SEPTEMBER 14, 16, AND 27, 1971 Serial No. 92-37a Printed for the use of the Committee on Interstate and Foreign Commerce For sale by the Superintendent of Documents, U.S. Government Printing Office KF27 19718 LIONEL VAN DEERLIN, California DAVID E. SATTERFIELD III, Virginia W. S. (BILL) STUCKEY, JR., Georgia ROBERT O. TIERNAN, Rhode Island Birk, Roger E., Vice President and Director of the Operations Division of Merrill Lynch, Pierce, Fenner & Smith, Inc... Clurman, David, Assistant Attorney General, State of New York, Bureau of Securities and Public Financing.. Dill, S. Leland, Peat, Marwick, Mitchell & Co., Chairman, Committee on Stockbrokerage Accounting and Auditing, American Institute of Certified Public Accountants.. Fisher, Edwin P., Arthur Andersen & Co., member of the Committee on Stockbrokerage Accounting and Auditing of the American Institute of Certified Public Accountants_ Gilleran, Edward R., Vice President, Regulation, National Association Grannis, Frederic W., Chief Examiner, New York Stock Exchange, Inc., Department of Member Firms... Keefe, Harry V., Jr., President of Keefe, Bruyette & Woods, Inc... Litt, Solomon, Asiel & Co., member of the Board of Governors and 757 Savoie, Leonard M., Executive Vice President, American Institute of Certified Public Accountants... Stock, Fred J., Jr., Assistant Vice President, New York Stock Ex- 780, 876 S. Leland Dill, with attachments and charts.. 999 Edwin P. Fisher, with statistical tables and charts-- 828 1039 Merrill Lynch, Pierce, Fenner & Smith, Inc., with attachments and 836 National Association of Securities Dealers, Inc., with statistical tables 760 New York Stock Exchange, Inc., with statistical tables, charts, and 781 Panelists of the New York Stock Exchange, including exhibits on Additional material submitted for the record by American Institute of Certified Public Accountants: Letter dated Lee D. Arning, Senior Vice President, NYSE: Letter dated October 8, Page 879 900 893 923 877 899 Donald M. Collins, Receiver, Robinson & Co., Inc.: Two letters addressed to Hon. John E. Moss; setting forth his experience as receiver of Robinson Co., with attachments and tables; the other commenting on a letter from the NYSE dated October 8, 1971 882, 900 Robert W. Haack, President, New York Stock Exchange; Paul Kolton, President, American Stock Exchange.. 1062 Merrill Lynch, Pierce, Fenner & Smith, Inc.: Replica of form showing a 961 Chronology of the New York Stock Exchange, capital treatment 862 Form letter selecting one member to conduct an audit_. 900 Joint letter with the American Stock Exchange, dated June 15, 938 956 Secured Demand Note-Form 13, Annex I.. 855 J. Charles Partee, Federal Reserve System: Letter dated November 2, Felix G. Rohatyn: Letter dated November 1, 1971, re views with Securities and Exchange Commission: Chronology of events involving short stock record differences.. Subcommittee on Commerce and Finance: Letters dated September 24, 1971, by Harvey A. Rowen, Counsel, Securities Markets Study, requesting cooperation of the following panelists in answering questions submitted in writing by the staff: 824 1080 862 Edward R. Gilleran, Vice President, Regulation, NASD- 969 967 Fred J. Stock, Jr., Assistant Vice President, NYSE, Department 965 Replies to the letters of September 24, 1971, submitted by: 970 Irving M. Pollack_ 991 Fred J. Stock, Jr., with attachments, tables, and charts 974 |