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)