29, 1995


Bridger, Jeffrey DLS Group, Inc., TO: Feb. 17, 1995


Brill, Jesse M. Corporate Counsel, FROM: Mar. 7, 1996; TO: Mar. 22, 1996;


Brinkley, James W. Legg Mason Wood Walker, Inc., FROM: Jul. 27, 2000; TO: Aug. 15, 2000;


Brittan, Leon UBS Warburg, UK, TO: Jan. 29, 2001;


Broadnax, Walter D. American University - School of Public Affairs, FROM: Aug. 16, 2000; TO: Nov. 2, 2000;


Brodkin, A. Keith Massachusetts Financial Services, FROM: Jul. 3, 1997; TO: Aug. 26, 1997;


Brodsky, William J. Chicago Mercantile Exchange; Chicago Board Options Exchange, FROM: Aug. 6, 1993; May 3, 1995; Jun. 21, 1995; Nov. 10, 1995; Mar. 20, 1998; Sep. 28, 1999; Oct. 7, 1999; Dec. 6, 1999; Jul. 31, 2000; TO: Aug. 23, 1993; May 22, 1995; Jul. 17, 1995; Sep. 13, 1995; Nov. 30, 1995; Jul. 29, 1997; Jan. 28, 1998; May 8, 199


Brody, Christopher W. E.M. Warburg, Pincus & Co., Inc., FROM: Jul. 17, 1996; TO: Jul. 31, 1996;


Bromark, Raymond, TO: May 11, 1998;


Bronstein, Louis, TO: Apr. 20, 1995


Brooks, E. R. Central and South West Corp., TO: Dec. 5, 1997


Brooks, Russell J. Market Profile Theorems, Inc., FROM: Mar. 29, 1995; TO: Apr. 18, 1995


Brophy, Mary Alice Dain Bosworth Inc., TO: Feb. 17, 1995


Brophy, Raymond C. Judiciary Plaza Limited Partnership, FROM: Apr. 13, 1998; TO: Apr. 15, 1998;


Brotbaker, Teri A. US SEC - Northeast Regional Office, TO: Feb. 24, 1995


Brown, David A. Ontario Securities Commission, Canada, TO: Mar. 3, 1999; Nov. 27, 2000;


Brown, George E., Jr. US House of Representatives, FROM: Oct. 10, 1996; Dec. 10, 1997; TO: Dec. 10, 1996; Jan. 20, 1998;


Brown, Janet H. Commission on Presidential Debates, FROM: Jan. 25, 2001; TO: Jan. 29, 2001;


Brown, John W. Stryker Corporation, FROM: Sep. 3, 1996;


Brown, Ronald H. US Department of Commerce, TO: Mar. [14], 1995


Brown, Sherrod US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996;


Brown, Stephen L. John Hancock Mutual Life Insurance Company, FROM: Apr. 3, 1996; TO: Mar. 2, 1995; Apr. 20, 1995; May 1, 1995; Apr. 30, 1996;


Brownback, Sam US Senate, TO: Nov. 20, 1997;


Brubaker, Matthew S. Boy Scouts of America, TO: Jul. 17, 1998;


Brundisi, Geraldine M., TO: Aug. 12, 1993


Bruns, Hans-Georg Daumier-Benz AG, FROM: Nov. 15, 1995; Jan. 11, 1996; TO: Jan. 2, 1996; Feb. 5, 1996


Bryan, John H. Sara Lee Corporation, FROM: Feb. 4, 2000; TO: Feb. 9, 2000;


Bryan, Richard US Senate, FROM: Apr. 21, 1995; TO: May 11, 1995; Mar. 5, 1999;


Bryant, John US House of Representatives, TO: Mar. 27, 1995


Bryant, Keith, Jr. Institute of Management Accountants, FROM: Mar. 25, 1998; TO: Apr. 16, 1998;


Buchalter, Stuart D. Buchalter, Nemer, Fields & Younger, FROM: Jan. 29, 1996; TO: Feb. 16, 1996;


Buckham, Rod The PatriotMini Storage, Inc., FROM: [Apr. 10], 1998; TO: Apr. 27, 1998;


Budge, Hamer H., FROM: Feb. 22, 1999; TO: Oct. 5, 1995; Nov. 5, 1996 (filed under Oct. 28, 1997); Oct. 28, 1997; Mar. 9, 1999;


Buesinger, Ronald E. A.G. Edwards & Sons, Inc., TO: Feb. 17, 1995; Apr. 26, 1995


Buffett, Warren E. Bershire Hathaway, Inc., FROM: Aug. 21, 1995; Mar. 29, 1999; Aug. 7, 2000; Oct. 31, 2000; TO: May 1, 1995; Sep. 13, 1995; Feb. 10, 1997; Aug. 25, 1997; Jun. 23, 1998; Apr. 5, 1999; Apr. 12, 1999; Aug. 21, 2000;


Bumpers, Dale US Senate, FROM: Jul. 14, 1993 (Mary Shapiro); TO: Aug. 3, 1993


Burdick, Brad Internet Multicasting Service, TO: Oct. 10, 1995


Burnett, Robert US SEC - Division of Corporation Finance, TO: Oct. 11, 1995


Burnham, Christopher B. Treasurer, CT., FROM: Aug. 21, 1995; TO: Sep. 21, 1995


Burnham, I. W. Burnham Asset Management Corp., FROM: Oct. 9, 1995; TO: Oct. 25, 1995;


Burnham, I. W., II Burnham Securities, Inc., FROM: May 31, 1996; Aug. 11, 1999; TO: Jun. 13, 1996; Sep. 2, 1999


Burson, Charles Office of Vice-President, USA, TO: Apr. 29, 1998;


Burstein, Daniel Blackstone Group, TO: Mar. 26, 1996;


Burton, Dan US House of Representatives, TO: Mar. 13, 1998; Jul. 20, 1998; Jan. 4, 1999; Mar. 3, 2000; Aug. 22, 2000;


Busch, Cheryl Charlie National Association of Securities Dealers, TO: Feb. 17 1995; Aug. 24, 1995


Bush, George H. President, USA, TO: Nov. 24, 1998;


Butler, Jonathan US SEC - Operations, TO: Sep. 29, 1995


Butler, Saumel C. Cravath, Swaine & Moore, TO: Feb. 27, 1998;


Butler, Stephen KPMG, LLP, TO: Oct. 3, 2000; Nov. 27, 2000; Jan. 29, 2001; Jan. 29, 2001;


Butowsky, David M. Gordon Altman Butowsky Weitzen Shalov & Wein, TO: Mar. 16, 1999;


Byerly, Thomas J. Franklin Financial Services Corporation, TO: Mar. 2, 1995; Apr. 20, 1995


Byrne, Leslie L. White House - Special Assistant to the President, FROM: Mar. 26, 1997; TO: Apr. 21, 1997;


Burnes, Nanette Business Week, TO: Apr. 15, 1999;


Caccese, Michael S. Association for Investment Management and Research, FROM: Oct. 27, 1995; Nov. 13, 1995; May 13, 1996; Oct. 7, 1996; Mar. 26, 1997; TO: Oct. 3, 1995; Nov. 8, 1995; Nov. 27, 1995; Mar. 6, 1996; Jul. 18, 1996; Oct. 29, 1996; Apr. 23, 1997;


Cacheris, Elaine M. US SEC - Pacific Regional Office, TO: Feb. 27, 1995; Dec. 30, 1996;


Cadigan, Patrick F. Gateway Communications, Inc., FROM: Aug. 5, 1993; TO: Aug. 25, 1993


Cafardi, Nicholas P. Duquesne University School of Law, TO: Dec. 20, 2000;


Cafferty, Thomas D. Cafferty-Commercial Real Estate Service, FROM: Apr. 6, 1998; TO: Apr. 15, 1998;


Calahan, Walter P. Walter P. Calahan Photography, Inc., FROM: Dec. 13, 2000 (Ullman, Chris); TO: Dec. 19, 2000;


Caldwell, Jacqueline H., FROM: Sep. 15, 1995; TO: Sep. 22, 1995


Calello, Paul CSFP Capital, Inc., TO: Apr. 10, 1997;


Calfas, John A., FROM: Aug. 24, 1993: TO: Sep. 13, 1993


Callaway, Howard Callaway Gardens, FROM: Mar. 20, 1997 (Filed under Scardino, Jennifer, Apr. 6, 1997)


Cameron, Alan Australian Securities and Investment Commission, Australia, FROM: Dec. 2, 1996; Sep. 28, 1998; TO: May 28, 1996; Dec. 26, 1996; Jan. 22, 1997; Nov. 18, 1997; Oct. 26, 1998; Nov. 19, 1998; Mar. 3, 1999;


Cameron, Edward L. PriceWaterhouseCoopers, LLP, TO: Mar. 16, 1999;


Campbell, Robert H. Sun Company, Inc (Sunoco), FROM: Mar. 26, 1998; TO: Apr. 14, 1998;


Campbell, Tom US House of Representatives, FROM: May 20, 1996; TO: Jun. 13, 1996; Nov. 18, 1997;


Canaday, Lemuel US SEC, TO: Sep. 29, 1995


Canadell, Eudald International Organization of Securities Commissions, Canada; MEFF Renta, Spain, FROM: Jul. 8, 1997; Feb. 15, 1999; TO: Feb. 1995; Apr. 5, 1996; Aug. 12, 1997; Aug. 13, 1997; Jul. 23, 1998; Mar. 17, 1999;


Canady, Lemuel L. US SEC - Desktop Publishing, TO: Oct. 6, 1997;


Candela, Stephen L. US SEC - Philadelphia Office, TO: Sep. 8, 2000;


Cannata, Salvator Department of Banking, CT - Division of Securities, TO: Feb. 17 1995


Canseco, Leo Certified Financial Planner Board of Standards, TO: May 14, 1998;


Capillo, Felisa, FROM: Mar. 8, 1996; TO: Mar. 13, 1996;


Capone, Richard Warburg Dillion Read, TO: Jan. 5, 1999;


Cardinali, Joseph L., TO: Apr. 20, 1995


Cardozo, Michael A. Association of the Bar of the City of New York, TO: Dec. 31, 1996; Aug. 29, 1997;


Carey, Gordon Towers Perrin, TO: May 1, 1995


Carey, Paul White House, FROM: Dec. 10, 1996


Carlson, James B. Mayer, Brown & Platt, FROM: Dec. 31, 1997; TO: Jan. 21, 1998;


Carlson, JoEllen New York Stock Exchange, TO: Feb. 17 1995


Carlson, Tim Boy Scouts of America, FROM: Feb. 10, 1998 (filed under Mar. 24, 1998)


Carlucci, Frank C. Carlyle Group, TO: May 31, 1995; Jun. 7, 1995; Apr. 22, 1999; Jan. 29, 2001;


Carman, Gregory W. US Court of International Trade, TO: Jul. 19, 1998;


Carmichael, Douglas R. CUNY - Baruch College, TO: Nov. 27, 2000;


Carney, William J. Emory University, FROM: Jul. 2, 1993; TO: Aug. 16, 1993


Carpenter, Edmund M. General Signal Corporation, TO: May 1, 1995


Carpenter, Keith US SEC, TO: May 3, 1995


Carpenter, Michael A. Salomon Smith Barney Holdings, Inc., TO: Nov. 23, 1998; Aug. 4, 1999;


Carroll, Lawrence P. Alaska Division of Banking, Securities and Corporation, TO: Apr. 20, 1995


Carroll, Thomas J. Prudential Insurance Company of America, FROM: Oct. 21, 1999; TO: Nov. 22, 1999;


Carson, Julia US House of Representatives, FROM: Nov. 20, 1997; Nov. 20, 1997; May 9, 2000; TO: Jan. 20, 1998 (2); Jun. 20, 2000;


Carswell, Robert Shearman & Sterling, TO: Nov. 6, 1996


Carter, Marshall N. State Street Bank & Trust Co., TO: Dec. 2, 1998;


Case, Steve America Online, TO: Dec. 23, 1998;


Cassidy, J. B. North American Securities Administrators Association, Inc. - Investment Companies Sales Practice Committee, TO: Apr. 20, 1995


Castillo, Eugenio, TO: Apr. 20, 1995


Castine, Michael P. Highland Search Group, LLC, FROM: Feb. 4, 1997; TO: Feb. [12], 1997


Castle, John K. Castle Harlan, Inc., FROM: Dec. 16, 1997; Nov. 11, 1998; Dec. 8, 1998; TO: Mar. 28, 1996; Dec. 19, 1996; Jan. [5], 1998; Nov. 18, 1998; Dec. 21, 1998;


Catell, Robert B. Brooklyn Union, FROM: Aug. 1, 1995


Catlett, Jason Junkbusters, Inc., FROM: May 9, 2000; TO: Jun. 20, 2000;


Caughey, Robert M., TO: Apr. 20, 1995


Cavahagh, Richard E. Conference Board, FROM: Oct. 13, 1997; TO: Oct. 30, 1997; Jan. 29, 2001;


Cavicke, David US House of Representatives, TO: Mar. 5, 1997;


Cayne, James E. Bear, Stearns & Co, Inc., FROM: Aug. 14, 1995; Apr. 22, 1996; Mar. 3, 1997; Jun. 2, 1999; TO: Mar. 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; May 8, 1996; Jan. 30. 1997; Mar. 21, 1997; Apr. 10, 1997; Oct. 17, 1997; Oct. 23, 1997; Apr. 8, 1998; Oct. 22, 1998; Nov. 23, 1


Cella, Eugene Office of the Secretary of State, NC, TO: Apr. 21, 1995


Cha, Laura Securities and Futures Commission, Hong Kong, TO: Aug. 9, 2000;


Chabot, Steve US House of Representatives, FROM: May 4, 1998; TO: May 11, 1998;


Chadbourne, Sally US House of Representatives, TO: Dec. 11, 1995


Chafee, John H. US Senate, FROM: Feb. 1, 1995TO: Feb. 13, 1995


Chalmers, Geoffrey T. Commonwealth Equity Services, Inc., TO: Apr. 20, 1995


Chalsty, John S. Donaldson, Lufkin & Jenrette Securities Corp., TO: Mar 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; Aug. 15, 1997; Oct. 23, 1997; Apr. 8, 1998; Jan. 29, 2001;


Chamberlain, Wendy US Embassy, Malaysia, FROM: Apr. 27, 1995 (See Carlucci, May. 31); TO: May 5, 1995; May 12, 1995;


Chan-Fishel, Michelle Friends of the Earth, TO: Apr. 14, 1998;


Chapman, Alger B. Chicago Board Options Exchange, FROM: Nov. 15, 1995; Feb. 5, 1997; TO: Jan. 12, 1995; Feb. 17, 1995; Jul. 7, 1995; Sep. 13, 1995; Dec. 7, 1995; Feb. 14, 1997


Chapman, Craig Brown and Wood, Japan, FROM: Feb. 9, 1995; Jun. 6, 1995; TO: Feb. 27, 1995; Jun. 20, 1995


Chapman, Debra US SEC - Procurement, TO: Sep. 29, 1995


Chapman, Jim US House of Representatives, TO: Mar. 27, 1995


Charles, Jim Charles Schwab & Co, Inc., TO: Feb. 17 1995


Chaves, Fred L. US SEC - Central Regional Office, TO: May 14, 1998;


Cheney, Richard B. Vice President Elect, USA, TO: [n.d.] (fragment)


Chernow, Ron Wall Street Journal, TO: Nov. 12, 1999;


Childers, Frank Securities Division, WV, TO: Apr. 21, 1995


Chorba, Timothy A. US Embassy, Singapore - Ambassador, TO: May 5, 1995


Chretien, Raymond Ambassador to USA, Canada, FROM: Dec. 17, 1999; TO: Jan. 13, 2000;


Christesen, Donald J., TO: Apr. 20, 1995


Christopher, Warren US Department of State, TO: [Mar. 14], 1995; Nov. 5, 1996


Chubais, Anatoly B. Russian Federation on Securities and Stock Market, Moscow, Russia, FROM: May 18, 1995; Nov. 3, 1995; TO: Jun. 20, 1995; Nov. 27, 1995; Dec. 4, 1995


Churchill, Buntzie Ellis World Affairs Council of Philadelphia, FROM: Jan. 5, 1996; TO: Feb. 5, 1996


Cieplensky, Bette New York Stock Exchange, TO: Feb. 17 1995


Cinman, Andrew Jason MacKenzie Securities, Inc., FROM: Sep. 16, 1993: TO: Sep. 21, 1993


Clapp, David C. Goldman Sachs Group, L.P., FROM: Apr. 21, 1997; TO: Jun. 12, 1997;


Clapp, Priscilla US Embassy, Republic of South Africa, TO: Mar. 7, 1995


Clark, Howard L. Lehman Brothers Holdings, Inc., FROM: Jul. 27, 2000; TO: Aug. 15, 2000;


Clark, Peter International Organization of Securities Commissions, Canada, TO: Apr. 3, 2000;


Clarke, Alvaro Superintendencia de Valores y Seguros, Chile, TO: Mar. 21, 2000;


Clarke, Henry D. Clarke Ice Cream Co., TO: Dec. 19, 1996;


Clarke, Robert L. Bracewell & Patterson, LLP, FROM: Feb. 18, 1999; TO: Apr. 1, 1999;


Clarkson, James US SEC - Division of Enforcement, TO: May 14, 1998;


Cleary, Kevin F., FROM: Apr. 2, 1998; TO: Apr. 27, 1998;


Cleland, Max US Senate, FROM: Jun. 20, 1997; Oct. 22, 1997; TO: Jul. 21, 1997; Nov. 14, 1997; Feb. 12, 1998;


Clement, Bob US House of Representatives, TO: Aug. 21 1995


Clifton, Lance A. US SEC - Northeast Regional Office, TO: Feb. 24, 1995


Clinger, William F., Jr. US House of Representatives, FROM: Feb. 6, 1996; Dec. 20, 1995; Jun. 17, 1996; TO: Feb. 17, 1995; Aug. 10, 1995; Nov. 15, 1995; Jan. 3, 1996; Feb. 9, 1996; Feb. 20, 1996; Jun. 3, 1996; Jul. 8, 1996; Oct. 2, 1996


Clinton, William J. President, USA, FROM: Apr. 1, 1994 (personal file); Jan. 5, 1995; Feb. 20, 1998; TO: Jan. 6, 1995; May 9, 1995; Jun. 16. 1995; Dec. 29, 1995; Feb. 9, 1996; Apr. 15, 1996 (fax of letter dated Dec. 19, 1995); Jun. 19, 1996; Jul. 21, 1997 (Owens, Helen); Dec. 22, 1997; May


Clurman, David Phillips, Nizer, Benjamin, Krim & Ballon, FROM: Apr. 13, 1995; TO: May 1, 1995; Oct. 16, 1998;


Cloonan, James B. American Association of Individual Investors, TO: Apr. 20, 1995; May 2, 1996


Coates, Joseph M. US SEC - Print Shop, TO: Oct. 6, 1997;


Coburn, Tom US House of Representatives, to: Dec. 4, 1995;


Cochran, Martha American Bar Association, TO: May 14, 1998;


Cochran, Thad US Senate, TO: Nov. 20, 1997; Nov. 24, 1998;


Coelho, Tony, FROM: Feb. 23, 1995;


Coffee, John C. Columbia University Law School, TO: Apr. 26, 1995; Mar. 16, 1999; Nov. 27, 2000;


Cohen, Charles Creative BioMolecules, TO: May 1, 1995


Cohen, Saul S. Rosenman & Colin, FROM: Feb. 14, 1995; TO: Mar. 6, 1995


Cohen, Sheldon S., FROM: May 3, 1996


Cohen, Sylvan M. Drinker Biddle & Reath LLP; Pennsylvania Real Estate Investment Trust, FROM: Feb. 10, 1998; Jan. 4, 2000; TO: Feb. 13, 1998; [Jan. 5], 2000;


Cohen, William S. US Senate, TO: Mar. 16, 1995


Cohn, Robert Octel Corporation, FROM: Apr. 16, 1997; TO: May 8, 1997;


Coia, Arthur Laborers' International Union of North America, FROM: May 9, 1995; TO: May 31, 1995


Cole, Thomas A. Sidley & Austin, TO: Apr. 30, 1998;


Coleman, John A. Boardroom Consultants, FROM: Mar. 26, 1999; TO: Apr. 13, 1999;


Coleman, Ronald D. US House of Representatives, TO: Mar. 27, 1995


Coleman, William T. O'Melveny & Myers, TO: Nov. 18, 1997;


Colker, David Cincinnati Stock Exchange, FROM: Jun. 10, 1998; TO: Oct. 25, 1995; Mar. 7, 1997; Jun. 30, 1998;


Collins, Cardiss US House of Representatives, TO: Aug. 10, 1995


Collins, Susan M. US Senate, FROM: Jun. 20, 1997; Oct. 22, 1997; TO: Jul. 21, 1997; Nov. 14, 1997; Feb. 12, 1998; Mar. 26, 1999; Sep. 21, 1999 (2)


Colin, Justin S. Smith Barney Inc., FROM: May 20, 1999; TO: May [26-30], 1999;


Colish, Faith Faith Colish, PC, TO: Mar. 16, 1999;


Colodner, Michael Office of Court Administration, TO: Feb. 13, 1998;


Colonna, Anthony New York Stock Exchange, TO: Feb. 17, 1995


Colson, Robert H. The CPA Jounal, FROM: Dec. 20, 2000


Colwell, Marcus Goldman Sachs & Co., TO: Dec. 23, 1996;


Combest, Larry US House of Representatives, FROM: Jan. 20, 2000; TO: Mar. 2, 2000;


Conaway, Michael State Board of Public Accountancy, TX, TO: Nov. 27, 2000;


Concannon, Christopher R. US SEC - Division of Market Regulation, TO: Dec. [6], 1995;


Condit, Philip M. Boeing Company, FROM: Aug. 7, 2000; TO: Oct. 4, 2000;


Condon, Charles M. Office of the Attorney General, NC, FROM: Sep. 25, 1997; TO: Oct. 16, 1997;


Condon, Kevin P. Baltimore-Washington Financial Advisors, Inc., FROM: Nov. 17, 1995; TO: Jan. 2, 1996


Connelly, Terry WJLA-TV 7, TO: Jul. 8, 1998;


Conroy, Patrick E. US SEC - Office of Economic Analysis, TO: Mar. 29, 1999;


Contreras Cabezas, Jose Louis Superintendencia de Pensiones, Valores y Seguros, Bolivia, FROM: Sep. 6, 1999; TO: Sep. 29, 1999


Conway, Michael A. KPMG Peat Marwick, FROM: May 10, 1995; TO: May 22, 1995; Nov. 30, 1998 (Turner, Lynn); Dec. 9, 1999 (Turner, Lynn - filed under Dec. 21, 1999)


Conyers, John, Jr. US House of Representatives, FROM: Oct. 10, 1996; Nov. 20, 1997; TO: Dec. 10, 1996; Jan. 20, 1998


Cook, G. Bradford Marketing & Management Information, Inc., FROM: Sep. 28, 1999; TO: Oct. 5, 1995; Dec. 19, 1995; Dec. 18, 1996; Nov. 5, 1996; Oct. 25, 1999; Dec. 13, 1999;


Cook, J. Michael Deloite and Touche LLP; Financial Accounting Foundation, FROM: Feb. 3, 1995; Jun. 6, 1995; May 20, 1996 (Roy, P. Norman ); May 20, 1996; Jan. 2, 1997; TO: Feb. 22, 1995; Apr. 6, 1995; Jun. 21, 1995; Apr. 22, 1996; May 21, 1996; Jan. 22, 1997; Nov. 27, 2000;


Cooper, Michael A. Association of the Bar of the City of New York, FROM: Feb. 18, 1999; TO: Feb. 26, 1999;


Cooper, Sarah M. Sarah Cooper Associates, Inc., FROM: Jun. 13, 1996; TO: Jul. 31, 1996;


Copeland, James E., Jr. Deloite and Touche LLP, TO: Nov. 27, 2000;


Corrigan, E. Gerald Goldman Sachs & Co.; Counterparty Risk Management Policy Group (CRMPG), FROM: Jun. 21, 1999; TO: Apr. 20, 1995; Jul. 13, 1999;


Corry, Charles USX, TO: Apr. 6, 1995


Corso, Gregg US SEC, TO: Nov. 24, 1998;


Cortese, Richard Securities Division, VT, TO: Apr. 21, 1995


Corwin, Scott US Senate, TO: Dec. 11, 1995


Corzine, Jon Goldman Sachs & Co., FROM: Mar. 7, 1995; Jul. 13, 1995; Dec. 23, 1996; TO: Feb. 17, 1995; Mar 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; Jul. 31, 1995; Feb. 11, 1997; Apr. 10, 1997; Aug. 15, 1997; Oct. 17, 1997; Apr. 8, 1998; Jul. 21, 1998; Oct. 22, 1998; Nov. 23


Costas, Raphael R., Jr. National Federation of Municipal Analysts, TO: Jan. 9, 1997;


Costello, Jerry F. US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996


Costello, John J. Fairfield Financial Planning, TO: Apr. 20, 1995


Costello, Peter Treasurer, Australia, TO: Aug. 9, 2000


Cotting, James C. Navistar International Transportation Corp., TO: May 1, 1995


Cowan, Thomas Securities Division, WY, TO: Apr. 21, 1995


Cox, Christopher US House of Representatives, FROM: Jan. 10, 1995; Aug. 27, 1995; Apr. 10, 1996; May 20, 1996; TO: Feb. 10, 1995; Oct. 11, 1995; Jul. 22, 1996;


Crandall, Robert L. American Airlines, TO: Sep. 11, 1997;


Crane, Edward Cato Institute, TO: Sep. 13, 1995


Crane, Stacey Municipal Treasurers' Association, TO: Jan. 9, 1997;


Crapo, Michael D. US House of Representatives, TO: Feb. 18, 1997; Mar. 5, 1997;


Crawford, Denise Voigt State Securities Board, TX (Commissioner), TO: Apr. 21, 1995; Aug. 9, 1995


Crepin, Carmen Commission des valeurs mobilieres du Quebec, Canada, TO: Aug. 26, 1999;


Creque, John B., FROM: Mar. 19, 1996; TO: Apr. 23, 1996


Crespo, Hilda ASPIRA, TO: May 14, 1998;


Critchfield, Jack Florida Progress Corp., TO: Apr. 6, 1995


Critchlow, Paul W. Merrill Lynch & Co., Inc., FROM: Feb. 5, 1998; TO: Mar. 4, 1998; Apr. 27, 1998;


Crockett, Andrew D. Bank for International Settlements, FROM: Oct. 10, 1996; TO: Dec. 20, 1996; Jan. 19, 1999; Sep. 28, 1999


Crofwell, James B. Boston Stock Exchange, Inc., TO: Mar. 7, 1997;


Croissier Batista, Luis Carlos Comision Nacional del Mercado de Valores, Spain, TO: May 7, 1996


Crongard, A. B. Alex Brown & Sons, Inc., FROM: Jul. 27, 1995 (filed under Grasso, Jul. 31, 1995)


Cross, Meredith US SEC, TO: Jun. 19, 1995;


Cross, Terry, TO: Apr. 20, 1995


Crovitz, Gordon Dow Jones & Co., Inc., TO: Oct. 27, 1998;


Crowell, Donald W. Crowell, Weedon & Co., TO: Apr. 20, 1995


Crowley, Joseph US House of Representatives, FROM: Jan. 20, 2000; TO: May 19, 2000;


Cubin, Barbara US House of Representatives, TO: Feb. 18, 1997


Curran, J. Joseph, Jr. Office of the Attorney General, MD, FROM: Sep. 25, 1997; TO: Oct. 16, 1997;


Curtis, Charles B. US Department of Energy, FROM: Feb. 10, 1997; TO: Feb. 21, 1997


Cusick, Timothy P. Prudential Securities, Inc., FROM: Apr. 1, 1998; Dec. 3, 1998; TO: Apr. 30, 1998; Dec. 16, 1998;


Cutler, Stephen M. US SEC - Division of Enforcement, TO: Oct. 14, 1999;


Czinsky, Michael Morgan Stanley & Co., Inc., TO: Sep. 13, 1995


Dahlberg, A. W. Southern Company, TO: Dec. 5, 1997


Daley, Richard M. Mayor, City of Chicago, IL, FROM: Mar. 18, 1997; TO: Mar. 26, 1997;


Daley, William M. Secretary of Commerce, FROM: Aug. 25, 1999; TO: Sep. 29, 1999


Dallara, Charles H. Institute of International Finance, Inc., FROM: Aug. 7, 1995; Oct. 6, 1995; Apr. 18, 1996; Sep. 12, 1996; Apr. 4, 1997; Apr. 21, 1997; May 15, 1997; Sep. 28, 1998; Apr. 12, 1999; Apr. 16, 1999; TO: Aug. 29, 1995; Oct. 31, 1995; May 9, 1996; Oct. 16, 1996; Apr. 30, 1997; May 28, 1997; Oct. 30, 1


Dalton, Gloria US SEC - Office of International Affairs, TO: Nov. 16, 1998;


Daly, George G. New York University Leonard N. Stern School of Business, TO: May 2, 1995


D'Amato, Alphonse US Senate, FROM: Feb. 10, 1995; Apr. 28, 1995; Jul. 17, 1995; Oct. 26, 1995 (!!Whitewater!); Nov. 14, 1995; Jun. 19, 1996; Dec. 3, 1996; Feb. 26, 1997; Feb. 27, 1997; Apr. 22, 1997; Jul. 31, 1997; Mar. 24, 1998; Mar. 31, 1998; TO: Jan. 17, 1995; Mar. 1, 1995; Apr.


Danas, George C. Montano Securities Corp., TO: Apr. 20, 1995


Dannhauser, Stephen J. Weil, Gotshal & Manges, LLP, FROM: Jul. 15, 1996 (re: Ira Millstein);


D'Archangelo, [Col.], TO: Jul. 25, 1997;


Dardaman, Chris J., Jr. Polstra & Dardaman, LLC, TO: May 14, 1998;


Dare, Edward Prudential Insurance Company of America, TO: Feb. 17 1995


Dasaro, Elena H.C. Wainright & Co, Inc., TO: Feb. 17 1995


Daschle, Thomas US Senate, FROM: Feb. 22, 1995; TO: Mar. 13, 1995 (Re: Ed. Rogers); Nov. 18, 1998; Jan. 29, 2001;


Dashefsky, Richard American Red Cross, FROM: Jun. 22, 1999; Jul. 31, 2000; TO: Jun. 25, 1999; Aug. 23, 2000;


David, Ruth ANSER, TO: Aug. 16, 1999;


Davidson, George A. Consolidated Natural Gas Company, TO: Dec. 5, 1997


Davidson, Ian B. National Association of Securities Dealers, TO: Sep. 5, 1995


Davies, Howard Financial Services Authority, UK, FROM: Jun. 17, 1998; TO: Jul. 9, 1998; Oct. 6, 1998; Oct. 20, 1998; Nov. 19, 1998; Feb. 19, 1999;


Davis, Andrew Chicago Stock Exchange Specialists, Inc., FROM: Jun. 10, 1998; TO: Jun. 30, 1998;


Davis, Danny K. US House of Representatives, FROM: Nov. 20, 1997; TO: Dec. 20, 1998;


Davis, Evelyn Y. Highlights and Lowlights, FROM: Apr. 14, 1997; TO: Apr. 24, 1997;


Davis, Jordan P. Morning Star Gallery, FROM: [Jul. 27, 1993]; TO: Sept. 15, 1993


Dean, James L. General Services Administration, TO: Jul. 28, 2000;


Dean, Lisa Free Congress Foundation, FROM: May 9, 2000; TO: Jun. 20, 2000;


Deane, Dorian, TO: Oct. 10, 1995


Dear, Christine US SEC - Division of Market Regulation, TO: Feb. 17 1995


Deardoff, John J. City Manager, Dodge City, KS, FROM: Mar. 31, 1995; TO: May 31, 1995


Debs, Richard A. Morgan Stanley & Co., Inc., FROM: Jul. 28, 1993; TO: Aug. 9, 1993


Davis, Marilyn B. National Association of Securities Dealers Regulation, Inc., TO: May 14, 1998;


Davis, Willie D. All Pro Broadcasting, TO: Mar. 16, 1999;


Dawson, John H. John Dawson & Associaties, FROM: Dec.2, 1996; TO: Dec. 12, 1996;


De Benedetti, Carlo Olivetti S.p.A., Italy, FROM: Dec. 18, 1995; TO: Jan. 16, 1996;


de Marez Oyens, Gerrit International Federation of Stock Exchanges, France, FROM: May 28, 1997; Oct. 23, 1997; TO: Jun. 4, 1997; Nov. 3, 1997;


de St. Paer, Jerry M. J.P. Morgan & Co., Inc., FROM: May 7, 1998; TO: May 27, 1998;


Deal, Nathan US House of Representatives, TO: Feb. 18, 1997


Dean, James F., TO: Apr. 20, 1995


Deering, Anthony W. Rouse Company, FROM: Mar. 29, 1996;


Deets, Horace B. American Association of Retired Persons, FROM: Dec. 19, 1994; May 28, 1999; TO: Jan. 11, 1995; Apr. 26, 1995; Mar. 6, 1996; Nov. 21, 1996; Jun. 16, 1999; Sep. 14, 2000; Sep. 15, 2000;


DeFazio, Peter A. US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996


DeFeo, Philip D. Pacific Stock Exchange, TO: Oct. 1, 1999;


Degenhardt, Harold F. US SEC - Fort Worth District Office, FROM: Jun. 29, 2000; TO: Dec. 30, 1996; Aug. 26, 1999; Jul 5, 2000;


DeGette, Diana US House of Representatives, TO: Feb. 18, 1997; Mar. 5, 1997;


DeLacy, Kevin B. US SEC - Philadelphia Office, FROM: Jul. 27, 1993; TO: Sep. 13, 1993


Delahunt, William US House of Representatives, FROM: Nov. 18, 1997;


deLaurentis, Diana National Association of Securities Dealers, TO: Aug. 24, 1995


DeLay, Tom US House of Representatives, FROM: Sep. 26, 1996; TO: Mar. 27, 1995; Oct. 28, 1996; Dec. 24, 1996;


DeNunzio, Ralph D. Habor Point Associates, Inc., FROM: Jul. 27, 2000; TO: Aug. 15, 2000;


DePasquale, Nancy US SEC - Philadelphia Office, TO: Sep. 8, 2000;


Derieux, Samuel A. Deloite and Touche LLP, TO: Apr. 20, 1995; May 2, 1996


Della Rosa, Joe Goldman Sachs & Co., TO: Oct. 14, 1999;


Dellums, Ronald V. US House of Representatives, FROM: Oct. 10, 1996; Nov. 20, 1997; Dec. 10, 1997; TO: Dec. 10, 1996; Jan. 20, 1998 (2);


DeMent, James H., Jr., TO: Apr. 20, 1995


Demmler, John H., TO: Dec. 27, 1995 (re: Demmler, Ralph)


Demmler, Ralph H. Reed Smith Shaw & McClay, FROM: Aug. 2, 1993; TO: Aug. 9, 1993, Oct. 5, 1995


DeMuro, David A. Lehman Brothers, Inc., TO: Feb. 17 1995


DeMuth, Christopher American Enterprise Institute, TO: Sep. 15, 1995


Dandson, Joan, FROM: Sep. 3, 1996; TO: Sep. 25, 1996;


Daniels, George B. Supreme Court, New York, NY, TO: Dec. 13, 1995


Denham, Robert E. Munger, Tolles & Olson, TO: Mar. 16, 1999; Nov. 27, 2000;


Dennis, Kathleen Key Asset Management, Inc., TO: Mar. 16, 1999;


Dentzer, William T., Jr. Depository Trust Co., TO: Aug. 5, 1993


Desrosiers, Jason Boy Scouts of America, TO: Jan.14, 1998;


Deutsch, Peter US House of Representatives, TO: Feb. 18, 1997


Devonish, Mayleen US SEC, TO: May 3, 1995


Dewe, Jonathan Euromoney, FROM: Nov. 14, 1996; TO: Dec. 3, 1996


Diamond, Stephen Department of Professional and Financial Regulation, ME, TO: Apr. 21, 1995


[DiCatr], Martha, FROM: Oct. 14, 1996


Diaz Ortega, Enrique Comision Nacional Supervisora de Empresas y Valores, Peru, FROM: Feb. 19, 1999 (Hidalgo, Jesus Alvarado); TO: Apr. 27, 1999;


Dick, Donald W. EuroCapital Advisors, LLC, TO: Mar. 16, 1999;


Dickerson, W. Brinkley, FROM: Jul. 1, 1996; TO: Jul. 19, 1996;


Dickinson, Rogert University of Texas at Arlington, TX - College of Business Administration, FROM: Apr. 6, 1998; TO: Apr. 15, 1998;


Dierks, R.G., TO: Apr. 20, 1995


Dietrich, J. Richard US SEC - Office of Chief Accountant, TO: May 22, 2000;


Dimon, James Travellers Group; Smith Barney, Inc.; Sitigroup, Inc; Salomon Smith Barney, Inc.; Bank One Corp., TO: Jan. 30. 1997; Apr. 10, 1997; Aug. 15, 1997; Oct. 17, 1997; Apr. 8, 1998; Apr. 17, 1998; Oct. 22, 1998; Oct. 15, 1999; Jan. 29, 2001;


Dindoyal, S. Mauritius Stock Exchange Commission, Mauritius, TO: May 8, 1997;


Dingell, John D. US House of Representatives, FROM:, 1993 August-2000 December 4

Individual dates of correspondence: [Aug.] 1993; Mar. 13, 1995; Jun. 12, 1995; May 23, 1995; Jul. [10], 1995; Jul. 17, 1995; Nov. 21, 1995; Feb. 26, 1996; May 15, 1996; Jul. 23, 1996; Sep. 20, 1996; Sep. 24, 1996; Sep. 25, 1996; Nov. 20, 1996; Nov. 21, 1996; Dec. 6, 1996; Feb. 6, 1997; Feb. 27, 1997; Apr. 8, 1997; Apr. 11, 1997; Apr. 15, 1997; Apr. 28, 1997; Apr. 29, 1997; May 23, 1997 (filed under Buffet, Warren, Aug. 25, 1997); May 27, 1997; Jun. 4, 1997; Jun. 12, 1997; Jun. 17, 1997; Aug. 7, 1997; Sep. 10, 1997; Dec. 12, 1997 (Hinchman, James); Feb. 11, 1998; Feb. 26, 1998; Feb. 27, 1997; Jun. 3, 1998; Sep. 29, 1998; Oct. 2, 1998; Oct. 14, 1998; Nov. 23, 1998; Apr. 27, 1999; Nov. 8, 1999; Jan. 5, 2000; Jan. 6, 2000; Feb. 9, 2000; Feb. 23, 2000; Jun. 8, 2000; Jun. 27, 2000; TO: Apr. 13, 1995; Jun. 28, 1995; Aug. 2, 1995; Aug. 10, 1995; Nov. 27, 1995; Jan. 19, 1996; Mar. 13, 1996; Jul. 22, 1996; Jul. 24, 1996; Sep. 25, 1996; Oct. 10, 1996; Oct. 17, 1996; Oct. 23, 1996; Dec. 24, 1996; Jan. 3, 1997; Jan. 21, 1997; Feb. 18, 1997; Feb. 25, 1997; Mar. 19, 1997; Apr. 15, 1997; May 2, 1997; May 13, 1997; May 19, 1997; May 29, 1997; May 30, 1997; Jun. 2, 1997; Jul. 7, 1997; Jul. 25, 1997; Aug. 18, 1997; Aug. 25, 1997; Sep. 25, 1997; Oct. 10, 1997; Oct. 15, 1997; Dec. 29, 1997; Feb. 9, 1998; Mar. 2, 1998; Mar. 13, 1998; Mar. 19, 1998; Jun. 15, 1998; Jun. 23, 1998; Sep. 28, 1998; Sep. 30, 1998; Oct. 7, 1998; Oct. 22, 1998; Dec. 11, 1998; Dec. 23, 1998; Mar. 31, 1999; May 3, 1999; May 14, 1999; Sep. 30, 1999; Oct. 22, 1999; Nov. 17, 1999; Dec. 17, 1999; Jan. 5, 2000; Feb. 7, 2000; Feb. 10, 2000; Feb. 16, 2000; Mar. 30, 2000; May. 11, 2000; Jul. 25, 2000; Oct. 10, 2000; Nov. 3, 2000; Dec. 4, 2000;


Dinkins, David N. Mayor, New York, NY, FROM: Dec. 16, 1993; TO: Feb. 27, 1998;


Dionne, Joseph L. McGraw-Hill, Inc., FROM: Aug. 16, 1993; TO: Aug. 25, 1993


Diver, Michael US SEC - Midwest Regional Office, TO: Apr. 15, 1999;


Dixon, Catherine US SEC - Division of Corporation Finance, TO: Aug. 28, 1998;


Dixon, Julian C. US House of Representatives, FROM: Nov. 20, 1997; Dec. 10, 1997; TO: Jan. 20, 1998 (20


Dobson, Michael Deutsche Bank AG, Germany, TO: Mar. 2, 1998


Dodd, Christopher J. US Senate, FROM: Sep. 8, 1993; Nov. 19, 1996; Dec. 3, 1996; Apr. 1, 1997; Apr. 25, 1997; May 30, 1997; Mar. 24, 1998; Mar. 24, 1999; May 24, 1999; TO: Aug. 10, 1995; Sep. 3, 1996; Dec. 18, 1996; Jan. 15, 1997; Apr. 15, 1997; May 5, 1997; Jun. 13, 1997; Sep. 8, 1997


Dolan, Ken WOR Radio Network, FROM: Apr. 18, 1997; TO: Jan. 12, 1995; May 2, 1997;


Doerr, L. John Kleiner Perkins Caufield & byers, FROM: Apr. 10, 1997; TO: May 2, 1997; Jun. 13, 2000;


Dolan, Daria WOR Radio Network, TO: Jan. 12, 1995


Dole, Robert US Senate, TO: Jan. 19, 1996;


Doll, Mark G. Northwestern Mutual Investment Services, TO: Apr. 20, 1995


Domenici, Pete V. US Senate, FROM: Nov. 28, 1995 (personal file); Sep. 25, 1997; Nov. 2, 1999; TO: Jan. 19, 1996; Oct. 6, 1997; Nov. 20, 1997; Nov. 17, 1999;


Domingues, Kenneth US SEC - Division of Investment Management, TO: Mar. 16, 1999;


Don, Michael E. Securities Investor Protection Corporation, FROM: Dec. 18, 1997; TO: Jan. 20, 1998;


Donaldson, William H. New York Stock Exchange; Aetna, Inc., FROM: May 26, 1995; TO: Feb. 17 1995; May 18, 1995; Jan. 29, 2001;


Donlan, Thomas G. Barron's, TO: Dec. 29, 1999;


Donovan, Thomas R. Chicago Board of Trade, FROM: Feb. 6, 1995; Feb. 18, 1997; TO: Feb. 24, 1995; Mar. 4, 1997;


Dooley, Calvin US House of Representatives, FROM: Jan. 20, 2000; TO: May 19, 2000;


Dorgan, Byron L. US Senate, FROM: Oct. 19, 1995; TO: Nov. 13, 1995; Dec. 5, 1995


Dorillo, Patricia New York Stock Exchange, TO: Feb. 17 1995


Dorsen, Norman Layers Committee for Human Rights, FROM: Jan. 17, 1997; TO: Jan. [29], 1997


Dotson, Betsy Government Finance Officers Association, FROM: Nov. 22, 1995; TO: Jan. 2, 1996


Doty, James R. Baker & Botts, TO: Nov. 6, 1996; Aug. 29, 1997;


Dove, Roger M., FROM: Jan. 4, 1997; TO: Jan. 31, 1997


Downey, Robert N. Goldman Sachs & Co., FROM: Jul. 27, 2000; TO: Aug. 15, 2000;


Doyle, Joan M. Association of Publicly Traded Companies, FROM: Apr. 27, 1995; TO: May 1, 1995


Doyle, John L., FROM: Jun. 7, 1999; Aug. 12, 1999; Oct. 26, 1999; TO: Jul. 21, 1999; Sep. 17, 1999; Nov. 30, 1999;


Dozen, Masahiro Daiwa Securities Co., Ltd., Japan, FROM: Jul. 30, 1993; TO: Aug. 13, 1993


Dragoo, Darrell Chicago Board Options Exchange, TO: Feb. 17 1995


Draper, E. Linn American Electric Power, TO: Dec. 5, 1997


Draper, Margaret New York Stock Exchange, TO: Mar. 17, 1994


Dreier, David US House of Representatives, FROM: Jul. 27, 2000; Dec. 5, 2000; TO: Aug. 16, 2000; Jan. 5, 2001;


Drexler, Millard S. GAP, FROM: Aug. 18, 1993: TO: Aug. 27, 1993


Driscoll, Dawn-Marie Driscoll Associates, FROM: Feb. 25, 1999; TO: Mar. 25, 1999;


Drummer, Dorothy J. Dorothy Drummer & Associates, FROM: Mar. 23, 1994


Drysdale, Robert H. Municipal Securities Rulemaking Board, FROM: Mar. 15, 1995; TO: Jan. 12, 1995; Feb. 17 1995; Apr. 11, 1995


Dubberly, Paula US SEC - Division of Corporation Finance, TO: Oct. 11, 1995


Dubois, Joshua H. Boy Scouts of America, TO: Jul. 17, 1998;


Dudek, Paul M. US SEC - Division of Corporation Finance, TO: Oct. 1, 1998;


Duea, Bradford D. San Diego Law Review; University of San Diego School of Law, TO: Dec. 14, 1995 (Nicholas Balamaci)


Duin, Steven M., FROM: Dec. 11, 1996; TO: Dec. 12, 1996;


Dunbar, Amy K. National Association of Bond Lawyers, FROM: Feb. 21, 1996; TO: Mar. 4, 1996


Duncan, Charles White House - Special Assistant to the President, TO: Jan. 7, 1997 (RE: Moldaw, Stewart);


Duncan, Douglas County Executive, Montgomery County, MD, FROM: May 9, 1995; TO: May 24, 1995


Duncan, Jeff US House of Representatives - Office of Rep. Markey, TO: Mar. 5, 1997;


Dunlap, Albert J. Scott Paper Company, TO: Apr. 6, 1995


Dunn, Martin US SEC - Division of Corporation Finance, TO: Oct. 11, 1995; Apr. 1, 1998;


Duray-Bito, Siegfried P. Schneider Securities, Inc., TO: Apr. 20, 1995


Durbin, Richard J. US Senate, FROM: Mar. 14, 2000; TO: Nov. 20, 1997; Apr. 17, 2000;


Durrell, Richard J., TO: Nov. 18, 1997;


Duvall, Steven C. US SEC, TO: May 7, 1996


Dwyer, Carrie Charles Schwab & Co, Inc., TO: Mar. 10, 1998; Aug. 31, 1998;


Dyer, James W. US Senate Committee on Appropriations, TO: Oct. 19, 2000;


Dykes, R. M. Bell South Corporation, FROM: Dec. 16, 1996; TO: Feb. 3, 1997


East, Emelie US Senate, TO: Dec. 11, 1995


Eastman, Daniel Commissioner of Securities, WI, TO: Apr. 21, 1995


Echaveste, Maria White House - Office of Public Liaison, TO: May 14, 1998;


Eckard, George US SEC - Procurement, n.d.


Edwards, Benjamin F., III A.G. Edwards & Sons, Inc., FROM: Mar. 7, 1995; Nov. 21, 1995; May 4, 1999; [Aug-Sep. 1999]; Sep. 24, 1999; Jul. 27, 2000; TO: Mar 2, 1995; Mar. 27, 1995; Apr. 20, 1995; May 2, 1995; Jun. 7, 1995; Dec. 18, 1995; Mar. 14, 1997(+list); Apr. 8, 1998; May 18, 1999; Sep. 2, 1999; Oct


Edwards, Benjamin F., IV (Tad) A.G. Edwards & Sons, Inc., FROM: Oct. 1, 1999; [Nov. 1, 1999] TO: Oct. 14, 1999; Nov. 3, 1999;


Edwards, Josselyn Y., FROM: Nov. 18, 1996; TO: Nov. 26, 1996


Edwards, Larry US SEC, TO: Sep. 29, 1995


Eedle, Paul Reuters America, Inc., FROM: Jan. 26, 1995; TO: Mar. 10, 1995


Ehrlich, Everett M. US Department of Commerce, TO: Mar. 27, 1995


Ehrlich, Harold B. Ehrlich Associates, LLC., FROM: Oct. 13, 2000; TO: Oct. 31, 2000;


Eich, Stephen Steppenwolf Theatre Co., FROM: Aug. 24, 1993: TO: Sep. 13, 1993


Eisen, Susan Fine Jewelry, TO: Apr. 20, 1995


Eisenberg, Meyer US SEC - Deputy General Council, TO: Feb. 26, 1999;


Eisner, Michael D. Walt Disney Company, FROM: Jul. 12, 2000; TO: Jul. 25, 2000; Oct. 4, 2000;


Eitel, Sandy ABA Business Law Publications, FROM: Jan. [29], 1997; TO: Feb. 4, 1997


Ekker, Shaun, FROM: Dec. 21, 2000; TO: Jan. 2, 2001;


Eldridge, Joseph Lawers Committee For Human Rights, FROM: Jul. 28, 1993; TO: Aug. 4, 1993


Emery, Fred J. Regulatory Group, Inc., FROM: Oct. 8 1998; TO: Oct. 20, 1998;


Emmons, Delia McQuade, FROM: Feb. 22, 1999; TO: Mar. 1, 1999;


Engel, Eliot L. US House of Representatives, FROM: Apr. 27, 1995; TO: May 12, 1995; Feb. 18, 1997; Mar. 5, 1997;


England, Richard Hechinger Company, FROM: aug. 28, 1995; TO: Sep. 21, 1995


English, James H. US Senate Committee on Appropriations, TO: Oct. 19, 2000;


Enzi, Michael B. US Senate, TO: Oct. 2, 2000;


Erickson, George R., TO: Apr. 20, 1995


Eshoo, Anna G. US House of Representatives, FROM: Jul. 12, 1996; Oct. 15, 1996; Feb. 3, 1997; Oct. 14, 1998; Jan. 20, 2000; TO: Oct. 17, 1996; Nov. 13, 1996; Mar. 17, 1997; Apr. 13, 1998; Oct. 21, 1998; May 19, 2000;


Espinosa, Eduardo S. US SEC - Fort Worth District Office, TO: May 14, 1998;


Esposito, Domenick J. Grant Thornton LLP, TO: Nov. 27, 2000;


Estes, Ralph American University - Kogod College of Business Administration, FROM: Jan. 10, 2000; TO: Mar. 29, 2000;


Evans, Lane US House of Representatives, FROM: Apr. 27, 1995; Oct. 10, 1996; TO: May 12, 1995; Dec. 10, 1996;


Evensky, Harold R. Evensky, Brown & Katz, TO: Mar. 16, 1999;


Ewing, Tom US House of Representatives, FROM: Jan. 20, 2000; TO: Mar. 2, 2000;


Fahey, Helen F. US Attorney, FROM: Nov. 3, 1995; TO: Nov. 16, 1995


Faircloth, Lauch US Senate, FROM: Mar. 15, 1994; Jan. 19, 1995; Jan. 22, 1997; TO: Jan. 30, 1998; Jun. 15, 1998;


Falls, Larry W. Software AG, FROM: Dec. 26, 1995; TO: Jan. 29, 1996;


Fanto, James A. Brooklyn Law School, FROM: Feb. 20, 1998; TO: Mar. 24, 1998;


Faouzi, Abdellatif Conseil Deontologique des Valeurs Mobilieres, Morocco, FROM: Sep. 11, 1995; TO: Sep. 25, 1995


Fattah, Chaka US House of Representatives, FROM: Oct. 10, 1996; Nov. 10, 1997; TO: Dec. 10, 1996; Jan. 20, 1998


Faught, Irving Department of Securities, OK, TO: Apr. 21, 1995


Feeney, John J. Deputy Comptroller, NY, FROM: Aug. 12, 1993: TO: Aug. 25, 1993


Feigin, Philip A. North American Securities Administrators Association, Inc., FROM: Mar. 3, 1995 (to Rep. Bliley); Mar. 15, 1995; TO: Mar. 24, 1995; TO: Apr. 21, 1995


Feinberg, Peter E. CIBC World Markets Corp., FROM: Jun. 17, 1999; TO: Jul. 15, 1999;


Feinbloom, Allan, TO: Apr. 20, 1995


Feingold, Russell D. US Senate, FROM: Apr. 8, 1997; TO: Apr. 30, 1997;


Feinstein, Dianne US Senate, FROM: Mar. 28, 1997; TO: Apr. 17, 1997;


Feis, William J. Troy & Gould, FROM: Jul. 29, 1993; TO: Aug. 4, 1993


[Fener], Mitchell, FROM: Apr. 6, 1998;


Feldman, Darrah US SEC - Office of Public Affairs, Policy Evaluation & Research, TO: Nov. 24, 1999;


Feldstein, Martin National Bureau of Economic Research, TO: Jan. 8, 1998;


Fenster, Herbert McKenna & Cuneo LLP, FROM: Nov. 29, 1999; Jan. 7, 2000; TO: Dec. 23, 1999 (Sherman, Donald) Feb. 7, 2000;


Ferdinand, Carlos Inter-American Development Bank, FROM: Dec. 6, 1996; TO: Dec. 23, 1996;


Ferguson, Roger, Jr. Federal Reserve System, TO: Jul. 21, 1998; Oct. 12, 1999;


Ferguson, W. Dennis JW Charles Clearing Corp., TO: Apr. 20, 1995


Ferguson, James D. US SEC - Print Shop, TO: Oct. 6, 1997


Ferguson, William C. NYNEX Corp., TO: May 1, 1995


Fernandez-Armesto, Juan Comision Nacional del Mercado de Valores, Spain, FROM: Dec. 20, 1996; TO: Dec. 26, 1996; Jan. 7, 1997; Jun. 15, 1998;


Fernandez Garcia, Eduardo Comision Nacional Bancaria y de Valores, Mexico, FROM: Jan. 17, 1997; TO: Sep. 22, 1995; Mar. 29, 1996; Dec. 26, 1996; Jan. 29, 1997


Ferren, Bran Walt Disney Imagineering, TO: Apr. 17, 1998;


Feulner, Edwin J. Heritage Foundation, TO: Nov. 24, 1998;


Field, William C. Trizak Corp., FROM: Aug. 3, 1993; TO: Aug. 12, 1993


Fields, Jack M., Jr. US House of Representatives, FROM: Jan. 12, 1995; Feb. 8, 1995; Jul. 31, 1995; Mar. 8, 1995; Sep. 26, 1996; Sep. 26, 1996; TO: Jan. 17, 1995; Feb. 27, 1995; Mar. 6, 1995; Aug. 10, 1995; Aug. 29, 1995; Sep. 28, 1995; Nov. 1, 1995; Jan. 19, 1996; Feb. 28, 1996; Mar. 7, 1996; Apr. 19


Fields, Jack Twenty-First Century Group, FROM: Apr. 14, 1998; TO: Apr. 21, 1998;


Fierle, Gretchen, FROM: Jul. 6, 1999; TO: Jul. 13, 1999;


Fierle, Robert J. American Precision Industries, FROM: Aug. 2, 1993; TO: Aug. 12, 1993


Figel, Reid M. US Attorney, FROM: Feb. 15, 1997


Figlewski, Stephen New York University Leonard N. Stern School of Business, TO: May 2, 1995


Figueres, Muni Costa Rica, FROM: Mar. 27, 1998; May 27, 1998; TO: Jun. 4, 1998;


Figueres Olsen, Jose Maria President, Costa Rica, FROM: Jul. 18, 1997; TO: Aug. 8, 1997;


Fineron, J., FROM: Dec. 15, 1999; TO: Mar. 14, 2000;


Fink, Matthew P. Investment Company Institute, FROM: Feb. 7, 1995; Apr. 5, 1995; Apr. 17, 1995; May 19, 1995; May 23, 1995; Sep. 28, 1995; May 20, 1996; May 23, 1996; Nov. 11, 1996; Nov. 13, 1997; Jul. 9, 1998; Sep. 9, 1999; Sep. 15, 1999; Oct. 13, 1999; Dec. 22, 1999; TO: Jan. 18, 1995; Feb. 24, 19


Finn, David Ruder-Finn, Inc., FROM: Jan. 8, 199[7]; TO: Jan. 30, 1995; Feb. 7, 1997


Fishburn, Dudley Economist, FROM: Nov. 17, 1994; Nov. 13, 1995; May 22, 1996; TO: Jun. 21, 1996;


Fisher, George M.C. Eastman Kodak Co., TO: May 1, 1995


Fisher, Pamela S. Boy Scouts of America, FROM: Mar. 14, 1998 (filed under Mar. 24, 1998)


Fisher, Peggy US SEC - Division of Corporation Finance, TO: Oct. 23, 1995


Fisher, Richard B. Morgan Stanley & Co., Inc., TO: Feb. 17, 1995; Mar 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; Jan. 30. 1997; Apr. 10, 1997;


Fitterman, Mark D. US SEC - Division of Market Regulation, TO: Feb. 17 1995


Fitzgerald, Jim, TO: Apr. 20, 1995


Fitzgerald, Kathleen New York Stock Exchange, TO: Feb. 17 1995


[Fleesclund], Ed., FROM: Dec. 16, 1994; TO: Jan. 17, 1995; [Feb. 17 1995]


Fitzgerald, Peter US Senate, FROM: Feb. 23, 2000 (Sturm, Robert); TO: May 3, 2000;


Flaherty, Robert J. Equities Magazine, FROM: Dec. 23, 1997; Feb. 3, 2000; TO: Jan. 5, 1998; Feb. 9, 2000;


Flanagan, Kathleen M. John Nuveen & Co., Inc., TO: Sep. 13, 1995


Flanigan, Thomas E., FROM: Jun. 7, 1997; TO: Aug. 1, 1997;


Fleischer, Arthur, Jr. Fried, Frank, Harris, Shriver & Jacobson, TO: Mar. 5, 1998; Jan. 29, 2001;


Fleischer, Spencer Morgan Stanley International, TO: Mar. 7, 1995


Fleischman, Edward H. Linklaters, FROM: Sep. 8, 1999; TO: Oct. 30, 1998; Sep. 22, 1999


Flom, Joseph H. Skadden, Arps, Slate, Meagher & Flom, TO: Mar. 5, 1998


Flomenhaft, Joelyn, TO: Apr. 20, 1995


Flores, Julian M. Security Traders Association of Washington, DC, TO: May 14, 1998;


Flynn, Darcy US SEC - Division of Enforcement, TO: Jun. 18, 1998;


Fob, James Governor, AL, TO: Oct. 23, 1995 (+list)


Fogarty, John F., FROM: Mar. 10, 1994


Foley, Gerard National Association of Securities Dealers, TO: Feb. 17 1995


Folger, Bitsey City Lights School, FROM: Feb. 29, 1996; TO: Mar. 13, 1996;


Fong, Matt Treasurer, CA, FROM: Nov. 3, 1995; Sep. 10, 1996; TO: Feb. 9, 1996; Sep. 27, 1996;


Fons, Randall US SEC - Southeast Regional Office, TO: Apr. 15, 1999;


Foran, Margaret M. ITT Corporation, TO: Dec. 23, 1996;


Forbes, Malcolm S., Jr. Forbes Magazine, FROM: May 10, 1995; TO: May 17, 1995


Forney, Robert H. Chicago Stock Exchange, FROM: Dec. 20, 1995; Jan. 12, 1996; Apr. 16, 1997; Jun. 29, 1998 (filed under Jackson, Jesse, Sr., Jul. 9, 1998); Jun. 16, 1999; Oct. 4, 1999; Jan. 6, 2000; TO: Sep. 13, 1995; Oct. 25, 1995; Jan. 29, 1996; Jan. 30, 1996; Mar. 7, 1997; May 8, 1997; Jul. 1


Fosella, Vito J. US House of Representatives, FROM: Sep. 27, 1999; TO: Oct. 12, 1999;


Foss, Jay, TO: Apr. 20, 1995


Foss, Lawrence Chase Securities, Inc., TO: Apr. 8, 1998;


Fosssella, Vito J. US House of Representatives, FROM: Jan. 10, 1999; TO: Feb. 7, 2000;


Foster, Bob US House of Representatives - Office of Rep. Oxley, TO: Mar. 5, 1997;


Foster, John M. (Neel) Financial Accounting Standards Board, FROM: Apr. 25, 1996; Apr. 13, 1998; Jun. 16, 1998; TO: Apr. 21, 1998; Apr. 30, 1998; Jul. 10, 1998;


Fox, David W. Chicago Stock Exchange, TO: Mar. 7, 1997; Feb. 22, 1999;


Fox, Jean Ann Consumer Federation of America, FROM: May 9, 2000; TO: Jun. 20, 2000;


Fox, Lawrence J. American Bar Association, FROM: Dec. 1, 1995; TO: Jan. 2, 1996


Fraiman, Robert J., FROM: Jul. 30, 1993; TO: Aug. 9, 1993


Franchella, Richard Paine Webber, Inc., TO: Feb. 17 1995


Frank, Barney US House of Representatives, FROM: Apr. 27, 1995; Oct. 10, 1996; Aug. 26, 1997; Oct. 28, 1997; Nov. 18, 1997; May 9, 2000; Jul. 10, 2000; TO: May 12, 1995; Dec. 10, 1996; Oct. 6, 1997; Nov. 25, 1997; Jun. 20, 2000; Aug. 29, 2000;


Franke, Richard J. John Nuveen & Co., Inc., TO: Sep. 13, 1995


Frazier, Fran American Business Conference, TO: Oct. 2, 1998;


Frederick, Paul A. Frederick & Company, Inc., FROM: Oct. 2, 1997; TO: Apr. 20, 1995; Nov. 17, 1997;


Freeman, James S. Olde Discount Corporation, TO: Apr. 20, 1995


Freeman, Paul Charles Schwab & Co, Inc., TO: Feb. 17 1995


Freeman, Richard A. Wasserstein Perella & Co, Inc., FROM: Mar. 10, 1995; TO: Mar. 29, 1995


Frenkel, Ya'akov J. Bank of Israel, TO: Apr. 25, 1997;


Freund, William C. Lubin Graduate School of Business, Pace University, FROM: Aug. 9, 1993; TO: Aug. 13, 1993


Fribourg, Paul J. ContiGroup Companies, Inc., TO: Oct. 12, 1999;


Friedland, Stuart, FROM: Aug. 2, 1993; May 26, 1998; TO: Aug. 9, 1993; Jun. 3, 1998;


Friedman, Felice US SEC, TO: Jun. 24, 1999


Friedman, Stephen Goldman Sachs & Co., FROM: Aug. 9, 1993; TO: Aug. 24, 1993


Friedman, Stephen J. Association of the Bar of the City of New York - Committee on Securities Regulation, from: Nov. 15, 1995 (Clinton); to: Nov. 30, 1995


Friedman, Stephen J. Equitable Life Assurance Society, FROM: Aug. 5, 1993;TO: Aug. 24, 1993


Friedman, Stephen J. Equitable Life Assurance Society; Debevoise & Plimpton, FROM: Nov. 8, 1995; TO: Nov. 27, 1995; Aug. 29, 1997;


Frist, Bill US Senate, TO: Jan. 30, 1995; Aug. 21 1995; Jan. 23, 1998;


Friedman, Thomas New York Times, TO: Nov. 7, 2000;


Frisa, Dan US House of Representatives, FROM: Aug. 9, 1995; TO: Sep. 12, 1995


Fronsdal, Kjell Oslo Bors, Norway, TO: Apr. 10, 1997;


Frost, Martin US House of Representatives, TO: Mar. 27, 1995


Frost, Timothy T. Pioneer First Voucher, Russia, FROM: Aug. 26, 1996; TO: Sep. 13, 1996;


Frucher, Meyer S. Philadelphia Stock Exchange, FROM: Jun. 2, 1999; TO: Feb. 22, 1999; Jun. 15, 1999; Oct. 1, 1999;


Fujioka, Margaret J. National Asian Pacific Bar Association, FROM: Feb. 9, 1998; TO: Mar. 25, 1998;


Fuld, Richard S., Jr. Lehman Brothers, Inc., FROM: Nov. 30, 1996; TO: Feb. 17, 1995; Mar 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; Jan. 29, 1996; Apr. 10, 1997; Oct. 17, 1997; Apr. 8, 1998; Jul. 21, 1998; Oct. 22, 1998; Nov. 23, 1998; Dec. 28, 1998; Jan. 5, 1999; Jan. 29, 2001;


Fuller, H. Lawrence Amoco, TO: May 1, 1995


Fulton, Kathryn US SEC - Director of Legislative Affairs, FROM: Jan. 30, 1995 (Rep. Wolf); Mar. 3, 1995 (Sayer); TO: Jan. 9, 1995 (Rep. Wolf);


Furer, Lewis, TO: Apr. 20, 1995


Furlong, Mary Anne New York Stock Exchange, TO: Feb. 17 1995


Furman, Gregory J. Bergdorf Goodman, FROM: Jul. 27, 1993; TO: Aug. 4, 1993


Furman, Roy L. Furman Selz, Inc., FROM: Jul. 27, 1993; TO: Aug. 9, 1993


Furse, Elizabeth US House of Representatives, TO: Feb. 18, 1997; Mar. 5, 1997;


Fushiya, Kazuhiko Ministry of Finance Securities Bureau, Japan, FROM: Jun. 24, 1998; TO: Jun. 29, 1998;


Futter, Ellen American Museum of Natural History, TO: Jan. 29, 2001;


Gabr, Shafik American Chamber of Commerce in Egypt, FROM: Feb. 29, 1995; Apr. 21, 1997; TO: Mar. 11, 1996; May 2, 1997;


Gallo, Lynda, TO: Apr. 20, 1995


Gamboa, John C. Greenlining Institute, FROM: Oct. 7, 1998(+others); TO: Oct. 15, 1998;


Gannon, John US SEC - Office of Investor Education, FROM: Dec. 4, 1998; TO: Oct. 9, 1998 (RE: Salas, Selma);


Ganske, Greg US House of Representatives, FROM: Jul. 14, 1998; TO: Feb. 18, 1997; Mar. 5, 1997; Aug. 18, 1998; Apr. 12, 2000; Jul. 13, 2000;


Gard, Steven J. Page & Bacek, TO: Apr. 20, 1995


Gardinger, Robert M. Morgan Stanley Dean Witter, FROM: Jul. 27, 2000; TO: Aug. 15, 2000;


Gardner, Tom Motley Fool, Inc., TO: Nov. 27, 2000;


Garten, Jeffrey E. Yale School of Management, FROM: May 2, 1997; Sep. 23, 1997; TO: May 20, 1997; Jan. 29, 2001;


Gatzek, Deborah R. Franklin Resources, Inc., TO: Mar. 16, 1999;


Gaul, Hans Michael VEBA Aktiengesellschaft, Germany, FROM: Oct. 14, 1997; TO: Dec. 2, 1997;


Gault, Ronald T. J.P. Morgan Securities, Inc., FROM: Aug. 26, 1993: TO: Sep. 13, 1993


Gavin, Paula L. YMCA of Greater NY, FROM: Jan. 22, 1996; TO: Feb. 20, 1996


Gaynor, Thomas J. Department of Law and Public Safety, NJ, TO: Apr. 21, 1995


Geist, Andrew J. US SEC - Northeast Regional Office, TO: Feb. 24, 1995


Gejdenson, Sam US House of Representatives, FROM: May 14, 1997;


Gelfond, Larry Gelfond Hochstadt Pangburn, TO: Nov. 27, 2000;


Gensler, Gary US Department of Treasury, FROM: Nov. 1, 1999; TO: Nov. 8, 1999;


George, James Covert Intelligence Associates, Inc., TO: Apr. 20, 1995


George, Sylvia Covert Intelligence Associates, Inc., TO: Apr. 20, 1995


George, Raymond E., Jr., FROM: Dec. 16, 1999; TO: Jan. 19, 2000;


George, William Covert Intelligence Associates, Inc., TO: Apr. 20, 1995


George, William W. Medtronic, Inc., FROM: Oct. 17, 2000; TO: Feb. 19, 1999; Oct. 27, 2000;


Georges, John A. International Paper, FROM: Nov. 30, 1995; TO: Dec. 7, 1995


Gerber, A. Richard Securities Commission, PA, FROM: Jun. 17, 1996; Mar. 3, 1996; TO: Jul. 11, 1996; Apr. 16, 1998;


Gerrish, Donald H. Town Manager, Brunswick, ME; International City/County Management Association;, FROM: Mar. 18, 1997; TO: Mar. 26, 1997;


Gersh, Bernard Georgetown University Medical Center, TO: Jun. 23 1995 (re: Kimberly Solomon)


Gervin, Arthur Respect for Law Alliance, Inc., FROM: Sep. 21, 1995; Oct. 17, 1995; Jul. 17, 1997; TO: Sep. 26, 1995; Oct. 25, 1995; Jul. 23, 1997;


Gettinger, Jason R. US SEC - Northeast Regional Office, TO: Feb. 24, 1995


Gevirtz, Don L. Foothill Group, Inc., FROM: Aug. 21, 1995 (A. Levitt III); TO: Aug. [29]; 1995


Geyer, Thomas E. Department of Commerce, OH, FROM: Nov. 27, 1997; Apr. 13, 1998; TO: Jan. 17, 1997; Apr. 21, 1998;


Giamanco, Joseph GHM, Inc., TO: Feb. 20, 1996


Giles, Bob Media Studies Center, TO: Sep. 14, 1998;


Gillan, Kayla J. Public Employees Retirement System, CA, TO: Nov. 27, 2000;


Gillmor, Paul E. US House of Representatives, FROM: May 23, 1997 (filed under Buffet, Warren, Aug. 25, 1997); TO: Feb. 18, 1997; Mar. 5, 1997; Mar. 13, 1997;


Gillogly, Donald DLS Group, Inc., TO: Feb. 17, 1995


Gilman, Benjamin A. US House of Representatives, FROM: Nov. 24, 1997; TO: Dec. 17, 1997;


Gilson, Ronald J. Stanford University Law School, TO: Mar. 16, 1999;


Gingrich, Newt US House of Representatives, TO: Jan. 6, 1995; Jun. 16. 1995; Dec. 29, 1995; Mar. 4, 1996; Jun. 4, 1996; Jun. 19, 1996; Sep. 11, 1996; Sep. 25, 1997; May 4, 1998; Sep. 30, 1998;


Ginsburg, David, TO: Sep. 16, 1998 (RE: Douglas, William);


Ginsburg, Mark New York University Leonard N. Stern School of Business, TO: Oct. 10, 1995


Ginsburg, Ruth Bader US Supreme Court, TO: Oct. 5, 1998;


Giordano, Nicholas A. Philadelphia Stock Exchange, FROM: Aug. 9, 1993; Feb. 8, 1995 (IPO Study); Feb. 10, 1995; Jan. 12, 1996; Feb. 5, 1997; TO: Aug. 13, 1993; Jan. 12, 1995; Feb. 17, 1995; Feb. 17, 1995 (IPO Study); Mar. 8, 1995; Oct. 25, 1995; Dec. 7, 1995; Jan. 30, 1996; Feb. 14, 1997; Mar. 7, 1997;


Gitenstein, Mark H. Mayer, Brown & Platt, TO: Apr. 23, 1997;


Givens, Beth Privacy Rights Clearinghouse, FROM: May 9, 2000; TO: Jun. 20, 2000;


Glaser, Rob RealNetworks, Inc., TO: Jun. 13, 2000;


Glasser, Eugene J. Sweig/Glasser Advisers, TO: Apr. 20, 1995


Glasser, Lynn S. Simon & Schuster Professional Information Group, FROM: Aug. 9, 1993; Apr. 25, 1995; TO: Aug. 12, 1993; May 3, 1995


Glasser, Stephen A. Simon & Schuster Professional Information Group, FROM: Aug. 9, 1993; Apr. 25, 1995; TO: Aug. 12, 1993; May 3, 1995


Glassman, James K. American Enterprise Institute for Public Policy Research, FROM: Jul. 15, 1997 (McIntosh, David); TO: Jan. 29, 2001;


Glassman, Zoe John F. Kennedy Center for the Performing Arts, FROM: Aug. 28, 1998; TO: Sep. 1, 1998;


Glatstein, David Barre & Company, Inc., TO: Apr. 20, 1995


Glauber, Robert Harvard University - JFK School of Government; National Association of Security Dealers (NASD), TO: Dec. 1, 1998; Jan. 29, 2001;


Glenn, John US Senate, FROM: Jul. 29, 1998; TO: Dec. 29, 1995; Nov. 20, 1997; Sep. 29, 1998;


Glickman, Andrew Z. US SEC - Office of General Counsel, TO: Oct. 9, 1996;


Godrish, Orit Bain & Co., TO: Jan. 29, 2001;


Goettsch, Craig A. Insurance Division, IA (Supt. Of Securities), TO: Apr. 21, 1995


Goetzmann, Darlene Fidelity Investments, TO: Feb. 17 1995


Goizueta, Robert C. Coca-Cola Company, TO: May 1, 1995


Goldberg, Bruce TJFR Business News Reporter, TO: Feb. 8, 2000 (Business News Luminaries);


Goldfus, Donald W. Apogee Enterprises, Inc., FROM: Jan. 24, 1995; TO: Jan. 31, 1995


Goldmark, Peter C., Jr. Herald Tribune, FROM: Jul. 31, 1998;


Goldschmidt, Harvey Columbia University Law School, TO: Oct. 23, 1995; Mar. 6, 1996; Nov. 6, 1996; Nov. 24, 1998;


Goldsmith, Barry R. US SEC - Division of Enforcement, TO: Aug. 9, 1996; Jun. 4, 1998;


Goldstein, Joseph Kirkpatrick & Lockhart LLP, TO: [Nov. 12], 1999;


Goldstein, Louis L. Comptroller of Treasury, MD, FROM: Aug. 13, 1993: TO: Sep. 13, 1993


Goldstein, Michael Toys RUs, Inc., FROM: May 29, 1996; TO: Jun. 12, 1996


Golub, Harvey American Express Company, FROM: Aug. 25, 1995; Nov. 24, 1998; TO: Aug. 31, 1995; Dec. 7, 1998; Nov. 27, 2000;


Gonzalez, Charles A. US House of Representatives, FROM: Jan. 20, 2000; May 9, 2000; TO: May 19, 2000; Jun. 20, 2000;


Gonzalez, Henry US House of Representatives, TO: Mar. 27, 1995


Gonzalez-Taboada, Jose Universidad de Puerto Rico, FROM: Nov. 23, 1998; TO: Nov. 23, 1998 (Turner, Lynn);


Gonzon, Paul Kirkpatrick & Lockhart LLP, TO: Mar. 16, 1999;


Goodhart, Cori J. American Association of Retired Persons, TO: Apr. 6, 1998;


Gooding, Paul H. Mimlic Sales Corporation, TO: Apr. 20, 1995


Goodison, Sir Nicholas TSB Group plc, FROM: Oct. 14, 1993; TO: Oct. 29, 1993


Goodling, William F. US House of Representatives, TO: Apr. 7, 1997;


Goodwin, Donald J. Smith Barney Shearson Inc., TO: Apr. 20, 1995


Goldin, Harrison Jay Goldin Associates, FROM: May 23, 1995; Nov. 6, 1996; Apr. 8, 1998; [n.d]; TO: Apr. 15, 1998;


Goodwin, Doris K., TO: Jan. 6, 1998 (bio info);


Gordon, Bart US House of Representatives, FROM: Mar. 26, 1997; TO: Apr. 25, 1997;


Gordon, Janet, TO: Apr. 20, 1995


Gordon, Robert N. Twenty-First Securities Corporation, TO: Apr. 20, 1995; Jul. 7, 1995


Gordon, Miles Z. Financial Network Investment Corporation; M.B. Vick & Co;, TO: Mar 2, 1995; Apr. 20, 1995; Sep. 13, 1995


Gore, Albert D., Jr. Vice President, USA, FROM: Nov. 6, 1996; Jun. 23, 1997; TO: Jan. 6, 1995; Jun. 16. 1995; Jul. 19, 1995; Dec. 29, 1995; Jan. 26, 1996; Feb. 27, 1996; Mar. 4, 1996; Jun. 4, 1996; Jun. 19, 1996; Sep. 11, 1996; Dec. 5, 1996; Sep. 25, 1997; May 28, 1998; Sep. 30, 1998; Jun. 11, 1


Gorman, Lon Schwab Capital Markets & Trading, TO: Oct. 15, 1999;


Goss, Robert P. Certified Financial Planner Board of Standards, FROM: Mar. 10, 1995; TO: Apr. 4, 1995


Gottesman, Alan J., FROM: May 11, 1995; TO: Jun. 20, 1995;


Gottrell, Rick G. Financial Services Board, South Africa, TO: Jun. 25, 1999;


Grabish, Richard F. Securities Industry Association, FROM: Jul. 23, 1993; TO: Aug. 4, 1993


Gramlich, Edward Federal Reserve Board, TO: Oct. 21, 1998;


Gramm, Phil US Senate, FROM: Feb. 6, 1996; Apr. 25, 1997; Mar. 24, 1998; Dec. 17, 1999; Feb. 23, 2000; Nov. 15, 2000; TO: Mar. 27, 1995; Aug. 10, 1995; Sep. 5, 1995; Nov. 20, 1995; Dec. 29, 1995; Jan. 19, 1996; Feb. 23, 1996; Apr. 9, 1997; Apr. 11, 1997; May 5, 1997; Jul. 24


Grammatica, Joy US SEC - Production Support, TO: Sep. 29, 1995


Grams, Rod US Senate, FROM: Feb. 26, 1999; TO: Mar. 9, 1999; Oct. 26, 2000;


Grano, Joseph Paine Webber, Inc., TO: Jul. 7, 1995


Grant, Elliott M., FROM: Jun. 13, 1995; TO: Jul. 19, 1995


Grant, Susan National Consumers League, FROM: May 9, 2000; TO: Jun. 20, 2000;


Grasso, Richard A. New York Stock Exchange, FROM: Feb. 5, 1997; Oct. 12, 1998; TO: Jan. 12, 1995; Feb. 17, 1995; Apr. 26, 1995; Jul. 7, 1995; Jul. 31, 1995; Sep. 5, 1995; Jul. 24, 1996; Feb. 14, 1997; Aug. 8, 1997; Sep. 9, 1997; Oct. 23, 1997; Oct. 26, 1998; Feb. 22, 1999; Mar. 24, 1999; Jul. 26, 1


Grayson, Eugene Travellers Equities Sales, Inc., TO: Mar 2, 1995; Apr. 20, 1995


Gray, Elizabeth CNS, TO: Mar. 9, 2000;


Grayson, E. C. Spencer Stuart, FROM: Dec. 11, 1995; TO: Jan. 22, 1996


Greber, Robert M. Pacific Stock Exchange, FROM: May 30, 1995; Feb. 5, 1997; TO: Jun. 22, 1995; Feb. 14, 1997; Mar. 7, 1997; Feb. 22, 1999;


Green, Gene US House of Representatives, TO: Mar. 27, 1995


Green, Harry F., III Philadelphia Stock Exchange, FROM: Jun. 10, 1998; TO: Jun. 30, 1998;


Green, Joseph DLS Group, Inc., TO: Feb. 17, 1995


Green, Mark US SEC - Division of Corporation Finance, FROM: Mar. 1, 2000; TO: Mar. 15, 2000;


Green, Micah S. Public Securities Association; Bond Market Association, FROM: Aug. 23, 1993; Oct. 20, 1997; TO: Aug. 27, 1993; Jan. 4, 1995; Nov. 13, 1997;


Green, Robert, FROM: Oct. 12, 1993; TO: Oct. 29, 1993


Green, Ronald M Dartmouth College, TO: Apr. 26, 1995


Greenberg, Alan C. Bear, Stearns & Co, Inc., TO: Feb. 17, 1995


Greenberg, Daniel Electro Rent Corp., FROM: Aug. 1, 1993; Sep. 3, 1996; TO: Aug. 9, 1993


Greenberg, Jack M. McDonald's Corp., FROM: Oct. 6, 1998;TO: Oct. 26, 1998;


Greenberg, Martin H. Tekno-Books, FROM: Mar. 21, 1997;


Greenberg, Maurice R. American International Group, Inc., FROM: Nov. 10, 1997; TO: Dec. 18, 1997;


Greenberg, Sanford D. Chatfield Dean & Co., TO: Apr. 20, 1995


Greene, Ainsworth International Association for Financial Planning, TO: May 14, 1998;


Greene, Milton A. Investment Management and Research, Inc., TO: Apr. 20, 1995


Greenhill, Robert F. Smith Barney Shearson Inc., TO: Feb. 17, 1995; Mar 2, 1995; Apr. 20, 1995; Jun. 7, 1995


[Greenspan] Treasury and Civil Service Committee, UK, FROM: Jan. 30, 1995 (See Arnold, Thomas of Apr. 18, 1995)


Greenles, Chris US SEC, TO: May 3, 1995


Greenspan, Alan Federal Reserve System - Board of Governors, FROM: May 26, 1995; Jun. 4, 1998 (filed under Oxley, Jun. 15, 1998); Oct. 14, 1999; TO: Jun. 21, 1995; Nov. 14, 1995; Dec. 5, 1997; May 21, 1998; Jun. 3, 1998; Mar. 9, 1999; Oct. 29, 1999;


Greenwald, Gerald United Airlines, FROM: Jun. 3, 1996; TO: Mar. 19, 1996;


Greenwood, James G. US House of Representatives, TO: Feb. 18, 1997


Gregg, Judd US Senate, TO: Jan. 19, 1996;


Grey, Martin M. Smith Barney, Harris, Uphan & Co, Inc., FROM: Jul. 27, 1993; TO: Aug. 4, 1993


Griffin, Dustin H., FROM: Jul. 27, 1993; TO: Aug. 13, 1993


Gross, Bernard M., FROM: Mar. 1, 1994


Griffin, Mark J. Securities Division, UT (Director); North American Securities Administrators Association, Inc., FROM: Nov. 27, 1996; TO: Apr. 21, 1995; Jan. 27, 1997


Grimm, Daniel K. Treasurer, WA, FROM: Oct. 4, 1995; TO: Oct. 24, 1995


Gross, Bernard L. Charles River Investment Advisors, TO: Apr. 20, 1995


Gross, Holly A. Downtown Jaycees, DC, FROM: Apr. 4, 1995 (filed under Holland, Patricia, May 12, 1995)


Grove, Andrew S. Intel Corp., TO: May 1, 1995


Groves, Philip L., TO: Apr. 20, 1995


Groves, Ray J. Ernest & Young; Legg Mason Merchant Banking, Inc., FROM: Jul. 28, 1993; [May 11], 1995; Oct. 24, 2000; TO: Aug. 4, 1993; Jun. 7, 1995; Nov. 27, 2000;


Gruber, Martin J. New York University Leonard N. Stern School of Business, TO: May 2, 1995


Grundfest, Joseph A. Stanford University Law School, FROM: Apr. 5, 1995; TO: May 2, 1995


Grundhofer, John F. First Bank System, Inc., FROM: Feb. 14, 1996; TO: May 1, 1995; Mar. 1, 1996;


Gualtieri, John P. Prudential Insurance Company of America, TO: Feb. 17, 1995


Gu, Chen, FROM: Nov. 12, 1996; TO: Nov. 26, 1996


Gudes, Scott US Senate, TO: Dec. 11, 1995


Guenther, Paul B. SIA Securities Industry Association, TO: Apr. 20, 1995


Gutierrez, Luis V. US House of Representatives, FROM: Oct. 10, 1996; May 9, 2000; TO: Dec. 10, 1996; Jun. 20, 2000;


Guttag, Irwin Mentor Partners, L.P., FROM: Jul. 27, 1993; TO: Aug. 4, 1993


Gupta, Rajat K. McKinsey & Co., Inc., TO: Jan. 29, 2001;


Gut, Rainer E. Credit Suisse, Switzerland, FROM: Jun. 25, 1996; TO: Jul. 11, 1996; Dec. 24, 1998;


Guthary, Barry Securities Division, MA, TO: Apr. 21, 1995


Guy, Joel Boy Scouts of America, TO: Mar. 24, 1998


Haaga, Paul G., Jr. Capital Research and Management Co., FROM: Oct. 27, 2000; TO: Mar. 16, 1999; Dec. 7, 2000;


Haberle, Therese M. Charles Schwab & Co, Inc., From: Feb. 6, 1996; TO: Feb. 17, 1995; Mar. 6, 1996


Hafer, Fred D. GPU, Inc., TO: Dec. 5, 1997


Hafner, Joseph A., Jr. Riviana Foods, Inc., FROM: Jul. 15, 1997; TO: Jul. 23, 1997;


Hageman, Hans, TO: Oct. 21, 1998;


Haire, John R. Dean Witter InterCapital, Inc., TO: Mar. 16, 1999;


Halik, Rebecca St. Ignatius School, FROM: Jan. 8, 1996; TO: Feb. 20, 1996


Hall, Hannah R. Los Angeles Times, FROM: Apr. 18, 1995 (See Miller, Allan C.)


Hall, J. Andrew Comision Nacional de Valores, Argentina, TO: Jan. 24, 2001;


Hall, Ralph M. US House of Representatives, FROM: Sep. 26, 1996; Jan. 8, 1997; Jul. 3, 1997; TO: Mar. 27, 1995; Oct. 28, 1996; Feb. 10, 1997; Jul. 24, 1997;


Hallman, Cinda Dupont Global Systems and Processes, TO: Aug. 20, 1999; May 17, 2000;


Halloran, Michael J. Bank of America; Pillsbury, Madison & Sutro, FROM: Mar. 21, 1995; TO: Apr. 10, 1995; Aug. 29, 1997;


Hamill, Tom, TO: Jan. 11, 1995


Hammerman, Stephen L. Merrill Lynch & Co, Inc., FROM: Oct. 2, 1995; TO: Jul. 7, 1995; Oct. 5, 1995


Hankin, Joseph N. Westchester Community College, NY, TO: Mar. 16, 1999;


Hanks, Eva H. Yeshiva University, FROM: Sep. 14, 1993 (See also Lamm, Sep. 21, 1993)


Hannigan, Barbara B. US SEC - Ethics Liason Officer, FROM: (See Kennedy James) Mar. 27, 1995; Jan. 10, 2001;


Hannon, Kerry USA Today, FROM: Apr. 9, 1998; TO: Apr. 14, 1998;


Hansell, William H., Jr. International City/County Management Association, TO: Jan. 9, 1997;


Hansen, William Education Finance Council, TO: Jan. 9, 1997;


Hanssen, Kris DLS Group, Inc., TO: Feb. 17, 1995


Hantke, Wolfgang Organization for Economic Cooperation and Development, FROM: Nov. 28, 1996 (Aaron, David); TO: Dec. 30, 1996;


Harbin, Roger F. PNMR Securities, Inc., TO: Apr. 20, 1995


Hardiman, Joseph R. National Association of Securities Dealers, Inc., FROM: Mar. 11, 1996; TO: Jan. 12, 1995; Feb. 17 1995; Apr. 26, 1995; Jul. 7, 1995; Mar. 21, 1996;


Hardy, John US SEC - OIEA, TO: [Aug. 7], 1998; Jul. 17, 2000;


Harkin, Tom US Senate, FROM: Mar. 25, 1998; TO: Apr. 28, 1998;


Harmon, Jim Wertheim, Schroder, TO: Apr. 26, 1995


Harmon, Sidney, TO: Apr. 27, 1999;


Harper, Ken, FROM: Jul. 29, 1999; TO: Aug. 17, 1999;


Harper, Terry US SEC, TO: Sep. 29, 1995


Harrington, Diana Babson College, TO: May 14, 1998;


Harris, Dee Riddell Arizona Corporation Commission; North American Securities Administrators Association, Inc., FROM: Aug. 9, 1993; TO: Aug. 24, 1993; Dec. 5, 1995


Harris, Edwina US SEC - Office of Administrative and Personnel Management, TO: Jan. 23, 2001;


Harris, Hubert L. INVESCO Retirement & Benefit Services, TO: May 14, 1998;


Harrod, James Edward D. Jones & Co., TO: Feb. 17, 1995


Hart, Dabney G. Cosmos Club, TO: Aug. 16, 2000;


Harteneck, Guillermo Comision Nacional de Valores, Argentina, FROM: Jul. 14, 1997; Sep. 5, 1997; Sep. 3, 1998; TO: Jul. 15, 1996; Aug. 26, 1997; Sep. 12, 1997; Oct. 14, 1998;


Hartman, John W., TO: Mar. 19, 1998;


Hartmann, Ulrich VEBA Aktiengesellschaft, Germany, FROM: Oct. 14, 1997; Dec. 16, 1997; TO: Dec. 2, 1997;


Hartz, John US SEC, TO: May 3, 1995


Harvey, Anne American Association of Retired Persons, TO: Apr. 14, 1998;


Hastert, J. Dennis US House of Representatives, TO: Jun. 11, 1999;


Hatch, Orrin G. US Senate, FROM: Feb. 24, 1995; Sep. 5, 1995; Jun. 23, 2000; TO: May 1, 1995; Aug. 7, 1995; Oct. 18, 2000;


Hatfield, Mark O. US Senate, TO: Feb. 17, 1995; Nov. 15, 1995; Jan. 3, 1996; Jan. 19, 1996; Feb. 9, 1996; Oct. 2, 1996


Hatfield, Terry E. US SEC, TO: May 7, 1996


Hatsopoulos, George N. Thermo Electron, FROM: Jan. 24, 1996; May 17, 1996; Sep. 3, 1996; TO: Feb. 8, 1996; Jun. 12, 1996; Dec. 11, 1996;


Hauri, Kurt Commission Federale des Banques, Switzerland, TO: Dec. 26, 1996; Nov. 17, 1997;


Hawke, John D., Jr. US Department of Treasury; Comptroller of the Currency, TO: Oct. 30, 1997; Nov. 27, 2000;


Hayashi, Yoshimasa House of Councillors, Japan, FROM: Sep. 27, 2000; TO: Oct. 18, 2000;


Hayden, Tom State Senate, CA, FROM: May 10, 1995; Jan. 20, 1998; TO: Jun. 20, 1995; Jan. 26, 1998;


Hayes, Samuel L, III Harvard University - Graduate School of Business Administration, TO: May 1, 1995; Jun. 7, 1995; Mar. 30, 1998;


Haynes, Lucille US SEC, TO: Jun. 16, 1995; Jun. 20, 1995


Heckler, John M. Independence Institutional Securities, TO: Jan. 6, 1995


Heckler, Robert Waddell & Reed, Inc, TO: Apr. 20, 1995


Heidenrich, Robert Morgan Stanley & Co, Inc., TO: Sep. 13, 1995


Heidtke, L. O. (Buzz) Heidtke & Company, Inc., TO: Aug. 23, 1995


Heimann, John Merrill Lynch & Co, Inc., FROM: Aug. 10, 1998; TO: Apr. 20, 1995; TO: Aug. 27, 1998;


Heimerdinger, John F. Jewish Guild for the Blind, FROM: Jul. 2, 1996; TO: Jul. 31, 1996;


Heleniak, David Shearman & Sterling, TO: Feb. 27, 1998;


Helfer, Ricki Taggert, TO: Nov. 19, 1998;


Heller, Harvey R. Heller Bros., TO: Jan. 2, 1996


Helman, Robert Mayer, Brown & Platt, FROM: Jun. 29, 1998 (filed under Jackson, Jesse, Sr., Jul. 9, 1998);


Helton, Bill D. New Century Energies, TO: Dec. 5, 1997


Henderson, Thelton E. US District Court, Northern District, San Francisco, CA, FROM: Aug. 28, 1996; TO: Sep. 20, 1996;


Hendricks, Evan Privacy Times, FROM: May 9, 2000; TO: Jun. 20, 2000;


Hennessey, Arthur I., FROM: Apr. 27, 1995; TO: Apr. 20, 1995; May 17, 1995


Hennessey, Frank M. MascoTech, Inc., FROM: Oct. 12, 2000; TO: Jan. 2, 2001;


Hennessy, John M. Credit Suisse First Boston Corp., TO: Feb. 17, 1995; Mar 2, 1995, Apr. 20, 1995; Jun. 7, 1995


Henning, Madge White House - Intern Program, TO: Feb. 6, 1997 (RE: Rivera-Dirks, John)


Herbert, Dave State Senate, OK, FROM: Nov. 6, 1996; TO: Dec. 9, 1996


Herman, James A., FROM: Feb. 9, 1995; TO: Feb. 22, 1995


Herndon, Robert G. Pier 1 Imports, FROM: Oct. 16, 1995; TO: Oct. 27, 1995;


Herring, Richard T. University of Pennsylvania, Philadelphia, PA, TO: Mar. 16, 1999;


Herrmann, F. John, TO: Apr. 20, 1995


Hersh, Boo Westminister Group, Inc., FROM: Apr. 8, 1998;


Hershberg, Philip I. Deermont Market Center, TO: Apr. 20, 1995


Herzlinger, Regina Harvard University - Graduate School of Business Administration, FROM: Jan. 31, 1996 (Filed under Stone, Nan, Feb. 12, 1996)


Herstein, Jack E. Department of Banking and Finance, NE, TO: Apr. 21, 1995


Herzog John E. Herzog Heine Geduld, FROM: Aug. 30, 1993: TO: Sep. 13, 1993


Hevesi, Alan G. Comptroller of New York, NY, FROM: Jan. 9, 1997; TO: Jan. 21, 1997


Hewitt, John R. Mayer, Brown & Platt, FROM: Dec. 31, 1997; TO: Jan. 21, 1998;


Heyl, Dorothy US SEC - Northeast Regional Office, TO: Jan. 21, 1998;


Heyman, Samuel J. GAF Corporation, FROM: Oct. 22, 1998; TO: Oct. 30, 1998;


Hidaka, Sohei Ministry of Finance, Japan, FROM: Aug. 3, 1993; Aug. 4, 1995; TO: Aug. 5, 1993; Jun. 20, 1995; Aug. 29, 1995


Higgins, James Dean Witter Discover & Co., TO: Apr. 26, 1995


Hightower, Michael Commissioner, Fulton County, GA; National Association of Counties;, FROM: Mar. 18, 1997; TO: Mar. 26, 1997;


Hildreth, Peter Bureau of Securities Regulation, TO: Apr. 21, 1995


Hill, Bonnie Guiton University of Virginia, VA - McIntire School of Commerce; The Times Mirror Foundation, FROM: Oct. 20, 1997; TO: Apr. 20, 1995; Mar. 6, 1996; May 2, 1996; Dec. 11, 1997


Hill, John A. First Reserve Corp., TO: Mar. 16, 1999;


Hill, Stephen G. Financial Times, Ltd., UK, FROM: Apr. 10, 1996; TO: Apr. 23, 1996


Hilley, Ryan, FROM: Jul. 31, 1999;


Hilliard, Earl F. US House of Representatives, FROM: Oct. 10, 1996; Nov. 20, 1997; TO: Dec. 10, 1996; Jan. 20, 1998;


Hilliard, J. Henning J.J.B. Hilliard, W.L. Lyons, Inc., FROM: Jul. 27, 2000; TO: Aug. 15, 2000;


Hillis, Danny Walt Disney Imagineering, TO: Aug. 16, 1999;


Hillman, Richard J. General Accounting Office, FROM: Nov. 2, 1998;


Hills, Roderick M. Mudge, Rose, Alexander, Guthrie & Ferdon; Hills Enterprises; Hills & Stern, TO: Oct. 5, 1995; Oct. 28, 1997(+list); Jul. 28, 2000; Nov. 27, 2000;


Hinden, Stan Washington Post, TO: Apr. 19, 1996


Hino, Masaharu Financial Supervisory Agency, Japan, FROM: Jun. 26, 1998; TO: Jul. 21, 1998; Nov. 19, 1998; Mar. 3, 1999;


Hinsey, Joseph IV Harvard University - Graduate School of Business Administration, FROM: Apr. 4, 1994; TO: Apr. 18, 1995; Apr. 26, 1995


Hirsch, Daniel O. US SEC - Office of General Counsel, TO: Oct. 9, 1996;


Hoak, James M. Heritage Media Corporation, FROM: Sep. 3, 1996;


Hoblin, Philip J., Jr., FROM: Apr. 28, 1995; TO: May 12, 1995


Hochberg, Fred P. Hayday Company, TO: Apr. 3, 1997


Hochmuth, Charles D. US SEC - Southeast Regional Office, TO: May 1, 1998


Hodges, Don W. First Dallas Securities, TO: Apr. 20, 1995


Hoerl, Donald M. US SEC - Philadelphia District Office, TO: Dec. 30, 1996;


Hof, Jack Van't, TO: Apr. 20, 1995


Holder, William W. University of Southern California, Los Angeles, CA, TO: Jun. 11, 1996


Holderman, Mark V. Division of Securities (Commissioner), OH, TO: Apr. 21, 1995


Holland, John, FROM: Mar. 25, 2000 (RE: Lawson, Rochelle, filed under Mar. 29, 2000);


Holland, Patricia US SEC - Midwest Regional Office, TO: May 12 1995; Sep. 30, 1997;


Holliday, Charles O. DuPont Global Systems and Processes, TO: May 17, 2000;


Hollins, Ernest F. US Senate, FROM: Mar. 2, 2000; TO: Jan. 19, 1996; Mar. 16, 2000;


Holman, Kwasi Chamber of Commerce, DC, TO: May 14, 1998;


Holzrichter, Daniel Dain Bosworth, Inc., TO: Feb. 17 1995


Hong, Jae-hyong Ministry of Finance and Economy, Korea, FROM: May 2, 1995; TO: May 15, 1995;


Hoogstra, Craig R., TO: Apr. 20, 1995


Hoovestal, Cal Securities Commissioner, ND, TO: Apr. 21, 1995


Hopkins, Henry H. T. Rowe Price Associates, Inc., TO: Mar. 16, 1999;


Hopkins, Karen Brooks Brooklyn Academy of Music, FROM: Oct. 8, 1998; TO: Oct. 14, 1998;


Horn, Stephen US House of Representatives, FROM: Apr. 27, 1995; Mar. 26, 1997; TO: May 19, 1995; Apr. 11, 1997; Apr. 25, 1997;


Horning, Dixie Gray Panthers, FROM: Sep. 25, 1995; TO: Oct. 18, 1995


Horwitz, Gerald A. Horwitz & Associates, Inc., TO: Feb. 17 1995; Apr. 20, 1995


Hotchkiss, Bill National Association of Securities Dealers, Inc., TO: Feb. 17 1995


Houghton, Amo US House of Representatives, FROM: Aug. 5, 1997; Oct. 20, 1997; TO: Aug. 14, 1997; Oct. 28, 1997;


Houlihan, Paul W. Dean Witter Reynolds, Inc., TO: Apr. 20, 1995


Houston, Martha A., TO: Apr. 20, 1995


Hove, Andrew C. Federal Deposit Insurance Corp., TO: Dec. 5, 1997


Howard, James J. Northern States Power Company, TO: Apr. 14, 1995


Howard, Philip K. Municipal Art Society of New York, FROM: Feb. 19, 1998; TO: Mar. 9, 1998;


Howell, Joseph M. MFS Communications Company, Inc., FROM: Sep. 12, 1995; TO: Oct. 2, 1995


Hoyer, Steny US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996;


Hu, Richard Ministry of Finance, Singapore, TO: May 3, 1995


Hubbard, Richard Division of Securities (Commissioner), DE, TO: Apr. 21, 1995


Hubers, David IDS Financial Services, Inc., TO: Mar 2, 1995; Apr. 20, 1995


Hudick, Andrew M. National Association of Personal Financial Advisers, FROM: Mar. 13, 1996; TO: Mar. 29, 1996


Hudson, Clifford Securities Investor Protection Corp., FROM: Oct. 28, 1999; TO: Nov. 1, 1999;


Hudson, D. J. Vancouver Stock Exchange, FROM: Jul. 23, 1993; TO: Aug. 4, 1993


Hughes, David Boston Stock Exchange Specialist Association, FROM: Jun. 10, 1998; TO: Jun. 30, 1998;


Hughes, Leslie Corbis Images, FROM: Dec. 20, 2000; TO: Jan. 5, 2001;


Hull, John E. Deputy Comptroller, NY, FROM: Apr. 6, 1999; TO: May 11, 1999;


Hummer, Philip W. Wayne Hummer & Co., TO: Sep. 13, 1995


Hund, Michael Shumaker Williams P.C., FROM: Apr. 5, 1995 (Howard F. Morin - filed under Hartz, etc. - May 3, 1995)


Hundt, Reed E. Federal Communications Commission, TO: Mar. 5, 1996


Hunt, David A. McKinsey & Co., FROM: Oct. 26, 1999; TO: Oct. 14, 1999; Oct. 15, 1999; Nov. 15, 1999;


Hunt, Isaac C. US SEC, TO: Aug. 14, 1995; Jan. 29, 1996; May 14, 1998;


Hunter, David W. Hunter Associates, Inc., FROM: Nov. 21, 1995; Jul. 27, 2000; August 2, 2000; TO: Apr. 20, 1995; Dec. 6, 1995; May 2, 1996; Aug. 15, 2000; Aug. 29, 2000;


Hurd, David Principal Financial Group, TO: Mar 2, 1995; Apr. 20, 1995


Hurley, Gifford J. Intersecurities, Inc., TO: Mar 2, 1995; Apr. 20, 1995


Hurley, Terry Chicago Stock Exchange, TO: Sep. 13, 1995


Hutchison, Kay Bailey US Senate, TO: Mar. 27, 1995


Hyde, Henry J. US House of Representatives, TO: Feb. 28, 1995


Ibrahim, Abdel Hamid Capital Markets Authority, Egypt, TO: May 2, 1997;


Iglesias, Enrique V. Inter-American Development Bank, TO: Jan. 13, 1995; May 31, 1995; Dec. 11, 1997


Ignace, Keith Lehman Brothers, Inc., TO: Feb. 17 1995


Indyk, Jill US Ambassador, Israel, TO: Feb. 29, 1996;


Indyk, Martin US Ambassador, Israel, TO: Feb. 27, 1996; Apr. 25, 1997;


Inouye, Daniel K. US Senate, FROM: Feb. 6, 1996; TO: Mar. 11, 1996


Irvine, Susie American Financial Services Association Education Foundation, TO: Apr. 14, 1998;


Irving, Anita US Small Business Administration, TO: Nov. 14, 1996


Irwin, Fred B. American Chamber of Commerce, Germany, FROM: Oct. 20, 1997; TO: Apr. 25, 1997; Nov. 14, 1997; Mar. 2, 1998


Isaacs, Stephen McGraw-Hill Publishing, FROM: Jun. 16, 1999; TO: Jun. 22, 1999


Iselin, John Jay Cooper Union, TO: Dec. 18, 1995


Ishida, Mika Sony Corporation, Japan, TO: Feb. 9, 1999;


Israel, Edmond Bourse de Luxembourg, FROM: Aug. 10, 1993; TO: Aug. 24, 1993


Israel, Kenneth D., Jr. US SEC - Salt Lake District Office, TO: Dec. 30, 1996;


Istock, Verne G. NBD Bancorp, Inc., FROM: Oct. 6, 1995 (filed under Battista, Oct. 23, 1995); Aug. 8, 1997; TO: Sep. 2, 1997;


Jackson, Jesse L. US House of Representatives, FROM: Feb. 3, 1997; TO: Mar. 17, 1997; Jan.14, 1998; Apr. 27, 1998;


Jackson, Jesse L., Sr. Rainbow PUSH Coalition, FROM: Jun. 19, 1998 (Greenspan); TO: Apr. 27, 1998; Jul. 9, 1998; Apr. 19, 1999;


Jackson, Shirley Ann US Nuclear Regulatory Commission, FROM: Jul. 2, 1996; TO: Jul. 23, 1996;


Jacob, Valerie Fried, Frank, Harris & Jacobson, TO: Mar. 5, 1998


Jacobs, Elizabeth US SEC - Office of International Affairs, TO: Nov. 16, 1998;


Jacobs, Warren M., FROM: Mar. 21, 1997; TO: Apr. 2, 1997


Jaeger, Harold F., TO: Apr. 20, 1995


Jaenike, William F. Depository Trust Company, FROM: Jun. 15, 1995; TO: Jun. 28, 1995; Aug. 16, 1999;


Jaharis, Michael, Jr., FROM: Aug. 6, 1993; TO: Aug. 12, 1993


James, E. Pendleton Pendleton James and Associates, Inc., FROM: Jul. 27, 1993; TO: Aug. 4, 1993


James, Thomas A. Raymond James Financial, Inc., FROM: Jan. 23, 1998; Sep. 28, 1999; Jul. 27, 2000; TO: Apr. 26, 1995; Mar. 4, 1998; Oct. 25, 1999; Aug. 15, 2000;


Janke, Kenneth S. National Association of Investors Corporation, FROM: Sep. 5, 1996; (RE: O'Hara, Thomas, filed under Sep. 20, 1996)


Jannotta, Edgar D. William Blair & Co., FROM: Jul. 27, 2000; TO: Aug. 15, 2000;


Jeffords, James M. US Senate, TO: Apr. 7, 1997; Oct. 9, 1997 (filed under Plaze, R, Oct. 28, 1997);


Jenkins, Edmund L. Financial Accounting Standards Board, Apr. 12, 2000 (Schumer, Charles - filed under Jul. 17, 2000) ; Jan. 29, 2001;


Job, Peter Reuters Holdings PLC, TO: Jul. 25, 1997;


Jobs, Steven Apple Computer, TO: Mar. 23, 1999;


Johnidis, Helen, TO: Apr. 20, 1995


Johnidis, James, TO: Apr. 20, 1995


Johnson, Charles E. Templeton Worldwide Inc., TO: May 1, 1995


Johnson, Clark A. Pier 1 Imports, FROM: Sep. 3, 1996; Jan. 29, 1997; TO: Feb. 21, 1997


Johnson, Douglas Cravath, Swaine & Moore, TO: Dec. 23, 1996;


Johnson, Eddie Bernice US House of Representatives, TO: Mar. 27, 1995


Johnson, Edward C. Fidelity Brokerage Services, Inc., TO: Mar 2, 1995; Apr. 20, 1995; Jun. 7, 1995


Johnson, Manuel H. Johnson Smick International, Inc., TO: Mar. 16, 1999; Nov. 27, 2000;


Johnson, Marlene M. US Office of Management Services and Human Resources, FROM: Mar. 17, 1995; Mar. 23, 1995; TO: Apr. 5, 1995


Johnson, Melvin E. G.R. Phelps & Co., Inc., TO: Apr. 20, 1995


Johnson, Roger W. Young Presidents' Organization, FROM: Aug 17, 1999; TO: Oct. 27, 1999;


Johnson, Sam US House of Representatives, TO: Mar. 27, 1995


Johnson, William P. Equitable Securities Corporation, TO: Aug. 23, 1995


Jones, B. Todd US Attorney (designate), MN, TO: Jul. 27, 1998;


Jones, Anne P., TO: Mar. 16, 1999;


Jones Gregory US SEC - WWW project leader, TO: Sep. 29, 1995


Jones, J. Rick Department of Financial Institutions, KY, TO: Apr. 21, 1995


Jones, Michael, FROM: Aug. […], 1996; TO: Aug. 8, 1996


Jones, Michael D. National Association of Securities Dealers, Inc., FROM: Feb. 19, 1997; TO: Apr. 9, 1997;


Jones, Stephanie Tubbs US House of Representatives, FROM: May 9, 2000; TO: Jun. 20, 2000;


Jones, Thomas Russell, FROM: Jun. 23, 1995 (Bill Richardson); TO: Sep. 12, 1995


Jonsson, Dave, TO: Apr. 20, 1995


Jordan, Ann Dibble, TO: Apr. 20, 1995; May 2, 1996


Jordan, Jon B. Baker & Botts, LLP, FROM: Nov. 12, 1999; TO: Nov. 30, 1999; Mar. 7, 2000;


Jordan, Vernon Akin Gump Strauss Hauer & Feld LLP, TO: Dec. 20, 1995


Jorion, Philippe University of California, Graduate School of Management, FROM: Jan. 31, 1995; Aug. 26, 1996; TO: Feb. 27, 1996; Sep. 4, 1996;


Joseph, Max, TO: Jun. 4, 1996


Joseph, Stephanie R. Directors' Network, Inc., TO: Jan. 10, 1995


Joyce, Thomas M. Merrill Lynch & Co, Inc., FROM: Aug. 5, 1999; TO: Aug. 19, 1999;


Judge, Steve Securities Industry Association, FROM: Oct. 16, 1995; TO: Nov. 8, 1995


Junkins, Jerry R. Texas Instruments, TO: May 1, 1995


Juroe, Susan Public Housing Authorities Directors' Association, TO: Jan. 9, 1997;


Kader, Lewis Davis Polk & Warwell, TO: Jan. 29, 2001;


Kalaris, Thomas Barclays Capital, TO: Jan. 5, 1999;


Kallio, William American Association of Retired Persons, TO: May 14, 1998;`


Kambil, Ajit New York University - Leonard N. Stern School of Business, TO: Oct. 10, 1995


Kamen, Harry P. Metropolitan Life Insurance Company, TO: Mar 2, 1995; Apr. 20, 1995


Kanarek, Larry McKinsey & Co., TO: Jun. 13, 2000;


Kandel, Andrew Office of the Attorney General, FROM: Apr. 6, 1998; TO: May 29, 1998;


Kangas, Edward A. Deloitte Touche Tohmatsu International, FROM: Nov. 27, 1996; TO: Dec. 11, 1996;


Kanjorski, Paul E. US House of Representatives, FROM: May 9, 2000; TO: Sep. 30, 1998; May 6, 1999; Jun. 20, 2000;


Kann, Peter R. Wall Street Journal, FROM: Sep. 13, 1994; TO: Dec. 23, 1998; Feb. [10], 1999;


Kantor, Michael US Department of Commerce - Secretary, TO: Nov. 5, 1996


Kaplan, Adam E. Williams College, FROM: Feb. 28, 1995; TO: Mar. 29, 1995


Kaplan, Maurice C., FROM: Jan. 8, 1998; TO: Jan. 23, 1998;


Kaptur, Marcy US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996


Kar, Pratip Securities and Exchange Board of India, FROM: Feb. 28, 1998; TO: (Mehta, D. R.) Mar. 13, 1995


Karpus, George W. Karpus Investment Management, FROM: Mar. 1, 1999; TO: Mar. 16, 1999;


Kasich, John R. US House of Representatives, FROM: Feb. 13, 1998; TO: Jan. 19, 1996; Mar. 4, 1998


Kasper, F. Van Van Kasper & Co.; First Security Van Kasper;, FROM: Feb. 21, 1996; Nov. 16, 1999; TO: Jan. 12, 2000;


Kasputys, Joseph E. Primark Corporation, FROM: Aug. 29, 1995 (Filed under Morella, Oct. 20, 1995)


Kasten, George F. Robert W. Baird & Co., Inc., TO: Apr. 20, 1995; Jun. 7, 1995


Kaswell, Stuart Securities Industry Association, TO: Sep. 13, 1995


Katz, Barbara J. US SEC - Division of Enforcement, TO: Jan. 21, 1998;


Katsoris, Constantine N. Fordham University, FROM: Nov. 1, 1995; May 15, 1997; Jun. 9, 1997; TO: Nov. 27, 1995; May 28, 1997; Jun. 18, 1997;


Katz, Jonathan G. US SEC - Secretary, TO: Oct. 4, 1995


Katz, Miri Israel Securities Authority, FROM: May 4, 1998; Feb. 15, 2000; TO: May 14, 1998; Mar. 14, 2000; Jan. 24, 2001;


Katz, Robert Goldman Sachs & Co., TO: Mar. 6, 1996; Jan. 30. 1997;


Katzenberg, E. Walter, FROM: Feb. 11, 2000; TO: Mar. 7, 2000;


Kaufman, Henry Henry Kaufman & Co., Inc., FROM: Jan. 28, 2000; TO: Feb. 8, 2000; Jan. 29, 2001;


Kaufman, Stephen P. Arrow Electronics, Inc., FROM: Jun. 13, 1996; TO: Jun. 25, 1996;


Kaye, Herma Hill University of California, Berkeley, CA - School of Law, TO: Sep. 8, 1999


Kearns, William M. W.M. Kearns & Co, Inc., FROM: Apr. 8, 1998; Aug. 10, 1999 (RE: Best, Michael); TO: Apr. 15, 1998; Aug. 20, 1999;


Keck, Lynne A. Keck Securities, TO: Jan. 4, 1995


Keeble, John B. Investors Financial Group, TO: Apr. 20, 1995


Keefe, Mary US SEC - Midwest Regional Office, TO: Oct. 16, 1995; Dec. 30, 1996; Mar. 10, 1998;


Keesal, Samuel A. Keesal, Young & Logan, TO: Feb. 23, 1995


Kelley, Aloysius P. Fairfield University, FROM: Aug. 18, 1993; TO: Aug. 25, 1993


Kelley, Colleen M. National Treasury Employees Union, FROM: Jan. 5, 2000; TO: Feb. 7, 2000; Jun. 15, 2000;


Kelly, Janet Langford Sara Lee Corp., TO: Apr. 30, 1998;


Kelly, Louise New York Stock Exchange, TO: Feb. 17 1995


Kelly, William Association of Local Housing Finance Agencies, TO: Jan. 9, 1997;


Kendall, Leon T. Kellogg Graduate School of Management, FROM: May 13, 2000; TO: Jun. 20, 2000


Kennard, William E. Federal Communications Commission, FROM: Oct. 29, 2000; TO: Jan. 25, 1999; Oct. [29], 2000;


Kennedy, Anthony M. US Supreme Court, TO: Oct. 5, 1998;


Kennedy, Bernard J. National Fuel Gas Company, TO: Dec. 5, 1997


Kennedy, D. James Coral Ridge Ministries, FROM: Feb. 1995; TO: (Barbara B. Hannigan) Mar. 27, 1995


Kennedy, Joseph P. US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996;


Kenney, Nancy US SEC, TO: Oct. 4, 2000;


Kerry, John F. US Senate, FROM: Jun. 11, 1996; Nov. 18, 1997; TO: Jun. 19, 1996; Dec. 11, 1997;


Keslinke, Betteann Howe Barnes Investments, Inc., TO: Sep. 13, 1995


Kesner, Harvey J. American Banknote Corporation, FROM: Feb. 15, 1996; TO: Mar. 11, 1996


Ketchum, Richard National Association of Securities Dealers, Inc., FROM: Feb. 5, 1997; TO: Feb. 14, 1997


Keyfauver, Terry US SEC, TO: Sep. 29, 1995


Kidney, James [US SEC], TO: Nov. 1, 2000;


Kidwell, Lyndon DLS Group, Inc., TO: Feb. 17, 1995


Kieffer, Charles Commissaire aux Bourses, Luxembourg, TO: May 7, 1996


Kigin, Ryan J. Boy Scouts of America, TO: Jun. 16, 1998;


Kilcollin, T. Eric Chicago Mercantile Exchange, FROM: Feb. 18, 1997; TO: Mar. 4, 1997;


Kilpatrick, Carolyn C. US House of Representatives, FROM: Nov. 20, 1997; TO: Jan. 20, 1998


Kim, Irene University of California, Berkeley, CA, FROM: Oct. 24, 2000; TO: Oct. 27, 2000;


Kim, Yong-Hwan Ministry of Finance and Economy, Korea, FROM: Apr. 27, 1995; TO: May 15, 1995


Kimball, Jennifer US SEC - Office of Public Affairs, FROM: Nov. 20, 1995; TO: Sep. 29, 1995


Kind, Ron US House of Representatives, FROM: Jan. 20, 2000; TO: May 19, 2000;


King, Peter T. US House of Representatives, FROM: Apr. 27, 1995; TO: May 12, 1995


King, William H. Indiana Bankers Association, IN, FROM: Apr. 17, 1996; TO: Apr. 22, 1996


Kingland, David J. Kingland Capital Corporation, TO: Sep. 13, 1995


Kingsley, Daniel T. National Venture Capital Association, FROM: Jun. 16, 1997; TO: Jul. 1, 1997;


Kirby, Charles US SEC - Production Support, TO: Sep. 29, 1995


Kiriwat, Ekamol Securities and Exchange Commission, Bangkok, Thailand, TO: Mar. 22, 1995; Apr. 7, 1995


Kirk, Ken P. Association of Metropolitan Sewerage Agencies, TO: Jan. 9, 1997;


Kirkpatrick, Willis F. Administrator of Securities, AK, FROM: Nov. 28, 1995; TO: Dec. 18, 1995


Kirstein, Philip L. Merrill Lynch Asset Management Group, TO: Mar. 16, 1999;


Kittell, Donald Securities Industry Association, TO: Sep. 13, 1995


Klein, Andrea Prudential Securities, TO: Apr. 26, 1995


Klein, Andrew M., FROM: Jul. 29, 1993; TO: Aug. 9, 1993


Klein, John, FROM: May 24, 1996; TO: Jul. 31, 1996;


Klein, Justin P. Ballard, Spahr, Andrews & Ingersoll, LLP, FROM: Jan. 4, 2000; TO: Mar. 8, 2000;


Klein, Mel, TO: Jan. 30, 1996;


Klein, Wayne Department of Finance, ID, TO: Apr. 21, 1995


Klink, Ron US House of Representatives, FROM: Oct. 10, 1996; Jun. 8, 2000; TO: Dec. 10, 1996; Nov. 3, 2000;


Klug, Scott L. US House of Representatives, FROM: Dec. 5, 1997; TO: Feb. 18, 1997; Mar. 5, 1997; Dec. 31, 1997;


Kochis, S. Timothy Certified Financial Planner Board of Standards, FROM: Mar. 10, 1995; TO: Apr. 4, 1995


Koenen, Austin V. Morgan Stanley & Co, Inc., TO: May 29, 1996


Koh Beng Seng Banking and Financial Institution Group, Singapore, TO: Apr. 6, 1995; May 5, 1995; May 7, 1996


Kohl, Helmut Chancellor of the Federal Republic of Germany, TO: May 7, 1997; Feb. 23, 1998 (filed under Kornblum, March 2, 1998)


Kohler, Klaus Deutsche Bank AG, Germany, FROM: Feb. 10, 1998; TO: Mar. 4, 1998


Kolton, Paul, TO: Mar. 16, 1995; Apr. 11, 1995; Oct. 5, 1995; May 27, 1997(Balamaci, N.)


Komansky, David H. Merrill Lynch & Co. Inc.; Merrill Lynch, Pierce, Fenner & Smith Inc., FROM: Apr. 17, 1998; Apr. 27, 1998; TO: Nov. 6, 1996; Jul. 16, 1997; Aug. 15, 1997; Oct. 17, 1997; Apr. 6, 1998; Apr. 8, 1998; Apr. 27, 1998; May 7, 1998; May 8, 1998; Jul. 21, 1998; Oct. 22, 1998; Nov. 23, 1998; Dec. 28, 1998; Jan. 5, 1999; Jan. 29, 2001


Komives, Michael, FROM: Jan. 6, 1994; TO: Jan. 26, 1994


Koning, Erik Boy Scouts of America, TO: Mar. 24, 1998;


Kontos, Arthur Sherwood Group, Inc., FROM: Jan. 25, 1995; TO: Feb. 9, 1995


Koplovitz, Kay Koplovitz & Company, FROM: Jun. 8, 1999 (RE: Broadway Television Network);


Koppes, Richard California Public Employees' Retirement System, CA, [1993 - Nov. 1996]


Korins, Leopold Pacific Stock Exchange, FROM: Jan. 30, 1995; May 3, 1995; Oct. 12, 1995; Jan. 12, 1996; May 27, 1999; TO: Jan. 12, 1995; Feb. 17, 1995; May 31; 1995 (See R. Bennett, Jun. 7, 1995); Oct. 25, 1995; Nov. 15, 1995; Jan. 30, 1996; May 8, 1996; Jun. 15, 1999;


Kravis, Jonathan Williams College Debate Union, FROM: Jul. 7, 1998;


Kreider, Gary P. Keating, Muething & Klekamp, FROM: Jan. 17, 1997; TO: Feb. 4, 1997


Krongard, A.B. Alex Brown & Sons, Inc., FROM: Oct. 18, 1996; Apr. 8, 1998; TO: Sep. 13, 1996; Apr. 21, 1998;


Kornblum, John C. US Ambassador, Germany, TO: Mar. 2, 1998


Koskinen, John White House - Assistant to the President on Y2K conversion, TO: Jun. 9, 1999;


Kostikov, Igor Federal Commission for the Securities Market, Russia, TO: Jan. 24, 2001;


Kovener, Donald W. US SEC - Office of Administrative and Personnel Management, TO: Oct. 6, 1997; Nov. 24, 1999;


Kraft, Robert New England Patriots, TO: Oct. 7, 1998;


Kramer, Peggy US SEC, Jan. 1997


Krat, Gary W. Royal Alliance Associates, Inc., TO: Apr. 20, 1995


Krouse, James M. National Association of State Auditors, Comptrollers & Treasurers, TO: Jan. 9, 1997;


Krumm, DiAnne, TO: Apr. 20, 1995


Kunin, Madeleine May US Ambassador, Switzerland, FROM: Jan. 8, 1999; TO: Jan. 20, 1999;


Kuperberg, Martin A. US SEC - Northeast Regional Office, FROM: Jan. 31, 1996; TO: Feb. 9, 1996;


Kurdy, Kali Borah High School, TO: May 1, 2000;


Kwalwasser, Edward New York Stock Exchange, TO: Feb. 17, 1995; Dec. 5, 1995


Kulikowski, James M. US House of Representatives, TO: Dec. 11, 1995


Kyl, Jon US Senate, FROM: Jul. 24, 1995; Nov. 17, 1995; TO: Sep. 12, 1995; Jan. 2, 1996


LaFalce, John US House of Representatives, FROM: Oct. 10, 1996; May 9, 2000; TO: Mar. 16, 1995; Dec. 10, 1996; Sep. 30, 1998; May 26, 1999; Jun. 20, 2000;


Labrecque, Thomas G. Chase Manhattan Corp., FROM: Oct. 3, 1996; TO: Oct. 18, 1996; Jan. 5, 1999;


Laby, Arthur US SEC, TO: Aug. 26, 1997;


Lacher, Roland Singulus Tehcnologies GmbH, Germany, TO: Apr. 25, 1997;


Lackritz, Marc E. Securities Industry Association, FROM: Jul. 27, 1993; Dec. 14, 1995; Jan. 30, 1995; Oct. 16, 1995; May 22, 1996; Jul. 22, 1996; Jan. 30, 1997; May 30, 1997; Jun. 12, 1997; Sep. 24, 1999; TO: Aug. 25, 1993; Jan. 10, 1995; Jan. 18, 1995; Feb. 17 1995; Apr. 20, 1995; Jun. 7, 1995; Nov. 8


Lader, Philip US Small Business Administration; US Ambassador to UK, FROM: Jun. 16, 1995; May 12, 1999; TO: Jul. 7, 1995; Jan. 29, 1997; Jun. 7, 1999;


Lai, Mary M. Long Island University, FROM: Aug. 2, 1995; TO: Aug. 7, 1995


Lake, Anthony Assistant to the President for National Security Affairs, White House, TO: [Mar. 14], 1995; Nov. 5, 1996


Lambert, Robert Financial Times, FROM: Feb. 10, 1998; TO: Feb. 18, 1998;


Lambiase, Ralph A. Department of Banking, CT - Division of Securities, TO: Feb. 17, 1995; Oct. 19, 2000; TO: Apr. 21, 1995


Lam, Robert M. Securities Commission, PA, FROM: Mar. 10, 1995; Mar. 3, 1998; Apr. 9, 1998; TO: Mar. 27, 1995; Apr. 21, 1995; Apr. 15, 1998; Apr. 16, 1998;


Lamm, Norman Yeshiva University, FROM: Sep. 21, 1993


Lanchart, Irving, TO: Apr. 20, 1995


Lane, Brian US SEC - Division of Corporation Finance, TO: Feb. 13, 1998; May 14, 1998;


Lane, Neal National Science Foundation, TO: Oct. 10, 1995


Lang, Nancy, TO: Apr. 20, 1995


Lang, Robert Todd. Weil, Gotshal & Manges LLP, FROM: Feb. 14, 1995; TO: Feb. 24, 1995


Langevoort, Donald C. Vanderbuilt University School of Law, FROM: Mar. 25, 1997; TO: Dec. 23, 1996; Apr. 17, 1997


Langley, R. Warren Pacific Stock Exchange, TO: Mar. 7, 1997;


Langner, Jay B., FROM: Jul. 13, 1995


Lantos, Tom US House of Representatives, FROM: Aug. 3, 1993; May 14, 1997; Jan. 5, 1998; TO: Aug. 16, 1993; Jan. 20, 1998;


Large, Andrew Securities and Investment Board, UK; Barclays Bank PLC, UK;, FROM: May 11, 1995; [May] 19, 1995; Jun. 21, 1995; Nov. 4, 1996; Dec. 20, 1996; Oct. 6, 1999; TO: May 18, 1995; May 26, 1995; Jul. 7, 1995; Sep. 19, 1996; Nov. 22, 1996; Dec. 26, 1996; Dec. 30, 1996; Sep. 28, 1999; Oct. 25, 1999;


Largent, Steve US House of Representatives, FROM: [n.d.]; TO: Feb. 18, 1997; Mar. 5, 1997; Dec. 23, 1998;


Larson, Peter Brunswick Corporation, TO: Feb. 19, 1999;


Laskawy, Philip A. Ernst & Young, LLP, TO: Nov. 27, 2000;


Lasser, Lawrence J. Putnam Investments, FROM: Aug. 30, 1999; TO: Sep. 16, 1999


Lateef, Noel V. Foreign Policy Association, TO: May 17, 1996;


Lau, Mimi National Association of Securities Dealers, Inc., TO: Feb. 17, 1995


Lauk, Kurt J. VEBA Aktiengesellschaft, Germany, FROM: Oct. 2, 1995; TO: Oct. 10, 1995


Laurie, Marilyn AT&T, FROM: Feb. 28, 1997; TO: Mar. 6, 1997;


Lausberg, Cheryl E. Senator, Republic of South Africa, TO: Mar. 7, 1995


Lawrence, Carmen J. US SEC - Northeast Regional Office, TO: Dec. 30, 1996;


Lawson, Rochelle US SEC - Office of Investor Education and Assistance, TO: Mar. 29, 2000;


Lay, Kenneth L. Enron Corporation, TO: Jun. 13, 2000;


Lazio, Rick US House of Representatives, FROM: Apr. 24, 1998 (filed under Bliley, Jun. 5, 1998); TO: Feb. 18, 1997; Mar. 5, 1997;


Leach, James A. US House of Representatives, FROM: Jun. 6, 1995; Jan. 2, 2001; TO: May 8, 1995 (filed under Robert Rubin, May 16, 1995) ; Jun. 9, 1995; May 28, 1997; Sep. 30, 1998; Jan. 29, 2001;


Leahy, Patrick US Senate, FROM: Sep. 25, 1997; TO: Oct. 6, 1997;


Ledes, John G. Beauty Fashion, FROM: Dec. 10, 1996


Ledford, Chip National Association of Securities Dealers, Inc., TO: Feb. 17, 1995


Lee, Barbara US House of Representatives, FROM: May 9, 2000; TO: Jun. 20, 2000;


Lee, Bill Lann US Department of Justice, TO: Mar. 16, 2000;


Lee, Sheila Jackson US House of Representatives, TO: Mar. 27, 1995


Lee, Shepard Lee Auto Malls, FROM: Dec. 5, 2000;


Lee, Yong-Keun Financial Supervisory Commission, Korea, FROM: Apr. 11, 2000; TO: Apr. 20, 2000;


LeFrak, Samuel J. LeFrak Organization, FROM: Sep. 7, 1993: TO: Sep. 15, 1993


Lehner, Daniel A. Inflight Newspapers, Inc., FROM: Aug. 25, 1993: TO: Sep. 13, 1993


Leichter, Franz S. State Senate, NY, FROM: Apr. 3, 1997; TO: Apr. 15, 1997;


Leighton, Paul J. MidAmerican Energy Holdings Company, FROM: Dec. 3, 1997; TO: Dec. 11, 1997


Leiman, Leonard M. Fulbright & Jowarski, FROM: Oct. 20, 1997; TO: Oct. 28, 1997;


Leisenring, James J. Financial Accounting Standards Board, FROM: Apr. 15, 1998; TO: May 4, 1998;


Lerach, William S. Milberg Weiss Bershad Hynes & Lerach, FROM: Feb. 26, 1997; Sep. 17, 1997; TO: Mar. 13, 1997; Nov. 14, 1997;


Lev, Baruch New York University - Leonard N. Stern School of Business, TO: Jun. 13, 2000;


Levin, Carl US Senate, FROM: Oct. 19, 1995; Nov. 14, 2000; TO: Nov. 13, 1995; Nov. 20, 1997; Apr. 20, 1999; May 30, 2000; Dec. 12, 2000 ( Becker, David);


Levin, Ezra G. Kramer, Levin, Naftalis, Nessen, Kamin & Frankel, TO: Mar. 8, 1995


Levin, Jerry Time Warner, TO: Apr. 6, 1995


Levin, Wilbur A. County Clerk, Brooklyn, NY, FROM: Oct. 17, 1995;TO: Nov. 7, 1995


Levine, David US SEC - Division of Enforcement, TO: Oct. 14, 1999;


Levine, Lawrence W., FROM: Jan. 12, 1995; TO: Feb. 21, 1995


Levine, Theodore A. Paine Webber Group, Inc., FROM: Aug. 2, 1993; TO: Aug. 9, 1993; Oct. 23 1995; Jan. 30. 1997;


Levitt, Arthur, III, FROM: Sep. 12, 1995


Levitt, Frederick Packaging Products Corporation, TO: Apr. 20, 1995


Levitte, Jean-David Consellier Diplomatique ala Presidence, Paris, France, TO: Feb. 2, 1996


Lewis, Drew Union Pacific Corp., FROM: Jul. 1, 1996; TO: Jul. 16, 1996;


Lewis, John US House of Representatives, FROM: Oct. 10, 1996; Nov. 20, 1997;TO: Dec. 10, 1996; Jan. 20, 1998;


Lewis, Loida Nicholas TLC Beatrice Holdings International, Inc., TO: Dec. 23, 1998;


Lewis, Wilma US Attorney, TO: Nov. 12, 1998 (RE: Zarb, Frank);


Lewis, William M., Jr. Morgan Stanley Dean Witter, TO: Oct. 15, 1999;


Li, Laurence Securities and Futures Commission, Hong Kong, TO: Aug. 9, 2000;


Liang, Paul PBS Partners, LLC, FROM: Aug. 10, 1999; TO: Sep. 2, 1999


Liberman, Joseph I. US Senate, FROM: Mar. 21, 2000; TO: Mar. 31, 2000;


Lichtenberger, Vincent US SEC - Southeast Regional Office, TO: Apr. 15, 1996


Liebenberg, Christopher Minister of Finance, Republic of South Africa, TO: Mar. 7, 1995


Lieberman, Joseph I. US Senate, FROM: Nov. 19, 1996; TO: Dec. 18, 1996; Nov. 20, 1997;


Liftin, John M. Kidder, Peabody & Co., FROM: Jul. 25, 1996; TO: Aug. 21, 1996; Aug. 29, 1997;


Liman, Lewis J. Assistant US Attorney, FROM: Jul. 2, 1998;


Limber, Trudy, TO: Apr. 20, 1995


Lin, S. D. Taiwan Stock Exchange Corp., Taipei, TO: Aug. 8, 1995


Lin, Tzong-Yeong Securities and Futures Commission, Taiwan, TO: Sep. 23, 1998;


Linden, Derek National Association of Securities Dealers, Inc., TO: Feb. 17, 1995


Lindros, Carl Santa Barbara Securities, TO: Apr. 20, 1995


Lindsay, Richard R. US SEC - Division of Market Regulation, TO: Feb. 13, 1998; Mar. 10, 1998; Aug. 31, 1998;


Linnehan, John National Association of Securities Dealers, Inc., TO: Feb. 17, 1995


Linowitz, Sol. M., FROM: Aug. 9, 1993; TO: Aug. 24, 1993


Linsmeier, Thomas J. American Accounting Association, FROM: Apr. 10, 1998; TO: Apr. 30, 1998;


Linton, Robert E. Leslie/Linton Entertainment, FROM: Jul. 27, 2000; TO: Aug. 15, 2000; Aug. 21, 2000;


Lipe, Robert C. University of Oklahoma, OK - School of Accounting, FROM: Apr. 30, 1998; TO: Jun. 5, 1998;


Lipinski, William O. US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996;


Lipner, Kenneth, FROM: Jun. 13, 2000; TO: Jul. 17, 2000;


Lipper, A. Michael Lipper Analytical Services, FROM: Dec. 31, 1994; Sep. 25, 1997; TO: Jan. 19; 1995; Oct. 3, 1997;


Lipper, Kenneth, FROM: Jan. 29, 1999; TO: Feb. 25, 1999; Jun. 22, 1999;


Lipton, Martin Wachtell, Lipton, Rosen & Katz, TO: Oct. 23, 1995; Mar. 6, 1996


Lister, Steven American Stock Exchange, TO: Dec. 5, 1995


Litan, Robert Brookings Institution, TO: Aug. 16, 1999; Oct. 14, 1999;


Littrell, Romie F. Shen Da University, People's Republic of China, FROM: Nov. 30, 1995; TO: Jan. 2, 1996


Livingston, Philip B. Financial Executives Institute, FROM: May 20, 1999; TO: Jun. 4, 1999;


Livingston, Robert US House of Representatives, TO: Feb. 17, 1995; Nov. 15, 1995; Jan. 3, 1996; Jan. 19, 1996; Feb. 9, 1996; Oct. 2, 1996; Mar. 13, 1998; Jul. 20, 1998; Jan. 4, 1999;


Liu, Hong China Securities Regulatory Commission, People's Republic of China, FROM: Aug. 26, 1997 (filed under Zhou, Zhengqing, Sep. 26, 1997)); Nov. 27, 1997 (filed under Zhou, Zhengqing, Dec. 5, 1997)


Livingston, Homer J. Chicago Stock Exchange, FROM: Aug. 3, 1993; TO: Aug. 9, 1993; Jan. 12, 1995; Feb. 17, 1995


Livingston, Lennard L., TO: Apr. 20, 1995


Lloyd, Emily Columbia University, FROM: Sep. 2, 1997;


Lochner, Philip R., Jr., FROM: Jan. 31, 1996; Feb. 1, 1996; May 28, 1997; Sep. 23, 1999; TO: Feb. 8, 1996; Mar. 6, 1996; Jun. 27, 1997; Oct. 25, 1999;


Loeb, Peter K., FROM: Dec. 16, 1996; TO: Jan. 22, 1997;


Lofgren, Zoe US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996


Logson, Neva S., TO: Apr. 20, 1995


Logue, Dennis E. Dartmouth College, TO: Apr. 26, 1995


Long, Clay Long, Aldridge & Norman, TO: Mar. 7, 1997 (RE: Arms, Abbie)


Long, G. US SEC, FROM: Mar. 31, 1994 (Morrow, C. -personal file)


Long, Ronald C. US SEC - Philadelphia Office, TO: Dec. [17], 1997; Sep. 8, 2000;


Longstaff, John L. Institute for Sertified Financial Planners, FROM: Mar. 13, 1996; TO: Mar. 29, 1996


Longstreth, Bevis Debevoise & Plimpton, TO: Nov. 27, 2000;


Lopez, Ivette US SEC - Division of Market Regulation, TO: Feb. 17 1995


Lorlo, Rene Walnut Street Securities, TO: Apr. 20, 1995


Lorne, Simon M. Salomon Brothers, Inc., FROM: Jan. 31, 1997; TO: May 11, 1995; Feb. 26, 1997; Aug. 29, 1997;


Loss, Louis Harvard University - School of Law, FROM: mar. 16, 1995; TO: Jan. 27, 1995; Apr. 18, 1995


Lott, Trent US Senate, FROM: Aug. 8, 1995; TO: Aug. 29, 1995


Lovejoy, Thomas Smithsonian Institution, TO: Oct. 19, 1995


Lowenstein, Louis Columbia University, FROM: May 1, 1996; Nov. 24, 1998; TO: Mar. 6, 1996; May 14, 1996; May 27, 1997(Balamaci, N.); Dec. 1, 1998;


Lowenstein, Roger, FROM: May 1, 1995; TO: May 16, 1995


Lowey, Nita W. US House of Representatives, FROM: Apr. 27, 1995; TO: May 12, 1995


Lubner, Bertie Plate Glass and Shatterprufe Industries, Ltd.; Republic of South Africa, TO: Mar. 7, 1995


Luccock, Phillip H. Institute for Sertified Financial Planners, TO: May 14, 1998;


Ludwig, Eugene A. Comptroller of the Currency; Bankers Trust; Promontory Financial Group, FROM: Mar. 16, 1998; Sep. 3, 1999; TO: Dec. 5, 1997; Apr. 6, 1998; Sep. 14, 1999; Jan. 29, 2001;


Luecke, Richard Harvard University - Graduate School of Business Administration, TO: May 1, 1995


Lugar, Richard G. US Senate, FROM: Dec. 17, 1999; TO: Jul. 25, 1997; Mar. 2, 2000;


Luikart, John F. Sutro & Co., FROM: Mar. 5, 1996; TO: Mar. 19, 1996;


Lundquist, Oliver, FROM: Dec. 1, 1998; TO: [Dec. 1], 1998;


Lupberger, Edwin Entergy Corporation, TO: Dec. 5, 1997


Lupia, Terry A. Securities Commission, PA, TO: Apr. 20, 1995


Lutz, William D. Rutgers - State University of NJ, TO: Jun. 22, 1995; Aug. 21, 1996


Lyman, Princeton N. US Embassy, Republic of South Africa, TO: [Mar. 14], 1995


Lynch, Brian J. Morgan, Lewis & Bockius, LLP., TO: Dec. 20, 1996; Dec. 23, 1996;


Lynch, Gary Davis Polk & Warwell, TO: Mar. 5, 1998;


Lynch, Peter, TO: Apr. 20, 1995; May 2, 1996


Lyons, James E., FROM: Aug. 17, 1993: TO: Sep. 13, 1993


Lyons, William M. American Century Investments, TO: Apr. 17, 1998;


Macaleer, James R. Shared Medical Systems, TO: Sep. 30, 1997;


Macedo, Augusto, TO: Jan. 30, 1995


Machold, Roland M. New Jersey Department of Treasury, Division of Investment, FROM: Mar. 14, 1995 (encl. To Drysdale, Apr. 11, 1995); TO: May 1, 1995


Mack, Connie US Senate, FROM: Jun. 24, 1996; Dec. 7, 2000; TO: Jan. 30, 1995; Apr. 19, 1996; Jul. 18, 1996; Jan. 29, 2001;


Macklin, Gordon S., FROM: Aug. 2, 1993; TO: Aug. 9, 1993


MacLaury, Bruce K., TO: Mar. 16, 1999;


Maco, Paul S. US SEC - Office of Municipal Securities, FROM: Aug. 25, 1995 (Richard Baker); Jun. 22, 1999; TO: Aug. 4, 1995; May 27, 1999 (Mires, Charles D.)


Madden, Joe, Jr. Securities Department, AR, TO: Apr. 21, 1995


Maddux, Dan American Payroll Association, TO: Aug. 23, 1999;


Madoff, Andrew H. Bernard L. Madoff Investment Securities, FROM: Feb. 12 1995; TO: Feb. 20, 1996


Madoff, Bernard L. Bernard L. Madoff Investment Securities, FROM: Jan. 5, 1995; TO: Jan. 19, 1995; Dec. 19, 1995; Dec. 13, 1996;


Madoff, Peter B. Bernard L. Madoff Investment Securities, FROM: Jan. 5, 1995; Jan. [12], 1996; Apr. 3, 1998; TO: Jan. 19, 1995; Jan. 29, 1996; Apr. 6, 1998;


Madonna, Jon C. KPMG Peat Marwick, FROM: Nov. 21, 1995; Dec. 19, 1995; TO: Dec. 7, 1995; Jan. 2, 1996;


Maguire, Thomas P. International Union of Operating Engineers, FROM: Sep. 6, 1996; TO: Sep. 30, 1996;


Maher, John A. Securities Commission, PA, FROM: Mar. 3, 1998; TO: Apr. 16, 1998;


Mahmud, Hasan Zein Jakarta Stock Exchange, Indonesia, TO: May 5, 1995


Mahoney, Edward M. Fortis Investors Inc., TO: Apr. 20, 1995


Mai, Vincent A. AEA Investors, Inc., TO: Jan. 29, 2001


Majid, Mohamed Munir Bin Abdul Securities Commission, Malaysia; IOSCO, TO: Mar. 22, 1995; May 5, 1995; Oct. 22, 1997; Sep. 10, 1998; Jun. 9, 1999;


Makens, Hugh Warner, Norcross & Judd, TO: Oct. 23 1995


Malamud, Carl Internet Multicasting Service, TO: Oct. 10, 1995


Malkin, Peter L. Wien & Malkin, LLP, FROM: Nov. 18, 1997; TO: Nov. 24, 1997;


Malmenstam-Skytt, Birgit Swedish Shareholders Association, Sweden, TO: Jun. 25, 1999;


Malone, Joseph Equitable Life Assurance Society, TO: Mar 2, 1995; Apr. 20, 1995; Jun. 7, 1995


Maloney, Carolyn B. US House of Representatives, FROM: Apr. 27, 1995; Mar. 26, 1997;TO: May 12, 1995; Apr. 25, 1997;


Maloney, Robert H. Northwestern Mutual Life/Baird, TO: Apr. 20, 1995


Malphrus, Stephen R. Financial Sector Group, FROM: Sep. 22, 1999; TO: Oct. 7, 1999;


Mandell, Robert US SEC - Division of Corporation Finance, TO: Oct. 11, 1995


Mann, Michael D. US SEC - Office of International Affairs, FROM: Feb. 22, 1995; Jan. 12, 1995 (Re: Iglesias); Mar. 6, 1995 (Re: Tyson); Apr. 17, 1997 (Re: Shin); Sep. 25, 1996;


Manning, Bayless Paul, Weiss, Rifkind, Wharton & Garrison; Manning Companies, FROM: Oct. 28, 1998(RE: Hoyl, Geoff);TO: Jan. 4, 1995; Jan. 3, 1996; Dec. 9, 1996; Jan. 5, 1998; Oct. 30, 1998; [Dec. 29], 1998;


Manton, Thomas J. US House of Representatives, FROM: Apr. 27, 1995; Oct. 10, 1996; Feb. 27, 1997; Mar. 10, 1997(Giamo, Jennifer); Apr. 11, 1997; May 23, 1997 (filed under Buffet, Warren, Aug. 25, 1997); May 27, 1997; Jun. 12, 1997; TO: May 12, 1995; Dec. 10, 1996; Mar. 5, 1997; Mar. 14, 1997; Mar. 21


Marcelino, Juan Marcel US SEC - Boston District Office, TO: Dec. 30, 1996;


Marcereon, Kenneth T. US SEC, TO: May 7, 1996;


Marcus, Gill Joint Standing Committee of Finance, Republic of South Africa, FROM: Mar. 8, 1995; C65TO: Mar. 7, 1995; Mar. 22, 1995


Markels, Michael VERSAR, Inc., FROM: Jul. 30, 1993; TO: Aug. 4, 1993


Markese, John American Association of Individual Investors, FROM: Oct. 6, 1999; TO: Apr. 14, 1998; Mar. 16, 1999; Oct. 14, 1999;


Markey, Edward J. US House of Representatives, FROM: Mar. 13, 1995; Nov. 21, 1995; Mar. 26, 1996; Apr. 9, 1996; Jun. 12, 1996; Dec. 16, 1996; Feb. 3, 1997; Mar. 19, 1997; Apr. 28, 1997; May 23, 1997 (filed under Buffet, Warren, Aug. 25, 1997); Jul. 11, 1997; Sep. 12, 1997; Mar. 3, 1998; May 20, 1998;


Marks, Arthur J. New Enterprise Associates, FROM: Mar. 22, 1995; TO: May 1, 1995


Marquingny, Rebecca US SEC - Office of Equal Employment Opportunity, TO: Mar.30, 1999;


Marron, Donald B. PaineWebber, Inc., TO: Feb. 17, 1995; Mar 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; Jan. 30. 1997; Oct. 17, 1997; Oct. 23, 1997; Apr. 8, 1998; Nov. 23, 1998; Jan. 29, 2001;


Marshall, Capricia Penavic White House - Social Secretary, FROM: Apr. 8, 1999 (RE: Clinton, William J.);


Marshall, Thurgood, Jr. White House - Cabinet Affairs Secretary, TO: May 27, 1998;


Martel, Jean Commission des Valeurs Mobilieres du Quebec, Canada, FROM: Feb. 27, 1996; TO: Mar. 14, 1996; Dec. 26, 1996;


Martin, Michael Equico Securities, Inc., TO: Mar 2, 1995; Apr. 20, 1995


Masanz, Timothy J. National Governors' Association, TO: Jan. 9, 1997;


Mason, Eli Mason & Company, LLP; AICPA;, FROM: Jun. 6, 1996; Jul. 1, 1997; Oct. 27, 1997; Jan. 8, 1998; Jun. 21, 2000 (Schumer, Charles E.); TO: Jul. 3, 1996; Aug. 29, 1997; Dec. 5, 1997; Jan. 30, 1998;


Mason, Raymond A. Legg Mason, Inc., TO: May 1, 1995; Jun. 7, 1995; Dec. 10, 1997


Masterson, Michael M. Washington Square Securities, Inc., TO: Apr. 20, 1995


Mathias, Edward Carlyle Group, FROM: Feb. 9, 1996; TO: Mar. 11, 1996


Mathisen, Tyler, FROM: Apr. 10, 1998;


Matthews, Betty Consumer Credit Counseling Service, TO: May 14, 1998;


Mattimore, John US SEC - Southeast Regional Office, TO: Apr. 15, 1996


Mathur, Colette World Economic Forum, FROM: Sep. 18, 1997; TO: Nov. 20, 1997;


Maughan, Deryck C. Salomon Brothers, Inc.; Citigroup, TO: Feb. 17, 1995; Mar 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; Nov. 6, 1996; Jan. 30. 1997; Apr. 10, 1997; Aug. 15, 1997; Oct. 17, 1997; Apr. 8, 1998; Jan. 29, 2001;


May, S. Beville, FROM: Feb. 26, 1996


Mayer, Martin Brookings Institution, FROM: Nov. 1, [1994];TO: Jan. 11, 1995; Sep. 14, 1998


Mazur, Francois I. US SEC - Division of Market Regulation, TO: Feb. 17 1995


McAlevey, Mike, TO: Jan. 10, 2001;


McAuliffe, Frank National Association of Securities Dealers, Inc., TO: Feb. 17, 1995


McCabe, Mrs., TO: [n.d.]


McCall, H. Carl State Comptroller, NY, FROM: Aug. 3, 1993; Dec. 23, 1997; Jan. 28, 1998; Apr. 7, 1998; Feb. 18, 1999; TO: Aug. 18, 1993; Jan. 21, 1998; Mar. 4, 1998; Apr. 15, 1998; Mar. 15, 1999;


McCall, James H. California Capital Access Forum, CA, FROM: Oct. 17, 1995; TO: Nov. 8, 1995


McCarrick, Theodore E. Archbishop of Washington, TO: Jan. 23, 2001;


McCarthy, Carolyn US House of Representatives, FROM: Jan. 20, 2000; TO: May 19, 2000;


McCaul, Elizabeth Banking Department, NY, FROM: Mar. 15, 2000; TO: Apr. 24, 2000;


McClellan, Kenneth Department of Commerce and Insurance, TN, TO: Apr. 21, 1995


McCollum, Bill US House of Representatives, FROM: May 27, 1997; TO: May 29, 1997;


McConnaughey, Robert S. American Counsel of Life Insurance, FROM: Oct. 31 1995; TO: Nov. 8, 1995;


McConnell, James M. US SEC - Executive Director, FROM: Dec. 27, 1995; Aug. 26, 1998; TO: Oct. 4, 1995


McCracken, Paul W. University of Michigan, MI - School of Business, FROM: Oct. 21, 1996; TO: Nov. 4, 1996;


McCreery, William G., FROM: Aug. 14, 2000; TO: Aug. 24, 2000;


McCullough, Brian US House of Representatives, TO: Mar. 5, 1997;


McDonald, Alonzo L., TO: Dec. 7, 1998;


McDonald, Robert Office of the Attorney General, TO: Apr. 21, 1995


McDonough, Gerald C., TO: Mar. 16, 1999;


McDonough, William J. Federal Reserve Bank of New York, TO: Jan. 29, 2001;


McEldowney, Kenneth Consumer Action, FROM: Aug. 1, 2000; TO: Sep. 7, 2000;


McElroy, John L. Wheat, First Securities, Inc., TO: Mar 2, 1995; Apr. 20, 1995


McEvoy, John National Council of State Housing Agencies, TO: Jan. 9, 1997;


McGovern, Lore Harp, FROM: Apr. 13, 1999; TO: May 5, 1999;


McInerney, Alice Bureau of Investor Protection, TO: Apr. 21, 1995


McIntyre, Mildred J., FROM: Jul. 21, 1995


McInerney, Tom Welsh Carson Anderson & Stowe, TO: Aug. 16, 1999;


McIntosh, David M. US House of Representatives, FROM: Apr. 7, 1995; Mar. 28, 1996; Apr. 11, 1996; Dec. 11, 1996; Jan. 12, 1998; Aug. 3, 1999; TO: May 18, 1995; Aug. 10, 1995; Apr. 2, 1996; Apr. 22, 1996; Dec. 11, 1996; Mar. 19, 1997 (Walker, Richard); Apr. 9, 1997; Jul. 15, 1997 (Glassman, James); J


McKinney, Cynthia Ann US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996;


McLagan, Bruce McLagan Partners Inc., TO: Apr. 26, 1995


McLaughlin, Joseph Brown & Wood, FROM: May 5, 1995; Dec. 20, 1996; Jan. 17, 1997; TO: May 22, 1995; Feb. 4, 1997


McLaughlin, Joseph T. Credit Suisse First Boston Corp., FROM: Aug. 14, 1997; TO: Aug. 26, 1997;


McLoughlin, Philip W.S. Griffith & Co, Inc., TO: Apr. 20, 1995


McLucas, William US SEC - Division of Enforcement, TO: Mar. 10, 1998; Aug. 3, 1998; Mar. 20, 2000;


McMichael, Kathy National School Boards Association, TO: Jan. 9, 1997;


McNees, Donald Towers Perrin, TO: May 1, 1995


McNeill, Corbin A., Jr. PECO Energy Company, TO: Dec. 5, 1997


McPhearson, D. Richard Nationwide Financial Services, Inc., TO: Apr. 20, 1995


McWhinney, Madeline H. Dale, Elliott & Co., FROM: Sep. 30, 1998; TO: Oct. 9 1998;


Meade, Dana G. Tenneco, Inc., FROM: Dec. 22, 1999; TO: Sep. 9, 1998; [Dec. 9], 1998; Dec. 23, 1998; Jan. 11, 1999; Apr. 30, 1999;


Mebane, G. Allen UNIFI Corporation, FROM: Aug. 21, 1996; TO: Sep. 13, 1996;


Mecum, Dudley C., FROM: Aug. 17, 1993: TO: Aug. 25, 1993


Meehan, Martin T. US House of Representatives, FROM: Jul. 9, 1997; TO: Aug. 1, 1997; Nov. 14, 1997;


Meek, Carrie US House of Representatives, FROM: Nov. 20, 1997; TO: Jan. 20, 1998;


Mehta, D. R. Securities and Exchange Board, India, FROM: Feb. 28, 1998 (see Kar, Pratip); Aug.30, 1995; Apr. 4, 1996; Nov. 28, 1996; TO: Mar. 13, 1995; Nov. 8, 1995; Mar. 6, 1996; Apr. 11, 1996; Dec. 11, 1996; [Nov.]. 1999; Jan. 24, 2001;


Melvin, Christopher Melvin Securities, FROM: Aug. 1, 1997; TO: Sep. 17, 1997;


Mendell, Oliver M. Chase Manhattan Bank, FROM: Mar. 9, 1998; TO: Mar. 16, 1998;


Mendoza. Gary Department of Corporations, CA (Commissioner), TO: Apr. 21, 1995


Meier, Henri B. F. Hoffman-La Roche AG, Switzerland, FROM: Feb. 21, 1996; TO: Feb. 27, 1996;


Melamed, Leo Chicago Mercantile Exchange, FROM: Feb. 18, 1997; TO: Mar. 4, 1997;


Melancon, Barry C. American Institute of Certified Public Accountants, FROM: Jan. 5, 1996; May 12, 1998; TO: Jan. 29, 1996; Jun. 10, 1998; Nov. 27, 2000;


Melican, James P. International Paper, FROM: Feb. 14, 1995; TO: Mar. 17, 1995


Menezes, Victor Salomon Smith Barney Holdings Inc., TO: Aug. 4, 1999;


Meridor, Dan Ministry of Finance, Israel, TO: Apr. 25, 1997;


Messenger, James H. National Financial Services Corporation, TO: Oct. 23, 1997;


Mestres, Ricardo A. Sullivan & Cromwell, TO: Feb. 27, 1998;


Metz, M. Jeffrey Practicioners' Financial Advisors, Inc., FROM: Sep. 6, 1995; TO: Sep. 22, 1995


Metzenbaum, Howard M. Consumer Federation of America, FROM: Mar. 17, 1995; TO: Apr. 10, 1995; Nov. 27, 2000;


Mayden, Barbara Bass, Berry & [Louis], TO: Feb. 15, 2000;


Meyer, Laurence H. Federal Reserve System - Board of Governors, FROM: Aug. 17, 1999; Feb. 8, 2000; TO: Sep. 2, 1999; Feb. 15, 2000; Nov. 27, 2000;


Meyer, Marsha Invested, FROM: May 31, 1995; TO: Jun. 20, 1995


Meyers, Tracy Securities Division, SC, TO: Apr. 21, 1995


Mfume, Kweisi US House of Representatives, FROM: Nov. 6, 1995TO: Dec. 5, 1995


Mica, John L. US House of Representatives, FROM: Dec. 20, 1995; TO: Jun. 3, 1996


Michelson, G.G. R.H. Macy & Co., Inc., TO: Apr. 20, 1995; May 2, 1996


Mientkavich, Arie Israel Securities Authority; Israel Discount Bank Ltd., FROM: Dec. 6, 1994; May 19, 1995; Mar. 28, 1997; TO: Feb. 13, 1995; May 26, 1995; Feb. 27, 1996; Oct. 10, 1996; Apr. 4, 1997; Apr. 25, 1997; Oct. 5, 1998;


Mierzwinski, Edmund US Public Interest Research Group, FROM: May 9, 2000; Aug. 1, 2000; TO: Jun. 20, 2000; Sep. 7, 2000


Mukulski, Barbara US Senate, FROM: [n.d.] (personal file)


Mikva, Abner J. Counsel to the US President, TO: Apr. 10, 1995; May 5, 1995


Miles, Jerome A. William A. Jump Memorial Foundation, TO: Apr. 15, 1998;


Miller, Allan C. Los Angeles Times, TO: (Hall, Hannah R.) Apr. 18, 1995


Miller, Bob Gevernor, NE; National Governors' Association, FROM: Mar. 18, 1997; TO: Mar. 26, 1997;


Miller, Carolyn A. US SEC - Division of Corporation Finance, TO: Apr. 1, 1998; Nov. 17, 1998;


Miller, Charles Meridian Advisors, Ltd., TO: Mar. 28, 1995


Miller, Dave US SEC - Printing Department, TO: Oct. 6, 1997;


Miller, George US House of Representatives, FROM: Oct. 10, 1996; Dec. 10, 1997; TO: Dec. 10, 1996; Jan. 20, 1998;


Miller, Heidi Priceline.com, TO: Jan. 29, 2001;


Miller, Paul University of Colorado, CA - School of Law, FROM: May 23, 1997; TO: May 27, 1997(Balamaci, N.); Jun. 18, 1997;


Miller, Sam Scott Orrick, Herrington & Sutcliffe, TO: Apr. 26, 1995


Miller, Sarah American Bankers Association, TO: Jan. 9, 1997;


Miller, Thomas Polaris Financial Services, Inc., FROM: May 22, 1997; TO: Jun. 17, 1997;


Millstein, Ira M. Weil, Gotshal & Manges LLP, From: Jan. 29, 1996; Feb. 28, 1996; Mar. 9, 1998; Mar. 23, 1998; TO: Feb. 5, 1996; Mar. 20, 1996; May 8, 1996; Jul. 19, 1996; Nov. 6, 1996; Jul. 17, 1997; Apr. 1, 1998; Apr. 16, 1998; Jan. 29, 2001;


Milne, Kevin C., from: Nov. 7, 1995; to: Nov. 28, 1995 (Commission on White House Fellowships)


Milston, Martin J. J. H. Cohn & Co., FROM: Mar. 20, 1995; TO: Mar. 27, 1995


Mindel, Aaron Council of Development Finance Agencies, TO: Jan. 9, 1997;


Mingkang, Ling Bank of China, People's Republic of China, TO: Aug. 9, 2000;


Mink, Patsy US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996


Minow, Newton M. Sidley & Austin, FROM: Oct. 5, 1998; TO: Apr. 30, 1998; Oct. 8, 1998;


Minow, Nell Lens, Inc., TO: Apr. 18, 1995


Mirat, Bernard IBCA S. A., Paris, France, FROM: Feb. 6, 1995; TO: TO: Mar. 8, 1995


Mires, Charles D. Allstate Insurance Company, FROM: May 27, 1999 (Maco, Paul, filed under Jun. 22, 1999)


Miron, Donald B. Paine Webber Group, Inc., FROM: Jul. 27, 1993; TO: Aug. 4, 1993


Mitchell, George J. US Senate, TO: Oct. 5, 1998;


Mizuhara, Toshihiro Securities and Exchange Surveillance Commission, Tokyo, Japan, FROM: Oct. 21, 1996; TO: Nov. 21, 1996


Mobius, J. Mark Templeton Emerging Markets Fund, Moscow, Russia, FROM: Sep. 4, 1996; TO: Sep. 30, 1996;


Mogg, J. F. International Market & Financial Services, Belguim, FROM: Sep. 29, 1995; TO: Oct. 24, 1995


Mohr, William H. North American Securities Administrators Association, Inc.- Investment Companies Sales Practice Committee, TO: Apr. 20, 1995


Moldaw, Stuart George, TO: Dec. 6, 1996;


Moler, Elizabeth A. Federal Energy Regulatory Commission, FROM: Apr. 4, 1997; TO: Apr. 16, 1997;


Molinari, Susan US House of Representatives, TO: Mar. 3, 1997; Mar. 24, 1997;


Moller, George A. Amsterdam Exchanges, Netherland, TO: Apr. 1, 1997


Moloney, James US SEC - Division of Corporation Finance, TO: Oct. [..], 1995


Monaco, Michael P. American Express Company, FROM: Oct. 31 1995;TO: Nov. 27, 1995;


Monaco, Nicholas A. US SEC - Southeast Regional Office, TO: Apr. 16, 1996


Monks, Robert A.G. Lens, Inc., FROM: Dec. 11, 1995; TO: Feb. 6, 1996


Monroe, Cecil Department of Insurance/Finance, OR, TO: Apr. 21, 1995


Monsen, Thomas, TO: Sep. 30, 1996;


Moore, Gordon E. Intel Corporation, FROM: Sep. 4, 1996; TO: Dec. 12, 1996;


Moore, Jim DGM Commodity Corp., FROM: Aug. 17, 1993: TO: Sep. 7, 1993


Moore, Michael US SEC, TO: Feb. 9, 2000;


Moore, Robert Salomon Smith Barney, TO: Oct. 14, 1999;


Moran, Frederick A. Moran & Associates, Inc., FROM: Jun. 5, 1995


Moran, James P. US House of Representatives, FROM: Jan. 19, 1995; Apr. 27, 1995; Jan. 20, 2000; Feb. 4, 2000; TO: Feb. 13, 1995; May 12, 1995; Mar. 14, 2000; May 19, 2000;


Morella, Constance A. US House of Representatives, FROM: Mar. 26, 1997; TO: Oct. 20, 1995; Apr. 25, 1997;


Moreno, Luis Miguel Comision Nacional De Valores, Mexico D.F., FROM: Aug. 8, 1993; TO: Aug. 24, 1993


Morgenthau, Robert M. District Attorney, New York, NY, TO: Nov. 27, 2000;


Morhart, Jim Senate Committee on Appropriations, TO: Oct. 19, 2000;


Morris, Earle E., Jr. Comptroller General, SC, FROM: Jun. 24, 1996; May 20, 1997; Oct. 27, 1997; Dec. 21, 1999; TO: Jul. 16, 1996; Nov. 13, 1997; Jan. 3, 2000;


Morris, Kenneth M. Siegel & Gale, TO: Jun. 22, 1995


Morris, Michael G. Northeast Utilities, TO: Dec. 5, 1997


Morrison, Frank Davis Polk & Warwell, TO: Mar. 5, 1998


Morrison, Thomas A., TO: Apr. 20, 1995


Morse, William E., FROM: Aug. 2, 2000; TO: Aug. [2-9], 2000;


Morton, William G., Jr. Boston Stock Exchange, FROM: Feb. 17 1995; Jan. 12, 1996; TO: Jan. 12, 1995; Feb. 17 1995; Mar. 13, 1995; Oct. 25, 1995; Jan. 30, 1996; Mar. 7, 1997; May 14, 1998; Feb. 22, 1999;


Mosbacher, Robert, FROM: Apr. 7, 1998; TO: Apr. 21, 1998;


Moseley-Braun, Carol US Senate, FROM: Nov. 3, 1995; Jan. 22, 1996; Oct. 29, 1996; Jun. 10, 1998; TO: Nov. 22, 1995; Feb. 8, 1996; Dec. 5, 1996; May 2, 1997; Jun. 29, 1998;


Moskowitx, Shelly Neighbor to Neighbor, FROM: May 9, 2000; TO: Jun. 20, 2000;


Moss, Frederick Cincinnati Stock Exchange, FROM: Dec. 1, 1995; TO: Jan. 12, 1995; Feb. 17 1995; Jan. 3, 1996; Mar. 7, 1997; Feb. 22, 1999;


Mostoff, Allan S. Dechert Price & Rhoads, TO: Jul. 7, 1995


Moynihan, Daniel Patrick US Senate, TO: Apr. 1, 1998;


Mpheli, Joseph US Embassy, Republic of South Africa, TO: Mar. 7, 1995


Muhammed, Mar'ie Ministry of Finance, Indonesia, TO: May 3, 1995


Muis, Jules W., FROM: Aug. 30, 2000 (filed under Norgaard, Erik, Sep. 20, 2000); [Nov. 1], 2000; TO: Nov. 7, 2000;


Mulford, David Credit Suisse First Boston Corp., TO: Apr. 8, 1998;


Muller, William J. Executive Assistant to US Attorney, Eastern District of NY, TO: Nov. 12, 1998 (RE: Zarb, Frank);


Mulligan, Deidre Center for Democracy and Technology, FROM: May 9, 2000; TO: Jun. 20, 2000;


Murin, Paul David A. Noyes & Co., TO: Sep. 13, 1995


Murphy, Michael STA International Committee, FROM: Jul. 10, 1995; TO: Aug. 8, 1995


Murphy, Tom Mayor, City of Pittsburgh, PA, FROM: Oct. 11, 1999; TO: Oct. 26, 1999 (Maco, Paul);


Murray, George A. Prudential Securities, TO: Apr. 20, 1995


Murray, Patti, FROM: Mar. 29, 1995


Murray, Vincent Bond Market Association, FROM: Oct. 29, 1998; TO: Nov. 23, 1998;


Murton, Vanessa Pace University - School of Law, TO: Jun. 18, 1997;


Mushalko, George American Association of Individual Investors, DC Chapter, TO: May 14, 1998;


Nader, Ralph Consumer Advocate, FROM: Nov. 24, 1995; TO: Dec. 11, 1995


Nadler, Jerrold US House of Representatives, FROM: Apr. 27, 1995; Oct. 10, 1996; TO: May 12, 1995; Dec. 10, 1996


Nagano, Atsushi Ministry of Finance, Japan, TO: Apr. 19, 1996


Nagle, Kurt American Association of Port Authorities, TO: Jan. 9, 1997;


Najarian, Nishan J., TO: Apr. 20, 1995


Nash, Monroe, Jr. A.G. Edwards & Sons, Inc., TO: Apr. 20, 1995


Nash, Robert J. Assistant to the President, White House, TO: Aug. 14, 1997 (RE: Owens, Sister Helen ); Aug. 26, 1998 (RE: Cook, J. Michael);


Nason, Charles T. Acacia Group, TO: Apr. 20, 1995


Nathan, S. R. Ambassador to USA, Singapore, FROM: Sep. 21, 1995; TO: Sep. 28, 1995


Natori, Kenneth Natori Company, FROM: Aug. 6, 1993; TO: Aug. 24, 1993


Nazareth, Annette US SEC - Counsel, TO: Feb. 26, 1999;


Neal, Richard E. US House of Representatives, FROM: Nov. 18, 1997;


Neal, Robin Social Security Administration, TO: Apr. 14, 1998;


Neely, Paul Chattanooga Times, FROM: May 19, 1997; TO: Jun. 3, 1997;


Neff, John Wellington Management Company, TO: Jun. 13, 2000;


Nelson, Anthony Treasury Chambers, UK, FROM: Aug. 5, 1993; TO: Aug. 13, 1993


Nelson, David Raymond James & Associates; US SEC - Southeast Regional Office, TO: Feb. 17 1995; Apr. 26, 1995; Apr. 15, 1996


Neoh, Anthony Francis Securuties and Futures Commission, Hong Kong; IOSCO, FROM: Dec. 5, 1996 (Canadell, Eudald); Jan. 30, 1997; TO: Dec. 26, 1996; Feb. 6, 1997; Feb. 11, 1997; May 8, 1997; Oct. 22, 1997; Sep. 10, 1998;


Nestor, Loretta Guiterrez Hispanic National Bar Association, TO: May 14, 1998;


Netanyahu, Benjamin Prime Minister, Israel, FROM: Jul. 28, 1998; TO: Oct. 5, 1998;


Netter, Richard Singer Netter Dowd & Berman., FROM: Jun. 24, 1996; TO: Jul. 16, 1996;


Neumann, Mark W. US House of Representatives, FROM: Dec. 10, 1997; TO: Dec. 31, 1997;


Newkirk, Tom US SEC, TO: Sep. 16, 1999


Newman, Frank N. US Department of Treasury; Bankers Trust Company, FROM: May 19, 1995; Jul. 11, 1996; TO: Jun. 1, 1995; Jul. 24, 1996;


Newman, Richard G. AECOM Technology Corporation, TO: Sep. 30, 1997;


[Newse], Earl, FROM: Jul. 15, 1998; TO: [Jul. 15, 1998];


Newso, Robert Securities Department Director, IL, TO: Apr. 21, 1995


Nichols, Sara Consumer Federation of California, CA, FROM: May 9, 2000; TO: Jun. 20, 2000;


Nickles, Don US Senate, TO: Nov. 20, 1997;


Nicholas, John J., TO: Feb. 6, 1996


Niederauer, Duncan L. Goldman Sachs & Co., TO: Mar. 16, 1999;


Niehenke, John J. Nomura Securities International, Inc., FROM: Aug. 21, 1996; TO: Sep. 11, 1996;


Nigon, Emily Esko High School, FROM: Mar. 24, 1995; TO: Apr. 11, 1995


Nimetz, Matthew Paul, Weiss, Rifkind, Wharton & Garrison; General Atlantic Partners, FROM: Nov. 15, 1994; Jan. 29, 2001;


Nines, Larry National Association of Highter Educational Facilities Authorities, TO: Jan. 9, 1997;


Nixon, Ralph E. Liberty Securities Corporation, TO: Apr. 20, 1995


Njeke, Johnson Kagiso Trust Investment Company, Ltd, Republic of South Africa, TO: Mar. 7, 1995


Noble, John F., FROM: Aug. 11, 1995 (filed under Morella, Oct. 20, 1995)


Nobuyuki Idei (?) Sony Corporation, Japan, FROM: Mar. 10, 1999; Feb, 25, 1999; TO: Mar. 16, 1999; Mar. 24, 1999;


Noia, Alan J. Allegheny Power, TO: Dec. 5, 1997


Nojeim, Greg American Civil Liberties Union, FROM: May 9, 2000; TO: Jun. 20, 2000;


Nolen, Wilson, TO: Mar. 16, 1999;


Norden, Donald J. Chambers, Conlen & Hartwell, FROM: Dec. 5, 1995; TO: Jan. 2, 1996;


Norgaard, Erik Mercuri Urval A/S, Denmark, TO: Sep. 20, 2000 (RE: Muis, Jules);


Norton, Eleanor Holmes US House of Representatives, FROM: Nov. 20, 1997; TO: Jan. 20, 1998;


Notebaert, Richard C. Ameritech Corporation, TO: Feb. 13, 1998;


Noto, Lucio A. Mobil Corporation, FROM: Nov. 24, 1997; TO: Dec. 17, 1997


Nussbaum, Bernard Wachtell, Lipton, Rosen & Katz, TO: Jan. 29, 2001;


Nye, Joseph S. Harvard University - John F. Kennedy School of Government, FROM: Mar. 21, 1997; Apr. 15, 1998; TO: Mar. 26, 1997; Mar. 19, 1998; Apr. 28, 1998; Oct. 21, 1998;


Nygaard, Brian L. Princor Financial Services Corporation, TO: Mar 2, 1995; Apr. 20, 1995


Oakley, Frank Williams College, FROM: Aug. 1, 1993; TO: Aug. 13, 1993


Obernauer, Marne, Jr. Devon Group, Inc., FROM: Sep. 3, 1996;


O'Brien, Karen M. North American Securities Administration Association, Inc., TO: Apr. 26, 1995


O'Brien, Edward I., TO: Apr. 20, 1995; May 2, 1996


O'Brien, Michael House of Commons, UK, FROM: Dec. 18, 1996; TO: Dec. 23, 1996; Jan. 3, 1997;


O'Connor, Joseph IDS Financial Services, TO: Feb. 17 1995


O'Connor, Sandra Day US Supreme Court, TO: Oct. 5, 1998;


Odeen, Philip A. BDM International, Inc., FROM: Feb. 16, 1996; TO: Jul. 17, 1995; Mar. 11, 1996


O'Donnell, James National Association of Securities Dealers, TO: Feb. 17 1995


Ogg, Leslie L. IDS Mutual Fund Group, TO: Mar. 16, 1999;


O'Hara, Thomas E. National Association of Inverstors Corp., FROM: Sep. 15, 1995; Nov. 7, 1996; Jul. 18, 1997; Dec. 15, 1999; TO: May 1, 1995; Sep. 27, 1995; May 2, 1996; Sep. 20, 1996; Nov. 26, 1996; Aug. 13, 1997; Mar. 5, 1998; Feb. 8, 2000;


O'Hare, Mary Ann New York Stock Exchange, TO: Feb. 17 1995


Olesky, William Department of Banking, CT - Division of Securities, TO: Feb. 17 1995


O'Keefe, Mark State Auditor and Securities Commissioner, MT, TO: Apr. 21, 1995


Olayan, Suliman S. Olayan Group, Saudi Arabia, TO: Sep. 29, 1999


Ole, Kevin Gray Panthers Project Fund, FROM: Feb. 12 1996; TO: Mar. 11, 1996


O'Leary, C.J., TO: Apr. 20, 1995


Oliverio, Mary Ellen Pace University - Lubin School of Business, FROM: Oct. 1, 1998; Jan. 25, 1999; TO: Nov. 19, 1998; Feb. 24, 1999;


Olmert, Ehud Mayor, Jerusalem, Israel, FROM: Jul. 2, 1998; TO: Jul. 22, 1998;


Olson, James R. Lutheran Brotherhood Securities Corp., TO: Apr. 20, 1995


Olson, John F. Gibson, Dunn & Crutcher, LLP, TO: Aug. 29, 1997;


Olver, John US House of Representatives, FROM: Oct. 10, 1996; Nov. 18, 1997; TO: Dec. 10, 1996


O'Neil, Jack Securities Industry Association, TO: Oct. 15, 1996;


ONeil, James P. Bowne, FROM: Nov. 30, 1998;


O'Neil, Leo C. Standard & Poor's, FROM: Mar. 6, 1996; May 10, 1996; TO: Apr. 2, 1996; May 31, 1996


O'Neil, Barbara Rutgers Cooperative Extension Service, TO: May 14, 1998;


O'Neil, C. Roderick O'Neil Associates, FROM: Jul. 14, 1997 (Filed under Zarb, Frank, Jul. 17, 1997)


Oppenheim, E. Magnus E. Magnus Oppenheim & Co., FROM: Aug. 1, 1995; TO: Oct. 19, 1995


Ordway, Marilyn National Association of Inverstors Corp. - Metro Washington Council, TO: May 14, 1998;


O'Reilly, Patricia New York Stock Exchange, TO: Feb. 17 1995


O'Toole, Thomas F. Principal Financial Securities, Inc., TO: Apr. 20, 1995


O'Reilly, Vincent M. Coopers & Lybrand, FROM: Nov. 29, 1995; TO: Dec. 7, 1995


Osorio, Jose Luiz Comissao de Valores Mobiliarios, Brazil, FROM: Mar. 24, 2000; TO: Apr. 5, 2000;


Ospel, Marcel UBS AG, Switzerland, TO: Dec. 24, 1998;


Oswald, Rudolph A. AFL-CIO, TO: Apr. 20, 1995; May 2, 1996


Otto, Betsy Sibson & Co., FROM: Apr. 11, 1995TO: May 17, 1995


Ouchi, William G. Office of the Mayor, Los Angeles, California; UCLA, TO: Apr. 21, 1995; May 2, 1996


Owens, Helen Our Lady of Lourdes Medical Center, FROM: Jul. 21, 1997 (Clinton, William); TO: Aug. 8, 1997 (Nash, Robert - filed under Nash, Aug. 14, 1997)


Oxley, Michael G. US House of Representatives, FROM: Sep. 26, 1996; Jan. 27, 1997; Apr. 10, 1997; May 23, 1997 (filed under Buffet, Warren, Aug. 25, 1997); Feb. 5, 1998; Mar. 3, 1998; TO: Oct. 28, 1996; Jan. 29, 1997; Mar. 5, 1997; Apr. 11, 1997; Oct. 10, 1997; Oct. 23, 1997; Mar. 4, 1998; Mar. 18, 1


Pace, E. Veronica Office on Aging, DC, TO: May 14, 1998;


Paglis, Robert J. Edward Jones, FROM: Oct. 23, 2000;


Paik, Won-Ku Securities and Exchange Commission, Korea, FROM: Apr. 27, 1995; TO: May 15, 1995; May 7, 1996


Pallante, Salvator New York Stock Exchange, TO: Feb. 17 1995


Palmieri, Victor H. Alix Palmieri Associates, TO: [Oct. 12, 1999];


Pandit, Vikram Morgan Stanley Dean Witter, TO: Sep. 27, 2000;


Panetta, Leon E. White House, FROM: Oct. 28, 1994


Pardes, Herbert,M.D. Columbia University - College of Physicians and Surgeons, FROM: Mar. 17, 1994


Pardus, Donald G. Eastern Utilities Associates, TO: Dec. 5, 1997


Parillo, Edward J., TO: Apr. 20, 1995


Parisian, Dean Thomas, TO: Apr. 20, 1995


Parker, Thomas H. Williams College, FROM: Dec. 1, 1998; TO: Oct. 28, 1998 (RE: Parker, Hallie);


Parmalee, Carol White House - Office of Chief-of-Staff, TO: Nov. 3, 1998;


Parratt, Shelly US SEC - Division of Corporation Finance, TO: Oct. 11, 1995


Passin, Greg Sibson & Co., TO: Apr. 20, 1995


Patrikis, Ernest T. Federal Reserve Bank of New York, FROM: Apr. 23, 1998; TO: May 20, 1998;


Patterson, Thompson B., Jr. J.C. Bradford & Co., TO: Aug. 23, 1995


Patterson, William AFL-CIO, TO: Apr. 12, 2000; Nov. 27, 2000;


Patton, Roscoe Investment Management and Research, Inc., TO: Apr. 20, 1995


Paul, William G. American Bar Association, FROM: Oct. 20, 1999; TO: Nov. 10, 1999; Feb. 16, 2000;


Paulson, Henry M. Goldman Sachs & Co., TO: Sep. 28, 1999; Jan. 29, 2001;


Paxon, Bill US House of Representatives, TO: Feb. 18, 1997


Payne, Hank Williams College, TO: May 29, 1996; Sep. 30, 1996; Oct. 18, 1996 (RE: Canada, Geoff)


Payne, Patricia L. Bethel & Nicastro, P.C., FROM: Sep. 20, 1995; TO: Oct. 25, 1995


Pearce, E. Linwood Template Software, Inc., TO: Apr. 4, 1997;


Pearce, William R. IDS Mutual Fund Group, TO: Oct. 8, 1997;


Peirce, Thomas US SEC - Office of International Affairs, TO: Nov. 16, 1998;


Pellecchia, Ray New York Stock Exchange, TO: Feb. 17 1995


Pellegrino, John Merrill Lynch & Co., Inc., TO: Feb. 17 1995


Pelosi, Nancy US House of Representatives, FROM: Dec. 10, 1997; TO: Jan. 20, 1998


Penske, Roger S. Detroit Diesel Corp., TO: May 1, 1995


Percoco, Stephen P. Lark Research, TO: Apr. 20, 1995


Pereira, Jose Nunes Comissao Do Mercado De Valores Mobiliarios, Portugal, TO: Oct. 18, 1996


Perrier-Dreyer, Barbara Outreach Technologies, TO: Apr. 17, 1998;


Peretsman, Nancy Allen & Company, Inc., TO: Jun. 13, 2000; Jan. 29, 2001;


Perkins, John Office of the Secretary of State, MO, TO: Apr. 21, 1995


Perlmutter, Louis Lazard Freres, TO: Jan. 4, 1995


Peters, Aulana L. Gibson, Dunn & Crutcher, LLP, TO: Mar. 16, 1999;


Peterson, Collin US House of Representatives, TO: Aug. 10, 1995


Peterson, Peter G. Blackstone Group, TO: Oct. 28, 1996; Jun. 13, 2000; Jan. 29, 2001;


Petisi, Robert J. Marketing Corporation of America, FROM: May 6, 1999; TO: May 12, 1999;


Petrelli, Tony Neidiger, Tucker, Bruner, Inc., TO: Oct. 23 1995


Petri, Thomas E. US House of Representatives, FROM: Sep. 3, 1997; TO: Oct. 2, 1997;


Petrick, Stephen J., TO: Apr. 3, 1995


Pettibone, Peter J. Patterson, Belknap, Webb & Tyler, FROM: Sep. 11, 1996; TO: Sep. 27, 1996;


Phelan, John J., TO: Oct. 15, 1999;


Phelps, Glenys I., TO: Apr. 20, 1995


Phillips, John D. A.T. Kearny, Inc., TO: Apr. 20, 1995


Phillips, Richard M. Kirkpatrick & Lockhart, FROM: Nov. 28, 1995 (+list); TO: Jul. 7, 1995; Dec. 7, 1995; Mar. 16, 1999;


Picado, Sonia S. Ambassador to USA, Costa Rica, FROM: May 16, 1995


Piccirilli, Maria D'Alessandro Division of Banking and Securities, RI, TO: Apr. 21, 1995


Pickard, Lee A. Pickard and Djinis, FROM: Mar. 25, 1997; TO: Apr. 17, 1997


Pickholz, Marvin G. Hoffman Pollor & Pickholz, LLP, FROM: Sep. 29, 1997; TO: Oct. 17, 1997;


Pillis, John H. III Nations Securities, TO: Apr. 20, 1995


Pinera, Jose Cato Institute, TO: Nov. 18, 1998;


Pinto, John National Association of Securities Dealers, TO: Dec. 5, 1995


Piper, Addison L. Piper Jaffray Inc., TO: Mar 2, 1995; Apr. 20, 1995; Jun. 7, 1995


Pitfield, Anthony C. Tex, TO: Apr. 20, 1995


Pitt, Harvey Fried, Frank, Harris, Shrine, & Jacobson, TO: Mar. 6, 1996


Pitt, Ruth US SEC, TO: Sep. 29, 1995


Planty, Donald J. US Embassy, Guatemala, TO: Dec. 15, 1998;


Plate, Thomas Los Angeles Times, FROM: Dec. 20, 1994


Platt, Nicholas W. Burson-Marsteller, FROM: May 25, 1999; TO: Jun. 21, 1999; Jan. 4, 2000;


Plavin, David Airports Council International - North America, TO: Jan. 9, 1997;


Plaze, Robert US SEC - Division of Investment Management, TO: Oct. 28, 1997;


Pleng, Lim Choo Stock Exchange, Singapore, TO: May 5, 1995


Plenge, Robert W. Plenge, Thomas & Gunning Securities, Inc., TO: Apr. 20, 1995


Plunket, Travis Consumer Federation of America, FROM: May 9, 2000; TO: Jun. 20, 2000;


Podesta, John White House, TO: Dec. 23, 1998;


Pollack, Irving Storch & Brenner, TO: Apr. 26, 1995


Polt, Michael S. US Embassy, Germany, TO: Mar. 2, 1998


Popkey, Dan Idaho Statesman, FROM: Mar. 31, 1995; TO: Apr. 5, 1995


Popoff, Frank Dow Chemical Company, FROM: Jan. 12, 2000; TO: Jan. 19, 2000;


Porter, Alan, TO: Apr. 20, 1995


Porter, Barbara, TO: Apr. 20, 1995


Porter, Michael Harvard University - Graduate School of Business Administration, FROM: Nov. 12, 1998; TO: Nov. 19, 1998; Jan. 11, 1999;


Post, Richard M. Gruntal & Co., Inc., FROM: Jul. 28, 1993; TO: Aug. 4, 1993


Pottruck, David S. Charles Schwab & Co, Inc, FROM: Aug. 14, 1997; Feb. 4, 1998; Mar. 30, 1998; Aug. 5, 1998; Feb. 19, 1999; Sep. 7, 2000; Nov. 10, 2000; TO: Aug. 28, 1997; Mar. 24, 1998; Apr. 6, 1998; Apr. 8, 1998; Apr. 17, 1998; Aug. 18, 1998; Mar. 10, 1999; Nov. 30, 1999; Sep. 28, 2000; Nov. 30


Potts, Stephen D. US Office of Government Ethics, FROM: Feb. 24, 1995; Apr. 8, 1999; TO: Mar. 6, 1995; May 20, 1999;


Pound, William T. National Conference of State Legislatures, TO: Jan. 9, 1997;


Powell, Dennis Cisco Systems, TO: Jun. 13, 2000;


Powell, Don G. Van Kampen American Capital, TO: Oct. 28, 1996; Dec. 26, 1996;


Powell, Elizabeth Investment Company Institute, TO: Apr. 14, 1998;


Powell, James B. AutoCyte, Inc., TO: Oct. 6, 1997;


Pozen, Robert C. Fidelity Management and Research Company, FROM: Jan. 21, 1999; TO: Apr. 17, 1998; Feb. 23, 1999; Mar. 16, 1999; Jan. 29, 2001;


Prada, Michel Commission des Operations de Bourse, France; International Organization of Securities Commissions, FROM: May 26, 1996; May 25, 1999; TO: Jun. 12, 1996; Oct. 22, 1997; Sep. 10, 1998; Nov. 19, 1998; Mar. 3, 1999; Jun. 4, 1999; Apr. 24, 2000; Oct. 17, 2000;


Precourt, Jay A. Tejas Gas Corp., FROM: Sep. 3, 1996;


Preiss, Valerie US SEC, TO: Nov. 16, 1995


Presley, Brian Advantage Capital Corporation, TO: Apr. 20, 1995


Pressler, Larry US Senate, FROM: Sep. 26, 1995TO: Oct. 3, 1995


Price, Robert Price Communications Corporation; PriCellular Corporation, FROM: Jun. 12, 1995; Aug. 1, 1996; TO: Jun. 19, 1995; Aug. 20, 1996


Price, Sol Price Entities, TO: Apr. 20, 1995; May 2, 1996


Priddle, Steve US SEC - Office of Investor and Education Assistance, TO: Apr. 30, 1999;


Procter, Andrew Securities and Futures Commission, Hong Kong, TO: [Nov.]. 1999;


Provost, Peter DLS Group, Inc., TO: Feb. 17, 1995


Purcell, Philip J. Dean Witter Reynolds, Inc.; Morgan Stanley, Dean Witter & Co.;, TO: Mar 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; Sep. 27, 1995; Jan. 30. 1997; Aug. 15, 1997; Oct. 17, 1997; Apr. 8, 1998; Oct. 22, 1998; Nov. 23, 1998; Dec. 28, 1998; Sep. 28, 1999


Quick, Leslie C., III US Clearing Corp., TO: Oct. 23, 1997;


Quinn, Jane Bryant Newsweek, TO: Apr. 7, 1998; [n.d.]


Quinn, Linda C. Shearman & Sterling, TO: Nov. 6, 1996


Quon, Randolph S.M. Potomac Foundation, FROM: Nov. 21, 1997; TO: Jan. 20, 1998;


Ragavan, Chitra US News & World Report, TO: Mar. 31, 1999;


Rainer, William J. US Commodity Futures Trading Commission, FROM: Sep. 10, 1999; Feb. 23, 2000; TO: Sep. 22, 1999; Nov. 12, 1999; Mar. 8, 2000;


Raines, Frank D. Office of Management and Budget; Fannie Mae;, TO: Oct. 7, 1996; Jan. 29, 2001;


Raschke, Don North American Securities Administrators Association, Inc. - Investment Companies Sales Practice Committee, TO: Apr. 20, 1995


Rashbaum, Harold, FROM: Jun. 9, 1997; TO: Jul. 1, 1997;


Razaghian, Rose, TO: Apr. 20, 1995


Readmond, Ron Charles Schwab & Co, Inc, TO: Feb. 17, 1995


Regan, Andrew Harvard University - Graduate School of Business Administration, TO: May 1, 1995


Regan, Ned Jerome Levy Economics Institute; CUNY Baruch College;, FROM: Apr. 17, 2000; Jul. 20, 2000; Jan. 24, 2001 (2); TO: Apr. 25, 2000; Aug. 31, 2000; Jan. 29, 2001;


Rehnquist, William H. US Supreme Court, TO: Oct. 5, 1998;


Reich, Robert (Biff) Secretary of Labor, FROM: Sep. 10, 1996 (Skip Hayward); TO: Sep. 19, 1996;


Reilly, Richard M. Allmerica Investments, Inc., TO: Apr. 20, 1995


Reis, Donald Securities Division, NV, TO: Apr. 21, 1995


Reischauer, Robert Brookings Institution, TO: Oct. 21, 1998;


Rendell, Edward G. Mayor, Philadelphia, PA, FROM: Apr. 15, 1999; TO: Dec. 29, 1998; May 5, 1999;


Reno, Janet Attorney General, USA, FROM: Jun. 5, 1995; Aug. 25, 1997; TO: Jun. 14, 1995; Dec.[1-4], 1995; Sep. 22, 1997; Sep. 25, 1997; Jun. 9, 1999;


Revson, Charles Charles H. Revson Foundation, FROM: Jan. 25, 1996; TO: [Mar. 5], 1996


Rhett, John T., III Robinson Humphrey Co., LLC., TO: May 14, 1998;


Riccio, Willis H. National Association of Securities Dealers Regulation, Inc., TO: May 14, 1998;


Rice, Norman B. Mayor, Seattle, VA; US Conference of Mayors (President), FROM: Apr. 24, 1996; TO: Jun. 7, 1996


Rich, Linda Dallas US House of Representatives, TO: Mar. 5, 1997;


Richard, Oliver G., III Columbia Gas System, Inc., TO: Dec. 5, 1997


Richards, Lori A. US SEC - Office of Compliance Inspections and Examinations, TO: May 14, 1998; Feb. 26, 1999; Mar. 3, 2000;


Richardson, Alan H. American Public Power Association, TO: Jan. 9, 1997;


Richardson, Bill US House of Representatives, FROM: Sep. 5, 1995; Oct. 8, 1996; TO: Nov. 4, 1996; Feb. 18, 1997


Richardson, Christine US SEC - Division of Market Regulation, TO: Nov. 16, 1998; Dec. 11, 2000;


Richardson, Margaret Milner US Department of Treasury - IRS, FROM: Jun. 3, 1996; TO: Jun. 26, 1996;


Rickson, Kenneth M. MML Investors Services, Inc., TO: Apr. 20, 1995


Ready, Marjorie, TO: Nov. 29, 2000;


Reddy, Michael Global Financial Market Group, TO: Aug. 16, 1999;


Reed, John S. Citicorp, FROM: Oct. 17, 1995; TO: Nov. 15, 1995; Apr. 17, 1998; Dec. 28, 1998; Jan. 5, 1999;


Rees, Rachel L., TO: Apr. 20, 1995


Ridings, Dorothy S. Council on Foundations, FROM: Apr. 30, 1997; TO: Jun. 5, 1997;


Ridings, C. Leslie Heather Investments, TO: Apr. 20, 1995


Riegle, Donald W. US Senate, TO: Jan. 21, 1994


Rifkind, Robert S. Charles H. Revson Foundation, TO: Jun. 4, 1998;


Rittmaster, D. Paul, FROM: Jul. 28, 1999; TO: Sep. 1, 1999


Rivera-Dirks, Catherine, FROM: Jun. 26, 1995 (filed under Odeen, Jul. 17, 1995)


Rivera-Dirks, John Willams College, FROM: Feb. 5, 1997 (Filed under Henning, Madge, Feb. 6, 1997); Jun. 4, 1998 (addressed to Walter, RE: Dirks)


Rivers, Lynn N. US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996


Rivkin, Robert, TO: Apr. 20, 1995


Rivlin, Alice Federal Reserve Board, TO: Dec. 23, 1998;


Roach, Rae, TO: Feb. 23, 1995


Robb, Charles S. US Senate, FROM: Feb. 2, 2000; TO: Mar. 14, 2000;


Robbins, Rachel J.P. Morgan & Co., Inc., TO: Mar. 16, 1999;


Robbins, Ronald Liberty Securities Corporation, TO: Apr. 20, 1995


Robert, Stephen Oppenheimer & Co., Inc, TO: Mar 2, 1995; TO: Apr. 20, 1995; Jun. 7, 1995


Roberts, Bert C. MCI Communications Corporation, FROM: May 15, 1997; TO: Jun. 5, 1997;


Roberts, Peter A. College Savings Bank, FROM: Jan. 11, 1995; TO: Feb. 17, 1995


Robinson, George S., III Robinson & Langenberg, PC., FROM: Apr. 19, 2000;


Robinson, Gerald W. II W.S. Griffith & Co., Inc., TO: Apr. 20, 1995


Robinson, Todd A. Linsco/Private Ledger Corp., TO: Feb. 17, 1995; Mar. 2, 1995; TO: Apr. 20, 1995


Roby, Joe L. Donaldson, Lufkin & Jenrette, TO: Nov. 23, 1998;


Roche, Gerard R. Heidrick & Struggles, FROM: Aug. 3, 1998; TO: Aug. 17, 1998; Jan. 29, 2001;


Rock, Arthur Intel Corporation; Arthur Rock & Co., FROM: Sep. 4, 1996; Sep. 23, 1998; TO: Dec. 12, 1996; Oct. 14 1998;


Rock, Kent City Treasurer, Boise, ID, FROM: Aug. 22, 1993; Aug. 22, 1995 (personal file); TO: Sep. 21, 1995


Rockefeller, David, FROM: Aug. 9, 1993: TO: Aug. 27, 1993


Rocker, David A. Rocker Partners,L.P., FROM: Dec. 1, 1994; Sep. 18, 1995; Apr. 25, 1996; May 16, 1996; May 22, 1996; Mar. 5, 1998; Mar. 27, 1998; Jan. 27, 2000; Mar. 14, 2000; TO: Oct. 11, 1995; May 9, 1996; Jun. 26, 1996; Mar. 18, 1998; Apr. 17, 1998; Feb. 15, 2000; Apr. 24, 2000;


Rodominick, Jarrod Boy Scouts of America, TO: Mar. 24, 1998;


Roemer, Tim US House of Representatives, FROM: Jan. 20, 2000; TO: May 19, 2000;


Rogers, Harold US House of Representatives, TO: Dec. 29, 1995; Jul. 29, 1999;


Rogers, James E. Cinergy Corporation, TO: Dec. 5, 1997


Rogers, John W. Ariel Capital Management, Inc., FROM: Mar. 15, 1999; TO: Apr. 22, 1999;


Rogers, Thomasina V. US Administrative Conference, FROM: Jun. 5, 1995; TO: Jun. 14, 1995


Rogers, William L. Colony Capital, Inc., FROM: Jul. 25, 1997; TO: Jul. 28, 1997;


Rognovitz, Ruth US SEC - Office of International Affairs, TO: Dec. 18, 1995


Rogstad, Barry K. American Business Conference, FROM: Nov. 22, 1995; Feb. 20, 1997; Jun. 3, 1997; Sep. 29, 1998 (filed under Frazier, Fran, Oct. 2, 1998); Jul. 14, 2000; TO: Dec. 7, 1995; Mar. 4, 1997; Jun. 18, 1997; Sep. 18, 2000;


Rolland, Ian M. Lincoln National Life Insurance Company, TO: Apr. 20, 1995


Rollins, Loretta Municipal Securities Rulemaking Board, TO: Feb. 17, 1995


Rollwagen, John A. St. Paul Venture Capital, FROM: Apr. 11, 1997;


Romano, Richard C. Romano Brothers & Co., TO: Feb. 17, 1995


Roper, Barbara L.N. Consumer Federation of America, FROM: Apr. 10, 1997; Aug. 1, 2000; TO: Apr. 20, 1995; Mar. 6, 1996; May 2, 1996; Apr. 30, 1997; Sep. 7, 2000;


Roper, Joseph C., TO: Apr. 20, 1995


Rosen, Howard Competitiveness Policy Council, FROM: Mar. 26, 1996; TO: Apr. 15, 1996


Rosenberg, Henry A. Crown Central Petroleum Corp., TO: Apr. 6, 1995


Rosenberg, Nathan Owen Rosenberg Group, FROM: Jul. 30, 1993; TO: Aug. 12, 1993


Rosenberg, Wolfgang H., FROM: Jun. 29, 1996; TO: Jul. 17, 1996;


Rosenblatt, Peter R. Heller, Rosen & Scheman; Heller & Rosenblatt, FROM: Dec. 10, 1996; Sep. 26, 2000; TO: Sep. 18, 1995;


Rosenfield, Maurice, FROM: Sep. 19, 1994; Feb. 28, 1996; TO: Oct. 5, 1994; Mar. 13, 1996;


Rosenman, Robert Cravath, Swaine & Moore, TO: Feb. 27, 1998;


Rosenwald, E. John, Jr. Bear, Stearns & Co., Inc., FROM: Apr. 6, 1998; Sep. 9, 1999; TO: Apr. 6, 1998; Sep. 22, 1999;


Rossi, Charles V. Securities Transfer Association, Inc., FROM: Sep. 5, 1997; TO: Sep. 18, 1997


Roth, Michael J.C. USAA Investment Management Co., TO: Mar. 16, 1999;


Roth, William V., Jr. US Senate, TO: Feb. 17, 1995; Nov. 15, 1995; Jan. 3, 1996; Nov. 20, 1997;


Rothenberg, James F. Capital Research and Management Company, FROM: Sep. 13, 1999; TO: Sep. 30, 1999


Rowe, John W. New England Electric System, TO: Dec. 5, 1997


Roy, P. Norman Financial Executives Institute, FROM: Mar. 22, 1995; TO: Apr. 18, 1995; Feb. 7, 1996; May 20, 1996 (Cook, Michael J.)


Roye, Paul F. US SEC - Division of Investment Management, FROM: Apr. 12, 1999 (Silver, David); TO: Feb. 26, 1999;


Roybal-Allard, Lucille US House of Representatives, FROM: Dec. 10, 1997; TO: Jan. 20, 1998;


Rubin, Robert E. US Department of Treasury; US Council on Foreign Relations, TO: [Mar. 14], 1995; May 16, 1995; Jun. 16. 1995; [Jun. 19, 1995]; Jun. 20, 1995; Sep. 4, 1996; Nov. 5, 1996; Jan. 9, 1997; Feb. 20, 1997; Jul. 16, 1998; Oct. 16, 1998; Sep. 28, 1999


Rubinstein, Peter J. Central Synagogue, TO: Aug. 2, 2000;


Rudell, Joel M. Kavanagh Peters Powell & Osnato, TO: Aug. 5, 1993


Ruder, David S. Northwestern University - School of Law, FROM: Oct. 24, 1996 (RE: Anna Eshoo); Jul. 26, 2000; TO: Oct. 5, 1995; Oct. 23 1995; Nov. 5, 1996; May 27, 1997(Balamaci, N.); Jul. 28, 2000; Aug. 17, 2000;


Ruder, William William Ruder, Inc., FROM: Feb. 22, 1995; Jan. 18, 1996; Oct. 15, 1997; Mar. 12, 1998; TO: Mar. 7, 1995; Jan. 30, 1996; Oct. 30, 1997; Mar. 17, 1998;


Ruggieri, Bernard J., FROM: Aug. 12, 1993: TO: Aug. 27, 1993


Ruhlin, Peggy M. International Association for Financial Planning, FROM: Jun. 24, 1997; TO: Jul. 16, 1997;


Rupp, George Columbia University, TO: Dec. 23, 1998;


Ruru, Bacelius Capital Market Supervisory Agency, Indonesia, TO: Mar. 22, 1995; May 5, 1995


Rusenko, Harriet J., TO: Apr. 20, 1995


Rush, Bobby L. US House of Representatives, FROM: Nov. 20, 1997; TO: Jan. 20, 1998


Russo, Thomas A. Lehman Brothers, FROM: Jan. 20, 1997; TO: Feb. 4, 1997


Rustin, Richard E., FROM: Apr. 14, 1998


Ruth, Heather L. Public Securities Association, FROM: Feb. 24, 1995; TO: Mar. 16, 1995; Apr. 26, 1995


Ryan, Thomas P. Dean Witter Reynolds, Inc., TO: Sep. 13, 1995


Ryen, Christopher Boy Scouts of America, TO: Mar. 24, 1998;


Sack, Joe Bond Market Association, TO: Apr. 14, 1998; May 22, 2000;


Sadano, Salvatore American Stock Exchange, TO: Oct. 1, 1999; Nov. 10, 1999;


Sadlin, Max US House of Representatives, FROM: Jan. 20, 2000; TO: May 19, 2000;


Safire, William New York Times, TO: Sep. 26, 1996; Mar. 4, 1997; Jul. 23, 1997; Apr. 15, 1998; May 6, 1998


Saint-Geours, Jean Commission des Operations de Bourse, France, TO: Jan. 17, 1995


Salig, Ronald J. Boy Scouts of America, FROM: Dec. 8, 1997 (filed under Jason Desrosiers, Jan.14, 1998); Jan. 19, 1998; (Filed under Mar. 24, 1998)


Saloom, Joseph A. US Embassy, Germany, TO: Mar. 2, 1998


Saltzman, Paul Bond Market Association, FROM: Oct. 20, 1997; TO: Nov. 13, 1997;


Samansky, Art Securities Industry Association, TO: Feb. 17, 1995


Sanders, Bernard US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996;


Sanderson, Janet US Embassy, Cairo, TO: Feb. 27, 1996;


Sandner, John F. Chicago Mercantile Exchange, FROM: Jun. 21, 1995; Feb. 18, 1997; TO: Jul. 17, 1995; Mar. 4, 1997;


Sands, Jerome Robinson Humphrey Co., LLC., TO: Mar. 27, 1995; Jun. 7, 1995


Sanford, Henry J. US Naval Academy, TO: Jan. 2, 1998;


Sanford, Terry Duke University - Terry Sanford Institute of Public Policy, FROM: Jan. 28, 1997 (RE: Chestnutt, William J.); TO: Feb. 21, 1997


Sangvian Indaravijaya Stock Exchange, Thailand, TO: May 5, 1995


Santorum, Richard US Senate, FROM: Oct. 29, 1996; May 2, 2000; TO: Dec. 5, 1996; Jun. 27, 2000;


Santos, Rich Registered Representative Magazine, TO: Jun. 21, 1999; Nov. 9, 2000;


Saperstain, Michael Bear, Stearns & Co., Inc., TO: Oct. 18, 1993


Sarbanes, Paul S. US Senate, FROM: Sep. 28, 1995; Jan. 28, 2000; TO: Aug. 10, 1995; Oct. 31, 1995; Jan. 19, 1996; May 16, 1997; Sep. 25, 1997; Oct. 10, 1997; Sep. 30, 1998; Dec. 23, 1998; Mar. 14, 2000;


Sargent, George K., TO: Apr. 20, 1995


Sargent, Holly Taylor Harvard University - John F. Kennedy School of Government, FROM: Aug. 15, 1995; TO: Sep. 12, 1995


Sarrazin, Jurgen Dresdner Bank AG, Germany, FROM: Apr. 10, 1995; TO: May 12, 1995


Santangelo, William Public Securities Association, FROM: Oct. 2, 1996; TO: Sep. 2, 1997;


Sato, Ginko Securities and Exchange Surveillance Commission, Japan, TO: Aug. 17, 1998;


Sauer, Kristen Dow Jones & Co., TO: Mar. 28, 1995


Saul, Ralph S., FROM: Sep. 27, 1999; TO: Nov. 1, 1999;


Savage, Frank Alliance Capital Management, Inc., TO: Jan. 29, 2001;


Saxon, Donald Department of Banking and Finance, FL - Office of Comptroller, TO: Feb. 17, 1995; TO: Apr. 21, 1995


Sayer, Ira, TO: Apr. 20, 1995


Sayer, Paul US House of Representatives - Office of Richard Baker, TO:(Kathryn Fulton) Mar. 3, 1995


Sayers, Dorothy Sacred Heart University, FROM: Feb. 10, 1995; TO: Mar. 17, 1995


Scalia, Antonin US Supreme Court, TO: Oct. 5, 1998;


Scardino, Jennifer US SEC - Chief of Staff, FROM: Apr. 6, 1997 (RE: Callaway, Howard); Dec. 23, 1997 (clippings);


Scardino, Marjorie Economist Group; Pearsons, UK, TO: Nov. 30, 1995; Dec. 13, 1996; Dec. 23, 1998; Apr. 27, 2000; Jan. 29, 2001;


Schadt, James P. Reader's Digest Association, FROM: Oct. 27, 1993; Jan. 5, 1995; TO: Jan. 19, 1995; Dec. 18, 1995; Dec. 19, 1996;


Schaefer, Jeffrey M. Securities Industry Association, FROM: Aug. 16, 1993; Dec. 13, 1995; TO: Aug. 24, 1993; Jan. 2, 1996


Schaler, Ralph G. Merrill Lynch & Co., Inc., FROM: Sep. 2, 1993: TO: Sep. 15, 1993


Schapiro, Mary L. Commodity Futures Trading Commission; National Association of Securities Dealers Regulation, Inc., FROM: Dec. 22, 1994; Jan. 26, 1995; Jun. 15, 1995; TO: Jan. 10, 1995; [Feb. 13, 1995]; Jun. 28, 1995; Feb. 8, 1996; Apr. 10, 1997; Apr. 30, 1997; Jun. 9, 1997; Oct. 3, 1997 (filed under Markey, Oct. 3, 1997)


Scharver, Chris Boston Stock Exchange Specialist Association, FROM: Jun. 10, 1998; TO: Jun. 30, 1998;


Schechter, William William Schechter Inc., FROM: Mar. 3, 1998; TO: Apr. 16, 1998;


Schieren, George A. Merrill Lynch, Pierce, Fenner & Smith, Inc., FROM: Jan. 31, 1997; TO: May 1, 1995; Feb. 26, 1997


Schiffman US SEC, TO: May 3, 1995


Schiro, James J. PriceWaterhouseCoopers, FROM: Jun. 12, 1998; Aug. 17, 2000; TO: Jul. 10, 1998; Aug. 29, 2000; Nov. 27, 2000; Jan. 29, 2001;


Schlafly, Phyllis Eagle Forum, FROM: May 9, 2000; TO: Jun. 20, 2000;


Schlein, Michael E. US SEC - Counsel, TO: Feb. 17 1995


Schlimmer, Karl Boy Scouts of America, TO: Mar. 24, 1998;


Schlosser, Alfred M., FROM: Mar. 15, 1999; TO: Mar. 18, 1999;


Schmelzer, Henry L.P. New England Securities, TO: Apr. 20, 1995


Schmitt, Christopher H. Business Week, FROM: Oct. 18, 2000; TO: Nov. 27, 2000;


Schneider, Steven L. Disclosure, Inc., FROM: Sep. 7, 1995 (filed under Morella, Oct. 20, 1995)


Schoenberger, Robert G. Unitil Service Corporation, TO: Dec. 5, 1997


Scholl, Herb, TO: Jan. 10, 2001;


Schori, Pierre Ministry for Foreign Affairs, Sweden; European Parliament;, FROM: Oct. 29, 1993; Aug. 23, 1996; Nov. 1, 1999; TO: Sep. 5, 1996; Nov. 22, 1999;


Schosberg, Paul A. America's Community Bankers, FROM: Jul. 28, 1993; Mar. 11, 1998; TO: Aug. 4, 1993; Mar. 17, 1998;


Schrader, William L. PSINet, Inc., TO: Apr. 17, 1998;


Schroeder, Harald J. Merck KGaA, Germany, TO: Apr. 25, 1997;


Schroeder, John W. Advanced Micro Devices, Inc., FROM: Feb. 15, 1995; TO: Feb. 23, 1995


Schroeder, Patricia Association of American Publishers, TO: Mar. 31, 1999; Mar. 28, 2000;


Schubert, Daniel MetroHealth Medical Center, TO: Apr. 20, 1995


Schubert, Jeffrey Principal Financial Securities, Inc., TO: Apr. 20, 1995


Schuetze, Walter P., FROM: Mar. 29, 1996; TO: Apr. 11, 1996;


Schulte, David M. Chilmark Partners, FROM: Oct. 28, 1997 (RE: Alison Landsberg; TO: Nov. 26, 1997;


Schulze, Erwin E. Chicago Stock Exchange, FROM: Apr. 18, 1996; TO: Feb. 17 1995; Jul. 7, 1995; May 21, 1996


Schumer, Charles E. US House of Representatives; US Senate, FROM: May 14, 1997; Jul. 7, 1997; Dec. 18, 1997; Feb. 24, 1998; Apr. 20, 1999 (2); May 25, 2000; Jul. 17, 2000 (Susan Wyderko, RE: Restivo, Peter; Edwards, Denver); TO: Aug. 1, 1997; Feb. 25, 1998; Mar. 18, 1998; Apr. 23, 1999; Oct. 14, 1999; Dec. 22, 19


Schutt, Steve DLS Group, Inc., TO: Feb. 17 1995


Schwab, Charles R. Charles Schwab & Co, Inc, TO: Mar. 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; Apr. 10, 1996; Mar. 16, 1999;


Schwab, Richard L. ZD Comdex & Forums, TO: Jan. 25, 1999;


Schwartz, Howard J. Lynch, Jones & Ryan, Inc., FROM: Feb. 5, 1998; TO: May 17, 1995; Mar. 4, 1998


Schwartz, Mark Council Member, OK City; National League of Cities, FROM: Mar. 18, 1997; May 6, 1998; TO: Mar. 26, 1997; Jun. 16, 1998;


Schwartz, Robert, S. Prudential Securities, Inc., FROM: Nov. 27, 1995; TO: Dec. 18, 1995


Scottt, Charles Red, FROM: Jan. 19, 1996 (RE: Klein, Mel)


Schwarz-Schutte, Patrick Schwarz Pharma AG, Germany, TO: Apr. 25, 1997;


Scott, Richard L. Columbia/HCA Healthcare Corporation, TO: May 3, 1995


Scott, Kenneth E. Stanford Law School, TO: Mar. 16, 1999;


Searll, Aaron Seardel Investment Corporation, Republic of South Africa, FROM: Mar. 8, 1995; TO: Mar. 7, 1995


Segal, Martin E., FROM: Jun. 4, 1996; Apr. 8, 1998; Sep. 10, 1998; TO: Jun. 10, 1996; Apr. 15, 1998; Nov. 4, 1998;


Segreti, Joseph US SEC - Web Development, TO: Sep. 29, 1995


Seidel, Heather US SEC - Division of Market Regulation, TO: Nov. 16, 1998;


Seiden, Steven Seiden Krieger Associates, Inc., FROM: Apr. 13, 1998; TO: Apr. 21, 1998;


Seidenberg, Ivan Bell Atlantic, TO: Dec. 20, 1999;


Seidman, Ellen White House, FROM: Feb. 24, 1994


Seijas, Robert W. Specialists Association at the New York Stock Exchange, FROM: Jun. 10, 1998; TO: Jun. 30, 1998;


Selbst, Stanton C. Selbst Group, Inc., FROM: Oct. 21, 1998; TO: Nov. 17, 1998;


Seldes, Aileen Patterson, TO: Apr. 20, 1995


Seligman, Joel University of Michigan, MI - School of Law; University of Arizona, AZ - Law School, FROM: Jan. 14, 1997; TO: Jan. 25, 1995; Oct. 23 1995; Feb. 4, 1997; May 27, 1997(Balamaci, N.); Aug. 29, 1997;


Selvagn, Matthew Boy Scouts of America, TO: Mar. 24, 1998;


Senatore, Charles V. US SEC - Southeast Regional Office; Merrill Lynch, TO: Dec. 30, 1996; Sep. 28, 1999;


Sener, John E., TO: Sep. 26, 1996 (RE: Platt, Martha H.);


Senger, Henry C. SmithBarney, FROM: Jan. 22, 1998; TO: Feb. [10], 1998;


Seri, Chintanaseri Stock Exchange, Thailand, TO: May 5, 1995


Sessions, Pete US House of Representatives, FROM: Mar. 5, 1997; [n.d.] (fragment); TO: Apr. 4, 1997;


Settel, Jim Prudential Securities, Inc., TO: Apr. 20, 1995


Sewll, Stephen F., FROM: Feb. 13, 1996; TO: Feb. 27, 1996;


Sexton, John New York University - School of Law, TO: Apr. 26, 1995


Shackman Jacoby, Daniel B. Shackman & Co., TO: Apr. 20, 1995


Shad, John, TO: Aug. 6, 1993


Shafer, Jeffrey US Department of Treasury, TO: Feb. 7, 1996


Shafroth, Frank National League of Cities, TO: Jan. 9, 1997;


Shagrin, Donald M., FROM: Jul. 25, 1993; TO: Sep. 13, 1993


Shands, Susan Office of the Secretary of State, MS, TO: Apr. 21, 1995


Shanklin, Robert F. US SEC - Desktop Publishing, TO: Oct. 6, 1997;


Shapiro, Robert F. Klingstein Fields & Co, LLC, FROM: Jul. 27, 2000; TO: Aug. 15, 2000;


Sharp, Daniel A. American Assembly, FROM: Jan. 3, 1997; TO: Jan. 21, 1997;


Shattuck, Mayo A. BT Alex Brown Inc., TO: Apr. 8, 1998;


Shaver, Troy C. John Hancock Broker Distribution Services, Inc., TO: Mar 2, 1995; Apr. 20, 1995


Shaw, Eugene, FROM: [Dec. 27, 1995]; TO: Jul. 31, 1996;


Shaw, Meddi, TO: Apr. 20, 1995


Shea, Daniel F. US SEC - Central Regional Office, TO: Dec. 30, 1996;


Shedlarz, David L. Pfizer Inc., TO: Jun. 13, 2000;


Sheinkman, Jack AFL-CIO, FROM: Aug. 19, 1997; TO: Sep. 11, 1997;


Shelby, Richard C. US Senate, FROM: Jun. 5, 1996; Jan. 17, 1997; Jul. 2, 1997; TO: Jun. 24, 1996; Feb. 10, 1997; Jul. 24, 1997; Aug. 21, 2000;


Shell, Callie White House, FROM: [Apr.] 1996; TO: Apr. 18, 1996


Shelton, George Howe Barnes Investments, Inc., TO: Sep. 13, 1995


Shen, Andrew Electronic Privacy Information Center, FROM: May 9, 2000; TO: Jun. 20, 2000;


Sheng, Andrew L. T. Securities and Futures Commission, Hong Kong, FROM: Nov. 24, 1998; TO: Nov. 19, 1998; Mar. 3, 1999; Jan. 29, 2001;


Shepard, Steven Business Week, FROM: Sep. 28, 2000; TO: Jan. 29, 2001;


Shepheard-Walwyn, Tim Securities and Investments Board, UK, FROM: Mar. 3, 1995; TO: (Whittaker) Mar. 6, 1995


Sherlund, Richard Goldman Sachs & Co., TO: Jun. 13, 2000;


Sherman, Brad US House of Representatives, FROM: Dec. 10, 1997; TO: Jan. 20, 1998;


Sherman, Donald A. US SEC - Office of Administrative and Personnel Support, FROM: Dec. 23, 1999 (Fenster, Herbert)


Sherman, Derek, FROM: Jan. 23, 1996; TO: Feb. 20, 1996


Sherman, John, Jr. Scott & Stringfellow, Inc., FROM: Apr. 24, 1998; TO: May 28, 1998;


Sherman, Lawrence F. Mony Securities Corp., TO: Apr. 20, 1995


Sherrill, David, TO: Apr. 26, 1995


Sherrill, H. Virgil Prudential Securities, Inc., FROM: Jul. 27, 2000; TO: Aug. 15, 2000;


Shilling, A. Gary A. Gary Shilling & Co., Inc., FROM: Aug. 29, 1997; TO: Nov. 28, 1995; Dec. 19, 1996; Sep. 17, 1997; Dec. 13, 1999;


Shin, Young Moo Shin & Kim, Seoul, Korea, FROM: Mar. 10, 1995; TO: (Michael Mann) Apr. 17, 1997


Shipley, Walter Chase Manhattan Corp., TO: Dec. 28, 1998;


Shipp, Chris Prudential Insurance Company of America, TO: Feb. 17 1995


Shreve, Richard S. Dartmouth College, TO: Apr. 26, 1995


Shrontz, Frank A. Boeing, TO: May 1, 1995


Sibears, Daniel M. National Association of Securities Dealers, TO: Feb. 17 1995


Siebert, Muriel (Mickie) Muriel Siebert & Co., Inc., FROM: Aug. 12, 1998; TO: Aug. 19, 1998;


Siegel, Paul F. Prudential Securities, Inc., FROM: Apr. 1, 1998; Dec. 3, 1998; TO: Apr. 30, 1998; Dec. 16, 1998;


Silby, Barbara, FROM: Jul. 27, 1993; TO: Aug. 4, 1993


Silver, Jonathan M. Commonwealth Holdings, Inc., FROM: Mar. 20, 1998; TO: Mar. 25, 1998;


Silverman, Jeffrey S. Ply Gem Industries, Inc., TO: Dec. 13, 1995


Silva, Francisco Augusto da Costa e Comissao de Valores Mobiliarios, Brazil, TO: Jul. 3, 1996; Nov. 19, 1998; Mar. 3, 1999; Jun. 22, 1999; [Nov.]. 1999;


Silver, Bob PaineWebber, TO: Apr. 26, 1995


Silver, David ICI Mutual Insurance Company, FROM: Apr. 1, 1997; Apr. 9, 1998; Apr. 1, 1999; TO: Apr. 21, 1997; Apr. 30, 1998; Apr. 12, 1999;


Silver, Gordon H. Putnam Investments, FROM: Oct. 23, 1996; TO: Nov. 14, 1996


Silverstone, Leslie J., FROM: [Apr. 1998]; TO: Apr. 26, 1995; Apr. 15, 1998;


Simon, Moshe US SEC - Office of the General Counsel, TO: Jul. 15, 1996;


Simon, Paul US Senate, FROM: Nov. 9, 1995; Sep. 20, 1996; TO: Nov. 27, 1995; Oct. 31, 1996


Silvester, Paul J. Treasurer, CT, FROM: Dec. 12, 1997; TO: Jan. 8, 1998;


Simmons, Hardwick Prudential Securities, Inc., FROM: Jun. 13 1996; Sep. 11, 1998; Mar. 31, 1999; Jun. 7, 1999; NOv. 3, 1999; Jan. 3, 2000; TO: Feb. 17, 1995; Mar 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Jun. 7, 1995; Jul. 11, 1996; Sep. 13, 1996; Jan. 30. 1997; Oct. 17, 1997; Oct. 23, 1997; Apr. 8, 19


Simmons, Michelle New York Stock Exchange, TO: Feb. 17 1995


Simmons, William R. Dean Witter Reynolds, Inc., TO: Feb. 17 1995


Simons, W. Lucas J.C. Bradford & Co., TO: Aug. 23, 1995


Singerman, Martin New York Post, TO: May 8, 1998


Siphron, David C. Siphron Capital Management, FROM: Jun. 6, 1997; TO: Aug. 1, 1997;


Siravo, George, TO: Apr. 20, 1995


Smith, James N. Council of Infrastructure Financing Authorities, TO: Jan. 9, 1997;


Smith, John M. Guardian Investor Services Corporation, TO: Apr. 20, 1995


Sirri, Erik R. US SEC - Office of Economic Analysis, TO: Feb. 26, 1999; Jul. 19, 1999;


Sisso, Shmuel Consulate General of Israel in New York, FROM: Aug. 18, 1998 (filed under Netanyahu, Oct. 5, 1998)


Sizemore, Douglas M., FROM: Nov. 27, 1995; TO: Dec. 18, 1995


Skates, Ronald L. Data General Corporation, TO: Feb. 19, 1999;


Skogstad Aamo, Bjorn Kredittilsynet, Norway, TO: Apr. 10, 1997;


Skolnik, Bradley W. North American Securities Administrators Association, Inc - Securities Commission, IN, TO: Apr. 21, 1995; Mar. 16, 1999;


Slomka, Lars Berliner Borsenkreis e. V., Germany, FROM: Aug. 6, 1995; TO: Aug. 22 1995


Slonaker, Norman D. Brown & Wood, TO: Feb. 27, 1998;


Sloves, Martin Lowe & Partners, FROM: Oct. 16, 1995; TO: Oct. 24, 1995


Smadja, Claude World Economic Forum, Switzerland, FROM: Sep. 26, 1996; TO: Oct. 18, 1996


Smale, John G. Proctor & Gamble Co. (Retired Chairman), TO: May 8, 1996;


Small, Jeffrey Davis Polk & Warwell, TO: Mar. 5, 1998


Smith, Adam US House of Representatives, FROM: Jan. 20, 2000; TO: May 19, 2000;


Smith, Bob US Senate, FROM: Apr. 21, 1997; TO: May 28, 1997;


Smith, David American Society of Corporate Secretaries, TO: Apr. 14, 1998;


Smith, Elliot J., FROM: Mar. 1, 2000; TO: Mar. 28, 2000;


Smith, Holly H. US SEC - Division of Market Regulation, TO: Feb. 17 1995


Smith, Kathy US SEC, TO: Jan. 9, 1996;


Smith, Marshall S. US Department of Education, FROM: Mar. 31, 1998; TO: May 29, 1998;


Smith, Nancy US SEC - Office of Investor Education, FROM: Dec. 4, 1998; TO: Sep. 29, 1995; Sep. 21, 1998 (Selma Salas, filed under Oct. 9, 1995); Jan. [5], 2000;


Smith, Norman H. US Marine Corps (ret.), TO: Mar. 16, 1999;


Smith, Robert C. US Senate, TO: Nov. 20, 1997;


Smith, Robert Ellis Privacy Journal, FROM: May 9, 2000; TO: Jun. 20, 2000;


Smith, Ronald Municipal Securities Rulemaking Board, TO: Feb. 17 1995


Smith, Roy New York University - Leonard N. Stern School of Business, TO: May 2, 1995


Smith, Thomas R. Brown & Wood, FROM: Dec. 17, 1996; TO: Jan. 17, 1997; Feb. 27, 1998; Mar. 16, 1999;


Smyth, James P. Broadcort Capital Corporation, TO: Mar. 16, 1999;


Smythe, Marianne Wilmer, Cutler & Pickering, FROM: May 21, 1998; TO: Oct. 23 1995; May 21, 1998;


Snider, Arnold H. Deerfield, FROM: Jan. 22, 1996; TO: Mar. 21, 1996;


Socha, Jacek Polish Securities Commission, Warszawa, Poland, FROM: Dec. 8, 1994; TO: Feb. 2, 1995; Jun. 25, 1999;


Sodhani, Arvind Intel Corporation, FROM: Apr. 7, 1997; TO: Apr. 23, 1997;


Sokoloff, Norman Jewish Communal Fund, TO: May 31, 1996


Sole, Kelly Ann Los Angeles Times, FROM: Feb. 18, 1998; TO: Feb. 27, 1998;


Solomon, Gerald B.H. US House of Representatives, FROM: Oct. 20, 1997; TO: Nov. 14, 1997;


Solomon, Howard W., FROM: Oct. 31, 2000; TO: Nov. 7, 2000;


Sommer, A. A., Jr. Morgan, Lewis & Bockius, FROM: May 9, 1994; Jan. 10, 1996; Nov. 13, 1997; Jul. 21, 1999; Mar. 10, 2000; TO: Oct. 23, 1995; Oct. 23, 1995; Jan. 22, 1996; Feb. 29, 1996; Mar. 6, 1996; May 27, 1997(Balamaci, N.); Nov. 17, 1997; Aug. 16, 1999;


Sommer, Murray I., TO: Apr. 20, 1995


Sondell, Nick W. Harbour Investments, Inc., TO: Apr. 20, 1995


Soskin, Eric J. Williams College Debate Union, FROM: May 18, 1998;


Souter, David H. US Supreme Court, TO: Oct. 5, 1998;


Sovern, Michael Columbia University - Law School, TO: Nov. 6, 1996


Spackman, Paul National Association of State Boards of Accountancy, TO: Nov. 27, 2000;


Spain, Catherine L. Government Finance Officers Association, TO: Jan. 9, 1997;


Sparks, David, TO: Dec. 21, 1998;


Spaventa, Luigi Commissione Nazionale per le Societa e la Borsa, Italy, TO: Jun. 4, 1998; Mar. 3, 1999; Jun. 8, 1999;


Specter, Arlen US Senate, FROM: Oct. 29, 1996; Dec. 18, 1996; Mar. 9, 1999; TO: Dec. 5, 1996; Jan. 22, 1997; Nov. 20, 1997; Apr. 1, 1999;


Spector, Lisa Legg Mason, Inc., TO: May 1, 1995


Spellman, Jim National Association of Securities Dealers, TO: Feb. 17 1995


Spemann, Thomas F. Arthur Andersen & Co., TO: Jan. 20, 2000 (Aronson, Tracey);


Spencer, Lee B., FROM: Sep. 12, 1997; TO: Sep. 30, 1997


Speyer, Jerry I. Tishman Speyer Properties, TO: Feb. 29, 2000


Spies, Joan V., TO: Apr. 20, 1995


Sporkin, Stanley US District Court for DC; Weil, Gotshal & Manges, LLP., FROM: May 25, 1994; Jan. 30, 1995; Feb. 2, 1996; Mar. 7, 1997; Mar. 31, 2000; TO: Mar. 7, 1995; Oct. 3, 1995; Feb. 20, 1996; Mar. 31, 1997; Jun. 6, 2000;


Stabler, Clay Boy Scouts of America, FROM: Dec. 19, 1997 (filed under Mar. 24, 1998)


Stabler, Penn Boy Scouts of America, TO: Mar. 24, 1998


Staggs, Gary K Pacific Stock Exchange, FROM: Oct. 24, 1995; TO: Nov. 13, 1995


Stalmach, Pavel Civil Democratic Section, Czech Republic, FROM: Oct. 9, 1995; TO: Oct. 27, 1995;


Staloff, Arnold Bloom Staloff Corporation, FROM: Feb. 10, 1997; TO: Feb. 27, 1997;


Stam, Heidi Vanguard Group, TO: Mar. 16, 1999;


Stamm, Alfred R., TO: Apr. 20, 1995


Stanley, Edmund A., Jr., FROM: Feb. 28, 1995 (received and filed under Mar. 3, 1995)


Stansbury, Harry C. Securities Commission, LA, TO: Apr. 21, 1995


Stanton, Frank, FROM: Feb. 28, 1995; TO: Mar. 7, 1995


Stapf, Scott Hastings Group, TO: Apr. 26, 1995


Stark, Fortney US House of Representatives, FROM: Dec. 10, 1997; TO: Jan. 20, 1998;


Starr, John H. Hampshire Securities Corporation, TO: Apr. 20, 1995


Stearns, Cliff US House of Representatives, FROM: May 23, 1997; TO: Aug. 1, 1997; Dec. 13, 1999;


Steele, Elisabeth White House - Office of Cabinet Affairs, TO: May 27, 1998;


Steere, William Pfizer Inc., TO: Mar. 24, 1999;


Stefany, Bruce R. Chubb Securities Corporation, TO: Mar. 2, 1995; TO: Apr. 20, 1995


Steffens, John L. Merrill Lynch, Pierce, Fenner & Smith, Inc.; Merrill Lynch & Co., FROM: Jul. 27, 2000; TO: Feb. 17 1995; Apr. 21, 1995; May 2, 1996; Aug. 15, 2000;


Steffensen, Mark A. US SEC - Division of Market Regulation, TO: Dec. [6], 1995;


Stein, Herb American Enterprise Institute for Public Policy, TO: Feb. 15, 1995


Steinbrenner, George M, III New York Yankees, FROM: Dec. 21, 2000 (filed under Gramm, Phil, Jan. 2, 2001)


Stenholm, Charles US House of Representatives, TO: Mar. 2, 2000;


Stephens, Ralph H. SEC, Los Angeles Office, FROM: Jul. 27, 1993; TO: Sep. 13, 1993


Stern, Walter P. Capital Group International, Inc., FROM: Jun. 20, 1995;TO: Jul. 7, 1995


Sternberg, Stuart American Stock Exchange Specialist Association, FROM: Jun. 10, 1998; TO: Jun. 30, 1998;


Stevens, John Paul US Supreme Court, TO: Oct. 5, 1998;


Stevens, Paul Schott, FROM: Aug. 13, 1998; TO: Oct. 28, 1998 (RE: Roye, Paul)


Stevens, Ted US Senate, FROM: Dec. 6, 2000; TO: Dec. 29, 1995; Feb. 9, 1996; Oct. 2, 1996; Mar. 13, 1998; Jul. 20, 1998; Jan. 4, 1999; Aug. 22, 2000; Sep. 15, 2000;


Stiglitz, Joseph E. Brookings Institution, TO: Jun. 13, 2000;


Stocker, Kurt Northwestern University - School of Law, TO: Oct. 14, 1999;


Stockman, Steve US House of Representatives, TO: Mar. 27, 1995


Stoll, Barbara J., FROM: Jul. 27, 1993; TO: Aug. 13, 1993


Stone, Cathleen Douglas, TO: Sep. 16, 1998 (RE: Douglas, William);


Stone, Deborah DLS Group, Inc., TO: Feb. 17 1995


Stone, Donald Merrill Lynch & Co., Inc., FROM: Mar. 23, 1998; TO: Jun. 18, 1996; Apr. 1, 1998;


Stone, Michael H. Securities Industry Association, FROM: May 1996


Stone, Nan Harvard Business Review, TO: Feb. 12, 1996; (See Herzlinger, Regina)


Strasser, Richard C. US SEC - Division of Enforcement, TO: Jan. 21, 1998;


Straus, Irving L. 100% No-Load Mutual Fund Council; Straus Corporate Communications, FROM: Aug. 7, 1997; TO: Sep. 17, 1997;


Strauss, Robert S., TO: Dec. 18, 1996; Dec. 29, 1998;


Strauss, Theodore H. Bear, Stearns & Co., Inc., FROM: Mar. 20, 1997; TO: Mar. [31], 1997;


Strauss, Thomas W., FROM: Jan. 26, 1996; TO: Feb. 9, 1996;


Strickland, Ted US House of Representatives, TO: Feb. 18, 1997; Mar. 5, 1997;


Stroben, Donald R., FROM: Jan. 3, 1995; TO: Feb. 7, 1995


Stromberg, Jean Gleason US General Accounting Office, FROM: Feb. 25, 1999; TO: May 2, 1997; Mar. 25, 1999;


Strupp, Michael US SEC - Material Coordination, TO: Sep. 29, 1995


Stupak, Bart US House of Representatives, FROM: Sep. 4, 1997; TO: Feb. 18, 1997; Mar. 5, 1997; Oct. 2, 1997;


Sturms, David A. Vedder, Price, Kaufman & Kammholz, TO: Mar. 16, 1999;


Sullivan, Gregory D. International Association for Financial Planning, FROM: Mar. 13, 1996; TO: Mar. 29, 1996


Sullivan, Jerry D. Public Oversight Board, FROM: Apr. 22, 1998; TO: May 8, 1998;


Sullivan, Leon H., TO: May 4, 1999;


Sullivan, Neal North American Securities Administrators Association, Inc., TO: Sep. 5, 1995


Summers, Lawrence US Department of Treasury, FROM: Mar. 3, 1994; Nov. 14, 1995; TO: Dec. 18, 1995


Summers, Willam B., Jr National Association of Securities Dealers, TO: Feb. 17 1995


Sundick, Gary N. US SEC - Division of Enforcement, TO: Jun. 27, 1997;


Sundquist, Donald Governor, TN, TO: Aug. 21 1995


Surnamer, Joel M. Specialists Association at the New York Stock Exchange, FROM: Jun. 10, 1998; TO: Jun. 30, 1998;


Suta, I Putu Gede Ary Jakarta Stock Exchange, Indonesia, FROM: Feb. 26, 1997; TO: Mar. 5, 1997;


Sutherland, Brad D.A. Davidson & Co., TO: Apr. 20, 1995


Swedenborg, Lisa Women Employed, TO: Apr. 21, 1997;


Swindler, Jo Anne US SEC, TO: May 3, 1995


Swygert, H. Patrick Howard University, FROM: Oct. 22, 1998; TO: Oct. 28, 1998 (RE: Roye, Paul);


Syron, Richard F. American Stock Exchange, FROM: Aug. 30, 1995; Feb. 5, 1997; Apr. 20, 1998; Apr. 28, 1999; TO: Jan. 12, 1995; Feb. 17 1995; Jul. 7, 1995; Sep. 5, 1995; Oct. 5, 1995; Oct. 23 1995; Feb. 14, 1997; May 15, 1998; Feb. 22, 1999; May 17, 1999;


Szasz, Karoly Hungarian Financial Supervisory Authority, FROM: May 8, 2000; TO: May 26, 2000;


Szromba, Thomas US SEC - Midwest Regional Office, TO: Apr. 15, 1999;


Tabb, Stephen Capital Builders Advisory Services, Inc., FROM: Jul. 24, 1997; TO: Aug. 26, 1997;


Tabor, Ralph National Association fo Counties, TO: Jan. 9, 1997;


Tait, Robert R., TO: Jul. 31, 1997;


Talent, James M. US House of Representatives, FROM: Apr. 1, 1997; TO: Apr. 18, 1997; May 8, 1997;


Tanner, Douglas US SEC - Division of Corporation Finance, TO: Oct. 11, 1995


Tanoue, Donna Federal Deposit Insurance Corporation, FROM: Oct. 26, 2000; TO: Dec. 5, 2000;


Taranto, James Wall Street Journal, FROM: May 26, 1999 (poem); TO: Jun. 4, 1999 (poem);


Taub, Melvin Salomon Smith Barney, Inc., TO: Oct. 14, 1999;


Tauscher, Ellen O. US House of Representatives, FROM: Jan. 20, 2000; TO: May 19, 2000;


Tauzin, W. J. Billy US House of Representatives, FROM: Sep. 26, 1996; Apr. 4, 2000; TO: Feb. 27, 1995; Oct. 28, 1996; Feb. 18, 1997; Apr. 25, 2000;


Tavares, Matthew Boy Scouts of America, TO: Mar. 24, 1998


Taylor, Brent H. J.P. Morgan Securities, Inc., TO: Apr. 20, 1995


Taylor, Jane, FROM: May. 17, 1996; TO: Jul. 15, 1996;


Taylor, Pam National Association of State Treasurers, TO: Jan. 9, 1997;


Taylor, Wilson H. Cigna Companies Headquarters, TO: Mar. 2, 1995; TO: Apr. 20, 1995


Teach, Gordon L. Chicago Corporation, FROM: Oct. 24, 1996; TO: Nov. 13, 1996


Teison, Herbert J. Communications House, Inc., FROM: May 15, 2000; TO: Dec. 4, 2000;


Tejada Him, Eryz Ministerio de Comercia e Industrias, Panama, FROM: Aug. 8, 1995; TO: Sep. 12, 1995


Tellep, Daniel M. Lockheed Martin, TO: May 1, 1995; May 8, 1996;


Tellini, Mark Charles Schwab & Co, Inc, TO: Mar. 10, 1998;


Terry, Robert D. Office of the Secretary of State, TO: May 14, 1998;


Terry, Virginia M. Securities Transfer Association, Inc., FROM: May 8, 1995; TO: Jun. 8, 1995;


Teslik, Sarah A.B. Counsil of Institutional Investors, FROM: Sep. 9, 1999; Sep. 27, 1999; [Sep.], 1999; Nov. 15, 1999; TO: Sep. 22, 1999; Oct. 25, 1999; Nov. 8, 1999; Dec. 30, 1999


Testain, Mitzie DLS Group, Inc., TO: Feb. 17, 1995


Tharpe, Don I. Association of School Business Official International, TO: Jan. 9, 1997;


Thieke, Stephen G. J.P. Morgan Securities & Co.; Counterparty Risk Management Policy Group (CRMPG), FROM: Jun. 21, 1999; TO: Aug. 15, 1997; Jul. 13, 1999;


Thiel, Wilbert A. Chicago Corporation, TO: Sep. 13, 1995


Thienhom, Vasant SEC, Bangkok, Thailand, FROM: Feb. 1, 1995; TO: Feb. 10, 1995


Tisch, Lawrence CBS, Inc., TO: Feb. 20, 1996


Thomadakis, Stavros Hellenic Republic Capital Market Commission, Greece, TO: Dec. 23, 1996;


Thomas, Arthur L. Securities Industry Association, FROM: Mar. 20, 1997; TO: Apr. 4, 1997;


Thomas, Clarence US Supreme Court, TO: Oct. 5, 1998;


Thomas, Ronald Division of Securities, VA, TO: Apr. 21, 1995


Thomas, William M. US House of Representatives, FROM: Jul. 17, 2000; TO: Aug. 16, 2000;


Thompson, Fred US Senate, TO: Aug. 21 1995; Mar. 13, 1998; Jul. 20, 1998; Jan. 4, 1999; Aug. 22, 2000; Sep. 15, 2000;


Thompson, Louis M. National Investor Relations Institite, FROM: Apr. 25, 1996; TO: Apr. 20, 1995; May 2, 1996; May 9, 1996;


Thompson, Marc C. Charles Schwab & Co, Inc., FROM: May 22, 1996; TO: Jun. 24, 1996;


Thompson, Maureen Hastings Group; North American Securities Administrators Association, Inc., FROM: Oct. 23 1995 (Michael Stein); TO: Apr. 26, 1995


Thornburg, Richard L Kirkpatrick & Lockhart, TO: Oct. 23 1995


Thompson, Tommy G. Governor, WI, FROM: Dec. 5, 1997; TO: Jan. 20, 1998;


Thornburg, H. Garrett Thornburg Mortgage Asset Corporation, FROM: Oct. 4, 1995; Apr. 25, 1996; TO: Oct. 24, 1995; May 13, 1996;


Thorpe, Raymond US SEC - Communications, TO: Sep. 29, 1995


Tierney, John F. US House of Representatives, FROM: Nov. 18, 1997; TO: Dec. 11, 1997


Till, John G. Thornburg Management Company, Inc., TO: Apr. 20, 1995


Timmeny, Wallace L. McGuire Woods Battle & Boothe, FROM: May 12, 1995; TO: May 22, 1995


Tindall, Alphonso E. National Association of Securities Professionals, FROM: Mar. 17, 1995TO: Apr. 19, 1995


Titus, Curtis V. Gager & Henry, Attorneys at Law, FROM: Aug. 13, 1993; TO: Aug. 24, 1993


Titzrath, Alfons Dresdner Bank AG, Germany, FROM: Apr. 10, 1995; TO: May 12, 1995


Tobar, Andres National Association of Hispanic Publications, TO: May 14, 1998;


Tobias, Randall Eli Lilly & Co., TO: May 1, 1995


Tobin, Eugene M., FROM: Oct. 7, 1999; TO: Oct. 13, 1999;


Tobin, James M. Squire, Sanders & Dempsey, FROM: Feb. 27, 1996; TO: Mar. 4, 1996


Tognino, John N. Security Traders Association, FROM: Mar. 31, 1997; TO: Aug. 27, 1997; Oct. 1, 1998;


Tolbert, William, Jr. US SEC - Division of Corporation Finance, TO: Oct. 11, 1995


Tolleris, Bea, FROM: May 7, 1998; TO: May 12, 1998;


Tomasco, Mark D. Investment Counsel Association of America, TO: Oct. 23 1995


Topp, Richard A. NYLife Securities Inc., TO: Mar. 2, 1995; Apr. 20, 1995


Torres, Frank C. Consumers Union, FROM: May 9, 2000; Aug. 1, 2000; TO: Jun. 20, 2000; Sep. 7, 2000; Nov. 27, 2000;


Torricelli, Robert C. US Senate, TO: Nov. 20, 1997;


Toruner, Yaman Istanbul Stock Exchange, Turkey, FROM: Aug. 12, 1993: TO: Aug. 27, 1993


Towers, Lois Fidelity Investments, TO: Feb. 17, 1995


Towns, Edolphus US House of Representatives, FROM: Nov. 20, 1997; Feb. 9, 2000; Jun. 8, 2000; TO: Feb. 18, 1997; Jan. 20, 1998; Oct. 10, 2000; Nov. 3, 2000;


Trachtenberg, Stephen Joel George Washington University, FROM: Apr. 10, 1995; May. 15, 1997 (RE: Trachtenberg, Peter); Jun. 12, 1997 (RE: Frankel, Damar); TO: May 1, 1995; Jun. 5, 1997; Jun. 23, 1997; Oct. 30, 1997;


Traficant, James A. US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996


Trotman, Alexander A. Ford Motor Co., TO: May 1, 1995


Trowbridge, Alexander B., TO: Jan. 4, 1995


Trubin, John Citizens Committee for New York City, TO: Jan. 17, 1995


Tucker, Keith A. US SEC - Office of Information Technology, TO: Mar. 29, 1999;


Tufts, George, TO: Apr. 20, 1995


Tull, John E. US Commodity Futures Trading Commission, FROM: Jan. 29, 1996; TO: Feb. 2, 1996


Tully, Daniel P. Merrill Lynch, Pierce, Fenner & Smith, Inc; Merrill Lynch & Co., Inc., TO: Feb. 17, 1995; Mar. 2, 1995; Mar. 27, 1995; May 1, 1995; Jun. 7, 1995; Jul. 1, 1996; Apr. 10, 1997; Apr. 15, 1997;


Turner, Lynn E. Symbios Logic Inc.; US SEC - Chief Accountant, FROM: Dec. 23, 1997; Nov. 30, 1998 (Conway, Michael); Dec. 9, 1999 (Bowsher, Charles, Conway, Michael); TO: Jan. 20, 1998; Nov. 24, 1998; Dec. 21, 1999 (Bowsher, Charles);


Turner, Ted CNN, TO: Jan. 3, 1996;


Tweedie, David Accounting Standards Board, UK, TO: Jan. 29, 2001;


Tyler, Greg New York Stock Exchange


Tyson, Carl L. Deparment of Commerce, MI, TO: Apr. 21, 1995


Tyson, Laura D'Andrea Counsel of Economic Advisors, TO: Mar. 6, 1995


Udall, Mark US House of Representatives, FROM: Jan. 20, 2000; Oct. 25, 2000; TO: May 19, 2000; Nov. 8, 2000;


Uhlick, Lawrence R. Institute of International Bankers, FROM: Nov. 25, 1996; TO: Dec. 3, 1996


Ulland, James Deparment of Commerce, MN, TO: Apr. 21, 1995


Ullman, Christopher W. US SEC - Office of Public Affairs, TO: Apr. 8, 1998; May 14, 1998;


Underhill, Henry W. International Municipal Lawyers Association, [Dec. 1996 - Feb. 1998]


Unger, Laura US SEC, TO: May 14, 1998;


Unger, Leonard US SEC - Division of Market Regulation, TO: Mar. 16, 1995


Unruh, James Unisys, TO: Apr. 6, 1995


Vacco, Dennis C. Office of the Attorney General, NY, FROM: Sep. 25, 1997; TO: Oct. 16, 1997;


Van Brunt, Roy T. TenEyck Associates, Inc., FROM: Jun. 13, 1997; TO: Jun. 30, 1997;


van der Wolf, Tim Amsterdam Stock Exchange, Netherlands, FROM: Mar. 19, 1996; TO: Apr. 2, 1996


Van Gorkom, John National Council of Health Facilities Finance Authorities, TO: Jan. 9, 1997;


van Weezel, Don New York Stock Exchange, TO: Feb. 17, 1995


Van Zyl, Franso H. Financial Services Board, Republic of South Africa, TO: Mar. 7, 1995


Vander[…], Ben, FROM: Nov. 19, 1993


VanAntwerp, Deborah National Association of Securities Dealers, TO: Aug. 24, 1995


Vander Wheele, Julie E. Mesirow Financial, Inc., TO: Sep. 13, 1995


Vargas de Alvarez, Sonia Comision National de Valores, Bolivia, FROM: Feb. 4, 1997; TO: Feb. 10, 1997


Vargon, Michael J. Securities Division, NM, TO: Apr. 21, 1995


Varian, Hal R. University of California, Berkeley, CA, TO: Jun. 13, 2000;


Vass, O. Ray Merrill Lynch, Pierce, Fenner & Smith, Inc., TO: Feb. 17, 1995; Apr. 26, 1995


Veal, Daryl Robert Securities Commission, DC, TO: Apr. 21, 1995


Velli, Joseph M. Bank of New York, FROM: Sep. 17, 1996; TO: Oct. 8, 1996;


Veniero, Peter Office of the Attorney General, NJ, FROM: Sep. 25, 1997; TO: Oct. 16, 1997;


Vento, Bruce F. US House of Representatives, FROM: Oct. 10, 1996; May 9, 2000; TO: Dec. 10, 1996; Mar. 19, 1997; Jun. 20, 2000;


Vermilye, Andrew US Senate (Legislative Director for Richard H. Bryan), TO: Mar. 16, 1995


Veronis, John J. Veronis, Suhler & Associates, Inc., FROM: Apr. 6, 1998; TO: Apr. 15, 1998;


Vest, Herbie D. H.D. Investment Securities, Inc., TO: Apr. 20, 1995


Villachica, Steven DLS Group, Inc., TO: Feb. 17, 1995


Vimos, Paul, TO: Apr. 20, 1995


Vinsor, Melanie, FROM: Feb. 28, 1994


Virella, Federico E., Jr. Executive Assistant to US Attorney, Southern District of NY, TO: Nov. 12, 1998 (RE: Zarb, Frank);


Visclosky, Peter US House of Representatives, FROM: Oct. 10, 1996; TO: Dec. 10, 1996


Vives, Antonio Inter-America Development Bank, FROM: Dec. 17, 1996; TO: Dec. 19, 1996;


Volcker, Paul James D. Wolfensohn, Inc., TO: Nov. 6, 1996; May 23, 2000; Nov. 27, 2000; Jan. 29, 2001;


von Schaumburg, Gregory US SEC - Midwest Regional Office, TO: Apr. 15, 1999;


Vonderschmitt, Bernard V. XILINX, FROM: Feb. 10, 1995; TO: Feb. 22, 1995; Apr. 20, 1995; May 2, 1996


von der Heyden, Karl M. Pepsico, Inc., TO: Dec. 5, 1997;


von Rosen, Rudiger Federation of German Stock Exchanges, Germany, FROM: Jul. 17, 1996; TO: Jul. 23, 1996;


Vorontsov, Yuli M. Ambassador to USA, Russian Federation, FROM: Sep. 19, 1995; TO: Sep. 25, 1995


Wachner, Linda J. Warnaco, TO: May 1, 1995


Wadsworth, John S., Jr. Morgan Stanley Dean Witter Asia Limited, FROM: Jun. 12, 2000; Sep. 5, 2000; TO: Jul. 24, 2000; Oct. 5, 2000;


Wagner, Ellen DLS Group, Inc., TO: Feb. 17, 1995


Wagner, Morton J. Salomon Smith Barney, Inc., TO: Apr. 14, 1998;


Waigel, Theodore Minister of Finance, Germany, TO: Nov. 3, 1994 ( Bentsen, Lloyd)


Waitzer, Edward J. Ontario Securuties Commission, Canada; Stikeman, Elliott;, FROM: Feb. 19, 1997; TO: May 28, 1996; Aug. 30, 1996; Mar. 5, 1997;


Walinskas, Michael US SEC - Division of Market Regulation, TO: Nov. 16, 1998;


Walker, Charles F. Securities Commissioner, DE, FROM: Dec. 17, 1997 (RE: Long, Ron); TO: Jan. 20, 1998;


Walker, David M. US Comptroller General - General Accounting Office, TO: Oct. 28, 1998;


Walker, Edward S. US Ambassador, Egypt, FROM: Aug. 28, 1997; TO: Feb. 27, 1996; Sep. 18, 1997;


Walker, Richard H. US SEC - Division of Enforcement, TO: May 14, 1998;


Wallace, Ann US SEC - Division of Corporation Finance, TO: Jan. 20, 1998;


Wallace, James Cosmos Club, TO: Oct. 10, 1997;


Wallace, John F. Philadelphia Stock Exchange, TO: Feb. 17, 1995; Mar. 7, 1997;


Wallace, Richard G. Boy Scouts of America, FROM: May 20, 1997;


Wallach, Rochelle L. AAL Capital Management Corporation, TO: Apr. 20, 1995


Waller, Salvadore National Association of Investors Corp. - MD Council


Walsh, John Group of Thirty, FROM: Mar. 28, 1995; TO: Apr. 11, 1995


Walter, Elissse B. Commodity Futures Trading Commission, TO: Nov. 21, 1994 (from Brandon Becker)


Walter, Ingo New York University - Leonard N. Stern School of Business, TO: May 2, 1995


Waltman, Steven Folio FN, TO: Jun. 6, 2000;


Wander, Herbert S. Katten, Muchin & Zavis, TO: Apr. 30, 1998;


Wang, [George], FROM: [n.d.]


Ward, Richard S. ITT Corporation, TO: Dec. 23, 1996;


Warner, Douglas A., III J.P. Morgan Securities, Inc., TO: Apr. 8, 1998; Dec. 28, 1998; Jan. 5, 1999; Jan. 29, 2001;


Warner, Barbara A. International Association for Financial Planning, TO: May 14, 1998;


Warner, James Warner Group, Inc., FROM: May 5, 1995; TO: May 31, 1995


Warner, John US Senate, FROM: Jan. 23, 1995; TO: Feb. 13, 1995


Warthen, Robert National Association of Securities Dealers, TO: Aug. 24, 1995


Waters, Maxine US House of Representatives, FROM: Nov. 20, 1997; Dec. 10, 1997; May 9, 2000; TO: Jan. 20, 1998 (2); Jun. 20, 2000;


Watson, Jack North American Management, Inc., TO: Apr. 20, 1995


Watson, John L., III Security Traders Association, FROM: Jul. 30, 1993; Nov. 16, 1995; TO: Aug. 23, 1993; Dec. 8, 1995


Watt, Melvin US House of Representatives, FROM: Oct. 10, 1996; Nov. 20, 1997; TO: Dec. 10, 1996; jan. 20, 1998;


Waxman, Henry A. US House of Representatives, FROM: Oct. 10, 1996; Dec. 10, 1997; May 31, 2000 (filed under Eli Mason, Jun. 21, 2000); TO: Dec. 10, 1996; Jan. 20, 1998;


Weaver, Vanessa Deputy Assistant to the President of US, TO: Mar. 11, 1998;


Webner, Wolfgang Boy Scouts of America, FROM: Feb. 10, 1998 (filed under Mar. 24, 1998)


Webster, William H. Milbank, Tweed, Hadley & McCloy, TO: Aug. 29, 1997;


Wedbush, Edward W. Wedbush Morgan Securities, FROM: Oct. 24, 1995; TO: Nov. 8, 1995


Wee Cho Yaw United Overseas Bank, Singapore, TO: May 5, 1995


Weill, Sanford I. Travelers Corp., TO: Mar. 27, 1995; Jun. 7, 1995; Nov. 23, 1998;


Weinbach, Arthur F. Automatic Data Processing, Inc., FROM: May 5, 1998; TO: May 27, 1998;


Weinbach, Laurence A. Arthur Andersen & Co., FROM: Sep. 25, 1995; TO: Aug. 7, 1995; Oct. 20, 1995


Weinberger, Steven Harvard Medical School - Carl J. Shapiro Institute for Education and Research, FROM: Apr. 3, 2000; TO: Apr. 14, 2000;


Weinig, Sheldon Sony Engineering and Manufacturing of America, FROM: Feb. 9, 1995TO: Mar. 2, 1995


Weinstein, Michael M. New York Times, FROM: Jan. 23, 2001; TO: Jan. 24, 2001;


Weisbrod, Carl Alliance For Downtown New York, FROM: Oct. 15, 1997; TO: Jan. 30, 1995; Oct. 30, 1997;


Weiser, Irving Dain Bosworth Inc.; Dain Rauscher Corp., FROM: Jul. 27, 2000; TO: Mar. 2, 1995; Mar. 27, 1995; Apr. 20, 1995; Aug. 4, 1999; Aug. 15, 2000;


Weiss, Jeffrey M., TO: Apr. 20, 1995


Weiss, Mary H. Driehaus Capitol Management, Incl, FROM: Feb. 21, 1995; TO: Feb. 27, 1995


Weiss, Stanley A. Business Executives for National Security, Inc., FROM: Aug. 5, 1993; TO: Aug. 9, 1993


Weissblum, Cynthia Rivera Sponsors for Educational Opportunity, FROM: Feb. 9, 1998; TO: Mar. 18, 1998;


Weitz, Carlos E. Comision National de Valores, Argentina, TO: Oct. 19, 2000;


Welch, John F. General Electric Company, FROM: Mar. 14, 2000; TO: Mar. 29, 2000; Oct. 4, 2000; Jan. 29, 2001;


Wells, Frank G. Walt Disney Co., FROM: Jul. 26, 1993; TO: Aug. 4, 1993


Wells, Jeffrey State Senate, CO; Council of State Governments., FROM: Mar. 18, 1997; TO: Mar. 26, 1997;


Wellstone, Paul US Senate, FROM: Jun. 25, 1998 (RE: Jones, B. Todd); TO: Jun. 2, 1998;


Wendt, Gary C. General Electric Capital Corporation, FROM: May 5, 1998; TO: May 28, 1998;


Wertheim, Andrew J. US SEC - Northeast Regional Office, TO: Feb. 24, 1995


Werts, Jonathan Pacific Exchange Specialist Association, FROM: Jun. 10, 1998; TO: Jun. 30, 1998;


Wessel, Richard P. US SEC - Atlanta District Office, TO: Dec. 30, 1996; May 14, 1998;


West, Fowler North American Securities Administrators Association, Inc., TO: Feb. 17 1995


West, Steven K. Sullivan & Cromwell, FROM: Sep. 8, 1995; TO: Sep. 19, 1995


Weston, Josh S. Automatic Data Processing, Inc., FROM: Aug. 24, 1998 (RE: Trachtenberg, Steve); TO: Aug. 31, 1998; Sep. 14, 1998;


Wetlaufer, Eric M. Boston Security Analysts Society, Inc., FROM: Dec. 12 1997; TO: Jan. 8, 1998;


Wheat, Allen D. Credit Suisse First Boston Corp., TO: Mar. 27, 1995; Jun. 7, 1995; Apr. 10, 1997; Aug. 15, 1997; Oct. 17, 1997; Apr. 8, 1998; Oct. 22, 1998; Dec. 28, 1998; Jan. 5, 1999;


Wheeler, James E. University of Michigan, MI - Business School, FROM: Oct. 22, 1998; TO: Nov. 20, 1998;


White, John Harvard University - John F. Kennedy School of Government, TO: Aug. 16, 1999;


White, Mary Jo US Attorney, TO: Oct. 14, 1997;


White, Rick US House of Representatives, TO: Feb. 18, 1997; Mar. 5, 1997;


Whitehead, John C. AEA Investors, Inc., TO: Sep. 29, 1995; Sep. 28, 1999; Nov. 27, 2000; Jan. 29, 2001;


Whittaker, Andrew Securities and Investments Board, UK, TO: Mar. 6, 1995 (re: Shepheard-Walwyn, Tim)


Wick, Charles Z. Charles Z. Wich & Associates, FROM: Sep. 22, 1995; TO: Oct. 10, 1995


Wigmore, Barrie A. Goldman Sachs Group, FROM: Feb. 22, 1999; TO: Mar. 11, 1999;


Wild, Stephen K. Securities America, Inc., TO: Apr. 20, 1995


Wickers, Gail PaineWebber, TO: May 2, 1995


Wienner, Daniel P. Adviser Investment Management, FROM: Mar. 29, 1999; TO: Apr. 5, 1999;


Wiese, C. F. Registrar of Banks, Republic of South Africa, TO: Mar. 7, 1995


Wiley, David W., III Wiley Brothers Inc., TO: Aug. 23, 1995


Wilks, Donald R., TO: Apr. 20, 1995


Williams, Harold M. J. Paul Getty Trust; Getty Foundation, FROM: May 22, 1997; TO: Oct. 5, 1995; Nov. 5, 1996; Nov. 6, 1996; Jun. 18, 1997; Jul. 28, 2000;


Williams, Kaye Securities Industry Association, TO: Sep. 13, 1995


Williams, Linda New York Stock Exchange, TO: Feb. 17 1995


Williams, William J., Jr. Sullivan & Cromwell, FROM: Jan. 23, 1997; Jun. 20, 1997; TO: Jul. 7, 1995; Oct. 23, 1995; Mar. 6, 1996; Feb. 4, 1997; May 27, 1997(Balamaci, N.); Jul. 24, 1997; Feb. 27, 1998;


Willig, Robin National Academy Foundation, TO: Apr. 14, 1998;


Wilmers, Robert G. M&T Bank, TO: Jul. 13, 2000;


Wilpon, Fred, FROM: May 8, 1998; TO: May 13, 1998;


Wilson, Charles US House of Representatives, TO: Mar. 27, 1995


Wilson, Craig D. US SEC, TO: May 7, 1996


Wilson, Gwen DLS Group, Inc., TO: Feb. 17 1995


Wilson, Heather US House of Representatives, TO: Dec. 22, 1999


[Wilson, Malcolm] Kent, Hazzard, Jaeger, Greer, Wilson & Fay, FROM: Mar. 17, 1994 (personal file)


Wilson, Michael RRC Dominion Securities, TO: Aug. 16, 1999;


Wine, John, Jr. Securities Commissioner, KS, TO: Apr. 21, 1995


Winkler, Matthew Bloomberg Business News, TO: Aug. 16, 1995


Winslow, Paul H. Apple Computer, Inc., FROM: Oct. 19, 1998; TO: Oct. 26, 1998;


Winters, Robert Prudential Insurance Company of America, TO: Mar. 2, 1995; Apr. 20, 1995


Wisner, Frank G. US Ambassador, India, FROM: Apr. 23, 1996; TO: May 9, 1996;


Wittich, Georg Federal Securities Supervisory Office, Germany, FROM: Apr. 29, 1997; TO: Dec. 26, 1996; Apr. 25, 1997; May 8, 1997; Nov. 19, 1998;


Woiski, Ronny Swedish Financial Supervisory Authority, Sweden, TO: Dec. 26, 1996;


Wolcott, Laurens E. Salisbury School, CT, TO: Jan. 2, 1996


Wolf, Frank R. US House of Representatives, FROM: Jan. 9, 1995 (Kathryn Fulton); Sep. 30, 1999; Oct. 7, 1999; Mar. 22, 2000; TO: Jan. 30, 1995 (Kathryn Fulton); Oct. 22, 1999; May 8, 2000;


Wolfensohn, James D. World Bank, TO: Dec. 6, 1995; Oct. 28, 1998; Nov. 22, 1999 (RE: Maco, Paul)


Woods, Robert A. Woods Capital Corporation, FROM: Jun. 24, 1996;


Woolf, Harry Institute for Advanced Study, FROM: Apr. 7, 1998; TO: Apr. 15, 1998;


Woolsey, Lynn US House of Representatives, FROM: Dec. 10, 1997; TO: Jan. 20, 1998;


Wouters, Joyce B., FROM: Aug. 24, 1993: TO: Sep. 13, 1993


Wright, Barbara R. Heather Investments, TO: Apr. 20, 1995


Wright-Samuel, Rosetta US SEC - Procurement, TO: Sep. 29, 1995


Wright, Jacquelyn H. US SEC - Desktop Publishing, TO: Oct. 6, 1997;


Wright, Michael W. Supervalu, Inc., FROM: Mar. 6, 1997; TO: Mar. 13, 1997;


Wrighton, Peter De Oude Kelder Fram, Republic of South Africa, FROM: Mar. 6, 1995TO: Mar. 7, 1995;


Wulff, Richard US SEC, TO: Jun. 19, 1995;


Wyden, Ron US House of Representatives; US Senate, FROM: Apr. 12, 1995; Jun. 12, 1995; Jan. 10, 1997; Feb. 13, 1998; TO: May 24, 1995; Jan. 31, 1997; Mar. 4, 1998


Wynn, Albert E. US House of Representatives, TO: Feb. 18, 1997; Mar. 5, 1997;


Yagui Tomona, Alberto Comision Nacional Supervisora de Empresas y Valores, Peru, TO: Apr. 10, 1996


Yamaguchi, Mitsuhido Tokyo Stock Exchange, Japan, TO: Jun. 20, 1995


Yamashita, Russel H. Commissioner of Securities, HI, TO: Apr. 21, 1995; Jan. 5, 1998;


Yarur Elsaca, Daniel Seperintendencia de Valores y Securos, Chile, FROM: Dec. 26, 1994; Aug. 23, 1995; Jan. 14, 1997; TO: Feb. 8, 1995; Sep. 12, 1995; Jan. 31, 1997; Jun. 25, 1999; [Nov.]. 1999; Mar. 21, 2000;


Yormak, Jonathon Kent, TO: Sep. 27, 1995


Young, Bruce J. Mesirow Financial, Inc., TO: Sep. 13, 1995


Young, C.W. Bill US House of Representatives, TO: Aug. 22, 2000; Sep. 15, 2000;


Young-Spitzer, Diane Securities Division, MA, TO: May 14, 1998;


Zang, Leonard J. Customized Portfolios Ltd., TO: Mar. 20, 1996;


Zantman, Jan Securities Board of Netherlands, TO: Dec. 26, 1996;


Zarb, Frank National Association of Securities Dealers, FROM: Mar. 27, 1997; Aug. 7, 1997; Mar. 6, 2000; TO: Mar. 14, 1997; Apr. 4, 1997; Jul. 17, 1997 (RE: O'Neil, Roderick); Aug. 9, 1997; Aug. 25, 1997; Sep. 9, 1997; Oct. 23, 1997; Apr. 17, 1998 (2); Feb. 22, 1999; Mar. 24, 1999; Jul. 26, 1999; Mar. 8, 2000


Zarella, Dominic A., TO: Apr. 20, 1995


Zelinka, Robert Southeast Research Partners, Inc., FROM: Nov. 6, 1995; TO: Aug. 5, 1993; Nov. 14, 1995;


Zarr, Gary American Museum of Natural History, FROM: Aug. 2, 2000; TO: Aug. 9, 2000;


Zehner, Mark US SEC - Office of Municipal Securities, TO: Dec. 29, 1998;


Zeller, Wilhelm Hannover Ruckversicherungs-Aktiengesellschaft, TO: Apr. 25, 1997;


Zhou, Xiaochuan China Securities Regulatory Commission, People's Republic of China, TO: Jan. 24, 2001;


Zhou, Zhengqing China Securities Regulatory Commission, People's Republic of China, TO: Sep. 26, 1997; Dec. 5, 1997;


Zimmer, Lynn, TO: Oct. 29, 1993


Zises, Alvin, TO: Apr. 20, 1995


Zises, Helen, TO: Apr. 20, 1995


Zumwalt, E.R., Jr. Admiral, US Navy (retired), FROM: Apr. 9, 1998; TO: Apr. 15, 1998;


Zumwalt, James G., II, FROM: Nov. 21, 1995; Jun. 18, 1997; TO: Dec. 7, 1995; Jun. 27, 1997;


Board Members Qualifications Review Board, TO: May 6, 1996;


Board of Management Frankfurter Wertpapierborse, Germany, TO: May 28, 1996


Board of Directors 173-175 Riverside Drive Tenants Corp., TO: Jun. 18, 1996 (re: Carter, Jon)


To Whom it May Concern Downtown Sam, TO: Feb. 9, 2000 (RE: Hastings, Larry)