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Financial economics / Financial regulation / Primary dealers / Securities / Self-regulatory organizations / Securities research / Financial Industry Regulatory Authority / U.S. Securities and Exchange Commission / Mary Schapiro / United States securities law / Business / Finance


June 26,2003 Jonathan G. Katz Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C[removed]
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Document Date: 2003-08-15 12:48:58


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City

Washington / D.C. / /

Company

Citigroup Global Markets Inc. / UBS Warburg LLC / New York Stock Exchange Inc. / Bank of America N.A. / Goldman Sachs & Co. / JPMorgan Securities Inc. / Morgan Stanley & Co. Incorporated / Banc of America Securities LLC / Credit Suisse First Boston LLC / Merrill Lynch / NASD Regulation Inc. / Securities Dealers Inc. / Bane of America Securities LLC / Lehman Brothers / JPMorgan & Co. Incorporated / Pierce Fenner & Smith Incorporated / Bank of America Corporation / Exchange Comniission / /

Country

United States / /

Currency

USD / /

IndustryTerm

manufacturing facility / diverse services / indirect subsidiary / appropriate systems / non-investment banking securities / payroll services / offshore subsidiaries / investment banking services / technology experts / investment banking / indirect subsidiaries / investment bank / technology facility / non-investment banking services / nun securities services / non-investment banking / similar services / /

Organization

U.S. Securities and Exchange Commission / Efthe / National Association of Securities Dealers / Securities and Exchange Commission / /

Person

James A. Brigagliano / Elisse B. Walter / Paul S. Atkins / Jonathan G. Katz / Giovanni P. Prezioso / Mary L. Schapiro / Annette Nazareth / Thomas Selman / Larry L. Bergmann / Edward A. Kwalwasser / van Weezel / Cynthia A. Glassman / Stephen Cutler / Harvey J. Goldschmid / William H. Donaldson / Alan Beller / Margaret Grieve / Richard Grasso / /

/

Position

President / Chairman and Chief Executive Officer / Vice President / Research Analyst / Director / Division of Market Regulation / General Counsel / Group Executive Vice President / Director / Division of Enforcement / Assistant Director / Trading Practices / Division of Market Regulation / broker dealer / Director / Division of Corporation Finance / Vice President / Regulatory Affairs / Managing Director and Chief Operating Officer / Chairman / Chief Executive Officer / National Association / Commissioner / Chief Operating Officer and Executive Vice President / analyst / Vice President / Regulatory Affairs / /

ProvinceOrState

Arizona / /

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