Securities and Exchange Commission on title I of H.R. 5050, with attachment consisting of letter dated April 16, 1973, from SEC Chairman Cook to Chairman Staggers on considerations involved in requests for access to Commission files.. Treasury Department, on title IV of H.R. 5050. 124 Baker, Donald I., Director of Policy Planning, Antitrust Division, 1525 Statement of-Continued Bevis, Herman W., member, Banking and Securities Industry Com- Page mittee (BASIC). Bigler, Harold E., American Life Insurance Association. 1824, 1872 761 401 Boyd, Michael, vice president and associate general counsel, Donaldson, Lufkin & Jenrette, Inc.--. 1738 Calvin, Donald L., vice president, New York Stock Exchange. 867, 873 125 740 Celler, Hon. Emanuel, former Chairman, Committee on the Judiciary, Chalmers, Jay L., chairman, operations committee, Securities Industry 1773 1943 Chapman, Merrill J., president, Association of Investment Brokers - 1355 Cocchi, Raymond W., president, Independent Broker-Dealers Trade Association__ 822, 1415 237, 319 Cohen, Manuel F., former Chairman, Securities and Exchange Com- Donaldson, William, chairman, Donaldson, Lufkin & Jenrette, Inc.. 1824 1807 577 1738 401 297, 401, 1778 1599 Fortas, Abe, general counsel, the Committee of Publicly Owned Frank, Walter N., industry director, New York Stock Exchange. 867, 892 Gardiner, Robert M., chairman, governing council and chairman, Garil, Bernard H., assistant to the managing partner, Oppenheimer Gilligan, Pat, exchange specialist, National Stock Exchange-_ Griswold, Hon. Erwin N., Solicitor General of the United States, Hender, George S., vice president, PBW Stock Exchange, Inc---- Kendall, Leon T., president, Securities Industry Association. 272 1943 1576 492 492 272 619 717 1525 651 822, 1415 Kolton, Paul, chairman of the board, American Stock Exchange, Inc. 535, 801 867, 887 Landau, I., member, Corporate Trust Activities Committee, Trust 1925 Lee, John F., executive vice president, New York Clearing House 1961 Levenson, Alan, Director, Division of Corporation Finance, Securities 401 Liftin, John, Associate Director, Division of Market Regulation, 425 Loomis, Philip A., Jr., Čommissioner, Securities and Exchange Com mission. 297, 401, 425 MacIntyre, Hon. A. Everette, Commissioner, Federal Trade Com- 333 V Statement of-Continued McKay, Peter H., executive officer, Bradford Computer & Systems, Page Inc 1807 Macklin, Gordin S., president, National Association of Securities 577 Mason, Paul, Jr., associate general counsel, American Life Insurance 761 1925 1457 1 Milburn, William G., American Bankers Association_ 535, 801 Needham, James J., chairman, board of directors, New York Stock O'Hara, Thomas E., chairman, board of trustees, National Association O'Neill, James J., executive director, the Committee of Publicly Owned Owens, Hugh F., senior Commissioner, Securities and Exchange 867 1686 1599 297, 401 1699, 1701 Payne, William E., executive officer, Public Employees' Retirement Peake, Junius W., member, board of governors, National Association of Securities Dealers, Inc.. 577 425, 1778 783 425 Pickard, Lee A., Director, Division of Market Regulation, Securities and Exchange Commission___ Pingree, Charles A., American Bankers Association. Pitt, Harvey L., Chief Counsel, Division of Market Regulation, 535, 801 Poser, Norman S., senior vice president, policy planning, American Potter, Hamilton F., Jr., counsel, Banking and Securities Industry Potts, Ramsay D., counsel, Investment Counsel Association of Rappaport, Sheldon, Associate Director, Division of Market Regula- 1824 740 425 Rasweiler, Donald J., senior vice president and treasurer, Auerbach, 1377 Redden, James A., treasurer, State of Oregon. 1699, 1700 1457, 1471 1508 1430 867, 885 1430 Regan, Donald T., chairman of the board, Merrill Lynch & Co------ 1555 867, 889 1430 Scott, William T., executive director, New York City Teachers' 619 361 1699, 1703 651, 1943 Scribner, Richard O., general counsel, Securities Industry Association_... Shepheard, Eugene P., Rauscher Pierce Securities Corp-------- 1457, 1480 Siegel, Barry, staff, the Committee of Publicly Owned Companies. 1599 Smidt, Seymour, public governor, National Stock ExchangeSmith, Irwin F., deputy treasurer-investments, State of Connecticut___ 492 1699, 1707 Solomon, Frederic, Director, Division of Supervision and Regulation, Stephenson, Revis, member, executive committee, the Committee of 1815 577 1599 Statement of-Continued Stewart, Samuel B., member, National Coordinating Group for Theobald, Thomas C., American Bankers Association. Tobin, Michael E., president, Midwest Stock Exchange, Inc__ Page 1824 783 1961 499 717 Weeden, Donald E., chairman of the board, Weeden & Co.... 1543 Wetherill, Elkins, president, PBW Stock Exchange, Inc. 619 651 1355 Wood, C. V., Jr., chairman, the Committee of Publicly Owned Companies 1599 Young, Llewellyn P., vice president and counsel, Bradford Computer & Systems, Inc.-- 1807 Zeder, Fred M., member, executive committee, the Committee of 1599 Additional material supplied for the record by American Bankers Association: Article from Wall Street Journal entitled "NASD To Propose Average brokerage fees as a percentage of the dollar value of Report of the special committee on institutional membership of 1933 799 792 799 789 Statement of April 23, 1973, on title II of H.R. 5050 786 1929 1770 AIA portfolio holdings.. 727 Exhibit A to Mr. Jones' statement-Proposed subsection (e) of 722 Letter dated July 10, 1973, from Walter D. Vinyard, Jr., counsel, 728 730 Letter dated August 21, 1973, from Walter D. Vinyard, Jr., American Life Insurance Association: Letter dated April 23, 1973, with attachments, to Chairman Moss, 737 767, 1976 Letter dated July 6, 1973, to Secretary, Securities and Exchange 774 Portfolio turnover in the separate accounts funding pension plans 773 Additional material supplied for the record by-Continued Page 568, 815 Amex board of governors-biographical data. Letter dated September 7, 1973, from Paul Kolton, chairman, to Memorandum commenting on titles II and III of H.R. 5050_ Exhibit A-Letter dated December 22, 1972, from Paul Exhibit B-Letter dated March 6, 1973, from Paul Kolton, Memorandum of comments on titles II, III, and V of H.R. 5050- Asiel & Co., letter May 23, 1973, from Solomon Litt, senior partner, to Chairman Moss... Association of Investment Brokers, letter dated August 7, 1973, from Merrill J. Chapman, president, to Chairman Moss, with attachments consisting of suggested language and rationale therefor for section 15(b) (8) (D)_. Banking and Securities Industry Committee (BASIC): Letter dated May 8, 1973, from James J. Needham, chairman, 807 819 543 549 550 553 572 417 1771 1371 1912 1876 1898 1899 Boston Stock Exchange, memorandum on the matter of membership 1761 1812 Budge, Hamer H., former Chairman, Securities and Exchange Commission, statement.. 420 California, State of, Public Employees' Retirement System: Letter dated August 14, 1973, from William E. Payne, executive Letter dated September 18, 1973, from Melvin W. Petersen, Letter dated October 11, 1973, from Melvin W. Petersen, Chief 1716 1727 1733 212 Politics and the Regulatory Agencies, chapters 1, 2, and 5_-_- 130 203 Casey, William J., Under Secretary for Economic Affairs, Department of State, and former Chairman, Securities and Exchange Commission, statement... 419 |