SECURITIES AND EXCHANGE COMMISSION

SECURITIES AND EXCHANGE COMMISSION

450 Fifth Street NW 20549

SECURITIES AND EXCHANGE COMMISSION 450 Fifth Street NW 20549, phone (202) 942-8088, TTY Relay Service 1-

800-877-8339 fax 942-9628, http://www.sec.gov

THE COMMISSION Chairman.--William Donaldson, 942-0100, fax 942-9646.

Counselor to the Chairman.--Martha Peterson.

Counsel to the Chairman: Anil Abraham, David Huntington, Jeffrey

Minton.

Managing Executive for--

Operations.--Peter Derby.

Policy and Staff.--Joseph Hall.

Commissioners:

Paul Atkins, 952-0700, fax 942-9521.

Counsel to the Commissioner: Susan Ameel, David Nason,

Hester Peirce.

Roel Campos, 942-0500, fax 942-9647.

Counsel to the Commissioner: Scot Draeger, Keir Gumbs,

Heather Traeger.

Cynthia A. Glassman, 942-0600, fax 942-9666.

Counsel to the Commissioner: Julie Bell, Mark Berman, Mary

Head.

Harvey Goldschmid, 942-0800, fax 942-9563.

Counsel to the Commissioner: Tracey Aronson, Daphne Chisolm,

Luis DeLatorre.

OFFICE OF THE SECRETARY Secretary.--Jonathan G. Katz, 942-7070.

Deputy Secretary.--Margaret H. McFarland, 942-7070.

Library Director.--Cindy Plisch, 942-7086.

OFFICE OF INVESTOR EDUCATION AND ASSISTANCE Director.--Susan Ferris-Wyderko, 942-7040, fax 942-9634.

OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY Director.--Deborah K. Balducchi, 551-6006, fax 942-9547. [[Page 806]]

OFFICE OF FREEDOM OF INFORMATION AND PRIVACY ACT OPERATIONS FOIA Officer.--Celia Winter, 551-7900.

FOIA / PA Branch Chiefs: Brenda Fuller, Ligia Glass, Frank

Henderson.

OFFICE OF THE CHIEF ACCOUNTANT Chief Accountant.--Carol Stacey, 942-2960.

Deputy Chief Accountant.--Craig Olinger, 942-2960.

Chief Counsel.--Paula Dubberly, 942-2900.

OFFICE OF ECONOMIC ANALYSIS Chief Economist.--Chester Spatt, 551-6600.

Deputy Chief Economist.--Jonathan Sokobin.

OFFICE OF THE GENERAL COUNSEL General Counsel.--Giovanni P. Prezioso, 942-0900, fax 942-9625.

Special Assistant for Management.--Virginia A. Mayberry, 942-0832.

Deputy General Counsel.--Meyer Eisenberg, 942-0966.

Ethics Counsel.--William Lenox, 942-0970.

Solicitor, Appellate Litigation and Bankruptcy.--Jacob H. Stillman,

942-0930.

Assistant General Counsels: Eric Summergrad (Principal Assistant),

942-0911; Katharine Gresham (Bankruptcy and Appellate

Litigation), 942-0810; Randall Quinn (Appellate Litigation),

942-0933.

Associate General Counsel for Litigation and Administrative

Practice.--Richard M. Humes, 942-0875.

Assistant General Counsels: Melinda Hardy, 942-0877, Samuel

Forstein, 942-0871;

(Litigation and Administrative Practice); George C. Brown

(Litigation and Contracting), 942-0828.

Principal Associate General Counsel for Legal Policy.--Meredith

Mitchell, 942-0834.

Assistant General Counsels: Arthur Laby (Investment Management,

PUHCA and Administrative Law), 942-0958; Janice Mitnick

(Market Regulation), 942-0935; David Fredrickson

(Corporation Finance and Accounting), 942-0916; Stephen Jung

(Legislation and Financial Services), 942-0927; Richard

Levine (Enforcement), 942-0886.

Associate General Counsel for Counseling and Regulatory Policy.--

Diane Sanger,

942-0960.

Associate General Counsel for Adjudication.--Anne E. Chafer, 942-

0950.

Counselor for Adjudication.--William S. Stern, 942-0949.

Assistant General Counsels: Joan Loizeaux (Principal Assistant),

942-0990; Joan McCarthy (Adjudication), 942-0950.

DIVISION OF INVESTMENT MANAGEMENT Director.--Paul F. Roye, 551-6720, fax 942-9659.

Senior Adviser to the Director.--Jennifer B. McHugh, 551-6720.

Associate Director, Chief Counsel.--Douglas J. Scheidt, 551-6701.

Assistant Chief Counsels: Alison M. Fuller (International Issues),

551-6825; Elizabeth G. Osterman (Financial Institutions), 551-

6825.

Associate Director, Office of:

Disclosure & Insurance Product Regulation.--Susan Nash, 551-

6742.

Legal and Disclosure.--Barry D. Miller, 551-6725.

Public Utility & Investment Company Regulation.--David B. Smith,

551-6746.

Regulatory Policy & Investment Adviser Regulation.--Robert E.

Plaze, 551-6702.

Assistant Director, Office of:

Disclosure and Review No. 1.--Michael A. Lainoff, 551-6921.

Disclosure and Review No. 2.--Frank J. Donaty, 551-6925.

Enforcement Liaison.--Barbara Chretien-Dar, 551-6785.

Financial Analysis.--Paul B. Goldman, 551-6715.

Insurance Products.--William J. Kotapish, 551-6795.

Investment Adviser Regulation.--Jennifer L. Sawin, 551-6787.

Investment Company Regulation.--Nadya B. Roytblat, 551-6821.

Public Utility Regulation.--Catherine A. Fisher, 551-6944.

Regulatory Policy.--C. Hunter Jones, 551-6792.

Chief Accountant, Office of Chief Accountant.--Brian D. Bullard,

551-6918. [[Page 807]]

DIVISION OF CORPORATION FINANCE Director.--Alan Beller, 942-2929, fax 942-9525.

Deputy Director of:

Disclosure Operations.--Shelley E. Parratt, 942-2830.

Legal and Regulatory.--Martin Dunn, 942-2890.

Associate Directors:

Legal Office.--Paula Dubberly, 942-2900.

Regulatory.--Mauri L. Osheroff, 942-2840.

Chief Accountant.--Carol Stacey, 942-2960.

Disclosure Operations.--Paul Belvin, 942-8978; James Daly, 942-

2881; Barry Summer, 942-7875.

Chief, Office of:

Chief Counsel.--David Lynn, 942-2900.

EDGAR, Information and Analysis.--Herbert D. Scholl, 942-2930.

Enforcement Liaison.--Mary Kosterlitz, 824-5600.

International Corporate Finance.--Paul Dudek, 942-2990.

Mergers and Acquisitions.--Brian Breheny, 942-2920.

Rulemaking.--Elizabeth Murphy, 942-2910.

Small Business Policy.--Gerald Laporte, 942-2950.

Assistant Directors: Karen Garnett, 942-1960; Peggy Fisher, 942-

1880; Barbara Jacobs, 942-1800; Pamela Long, 942-1950; H.

Christopher Owings, 942-1900; Jeffrey Reidler, 942-1840; John

Reynolds, 942-2999; Todd Schiffman, 942-1760; H. Roger Schwall,

942-1870; Larry Spirgel, 942-1990; Max Webb, 942-1850.

DIVISION OF ENFORCEMENT Director.--Stephen M. Cutler, 942-4500, fax 942-9636.

Senior Advisor.--Donna Norman, 942-4947.

Deputy Director.--Linda C. Thomsen, 942-4501.

Senior Advisor.--Pauline Calande, 824-5688.

Associate Director.--Peter H. Bresnan, 942-4550.

Assistant Directors: Cheryl J. Scarboro, 942-4583; Josh Fekler,

942-4897.

Chief, Office of Internet Enforcement.--John R. Stark, 942-4803.

Associate Director.--Scott Friestad, 942-4732.

Assistant Directors: James T. Coffman, 942-4574; Laura Josephs,

942-7872.

Chief, Market Surveillance.--Joseph J. Cella, 942-4559.

Associate Director.--Paul R. Berger, 942-4854.

Assistant Directors: Timothy N. England, 942-7109; Richard W.

Grime, 942-4863; Robert Kaplan, 942-2803; Mark Kreitman,

942-4677.

Associate Director.--Lawrence A. West, 942-4631.

Assistant Directors: Gregory Faragasso, 942-4601; Kenneth Lench,

942-4755; Richard Firestone, 942-4640.

Associate Director.--Antonia Chion, 942-4567.

Assistant Directors: Christopher R. Conte, 942-4579; Yuri B.

Zelinsky, 942-4890.

Chief Counsel.--Joan E. McKown, 942-4530.

Associate Chief Counsel.--Gretta J. Powers, 942-4756.

Assistant Chief Counsels: Nancy A. Doty, 942-4536; Charlotte L.

Buford, 942-4758; Kenneth H. Hall, 942-4635; Sarah Bessin,

942-7160; John Polise, 942-0068.

Chief Litigation Counsel.--David L. Kornblau, 942-4818.

Deputy Chief Litigation Counsel.--Mark A. Adler, 942-4770.

Chief Accountant.--Susan G. Markel, 942-4871.

Associate Chief Accountants: Regina M. Barrett, 942-4524; Dwayne

Brown, 942-4547; David M. Estabrook, 942-4814; Pierron Leef,

942-4687.

Director, Regional Office Operations.--James A. Clarkson, 942-4580.

DIVISION OF MARKET REGULATION Director.--Annette L. Nazareth, 942-0090, fax 942-9643.

Deputy Director.--Robert L.D. Colby, 942-0094.

Chief of Operations.--Herbert Brooks, 942-0150.

Associate Director, Market Supervision.--Elizabeth King, 942-0140.

Assistant Directors, Office of:

Broker Dealer.-- James Brigagliano, 942-0772; Jerry Carpenter,

942-4187; Thomas McGowan, 942-0177; JoAnne Swindler, 942-

0750. [[Page 808]]

Markets.--Ira Brandriss, 942-0148; Katherine England, 942-0154;

Terri Evans, 942-4162; Deborah L. Flynn, 942-0075; John

Roeser, 942-0762; Nancy Sanow, 942-0796.

Associate Directors, Office of Broker Dealer: Larry Bergmann, 942-

0770; Michael A. Macchiaroli, 942-0132.

Associate Director, Chief Counsel.--Catherine McGuire, 942-0061.

Deputy Chief Counsel.--Paula Jenson, 942-0073.

OFFICE OF INTERNATIONAL AFFAIRS Director.--Ethiopis Tafara, 551-6690, fax 942-9524.

Deputy Director.--Elizabeth Jacobs.

Assistant Directors: Sherman Boone, Robert D. Strahota, Susan

Yashar.

OFFICE OF LEGISLATIVE AFFAIRS Director.--Jane Cobb, 942-0010, fax 942-9650.

Deputy Director.--Peter Kiernan.

OFFICE OF THE INSPECTOR GENERAL Inspector General.--Walter J. Stachnik, 551-6060, fax 942-9653.

Deputy Inspector General.--Nelson N. Egbert.

OFFICE OF FILINGS AND INFORMATION SERVICES Associate Executive Director.--Kenneth A. Fogash, 551-7200, fax (703)

914-1005.

Deputy Director.--Cecilia Wilkerson.

Associate Director.--Margaret Favor, 551-8204; Shirley Slocum.

Assistant Director.--Ronnette McDaniel, 551-8378.

OFFICE OF PUBLIC AFFAIRS Director.--Matthew Well, 942-0020, fax 942-9654.

Deputy Directors: Amy Best, John D. Heine.

OFFICE OF FINANCIAL MANAGEMENT Associate Executive Director.--Margaret J. Carpenter, 551-7854, fax

(703) 914-0172.

OFFICE OF INFORMATION TECHNOLOGY Associate Executive Director / Chief Information Officer.--Corey Booth,

551-8800; fax (703) 914-2621.

OFFICE OF ADMINISTRATIVE AND PERSONNEL MANAGEMENT Associate Executive Director.--Anne O'Donoghue, 551-7500.

REGIONAL OFFICES Northeast Regional Office: The Woolworth Building, 233 Broadway, New

York, NY 10279 (646) 428-1500, fax (646) 428-1981. Regional Director.--Mark Schonfeld, 748-1650.

Associate Regional Directors, Enforcement: Robert B. Blackburn, 428-

1610; Andrew Calamari, 428-1659; Helene T. Glotzer, 428-1736;

David Rosenfeld, 428-1869.

Assistant Regional Directors, Enforcement: Doria Bachenheimer, 428-

1911; Alistaire Bambach, 428-1636; Robert DeLeonardis, 428-1688;

Gerald Gross, 428-1743; Bruce [[Page 809]]

Karpati, 428-1775; Leslie Kazon, 428-1778; Kay Lackey, 428-1790;

David Markowitz, 428-1806; George Stepaniuk, 428-1910; Scott

York, 428-1946.

Associate Regional Director, Investment Management and Corporate

Reorganization.--

Douglas Scarff, 428-1660.

Assistant Regional Directors: Dawn Blankenship, 428-1600; Joseph

Dimaria, 426-1692; William Delmage, 428-1689; Dorothy Eschwie,

428-1700.

Associate Regional Director, Broker / Dealer.--Robert A. Sollazzo,

428-1620; Richard D. Lee, 428-1520.

Assistant Regional Directors, Broker / Dealer Examinations: Richard

A. Heapy, 428-1753; Linda Lettieri, 428-1797; John M. Nee, 428-

1831; Rosanne R. Smith, 428-1901. Boston District Office: 73 Tremont Street, Suite 600, Boston, MA 02108

(617) 573-8900, fax 424-5945. District Administrator.--Walter G. Ricciardi, 573-8934.

Associate District Administrator, Enforcement.--David Bergers, 424-

5927.

Assistant District Administrators, Enforcement: John Dugan, 573-

8936; Martin Healey,

573-8952.

Assistant District Administrators, Investment Adviser / Investment

Company Examinations: Diane Gillies, 573-8947; Edward A. Ryan,

Jr., 573-8935; Elizabeth Salini, 573-8931.

Assistant District Administrator, Broker / Dealer Examinations.--

Lucile Corkery, 573-8932. Philadelphia District Office: Mellon Independence Center, 701 Market

Street, Suite 2000, Philadelphia, PA 19106 (215) 597-3100, fax 597-

5885. District Administrator.--Arthur Gabinet, 597-3106.

Associate District Administrator, Examinations.--Joy G. Thompson,

597-6135.

Associate District Administrator, Enforcement.--Daniel G. Hawke,

597-3191.

Assistant District Administrators, Enforcement: Elaine C. Greenberg,

597-3107; David Horowitz, 597-3107.

Senior Assistant District Administrators, Investment Company /

Investment Adviser Examinations: Paul T. Hee, 597-8307; William

R. Meck, 597-0789.

Assistant District Administrator, Regulation.--A. Laurence Ehrhart,

597-2983. Southeast Regional Office: 801 Brickell Avenue, Suite 1800, Miami, FL

33131 (305)

982-6300, fax (305) 536-6300. Regional Director.--David Nelson, 982-4120.

Assistant Regional Directors, Enforcement: Ivan Harris, 982-6342;

John C. Mattimore, 982-6357.

Assistant Regional Director.--John D. Mahoney, 982-6303. Atlanta District Office: 3475 Lenox Road NE., Suite 1000, Atlanta, GA

30326 (404)

842-7600, fax 842-7666. District Administrator.--Richard P. Wessel, 842-7610.

Senior Associate District Administrator, Enforcement.--Ronald L.

Crawford, 842-7630.

Associate District Administrator, Enforcement.--Katherine Addleman,

842-7682.

Assistant District Administrators, Enforcement: Stephen E. Donahue,

842-7618; Richard P. Murphy, 842-7665.

Associate Administrator, Examinations.--Francis P. McGing, 842-7645.

Assistant District Administrator, Broker / Dealer Examinations.--

Howard Dennis, Jr.,

842-7643.

Assistant District Administrators, Investment Company / Investment

Advisers Examinations: Diane S. Eckert, 842-7655; Lillian A.

Wilcox, 842-7653. Midwest Regional Office: 175 West Jackson Boulevard, Suite 900, Chicago,

IL 60604 (312) 353-7390, fax 353-7398. Regional Director.--Merri Jo Gillette, 353-9338.

Associate Regional Directors, Enforcement: Robert J. Burson, 353-

7428; Timothy L. Warren, 353-7394 .

Associate Regional Directors, Examinations: John R. Brissman, 353-

7436; Jeannette L. Lewis, 353-0525.

Assistant Regional Directors, Enforcement: Peter Chan, 353-7410;

Daniel R. Gregus,

353-7423; Scott J. Hlavacek, 353-1679; Jane Jarcho, 353-5479;

John R. Lee,

886-2247; Paul A. Montoya, 353-7429; John J. Sikora, 353-7418.

Assistant Regional Directors, Examinations: Doug R. Adams, 353-7402;

Maureen Dempsey, 886-1496; Lewis A. Garcia, 353-6888; J. Gary

Hopkins, 886-8511; Lawrence Kendra, 886-8508; Thomas Kirk, 886-

3956; David J. Mueller, 353-7404; Thomas Murphy,

886-8513; Larry P. Perdue, 353-7219. Central Regional Office: 1801 California Street, Suite 1500, Denver, CO

80202 (303)

844-1000, fax 844-1010. Regional Director.--Randall J. Fons, 844-1042.

Associate Regional Director.--Donald M. Hoerl, 844-1060.

Assistant Regional Directors, Enforcement: Mary S. Brady, 844-1023;

Laura Metcalfe, 844-1092; Amy Norwood, 844-1029. [[Page 810]]

Assistant Regional Director, Broker / Dealer Examinations.--Edward

A. Lewkowski,

844-1050.

Assistant Regional Director, Investment Company / Investment Adviser

Examinations.--Dale E. Coffin, 844-1040. Fort Worth District Office: 801 Cherry Street, 19th Floor, Fort Worth,

TX 76102 (817) 978-3821, fax 978-2700. District Administrator.--Harold F. Degenhardt, 978-3821.

Assistant District Administrators, Enforcement: Alan Buie, 978-0581;

Jeffrey Cohen,

978-6480; Stephen Webster, 978-6459.

Associate District Associate Administrator, Examinations.--Hugh M.

Wright, 978-6474.

Assistant District Administrators, Broker / Dealer Examinations:

Julie Preuitt, 978-6428; Jim Perry, 978-6439.

Assistant District Administrator, Investment Company / Investment

Adviser Examinations.--Robert Pike, 978-6444. Salt Lake District Office: 15 West South Temple Street, Suite 1800, Salt

Lake City, UT 84101 (801) 524-5796, fax 524-3558. District Administrator.--Kenneth D. Israel, 524-6745. Pacific Regional Office: 5670 Wilshire Boulevard, 11th Floor, Los

Angeles, CA 90036 (213) 965-3998, fax 965-3816. Regional Director.--Randall R. Lee, 965-3807.

Associate Regional Directors, Enforcement: Sandra J. Harris, 965-

3962; Briane Nelson Mitchel, 965-3864.

Assistant Regional Directors, Enforcement: Kelly C. Bowers, 965-

3924; Michele Wein Layne, 965-3850; Diana Tani, 965-3991.

Associate Regional Director, Examinations.--Rosalind R. Tyson, 965-

3893.

Assistant Regional Directors, Investment Company / Investment

Adviser Examinations: Michael P. Levitt, 525-2684; Paula Weiser,

525-3252.

Assistant Regional Directors, Broker / Dealer Examinations: Martin

Murphy, 965-3859; Cindy S. Wong, 965-3927. San Francisco District Office: 44 Montgomery Street, Suite 2600, San

Francisco, CA 94104 (415) 705-2500, fax 705-2501. District Administrator.--Helane L. Morrison, 705-2450.

Associate District Administrator.--Marc J. Fagel, 705-2449.

Assistant District Administrators, Enforcement: Kathleen K.

Bisaccia, 705-2350; Michael S. Dicke, 705-2458.

Assistant District Administrators, Investment Company / Investment

Adviser Examinations: Daryl Hagel, 705-2340; John D. Swayze,

705-2466.

Assistant District Administrator, Broker / Dealer Examinations.--

Jennet Leong, 705-2452.

Subjects: