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Comments on Proposed Rule:
Investment Company Governance

[Release Nos. IC-26323; File No. S7-03-04]



Comments have been received from individuals and entities using the following Letter Type A: 13,748
Apr. 26, 2007 H. Spencer Everett, Jr.
Mar. 19, 2007 Eugene V. Ciancanelli, Escondido, California
Mar. 13, 2007 John P. Freeman
Mar. 2, 2007 Mercer Bullard, President and Founder, Fund Democracy and Barbara Roper, Director of Investor Protection, Consumer Federation of America
Mar. 2, 2007 Thomas M. O'Brien, President, RMR Funds and RMR Advisors, Inc.
Mar. 2, 2007 William F. Ausfahl, L. Dale Crandall, Will C. Wood, Thomas A. Larsen, and John B. Taylor, Dodge & Cox Funds, San Francisco California
Mar. 2, 2007 Robert W. Uek, Chair, IDC Governing Council
Mar. 2, 2007 Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
Mar. 2, 2007 Richard L. Trumka, Secretary-Treasurer, AFL-CIO, Washington, District of Columbia
Mar. 2, 2007 Paul Schott Stevens, President, Investment Company Institute
Mar. 2, 2007 Kurt N. Schacht, Managing Director, and Linda L. Rittenhouse, Senior Policy Analyst, CFA Centre for Financial Market Integrity
Mar. 2, 2007 Evelyn Dilsaver, President, Schwab Funds
Mar. 2, 2007 Allan S. Mostoff, President, Mutual Fund Directors Forum
Mar. 2, 2007 David C. Chavern, Chief Operating Officer and Senior Vice President, U.S. Chamber of Commerce, Washington, District of Columbia
Mar. 1, 2007 Laura P. Lutton, Senior Mutual Fund Analyst, Morningstar, Inc., Chicago, Illinois
Feb. 28, 2007 Vern O. Curtis, Portland, Oregon
Feb. 28, 2007 Garrett Thornburg, Chairman of Trustees, Thornburg Investment Trust, Santa Fe, New Mexico
Feb. 27, 2007 David Gladstone, Chairman and CEO, Gladstone Capital Corporation, McLean, Virginia
Feb. 27, 2007 Peter C. Clapman, Chair, Board of Trustees, AARP Funds
Feb. 27, 2007 Richard G. Cline, Chairman, Northern Funds, Northern Institutional Funds and Northern Multi-Manager Funds
Feb. 20, 2007 C. Meyrick Payne and Jay Keeshan, Management Practice Inc., Stamford, Connecticut
Feb. 20, 2007 Roman L. Weil, Chairman, Audit Committee, Mainstay VP family of mutual funds, affiliated with NYLife Insurance Company
Feb. 9, 2007 John C. Bogle, Bogle Financial Markets Research Center
Feb. 2, 2007 Arne C. Mortensen, PhD, Kelso, Washington
Jan. 30, 2007 John E. Deysher, President, Pinnacle Value Fund, New York, New York
Dec. 29, 2006 Memorandum from the Office of Economic Analysis: Power Study as Related to Independent Mutual Fund Chairs
Dec. 29, 2006 Memorandum from the Office of Economic Analysis: Literature Review on Independent Mutual Fund Chairs and Directors
Dec. 19, 2006 Kelly S. McEntire, Huntsville, Utah
Nov. 29, 2006 James J. Antonopoulos, Law School, Villanova School of Law, Villanova, Pennsylvania
Oct. 2, 2006 David Nachtsheim, individual investor, Silver Spring, Maryland
Sep. 11, 2006 Gary A. Denton, Ph.D., Lexington, Kentucky
Sep. 11, 2006 Dale Gehring, Tucson, Arizona
Sep. 10, 2006 Marcella LaBelle, Manchester, Connecticut
Sep. 10, 2006 J. H. Alexander, California
Sep. 10, 2006 Charles N. Young, M.D., Tucson, Arizona
Sep. 7, 2006 Jane Chamberlain, Austin, Texas
Aug. 30, 2006 Henry E. Riggs, Chairman, Growth Fund of America and Fundamental Investors, part of the American Funds family, managed by The Capital Group, Stanford, California
Aug. 29, 2006 Barbara Baker, Gardner, Illinois
Aug. 27, 2006 George Clarke, Eugene, Oregon
Aug. 23, 2006 Barbara Baker, Portland, Oregon
Aug. 23, 2006 Mary Backes, Sartell, Minnesota
Aug. 21, 2006 Gerald W. McEntee, International President, American Federation of State, County and Municipal Employees
Aug. 21, 2006 Cyrus Ansary
Aug. 21, 2006 David C. Chaven, Vice President and Chief of Staff, U.S. Chamber of Commerce, Washington, District of Columbia
Aug. 21, 2006 Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company on behalf of Fidelity Investments
Aug. 21, 2006 Coleman Stipanovich, Executive Director, State Board of Administration of Florida
Aug. 21, 2006 Forrest R. Foss, Darrell N. Braman, Henry H. Hopkins, T. Rowe Price Associates, Inc. and T. Rowe Price International, Inc.
Aug. 21, 2006 Allan S. Mostoff, President, Mutual Fund Directors Forum
Aug. 21, 2006 Lacy B. Herrmann, Chairman, Aquila Management Corporation
Aug. 21, 2006 Mercer Bullard, Founder and President, Fund Democracy, Inc., and Barbara Roper, Director of Investor Protection, Consumer Federation of America
Aug. 21, 2006 Craig S. Tyle, Executive Vice President and General Counsel, Franklin Templeton Investments, San Mateo, California
Aug. 21, 2006 Donald H. Pratt
Aug. 21, 2006 Jerry D. Geist, Lead Independent Director of the Davis Funds, Tucson, Arizona
Aug. 21, 2006 Arne H. Carlson, Chairman of the Boards, RiverSource Funds
Aug. 21, 2006 Samuel E. Whitley, Attorney at Law, Whitley Law Group, P.C., Houston, Texas
Aug. 21, 2006 John A. Hill, The Putnam Funds, Boston, Massachusetts
Aug. 21, 2006 Joseph Kearns, Idependent Director-Morgan Stanley Funds
Aug. 21, 2006 John C. Bogle, Bogle Financial Markets Research Center, Valley Forge, Pennsylvania
Aug. 21, 2006 Evelyn Dilsaver, Ms., President, Schwab Funds, San Francisco, California
Aug. 21, 2006 Robert W. Uek Chair, IDC Governing Council, Independent Directors Council
Aug. 21, 2006 Richard L. Trumka, American Federation of Labor and Congress of Industrial Organizations
Aug. 21, 2006 Small Funds Committee, Investment Company Institute
Aug. 20, 2006 Elizabeth R. Krentzman, General Counsel, Investment Company Institute
Aug. 20, 2006 Eleanor Bloxham CEO, The Value Alliance and Corporate Governance Alliance
Aug. 20, 2006 James H. Bodurtha
Aug. 19, 2006 John Underwood, Brooklyn, New York
Aug. 19, 2006 John Keenan, Washington, District of Columbia
Aug. 19, 2006 Corbett Kroehler
Aug. 19, 2006 Turner Smith
Aug. 19, 2006 Teri Rolf
Aug. 18, 2006 Ann Yerger, Executive Director, Council of Institutional Investors
Aug. 18, 2006 Tom Decker Seip, Independent Trustee/Director, and C. Anne Harvey, Independent Trustee/Director, Neuberger Berman Funds
Aug. 18, 2006 Charles W.N. Thompson, Jr., Attorney, on behalf of Eliot R. Cutler, Chairman of the Independent, Trustees of Thornburg Investment Trust
Aug. 18, 2006 Peter C. Clapman, Chair, Board of Trustees, AARP Funds
Aug. 18, 2006 Anthony W. Deering, of behalf of the Committee of Independent Directors, T. Rowe Price Mutual Funds
Aug. 17, 2006 Roman L. Weil, PhD, CPA, University of Chicago, Professor of Accounting, Chicago, Illinois
Aug. 17, 2006 Christopher W. Claus, President and Chief Executive Officer, USAA Investment Management Company
Aug. 17, 2006 Paula Yates, Mount Perry, Ohio
Aug. 17, 2006 Robert F. (Bob) Barry, Denver, Colorado
Aug. 16, 2006 Sarah Prostak, Seattle, Washington
Aug. 16, 2006 Patricia Sullivan, Brewster, Ohio
Aug. 15, 2006 Anne J. Mills, Castle Rock, Colorado
Aug. 15, 2006 Kirk P. Pendleton, Chairman and Chief Executive Officer, Cairnwood Incorporated, Bryn Athyn, Pennsylvania
Aug. 15, 2006 Jody Wolfe, South Euclid, Ohio
Aug. 15, 2006 Carolyn Huber, Middleburg Hts., Ohio
Aug. 15, 2006 Kenneth C. Froewiss, Clinical Professor of Finance, NYU Stern School of Business, New York, NY
Aug. 15, 2006 Brian Obach, New Paltz, New York
Aug. 15, 2006 Vanessa C.L. Chang, independent director and Chair of the Audit Committees for New Perspective Fund, Inc., EuroPacific Growth Fund and New World Fund, Los Angeles, California
Aug. 15, 2006 Vanessa C.L. Chang, independent director and Chair of the Audit Committee of New Perspective Fund, Inc., Los Angeles, California
Aug. 14, 2006 Richard G. Cline, Hawthorne Investors Inc., Lisle, Illinois
Aug. 14, 2006 Thomas M. O'Brien, President, RMR Funds and RMR Advisors, Inc.
Aug. 14, 2006 LaVernie Hayes, San Diego, California
Aug. 14, 2006 Sandra Polk, Flemington, New Jersey
Aug. 14, 2006 Barbara Coufal, Bethesda, Maryland
Aug. 14, 2006 Luke Ackerman, Corvallis, Oregon
Aug. 14, 2006 Nancy Miller, Montclair, New Jersey
Aug. 14, 2006 Richard G. Cline, Hawthorne Investors, Inc., Lisle, Illinois
Aug. 14, 2006 Edward Dijeau, Union City, California
Aug. 14, 2006 John Benner, Seattle, Washington
Aug. 14, 2006 Kristen Zehner, Marshall, Wisconsin
Aug. 14, 2006 Louise Auerhahn, San Jose, California
Aug. 13, 2006 Thomas T. Mooney, Independent Chair, Prudential Insurance Cluster Mutual Funds
Aug. 13, 2006 Margaret M. Dardis, Levittown, Pennsylvania
Aug. 13, 2006 Marian Krewson, Bellevue, Washington
Aug. 13, 2006 Greg Mohr, New Castle, Pennsylvania
Aug. 13, 2006 Teresa Hopkins, Kirkland, Washington
Aug. 13, 2006 Scott Lecy, Stacy, Minnesota
Aug. 13, 2006 Eric Stordahl, Marquette, Michigan
Aug. 13, 2006 Linda Kaiser, Dearborn Heights, Michigan
Aug. 13, 2006 Dennis Kabasan, Asheville, North Carolina
Aug. 12, 2006 Curt & Karen Yarger, Mansfield, Ohio
Aug. 12, 2006 Lorrie Topolin, New Hope, Pennsylvania
Aug. 12, 2006 Phyllis Gray, Coeur d'Alene, Idaho
Aug. 12, 2006 William Patton, Teaneck, New Jersey
Aug. 12, 2006 Joseph Witt, Tulsa, Oklahoma
Aug. 12, 2006 Allen Rednour, Cicero, Indiana
Aug. 12, 2006 Dawn-Marie Driscoll, Executive Fellow, Center for Business Ethics, Cape Coral, FL
Aug. 12, 2006 Charles Branch, Cordova, Alaska
Aug. 12, 2006 J.L. Sramek, Duluth, Minnesota
Aug. 11, 2006 Charles W. Lutter, Jr.
Aug. 11, 2006 Geraldine Haen, Green Bay, Wisconsin
Aug. 11, 2006 Harold Stahl, Phoenix, Arizona
Aug. 11, 2006 Rick Mossinghoff, McKees Rocks, Pennsylvania
Aug. 11, 2006 Rodney Patterson, Canaan, New York
Aug. 11, 2006 Richard Gale, Daly City, CA
Aug. 11, 2006 Andrea S. Mathews, Tucson, AR
Aug. 11, 2006 Lawrence C. Foard, Westfield, MA
Aug. 11, 2006 Jim Steitz, Las Cruces, NM
Aug. 11, 2006 Jerry Pendergast, Chicago, IL
Aug. 11, 2006 John Templeton, Amherst, MA
Aug. 11, 2006 Leon Fenhaus, Rapid City, SD
Aug. 11, 2006 Raul Miller, Denver, CO
Aug. 11, 2006 John Kesich, Millerton, PA
Aug. 11, 2006 Gary Owen, Olmsted Twp., OH
Aug. 11, 2006 Mike Klein, Palatine, IL
Aug. 11, 2006 Mary Horvath, Erie, PA
Aug. 11, 2006 Susan Hill, Champaign, IL
Aug. 11, 2006 Katherine Katsenis, Torrance, CA
Aug. 11, 2006 Albert Palewicz, Baltimore, MD
Aug. 11, 2006 Doug Dysinger, Farwell, MI
Aug. 11, 2006 Karen Crow, Pittsburgh, PA
Aug. 11, 2006 Dorothy Joslin, Fairfax, VA
Aug. 11, 2006 Steve Garland, Houston, TX
Aug. 10, 2006 Leslie Prestwood, Milpitas, California
Aug. 10, 2006 Kathryn Benjamin, Sayville, New York
Aug. 10, 2006 Bud Berry, Maplewood, Minnesota
Aug. 10, 2006 Katharine Colgan, Buckingham, Pennsylvania
Aug. 10, 2006 James van Luik, Keene, New Hampshire
Aug. 10, 2006 Steven Moll, Philpot, Kentucky
Aug. 10, 2006 Carolyn Seibold, Tulsa, Oklahoma
Aug. 10, 2006 Mary Lee McIntyre, McLean, Virginia
Aug. 10, 2006 John Almli, Chaska, Minnesota
Aug. 10, 2006 Denny Cregut, Canonsburg, Pennsylvania
Aug. 10, 2006 Al Ermitage, Lyons, Illinois
Aug. 10, 2006 James McGettigan, Atlantic City, New Jersey
Aug. 10, 2006 Janne Bagley-Murray, Albuquerque, New Mexico
Aug. 10, 2006 Jim Reagan, Ballston Spa, New York
Aug. 10, 2006 S. L. Stebel, Los Angeles, California
Aug. 10, 2006 Nicholas Kisiel, Buffalo, New York
Aug. 10, 2006 Richard Osborn, Renton, Washington
Aug. 10, 2006 Kate Sharpe, Denver, Colorado
Aug. 10, 2006 Bernard Roth, Dartmouth, Massachusetts
Aug. 10, 2006 Chrisse Roccaro, Portland, Oregon
Aug. 10, 2006 Ronald Vigars, Westport, Connecticut
Aug. 10, 2006 Christopher F. Vota, Eastampton, New Jersey
Aug. 10, 2006 Valerie Bradshaw, Virginia Beach, Virginia
Aug. 10, 2006 Cynthia Yolland, Queen Creek, Arizona
Aug. 10, 2006 Pat Maples, Austin, Texas
Aug. 10, 2006 Louise E. Burg, Pueblo, Colorado
Aug. 10, 2006 Don Colcun, Wichita, Kansas
Aug. 10, 2006 Rene Harp, Maple Shade, New Jersey
Aug. 10, 2006 Janice Beydler, Independence, Missouri
Aug. 10, 2006 Barbara Mihopulos, Pittsburgh, Pennsylvania
Aug. 10, 2006 Keith Stracchino, Spokane, Washington
Aug. 10, 2006 Marie Wood, Macedonia, Ohio
Aug. 10, 2006 John Underwood, Brooklyn, New York
Aug. 10, 2006 John Underwood, Brooklyn, New York
Aug. 10, 2006 Dan Maceda, Narberth, Washington, D.C.
Aug. 10, 2006 Elizabeth Shipley, Narberth, Pennsylvania
Aug. 10, 2006 Karen Rapp, Parkville, Missouri
Aug. 10, 2006 David and Nancy Seigneur, Portland, Oregon
Aug. 10, 2006 Michael Tucker, San Diego, California
Aug. 10, 2006 Harvey Reading, Shoshoni, Wyoming
Aug. 10, 2006 Don Nokes, Seattle, Washington
Aug. 10, 2006 Joyce Sherokow, St. Louis, Missouri
Aug. 10, 2006 M. Gundrum, Wisconsin Dells, Wisconsin
Aug. 10, 2006 Ron Cardwell, Burlington, Kansas
Aug. 10, 2006 Doris Lohrey-Birch, Albion, Washington
Aug. 10, 2006 Ruth Pessin, Westbury, New York
Aug. 10, 2006 Judy Dietel, South Hadley, Massachusetts
Aug. 10, 2006 Mark Guarino, Hartford, New York
Aug. 10, 2006 Mary Bohl, Eau Claire, Wisconsin
Aug. 10, 2006 Albert Mayo, Imperial, Pennsylvania
Aug. 10, 2006 Pamela Ross, St. Louis, Missouri
Aug. 10, 2006 Cynthia Piper, North Olmsted, Ohio
Aug. 10, 2006 Robert Meyheim, San Lorenzo, California
Aug. 10, 2006 Michael Askins, McKinney, Texas
Aug. 10, 2006 Edward Kevorkian, South San Francisco, California
Aug. 10, 2006 James Welms, Parkville, Maryland
Aug. 10, 2006 R. Michael Ehr, Milwaukee, Wisconsin
Aug. 10, 2006 Carleton Spotts, Columbia, Missouri
Aug. 10, 2006 Dorotha Russell, Savoy, Illinois
Aug. 10, 2006 Mark Stough, Dittmer, Missouri
Aug. 10, 2006 Todd Johnston, Oxford, Michigan
Aug. 10, 2006 Nancy Gresham, Concord, Massachusetts
Aug. 10, 2006 Tim Evanson, Washington, D.C.
Aug. 10, 2006 Carol Klepper, Klamath Falls, Oregon
Aug. 10, 2006 Kedren Sitton, Bryan, Texas
Aug. 10, 2006 Frank Pinto, Davis, California
Aug. 10, 2006 Conni Schweinfurth, Colorado Springs, Colorado
Aug. 10, 2006 Beth Jones
Aug. 10, 2006 Shawn Kimmel, Ypsilanti, Michigan
Aug. 10, 2006 Tom Fox, Vernon, Vermont
Aug. 10, 2006 Paul Loret, Washington, New Jersey
Aug. 10, 2006 Emily Compton, Astoria, New York
Aug. 10, 2006 Kim Young, Tully, New York
Aug. 10, 2006 Den Mark Wichar, Vancouver, Washington
Aug. 10, 2006 Kurt Jasielonis, Tampa, Florida
Aug. 10, 2006 Loch Phillipps, Brooklyn, New York
Aug. 10, 2006 David Tarnowski, Lostant, Illinois
Aug. 10, 2006 Brian Warshaw, Plymouth Meeting, Pennsylvania
Aug. 10, 2006 Robert Barta, Mukilteo, Washington
Aug. 10, 2006 Lawrence Balthasar, Los Osos, California
Aug. 10, 2006 Joanne La Barre, Norfolk, New York
Aug. 10, 2006 Susan S. Pastin, Chicago, Illinois
Aug. 10, 2006 C.F. Sabourin, Fort Lauderale, Florida
Aug. 10, 2006 Bruce Dennis, Portland, Oregon
Aug. 10, 2006 Sandra Pang, Silver Spring, Maryland
Aug. 10, 2006 Phyllis Murphy, Evans Mills, New York
Aug. 10, 2006 John Krerowicz, Kenosha, Wisconsin
Aug. 10, 2006 Katherine Sturtz, Garden City, Texas
Aug. 10, 2006 Larry Dykas, Pennington, New Jersey
Aug. 10, 2006 L. Dixon, New York, New York
Aug. 10, 2006 Ana Salinas, Austin, Texas
Aug. 10, 2006 Lynn Cardiff, Salem, Oregon
Aug. 10, 2006 Ron Ennis, Breinigsville, Pennsylvania
Aug. 10, 2006 Amy Sullivan-Greiner, El Cajon, California
Aug. 10, 2006 Jeb Stuart, Manchester, Missouri
Aug. 10, 2006 Joseph R. Lysaght, Sr., Bethel Park, Pennsylvania
Aug. 10, 2006 Maida Genser, Tamarac, Florida
Aug. 10, 2006 David VanDaele, Maybee, Michigan
Aug. 10, 2006 Carol Higgs, Baltimore, Maryland
Aug. 10, 2006 Tony Prokott, Minneapolis, Minnesota
Aug. 10, 2006 Evelyn and Valmar Schaaf, San Anselmo, California
Aug. 9, 2006 David Lerner, Chairman, Spirit of America Investment Fund, Inc., Syosset, New York
Aug. 8, 2006 Richard A. Redeker, Independent Director, Stone Harbor, New Jersey
Aug. 7, 2006 Virginia Stringer, Independent Chair, First American Funds
Aug. 4, 2006 William L. Armstrong, on behalf of the Board of Directors of Oppenheimer Board II Mutual Funds
Aug. 4, 2006 David Gladstone, Chairman and Chief Executive Officer of Gladstone Capital Corporation, McLean, Virginia
Aug. 3, 2006 J. Atwood Ives, Chairman, on behalf of the Independent Trustees of the MFS Funds
Jul. 31, 2006 Alfred M. Rankin, Jr., on behalf of the Independent Directors of the Vanguard Funds
Jul. 27, 2006 Wilmot H. Kidd, III, President, Central Securities Corporation, New York, New York
Jul. 27, 2006 Richard F. Curcio, Chairman, The Valiant Fund, Venice, Florida
Jul. 19, 2006 Michael J. Penn, Libertyville, Illinois
Jul. 13, 2006 Vern O. Curtis, Portland, Oregon
Jul. 13, 2006 James A. Almond, Allen, Texas
Jul. 13, 2006 Christopher Meyrick Payne, MBA, CPA, FCA, Partner, Management Practice Inc., Stamford, Connecticut
Jul. 12, 2006 Peter J. Wallison, Resident Fellow, American Enterprise Institute
Jul. 10, 2006 Kelly S. McEntire, Retired Management Professional, Huntsville, Utah
Jul. 7, 2006 Stephen B. Timbers, Lake Forest, Illinois
Jul. 5, 2006 Andrew H. Dral, Investment Officer, Sacramento, California
Jul. 5, 2006 Wilmot H. Kidd
Jun. 28, 2006 E. Philip Cannon, Cannon & Company
Jun. 28, 2006 Anonymous
Jun. 28, 2006 Thad Penn
Jun. 27, 2006 Mordecai Rosenfeld
Jun. 24, 2006 Gerald A. Strickland, Stuart, Florida
Jun. 23, 2006 Ron A. Rhoades, Director of Research, Chief Compliance Officer, Joseph Capital Management, LLC
Jun. 23, 2006 Charles J. Gerut, retired, Lombard, Illinois
Jun. 23, 2006 Michael Karr
Jun. 23, 2006 Mike and Barbara Hurley
Jun. 22, 2006 Bob and Barb Kowalski
Jun. 20, 2006 Charles Gordon, CEO, Royal Oak, Michigan
Jun. 19, 2006 Ralph S. Saul, Philadelphia, Pennsylvania
Jun. 19, 2006 E. Malcolm York, Retired, formerly a chief financial officer of a large private company , Vero Beach, Florida
Jun. 19, 2006 Robert Fort, Stockton, California
Jun. 19, 2006 Roy Malis, CFP
Jun. 19, 2006 Bob Fischella, Tucson, Arizona
Jun. 19, 2006 Robert Kleinman, Financial Services, Port Washington, New York
Jun. 19, 2006 Eric E. Haas, Chief Investment Officer, Altruist Financial Advisors LLC, Holland, Michigan
Jun. 18, 2006 E. J. Haas
Jun. 17, 2006 Larry Sill
Jun. 17, 2006 Charles Price, Sun City, Arizona
Jun. 16, 2006 John E. Deysher, President, Bertolet Capital LLC
Jun. 16, 2006 Nicholas Gerber
Jun. 16, 2006 Stephen Kong, Miami, Florida
Jun. 16, 2006 David F. Cooley, CFA, Bay Village, Ohio
Jun. 16, 2006 Eugene Ciancanelli
Jun. 16, 2006 Faith Franck
Jun. 15, 2006 Margaret E. Cooper, Atascadero, California
Jun. 15, 2006 Steven Underwood
Jun. 15, 2006 Victor Noer
Jun. 15, 2006 John Hicks, Great Falls, Virginia
Jun. 15, 2006 Larry Brinkman, Owatonna
Jun. 15, 2006 Wayne P. Brown, Houston, Texas
Jun. 15, 2006 James E. McCoy, Stilwell, Kansas
Jun. 15, 2006 Sheila Miller, Lynnwood, Washington
Jun. 15, 2006 Martha S. Royo, Palm Harbor, Florida
Jun. 15, 2006 Timothy Tierney
Jun. 15, 2006 Gordon W. Wheat, MD, Olympia, Washington
Jun. 15, 2006 Tony C. Tham, San Mateo, California
Jun. 15, 2006 Vernon C. Mueller, St. Charles, Missouri
Jun. 15, 2006 Paul Garrett, League City, Texas
Jun. 15, 2006 Danny E. Davis, Investor, Dublin, Georgia
Jun. 15, 2006 John M. Shiels, Investor, Sacramento, California
Jun. 15, 2006 Thomas Troy, SF Bay Area, California
Jun. 15, 2006 James V. Bess, None, Laquey, Missouri
Jun. 15, 2006 John P. Claassen, .Ph.D., Individual Investor, Asotin, Washington
Jun. 15, 2006 David Meldrum, Officer, U.S. military reserves (and veteran - OIF, OEF and Noble Eagle), Texas
Jun. 15, 2006 James Wickesberg, Investor, St. Helena, California
Jun. 14, 2006 Richard J. Gregory
Jun. 14, 2006 E. Briggs
Jun. 14, 2006 William Haight, State Not Identified In Complaint
Jun. 14, 2006 Christ Anastoff, Mr., Carmel, Indiana
Jun. 14, 2006 Lynn D. Russell, PhD, CEO, DC Group International, Inc., Boise, Idaho
Jun. 14, 2006 Bob Buffington, Plano, Texas
Jun. 14, 2006 Joseph F. Dickey, Ph.D., Clemson, South Carolina
Jun. 14, 2006 Douglas A. Frank, Clinton Township, Michigan
Jun. 14, 2006 Daniel Ruchkin, Baltimore, Maryland
Jun. 14, 2006 Richard Morgana, Bronx, New York
Jun. 14, 2006 John A. Bailey, CFA, self, Danvers, Massachusetts
Jun. 14, 2006 James S. Simpson Jr.
Jun. 14, 2006 Richard Bryan, Austin, Texas
Jun. 14, 2006 Jay Creede, Baldwin, Michigan
Jun. 14, 2006 Mike Miles, Medford, Oregon
Jun. 14, 2006 Robert L. Shaffer, Independent investor, Sierra Vista, Arizona
Jun. 14, 2006 Doug Spitler
Jun. 14, 2006 Stephen G. Stanton, Esquire, Paoli, Pennsylvania
Jun. 14, 2006 Dale H. Twachtmann, Retired Environmental Consultant, Lakeland, Florida
Jun. 14, 2006 Herbert L. Weyl, CPA (Ret), Ohio Society of CPA's (Member Emeritus)
Jun. 14, 2006 Merle M. Wygal, BS, V. Pres, KMB Medical Billing Svcs, Chandler, Arizona
Jun. 14, 2006 Ashwin Pandya, M.D.
Jun. 14, 2006 Nikhil Shukla, M.S.
Jun. 14, 2006 Samuel D. Haskell, Ph.D, Douglasville, Georgia
Jun. 14, 2006 Edward M. Anthis, Tulsa, Oklahoma
Jun. 14, 2006 Thomas Bonito, CPA, New Jersey State Society of CPAs, Livingston, New Jersey
Jun. 14, 2006 Ken Dixon, Batavia, Ohio
Jun. 14, 2006 Robert K. Dyer, M.D., Retired, Hendersonville, North Carolina
Jun. 14, 2006 David W. Gast, Wheaton, Illinois
Jun. 14, 2006 Robert MacDonald
Jun. 14, 2006 Brian C. McConnell, Fullerton, California
Jun. 14, 2006 Peter W. Melitz, Westlake Village, California
Jun. 14, 2006 Barbara Mortensen, Investor, Madison, Wisconsin
Jun. 14, 2006 Robert J. Rickard
Jun. 14, 2006 Thomas H. Simmonds, owner of funds
Jun. 14, 2006 W. Weeber, ALPA, Seneca, South Carolina
Jul. 9, 2004 Thomas R. Reeves, Jonesboro, Arizona
Jun. 28, 2004 Bill Majure
Jun. 24, 2004 Ron & Nancy Cornell, Salt Lake City, UT
Jun. 24, 2004 Lee B. Schierloh
Jun. 24, 2004 Gordon Fisher
Jun. 24, 2004 John D. Larson, Nevis, MN
Jun. 22, 2004 Anonymous reviewer
Jun. 21, 2004 Judd Gregg, Chairman, Subcommittee on Commerce, Justice, State, the Judiciary and Related Agencies
Jun. 21, 2004 Clayton Yeutter, Hogan & Hartson
Jun. 17, 2004 Charles K. Carlson, President, Greenspring Fund, Incorporated
Jun. 15, 2004 Richard C. Breeden, G. Brandford Cook, Roderick M. Hills, Arthur Levitt, Harvey L. Pitt, David S. Ruder and Harold M. Williams, all of the living former Chairmen of the Securities and Exchange Commission
Jun. 7, 2004 Memorandum from the Division of Investment Management regarding a June 3 meeting with respresentatives of USAA
Jun. 3, 2004 Joseph J. Kearns
Mar. 28, 2004 Memorandum from the Office Commissioner Glassman regarding a March 25, 2004 meeting with representatives from the United Services Automobile Association
May 25, 2004 John A. Hill, Chairman of the Board, Putnam Mutual Funds, Boston, Massachusetts
May 25, 2004 John C. Bogle, Founder and Former CEO, The Vanguard Group
May 20, 2004 Michael G. Oxley, Chairman, Committee on Financial Services, U.S. House of Representatives
May 19, 2004 Senator Robert Bennett
May 18, 2004 Fergus Reid, Independent Chairman, JP Morgan Funds
May 17, 2004 Glendon E. Johnson, Jr., Director, Ivy Funds, Washington, District of Columbia
May 14, 2004 Allan S. Mostoff, President, and David S. Ruder, Chairman, Mutual Fund Directors Forum
May 12, 2004 John A. Hill, Chairman, The Putnam Funds
May 11, 2004 Lacy B. Herrmann, Chairman and Chief Executive Officer, Aquilasm Group of Funds
May 10, 2004 Gary Anderson
May 3, 2004 Gil Gutknecht, Member of Congress
Apr. 29, 2004 William F. Ausfahl, L. Dale Crandall, Thomas A. Larsen, and Will C. Wood, Dodge & Cox Funds
Apr. 26, 2004 Michael J. Downer, Capital Research and Management Company
Apr. 16, 2004 George R. Fisher, Newtown, PA
Apr. 14, 2004 James E. Grant, CPA, Author, National Public Speaker on Mutual Fund Investing, Carbondale, Colorado
Apr. 13, 2004 Memorandum from Daphne Tippens Chisolm, Counsel to Commissioner Goldschmid regarding a meeting with Marvin L. Mann, Chairman of the Independent Trustees of the Fidelity Funds, and Kenneth J. Berman, Debevoise & Plimpton LLP
Apr. 11, 2004 W. Hardy Callcott
Apr. 9, 2004 Memorandum from Daphne Tippens Chisolm, Counsel to Commissioner Goldschmid regarding meeting with Fidelity Management & Research Company
Apr. 8, 2004 Edward M. Tighe, Independent Trustee, Fort Lauderdale, Florida
Apr. 7, 2004 John E. Sunumu, U.S. Senator, Mike Crapo, U.S. Senator, Jim Bunning, U.S. Senator, Mike Enzi, U.S. Senator and Chuck Hagel, U.S. Senator
Apr. 7, 2004 Michael G. Smith, Independent Director of the Ivy Funds Board
Apr. 5, 2004 Jarold W. Boettcher, CFA
Apr. 2, 2004 Joseph Harroz, Lead Independent Director, Board of Directors of the Ivy Funds
Apr. 2, 2004 Andrew A. Strauss, Esquire, Strauss & Associates, PA
Mar. 19, 2004 Association for Investment Management and Research
Mar. 19, 2004 Mary Van Vliet
Mar. 18, 2004 [Revised]Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
Mar. 17, 2004 Jim Greene
Mar. 17, 2004 Sarah A.B. Teslik
Mar. 16, 2004 Phil Lamoreaux
Mar. 15, 2004 Mitchell M. Merin, President and Chief Operating Officer, Investment Management, MorganStanley
Mar. 14, 2004 Phillip Goldstein, President, Kimball & Winthrop, Inc.; Opportunity Partners L.P., Pleasantville, New York
Mar. 12, 2004 David Certner, Director, Federal Affairs, AARP
Mar. 11, 2004 Brian Cohen, Fidelity Fund Holder, Seattle, Washington
Mar. 11, 2004 U.S. Representative Michael G. Oxley, Chairman, House Committee on Financial Services; U.S. Representative Richard H. Baker, Chairman, House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises; U.S. Senator Peter G. Fitzgerald, Chairman, Senate Governmental Affairs, Subcommittee on Financial Management, the Budget, and International Security; U.S. Senator Daniel K. Akaka, Ranking Member, Senate Governmental Affairs Subcommittee on Financial Management, the Budget, and International Security; and U.S. Senator Carl Levin, Ranking Member, Senate Governmental Affairs Permanent Subcommittee on Investigations
Mar. 10, 2004 Ralph Bakkensen, Andover, MA
Mar. 10, 2004 Independent Directors of the American Century Funds
Mar. 10, 2004 Morningstar, Inc.
Mar. 10, 2004 Barbara Roper, Director of Investor Protection, Consumer Federation of America; Mercer Bullard, Founder and President, Fund Democracy, Inc.; Kenneth McEldowney, Executive Director, Consumer Action; Sally Greenberg, Senior Counsel, Consumers Union; Frank Clemente, Director, Public Citizen's Congress Watch
Mar. 10, 2004 Arnold L. Lehman, Legg Mason Wood Walker, Inc., Baltimore, Maryland
Mar. 10, 2004 James H. Bodurtha, Chair, Directors' Committee, lnvestment Company Institute
Mar. 10, 2004 George Keane, chairman, Audit Committee of Nicholas Applegate Funds, San Diego, California
Mar. 10, 2004 Roy Sandstrom
Mar. 10, 2004 John K.S. Wilson, Director - Socially Responsible Investing
Mar. 10, 2004 Karen Maughan, Anacortes, Washington
Mar. 10, 2004 Rosemary Clausen
Mar. 10, 2004 Stephen Y. Ascher, Ascher Decision
Mar. 10, 2004 Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Mar. 10, 2004 R. Bruce Josten, U.S. Chamber of Commerce
Mar. 10, 2004 John J. Brennan, Chairman and Chief Executive Officer, The Vanguard Group
Mar. 10, 2004 Charles D. Ellis, Senior Adviser and Former Managing Partner, Greenwich Associates; Rajiv L. Gupta, Chairman and Chief Executive Officer, Rohm and Haas Co.; JoAnn Heffernan Heisen, Vice President, Chief Information Officer and Member of Executive Committee, Johnson & Johnson; Burton G. Malkiel, Professor of Economics, Princeton University; Alfred M. Rankin, Jr., Chairman, President and Chief Executive Officer, NACCO Industries, Inc.; J. Lawrence Wilson, Retired Chairman and Chief Executive Officer, Rohm and Haas Co.
Mar. 10, 2004 Robert G. Davis, Chairman and Chief Executive Officer, United Services Automobile Association
Mar. 10, 2004 Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc.
Mar. 10, 2004 Scott L. Barbee, Managing Director, Berno, Gambal & Barbee, Inc.
Mar. 10, 2004 James L. Bicksler, Rutgers University, School of Business
Mar. 10, 2004 Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
Mar. 10, 2004 Edward E. Sammons, Jr., President, Asset Management Fund and Shay Assets Management, Inc., Chicago, Illinoisb
Mar. 10, 2004 Daniel M. Clifton, Executive Director, American Shareholders Association
Mar. 10, 2004 Craig S. Tyle, General Counsel, Investment Company Institute
Mar. 10, 2004 John E. Murray, Jr., Lead Director, The Federated Funds, Federated Investors, Inc.
Mar. 9, 2004 Graham T. Allison, Jr.; Kenneth J. Cowan, Chair, Contract Review and Governance Committee; Edward A. Benjamin; Richard Darman; Daniel M. Cain, Chair, Audit Committee; Sandra O. Moose; Paul G. Chenault; John A. Shane, CDC Nvest Funds and Loomis Sayles Funds
Mar. 9, 2004 Dorothy E. Bourassa, Pioneer Investment Management, Inc., Boston, Massachusetts
Mar. 9, 2004 Sullivan & Cromwell
Mar. 9, 2004 Stuart H. Coleman, Chair, Committee on Investment Management Regulation, Association of the Bar of the City of New York
Mar. 9, 2004 Additional Marvin L. Mann, Chairman, Independent Trustees
Mar. 9, 2004 Ashok N. Bakhru, Chairman of the Board and Independent Trustee, Goldman Sachs Trust, Goldman Sachs Variable Insurance Trust
Mar. 9, 2004 Theresa A. Hamacher, Principal and Elizabeth A. Watson, Principal, Versanture Consulting
Mar. 9, 2004 Mary Ellen Harris, Bothell, Washington
Mar. 9, 2004 William Affleck-Asch, Seattle
Mar. 9, 2004 Brian J. Edwards, Seattle, Washington
Mar. 9, 2004 Kenneth D. Marvel and Terri L. Alexander, Edmonds, Washington
Mar. 9, 2004 Glenn Young
Mar. 9, 2004 Chuck Tarvin, Bainbridge Island, Washington
Mar. 9, 2004 Tom Walker
Mar. 9, 2004 Dave Wood
Mar. 9, 2004 R. L. Rodbury, Kent, Washington
Mar. 9, 2004 Wallace Powelson, Seattle, Washington
Mar. 9, 2004 William L. Livingston, PE
Mar. 9, 2004 Philip L. Katz, Seattle, Washington
Mar. 9, 2004 D. A. Wickersham, Port Hadlock, Washington
Mar. 8, 2004 James Fankhauser
Mar. 8, 2004 David S. Kircher, Seattle, Washington
Mar. 8, 2004 Richard G. Cline, Hawthorne Investors, Inc.
Mar. 8, 2004 Rebecca Herzfeld and Gordon Crawford
Mar. 8, 2004 Mr. F.A. Sorrel, Seattle, Washington
Mar. 8, 2004 C. Carey
Mar. 8, 2004 Arthur Dietrich, Medina, Washington
Mar. 8, 2004 Richard Beckenbaugh
Mar. 8, 2004 Gary Vuchinich
Mar. 8, 2004 James and Diane Snell, Seattle, Washington
Mar. 8, 2004 Robert E. Condon, Clyde Hill, Washington
Mar. 8, 2004 Laurie
Mar. 8, 2004 Bob Schaeffer,Green Bay, WI
Mar. 8, 2004 George E. Creel, Hernando Beach, FL
Mar. 8, 2004 The Catons
Mar. 8, 2004 Tim Riley
Mar. 8, 2004 Robert M. Tourtelot, Lummi Island, Washington
Mar. 8, 2004 Venu Aravamudan
Mar. 8, 2004 M. June Ross, Des Moines, Washington
Mar. 8, 2004 F.E. James, Ph.D., James Investment Research, Inc., Alpha, Ohio
Mar. 7, 2004 Edwin A. Clay, investor, Bellingham, Washington
Mar. 7, 2004 Dwight Thompson
Mar. 7, 2004 Al Wingert
Mar. 7, 2004 Thor Christensen
Mar. 7, 2004 Ron Smith, Federal Way, Washington
Mar. 7, 2004 Ronald C. Schick
Mar. 7, 2004 Al McCrary
Mar. 7, 2004 Larry E. Swift
Mar. 7, 2004 Donald T. Brubeck, Seattle, Washington
Mar. 7, 2004 Lorraine Lamey
Mar. 7, 2004 Sheila Fehrenbach
Mar. 7, 2004 Charlie Young
Mar. 7, 2004 Chris Crowder
Mar. 7, 2004 David Harman
Mar. 7, 2004 William Penhallegon
Mar. 7, 2004 Eduardo
Mar. 7, 2004 Bob Denney
Mar. 7, 2004 Howard & Susan McElroy
Mar. 7, 2004 Don Mortenson
Mar. 7, 2004 John G. Innes
Mar. 7, 2004 Dwight Thompson
Mar. 6, 2004 Joe Matt
Mar. 6, 2004 Richard A. Mitchell
Mar. 5, 2004 David Rees, Chairman of the Audit Committee of Source Capital, Inc. and on behalf of the Independent Directors
Mar. 4, 2004 Mary Ann Dolan, AMCAP/AMF/ICA, and Martin Fenton, AMCAP/ AMF / ICA / Fixed Income, Senior Resource Group, San Diego, California
Mar. 4, 2004 Ronald, J. Abdow, Abdow Corp., West Springfield, Massachusetts
Mar. 4, 2004 Robert H. Wadsworth, Paradise Valley, Arizona
Mar. 4, 2004 David W. Fox, Lead Disinterested Trustee, and Jehie M. Edwards, Audit Committee Chairman, of EQ Advisors Trust
Mar. 4, 2004 Dr. James A. Gentry, Joseph Andrew Hays, and Harold W. Nations of ICAP FUNDS, INC.
Mar. 4, 2004 Steve Odland, Chairman, President & CEO of AutoZone, Inc.
Mar. 2, 2004 Marvin L. Mann, Chairman of the Independent Trustees, The Fidelity Funds, Boston, Massachusetts
Mar. 2, 2004 Keith J. Matthews fowarded by Frank R. Wolf, Member of Congress, U.S. House of Representatives
Mar. 1, 2004 William L. Livingston, P.E
Mar. 1, 2004 Cyrus A. Ansary, Chairman of the Governance Committee, of Washington Mutual Investors Fund
Feb. 29, 2004 John R. Miniutti
Feb. 27, 2004 John G. McDonald, the IBJ Professor of Finance, Stanford University
Feb. 26, 2004 Scott C. Newquist, President and CEO, Board Governance Services, Inc.
Feb. 26, 2004 Mr. and Mrs. Clifford Edgcumbe
Feb. 26, 2004 Vanessa C.L. Chang
Feb. 26, 2004 K.D.Hill
Feb. 26, 2004 Leslie Ogg, President, Board Services Corporation
Feb. 25, 2004 T. Rowe Price Mutual Funds
Feb. 25, 2004 Rick Garlick
Feb. 25, 2004 Joseph E. May
Feb. 24, 2004 Salvatore J. Carminati
Feb. 24, 2004 Donald B. Campbell, West Chester, Pennsylvania
Feb. 24, 2004 Patricia Rizzolo
Feb. 24, 2004 Anonymous
Feb. 24, 2004 John and Judy Hesselberth
Feb. 24, 2004 Bob Cramer
Feb. 24, 2004 John Honeck
Feb. 23, 2004 Martin Brody, David Gale, Morgan Gust, and Robert F. Wulf, C.F.A., The Independent Directors of Flaherty & Crumrine Preferred Income Opportunity Fund Incorporated
Feb. 20, 2004 Walter E. Auch, Sr.
Feb. 17, 2004 Douglas W. Palme, Kansas City, Missouri
Feb. 16, 2004 Irving Lehman Straus, Chairman, of Straus Corporate Communications
Feb. 16, 2004 Irwin Fischman, CPA
Feb. 16, 2004 William R. Dill
Feb. 16, 2004 M. Hunt Broyhill, Vice President, BMC Fund, Inc.
Feb. 13, 2004 Samuel E. Hessrity
Feb. 11, 2004 U.S. Representatives Patrick Tiberi, Bob Ney, Steve LaTourette, Ruben Hinojosa, Melissa Hart, Jay Inslee, Michael Capuano, Vito Fossella, Dennis Moore, Joseph Crowley, Chris Bell, and Steve Israel
Feb. 11, 2004 Jay S. Neuman, Corporate Counsel, Federated Investors, Inc.
Feb. 11, 2004 David Gladstone, Chairman, National Association of Business Development Companies received "
Feb. 11, 2004 Jonathan M. Keys
Feb. 10, 2004 Vern 0. Curtis
Feb. 9, 2004 Maurice Schoenwald, Chairperson, New Alternatives Fund, Inc.
Feb. 4, 2004 William L. Armstrong
Feb. 4, 2004 Elizabeth R. Bramwell, CFA President, Bramwell Funds, Inc. and Bramwell Capital Management, Inc.
Feb. 2, 2004 Anne J. Mills
Jan. 28, 2004 Paul Koester
Jan. 25, 2004 Mike Montgomery
Jan. 25, 2004 Frank Sanchez
Jan. 24, 2004 Terry Murtaugh
Jan. 22, 2004 Jerald H. Meissner
Jan. 21, 2004 Ralph S. Saul
Jan. 15, 2004 Henry P. Becton,Jr., Independent Truste, Scudder Funds
Jan. 14, 2004 U.S. Representative Richard H. Baker, Chairman, House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises
Jan. 14, 2004 Peter Ryan
Jan. 14, 2004 James J. McMonagle
Jan. 12, 2004 Robert G. Davis, Chairman and Chief Executive Officer of United Services Automobile Association
Jan. 7, 2004 J. Lawrence Wilson, lead independent trustee of the Vanguard finds and Chairman of their Audit Committee
Jan. 7, 2004 Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
Jan. 5, 2004 Dawn-Marie Driscoll, President, Driscoll Associates
Nov. 28, 2003 Samuel D. Haskell, Ph.D.
Nov. 28, 2003 Jonathan M. Keyes
Jul. 24, 2003 Mary Jane Baker

 

http://www.sec.gov/rules/proposed/s70304.shtml


Modified: 10/16/2014