Rare Book & Manuscript Library
 

Arthur Levitt papers, 1948-2007

Series XIII: SEC Correspondents Index

This index desribes Arranged Correspondence - SEC Photocopies subseries

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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)