investment banks / corporate and public finance / supervisory systems / /
Organization
Investment Banker's Association / Practicing Law Institute / Bond Market Association / Compliance and Legal Division / Association of Stock / Securities Industry Association / Audit Committee / SIA Compliance and Legal Division / A. DeMuro / SIA Compliance & Legal Division / U.S. Securities and Exchange Commission / Bureau of Labor Statistics / NASD / /
Person
Marc Menchel / John M. Ramsay / Paul A. Merolla / David A. DeMuro / Robert L.D. Colby / Mary L. Schapiro / Paul Saltzman / Barbara Z. Sweeney / Annette Nazareth / Stuart Kaswell / Katz / Robert R. Glauber / Catherine McGuire / O. Ray Vass / Amal Aly / / /
Position
Broker-Dealer / Chief Financial Officer / Internal Audit Department or Treasurer / Chief Compliance Officer / counsel / CEO / Deputy Director / Division of Market Regulation / Chief Operations Officer / Executive Vice President and General Counsel / Vice Chairman and President / Vice President and Acting General Counsel / Chairman and Chief Executive Officer / Chief Executive / Vice President / Senior Vice President / Office / senior officer / President / Regulatory Policy & Oversight / Executive Vice President / Proposed Chief Compliance Officer and Chief Executive Officer / Controller / Chief Financial Officer / Internal Audit Department / Director / Division of Market Regulation / General Counsel / Secretary / Associate Director/Chief Counsel / Increased CEO / broker dealer supervisory controls / The Compliance Officer / Senior Vice President / Office of General Counsel / /
Securities Industry Association February 6, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission