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| Jun. 21, 2006 |
Memorandum from the Division of Market Regulation regarding a June 6, 2006 meeting with representatives of Sanford C. Bernstein |
| Jun. 8, 2006 |
Memorandum from the Office of Commissioner Atkins regarding a June 5, 2006 meeting with representatives from Merrill Lynch |
| Jun. 7, 2006 |
Charles E. Schumer, United States Senator, and John E. Sununu, United States Senator |
| Jun. 2, 2006 |
Lee A. Pickard, Esq. and William D. Edick, Esq. Pickard and Djinis LLP, Counsel to The Alliance In Support Of Independent Research |
| May 31, 2006 |
Thomas A. Renyi, Chairman and Chief Executive Officer, The Bank of New York |
| May 2, 2006 |
Memorandum from the Division of Market Regulation regarding a May 1, 2006 meeting between members of the Division of Market Regulation and John Meserve of Westminster Research Associates, a BNY Securities Group Company |
| May 2, 2006 |
Memorandum from the Division of Market Regulation regarding an April 5, 2006 meeting between members of the Division of Market Regulation and members of the Alliance in Support of Independent Research |
| Apr. 27, 2006 |
Memorandum from the Division of Market Regulation regarding an April 27, 2006 meeting with representatives from Merrill Lynch & Co. |
| Apr. 21, 2006 |
Thomas N. McManus, Managing Director and Counsel, Morgan Stanley, New York, New York |
| Apr. 17, 2006 |
Peter E. Bulger, Chief Operating Officer, C.L. King & Associates, Inc., Albany, New York |
| Apr. 10, 2006 |
Memorandum from the Office of the Chairman regarding an April 5, 2006 meeting with representatives of the Alliance in Support of Independent Research. |
| Apr. 4, 2006 |
William T. George, Blue Sky Research Services, Encino, California |
| Mar. 28, 2006 |
David W. Miller, Vice-President and Assistant General Counsel, J.P. Morgan Securities Inc. |
| Mar. 23, 2006 |
Steve Goswell, Chair; Genevy Dimitrion, Vice Chair; Gary Probert, Vice Chair; ISITC (North America) |
| Mar. 13, 2006 |
Ann L. Combs, Assistant Secretary, Employee Benefits Security Administration, U.S. Department of Labor |
| Mar. 8, 2006 |
Neil Radey, Managing Director and General Counsel Americas, Credit Suisse Securities (USA) LLC, New York, New York |
| Mar. 6, 2006 |
Memorandum from the Division of Market Regulation regarding a March 2, 2006 meeting with representatives from JP Morgan Securities Inc. |
| Jan. 31, 2006 |
Memorandum from the Division of Market Regulation regarding a January 17, 2006 meeting with representatives from Goldman Sachs & Co. |
| Jan. 31, 2006 |
Memorandum from the Division of Market Regulation regarding a January 6, 2006 meeting with representatives from the Bank of New York, Morgan Lewis & Bockius LLP, ING Investment Management, and Mayer, Brown, Rowe & Maw LLP |
| Jan. 19, 2006 |
Memorandum from the Division of Market Regulation regarding a November 22, 2005 meeting with representatives from Instinet, LLC, and Kirkpatrick & Lockhart Nicholson Graham LLP |
| Jan. 19, 2006 |
Memorandum from the Division of Market Regulation regarding a January 6, 2006 meeting with representatives of The Bank of New York |
| Jan. 19, 2006 |
Memorandum from the Division of Market Regulation regarding a December 19, 2005 meeting with representatives of the Investment Adviser Association and T. Rowe Price |
| Jan. 18, 2006 |
Phillip K. Lynch, Chief Executive Officer, Reuters America LLC |
| Dec. 28, 2005 |
Tamar Frankel, Professor of Law, Boston University |
| Dec. 28, 2005 |
Julian Rainero, Bingham McCutchen LLP, on behalf of Frank Russell Securities, Inc. |
| Dec. 22, 2005 |
Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
|
| Dec. 19, 2005 |
Vandham Securities Corp. |
| Dec. 13, 2005 |
Dixie L. Johnson, Committee on Federal Regulation of Securities, Business Law Section, American Bar Association |
| Dec. 09, 2005 |
Jeffrey T. Letzler, Deputy General Counsel, Instinet, LLC, New York, New York |
| Dec. 08, 2005 |
Heidi Stam, General Counsel, The Vanguard Group, Inc., Valley Forge, Pennsylvania |
| Dec. 06, 2005 |
Christopher Buck, Executive Director, UBS Securities LLC, Stamford, Connecticut |
| Dec. 06, 2005 |
Wayne B. McAlpine, President, Commission Direct Inc. |
| Dec. 05, 2005 |
John M. Connolly, President and CEO, International Shareholder Services Inc. |
| Dec. 01 2005 |
Ira D. Hammerman, Senior Vice President and General Counsel, Securities Industry Association
|
| Dec. 01, 2005 |
Memorandum from the Division of Market Regulation regarding a November 29, 2005 meeting between members of the Division of Market Regulation and Jeffrey Brown and David Canter of Charles Schwab & Co., Inc.
|
| Nov. 30, 2005 |
Carlos W. Morales, Senior Vice President and Associate General Counsel, Merrill Lynch & Co., Inc. |
| Nov. 29, 2005 |
Stuart Karle, General Counsel, the Wall Street Journal on behalf of Dow Jones & Company, Inc. |
| Nov. 28, 2005 |
Jams A Duncan, Chairman and John C. Giesea, President & CEO, Security Traders Association |
| Nov. 28, 2005 |
David W. Miller, Vice President and Assistant General Counsel, J.P. Morgan Securities Inc. |
| Nov. 28, 2005 |
Gary W. Findlay, Executive Director, Missouri State Employees Retirement System, Jefferson City, Missouri |
| Nov. 27, 2005 |
Thomas F. Lamprecht, Philadelphia, Pennsylvania |
| Nov. 25, 2005 |
Kurt N. Schacht, CFA, Executive Director, and Jonathan A. Boersma, CFA, Director, Standards of Practice, CFA Centre for Financial Market Integrity, CFA Institute |
| Nov. 25, 2005 |
Jack Curran, FinTech Securities, Atlanta, Georgia |
| Nov. 25, 2005 |
Allan S. Mostoff, President, Mutual Fund Directors Forum |
| Nov. 25, 2005 |
Justin T. Kane, Director of Equity Trading, and Mark H. Dawson, CFA, Principal, Rainier Investment Management, Inc.
|
| Nov. 25, 2005 |
Henry H. Hopkins, Vice President and Chief Legal Counsel; and David Oestreicher, Vice President and Associate Legal Counsel, T. Rowe Price Associates, Inc. |
| Nov. 25, 2005 |
Deborah Doyle McWhinney, President, Charles Schwab & Co., Inc. |
| Nov. 25, 2005 |
Paul Schott Stevens, President, Investment Company Institute |
| Nov. 25, 2005 |
Alexandra Stocker, CEO, Sanderson & Stocker, Inc., Ithaca, New York |
| Nov. 25, 2005 |
Thomas G. Shugrue, President, Carolina Capital Markets, Inc., Chapel Hill, North Carolina |
| Nov. 25, 2005 |
Saul P. Sarrett, Director, Deputy General Counsel, ITG Inc., New York, New York |
| Nov. 25, 2005 |
Joseph M. Velli, Senior Executive Vice President, BNY Securities Group on behalf of The Bank of New York Company, Inc. |
| Nov. 25, 2005 |
Ken Hight, Executive Vice President, E*TRADE Financial Corporation
|
| Nov. 24, 2005 |
Gordon Midgley, Director of Research, IMA, London, England
|
| Nov. 24, 2005 |
John Kay, Chairman and Hans Plugge, Director, European Association of Independent Research Providers |
| Nov. 23, 2005 |
Monique S. Botkin, Counsel, Investment Adviser Association |
| Nov. 23, 2005 |
Thomas G. Shugrue, President, Carolina Capital Markets, Inc., Chapel Hill, North Carolina |
| Nov. 23, 2005 |
James H. Bodurtha, Chairman, Independent Directors Council
|
| Nov. 23, 2005 |
Kristi P. Wetherington, President, Capital Institutional Services, Inc., Dallas, Texas |
| Nov. 23, 2005 |
John G. Gaine, President, Managed Funds Association |
| Nov. 23, 2005 |
Lee A. Pickard, Esq., The Alliance In Support Of Independent Research, Washington, DC, District of Columbia |
| Nov. 23, 2005 |
Seward & Kissel LLP |
| Nov. 23, 2005 |
Sarah A. Miller, Director Center for Securities, Trust and Investments, American Bankers Association |
| Nov. 23, 2005 |
Barbara Roper, Director of Investor Protection, Consumer Federation of America; Mercer Bullard, President and Founder, Fund Democracy |
| Nov. 23, 2005 |
Barry P. Harris, IV, Ward and Smith, P.A, on behalf of First-Citizens Bank & Trust Company |
| Nov. 23, 2005 |
Grady G. Thomas, Jr., President, The Interstate Group, Division of Morgan Keegan & Company, Inc., Charlotte, North Carolina |
| Nov. 22, 2005 |
Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals |
| Nov. 22, 2005 |
David Quinlan, President, Eze Castle Software, Inc., Boston, Massachusetts |
| Nov. 22, 2005 |
Christiana Wood, CFA, Senior Investment Officer - CalPERS |
| Nov. 22, 2005 |
Charlotte Roederer, Esquire, Attorney in Private Practice, Amherst, New York |
| Nov. 21, 2005 |
Michael E. Bleier, General Counsel, Mellon Financial Corporation, Pittsburgh, Pennsylvania
|
| Nov. 21, 2005 |
Kim Bang, Bloomberg L.P. |
| Nov. 18, 2005 |
Bruce R. Bent, Chairman, The Reserve Funds, New York, New York |
| Nov. 17, 2005 |
John Eade, et al., Investorside Research Association |
| Nov. 17, 2005 |
Michael Donovan L Donovan, Registered Representative, Syracuse, New York |
| Nov. 16, 2005 |
Gavin Anderson, President and CEO, GovernanceMetrics International |
| Nov. 16, 2005 |
Rita G. Dew, CRCP, Founder and President, National Compliance Services, Inc., Delray Beach, Florida |
| Nov. 15, 2005 |
John W. Adams, Chairman, Adams Harkness |
| Nov. 15, 2005 |
Emmett M. Murphy |
| Nov. 10, 2005 |
Craig Slaughter, Executive Director, West Virginia Investment Management Board |
| Nov. 09, 2005 |
Memorandum from the Division of Market Regulation regarding a November 3, 2005 telephonic meeting between members of the Division of Market Regulation and Michael R. Butowsky of Mayer, Brown, Rowe & Maw LLP, dated November 9, 2005 |
| Nov. 09, 2005 |
David Riedel, Founder, Riedel Research Group, New York, New York |
| Nov. 08, 2005 |
Stephen L. Schardin, Managing Director - President Charles RIver Brokerage, LLC, Burlington, Massachusetts |
| Nov. 02, 2005 |
Neal J. Dean, Investor, Elk Grove Village, Illinois |
| Oct. 28, 2005 |
Bill George, Blue Sky Research Services, Encino , California |
| Oct. 26, 2005 |
Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado |
| Oct. 25, 2005 |
Bernard Notas |
| Oct. 21, 2005 |
Keith L. Shadrick, President, Axia Advisory Corporation, Indianapolis, Indiana |
| Oct. 21, 2005 |
Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado |
| Oct. 20, 2005 |
William T. George, Blue Sky Research Services, Encino, California |