-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RJYCYoYIDYoANdFLtpdlGEWD2LuMrP/HqIw3ihzx/n0G8UpfyW83u7WJqY++JELz UwDYm2ZiDZGQYZ1WWp77pQ== 0000923524-07-000002.txt : 20070301 0000923524-07-000002.hdr.sgml : 20070301 20070301164147 ACCESSION NUMBER: 0000923524-07-000002 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070301 DATE AS OF CHANGE: 20070301 EFFECTIVENESS DATE: 20070301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLLEGE RETIREMENT EQUITIES FUND CENTRAL INDEX KEY: 0000777535 IRS NUMBER: 136022042 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-04415 FILM NUMBER: 07664013 BUSINESS ADDRESS: STREET 1: 730 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2129164905 MAIL ADDRESS: STREET 1: 730 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10017 0000777535 S000005080 Stock Account C000013867 Retirement Annuity C000018661 Supplemental Retirement Annuity C000018662 Retirement Select Plus II Annuity C000018663 Retirement Choice Annuity C000018664 Retirement Choice Plus Annuity C000018665 Keogh Certificate C000018666 Group Retirement Annuity C000018667 Group Supplemental Retirement Annuity C000018668 Group Annuity C000018669 Individual Retirement Annuity C000018670 Rollover Individual Retirement Annuity C000018671 Roth Individual Retirement Annuity C000018672 Retirement Select Annuity C000018673 Retirement Select Plus Annuity 0000777535 S000005081 Global Equities Account C000013868 Retirement Annuity C000018818 Supplemental Retirement Annuity C000018819 Rollover Individual Retirement Annuity C000018820 Roth Individual Retirement Annuity C000018821 Retirement Select Annuity C000018822 Retirement Select Plus Annuity C000018823 Retirement Select Plus II Annuity C000018824 Retirement Choice Annuity C000018825 Retirement Choice Plus Annuity C000018826 Keogh Certificate C000018827 Group Retirement Annuity C000018828 Group Supplemental Retirement Annuity C000018829 Group Annuity C000018830 Individual Retirement Annuity 0000777535 S000005082 Growth Account C000013869 Retirement Annuity C000018833 Supplemental Retirement Annuity C000018834 Rollover Individual Retirement Annuity C000018835 Roth Individual Retirement Annuity C000018836 Retirement Select Annuity C000018837 Retirement Select Plus Annuity C000018838 Retirement Select Plus II Annuity C000018839 Retirement Choice Annuity C000018840 Retirement Choice Plus Annuity C000018841 Keogh Certificate C000018842 Group Retirement Annuity C000018843 Group Supplemental Retirement Annuity C000018844 Group Annuity C000018845 Individual Retirement Annuity 0000777535 S000005083 Equity Index Account C000013870 Retirement Annuity C000018850 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0.000 048 G010200 0 048 G020200 0.000 048 H010200 0 048 H020200 0.000 048 I010200 0 048 I020200 0.000 PAGE 19 048 J010200 0 048 J020200 0.000 048 K010200 0 048 K020200 0.000 062 A000200 Y 062 B000200 0.0 062 C000200 5.2 062 D000200 0.0 062 E000200 0.0 062 F000200 2.6 062 G000200 8.4 062 H000200 0.0 062 I000200 81.1 062 J000200 0.0 062 K000200 0.0 062 L000200 2.6 062 M000200 0.0 062 N000200 0.0 062 O000200 0.0 062 P000200 0.0 062 Q000200 0.0 062 R000200 0.0 063 A000200 41 063 B000200 0.0 064 A000200 Y 064 B000200 N 066 A000200 N 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 Y 070 A020200 N 070 B010200 N 070 B020200 N 070 C010200 Y 070 C020200 N 070 D010200 N 070 D020200 N 070 E010200 Y 070 E020200 N 070 F010200 N 070 F020200 N 070 G010200 Y 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 N PAGE 20 070 K010200 Y 070 K020200 N 070 L010200 Y 070 L020200 Y 070 M010200 Y 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 N 070 R020200 N 071 A000200 0 071 B000200 0 071 C000200 0 071 D000200 0 072 A000200 12 072 B000200 429843 072 C000200 0 072 D000200 0 072 E000200 0 072 F000200 5247 072 G000200 23755 072 H000200 0 072 I000200 0 072 J000200 0 072 K000200 0 072 L000200 0 072 M000200 0 072 N000200 0 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 0 072 S000200 0 072 T000200 6663 072 U000200 0 072 V000200 0 072 W000200 424 072 X000200 36089 072 Y000200 0 072 Z000200 393754 072AA000200 0 072BB000200 37 072CC010200 344 072CC020200 0 072DD010200 0 PAGE 21 072DD020200 0 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 161 074 B000200 0 074 C000200 9558222 074 D000200 0 074 E000200 0 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 0 074 K000200 4243 074 L000200 8418 074 M000200 0 074 N000200 9571044 074 O000200 0 074 P000200 324 074 Q000200 0 074 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G010300 720265 028 G020300 0 028 G030300 0 028 G040300 431877 028 H000300 0 045 000300 Y 046 000300 N 047 000300 Y 048 000300 0.110 048 A010300 0 048 A020300 0.000 048 B010300 0 048 B020300 0.000 048 C010300 0 048 C020300 0.000 048 D010300 0 048 D020300 0.000 048 E010300 0 048 E020300 0.000 048 F010300 0 048 F020300 0.000 048 G010300 0 048 G020300 0.000 048 H010300 0 048 H020300 0.000 048 I010300 0 048 I020300 0.000 PAGE 24 048 J010300 0 048 J020300 0.000 048 K010300 0 048 K020300 0.000 062 A000300 Y 062 B000300 0.0 062 C000300 1.2 062 D000300 0.0 062 E000300 0.0 062 F000300 0.0 062 G000300 0.0 062 H000300 0.0 062 I000300 8.0 062 J000300 0.0 062 K000300 0.0 062 L000300 18.9 062 M000300 11.9 062 N000300 43.1 062 O000300 0.0 062 P000300 39.7 062 Q000300 3.7 062 R000300 0.0 063 A000300 0 063 B000300 6.7 064 A000300 Y 064 B000300 N 066 A000300 N 067 000300 N 068 A000300 N 068 B000300 N 069 000300 N 070 A010300 Y 070 A020300 N 070 B010300 N 070 B020300 N 070 C010300 Y 070 C020300 N 070 D010300 N 070 D020300 N 070 E010300 Y 070 E020300 N 070 F010300 N 070 F020300 N 070 G010300 Y 070 G020300 N 070 H010300 N 070 H020300 N 070 I010300 Y 070 I020300 N 070 J010300 Y 070 J020300 Y PAGE 25 070 K010300 Y 070 K020300 Y 070 L010300 Y 070 L020300 Y 070 M010300 Y 070 M020300 N 070 N010300 Y 070 N020300 Y 070 O010300 Y 070 O020300 N 070 P010300 Y 070 P020300 N 070 Q010300 N 070 Q020300 N 070 R010300 Y 070 R020300 N 071 A000300 12865745 071 B000300 12125826 071 C000300 5546262 071 D000300 219 072 A000300 12 072 B000300 308282 072 C000300 350 072 D000300 0 072 E000300 0 072 F000300 6549 072 G000300 17279 072 H000300 0 072 I000300 0 072 J000300 0 072 K000300 0 072 L000300 0 072 M000300 0 072 N000300 0 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 0 072 S000300 0 072 T000300 4770 072 U000300 0 072 V000300 0 072 W000300 298 072 X000300 28896 072 Y000300 0 072 Z000300 279736 072AA000300 0 072BB000300 49031 072CC010300 14483 072CC020300 0 072DD010300 0 PAGE 26 072DD020300 0 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F000400 5200809 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 14804 074 K000400 454 074 L000400 35584 074 M000400 0 074 N000400 11226502 074 O000400 384209 074 P000400 318 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 2109079 PAGE 32 074 S000400 0 074 T000400 8732896 074 U010400 67385 074 U020400 0 074 V010400 125.52 074 V020400 0.00 074 W000400 0.0000 074 X000400 440361 074 Y000400 284662 075 A000400 0 075 B000400 8151884 076 000400 0.00 015 A000501 STATE STREET BANK AND TRUST COMPANY 015 B000501 C 015 C010501 BOSTON 015 C020501 MA 015 C030501 02110 015 E010501 X 015 A000502 JPMORGAN CHASE BANK N.A. 015 B000502 C 015 C010502 NEW YORK 015 C020502 NY 015 C030502 10004 015 E010502 X 015 A000503 JPMORGAN CHASE BANK N.A. 015 B000503 S 015 C010503 SYDNEY 015 D010503 AUSTRALIA 015 D020503 NSW 2000 015 E040503 X 015 A000504 BANK AUSTRIA CREDITANSTALT AG 015 B000504 S 015 C010504 VIENNA 015 D010504 AUSTRIA 015 D020504 A-1090 015 E040504 X 015 A000505 FORTIS BANK (NEDERLAND) N.V. 015 B000505 S 015 C010505 AMSTERDAM 015 D010505 BELGIUM 015 D020505 1012KK 015 E040505 X 015 A000506 CANADIAN IMPERIAL BANK OF COMMERCE 015 B000506 S 015 C010506 TORONTO, ONTARIO 015 D010506 CANADA 015 D020506 M5L 1G9 015 E040506 X 015 A000507 DANSKE BANK A/S 015 B000507 S 015 C010507 COPENHAGEN PAGE 33 015 D010507 DENMARK 015 D020507 DK 1092 015 E040507 X 015 A000508 HSBC BANK BRASIL S.A. BANCO MULTIPLO 015 B000508 S 015 C010508 SAO PAOLO 015 D010508 BRAZIL 015 D020508 SP 01451-000 015 E040508 X 015 A000509 BNP PARIBAS SECURITIES SERVICES S.A. 015 B000509 S 015 C010509 PARIS 015 D010509 FRANCE 015 D020509 75078 015 E040509 X 015 A000510 DEUTSCHE BANK A.G. 015 B000510 S 015 C010510 FRANKFURT 015 D010510 GERMANY 015 D020510 D-65760 015 E040510 X 015 A000511 THE HONG KONG AND SHANGHAI BANK CORP. 015 B000511 S 015 C010511 WAN CHAI 015 D010511 HONG KONG 015 E040511 X 015 A000512 BANCA INTESA SPA 015 B000512 S 015 C010512 MILAN 015 D010512 ITALY 015 D020512 20121 015 E040512 X 015 A000513 THE BANK OF TOKYO-MITSUBISHI UFJ, LIMITED 015 B000513 S 015 C010513 TOKYO 015 D010513 JAPAN 015 D020513 103 015 E040513 X 015 A000514 BANCO NACIONAL DE MEXICO, S.A. 015 B000514 S 015 C010514 MEXICO, D.F. 015 D010514 MEXICO 015 D020514 01210 015 E040514 X 015 A000515 KAS BANK N.V. 015 B000515 S 015 C010515 AMSTERDAM 015 D010515 NETHERLANDS 015 D020515 1012VT 015 E040515 X 015 A000516 BANK OF IRELAND PAGE 34 015 B000516 S 015 C010516 DUBLIN 015 D010516 IRELAND 015 D020516 1 015 E040516 X 015 A000517 DNB NOR BANK ASA 015 B000517 S 015 C010517 OSLO 015 D010517 NORWAY 015 D020517 N-0107 015 E040517 X 015 A000518 DBS BANK LTD. 015 B000518 S 015 C010518 SINGAPORE 015 D010518 SINGAPORE 015 D020518 239922 015 E040518 X 015 A000519 SANTANDER INVESTMENT, S.A. 015 B000519 S 015 C010519 MADRID 015 D010519 SPAIN 015 D020519 28660 015 E040519 X 015 A000520 SKANDINAVISKA ENSKILDA BANKEN 015 B000520 S 015 C010520 STOCKHOLM 015 D010520 SWEDEN 015 D020520 SE-106 40 015 E040520 X 015 A000521 UBS AG 015 B000521 S 015 C010521 ZURICH 015 D010521 SWITZERLAND 015 D020521 8021 015 E040521 X 015 A000522 JPMORGAN CHASE BANK N.A. 015 B000522 S 015 C010522 LONDON 015 D010522 UNITED KINGDOM 015 D020522 EC2N 4AJ 015 E040522 X 015 A000523 SKANDINAVISKA ENSKILDA BANKEN AB 015 B000523 S 015 C010523 HELSINKI 015 D010523 FINLAND 015 D020523 FIN-00101 015 E040523 X 015 A000524 HSBC BANK MALAYSIA BERHAD 015 B000524 S 015 C010524 KUALA LUMPUR 015 D010524 MALAYSIA PAGE 35 015 D020524 50100 015 E040524 X 015 A000525 HSBC BANK ARGENTINA S.A. 015 B000525 S 015 C010525 BUENOS AIRES 015 D010525 ARGENTINA 015 D020525 1005 015 E040525 X 015 A000526 NATIONAL NOMINEES LTD. 015 B000526 S 015 C010526 AUCKLAND 015 D010526 NEW ZEALAND 015 E040526 X 015 A000527 CITIBANK, N.A. 015 B000527 S 015 C010527 SANTIAGO 015 D010527 CHILE 015 E040527 X 015 A000528 FIRSTRAND BANK LIMITED, FIRST NATL BANK 015 B000528 S 015 C010528 JOHANNESBURG 015 D010528 SOUTH AFRICA 015 D020528 2001 015 E040528 X 015 A000529 THE HONG KONG AND SHANGHAI BANKING CORP. LTD. 015 B000529 S 015 C010529 JAKARTA 015 D010529 INDONESIA 015 D020529 12920 015 E040529 X 015 A000530 JPMORGAN CHASE BANK N.A.-NASSAU BRANCH 015 B000530 S 015 C010530 NASSAU 015 D010530 BAHAMAS 015 E040530 X 015 A000531 BANCO ESPIRITO SANTO,SA 015 B000531 S 015 C010531 LISBON 015 D010531 PORTUGAL 015 D020531 1250-069 015 E040531 X 015 A000532 STANDARD CHARTERED BANK (THAI) PUBLIC CO LTD 015 B000532 S 015 C010532 BANGKOK 015 D010532 THAILAND 015 D020532 10500 015 E040532 X 015 A000533 STANDARD CHARTERED BANK 015 B000533 S 015 C010533 MUMBAI 015 D010533 INDIA PAGE 36 015 D020533 400 001 015 E040533 X 015 A000534 HSBC BANK PLC 015 B000534 S 015 C010534 ATHENS 015 D010534 GREECE 015 D020534 11526 015 E040534 X 015 A000535 STANDARD CHARTERED FIRST BANK KOREA LIMITED 015 B000535 S 015 C010535 SEOUL 015 D010535 SOUTH KOREA 015 D020535 110-702 015 E040535 X 015 A000536 STATE STREET CAYMAN TRUST CO., LTD. 015 B000536 S 015 C010536 GRAND CAYMAN 015 D010536 CAYMAN ISLANDS 015 E040536 X 015 A000537 HVB BANK CZECH REPUBLIC A.S. 015 B000537 S 015 C010537 PRAGUE 015 D010537 CZECH REPUBLIC 015 D020537 11005 015 E040537 X 015 A000538 DEUTSCHE BANK ZRT. 015 B000538 S 015 C010538 BUDAPEST 015 D010538 HUNGARY 015 D020538 H-1054 015 E040538 X 015 A000539 CITIBANK, N.A. 015 B000539 S 015 C010539 CAIRO 015 D010539 EGYPT 015 E040539 X 015 A000540 BANK HANDLOWY W. WARSZAWIE S.A. 015 B000540 S 015 C010540 WARSAW 015 D010540 POLAND 015 D020540 00-923 015 E040540 X 015 A000541 ARAB BANK PLC 015 B000541 S 015 C010541 AMMAN 015 D010541 JORDAN 015 E040541 X 015 A000542 ATTIJARIWAFA BANK S.A. 015 B000542 S 015 C010542 CASABLANCA 015 D010542 MOROCCO PAGE 37 015 D020542 20000 015 E040542 X 015 A000543 CITIBANK DEL PERU S.A. 015 B000543 S 015 C010543 LIMA 015 D010543 PERU 015 D020543 27 015 E040543 X 024 000500 Y 025 A000501 BANK OF AMERICA CORP 025 B000501 56-2058405 025 C000501 E 025 D000501 112072 025 A000502 BARCLAYS PLC 025 B000502 05-0346412 025 C000502 E 025 D000502 64524 025 A000503 BEAR STEARNS & CO 025 B000503 13-3299429 025 C000503 E 025 D000503 71216 025 A000504 CITIGROUP,INC 025 B000504 11-2418191 025 C000504 E 025 D000504 62264 025 A000505 DEUTSCHE BANK 025 B000505 13-2730828 025 C000505 E 025 D000505 2764 025 A000506 GOLDMAN SACHS & CO 025 B000506 13-5108880 025 C000506 E 025 D000506 84938 025 A000507 J.P. MORGAN CHASE & CO 025 B000507 13-3224016 025 C000507 E 025 D000507 43134 025 A000508 LEHMAN BROTHERS, INC 025 B000508 13-2518466 025 C000508 E 025 D000508 6109 025 A000509 MERRILL LYNCH & CO 025 B000509 13-5674085 025 C000509 E 025 D000509 13618 025 A000510 MORGAN STANLEY 025 B000510 13-2655998 025 C000510 E 025 D000510 141378 025 A000511 UBS SECURITIES LLC 025 B000511 13-3843456 PAGE 38 025 C000511 E 025 D000511 13779 025 A000512 DELETE 025 D000512 0 025 D000513 0 025 D000514 0 025 D000515 0 025 D000516 0 028 A010500 253749 028 A020500 0 028 A030500 0 028 A040500 270812 028 B010500 264024 028 B020500 0 028 B030500 0 028 B040500 215497 028 C010500 261264 028 C020500 0 028 C030500 0 028 C040500 193356 028 D010500 313519 028 D020500 0 028 D030500 0 028 D040500 222531 028 E010500 284455 028 E020500 0 028 E030500 0 028 E040500 221596 028 F010500 314938 028 F020500 0 028 F030500 0 028 F040500 189880 028 G010500 1691949 028 G020500 0 028 G030500 0 028 G040500 1313672 028 H000500 0 045 000500 Y 046 000500 N 047 000500 Y 048 000500 0.160 048 A010500 0 048 A020500 0.000 048 B010500 0 048 B020500 0.000 048 C010500 0 048 C020500 0.000 048 D010500 0 048 D020500 0.000 048 E010500 0 048 E020500 0.000 PAGE 39 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 048 K010500 0 048 K020500 0.000 062 A000500 N 062 B000500 0.0 062 C000500 0.0 062 D000500 0.0 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 0.0 062 N000500 0.0 062 O000500 0.0 062 P000500 0.0 062 Q000500 0.0 062 R000500 0.0 063 A000500 0 063 B000500 0.0 066 A000500 Y 066 B000500 N 066 C000500 Y 066 D000500 N 066 E000500 N 066 F000500 N 066 G000500 N 067 000500 N 068 A000500 N 068 B000500 Y 069 000500 N 070 A010500 Y 070 A020500 N 070 B010500 Y 070 B020500 N 070 C010500 Y 070 C020500 N 070 D010500 Y 070 D020500 N PAGE 40 070 E010500 Y 070 E020500 N 070 F010500 Y 070 F020500 Y 070 G010500 Y 070 G020500 N 070 H010500 Y 070 H020500 N 070 I010500 Y 070 I020500 N 070 J010500 Y 070 J020500 N 070 K010500 Y 070 K020500 Y 070 L010500 Y 070 L020500 Y 070 M010500 Y 070 M020500 Y 070 N010500 Y 070 N020500 Y 070 O010500 Y 070 O020500 N 070 P010500 Y 070 P020500 Y 070 Q010500 N 070 Q020500 N 070 R010500 Y 070 R020500 N 071 A000500 20004203 071 B000500 18820808 071 C000500 13688727 071 D000500 137 072 A000500 12 072 B000500 5365 072 C000500 252359 072 D000500 0 072 E000500 0 072 F000500 22000 072 G000500 38726 072 H000500 0 072 I000500 0 072 J000500 0 072 K000500 0 072 L000500 0 072 M000500 0 072 N000500 0 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 0 072 S000500 0 PAGE 41 072 T000500 10803 072 U000500 0 072 V000500 0 072 W000500 689 072 X000500 72218 072 Y000500 0 072 Z000500 185506 072AA000500 1458738 072BB000500 0 072CC010500 766404 072CC020500 0 072DD010500 0 072DD020500 0 072EE000500 0 073 A010500 0.0000 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 40740 074 B000500 0 074 C000500 578588 074 D000500 0 074 E000500 111590 074 F000500 15424651 074 G000500 0 074 H000500 0 074 I000500 226 074 J000500 25451 074 K000500 4139 074 L000500 17618 074 M000500 0 074 N000500 16203003 074 O000500 26358 074 P000500 668 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 501780 074 S000500 0 074 T000500 15674197 074 U010500 151295 074 U020500 0 074 V010500 101.09 074 V020500 0.00 074 W000500 0.0000 074 X000500 879516 074 Y000500 75612 075 A000500 0 075 B000500 13785232 076 000500 0.00 PAGE 42 015 A000601 STATE STREET CAYMAN TRUST CO., LTD. 015 B000601 S 015 C010601 GRAND CAYMAN 015 D010601 CAYMAN ISLANDS 015 E040601 X 015 A000602 STATE STREET BANK AND TRUST COMPANY 015 B000602 C 015 C010602 BOSTON 015 C020602 MA 015 C030602 02110 015 E010602 X 015 A000603 JPMORGAN CHASE BANK N.A. 015 B000603 C 015 C010603 NEW YORK 015 C020603 NY 015 C030603 10004 015 E010603 X 015 A000604 SKANDINAVISKA ENSKILDA BANKEN 015 B000604 S 015 C010604 STOCKHOLM 015 D010604 SWEDEN 015 D020604 SE-10640 015 E040604 X 015 A000605 JP MORGAN CHASE BANK N.A. 015 B000605 S 015 C010605 LONDON 015 D010605 UNITED KINGDOM 015 D020605 EC2N 4AJ 015 E040605 X 015 A000606 JPMORGAN CHASE BANK N.A.-NASSAU BRANCH 015 B000606 S 015 C010606 NASSAU 015 D010606 BAHAMAS 015 E040606 X 015 A000607 JPMORGAN CHASE BANK, N.A. 015 B000607 S 015 C010607 SYDNEY 015 D010607 AUSTRALIA 015 D020607 NSW 2000 015 E040607 X 015 A000608 SKANDINAVISKA ENSKILDA BANKEN AB 015 B000608 S 015 C010608 HELSINKI 015 D010608 FINLAND 015 D020608 FIN-00101 015 E040608 X 015 A000609 BNP PARIBAS SECURITIES SERVICES S.A. 015 B000609 S 015 C010609 PARIS 015 D010609 FRANCE 015 D020609 75078 PAGE 43 015 E040609 X 015 A000610 THE BANK OF TOKYO-MITSUBISHI UFJ, LTD. 015 B000610 S 015 C010610 TOKYO 015 D010610 JAPAN 015 D020610 103 015 E040610 X 015 A000611 UBS AG 015 B000611 S 015 C010611 ZURICH 015 D010611 SWITZERLAND 015 D020611 8021 015 E040611 X 024 000600 Y 025 A000601 GOLDMAN SACHS & CO 025 B000601 13-5108880 025 C000601 E 025 D000601 118873 025 A000602 MERRILL LYNCH & CO 025 B000602 13-5674085 025 C000602 E 025 D000602 155834 025 A000603 MORGAN STANLEY 025 B000603 13-2655998 025 C000603 E 025 D000603 39984 025 A000604 DELETE 025 D000604 0 025 A000605 DELETE 025 D000605 0 025 D000606 0 025 D000607 0 025 D000608 0 025 D000609 0 025 D000610 0 025 D000611 0 025 D000612 0 025 D000613 0 025 D000614 0 025 D000615 0 025 D000616 0 028 A010600 143411 028 A020600 0 028 A030600 0 028 A040600 232339 028 B010600 159045 028 B020600 0 028 B030600 0 028 B040600 223517 028 C010600 151850 028 C020600 0 PAGE 44 028 C030600 0 028 C040600 203294 028 D010600 165646 028 D020600 0 028 D030600 0 028 D040600 308504 028 E010600 189248 028 E020600 0 028 E030600 0 028 E040600 240469 028 F010600 138980 028 F020600 0 028 F030600 0 028 F040600 237527 028 G010600 948180 028 G020600 0 028 G030600 0 028 G040600 1445650 028 H000600 0 045 000600 Y 046 000600 N 047 000600 Y 048 000600 0.140 048 A010600 0 048 A020600 0.000 048 B010600 0 048 B020600 0.000 048 C010600 0 048 C020600 0.000 048 D010600 0 048 D020600 0.000 048 E010600 0 048 E020600 0.000 048 F010600 0 048 F020600 0.000 048 G010600 0 048 G020600 0.000 048 H010600 0 048 H020600 0.000 048 I010600 0 048 I020600 0.000 048 J010600 0 048 J020600 0.000 048 K010600 0 048 K020600 0.000 062 A000600 N 062 B000600 0.0 062 C000600 0.0 062 D000600 0.0 062 E000600 0.0 062 F000600 0.0 PAGE 45 062 G000600 0.0 062 H000600 0.0 062 I000600 0.0 062 J000600 0.0 062 K000600 0.0 062 L000600 0.0 062 M000600 0.0 062 N000600 0.0 062 O000600 0.0 062 P000600 0.0 062 Q000600 0.0 062 R000600 0.0 063 A000600 0 063 B000600 0.0 066 A000600 Y 066 B000600 N 066 C000600 N 066 D000600 Y 066 E000600 N 066 F000600 N 066 G000600 N 067 000600 N 068 A000600 N 068 B000600 N 069 000600 N 070 A010600 Y 070 A020600 N 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N 070 E010600 Y 070 E020600 N 070 F010600 Y 070 F020600 N 070 G010600 Y 070 G020600 N 070 H010600 Y 070 H020600 N 070 I010600 N 070 I020600 N 070 J010600 Y 070 J020600 N 070 K010600 Y 070 K020600 Y 070 L010600 Y 070 L020600 Y 070 M010600 Y 070 M020600 Y PAGE 46 070 N010600 Y 070 N020600 Y 070 O010600 Y 070 O020600 N 070 P010600 Y 070 P020600 Y 070 Q010600 N 070 Q020600 N 070 R010600 Y 070 R020600 N 071 A000600 12950228 071 B000600 13697651 071 C000600 11850002 071 D000600 109 072 A000600 12 072 B000600 1440 072 C000600 118835 072 D000600 0 072 E000600 0 072 F000600 16795 072 G000600 34784 072 H000600 0 072 I000600 0 072 J000600 0 072 K000600 0 072 L000600 0 072 M000600 0 072 N000600 0 072 O000600 0 072 P000600 0 072 Q000600 0 072 R000600 0 072 S000600 0 072 T000600 9538 072 U000600 0 072 V000600 0 072 W000600 593 072 X000600 61710 072 Y000600 0 072 Z000600 58565 072AA000600 624264 072BB000600 0 072CC010600 0 072CC020600 55173 072DD010600 0 072DD020600 0 072EE000600 0 073 A010600 0.0000 073 A020600 0.0000 073 B000600 0.0000 073 C000600 0.0000 PAGE 47 074 A000600 1287 074 B000600 0 074 C000600 908886 074 D000600 0 074 E000600 0 074 F000600 11969627 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 31589 074 K000600 0 074 L000600 11089 074 M000600 0 074 N000600 12922478 074 O000600 26569 074 P000600 1512 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 908907 074 S000600 0 074 T000600 11985490 074 U010600 181824 074 U020600 0 074 V010600 64.80 074 V020600 0.00 074 W000600 0.0000 074 X000600 924035 074 Y000600 0 075 A000600 0 075 B000600 11860912 076 000600 0.00 015 A000701 STATE STREET CAYMAN TRUST CO., LTD. 015 B000701 S 015 C010701 GRAND CAYMAN 015 D010701 CAYMAN ISLANDS 015 E040701 X 015 A000702 STATE STREET BANK AND TRUST COMPANY 015 B000702 C 015 C010702 BOSTON 015 C020702 MA 015 C030702 02110 015 E010702 X 024 000700 Y 025 A000701 BANK OF AMERICA CORP 025 B000701 56-2058405 025 C000701 E 025 D000701 176585 025 A000702 BEAR STEARNS & CO 025 B000702 13-3299429 PAGE 48 025 C000702 E 025 D000702 14157 025 A000703 CITIGROUP, INC 025 B000703 11-2418191 025 C000703 E 025 D000703 200606 025 A000704 GOLDMAN SACHS & CO 025 B000704 13-5108880 025 C000704 E 025 D000704 54916 025 A000705 J.P. 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GRAND CAYMAN BRANCH 015 B000802 S 015 C010802 GRAND CAYMAN 015 D010802 CAYMAN ISLANDS 015 E040802 X 024 000800 Y 025 A000801 MORGAN STANLEY 025 B000801 13-2655998 025 C000801 D 025 D000801 1592 025 D000802 0 025 D000803 0 025 D000804 0 025 D000805 0 025 D000806 0 025 D000807 0 025 D000808 0 028 A010800 76852 PAGE 53 028 A020800 0 028 A030800 0 028 A040800 73204 028 B010800 85802 028 B020800 0 028 B030800 0 028 B040800 67988 028 C010800 62919 028 C020800 0 028 C030800 0 028 C040800 71381 028 D010800 81160 028 D020800 0 028 D030800 0 028 D040800 87330 028 E010800 71347 028 E020800 0 028 E030800 0 028 E040800 72667 028 F010800 71214 028 F020800 0 028 F030800 0 028 F040800 75468 028 G010800 449294 028 G020800 0 028 G030800 0 028 G040800 448038 028 H000800 0 045 000800 Y 046 000800 N 047 000800 Y 048 000800 0.110 048 A010800 0 048 A020800 0.000 048 B010800 0 048 B020800 0.000 048 C010800 0 048 C020800 0.000 048 D010800 0 048 D020800 0.000 048 E010800 0 048 E020800 0.000 048 F010800 0 048 F020800 0.000 048 G010800 0 048 G020800 0.000 048 H010800 0 048 H020800 0.000 048 I010800 0 048 I020800 0.000 048 J010800 0 PAGE 54 048 J020800 0.000 048 K010800 0 048 K020800 0.000 062 A000800 Y 062 B000800 0.0 062 C000800 0.0 062 D000800 0.0 062 E000800 0.0 062 F000800 0.0 062 G000800 0.0 062 H000800 0.0 062 I000800 0.1 062 J000800 0.0 062 K000800 0.0 062 L000800 0.0 062 M000800 99.0 062 N000800 0.0 062 O000800 0.0 062 P000800 0.0 062 Q000800 0.0 062 R000800 0.0 063 A000800 0 063 B000800 9.6 064 A000800 Y 064 B000800 N 066 A000800 N 067 000800 N 068 A000800 N 068 B000800 N 069 000800 N 070 A010800 Y 070 A020800 Y 070 B010800 N 070 B020800 N 070 C010800 Y 070 C020800 N 070 D010800 N 070 D020800 N 070 E010800 Y 070 E020800 N 070 F010800 N 070 F020800 N 070 G010800 Y 070 G020800 N 070 H010800 N 070 H020800 N 070 I010800 N 070 I020800 N 070 J010800 Y 070 J020800 N 070 K010800 Y PAGE 55 070 K020800 N 070 L010800 Y 070 L020800 N 070 M010800 Y 070 M020800 N 070 N010800 Y 070 N020800 Y 070 O010800 Y 070 O020800 N 070 P010800 Y 070 P020800 N 070 Q010800 N 070 Q020800 N 070 R010800 Y 070 R020800 N 071 A000800 859820 071 B000800 1026958 071 C000800 3776470 071 D000800 23 072 A000800 12 072 B000800 125838 072 C000800 0 072 D000800 0 072 E000800 0 072 F000800 4092 072 G000800 11015 072 H000800 0 072 I000800 0 072 J000800 0 072 K000800 0 072 L000800 0 072 M000800 0 072 N000800 0 072 O000800 0 072 P000800 0 072 Q000800 0 072 R000800 0 072 S000800 0 072 T000800 3101 072 U000800 0 072 V000800 0 072 W000800 189 072 X000800 18397 072 Y000800 0 072 Z000800 107441 072AA000800 0 072BB000800 16014 072CC010800 0 072CC020800 97374 072DD010800 0 072DD020800 0 PAGE 56 072EE000800 0 073 A010800 0.0000 073 A020800 0.0000 073 B000800 0.0000 073 C000800 0.0000 074 A000800 36 074 B000800 1592 074 C000800 3048 074 D000800 3705582 074 E000800 0 074 F000800 0 074 G000800 0 074 H000800 0 074 I000800 0 074 J000800 0 074 K000800 0 074 L000800 36980 074 M000800 0 074 N000800 3747238 074 O000800 0 074 P000800 1562 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 1914 074 S000800 0 074 T000800 3743762 074 U010800 77482 074 U020800 0 074 V010800 46.44 074 V020800 0.00 074 W000800 0.0000 074 X000800 342001 074 Y000800 0 075 A000800 0 075 B000800 3790234 076 000800 0.00 SIGNATURE SHALINNI THOMPSON TITLE MANAGER EX-99.77B ACCT LTTR 2 control.txt CREF INTERNAL CONTROL LETTER 12-31-06 Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of the College Retirement Equities Fund In planning and performing our audit of the financial statements of the College Retirement Equities Fund (and comprised of the Stock Account, Growth Account, Global Equities Account, Money Market Account, Equity Index Account, Bond Market Account, Social Choice Equity Account and Inflation-Linked Bond Account) (the "Accounts") as of and for the year ended December 31, 2006, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Accounts' internal control over financial reporting, including control activities for safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Accounts' internal control over financial reporting. Accordingly, we express no such opinion. The management of the Accounts is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. An account's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. Such internal controls over financial reporting include policies and procedures that provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of an account's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A control deficiency exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A significant deficiency is a control deficiency, or combination of control deficiencies, that adversely affects the account's ability to initiate, authorize, record, process or report external financial data reliably in accordance with generally accepted accounting principles such that there is more than a remote likelihood that a misstatement of the company's annual or interim financial statements that is more than inconsequential will not be prevented or detected. A material weakness is a control deficiency, or combination of control deficiencies, that results in more than a remote likelihood that a material misstatement of the annual or interim financial statements will not be prevented or detected. Our consideration of the Accounts' internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be significant deficiencies or material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Accounts' internal control over financial reporting and their operations, including controls for safeguarding securities, which we consider to be material weaknesses as defined above as of December 31, 2006. This report is intended solely for the information and use of management and the Board of Trustees of the College Retirement Equities Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. PricewaterhouseCoopers LLP New York, New York March 01, 2007 EX-99.77C VOTES 3 votes.txt CREF SHAREHOLDER VOTES 12-31-06 On July 18, 2006, the College Retirement Equities Fund ("CREF") held an annual shareholder meeting so that CREF shareholders could consider and vote upon certain matters. A summary of these matters and the results of the shareholder meeting are included in CREF's December 31, 2006 annual report, which is included in CREF's most recent N-CSR filing with the Securities and Exchange Commission. EX-99.77Q1 OTHR EXHB 4 bylaws.txt CREF BYLAWS 12-31-06 BYLAWS OF COLLEGE RETIREMENT EQUITIES FUND Adopted May 26, 1952 As Amended August 21, 2006 ARTICLE ONE Board of Trustees Section 1. The board of trustees shall consist of at least five trustees and no more than twelve trustees, and the number of trustees shall be fixed by a vote of the majority of the board of trustees. All trustees shall be elected by policyholders to a term of one year. The term of office of each trustee so elected shall commence at the beginning of the annual meeting of the board of trustees next succeeding such election, and shall continue until the beginning of the next annual meeting of the board of trustees and a successor shall take office. Section 2. Meetings. The board of trustees of the corporation shall hold an annual meeting for the election of officers and the appointment of committees and the transaction of such other business as shall properly come before the meeting, on the third Wednesday in June, if not a legal holiday, or, if a legal holiday, then on the next preceding business day, at such time and place as the notice of the meeting shall specify. If the chief executive officer or the nominating and governance committee shall so determine, the annual meeting of the board of trustees may be held on a different date, as shall be specified in the notice of meeting. Stated meetings of the board may be held on such dates and at such times and places as the board by standing resolution may fix. Special meetings of the board may be called by order of the chairperson or the presiding trustee. Section 3. Notice of Meetings. Notice of the time and place of each annual meeting shall be mailed to each trustee at the address shown by the records of the corporation at least ten days and not more than fifty days prior to the date of the meeting. No notice of stated meetings need be given. Notice of the time, place and purpose of each special meeting shall be given to each trustee in person or sent to each trustee at the address shown by the records of the corporation by mail or telegraph at least one week prior to the date of such meeting. Except as otherwise provided by law or these bylaws, notices of meetings need not set forth the purpose or purposes of the meetings, and any business may be transacted at such meetings. No notice of any meeting of the board of trustees need be given to any trustee who attends such meeting or who waives notice in writing either before or after the meeting. Section 4. Quorum. A majority of the trustees shall constitute a quorum at all meetings of the board. Except as otherwise expressly provided by law, or these bylaws, the act of a majority of the trustees present at a meeting at which a quorum shall be present shall be the act of the trustees. If less than a quorum is present at any meeting, a majority of those present may adjourn the meeting from time to time until a quorum shall attend. Section 5. Telephonic Participation. At all meetings of the board of trustees or any committee thereof, trustees may participate by means of a conference telephone or similar communications equipment allowing all persons participating in the meeting to hear each other at the same time. Participation by such means shall constitute presence in person at a meeting. Section 6. Action Without a Meeting. Occasionally, but not in lieu of a regularly scheduled meeting of the board of trustees or committee thereof, any action required or permitted to be taken by the board, or any committee thereof, may be taken without a meeting if all members of the board or the committee consent in writing, or by electronic transmission, to the adoption of a resolution authorizing the action. The resolution and the writings or electronic transmissions consenting thereto by the members of the board or committee shall be filed with the minutes of the proceedings of the board or committee. ARTICLE TWO Officers and Trustees Section 1. Election. The board of trustees shall annually elect the executive officers of the corporation. Each such executive officer shall hold office until the next annual election or, if earlier, until retirement, death, resignation or removal. The board may appoint other officers and agents, assign titles to them, and determine their duties; such officers and agents shall hold office during the pleasure of the board of trustees. The board may appoint persons to act temporarily in place of any officers of the corporation who may be absent, incapacitated or for any other reason unable to act or may delegate such authority to the chief executive officer. Section 2. Qualifications. The same person may hold more than one office, except that no person shall be both president and secretary. Section 3. Removal of Officers. Any officer elected by the board of trustees may be removed by the affirmative votes of a majority of all the trustees holding office. Any other officer may be removed by the affirmative votes of a majority of all members of the executive committee holding office. Section 4. Removal of Other Employees. All other agents and employees shall hold their positions at the pleasure of the executive committee or of such executive officer as the executive committee may clothe with the powers of engaging and dismissing. Section 5. Chief Executive Officer. The board of trustees shall designate a chief executive officer. Subject to the control of the board of trustees and the provisions of these bylaws, the chief executive officer shall be charged with the management of the affairs of the corporation and shall perform such duties as are not specifically delegated to other officers of the corporation. The chief executive officer shall preside at all meetings of the policyholders and shall report from time to time to the board of trustees on the affairs of the corporation. Section 6. Chairperson. Except as otherwise provided by the board of trustees, the chairperson, when present, shall preside at all meetings of the board of trustees. He/She shall be ex officio chairperson of the executive committee. Section 7. President. If the president is not the chief executive officer, he/she shall assist the chief executive officer in his/her duties and shall perform such functions as are delegated by the chief executive officer. Section 8. Absence or Disability of Chief Executive Officer. In the absence or disability of the chief executive officer, the president, if he/she is not the chief executive officer, or the chairperson, or if neither is available, a vice president so designated by the executive committee or so designated by the chief executive officer shall perform the duties of the chief executive officer, unless the board of trustees otherwise provides and subject to the provisions of the emergency bylaws of the corporation. Section 9. Secretary. The secretary shall give all required notices of meetings of the board of trustees, and shall attend and act as secretary at all meetings of the board, and of the policyholders, and of the executive committee and keep the records thereof. The secretary shall keep the seal of the corporation, and shall perform all duties incident to the office of the secretary and such other duties as from time to time may be assigned by the board of trustees, the executive committee or the president. Section 10. Other Officers. The chief executive officer shall determine the duties of all officers other than the president and the secretary, and may assign titles to and determine the duties of non-officers. Section 11. Presiding Trustee. The board of trustees may elect a presiding trustee, who shall, in the absence of the chairperson, preside over meetings of the board. The presiding trustee also shall perform such functions as are delegated by the board. ARTICLE THREE Committees Section 1. Establishment of Committees of the Board of Trustees. The board of trustees may designate one or more committees, including an executive committee, an investment committee, a nominating and governance committee, an audit and compliance committee, an operations committee, and a corporate governance and social responsibility committee, each such committee to consist of at least three members. Each member of which shall hold such position until the beginning of the next annual meeting of the board and until a successor shall be appointed or until the member shall cease to be a trustee. The board of trustees, by resolution, may delegate to a committee of the board of trustees certain of its powers and authority, unless, any applicable law, or the corporation's constitution or charter prohibits such delegation. However, no such committee shall have the power or authority to (i) approve, adopt or recommend to the policyholders any action or matter that requires the approval of the policyholder under applicable laws; (ii) fill any vacancies in the board of trustees or in any committee; (iii) fix the compensation of the trustees for serving on the board or on any committee; or (iv) adopt, amend or repeal any bylaws of the corporation. The board of trustees shall have the power at anytime to fill vacancies in, to change the membership of, or, to the extent permitted under applicable laws, dissolve any such committee. Section 2. Executive Committee. The executive committee shall consist of at least three trustees, including the chairperson. A majority shall constitute a quorum. The executive committee shall meet in regular meeting as it may from time to time determine, and in special meeting whenever called by the chairperson, and, to the maximum extent permitted by law, shall be vested with all powers of the board of trustees during intervals between meetings of the board in all cases in which specific instructions shall not have been given by the board. The committee shall, in the event of an acute emergency, as defined by Article Seven-A-Insurance, of the New York State Defense Emergency Act (Section 9177, Unconsolidated Laws of New York) and any amendments thereof, be responsible for the emergency management of the corporation as provided in the emergency bylaws of the corporation. Section 3.Proceedings. A committee duly authorized by the board of trustees shall recommend a set of rules and procedures specifying each committee's scope of responsibility to be approved by the board of trustees. Each committee shall keep minutes of its proceedings and shall report such proceedings to the board of trustees within a reasonable time after such committee meetings. Section 4.Quorum and Manner of Acting. At all meetings of any committee, the presence of members constituting a majority of the total membership of such committee shall constitute a quorum for the transaction of business. The act of the majority of the members present at any meeting at which a quorum is present shall be the act of such committee. The members of any such committee shall act only as a committee, and the individual members of such committee shall have no power as such. ARTICLE FOUR Salaries, Compensation, Expenses and Pensions - Trustees, Officers and Employees Section 1. Trustees' Compensation and Expenses. A trustee may be paid an annual stipend and fees and such other compensation or emolument in any amount first authorized by the board in accordance with Section 2 of this Article Four, including, but not limited to, a deferred compensation benefit, for attendance at meetings of the board of trustees and for services that he/she renders on or for committees or subcommittees of the board; and each trustee shall be reimbursed for transportation and other expenses incurred by him/her in serving the corporation. Section 2. Salaries and Pensions. The corporation shall not pay any salary, compensation or emolument in any amount to any officer deemed by a committee or committees of the board to be a principal officer pursuant to subsection (b) of Section 1202 of the Insurance Law of the State of New York, or to any salaried employee of the corporation if the level of compensation to be paid to such employee is equal to, or greater than, the compensation received by any of its principal officers, or to any trustee thereof, unless such payment be first authorized by a vote of the board of trustees. The corporation shall not make any agreement with any of its officers or salaried employees whereby it agrees that for any services rendered or to be rendered he/she shall receive any salary, compensation or emolument that will extend beyond a period of thirty-six months from the date of such agreement except as specifically permitted by the Insurance Law of the State of New York. No principal officer or employee of the class described in the first sentence of this section who is paid a salary for his/her services shall receive any other compensation, bonus or emolument from the corporation either directly or indirectly, except in accordance with a plan recommended by a committee of the board pursuant to subsection (b) of Section 1202 of the Insurance Law of the State of New York and approved by the board of trustees. The corporation shall not grant any pension to any trustee or officer, or to any member of his/her family after his/her death, except that the corporation may pursuant to the terms of a retirement plan and other appropriate staff benefit plans adopted by the board provide for any person who is or has been a salaried officer or employee, a pension payable at the time of retirement by reason of age or disability and also life insurance, health insurance and disability benefits. Section 3. Prohibitions. No trustee, officer or employee of the corporation shall receive, in addition to his/her fixed salary or compensation, any money or valuable thing, either directly, or indirectly, for negotiating, procuring, recommending or aiding in any purchase or sale by the corporation of any property, or any loan from the corporation, nor be pecuniarily interested either as principal, coprincipal, agent or beneficiary, either directly or indirectly, in any such purchase, sale or loan, nor have any personal interest in any property or assets of the corporation. ARTICLE FIVE Indemnification of Members, Trustees, Officers and Employees Section 1. In General: Notice to Superintendent. The corporation shall indemnify, in the manner and to the full extent permitted by law, each person made or threatened to be made a party to any action, suit or proceeding, whether or not by or in the right of the corporation, and whether civil, criminal, administrative, investigative or otherwise, by reason of the fact that he/she or his/her testator or intestate is or was a member, trustee, officer or employee of the corporation or, while a member, trustee, officer or employee of the corporation, served any other corporation or organization of any type or kind, domestic or foreign, in any capacity at the written request of the corporation or in any capacity in limited instances in which the participation is not at the written request of the corporation, but a designated officer or committee of the board, pursuant to written policy of the corporation, decided that the corporation will indemnify the person for his/her service. To the full extent permitted by law such indemnification shall include judgments, fines, amounts paid in settlement, and expenses, including attorneys' fees. The payment of any amounts to any person pursuant to this Article Five shall subrogate the corporation to any right such person may have against any other corporation or organization. No payment of indemnification, advance or allowance under the foregoing provisions shall be made unless a notice shall have been filed with the Superintendent of Insurance of the State of New York not less than thirty days prior to such payment specifying the persons to be paid, the amounts to be paid, the manner in which payment is authorized and the nature and status, at the time of such notice of the litigation or threatened litigation. Section 2. Disabling Conduct. Notwithstanding the provisions of Section 1, the corporation shall not indemnify any person for any liability or expense arising by virtue of such person's willful misfeasance, bad faith, gross negligence, or reckless disregard of duties ("disabling conduct"). Whether any such liability or expense arose out of disabling conduct shall be determined: (a) by a final decision on the merits (including, but not limited to, a dismissal for insufficient evidence of any disabling conduct) by a court or other body before whom the proceeding was brought, that the person to be indemnified was not liable by reason of disabling conduct; or (b) in the absence of such a decision, by a reasonable determination, based upon a review of the facts, that such person was not liable by reason of disabling conduct, (i) by the vote of a majority of a quorum of trustees who are neither interested persons of the corporation nor parties to the action, suit or proceeding in question or another action, suit or proceeding on the same or similar grounds ("disinterested, non-party trustees"), or (ii) by independent legal counsel in a written opinion. The termination of any action, suit or proceeding by judgment, order, settlement, conviction, or upon a plea of nolo contendere or its equivalent shall not, of itself, create a presumption that any liability or expense arose by reason of disabling conduct. Any liabilities or expenses may be paid in advance of the final disposition of the claim, suit or proceeding, as authorized by the board of trustees subject to Section 1 in the specific case, (a) upon receipt of an undertaking by or on behalf of the person to whom the advance is made to repay the advance unless it shall be ultimately determined that such person is entitled to indemnification; and (b) provided that (i) the indemnitee shall provide security for that undertaking, or (ii) the corporation shall be insured against losses arising by reason of any lawful advances, or (iii) a majority of a quorum of disinterested, non-party trustees or an independent legal counsel in a written opinion shall determine, based on a review of readily available facts, that there is reason to believe that the indemnitee ultimately will be found entitled to indemnification. A determination made in accordance with the preceding paragraph shall not prevent the recovery from any person of any amount advanced to such person as indemnification if such person is subsequently determined not to be entitled to indemnification. Nor shall a determination pursuant to this paragraph prevent the payment of indemnification if such person is subsequently found to be entitled to indemnification. The indemnification provided by this Article shall not be deemed exclusive of any rights to which those seeking indemnification may be entitled under any law, agreement or otherwise. No indemnification provided by this Article shall be inconsistent with the Investment Company Act of 1940 or the Securities Act of 1933. Any indemnification provided by this Article shall continue as to a person who has ceased to be a member, trustee, officer or employee of the corporation. ARTICLE SIX Rules for Determining Benefits The board of trustees shall establish and may, from time to time, change the rules for determining the amounts of retirement and other benefits. These rules shall include methods for calculating all factors affecting the valuation of benefits, and these rules and any changes therein shall be subject to the approval of the Superintendent of Insurance of the State of New York as not being unfair, unjust, inequitable, or prejudicial to the interest of any participating person. A copy of these rules and any amendments and additions thereto will be furnished to each participating person. ARTICLE SEVEN Execution of Instruments The board of trustees or the executive committee shall designate who is authorized (a) to execute certificates of stock, proxies, powers of attorney, checks, drafts, certificates of participation and instruments relating thereto, and all other contracts and instruments in writing necessary or appropriate for the corporation in the management of its affairs, and (b) to attach the corporation's seal thereto; and may further authorize the extent to which such execution may be done by facsimile or electronic signature. ARTICLE EIGHT Disbursements No disbursement of $100 or more shall be made unless it is evidenced by a voucher signed by or on behalf of the person, firm or corporation receiving the money and correctly describing the consideration for the payment, and if the disbursement be for services and disbursements, setting forth the services rendered and an itemized statement of the disbursements made, and if it be in connection with any matter pending before any legislative or public body, or before any department or officer of any government, correctly describing in addition the nature of the matter and the interest of the corporation therein, or if such voucher cannot be obtained, by an affidavit of an officer or responsible employee stating the reasons therefor and setting forth the particulars above mentioned. ARTICLE NINE Fiscal Year The fiscal year of the corporation shall commence on the first day of April and shall end on the thirty-first day of March. ARTICLE TEN Corporate Seal The seal of the corporation shall be circular in form and shall contain the words "College Retirement Equities Fund, New York, Corporate Seal, 1952." ARTICLE ELEVEN Amendments to Bylaws These bylaws may be amended either by action of the members of the corporation or the board of trustees, provided that written notice of the proposed action shall be mailed to each trustee or member at least one week and not more than two weeks prior to the date of the meeting at which such action is to be taken. No change in these bylaws shall take effect until the Superintendent of Insurance of the State of New York has certified it as being lawful and equitable. -----END PRIVACY-ENHANCED MESSAGE-----