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Statement of—Continued

Bevis, Herman W., member, Banking and Securities Industry Com- Page mittee (BASIC)---

----------- 1824, 1872 Bigler, Harold E., American Life Insurance Association.--. Blanchard, Alan, Acting Executive Director-Designate, Securities and Exchange Commission.---..

401 Boyd, Michael, vice president and associate general counsel, Donaldson, Lufkin & Jenrette, Inc.-----

------------..

1738

1738 Calvin, Donald L., vice president, New York Stock Exchange ---- 867, 873 Cary, Professor William L., Columbia University School of Law,

former Chairman, Securities and Exchange Commission.--Casey, John L., president, Investment Counsel Association of America,

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InC-------------------------------------------

740

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1824

Systems, Inc----

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1599

--

-

Celler, Hon. Emanuel, former Chairman, Committee on the Judiciary,
U.S. House of Representatives-----

1773 Chalmers, Jay L., chairman, operations committee, Securities Industry

1943 Chapman, Merrill J., president, Association of Investment Brokers.. 1355 Cocchi, Raymond W., president, Independent Broker-Dealers Trade Association

-822, 1415 Cohen, Manuel F., former Chairman, Securities and Exchange Commission--

---- 237, 319 Coriaci, Joseph P., chairman, Working Committee, National Coordi

nating Group for Comprehensive Securities Depositories------Del Col, Peter, president, Bradford Computer & Systems, Inc.------ 1807 Derrickson, Lloyd J., senior vice president and general counsel, National Association of Securities Dealers, Inc.----

577 Donaldson, William, chairman, Donaldson, Lufkin & Jenrette, Inc. 1738 Donaty, Frank, Comptroller, Securities and Exchange Commission.- 401 Evans, John R., Commissioner, Securities and Exchange Commission. 297,

401, 1778 Fortas, Abe, general counsel, the Committee of Publicly Owned

Companies--Frank, Walter N., industry director, New York Stock Exchange - 867, 892 Friedman, Daniel M., First Deputy Solicitor General, Department of Justice----

272 -------------------------------------Gardiner, Robert M., chairman, governing council and chairman,

ad hoc securities processing committee, Securities Industry Asso-
ciation-----

1943 Garil, Bernard H., assistant to the managing partner, Oppenheimer

1576 Gilligan, Pat, exchange specialist, National Stock Exchange --- 492 Girard, John D., president, National Stock Exchange--

492 Griswold, Hon. Erwin N., Solicitor General of the United States,

Department of Justice------Hender, George S., vice president, PBW Stock Exchange, Inc.----- 619 Jones, T. Lawrence, president, American Insurance Association --- 717 Kauper, Thomas E., Assistant Attorney General, Antitrust Division, Department of Justice--------

1525 Kendall, Leon T., president, Securities Industry Association ------- 651 Kimsey, James V., president, Bronwen Corp., and member, Inde

pendent Broker-Dealers Trade Association --
Kolton, Paul, chairman of the board, American Stock Exchange, Inc. 535, 801
Kreps, Ms. Juanita M., Ph. D., public director, New York Stock
Exchange--------------

---- 867, 887 Landau, I., member, Corporate Trust Activities Committee, Trust Division, American Bankers Association.

-- 1925 Lee, John F., executive vice president, New York Clearing House Association ------------

1961 Levenson, Alan, Director, Division of Corporation Finance, Securities and Exchange Commission.----

401 Liftin, John, Associate Director, Division of Market Regulation, Securities and Exchange Commission -

425 Loomis, Philip A., Jr., Commissioner, Securities and Exchange Commission--

- 297, 401, 425 MacIntyre, Hon. A. Everette, Commissioner, Federal Trade Commission.

333

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1599

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577

Statement of_Continued
McKay, Peter H., executive officer, Bradford Computer & Systems, Page
Inc.-----

1807 Macklin, Gordin S., president, National Association of Securities Dealers, Inc.---

577 Mason, Paul, Jr., associate general counsel, American Life Insura Association -

761 Milburn, William G., American Bankers Association -----

1925 Morin, Charles H., counsel, Committee for the Martin Report-----

1457 Moss, Hon. John E., a Representative in Congress from the State of California, as read by Hon. W. S. (Bill) Stuckey -----

---------------
Nash, Gordon, counsel, American Stock Exchange, Inc.---
Needham, James J., chairman, board of directors, New York Stock
Exchange-----------------

---------------- 007 O'Hara, Thomas E., chairman, board of trustees, National Association

---------------------------of Investment Clubs

1686 O'Neill, James J., executive director, the Committee of Publicly Owned

Companies-----
Owens, Hugh F., senior Commissioner, Securities and Exchange
Commission.------------

----- 297, 401 Payne, William E., executive officer, Public Employees' Retirement System, State of California -

-- 1699, 1701 Peake, Junius W., member, board of governors, National Association

of Securities Dealers, Inc.---. Pickard, Lee A., Director, Division of Market Regulation, Securities and Exchange Commission.--

--------- 425, 1778 Pingree, Charles A., American Bankers Association..

---- 783 Pitt, Harvey L., Chief Counsel, Division of Market Regulation, Securities and Exchange Commission-----

425 Poser, Norman S., senior vice president, policy planning, American Stock Exchange, Inc.----

------ 535, 801 Potter, Hamilton F., Jr., counsel, Banking and Securities Industry Committee (BASIC)--

1824 Potts, Ramsay D., counsel, Investment Counsel Association of America, Inc.----

740 Rappaport, Sheldon, Associate Director, Division of Market Regulation, Securities and Exchange Commission.---

425 Rasweiler, Donald J., senior vice president and treasurer, Auerbach, Pollak & Richardson, Inc.----

1377 Redden, James A., treasurer, State of Oregon.

--- 1699, 1700 Refsnes, Joseph L., executive vice president, Rauscher Pierce Securities Corp----

------ 1457, 1471 Regan, Donald T., chairman of the board, Merrill Lynch & Co.----- 1555 Reinisch, Hans R., president, National Shareholders Association -- 1508 Reycraft, George D., counsel, M. A. Schapiro & Co., Inc.--

1430 Roche, James M., public director, New York Stock Exchange--- 867, 885 Russo, Thomas A., counsel, M. A. Schapiro & Co., Inc.---

1430 Saul, Ralph S., industry director, New York Stock Exchange ---- 867, 889 Schapiro, Morris A., president, M. A. Schapiro & Co., Inc.---- 1430 Schneider, Carl W., special counsel, PBW Stock Exchange, Inc. 619 Schotland, Prof. Roy A., Georgetown University Law Center, Washington, D.C------

361 Scott, William T., executive director, New York City Teachers' Retirement Board -

----- 1699, 1703 Scribner, Richard O., general counsel, Securities Industry Association.--------------

651, 1943 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 Exchange-------- 492 Smith, Irwin F., deputy treasurer-investments, State of Connecticut--------

------ 1699, 1707 Solomon, Frederic, Director, Division of Supervision and Regulation, Board of Governors, Federal Reserve System

1815 Sommer, A. A., Jr., member, board of governors, National Association of Securities Dealers, Inc..

577 Stephenson, Revis, memter, executive committee, the Committee of Publicly Owned Companies.

1599

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NIcnarason, INC------------------------------------

Schapira.ph S., industunsel, M. A New Yor

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Inc.------

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Statement of—Continued
Stewart, Samuel B., member, National Coordinating Group for Page
Comprehensive Securities Depositories -------

1824 Theobald, Thomas C., American Bankers Association...

783 Thomas, Walter F., chairman, steering committee, New York Clearing House Association --------------------------------------

1961 Tobin, Michael E., president, Midwest Stock Exchange, Inc.---

499 Vinyard, Walter D., Jr., counsel, Washington office, American Insurance Association --------------------------------------

717 Weeden, Donald E., chairman of the board, Weeden & Co.--

1543 Weeden, John D., executive vice president, Weeden & Co.------ 1543, 1549 Weithers, John G., executive vice president, Midwest Stock Exchange,

499 Wetherill, Elkins, president, PBW Stock Exchange, Inc.----

619 Whitehead, John C., chairman, Securities Industry Association -

651 Whitten, Stanley, Washington area representative, Association of Investment Brokers----

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 Publicly Owned Companies.----

1599 Additional material supplied for the record byAmerican Bankers Association:

Article from Wall Street Journal entitled “NASD To Propose
Rules To Tighten Broker Standards”-----

1933 Average brokerage fees as a percentage of the dollar value of

transactions paid by the First National Bank of Boston.------- 799 Letter dated October 5, 1973, from Robert L. Bevan, assistant

Federal legislative counsel, providing details concerning per-
centage of securities orders placed by bank trust departments

with brokers and number under $100,000 or over $300,000.--- 792
Negotiated commissions paid by First National City Bank, May 1
to June 15, 1973-----

799 Report of the special committee on institutional membership of stock exchanges ------

789 Statement of April 23, 1973, on title II of H.R. 5050.---

786 Statement of May 7, 1973, on title IV of H.R. 5050.----

1929 American Institute of Certified Public Accountants, letter dated

April 20, 1973, from Edwin P. Fisher, chairman, to Chairman Moss. 1770 American Insurance Association:

AIA portfolio holdings ------
Exhibit A to Mr. Jones' statement-Proposed subsection (e) of

section 205, H.R. 5050__-
Letter dated July 10, 1973, from Walter D. Vinyard, Jr., counsel,

to Congressman McCollister, responding to questions on total

income from investments and underwritings------------
Letter dated July 13, 1973, from Walter D. Vinyard, Jr., counsel,

to Congressman McCollister, concerning amount of portfolio
trading executed through broker-dealers ----

------
Letter dated August 21, 1973, from Walter D. Vinyard, Jr.,

counsel, to Chairman Moss, respecting the finding to be required
of the SEC in order to permit continuation of fixed rates, and
standard of review a court should follow in reviewing such a
SEC determination.--

737

------------American Life Insurance Association:

Letter dated April 23, 1973, with attachments, to Chairman Moss,

commenting on H.R. 5050---
Letter dated July 6, 1973, to Secretary, Securities and Exchange

Commission, commenting on NYSE interpretation of rule 318 777
Life company stock trades under $100,000 and over $300,000,
January-June 1973.---

774 Portfolio turnover in the separate accounts funding pension plans for respondent life companies. ---

773

------

-- 767, 1976

Additional material supplied for the record by—Continued
American Stock Exchange, Inc.:

Page
Amex board of governors biographical data----

--- 568, 815 Letter dated September 6, 1973, from Paul Kolton, chairman, to

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transaction on Amex during past 5 years, and comparative
impact on Amex and NYSE of withdrawal of individual
investor from the market.---

----------- --- ----------------
Letter dated September 7, 1973, from Paul Kolton, chairman, to

Chairman Moss, responding to written questions of committee

staff .---
Memorandum commenting on titles II and III of H.R. 5050.---

Exhibit A-Letter dated December 22, 1972, from Paul

Kolton, president, to Chairman Moss, re proposal that
public governors be provided with independent staff

support...
Exhibit B—Letter dated March 6, 1973, from Paul Kolton,

president, to Lee A. Pickard, Associate Director, Division
of Market Regulation, Securities and Exchange Commis-
sion, commenting on SEC's proposed amendments to
rule 15c3-1..

----
Memorandum of comments on titles II, III, and V of H.R. 5050_

Supplemental statement relating to section 203 of H.R. 5050---Ash, Roy L., Director, Office of Management and Budget, Executive Office of the President, statement.--

---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)

-------------
Letter dated May 8, 1973, from James J. Needham, chairman,

NYSE, to John M. Meyer, Jr., chairman, BASIC, referring

to certain provisions of BASIC's model bill
Memorandum of Comment on title IV of H.R. 5050.
Supplement to Memorandum of Comment.---------

Text of model bill...---
Boston Stock Exchange, memorandum on the matter of members

on national securities exchanges by foreign-owned entities
Bradford Computer & Systems, Inc., proposed amendments to title

IV of H.R. 5050----Budge, Hamer H., former Chairman, Securities and Exchange Commission, statement.------

--------California, State of, Public Employees' Retirement System:

Letter dated August 14, 1973, from William E. Payne, executive

officer, to Chairman Moss, listing retrictions on types of
investment imposed by State ---

----------
Letter dated September 18, 1973, from Melvin W. Petersen,

Chief of Investments, to Chairman Moss, listing portfolio of

stocks held.-----
Letter dated October 11, 1973, from Melvin W. Petersen, Chief

of Investments, to Chairman Moss, setting forth an analysis

of stock trades below and above $300,000.---------------Cary, Professor William L., Columbia University School of Law and former Chairman, Securities and Exchange Commission: Outlook for Securities Markets, article from Harvard Business

Review, July-August 1971.---
Politics and the Regulatory Agencies, chapters 1, 2, and 5.----
Rulemaking and Administration, extract from 24 Administrative

Law Review, No. 4, June 1971.----
Casey, William J., Under Secretary for Economic Affairs, Depart-
ment of State, and former Chairman, Securities and Exchange
Commission, statement.-----

1912 1876 1898 1899

1761

Bradfordi onal securitiesc memorandum on

1812

420

1716

1727

1733

130

203

419

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