Comments on Proposed Rule:
Regulation NMS

[Release No. 34-49325; File No. S7-10-04]

See also:

Requests to Testify, Testimony, and Formal Testimony / Opening Statements at the Regulation NMS Public Hearing, April 21, 2004 in New York. These will also be considered comment letters to the Regulation NMS Release.

Staff Studies

• Comments have been received from individuals and entities using a variety of Letter Types:

  • Letter Type A:	12
  • Letter Type B:	39
  • Letter Type C:	179
  • Letter Type D:	29
  • Letter Type E:	2
  • Letter Type F:	6
  • Letter Type G:	452
  • Letter Type H:	70
  • Letter Type I:	204
  • Letter Type J:	548
  • Letter Type K:	28
  • Letter Type L:	109
  • Letter Type N:	13

  
   

• Junius W. Peake, Monfort Distinguished Professor Emeritus of Finance, January 11, 2007 (File name: s71004-804.htm)
   
• Memorandum from the Division of Market Regulation regarding a January 24, 2005 meeting with representatives of the Investment Company Institute, dated April 5, 2005 (File name: s71004-794.pdf)
   
• Memorandum from the Division of Market Regulation regarding a February 2, 2005 meeting with representatives of Bear Steams & Co., dated April 5, 2005 (File name: s71004-795.pdf)
   
• Richard Chapman, American Citizen, Cambridge, Massachusetts, April 5, 2005 (File name: rchapman8975.htm)
   
• Memorandum from the office of Chairman Donaldson regarding meeting with Nasdaq, Mar. 31, 2004 (File name: nasdaq033105.htm)
   
• Memorandum from the office of Chairman Donaldson regarding Peter Grauer of Bloomberg L.P., Mar. 31, 2004 (File name: bloomberg033105.htm)
   
• Memorandum from the Office of the Chairman regarding a meeting with a representative of the Council for Institutional Investors, dated March 24, 2005 (File name: cii032405.pdf)
   
• Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, March 28, 2005 (File name: edroiter032805.pdf)
   
• James A. Duncan, Chairman and John C. Giesea, President and CEO, Security Traders Association, March 23, 2005 (File name: s71004-795.pdf)
   
• Memorandum from the Office of the Chairman regarding a meeting with a representative of Charles Schwab, dated March 16, 2005 (File name: charlesschwab031605.pdf)
   
• Daniel G. Weaver, Ph.D., Associate Professor of Finance, Associate Director, Whitcomb Center for Research in Financial Services, Rutgers School of Business, Rutgers University, March 11, 2005 (File name: dgweaver031105.pdf)
   
• Fred Rittereiser, James Wilent,and David Scheffler, Vianet Direct, Inc., February 18, 2005 (File name: vianet021805.pdf)
   
• Memorandum from Office of the Chairman regarding a meeting with representatives of the Security Traders Association, dated February 16, 2005 (File name: sta021605.pdf)
   
• Memorandum from Office of the Chairman regarding a meeting with representatives of UBS AG on February 16, 2005 and representatives of UBS Securities LLC on February 2, 2005, dated February 16, 2005 (File name: ubs021605.pdf)
   
• Michael Albanese, Systems Administrator, Procurement and Sourcing Management, New York Stock Exchange, February 14, 2005 (File name: s71004-768.pdf)
   
• Edward J. Joyce, President and Chief Operating Office, Chicago Board Options Exchange, Incorporated, February 14, 2005 (File name: s71004-767.pdf)
   
• Memorandum from the Office of the Chairman regarding January 20, 2005 correspondence from Robert Stonehill, dated February 8, 2005 (File name: rstonehill012005.pdf)
   
• John E. Sweeney, Member of Congress, February 7, 2005 (File name: s71004-773.pdf)
   
• Deborah Pryce and Eric Cantor, Members of Congress, February 7, 2005 (File name: s71004-775.pdf)
   
• Memorandum from the Office of the Chairman regarding a meeting with representatives of the California Public Employees' Retirement System, February 7, 2005 (File name: calpers020705.pdf)
   
• Thomas N. McManus, Managing Director and Counsel, Morgan Stanley, February 7, 2005 (File name: s71004-754.pdf)
   
• Timothy H. Bishop, Member of Congress, February 7, 2005 (File name: s71004-782.pdf)
   
• Lawrence Harris, Fred V. Keenan Chair in Finance, USC Marshall School of Business, February 5, 2005 (File name: lharris020505.pdf)
   
• Elizabeth Dole, United States Senate, February 4, 2005 (File name: s71004-774.pdf)
   
• Bruce C. Turner, Managing Director, CIBC World Markets Corp., February 4, 2005 (File name: cibcwm020405.pdf)
   
• Michael J. Lynch, Managing Director, Merrill Lynch, Pierce, Fenner & Smith Incorporated, February 4, 2005 (File name: merrilllpfs020405.pdf)
   
• Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable, February 4, 2005 (File name: fsrt020405.pdf)
   
• David Baker, Global Head of Cash Trading and Global Head of Portfolio Trading, Deutsche Bank Securities Inc., February 3, 2005 (File name: s71004-741.pdf)
   
• Bernard L. Madoff and Peter B. Madoff, Bernard L. Madoff Investment Securities LLC, February 3, 2005 (File name: blmadoffinv020305.pdf)
   
• Memorandum from the Division of Market Regulation regarding a February 2, 2005 meeting with respresentatives of UBS, dated February 2, 2005 (File name: ubs020205.htm)
   
• Memorandum from the Division of Market Regulation regarding a January 26, 2005 visited the office of P. Schoenfeld Asset Management LLC in New York, New York, dated February 2, 2005 (File name: pschoenfeld012605.pdf)
   
• Bridget M. Farrell, Co-Chairman and Michael P. Rountree, Co-Chairman, OTC/UTP Operating Committee of the Nasdaq Unlisted Trading Privileges Plan, February 2, 2005 (File name: otcutpcommittee020205.pdf)
   
• Michael R. McNulty, Member of Congress, February 1, 2005 (File name: s71004-788.pdf)
   
• Charles B. Rangel, Member of Congress, February 1, 2005 (File name: s71004-772.pdf)
   
• Jeffrey T. Brown, Senior Vice President, Office of Legislative and Regulatory Affairs, Charles Schwab & Co., Inc., February 1, 2005 (File name: charlesschwab020105.pdf)
   
• Jamie B. Keefer, King of Prussia, Pennsylvania, February 1, 2005 (File name: jbkeefer3067.htm)
   
• EWT, LLC, January 31, 2005 (File name: s71004-746.pdf)
   
• Memorandum from the Division of Market Regulation regarding a January 31, 2005 meeting with representatives of the Nasdaq Stock Market, dated February 2, 2005 (File name: nasdaq013105.pdf)
   
• Meyer S. Frucher, Chairman and Chief Executive Officer, Philadelphia Stock Exchange, Inc., January 31, 2005 (File name: phlx013105.pdf)
   
• Marc E. Lackritz, President, Securities Industry Association, February 1, 2005 (File name: sia020105.pdf)
   
• Peggy Bowie, Chair and Sandra J. Macdonald, President, Canadian Security Traders Association, Inc., January 30, 2005 (File name: bowie013005.pdf)
   
• Lewis S. Ranieri, Chairman, American Financial Realty Trust, January 28, 2005 (File name: s71004-753.pdf)
   
• William J. Coote, Vice President & Treasurer, Bowne, January 28, 2005 (File name: wjcoote012805.pdf)
   
• Stephen Dillinger, Chicago, Illinois, January 28, 2005 (File name: sdillinger6700.htm)
   
• Paul E. Gillmoor, Member of Congress, January 26, 2005 (File name: s71004-781.pdf)
   
• Memorandum from the Division of Market Regulation regarding a January 25, 2005 meeting with representatives of Citadel, dated January 28, 2005 (File name: citadel012505.pdf)
   
• Paul Bennett, New York, New York, January 28, 2005 (File name: s71004-691.pdf)
   
• James T. Brett, Managing Director, J.P. Morgan Securities Inc., January 28, 2005 (File name: s71004-697.pdf)
   
• Andrew Concilio, received January 28, 2005 (File name: s71004-705.pdf)
   
• Alfred V. Del Vecchio, New York, New York, January 27, 2005 (File name: s71004-761.pdf)
   
• David L. Carey, Cold Spring Harbor, New York, January 27, 2005 (File name: s71004-735.pdf)
   
• Robert E. Andrews, Member of Congress, January 27, 2005 (File name: s71004-726.pdf)
   
• Geraldine Oliva-Becker, Middletown, New Jersey, January 27, 2005 (File name: s71004-706.pdf)
   
• Memorandum from the Division of Market Regulation regarding a January 26, 2005 meeting with representatives of Bloomberg Tradebook, dated January 27, 2005 (File name: bloomberg012605.pdf)
   
• John G. Gaine, President, Managed Funds Association, January 27, 2005 (File name: jggaine012705.pdf)
   
• Stewart P. Greene, Chief Counsel, Securities Law, Teachers Insurance and Annuity Association of America, College Retirement Equities Fund, January 27, 2005 (File name: spgreene012705.pdf)
   
• James Maguire, Managing Director, LaBranche & Co., January 27, 2005 (File name: jmaguire012705.pdf)
   
• Bruce Lisman, Bear, Stearns & Co. Inc., January 27, 2005 (File name: bearstearns012705.pdf)
   
• Henry H. Hopkins, Vice President and Chief Legal Counsel; Andrew M. Brooks, Vice President and Head of Equity Trading, T. Rowe Price Associates, Inc., January 27, 2005 (File name: troweprice012705.pdf)
   
• P. Howard Edelstein, President and CEO, Radianz Americas, Inc., January 27, 2005 (File name: radianz012705.pdf)
   
• Neal L. Wolkoff, Acting Chief Executive Officer, American Stock Exchange LLC, January 27, 2005 (File name: amex012705.pdf)
   
• George U. Sauter, Managing Director, The Vanguard Group, Inc., January 27, 2005 (File name: vanguard012705.pdf)
   
• Bob Ney, Member of Congress, January 26, 2005 (File name: s71004-785.pdf)
   
• Christopher J. Dodd, United States Senator, January 26, 2005 (File name: s71004-770.pdf)
   
• C. Thomas Richardson, Managing Director, Citigroup Global Markets, Inc., January 26, 2005 (File name: ctrichardson012605.pdf)
   
• Daniel M. Clifton, Executive Director, American Shareholders Association, January 26, 2005 (File name: dmclifton012605.pdf)
   
• Minder Cheng, Managing Director, CIO, US Active Equities, Global Head of Equity & Currency Trading, Barclays Global Investors, January 26, 2005 (File name: barclays012605.pdf)
   
• David Colker, Chief Executive Officer and President, National Stock Exchange^SM, January 26, 2005 (File name: nsx012605.pdf)
   
• Edward S. Knight, NASDAQ, January 26, 2005 (File name: nasdaq012605.pdf)
   
• Adam Cooper, Senior Managing Director and General Counsel, Citadel Investment Group, L.L.C., January 26, 2005 (File name: acooper012605.pdf)
   
• Joseph C. Gawronski, COO, Rosenblatt Securities Inc., New York, New York, January 26, 2005 (File name: jcgawronski5740.htm)
   
• Richard A. Rosenblatt, CEO and Joseph C. Gawronski, COO, Rosenblatt Securities Inc., January 26, 2005 (File name: rarosenblatt012605.pdf)
   
• David A. Herron, Chief Executive Officer, The Chicago Stock Exchange, January 26, 2005 (File name: daherron012605.pdf)
   
• Ari Burstein, Associate Counsel, Investment Company Institute, January 26, 2005 (File name: aburstein012605.pdf)
   
• Phylis M. Esposito, Executive Vice President and Chief Strategy Officer, Ameritrade, Inc., January 26, 2005 (File name: pmesposito012605.pdf)
   
• Richard A. Korhammer, Chairman & Chief Executive Officer, Lava Trading Inc., January 26, 2005 (File name: rakorhammer012605.pdf)
   
• W. Leo McBlain, Chairman and Thomas J. Jordan, Executive Director, Financial Information Forum, January 26, 2005 (File name: wlmcblain012605.pdf)
   
• Steve Swanson, CEO & President, Automated Trading Desk, LLC, January 26, 2005 (File name: sswanson012605.pdf)
   
• D. Keith Ross, Jr., CEO, Getco, LLC, January 26, 2005 (File name: dkross012605.pdf)
   
• Alistair Brown, Managing Director, Lime Brokerage LLC, January 26, 2005 (File name: abrown012605.pdf)
   
• The Competitive Enterprise Institute, January 26, 2005 (File name: cei012605.pdf)
   
• Mary Yeager, Assistant Secretary, New York Stock Exchange, Inc., January 26, 2005 (File name: myeager012605.pdf)
   
• Edward J. Nicoll, Chief Executive Officer, Instinet Group Incorporated, January 26, 2005 (File name: ejnicoll012605.pdf)
   
• Alex Goor, President, Inet ATS, Inc., January 26, 2005 (File name: agoor012605.pdf)
   
• J. Greg Mills, Managing Director, Head of Global Equity Trading, RBC Capital Markets Corporation, January 26, 2005 (File name: jgmills012605.pdf)
   
• Kevin J. P. O'Hara, Chief Administrative Officer & General Counsel, Archipelago Holdings, Inc., January 26, 2005 (File name: kjpohara012605.pdf)
   
• Charles M. Jones, Associate Professor, Economics and Finance, Graduate School of Business, Columbia University, January 26, 2005 (File name: cmjones012605.pdf)
   
• Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, January 26, 2005 (File name: edroiter012605.pdf)
   
• Tom Davin, Vice President, Financial Information Services Division, Software & Information Industry Association, January 26, 2005 (File name: tdavin012605.pdf)
   

• David Cummings, Chief Executive Officer, Tradebot Systems, Inc., January 26, 2005 (File name: dcummings012605.htm)
   

• Michael Dilios, trader, January 26, 2005 (File name: mdilios012605.htm)
   
• Seth Merrin, Chief Executive Officer, Liquidnet, Inc., January 26, 2005 (File name: s71004-696.pdf)
   
• Joseph M. Velli, Senior Executive Vice President,Bank of New York, January 26, 2005 (File name: s71004-694.pdf)
   
• George W. Mann, Jr., General Counsel, Boston Stock Exchange, January 26, 2005 (File name: s71004-704.pdf)
   
• Steven Spinola, President, Real Estate Board of New York, January 26, 2005 (File name: s71004-709.pdf)
   
• David Humphreville, President, Specialist Association, January 26, 2005 (File name: s71004-711.pdf)
   
• Luis V. Gutierrez, Members of Congress, January 26, 2005 (File name: s71004-728.pdf)
   
• Gary G. Miller, Members of Congress, January 26, 2005 (File name: s71004-729.pdf)
   
• Steven Wheeler, New York, New York, January 26, 2005 (File name: s71004-734.pdf)
   
• Steve Israel, Member of Congress, January 25, 2005 (File name: s71004-787.pdf)
   
• Scott Garrett, Member of Congress, January 25, 2005 (File name: s71004-771.pdf)
   
• Mike Ferguson, Member of Congress, January 25, 2005 (File name: s71004-776.pdf)
   
• Nick Schultz, Irving, Texas, January 25, 2005 (File name: s71004-760.pdf)
   
• Rodney P. Frelinghuysen, Member of Congress, January 25, 2005 (File name: s71004-758.pdf)
   
• William C. Thompson, Jr., Comptroller Of The City Of New York, January 25, 2005 (File name: s71004-747.pdf)
   
• Donald E.Weeden, Greenwich, Connecticut, January 25, 2005 (File name: s71004-733.pdf)
   
• Nydia M. Velazquez, Member of Congress, January 25, 2005 (File name: s71004-731.pdf)
   
• Paul E. Kanjorski, Member of Congress, Ranking Member, Subcommittee on Capital Markets, Insurance, and Govemment Sponsored Enterprises, January 25, 2005 (File name: s71004-730.pdf)
   
• Peter T. King, et al., Members of Congress, January 25, 2005 (File name: s71004-727.pdf)
   
• Alan G. Hevesi, Comptroller, Office of the State Comptroller, New York, January 25, 2005 (File name: s71004-708.pdf)
   
• Keith A. Gertsen, Partner, Exis Capital, January 25, 2005 (File name: s71004-702.pdf)
   
• Daniel Coleman, Managing Director, Head of Equities for the Americas, UBS Securities LLC, January 25, 2005 (File name: s71004-703.pdf)
   
• Kimberly G. Walker, President, Qwest Asset Management; Chairman, Committee on Investment of Employee Benefit Assets, January 25, 2005 (File name: cieba012505.pdf)
   
• Edward R. Royce and George Radanovich, Members of Congress, January 25, 2005 (File name: s71004-634.pdf)
   
• Daniel P. Kryger, January 25, 2005 (File name: s71004-638.pdf)
   
• Charles Bocklet, Durham, New York, January 25, 2005 (File name: s71004-642.pdf)
   
• James K. Rutledge, Member, New York Stock Exchange, Boston Stock Exchange, and New Board of Trade (E), January 25, 2005 (File name: jkrutledge012505.pdf)
   
• Memorandum from Office of the Chairman regarding a meeting with representatives of Citadel Execution Services, dated January 25, 2005 (File name: citadel012505.pdf)
   
• Thomas M. Joyce, CEO and President, Knight Trading Group, Inc., January 25, 2005 (File name: tmjoyce012505.pdf)
   
• Kim Bang, Bloomberg L.P., January 25, 2005 (File name: kbang012505.pdf)
   
• Yakov Amihud, New York University and Haim Mendelson, Stanford University, January 25, 2005 (File name: amihud012505.pdf)
   
• Mark Anson, Ph.D., CFA, CPA, CAIA, Esq., Chief Investment Officer, California Public Employees’ Retirement System, January 25, 2005 (File name: manson012505.pdf)
   
• James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business Georgetown University, January 25, 2005 (File name: jjangel012505.pdf)
   
• Joe Wilson, Member of Congress, January 24, 2005 (File name: s71004-757.pdf)
   
• Christopher Shays, Rob Simmons, and Nancy Johnson, Members of Congress, January 24, 2005 (File name: s71004-667.pdf)
   
• Eliot L. Engel, Member of Congress, January 24, 2005 (File name: s71004-668.pdf)
   
• William A. Vance, President; Kimberly Unger, Executive Director; and Stephen Kay, Chairman, STANY Trading Issues Committee; Security Traders Association of New York, Inc., January 24, 2005 (File name: s71004-654.pdf)
   
• Thomas Peterffy, Chairman and David M. Battan, Vice President, The Interactive Brokers Group, January 24, 2005 (File name: tpeterffy012405.pdf)
   
• Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado, January 24, 2005 (File name: jwpeake012405.pdf)
   
• James T. O'Hora, New Haven, Connecticut, January 24, 2005 (File name: jtohora012405.pdf)
   
• William Lang, III, private investor, January 24, 2005 (File name: wlang7937.htm)
   
• Barbara Roper, Director of Investor Protection, Consumer Federation of America, January 24, 2005 (File name: s71004-653.pdf)
   
• Eugene A. Noser, Jr., President, Abel/Noser Corporation, January 24, 2005 (File name: s71004-650.pdf)
   
• Thomas E. Veit, January 23, 2005 (File name: s71004-732.pdf)
   
• George A. Corroon, Jr., Garden City, New York, January 22, 2005 (File name: s71004-736.pdf)
   
• Paul W. Lerro, Visalia, California, January 22, 2005 (File name: s71004-652.pdf)
   
• Alfred Fritzsche, IV, investor/trader, Stonington, Connecticut, January 22, 2005 (File name: afritzsche1223.htm)
   
• Katherine H. Hunter, Mt. Vernon, New Jersey, January 21, 2005 (File name: s71004-748.pdf)
   
• Andrew M. Smith, January 21, 2005 (File name: absmith012105.pdf)
   
• A. Joyce Goldzman, New York, New York, January 21, 2005 (File name: s71004-707.pdf)
   
• Michael F. Neidorff, Chairman, President and Chief Executive Officer, Centene Corporation, January 20, 2005 (File name: s71004-745.pdf)
   
• John C. Nicodemus, Walkersville, Maryland, January 20, 2005 (File name: s71004-700.pdf)
   
• Jerrold Nadler, Member of Congress, January 20, 2005 (File name: s71004-632.pdf)
   
• Gary A. Glynn, Chairman, NYSE Pension Managers Advisory Committee, January 20, 2005 (File name: s71004-639.pdf)
   
• Sandra Clayton, January 20, 2005 (File name: sclayton012005.htm)
   
• Brendan R. Dowd and Ronald Zdrojeski, Co-Presidents, on behalf of the Alliance of Floor Brokers, January 20, 2005 (File name: brdowd012005.pdf)
   
• Sandra S. Pfaff, Educator and Interested Citizen, January 19, 2005 (File name: s71004-738.pdf)
   
• Richard J. Harshman, Allegheny Technologies, January 19, 2005 (File name: s71004-631.pdf)
   
• James A. Duncan, Chairman and John C. Giesea, President and CEO, Security Traders Association, January 19, 2005 (File name: s71004-621.pdf)
   
• William T. Baker, Jr., New York, New York, January 19, 2005 (File name: wtbaker8065.htm)
   
• Michael Watson, New York, New York, January 18, 2005 (File name: s71004-698.pdf)
   
• Maurice Meyer III, Member, NYSE, Jupiter, Florida, January 18, 2005 (File name: s71004-699.pdf)
   
• Steven A. Moralez, Gilt-Edged Equities, LLC, January 18, 2005 (File name: s71004-672.pdf)
   
• Michael J. Amuso, Mark J. Muller Equities, Member, New York Stock Exchange, January 18, 2005 (File name: s71004-630.pdf)
   
• Michael J. Rutigliano, Member, New York Stock Exchange, January 18, 2005 (File name: s71004-610.pdf)
   
• William C. Rudin, Chairman and Michelle A. Adams, Executive Director, Association for a Better New York, January 18, 2005 (File name: s71004-607.pdf)
   
• John Rankin, January 18, 2005 (File name: jrankin8503.htm)
   
• Michael Witucki, Milford, New Jersey, January 18, 2005 (File name: mwitucki2022.htm)
   
• David A. Rosow, Member, New York Stock Exchange, January 17, 2005 (File name: s71004-641.pdf)
   
• John Vullo, January 17, 2005 (File name: jvullo011705.htm)
   
• Aleksey and Yelena Kalyan, Livingston, New Jersey, January 17, 2005 (File name: s71004-624.pdf)
   
• Donald Stone, Scarsdale, New York, January 16, 2005 (File name: s71004-606.pdf)
   
• James W. Tamuccio, Sr., Member/ Lessor, New York Stock Exchange, January 16, 2005 (File name: s71004-627.pdf)
   
• James L. Rothenberg, Esq., New York, New York, January 16, 2005 (File name: jlrothenberg9654.htm)
   
• James W. Tamuccio, Sr., Member/ Lessor, New York Stock Exchange, January 16, 2005 (File name: s71004-629.pdf)
   
• Anthony D.Weiner, Member of Congress, January 14, 2005 (File name: s71004-786.pdf)
   
• Kenneth S. Janke, Chairman, National Association of Investors Corporation, January 14, 2005 (File name: naic011405.pdf)
   
• Roy Blunt, Member of Congress, Majority Whip, January 14, 2005 (File name: s71004-669.pdf)
   
• Donald E. Weeden, Greenwich, Connecticut, January 14, 2005 (File name: s71004-637.pdf)
   
• Andrew G. Galef, Chairman of the Board, Magnetek, Inc., January 14, 2005 (File name: s71004-640.pdf)
   
• Jayda Dagdelen, Senior Task Force Commissioner and Mara Tchalakov, Senior Task Force Commissioner, Princeton University, January 14, 2005 (File name: s71004-587.pdf)
   
• Anthony L. Loviscek, Chair, Department of Finance and Legal Studies, Stillman School of Business, Seton Hall University, January 14, 2005 (File name: s71004-626.pdf)
   
• William I. Daniel III, January 14, 2005 (File name: s71004-625.pdf)
   
• Robert Brooks, Member, New York Stock Exchange, January 14, 2005 (File name: rbrooks011405.htm)
   
• Wayne H. Deitrich, Schweitzer-Mauduit International, January 14, 2005 (File name: whdietrich011405.pdf)
   
• Kenneth S. Janke, Chairman, National Association of Investors Corporation, January 14, 2005 (File name: s71004-622.pdf)
   
• John Malureanu, January 14, 2005 (File name: jmalureanu4262.htm)
   
• Robert Brooks, Member, New York Stock Exchange, Port Washington, New York, January 14, 2005 (File name: rbrooks1979.htm)
   
• Larry A. Mizel, Chairman & CEO, M.D.C. Inc., January 14, 2005 (File name: s71004-620.pdf)
   
• John S. French, President, JSF Securities Corp., Members, NYSE, January 14, 2005 (File name: s71004-737.pdf)
   
• Charles Brocklet, Durham, New York, January 13, 2005 (File name: s71004-784.pdf)
   
• Murray Stroupe, President, Private Company, Toone, Tennessee, January 13, 2005 (File name: mstroupe2605.htm)
   
• Memorandum from the Office of Commissioner Atkins regarding a January 5, 2005 meeting with representatives of Citadel, dated January 13, 2005 (File name: atkins8642.pdf)
   
• Memorandum from the Office of Commissioner Atkins regarding a January 4, 2005 meeting with representatives of the New York Stock Exchange, dated January 13, 2005 (File name: atkins4212.pdf)
   
• Melvin F. Lee, Hoboken, New Jersey, January 12, 2005 (File name: s71004-701.pdf)
   
• Kenneth J. Polcari, President; Karen Nelson Hackett, Vice President; Brian D. McCarthy, Treasurer; Peter P. Costa, Secretary, Organization of Independent Floor Brokers, January 12, 2005 (File name: oifb011205.pdf)
   
• Larry Guli, January 12, 2005 (File name: lguli011205.htm)
   
• Mary Yeager, Assistant Secretary, New York Stock Exchange, Inc., January 12, 2005 (File name: myeager011205.pdf)
   
• Walter E. Lamb and Agnes Lamb, Oceanside, New York, January 12, 2005 (File name: s71004-613.pdf)
   
• Paul R. Saueracker, Chairman, President & Chief Executive Officer, Minerals Technologies, Inc., January 12, 2005 (File name: s71004-615.pdf)
   
• Thomas T. McCain, January 12, 2005 (File name: ttmccain011205.htm)
   
• Christopher R. Petruzzi, Ph.D., CEO, Petruzzi Securities, LLC and Professor, California State UNiversity, Fullerton, San Clemente, California, January 12, 2005 (File name: crpetruzzi4818.htm)
   
• F. Hill Creekmore, Fair Haven, New Jersey, January 11, 2005 (File name: s71004-616.pdf)
   
• Kathryn S. Wylde, Pesident and CEO, Partnership for New York City, January 11, 2005 (File name: s71004-611.pdf)
   
• Joseph J. Corso, January 10, 2005 (File name: s71004-644.pdf)
   
• Nita M. Lowey, Member of Congress, January 5, 2005 (File name: s71004-633.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a September 24, 2004 meeting with representatives of Goldman, Sachs & Co., dated January 11, 2005 (File name: goldman022404.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a December 8, 2004 meeting with representatives of Security Traders Association, dated January 11, 2005 (File name: securitytrad120804.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a November 30, 2004 meeting with representatives of Archipelago, dated January 11, 2005 (File name: archipelago113004.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a November 23, 2004 meeting with representatives of Knight Trading Group, dated January 11, 2005 (File name: knight112304.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a November 18, 2004 meeting with representatives of New York Stock Exchange Inc., dated January 11, 2005 (File name: nyse111804.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding an October 14, 2004 meeting with representatives of Citigroup, dated January 11, 2005 (File name: citigroup101404.pdf)
   
• Jerome M. Langton, January 10, 2005 (File name: s71004-618.pdf)
   
• Lou Anne J. Nabhan, Vice President, Media General, Inc., January 10, 2005 (File name: s71004-603.pdf)
   
• John B. Lynch, retired, Vero Beach, Florida, January 10, 2005 (File name: jblynch5380.htm)
   
• Craig G. Rennie, Ph.D., Assistant Professor of Finance, Sam M. Walton College of Business, University of Arkansas, Fayetteville, Arkansas, January 10, 2005 (File name: cgrennie4153.htm)
   
• James K. Rutledge, Member, New York Stock Exchange, Boston Stock Exchange, New York Board of Trade (E), January 9, 2005 (File name: s71004-617.pdf)
   
• Robert A. Dean, Jr., Member NYSE, Locust Valley, New York, January 8, 2005 (File name: radean4610.htm)
   
• John S. French, President, JSF Securities Corp., January 8, 2005 (File name: jsfrench010705.htm)
   
• Stephen McSherry, Red Bank, New Jersey, January 7, 2005 (File name: s71004-605.pdf)
   
• Memorandum from the Office of Commissioner Glassman regarding a December 10, 2004 meeting with representatives of UBS Securities LLC, dated January 7, 2005 (File name: ubssecurities010705.htm)
   
• Memorandum from the Office of Commissioner Glassman regarding a January 5, 2005 meeting with representatives of New York Stock Exchange, Inc., dated January 7, 2005 (File name: nyse010505.htm)
   
• Memorandum from the Office of Commissioner Glassman regarding a January 6, 2005 meeting and telephone conversations with representatives of Citadel and Patton Boggs LLP, dated January 7, 2005 (File name: citadel010605.htm)
   
• Memorandum from the Office of Commissioner Glassman regarding a January 6, 2006 meeting with representatives of Bloomberg Tradebook LLC, and Willkie Farr & Gallagher, dated January 7, 2005 (File name: bloomberg010605.htm)
   
• Eric Strom, January 7, 2005 (File name: estrom010705.htm)
   
• Frank Christensen, Member, New York Stock Exchange, January 7, 2005 (File name: fchristensen010705.htm)
   
• Walter S. Robertson, III, President & Chief Executive Officer, S. Buford Scott, Chairman of the Board, and John Sherman, Jr., Scott & Stringfellow January 6, 2005 (File name: s71004-619.pdf)
   
• John L. Adams, Vice President, Trinity Industries, Inc., January 6, 2005 (File name: s71004-595.pdf)
   
• Daniel P. Kryger, January 6, 2005 (File name: dpkryger010605_2.htm)
   
• Daniel P. Kryger, January 6, 2005 (File name: dpkryger010605.htm)
   
• Jack Weiselberg, Chairman and Chief Executive Officer, JNK Securities Corp., January 6, 2005 (File name: s71004-565.pdf)
   
• Dr. J. P. London, Chairman of the Board, President and Chief Executive Officer, CACI, January 6, 2005 (File name: s71004-561.pdf)
   
• Bernard Klein, Boca Raton, Florida, January 5, 2005 (File name: s71004-710.pdf)
   
• Maurice D. Hinchey, Member of Congress, January 5, 2005 (File name: s71004-670.pdf)
   
• Ralph S. Saul, Philadelphia, Pennsylvania, January 5, 2005 (File name: s71004-549.pdf)
   
• Brendan R. Dowd, CEO, Dowd, Inc., January 4, 2005 (File name: s71004-588.pdf)
   
• Michael J. Leeming, January 4, 2005 (File name: s71004-537.pdf)
   
• Marc L. Lipson, Associate Professor of Finance, Terry College of Business, The University of Georgia, January 4, 2005 (File name: mllipson010405.pdf)
   
• Memorandum from the Office of Commissioner Campos regarding a January 3, 2005 converstation with Congressman Joe Crowley, dated January 4, 2005 (File name: jcrowley010405.htm)
   
• Gary L. Ackerman, Member of Congress, January 3, 2005 (File name: s71004-635.pdf)
   
• Francesca Denman, Bonita Springs, Florida, December 31, 2004 (File name: s71004-604.pdf)
   
• Victor L. Genez, Consulting actuary enrolled with the U.S. Departments of Treasury and Labor, Charleston, South Carolina, December 31, 2004 (File name: vlgenez3592.htm)
   
• David V. Shields, Managing Director, Shields & Company, Member NYSE/NASD, December 30, 2004 (File name: s71004-566.pdf)
   
• W. Hardy Callcott, December 30, 2004 (File name: whcallcott123004.pdf)
   
• Theresa Gualtieri, Member, NYSE, Syosset, New York, December 29, 2004 (File name: s71004-572.pdf)
   
• Michael A. Gualtieri, Syosset, New York, December 29, 2004 (File name: s71004-568.pdf)
   
• Joseph A. Palmitch, Member, NYSE, Palm Beach Gardens, Florida, December 29, 2004 (File name: s71004-538.pdf)
   
• John Junius Grandefeld, Member, New York Stock Exchange, Eastchester, New York, December 28, 2004 (File name: s71004-636.pdf)
   
• Douglas T. White, Hamden, Connecticut, December 28, 2004 (File name: s71004-569.pdf)
   
• Kenneth Ellis, Member, New York Stock Exchange, New York, New York, December 27, 2004 (File name: s71004-567.pdf)
   
• Daniel P. Kryger, December 27, 2004 (File name: dpkryger122704.htm)
   
• Peter J. Frank, Great Neck, New York, December 24, 2004 (File name: s71004-591.pdf)
   
• Gene L. Finn, Ph.D., Finn Associates, Baltimore, Maryland, December 23, 2004 (File name: glfinn9047.htm)
   
• John M. Schaible, President, NexTrade Holdings, Inc., December 22, 2004 (File name: nextrade122204.pdf)
   
• J. Robinson, Bolivar, Pennsylvania, December 22, 2004 (File name: jrobinson1312.htm)
   
• William R. Power, Member and Director, Chicago Board Options Exchange, Chicago, Illinois, December 21, 2004 (File name: wrpower9040.htm)
   
• Gene L. Finn, Ph.D., Consultant, Finn Associates, Baltimore, Maryland, December 21, 2004 (File name: glfinn9888.htm)
   
• Thomas S. Caldwell, Chairman, NYSE Member/Lessor, Caldwell Asset Management, Inc., December 20, 2004 (File name: s71004-534.pdf)
   
• Dustin J. Nesmith, Department of Finance & Economics, Southern Connecticut State University, December 17, 2004 (File name: s71004-529.pdf)
   
• Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, December 17, 2004 (File name: jwpeake121704.pdf)
   
• Bob Carl, equity trader, December 17, 2004 (File name: bcarl5030.htm)
   
• Barry Kaiman, Shaker Heights, Ohio, December 17, 2004 (File name: bkaiman4751.htm)
   
• Bart J. Ward, Chief Executive Officer, Ward & Company, December 16, 2004 (File name: s71004-533.pdf)
   
• Michael Dilios, trader, December 16, 2004 (File name: mdilios121604.htm)
   
• Alan Richter, Miami, Florida, December 16, 2004 (File name: arichter5812.htm)
   
• Uwe Delgado, student, Southern Connecticut State University, December 15, 2004 (File name: udelgado121504.pdf)
   
• Frank Christensen, December 10, 2004 (File name: fchristensen121004.htm)
   
• George E. Pataki, Governor, State of New York, December 9, 2004 (File name: s71004-614.pdf)
   
• Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, December 8, 2004 (File name: edroiter120804.pdf)
   
• Elliott J. Zakem, undergraduate student, University of Notre Dame, Notre Dame, Indiana, December 8, 2004 (File name: ejzakem4166.htm)
   
• Shirley McClain, December 5, 2004 (File name: smcclain120504.pdf)
   
• Memorandum from the Division of Market Regulation regarding a meeting on November 23, 2004 with representatives of the Knight Trading Group, dated December 3, 2004 (File name: ktgmemo120304.pdf)
   
• Memorandum from the Division of Market Regulation regarding a meeting on October 27, 2004 with representatives of the National Stock Exchange, Dutko Group, and Reid & Priest LLP, dated December 2, 2004 (File name: nsememo120204.pdf)
   
• Memorandum from the Division of Market Regulation regarding a meeting on October 14, 2004 with representatives of Archipelago and Thelen Reid & Priest LLP, dated December 2, 2004 (File name: archmemo120204.pdf)
   
• Dr. Bidisha Chakrabarty, Assistant Professor, Department of Finance, John Cook School of Business, Saint Louis University, December 1, 2004 (File name: bchakrabarty120104.htm)
   
• Erol Denizkurt, Naples, Florida, December 1, 2004 (File name: edenizkurt120104.htm)
   
• Michael Dilios, trader, November 30, 2004 (File name: mdilios113004.pdf)
   
• Bruce Lisman; Bear, Stearns & Co. Inc.; November 26, 2004 (File name: bearstearns112604.pdf)
   
• Philip Angelides, Treasurer, State of California, November 23, 2004 (File name: s71004-513.pdf)
   
• Michael Dilios, trader, November 23, 2004 (File name: mdilios112304.pdf)
   
• Memorandum from the Office of Commissioner Atkins regarding a meeting with representatives of the New York Stock Exchange, dated November 18, 2004 (File name: nysememo111804.pdf)
   
• Memorandum from Office of the Chairman regarding a meeting with representatives of the New York Stock Exchange, dated November 18, 2004 (File name: nyse111804.htm)
   
• Memorandum from Office of the Chairman regarding a meeting with representatives of Instinet Group Incorporated, dated November 18, 2004 (File name: instinet111804.htm)
   
• Memorandum from the Office of Commissioner Atkins regarding a meeting with representatives of the Nasdaq Stock Market, UBS Securities, and Citigroup, dated November 17, 2004 (File name: nasdaqmemo111704.pdf)
   
• Memorandum from Office of the Chairman regarding a meeting with representatives of Goldman, Sachs & Co., dated November 15, 2004 (File name: goldman111504.htm)
   
• Denise L. Nappier, State Treasurer, State of Connecticut, November 8, 2004 (File name: s71004-507.pdf)
   
• Phylis M. Esposito, Executive Vice President, Chief Strategy Officer, Ameritrade, October 29, 2004 (File name: s71004-515.pdf)
   
• William C. Thompson. Jr., Comptroller of the City of New York, October 27, 2004 (File name: s71004-612.pdf)
   
• Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, October 25, 2004 (File name: fidelity102504.pdf)
   
• Alan G. Hevesi, October 18, 2004 (File name: aghevesi101804.pdf)
   
• John S. Markle, Associate General Counsel, Ameritrade Holding Corporation, October 13, 2004 (File name: ameritrade101304.pdf)
   
• Peter K. Hansen, Chief Executive Officer, NYFIX, Inc., October 1,2004 (File name: s71004-499.pdf)
   
• Edward S. Knight, Nasdaq Stock Market, Inc., September 29, 2004 (File name: nasdaqsm092904.pdf)
   
• Donald E. Weeden, Greenwich, Connecticut, September 28, 2004 (File name: s71004-590.pdf)
   
• Bruce Lisman, Bear, Stearns & Co., Inc., September 28, 2004 (File name: blisman092804.pdf)
   
• Michael M. Honda, et al., Members of Congress, September 24, 2004 (File name: s71004-628.pdf)
   
• Kevin J. P. O'Hara, Chief Administrative Officer & General Counsel, Archipelago Holdings, Inc., September 24, 2004 (File name: archipelago092404.pdf)
   
• James W. Vitalone, CFA, Chair, U.S. Advocacy Committee; and Linda L. Rittenhouse, CFA Institute - Advocacy, U.S. Advocacy Committee of CFA Institute, September 22, 2004 (File name: usacci092204.pdf)
   
• Donald E. Weeden, Greenwich, Connecticut, September 17, 2004 (File name: s71004-589.pdf)
   
• Hillary Rodham Clinton, U.S. Senate, September 17, 2004 (File name: s71004-503.pdf)
   
• Memorandum from the Division of Market Regulation regarding an September 10, 2004 meeting with Representatives of Goldman, Sachs & Co.,September 16, 2004 (File name: s71004-493.pdf)
   
• Memorandum from the Division of Market Regulation regarding an September 9, 2004 meeting with Representatives of Ameritrade Holding Corporation, September 16, 2004 (File name: s71004-492.pdf)
   
• Shelley Moore Capito, M.C., U.S. House of Representatives, September 7, 2004 (File name: s71004-498.pdf)
   
• Memorandum from the Division of Market Regulation regarding an August 24, 2004 meeting with Citigroup Global Markets, Inc. Regarding Enhancement to NYSE Direct+ and Regulation NMS, September 9, 2004 (File name: s71004-491.pdf)
   
• Linda Lerner, General Counsel, Domestic Securities, Inc., September 9, 2004 (File name: domesticsec090904.pdf)
   
• Memorandum from the Division of Market Regulation regarding an August 16, 2004 meeting with representatives of Hudson River Trading LLC., dated August 24, 2004 (File name: s71004-486.pdf)
   
• Memorandum from the Office of Commissioner Atkins regarding an August 16, 2004 meeting with representatives of Hudson River Trading, dated August 20, 2004 (File name: s71004-484.pdf)
   
• Thomas N. McManus, Managing Director and Counsel, Morgan Stanley, August 19, 2004 (File name: s71004-485.pdf)
   
• John W. Hawie, Chief Investment Officer, The Commerce Group, Inc., August 17,2004 (File name: s71004-489.pdf)
   
• Suhas Daftuar, Managing Director, Hudson River Trading LLC, August 13, 2004 (File name: hudsonriver081304.pdf)
   
• Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, August 10, 2004 (File name: fidelity081004.pdf)
   
• Edith H. Hallahan, First Vice President, Deputy General Counsel, Philadelphia Stock Exchange, August 10, 2004 (File name: s71004-481.pdf)
   
• Pat Toomey, John Shadegg, Walter B. Jones, Joe Wilson, Wally Herger, John T. Doolittle, Sam Johnson, Pete Hoekstra, John Culberson, Maryiln Musgrave, Jeb Hensarling, Jeff Miller, U.S. House of Representatives, August 3, 2004 (File name: s71004-476.pdf)
   
• Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado, August 3, 2004 (File name: jwpeake080304.pdf)
   
• Memorandum from the Office of the Chairman regarding a meeting with representatives of the Nasdaq Stock Market, July 30, 2004 (File name: nasdaq073004.pdf) and attachment
   
• Marlisa Vinciguerra, Managing Director and Counsel, Lehman Brothers Inc., July 30, 2004 (File name: lehmanbrother073004.pdf)
   
• John M. Schaible, President, NexTrade Holdings, Inc., July 29, 2004 (File name: s71004-480.pdf)
   
• Dennis Cardoza, U.S. House of Representatives, July 30, 2004 (File name: s71004-487.pdf)
   
• William O'Brien, Chief Operating Officer, Brut, LLC, July 29, 2004 (File name: brut072904.pdf)
   
• Richard H. Baker, Chairman, Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, U.S. House of Representatives, July 23, 2004 (File name: s71004-497.pdf)
   
• Robert R. Palmer, Retirement Administrator, San Joaquin County Employees' Retirement Association, July 23, 2004 (File name: s71004-471.pdf)
   
• Written testimony of Scott DeSano, Head of the Equity Trading Desk for the Fidelity Funds, submitted by Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, July 22, 2004 (File name: sdesano072204.pdf)
   
• Memorandum from the Office of the Chairman regarding a meeting with representatives of the Securities Industry Association, July 21, 2004 (File name: sia071004.pdf)
   
• C. Thomas Richardson, Citigroup Global Markets, Inc., July 20, 2004 (File name: citigroupglobal072004.pdf)
   
• Gary Cohn, Managing Director, Goldman, Sachs & Co., July 19, 2004 (File name: s71004-446.pdf)
   
• Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado, July 19, 2004 (File name: jpeake071904.pdf)
   
• Julia Carson, U.S. House of Representatives, July 16, 2004 (File name: s71004-473.pdf)
   
• Bill Merritt, Mooresville, North Carolina, July 16, 2004 (File name: bmerritt9947.htm)
   
• Michael N. Castle, U.S. House of Representatives, July 14, 2004 (File name: s71004-472.pdf)
   
• George U. Sauter, Managing Director, The Vanguard Group, Inc., July 14, 2004 (File name: sauter071404.pdf)
   
• Bruce K. Duncan, Salt Lake City, Utah, July 14, 2004 (File name: duncan071404.txt)
   
• Dianne Feinstein, U.S. Senate, July 14, 2004 (File name: s71004-474.pdf)
   
• Jack Quinn, U.S. House of Representatives, July 9, 2004 (File name: s71004-442.pdf)
   
• Kenneth Griffin, President and CEO, Citadel Investment Group, L.L.C., July 9, 2004 (File name: s71004-436.pdf)
   
• W. Leo McBlain, Chairman, and Thomas J. Jordan, Executive Director, Financial Information Forum, July 9, 2004 (File name: fif070904.pdf)
   
• James T. Brett, on behalf of J.P. Morgan Securities, Inc., July 8, 2004 (File name: brett070804.pdf)
   
• Dallas Lundy, Partner, Director of Equity, and Joseph Roman, Vice President, Trader, Atlanta Capital Management Co., L.L.C., July 7, 2004 (File name: atlantacapital070704.pdf)
   
• John H. Bluher, Executive Vice President, General Counsel, Knight Trading Group, Inc., July 2, 2004 (File name: s71004-364.pdf)
   
• Seth Merrin, Chief Executive Officer, Liquidnet, Inc., July 2, 2004 (File name: s71004-363.pdf)
   
• Edward S. Knight, The Nasdaq Stock Market, Inc., July 2, 2004 (File name: knight070504.pdf)
   
• Andrew M. Smith, President, Getty Realty Corp., July 2, 2004 (File name: asmith070204.htm)
   
• Darla C. Stuckey, Corporate Secretary, New York Stock Exchange, Inc., July 2, 2004 (File name: nyse070204.pdf)
   
• Scott Garrett, U.S. House of Representatives, July 1, 2004 (File name: s71004-475.pdf)
   
• William J. Brodsky, Chairman and Chief Executive Officer, The Chicago Board Options Exchange, Inc., July 1, 2004 (File name: s71004-328.pdf)
   
• Charles A. Blixt, Executive Vice President and General Counsel, RJ Reynolds Tobacco Holdings, Inc., July 1, 2004 (File name: blixt070104.pdf)
   
• Memorandum from the Division of Market Regulation regarding an April 12, 2004 meeting with Representatives of Morgan Stanley & Co. Incorporated, dated June 30, 2004 (File name: morganstan041204.pdf)
   
• Memorandum from the Division of Market Regulation regarding a March 12, 2004 meeting with representatives of NYSE Specialists, dated June 30, 2004 (File name: nyse031204.pdf)
   
• Memorandum from the Division of Market Regulation regarding an April 5, 2004 meeting with representatives of Inet ATS, dated June 30, 2004 (File name: inetats040504.pdf)
   
• Phil Lynch, Chief Executive Officer, Reuters America LLC, June 30, 2004 (File name: s71004-435.pdf)
   
• Marc Lackritz, President, Securities Industry Association, June 30, 2004 (File name: s71004-362.pdf)
   
• Mary McDermott-Holland, Chairman, John C. Giesea, President/CEO, The Security Traders Association, June 30, 2004 (File name: s71004-326.pdf)
   
• Huw Jenkins on behalf of UBS Securities LLC, Managing Director, Head of Equities for the Americas, June 30, 2004 (File name: s71004-327.pdf)
   
• Joseph M. Velli, The Bank of New York, June 30, 2004 (File name: s71004-319.pdf)
   
• Ari Burstein, Associate Counsel, Investment Company Institute, June 30, 2004 (File name: s71004-312.pdf)
   
• David Humphreville, President, The Specialist Association, June 30, 2004 (File name: s71004-310.pdf)
   
• David Colker, Chief Executive Officer and President, National Stock Exchange, June 29, 2004 (File name: s71004-311.pdf)
   
• Kenneth R. Leibler, Chairman, Boston Stock Exchange, June 30, 2004 (File name: krleibler06304.pdf)
   
• Carrie E. Dwyer, General Counsel and Executive Vice President, Charles Schwab & Co., Inc., June 30, 2004 (File name: dwyer63004.pdf)
   
• John Martello, Managing Director, Tower Research Capital, LLC, June 30, 2004 (File name: martello63004.pdf)
   
• Donald E. Weeden, June 30, 2004 (File name: dweedon063004.pdf)
   
• James K. Rutledge, New York, New York, June 30, 2004 (File name: jrutledge063004.pdf)
   
• James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, June 30, 2004 (File name: jangel063004.pdf)
   
• James L. Rothenberg, June 30, 2004 (File name: jrothenberg063004.htm)
   
• Edward J. Nicoll, Instinet Group Incorporated , June 30, 2004 (File name: igi063004.pdf)
   
• Marc Lackritz, President, Securities Industry Association, June 30, 2004 (File name: marc063004.pdf)
   
• Steve Swanson, CEO and President, Automated Trading Desk, LLC, June 30, 2004 (File name: atd063004.pdf)
   
• Ellen L. S. Koplow, Esq., Executive Vice President and General Counsel, Ameritrade, Inc., June 30, 2004 (File name: amer063004.pdf)
   
• Salvatore F. Sodano, Chairman and Chief Executive Officer, American Stock Exchange LLC, June 30, 2004 (File name: ase063004.pdf)
   
• Lou Klobuchar Jr., President and Chief Brokerage Officer, E*TRADE Financial Corporation, June 30, 2004 (File name: etrade063004.pdf)
   
• Theodore Karn, President, Market Systems Inc., June 30, 2004 (File name: karn063004.pdf)
   
• David A. Herron, Chief Executive Officer, Chicago Stock Exchange, June 30, 2004 (File name: cse063004.pdf)
   
• John J. Wheeler, VP, Director of U.S. Equity Trading, American Century Investment Management Inc., June 30, 2004 (File name: jjw063004.pdf)
   
• Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable, June 30, 2004 (File name: whiting063004.pdf)
   
• Dennis C. Hensley, Sidley Austin Brown & Wood, LLP, June 30, 2004 (File name: hensley063004.pdf)
   
• Kim Bang, President and Chief Executive Officer, Bloomberg Tradebook, LLC, June 30, 2004 (File name: bang063004.pdf)
   
• Lisa M. Utasi, President; Kimberly Unger, Esq., Executive Director; Stephen Kay, Board Liaison and Chairman, Trading Issues Sub-Committee; and Stephen J. Nelson, Esq., Chairman, Trading Issues Committee; Security Traders Association of New York, Inc., June 30, 2004 (File name: stany063004.pdf)
   
• Memorandum from the Division of Market Regulation regarding a May 18, 2004 meeting with representatives of Bloomberg Tradebook, dated June 30, 2004 (File name: bloomberg051804.pdf)
   
• Ari Burstein, Associate Counsel, Investment Company Institute, June 30, 2004 (File name: ici063004.pdf)
   
• Richard A. Korhammer, Chairman and Chief Executive Officer, Lava Trading Inc., June 30, 2004 (File name: lavatrading063004.pdf)
   
• Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado, June 30, 2004 (File name: jwpeake063004.pdf)
   
• Michael J. Simon, Senior Vice President and Secretary, International Securities Exchange, Inc., June 30, 2004 (File name: ise063004.pdf)
   
• Donald E. Weeden, Greenwich, Connecticut, June 30, 2004 (File name: s71004-346.pdf)
   
• Daniel G. Weaver, Ph.D., Associate Professor of Finance Department of Finance Rutgers University, Faculty of Management, Piscataway, New Jersey, June 30, 2004 (File name: dgweaver2713.htm)
   
• Dennis C. Hensley, Sidley, Austin, Brown & Wood LLP, June 30, 2004 (File name: s71004-345.pdf)
   
• Memorandum from the Division of Market Regulation regarding an April 27, 2004 meeting with representatives of Goldman, Sachs & Co., dated June 30, 2004 (File name: goldmansachs042704.pdf)
   
• Patrick Carroll, Lexington Corporate Properties Trust, June 29, 2004 (File name: s71004-468.pdf)
   
• Pete Sessions, U.S. House of Representatives, June 29, 2004 (File name: s71004-443.pdf)
   
• James Rutledge, New York, New York, June 29, 2004 (File name: s71004-347.pdf)
   
• Stuart L. Faust, Senior Vice President and Deputy General Counsel, Law Department, AXA Advisors LLC, June 29, 2004 (File name: s71004-365.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a June 23, 2004 meeting with representatives of the New York Stock Exchange, Inc., dated June 29, 2004 (File name: nyse062304.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding an April 29, 2004 meeting with representatives of the Chicago Stock Exchange, Inc., and their counsel, Schiff Hardin LLP, dated June 29, 2004 (File name: chxschiff042904.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a June 16, 2004 meeting with representatives of the Specialist Association of the New York Stock Exchange, Bear Wagner Specialists, and Spear, Leeds & Kellogg Specialists , dated June 29, 2004 (File name: nyse-bws-slk061604.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a June 9, 2004 meeting with representatives of the Nasdaq Stock Market, Inc., Ameritrade, and Winston & Strawn LLP, dated June 29, 2004 (File name: nasdameriwinst060904.pdf)
   
• Howard L. Schrott, Chief Financial Officer, The Liberty Corporation, June 29, 2004 (File name: libertycorp062904.pdf)
   
• Mark M. Murphy, Senior Vice President, Corporate Services, Cornerstone Realty Income Trust, Inc., June 29, 2004 (File name: cornerstone062904.txt)
   
• Coleman Stipanovich, Executive Director, State Board of Administration of Florida, June 29, 2004 (File name: sbaflorida062904.pdf)
   
• Glen A. Kundert, Director, Investor Relations, Southern Company, June 29, 2004 (File name: southern062904.pdf)
   
• John Barous, Tenafly New Jersey, June 29, 2004 (File name: jbarous062904.txt)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a May 6, 2004 meeting with representatives of the New York Stock Exchange, Inc., dated June 29, 2004 (File name: nyse050604.pdf)
   
• Memorandum from the Office of Commissioner Goldschmid regarding a March 24, 2004 meeting with representatives of the New York Stock Exchange, Inc., dated June 29, 2004 (File name: nyse032404.pdf)
   
• Ronald A. Oguss, President, Xanadu Investment Co., June 29, 2004 (File name: xanadu062904.pdf)
   
• Douglas E. McQuade, Riverhead, New York, June 28, 2004 (File name: demcquade2362.htm)
   
• Matt D. Lyons, on behalf of Capital Research and Management Company, June 28, 2004 (File name: mdlyons062804.pdf)
   
• Barry Jaffess, Ossining, New York, June 28, 2004 (File name: bjaffess062804.txt)
   
• Jeb Hensarling, U.S. House of Representatives, June 28, 2004 (File name: s71004-440.pdf)
   
• Tom DeLay, Marjority Leader, U.S. House of Representatives, June 25, 2004 (File name: s71004-437.pdf)
   
• John B. Simmons, Vice President, Treasurer, Chief Financial Officer, Stewart & Stevenson, June 24, 2004 (File name: stewartsteven062404.pdf)
   
• Tim Murphy, U.S. House of Representatives, June 24, 2004 (File name: s71004-438.pdf)
   
• Patrick J. Tiberi, U.S. House of Representatives, June 23, 2004 (File name: s71004-444.pdf)
   
• Memorandum from the Division of Market Regulation regarding a June 23 meeting with representatives of the New York Stock Exchange, Inc., June 24, 2004 (File name: nyse062304.pdf)
   
• Memorandum from the Division of Market Regulation regarding a June 23 meeting with representatives of Liquidnet, June 24, 2004 (File name: liquidnet062304.pdf)
   
• Gary A. Glynn, Chairman, CIEBA, President, U.S. Steel & Carnegie Pension Fund, Committee on Investment of Employee Benefit Assets, June 24, 2004 (File name: cieba062404.pdf)
   
• Richard A. Rosenblatt, CEO and Joseph C. Gawronski, COO, Rosenblatt Securities Inc., June 24, 2004 (File name: rosenblatt062404.txt)
   
• Brendan R. Dowd, Daniel W. Tandy, Ronald Zdrojeski, The Alliance of Floor Brokers, June 24, 2004 (File name: s71004-305.pdf)
   
• Steven C. LaTourette, Vice-Chairman, Subcommittee on Financial Institutions and Consumer Credit, Committee on Financial Services, U.S. House of Representatives, June 24, 2004 (File name: s71004-349.pdf)
   
• Russell S. Hoadley, Chief Public Affairs Officer, Hibernia Corporation, June 23, 2004 (File name: s71004-429.pdf)
   
• Richard A. Rosenblatt, CEO and Joseph Gawronski, COO, Rosenblatt Securities, New York, New York, June 23, 2004 (File name: jgawronski3409.htm)
   
• Craig G. Rennie, Ph.D., Assistant Professor of Finance, Sam M. Walton College of Business, University of Arkansas, June 23, 2004 (File name: cgrennie062304.txt)
   
• Paul E. Kanjorski, U.S. Senate, Ranking Member, Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, June 22, 2004 (File name: s71004-441.pdf)
   
• Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, June 22, 2004 (File name: fmrc062204.pdf)
   
• John Aten, Mentor, Ohio, June 22, 2004 (File name: jaten062204.txt)
   
• Domineca Neal, Delaney & Neal Enterprises, Inc., June 22, 2004 (File name: dne062204.txt)
   
• Dan Jamieson, June 22, 2004 (File name: djamieson062204.pdf)
   
• Chip Tucker, June 22, 2004 (File name: ctucker062204.txt)
   
• E. Ilene Davis, CFP, Florida, June 22, 2004 (File name: edavis2718.htm)
   
• Ulrich (Rick) Schmidt, Executive Vice President and Chief Financial Officer, Goodrich Corporation, June 21, 2004 (File name: goodrich062104.pdf)
   
• Mark Lombardi, June 21, 2004 (File name: mlombardi062104.txt)
   
• James J. Macguire, La Branche & Co., June 18, 2004 (File name: s71004-267.pdf)
   
• Memorandum from the Division of Market Regulation regarding a June 17, 2004 meeting with representatives of the New York Stock Exchange, Inc., dated June 18, 2004 (File name: nyse061704.pdf)
   
• Barbara Roper, Director of Investor Protection, Consumer Federation of America, June 17, 2004 (File name: s71004-249.pdf)
   
• Richard R. Tullo, Jr., investor activist, New York, New York, June 17, 2004 (File name: rrtullo3852.htm)
   
• Memorandum from the Office of the Chairman regarding a meeting with representatives from the Specialist Association at the New York Stock Exchange, Bear Wagner Specialists, and Spear, Leeds & Kellogg Specialists, June 16, 2004 (File name: specialists061604.pdf)
   
• Memorandum from the Division of Market Regulation regarding a June 1, 2004 meeting with The Nasdaq Stock Market, Inc., dated June 15, 2004 (File name: nasd060104.pdf)
   
• Tom Daschle, United States Senate, June 15, 2004 (File name: s71004-348.pdf)
   
• Tim Hugo, President, CapNet, June 14, 2004 (File name: s71004-434.pdf)
   
• Rob Kreibich, State Representative Member, Assembly Committee on Financial Institutions, Wisconsin State Assembly, June 11, 2004 (File name: s71004-338.pdf)
   
• Daniel M. Clifton, Executive Director, American Shareholders Association, June 10, 2004 (File name: asa061004.txt)
   
• Michele Trevor, June 7, 2004 (File name: mtrevor060704.txt)
   
• Leslie Seff, Chief Operating Officer, Brokerage America LLC, June 6, 2004 (File name: lseff060604.txt)
   
• Kurt Stocker, Adjunct Professor, Medill School of Journalism, Northwestern University, and Chairman, New York Stock Exchange Individual Investor Advisory Committee, June 4, 2004 (File name: s71004-227.pdf)
   
• Jeff Fitzgerald, State Representative, Wisconsin State Legislature, June 3, 2004 (File name: s71004-430.pdf)
   
• Andrew Jaramillo, Florida, June 3, 2004 (File name: ajaramillo1501.htm)
   
• Mac McArthur, Executive Director, Alabama State Employee's Association, June 2, 2004 (File name: s71004-415.pdf)
   
• Tammy Baldwin, U.S. House of Representatives, June 2, 2004 (File name: s71004-342.pdf)
   
• Jack Ehnes, Chief Executive Officer, California State Teachers' Retirement System, June 2, 2004 (File name: jehnes06022004.pdf)
   
• Samantha J. Kerkman, Wisconsin State Representative, 66^th Assembly District, June 2, 2004 (File name: s71004-400.pdf)
   
• Mark D. Gundrum, Wisconsin State Representative, 84^th Assembly District, June 1, 2004 (File name: s71004-402.pdf)
   
• Glenn Grothman, Wisconsin State Representative, Co-Chair, Joint Committee for Review of Administrative Rules, May 28, 2004 (File name: s71004-405.pdf)
   
• Thomas E. Jackson, House of Representatives, Alabama State House, received May 27, 2004 (File name: s71004-225.pdf)
   
• Frank McDaniel, House of Representatives, Alabama State House, received May 27, 2004 (File name: s71004-227.pdf)
   
• Senator Wendell Mitchell, Alabama State Senate, received May 27, 2004 (File name: s71004-232.pdf)
   
• Senator Roger Bedford, Chairman, Senate Finance and Taxation General Fund Committee, Alabama State Senate, received May 27, 2004 (File name: s71004-220.pdf)
   
• Steve Graves, Vice Chairman, Pasco County Republican Party, May 27, 2004 (File name: s71004-214.pdf)
   
• Frelon Abbott Jr., Abbott Financial, May 27, 2004 (File name: s71004-206.pdf)
   
• Frederick Hanselmann, Abingdon, Virginia, May 27, 2004 (File name: fhanselmann052704.htm)
   
• Terry Weisensel, CPA, Durand, Halverson & Associates, Inc., Comprehensive Accounting Services, May 27, 2004 (File name: s71004-351.pdf)
   
• Steve Kestell, Wisconsin State Representative, 27^th Assembly District, May 27, 2004(File name: s71004-406.pdf)
   
• Robin Kelly, Illinois State Representative, 38^th District, May 27, 2004 (File name: s71004-407.pdf)
   
• Mary Kiffmeyer, Minnesota Secretary of State, May 26, 2004 (File name: s71004-401.pdf)
   
• Scott Fitzgerald, Wisconsin State Senator, 13^th Senate District Member, Joint Committee on Finance, May 26, 2004 (File name: s71004-350.pdf)
   
• Jackie Blasdel, Vice Chair, Decatur County Republican Party, May 26, 2004 (File name: s71004-330.pdf)
   
• Barbara Cargill, Vice Chairman, Franklin County Republican Party, May 26, 2004 (File name: s71004-331.pdf)
   
• Gerald Lawrence, Treasurer, Decatur County Republican Party, May 26, 2004 (File name: s71004-332.pdf)
   
• Michael F. Gaffney, Head Trader, Icon Advisers, Inc., May 26, 2004 (File name: mgaffney052604.htm)
   
• Jeffrey W. States, Chief Investment Officer, Sacramento County Employees' Retirement System, May 25, 2004 (File name: s71004-464.pdf)
   
• Nicholas Fung, May 25, 2004 (File name: nfung052504.htm)
   
• Tammy Williams, President and CEO, Best Advantage Credit Union, May 25, 2004 (File name: s71004-416.pdf)
   
• Wes Stow, Chairman, Citrus County Republican Party, May 25, 2004 (File name: s71004-216.pdf)
   
• Jamie N. Jorczak, Communications Director, Indiana Senate Majority Caucas, May 25, 2004 (File name: s71004-198.pdf)
   
• Beverly Gard, State Senator, Indiana, May 25, 2004 (File name: s71004-201.pdf)
   
• Grant A. Chapman, Sales Manager, Vector Marketing, May 25, 2004 (File name: s71004-182.pdf)
   
• Barbara S. Guthrie, Committeewoman, Polk County Republican Party, May 25, 2004 (File name: s71004-233.pdf)
   
• Peggy Larke, Secretary, St. Lucie County Republican Party, May 25, 2004 (File name: s71004-234.pdf)
   
• Bob Fischer, Chairman, Okaloosa County Republican Party, May 25, 2004 (File name: s71004-228.pdf)
   
• Zonk Czonstka, Committeeman, Okaloosa County Republican Party, May 25, 2004 (File name: s71004-229.pdf)
   
• Leslie Davis Hiner, Republican Chief of Staff, State of Indiana House of Representatives, May 25, 2004 (File name: s71004-261.pdf)
   
• Richard H. Baker, Chairman, Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, U.S. House of Representatives, May 24, 2004 (File name: s71004-496.pdf)
   
• John R. Polster, President, Innovative Transportation Solutions Inc., May 24, 2004 (File name: s71004-463.pdf)
   
• F. Warren Hellman, San Francisco, California, May 24, 2004 (File name: s71004-421.pdf)
   
• James J. Byrnes, Chairman and CEO, Tompkins Trustco, Inc., May 24, 2004 (File name: s71004-423.pdf)
   
• Kelly Sleeter, President, Sleeter Communications, LLC, May 24, 2004 (File name: s71004-425.pdf)
   
• Scott Gunderson, State Representative, 83^rd District, Wisconsin State Assembly, May 24, 2004 (File name: s71004-352.pdf)
   
• James L. Martin, President, 60 Plus Association, May 24, 2004 (File name: s71004-224.pdf)
   
• Matt Brooks, Executive Director, Association of Indiana Counties, Inc., May 24, 2004 (File name: s71004-219.pdf)
   
• Donald F. Woodley, CFA, May 24, 2004 (File name: s71004-196.pdf)
   
• Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, May 24, 2004 (File name: slek052404.pdf)
   
• Nick Marsala, Member, New York Stock Exchange, May 24, 2004 (File name: s71004-155.pdf)
   
• Susan E. Dudley, Director, Regulatory Studies Program, The Regulatory Studies Program, Mercatus Center, George Mason University, May 24, 2004 (File name: mercatus052404.pdf)
   
• Joseph A. Palmich, May 24, 2004 (File name: japalmich052404.txt)
   
• Gene Finn, May 24, 2004 (File name: genefinn052404.pdf)
   
• Allan R. Cox, Vice President, Nasdaq Trading, Oppenheimer & Co. Inc., May 24, 2004 (File name: oppenheimer052404.pdf)
   
• Bruce N. Lehmann and Joel Hasbrouck, Organizers, Reg NMS Study Group; Yakov Amihud, Ira Leon Rennert Professor, Stern School of Business, New York University; Robert Battalio, Associate Professor, Mendoza School of Business, Notre Dame University; Lawrence R. Glosten, S. Sloan Colt Professor of Banking and International Finance, Graduate School of Business, Columbia University; Joel Hasbrouck, Kenneth G. Langone Professor, Stern School of Business, New York University; Robert Jennings, Professor of Finance, Kelley School of Business, Indiana University; Charles Jones, Class of 1967 Associate Professor, Graduate School of Business, Columbia University; Bruce N. Lehmann, Professor of Economics and Finance, Graduate School of International Relations and Pacific Studies, University of California, San Diego; Gideon Saar, Assistant Professor of Finance, Stern School of Business, New York University; Erik Sirri, Professor of Finance, School of Management, Babson College; Matthew Spiegel, Professor of Finance, Yale School of Management, Yale University; Reg NMS Study Group, May 23, 2004 (File name: 10academicstudy052304.pdf)
   
• Robert Wetstein, Nanuet, New York, May 22, 2004 (File name: rwetstein052204.txt)
   
• Laurie Pizzo, Chapter President, Florida Federation of Young Republicans, May 22, 2004 (File name: s71004-199.pdf)
   
• Allan J. Marter, Senior Vice President and Chief Financial Officer, Golden Star Resources Ltd., May 21, 2004 (File name: s71004-404.pdf)
   
• Martin L. Ellison, Business Agent, United Steelworkers of America, May 21, 2004 (File name: s71004-408.pdf)
   
• Dean Wilson, President and CEO, Wauwatosa Credit Union, May 21, 2004 (File name: s7104-321.pdf)
   
• Emily Ketring, State Committeewoman, Taylor County Executive Committee, Republican Party of Florida, May 21, 2004 (File name: s71004-200.pdf)
   
• Jackie Yema, President, White River Central Labor Council, AFL-CIO, May 21, 2004 (File name: s71004-197.pdf)
   
• Dean G. Stamos, CEO, Vie Securities, LLC, May 21, 2004 (File name: s71004-153.pdf)
   
• D. Terry Nelson, Chief Deputy Auditor, Marion County, Indiana, May 21, 2004 (File name: s71004-177.pdf)
   
• Gregory N. Jordan, Treasurer of Marion County, Indiana, May 21, 2004 (File name: s71004-173.pdf)
   
• David Reiling, President, University Bank, May 21, 2004 (File name: s71004-194.pdf)
   
• Joseph T. Deters, Treasurer of State, State of Ohio, May 21, 2004 (File name: s71004-187.pdf)
   
• Suzanne Jeskewitz, State Representative, Wisconsin State Legislature, May 20, 2004 (File name: s71004-418.pdf)
   
• Roberto L. Pena, Retirement Administrator, Fresno County Employees' Retirement Association, May 20, 2004 (File name: s71004-420.pdf)
   
• Mary Lou LaMacchia, Executive Vice President, LaMacchia Group, LLC, May 20, 2004 (File name: s71004-411.pdf)
   
• Oscar Peters, Administrator, Santa Barbara County Employees' Retirement System, May 20, 2004 (File name: s71004-322.pdf)
   
• Ronald G. Johnson, House of Representatives, Alabama State House, May 20, 2004 (File name: s71004-246.pdf)
   
• Lane Rees, Walton County Vice Chairman, Republican Party of Florida, May 20, 2004 (File name: s71004-226.pdf)
   
• Ron Johnson, House of Representatives, Alabama State House, May 20, 2004 (File name: s71004-230.pdf)
   
• Warren Mart, General Secretary-Treasurer and Trustee, International Association of Machinists and Aerospace Workers, May 20, 2004 (File name: s71004-156.pdf)
   
• Lucille Chercia, Califon, New Jersey, May 20, 2004 (File name: s71004-188.pdf)
   
• Gerald Stone, Directing Business Representative, Local Lodge 153, IAM & AW, May 20, 2004 (File name: s71004-190.pdf)
   
• Memorandum from the Division of Market Regulation regarding a meeting with the New York Stock Exchange, Inc., May 20, 2004 (File name: s71004-212.pdf)
   
• Mike Millican, Chairman, House of Representatives Health Commmittee, State of Alabama, May 20, 2004 (File name: s71004-217.pdf)
   
• Craig Melancon, Executive Vice President, Phi Kappa Theta Fraternity Foundation, May 20, 2004 (File name: s71004-193.pdf)
   
• J.J. Jelincic, President, California State Employees Association, May 19, 2004 (File name: s71004-419.pdf)
   
• Richard Koenig, President and CEO, Milwaukee Metropolitan Credit Union, May 19, 2004 (File name: s71004-409.pdf)
   
• Ron Kase, President and CEO, Landmark Credit Union, May 19, 2004 (File name: s71004-410.pdf)
   
• Ted Kanavas, Wisconsin State Senator, 33^rd Senate District, May 19, 2004 (File name: s71004-412.pdf)
   
• Chip Coenen, Vice President of Business Development, Community First Credit Union, May 19, 2004 (File name: s71004-329.pdf)
   
• Sarah Robertson, President and CEO, Miller Electric Credit Union, May 19, 2004 (File name: s7104-325.pdf)
   
• Kimberly R. Youngblood, President and CEO, Federated Family Credit Union, May 19, 2004 (File name: s71004-191.pdf)
   
• Dan Wollin, President and CEO, PCM Employees Credit Union, May 19, 2004 (File name: s71004-189.pdf)
   
• April Spears, JCDD Commissioner, Julington Creek Plantation Community Development District, May 19, 2004 (File name: s71004-208.pdf)
   
• Bob Staton, State Committeeman, Desoto County, Republican Party of Florida, May 19, 2004 (File name: s71004-203.pdf)
   
• John Deller, Canby, Oregon, May 19, 2004 (File name: s71004-175.pdf)
   
• Karen J. Arthur, attorney at law, Portland, OR, May 19, 2004 (File name: s71004-176.pdf)
   
• James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University, May 19, 2004 (File name: jjangel051904.pdf)
   
• Frank Christensen, May 19, 2004 (File name: fchristensen051904.txt)
   
• Ross Anderson, owner, Minnesota Insurance Network, LLC, May 18, 2004 (File name: s71004-424.pdf)
   
• Jack C. Voight, State Treasurer of Wisconsin, May 18, 2004 (File name: s7104-353.pdf)
   
• Thomas Maday, President and CEO, Marine Credit Union, May 18, 2004 (File name: s7104-324.pdf)
   
• Frank Christensen, May 18, 2004 (File name: fchristensen051804.txt)
   
• Russ Stilwell, House Majority Leader, Indiana General Assembly, May 18, 2004 (File name: s71004-265.pdf)
   
• Ron Ehrgott, Administrative Manager, Fringe Benefit Administrative Office, May 18, 2004 (File name: s71004-260.pdf)
   
• Walter J. McAdams, III, individual investor, New York, New York, May 18, 2004 (File name: wjmcadams1833.htm)
   
• Gene Finn, Baltimore, Maryland, May 18, 2004 (File name: genefinn051804.pdf)
   
• Richard Fagan, New York, New York, May 18, 2004 (File name: rfagan051804.txt)
   
• Frank C. Sullivan, President and Chief Executive Officer, RPM International, Inc., May 18, 2004 (File name: s71004-157.pdf)
   
• Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado, May 18, 2004 (File name: jwpeake051804.txt)
   
• David Dreier, Chairman, Committee On Rules, U.S. House of Representatives, May 18, 2004 (File name: s71004-341.pdf)
   
• Thomas Hanify, President, Professional Fire Fighters Union of Indiana, May 18, 2004 (File name: s71004-195.pdf)
   
• Manuel Monsibais, Business Manager/Secretary-Treasurer, Construction Laborers Local 220, Laborers International Union of North America Local 220, May 17, 2004 (File name: s71004-422.pdf)
   
• Braxton Harris, Braxton Harris Company, Inc., May 17, 2004 (File name: s71004-205.pdf)
   
• Jamie Miller, Chairman, Sumter County Republican Executive Committee, May 17, 2004 (File name: s71004-202.pdf)
   
• Vance K. Opperman, President and CEO, Key Investment, Inc., May 17, 2004 (File name: s71004-192.pdf)
   
• Hugh Devereaux, Vice President Market Development, ADS Security, May 17, 2004 (File name: s71004-172.pdf)
   
• Gene L. Finn, Finn Associates, May 17, 2004 (File name: glfinn051704.txt)
   
• Frank, May 17, 2004 (File name: fran051704.txt)
   
• Kenneth R. Peak, Chairman and Chief Executive Officer, Contango Oil & Gas Company, May 16, 2004 (File name: s71004-171.pdf)
   
• Dan Carter, Chair, Jefferson County, The Indiana Republican Party, May 15, 2004 (File name: s71004-333.pdf)
   
• Thomas R. McCart, Chair, Perry County, The Indiana Republican Party, May 15, 2004 (File name: s71004-334.pdf)
   
• Angie Brown, Vice-Chair, Carroll County Republican Party, May 15, 2004 (File name: s71004-335.pdf)
   
• Roberta Moore, Secretary, Miami County GOP, May 15, 2004 (File name: s71004-336.pdf)
   
• John F. Perotti, President and Chief Executive 0fficer, Salisbury Bank & Trust Company, May 14, 2004 (File name: s71004-403.pdf)
   
• Ed Brady, City Commissioner, Gainesville, Florida, May 14, 2004 (File name: s71004-222.pdf)
   
• Martin D. Burchfield, attorney at law, Van Wert, Ohio, May 14, 2004 (File name: s71004-262.pdf)
   
• Jimmy Stewart, Ohio State Representative, 92^nd House District, May 14, 2004 (File name: s71004-264.pdf)
   
• Thomas A. Nicholson, Jr., Executive Vice President, BB&T Investor Relations , May 14, 2004 (File name: s71004-250.pdf)
   
• Joan Johnson, Secretary, Rule of 5 Investment Club, Vero Beach, Florida, May 14, 2004 (File name: s71004-207.pdf)
   
• Diane Haupert, Vice-Chair, Wabash County Republican Party, May 14, 2004 (File name: s71004-209.pdf)
   
• Bart Stupak, U.S. House of Representatives, May 14, 2004 (File name: s71004-184.pdf)
   
• Fred E. Roberts, Secretary-Treasurer, Indiana State Council of Machinists, May 14, 2004 (File name: s71004-185.pdf)
   
• Chuck Blasdel, Ohio State Representative, 1^st House District, May 14, 2004 (File name: s71004-186.pdf)
   
• John E. Silhavy, Directing Business Representative, IAM & AW District Lodge 90, International Association of Machinists and Aerospace Workers, May 14, 2004 (File name: s71004-248.pdf)
   
• Robert J. Nugent, Chairman of the Board and CEO, Jack in the Box, May 14, 2004 (File name: s71004-158.pdf)
   
• Timothy G. Rupert, President and CEO, RTI International Metals, Inc., May 14, 2004 (File name: s71004-154.pdf)
   
• Jack M. Webb, Houston, Texas, May 13, 2004 (File name: s71004-462.pdf)
   
• Meredith Cullen, May 13, 2004 (File name: s71004-470.pdf)
   
• Jim Petro, Attorney General, State of Ohio, May 13, 2004 (File name: s71004-245.pdf)
   
• Travis Hornsby, Chairman, Alachen County Republican Party, May 13, 2004 (File name: s71004-211.pdf)
   
• Don Stephens, Treasurer, Calhoun County Republican Party, May 13, 2004 (File name: s71004-210.pdf)
   
• Memorandum from the Office of Commissioner Glassman regarding a May 13, 2004 meeting with representatives of Morgan Stanley (File name: glassman051304.pdf)
   
• Steven J. Holwerda, Chief Operating Officer, Ferguson Wellman Capital Management, Inc., May 13, 2004 (File name: s71004-151.pdf)
   
• Mike Parrot, AterWynne, LLP, May 13, 2004 (File name: s71004-152.pdf)
   
• Mark Anson, Chief Investment Officer, California Public Employees' Retirement System, May 13, 2004 (File name: calpers051304.pdf)
   
• Jeffrey P. Ricker, CFA, San Francisco, California, May 13, 2004 (File name: jpricker051304.txt)
   
• Joseph P. Kennebeck, Associate Director - Head of Trading, Electronic Global Securities, Inc., New York, New York, May 13, 2004 (File name: jpkennebeck9511.htm)
   
• John Berthoud, President, National Taxpayers Union, May 13, 2004 (File name: ntu051304.pdf)
   
• Charles V. Huddleston, Business Manager, Local Union 413, International Brotherhood of Electrical Workers, May 12, 2004 (File name: s71004-413.pdf)
   
• David L. Kniffin, CLU, ChFC, MSFS, May 12, 2004 (File name: s71004-263.pdf)
   
• Howard Renner, President, Sumter County Republican Club, May 12, 2004 (File name: s71004-204.pdf)
   
• Douglas Greenberg, Lake Oswego, Oregon, May 12, 2004 (File name: s71004-174.pdf)
   
• Kenneth J. Polcari, President, Organization of Independent Floor Brokers, May 12, 2004 (File name: s71004-134.pdf)
   
• Michael P. Gleason CPCU, May 12, 2004 (File name: s71004-140.pdf)
   
• John B. Nano, President & CEO, Competitive Technologies, May 12, 2004 (File name: s71004-146.pdf)
   
• Kevin W. Keithley, CPA, P.C., May 12, 2004 (File name: s71004-178.pdf)
   
• Curt Lee, State Senator, Alabama State Senate, May 11, 2004 (File name: s71004-466.pdf)
   
• Edward M. Smith, Chairman of the Board, Illinoise State Board of Investment, May 11, 2004 (File name: s71004-244.pdf)
   
• Todd Hanks, Delaware County Auditor, May 11, 2004 (File name: s71004-340.pdf)
   
• Virginia C. Griffith, Secretary, Johnson County GOP, May 11, 2004 (File name: s71004-339.pdf)
   
• Debbie Preston, Treasurer, Randolph County Republican Party, May 11, 2004 (File name: s71004-337.pdf)
   
• Jeff Johnson, President, Lakeway Commodities, Inc., May 11, 2004 (File name: s71004-179.pdf)
   
• Josaundra A. Smith, Vancouver, Washington, May 11, 2004 (File name: s71004-141.pdf)
   
• Michele Trevor, May 11, 2004 (File name: mtreavor051104.txt)
   
• William Colthart, CPA, Dugan, Colthart & Zoch, P.A., May 10, 2004 (File name: s71004-323.pdf)
   
• Paul E. Gillmor, U.S. House of Representatives, May 10, 2004 (File name: s71004-439.pdf)
   
• Garth A. Winn, patent attorney, Portland, Oregon, May 10, 2004 (File name: s71004-149.pdf)
   
• Bob Winzeler, Winzeler Stamping Company, May 10, 2004 (File name: s71004-256.pdf)
   
• William E. Christopher, Ph. D, Executive Director, Indiana State Teachers' Retirement Fund, May 10, 2004 (File name: s71004-259.pdf)
   
• Roderick Covlin, Executive Vice President, Track ECN, May 10, 2004 (File name: s71004-125.pdf)
   
• Memorandum from Office of the Chairman regarding a meeting with James Maguire, May 10, 2004 (File name: s71004-139.pdf)
   
• Kelly Mecklem, Portland, Oregon, May 10, 2004 (File name: s71004-181.pdf)
   
• Terry Lowe, President, Spec-Weld Technologies, Inc., May 10, 2004 (File name: s71004-252.pdf)
   
• Sheri Valera, Chairman, College Republicans of Florida, May 9, 2004 (File name: s71004-215.pdf)
   
• Will Russell, May 7, 2004 (File name: s71004-289.pdf)
   
• Brenda M. Ayers, Tigard, Oregon, May 7, 2004 (File name: s71004-247.pdf)
   
• Pat Hennessey, May 7, 2004 (File name: s71004-150.pdf)
   
• Colleen Paynich, May 7, 2004 (File name: s71004-180.pdf)
   
• Carl Glaw; Glaw, Londergan & O'Neal, L.L.P., May 6, 2004 (File name: s71004-465.pdf)
   
• Josaundra A. Smith, Vancouver, Washington, May 6, 2004 (File name: s71004-114.pdf)
   
• W. Hardy Callcott, May 6, 2004 (File name: whcallcott0506704.pdf)
   
• Dave Low, Assistant Director, California School Employees Association, May 6, 2004 (File name: s71004-135.pdf)
   
• Mary Jo Long, Newark, Ohio, May 6, 2004 (File name: s71004-255.pdf)
   
• Lesley Vanec, House of Representatives, Alabama State House, May 5, 2004 (File name: s71004-231.pdf)
   
• Tom Grady, General Manager, eBase, May 5, 2004 (File name: s71004-258.pdf)
   
• Mac Gipson, House of Representatives, State of Alabama, May 5, 2004 (File name: s71004-218.pdf)
   
• William Thigpen, House of Representatives, State of Alabama, May 5, 2004 (File name: s71004-221.pdf)
   
• Jimmy Martin, House of Representatives, State of Alabama, May 5, 2004 (File name: s71004-223.pdf)
   
• Memorandum from the Office of Commissioner Glassman regarding a meeting with representatives of the New York Stock Exchange; The Griswold Company; Spear, Leeds & Kellogg; Bear Wagner Specialists LLC; LaBranche & Co; Prime Execution; BNY Direct Execution; and Mogavero, Lee & Co., Inc., dated May 5, 2004 (File name: glassman050504.pdf)
   
• Robert H. Voorhies, President, Central Indiana Labor Counsel, May 5, 2004 (File name: s71004-133.pdf)
   
• Christopher Rosenthal, CPA/ABV, ASA, Ellin & Tucker, Chartered, May 5, 2004 (File name: s71004-143.pdf)
   
• Anita J. Adams, Muskingum County Auditor, May 5, 2004 (File name: s71004-142.pdf)
   
• Gordon 0. Jesperson, Esq. and Melanie L. Jesperson, Lake Oswego, Oregon, May 5, 2004 (File name: s71004-115.pdf)
   
• Marilyn Valenzuela, Executive Secretary-Treasurer, Tri-Counties Central Labor Council, AFL-CIO, May 3, 2004 (File name: s71004-145.pdf)
   
• Betsy Gotbaum, The Public Advocate for the City of New York, May 3, 2004 (File name: s71004-124.pdf)
   
• Ron Paul, U.S. House of Representatives, April 30, 2004 (File name: s71004-183.pdf)
   
• Judy Baar Topinka, Illinois State Treasurer, April 29, 2004 (File name: s71004-461.pdf)
   
• James M. McDonough, President, Tempest Computers, April 29, 2004 (File name: s71004-118.pdf)
   
• Ronald F. Gibbs, April 29, 2004 (File name: rfgibbs042904.pdf)
   
• Taylor E. Drake, CFA, Wealth Strategies Group, LLC, April 28, 2004 (File name: tdrake042804.htm)
   
• Paul Johnston, Executive Director, Monterey Bay Central Labor Council, April 27, 2004 (File name: s71004-467.pdf)
   
• Memorandum from the Division of Market Regulation regarding April 1, 2004 meeting with The Nasdaq Stock Market, Inc. (Nasdaq) Regarding the Market Data Proposal of the Regulation NMS Release dated April 27, 2004 (File name: spatel042704.htm)
   
• Memorandum from the Division of Market Regulation regarding a March 17, 2004 meeting with the New York Stock Exchange, Inc. dated April 27, 2004 (File name: nyse031704.pdf)
   
• Larry Guli, April 27, 2004 (File name: lguli042704.htm)
   
• Steve Bartlett, President and CEO, The Financial Services Roundtable, April 26, 2004 (File name: s71004-123.pdf)
   
• Michael Reger, President, Reger Communications, LLC, April 26, 2004 (File name: s71004-117.pdf)
   
• Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado, Greeley, Colorado, April 23, 2004 (File name: jpeake04232004.pdf)
   
• Robert G. Britz, New York, New York, April 22, 2004 (File name: s71004-148.pdf)
   
• Simon Romano, Stikeman Elliott LLP, Barristers & Solicitors, April 21, 2004 (File name: s71004-109.pdf)
   
• Robert Joseph King, Jessup, Maryland, April 21, 2004 (File name: s71004-95.pdf)
   
• James W. Tamuccio, April 20, 2004 (File name: jwtamuccio04202004.txt)
   
• Daniel J. Warmenhoven, Chief Executive Office, Network Appliance Inc., April 20, 2004 (File name: s71004-254.pdf)
   
• Charles C. Foti, Jr., Attornery General, State of Louisana, April 19, 2004 (File name: s71004-102.pdf)
   
• William F. Frank, CEO, X-Change Technologies Group, April 19, 2004 (File name: wfrank041904.pdf)
   
• Tom Sims, Administrative Director, Parochial Employees' Retirement System of Louisiana, April 16, 2004 (File name: s71004-94.pdf)
   
• Paul D. Finkelstein, President and CEO, Regis Corporation, April 15, 2004 (File name: s71004-92.pdf)
   
• Thomas A. Piraino, Vice President, General Counsel and Secretary, Parker-Hannifin Corporation, April 15, 2004 (File name: s71004-119.pdf)
   
• Janet Dolan, President and Chief Executive Officer, Tennant Company, April 14, 2004 (File name: s71004-93.pdf)
   
• Charles Knight, Chairman, Seneca County Republican Party, April 13, 2004 (File name: s71004-132.pdf)
   
• Martin Frost, U.S. House of Representatives, April 13, 2004 (File name: s71004-103.pdf)
   
• Terry T. Thatcher, President, Sandusky County Commissioner, April 13, 2004 (File name: s71004-116.pdf)
   
• Patrick J. Collins, III, Patrick J. Collins, Inc., April 12, 2004 (File name: s71004-469.pdf)
   
• Frank Christensen, April 8, 2004 (File name: fchristensen040804.txt)
   
• Frank Christensen, April 7, 2004 (File name: fchristensen040704.txt)
   
• Kathy Walcher, State Representative, Ohio House of Representatives, April 6, 2004 (File name: s71004-120.pdf)
   
• Paul R. Saucracker, Chairman, President and Chief Executive Officer, Mineral Technologies, April 6, 2004 (File name: s71004-98.pdf)
   
• John H. Bluher, Executive Vice President and General Counsel, Knight Trading Group, April 5, 2004 (File name: s71004-460.pdf)
   
• Kenneth Polcari, Managing Director, Polcari/Weicker division of Garban Coporates, LLC, April 5, 2004 (File name: s71004-99.pdf)
   
• James J. Burke, Vice President and Finance Chief Financial Officer, Standard Motor Products, Inc., April 5, 2004 (File name: s71004-97.pdf)
   
• Lawrence J. Guli, retired, Rancho Mirage, California, April 5, 2004 (File name: ljguli9973.htm)
   
• Michael F. Neidorff, President and Chief Executive Officer, Centene Corporation, April 5, 2004 (File name: s71004-121.pdf)
   
• Jim Ramstad, U.S. House of Representatives, March 26, 2004 (File name: s71004-101.pdf)
   
• Daniel Turov, Turov Investment Group Inc., March 26, 2004 (File name: s71004-54.pdf)
   
• Ralph S. Saul, Philadelphia, Pennsylvania, March 26, 2004 (File name: s71004-36.pdf)
   
• Dave Camp, U.S. House of Representatives, March 25, 2004 (File name: s71004-100.pdf)
   
• Ray LaHood, U.S. House of Representatives, March 23, 2004 (File name: s71004-68.pdf)
   
• Melvin F. Lee, Hoboken, New Jersey, March 23, 2004 (File name: s71004-66.pdf)
   
• Glenn W. Reed, Executive Vice President and General Counsel, UICI, March 22, 2004 (File name: s71004-64.pdf)
   
• Steven W. Tholen, Vice President and Chief Financial Officer, Harvest Natural Resources, Inc., March 22, 2004 (File name: s71004-251.pdf)
   
• Stephen Schuler, Global Electronic Trading Company, March 22, 2004 (File name: getco032204.htm)
   
• Paul D. Finkelstein, President & Chief Executive Officer, Regis Corporation, March 19, 2004 (File name: s71004-67.pdf)
   
• Anthony B. Cusanelli, Sr., Member of The New York Stock Exchange, Pompano Beach, FL, March 17, 2004 (File name: s71004-69.pdf)
   
• William H. Sullivan, Jr., Mar. 17, 2004 (File name: s71004-122.pdf)
   
• Annette P. Henkel, President, Minnesota Utility Investors, March 17, 2004 (File name: s71004-63.pdf)
   
• Richard A. Rosenblatt, CEO, and Joseph C. Gawronski, COO, of Rosenblatt Securities, March 17, 2004 (File name: rarosenblatt031704.htm)
   
• Ronald J. Brescia, Ronald J. Brescia & Associates, P.C., Garden Ciiy, New York, March 15, 2004 (File name: s71004-65.pdf)
   
• William M. Hess; Hess, Grant & Company, Inc.; Haddonfield, New Jersey, March 15, 2004 (File name: s71004-6.pdf)
   
• Christopher L. Dutton, President and Chief Executive Officer, Green Mountain Power, Colchester, Vermont, March 15, 2004 (File name: s71004-7.pdf)
   
• Jerrold Nadler, U.S. House of Representatives, March 15, 2004 (File name: s71004-477.pdf)
   
• Mary McDermott-Holland, Chairman and John C. Giesea, President & CEO, Security Traders Association, March 12, 2004 (File name: s71004-26b.pdf)
   
• Colleen Carmack, Sandusky County Recorder, March 12, 2004 (File name: s71004-257.pdf)
   
• Kay Ayres, Vice Chairman, Ohio Republican Party, March 10, 2004 (File name: s71004-253.pdf)
   
• Richard R. Tullo, New York, New York, March 10, 2004 (File name: rtullo031004.htm)
   
• James Schwab, Mill Neck, New York, March 9, 2004 (File name: s71004-8.pdf)
   
• Matthew J. McGuire, Cheshire, Connecticut, March 8, 2004 (File name: s71004-55.pdf)
   
• Mark Dennis, individual investor, March 5, 2004 (File name: mdennis030504.htm)
   
• Margaret & Marvin Kennebeck, February 27, 2004 (File name: mkennebeck022704.htm)
   
• Edward Torres, Palm Springs, California, February 21, 2004 (File name: s71004-417.pdf)
   

http://www.sec.gov/rules/proposed/s71004.shtml