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JUNE 1971, BOARD OF GOVERNORS-NEW YORK STOCK EXCHANGE, INC. (CONFIDENTIAL)--Continued

Firm address and
telephone number

Name

If out-of-town governor
New York Office or New
York correspondent

Home address and
telephone number

Lufkin, Dan W

Meers, Henry W.

Murch, Boynton D.

Nammack, William J

Newman, J. Wilson...

Owens, Cornelius W., repre

sentative of public.

Pearce, Phil E

Phelan, John J., Jr....

Donaldson, Lufkin &

R.F.D. No. 1, Poverty HolJenrette, Inc., 140 Broad- low Rd., Newton, Conn. way, New York, N.Y. 10005 06470 (203)(426–2840). (942–0300). White, Weld & Co., 30 West 89 East Deerpath, Lake White, Weld & Co., 20 Monroe St., Chicago, III. Forest, III. 60045

Broad St., New York, 60603 (312)(346-0022). (312)(CE 4-5011).

N.Y. 10005 (944-4900), Murch & Co., Inc., 330 Hanna 10511 Sperry Rd., Kirtland, L. F. Rothschild & Co. 99 Bldg., Cleveland, Ohio

Ohio 44094

William St., New York, 44115 (216X696-7070). (216X256–3458).

N.Y. 10038 (425-33(O).
Sprague & Nammack, 20 Ex- Horseshoe Rd., Mill Neck,

change Pl., New York, N.Y. N.Y. 11765
10005 (344-1974).

(516)(922-6533).
Dun & Bradstreet Inc., 21 Lake Rd., Short Hills,

99 Church St., New York, N.J. 07078 (201)

N.Y. 10007 (DI 9–3300). (379-2854).
Executive vice president, 200 East 66th St., New

American Telephone & York, N.Y. 10021
Telegraph Co., 195 Broad- (421-2230).
way, New York, N.Y. 10007

(393-4359).
R. S. Dickson, Powell,

4100 Beresford Rd.,

R. S. Dickson, Powell,
Kistler & Crawford, 1316 Charlotte, N.C. 28211 Kistler & Crawford,
East Morehead St.,
(704)(364-6742).

120 Broadway, New Charlotte, N.C. 28204

diYork, N.Y. 10005 (704)(332-1134).

(349-3560).
Phelan & Co., 40 Wall St., 152 Brixton Rd., Garden

New York, N.Y. 10005 City, L.I. (516)(CH
(425–7480).

8-7068).
Piper, Jaffray & Hopwood 445 Spring Hill Rd., Piper, Jaffray & Hopwood

Inc., 115 South 7th St., Wayzata, Minn. 55391 Inc., 26 Beaver St.,
Minneapolis, Minn. 55402 (612)(473-6744).

New York, N.Y. 10QQS (612X371-6004).

(344-7220). Lazard Freres & Co., 44 Wall 1125 Park Ave., New York,

St., New York, N.Ý. 10005 N.Y. 10028 (122-6574).

(422–1200).
Salomon Bros., 1 New York 550 Park Ave., New York,

Plaza, New York, N.Y. N.Y. 10021 (753-9138)."

10004 (747-7003).
Wagner, Stott & Co., 60 Lower Horse Shoe Rd.,

Broad St., New York, N.Y. Mill Neck, N.Y. 11765
10004 (269-7636).

(516)(922–6405).
E. F. Hutton & Co., Inc., 1 Post Office Box 138,

Battery Park Plaza, New Locust Valley, N.Y.,
York, N.Y. 10004 (742– (516)(676–2634).
5000).
Shields & Co., 44 Wall St., Sound Side Lane, Glen
New York, N.Y. 10005

Cove, N.Y. (516)(676
(785-2400).

8248).
Benton, Tompane & Co., 71 Dickson's Mill Rd., Green

Broadway, New York, N.Y. Village, N.J. 07935 (201)
10006 (422–1497).

(377–5043).

Piper, Harry C., Jr. .......

Rohatyn, Felix G...

Salomon, William R.......

Stott, Robert L., Jr......

Summers, Maurice F.

Sykes, Macrae..

Tompane, Albert B.

AMERICAN STOCK EXCHANGE, BOARD OF GOVERNORS AND OFFICERS 1971

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Chairman: Frank C. Graham...... Purcell, Graham & Co., 20 Exchange Pl., 42 Garnor Lane, Bayshore, N.Y. (516)

New York, N.Y. 10004, WH 4-8120. 666-5949. Vice chairman: Robert C. Van Shearson, Hammill & Co., Inc., 14 Wall 25 Tappentown Lane, Brookville, Glen Tuyl.

St., New York, N.Y. 10005, 558-2626. Head, N.Y. 11545 (516) MA 6-0084, President: Paul Kolton... American Stock Exchange, 86 Trinity Pl., 9 Hunting Ridge Rd., Stamford, Cons. New York, N.Y. 10006.

06905, (203) 322-5045. Floor governors: Arthur B. Behal.

American Stock Exchange, 86 Trinity Pl., 31 Knolls Lane, Manhasset, N.Y. 11030

New York, N.Y. 10006, 938-2340. (516) 627-0175. Gerald J. Berkman.... Ernst & Co., 120 Broadway, New York, 142 Reni Rd., Manhasset, N.Y. 11030 (5:6) N.Y. 10005, CO 7-5600.

MA 7-5974. David Scott Foster, Jr.. Pershing & Co., 120 Broadway, New 388 Valley Rd., Watchung. NJ.07060 (201) York, N.Y. 10005, WO 4-4300.

561-9487. Phillip L. Groover..

Weis, Voisin, Cannon, Inc., 17 Battery 930 Cedarhurst St., North Woodmere, N.Y.

Pl., North, New York, N.Y. 10006, WO 11581 (516) PY 1-8578.

4-7300. Robert D. Hawkey..

E. F. Hutton & Co., Inc., 1 Battery Park 183 East Melrose St., Valley Stream, N.Y.

Plaza, New York, N.Y. 10004, 742-5622. (516) LO 1-1162. Joseph L. Kaufman.... Cohn, Delaire & Kaufman, 74 Trinity Pl., 390 West End Ave., New York, N.Y. 10024

New York, N.Y. 10006, 269-6306 IR 4-4517.

AMERICAN STOCK EXCHANGE, BOARD OF GOVERNORS AND OFFICERS 1971-Continued

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Floor governors-Continued
Harold J. Mintz....

Mintz & Streusand, Inc., at Halden & 180 Chestnut Dr., Roslyn, N.Y. 11576 (516)

Co., 74 Trinity Pl., New York, N.Y. MA 1-4650.

10006, WH 3-0800 George Reichhelm...

L. D. Babcock & Co., 22. Thames St., Burritt's Landing, Westport, Conn. 06880

New York, N.Y. 10006, 349-7121. (203) 227-2418.
William Silver....

Weiskopt, Silver Co.,? Dey St., New 20 East 9th St., New York, N.Y. 10003,
York, N.Y. 10007, 267–6573-4.

260-2136. John Ryder Stern.... Hammershlag, Borg & Co., 140 Broad- 2 West 67th St., New York, N.Y. 10023,

way, New York, N.Y. 10005, 943-7700. TR3-1606. Bernard E. Teichgraeber..... Reynolds & Co. 120 Broadway, New Zaccheus Mead Lane, Greenwich, Conn. York, N.Y. 10005, 558-6000.

06830, (203) 869-6420. (203) 869-6421. James T. Tobin, Jr..... Tobin, Diamond, Alter, Eikins, Morris, Post Office Box 604, Port Washington, N.Y.

Stroud & Co., at Gilligan, Will & Co., 22 11050 (516) 883-6857.
Thames St., New York, N.Y. 10006,

938-2250.
Office governors:
Henri L. Froy.

Abraham & Co., 120 Broadway, Room 30 East End Ave., Apt. 3-C, New York,

1749, New York, N.Y. 10005,732-7200. NÀY. 10028, IR 9-7372. Paul Hallingby, Jr.. White, Weld & Co., 20 Broad St., New 430 East 57th St., New York, N.Y. 10022, York, N.Y. 10005, WH 4-4900.

751-6322. John C. Jansing..... Bache & Co., Inc, 100 Gold St. (6th floor), Factory Pond Rd., Locust Valley, N.Y.

New York, N.Y. 10038, 797-5682. 11560 (516) OR 1-7590. Edwin B. Peterson..

F. I. duPont, Glore Forgan & Co., 1 Wall 165 Bennett Rd., Teaneck, N.J. 07666,

St., New York, N.Y. 10005, DI 4-2000. (201) TE 7-2228. John H. Schwieger..

Paine, Webber, Jackson & Curtis, Inc., 140 44 Metropolitan Oval, Bronx N.Y. 10462

Broadway, New York, N.Y. 10005, 437- TA 9-7467.

2818-9. Robert F. Shapiro... Lehman Brothers, Inc., 1 William St., 730 Park Ave., New York, N.Y. 10021, New York, N.Y. 10004, 269-3700.

249-6176. George L. Shinn..... Merrill Lynch, Pierce, Fenner & Smith Spring Valley Rd., Morristown, N.J. 07960

Inc., 70 Pine St., New York, N.Y. 10005, (201)377-7902.

944-1212 ext. 7521. Carl H. Tiedemann.

Donaldson Lufkin & Jenrette, Inc., 140 447 East 57th St., Apt. 6-E, New York, N.Y.

Broadway, New York, N.Y. 10005, 943- 10022, PL 2-1325.
0300.

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Out-of-town governors:
W. Bruce McConnel, Jr... Singer, Deane & Scribner,

Union Trust Bldg.,
Pittsburgh, Pa. 15219

(412)471-4700.
Frederick S. Moseley III. F. S. Moseley & Co., 50 Con-

gress St., Boston, Mass.

02109 (212)425-2000. Brenton H. Rupple...... Robert W. Baird & Co., 731

North Water St.,
Milwaukee, Wis., 53201

(414)273-3100.
Kenneth H. Sayre....... Clark, Dodge & Co., Inc., 310

Sansome St.. San Fransicso,
Calif. 94104 (415)397-6100.

F. S. Moseley & Co., 60

Broad St., New York,

N.Y., 425-2000.
Robert W. Baird & Co., 39

Broadway, New York,

N.Y. 344-9502, 425-9686
Clark, Dodge & Co., Inc.,

140 Broadway, New York,
N.Y. WH 4-5600.

7830 North River Rd..

Milwaukee, Wis. 53217 (414)352-6641

286 Park Lane, Atherton,

Calif., 94025 (415) 3232700.

S. Bonsal White, Jr...... Alex. Brown & Sons, 135 E.

Baltimore St., Baltimore,
Md. 21203 (301)727-1700.

Alex. Brown & Sons, 66

Beaver St., New York,
N.Y. 10004, 233-5700.

1006 St. Georges Rd.,

Baltimore, Md. 21203 (301)433-1074.

Office address

Home address

Representatives of the public:
Dr. Raymond Saulnier. Barnard College, Columbia University, 21 Claremont Ave., Apt. 22, New York,
New York, N.Y. 10027, 280-2139.

N.Y. 10027, 666-3397.
Dean Joseph Taggart.. New York University, School of Commerce 37. Washington Sq., New York, N.Y.

Bldg., Room 1026, Washington, Sq., 10011, 777-1302.
New York, N.Y. 10003 RE 2-5820 ext.

280.
Burke Marshall, associate (203)436–1191

Poverty Hollow Rd. Newton, Conn. dean, Yale Law School,

06470(203)426-3078. New Haven, Conn, 06520. James W. Walker, Jr., senior 938-2405.

422 Scarborough Rd., Briarcliff Manor, N.Y. vice president, legal and

10510. regulatory Richard M. Burdge, executive 938-6371.

55 Hillandale Dr., Red Bank, N.J. 07701 vice president, operations

(401)842-5299, division.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.

BOARD OF GOVERNORS

Name

Business address

Home address

Peter C. Barnes.....

R. Marshall Barnes.--.--

Edmund Y. Bennion...

J. Coleman Budd.

J. Logan Burke, Jr.
Jonathan C. Calvert..

Kenneth M. Crosby.....
Francis J. Cunningham....
Edward B. deSelding..
J. Robert Doyle......
Robert S. Driscoll.......

Victor G. Dugal....

James P. Fellows..
James T. Gahan..

Vernon J. Giss..

Ralph L. Gustin, Jr.
R. Ron Heiligenstein....

H.O. Peet & Co., 23 West 10th St., Kansas City, 801 Greenway Ter., Kansas City, Mo.

Mo.
Howe, Barnes & Johnson, Inc., 208 South LaSalle 846 Greenwood Ave., Glencoe, IL

St., Chicago, III.
Goodbody & Co., 132 South Main St., Salt Lake 1777 South Wasatch Dr., Salt Lake
City, Utah.

City, Utah.
The Robinson-Humphrey Co., Inc., 2800 First 3234 Verdun Dr., NW., Atlanta, Ga.

National Bank Bldg., Atlanta, Ga.
W. E. Kutton & Co., 14 Wall St., New York, N.Y.. 75 Willow St., Brooklyn, N.Y.
Rotan, Mosle-Dallas Union, Inc., 2115 National 7910 Thornhill Lane, San Antonio, Te.

Bank of Commerce Bldg., San Antonio, Tex.
Merrill Lynch, Pierce, Fenner & Smith, Inc., 5001 Upton St., NW., Washington, D.C.

1100 Connecticut Ave. NW., Washington, D.C.
Kidder, Peabody & Co., Inc., 20 Exchange Pl., 27 Soundview Dr., Westport, Conn.

New York, N.Y.
Spencer Trask & Co., Inc., 60 Broad St., New 18 Fox Hill Lane, Darien, Conn.

York, N.Y.
Doyle, O'Connor & Co., Inc., 135 South LaSalle 261 Birch St., Winnetka, Ill.

St., Chicago, III.
Lord, Abbett & Co., 63 Wall St., New York, N.Y.. 345 Roaring Brook Road, Chappaqua,

N.Y.
J. B. Maguire & Co., Inc., 31 Milk St., Boston, 33 Columbine Road, Milton, Mass.

Mass.
Boettcher & Co., 828 17th St., Denver, Colo..... 5200 Aspen Dr., Littleton, Colo.
E. F. Hutton & Co., Inc., 1 Battery Park Plaza, 15 Park Dr., Plandome, N.Y.

New York, N.Y.
Stephens, Inc., 114 East Capitol Ave., Little Rock, 33 Pinehurst Circle, Little Rock, Ark.

Ark.
John Hancock Mutual Life Insurance Co., 200 27 Colgate Road, Wellesley, Mass.

Berkeley St., Boston, Mass.
Loewi & Co., Inc., 225 East Mason St., Mil- 8210 North Green Bay Road, Wi-
walikee, Wis.

waukee, Wis.
Penington, Colket & Co., Inc., 123 South 715 Harrison Rd., Ithan, Villanova Post
Broad St., Philadelphia, Pa.

Office, Pa.
Rippey, Inskeep, Hess & McFaul, Inc., 621 SW. 2801 South Shore Blvd., Lake Oswego,
Morrison St., Portland, Oreg.

Oreg.
The Keystone Co. of Boston, 50 Congress St., 317 Garfield Road, Concord, Mass.

Boston, Mass.
Hill, Crawford & Lanford, Inc., 805 Boyle Bldg., 12 Lenon Dr., Little Rock, Ark.

Little Rock, Ark.
Hornblower & Weeks-Hemphill, Noyes, 700 2163 Melville Dr., San Marino, Calif.

Wilshire Blvd., Los Angeles, Calif.
Murch & Company, Inc., 330 Hanna Bldg., 8476 Eagle Road, Kirtland, Ohio.

Cleveland, Ohio.
National Association of Security Dealers, Inc., 8212 Burning Tree Road, Bethesda, Md.

1735 K St. NW., Washington, D.C.
Dean Witter & Co., Inc., 45 Montgomery St., 30 Las Cascadas Road, Orinda, Calif.

San Francisco, Calif.
The Pierce, Wulbern, Murphey Corp., 215 First 3024 Villa Rosa Park, Tampa, Fla.

National Bank Bldg., Tampa, Fla.
Shields & Co., 44 Wall St., New York, N.Y.. 30 Sherwood Road, Tenafly, NJ.
Sutro & Co., Inc., 210 West Seventh St., Los 721 South Tremaine Ave., Los Angeles,
Angeles, Calif.

Calif.
Arthurs, Lestrange & Short, 2 Gateway Center, 104 Mayflower Dr., Pittsburgh, Pa.

Pittsburgh, Pa.
Blyth & Co., Inc., 555 California St., San Francisco, 1070 Green St., apartment 1402, San
Calif.

Francisco, Calif.
Weeden & Co., 25 Broad St., New York, N.Y.... 200 East 66th St., New York, N.Y.
C. G. Equity Sales Co., 900 Cottage Grove Road, 1 Gretel Lane, Simsbury, Conn.

Bloomfield, Conn.

Arthur Horton...

Jerry Inskeep, Jr.

Franklin R. Johnson..

Louis A. Lanford.

B. P. Lester, Jr.

Fred F. Leustig..

Gordon S. Macklin...

G. Willard Miller, Jr.

David R. Murphey III.

Junius W. Peake.
Maurice Schwarz, Jr.

Joseph P. Short..

Eugene A. Shurtleff.

J. Raymond Smith
Peter R. Wilde.

Note: The above is a list of addresses for both the present board of governors and the incoming members in January at 1972.

OFFICERS

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urer.

5302 Falmouth Road, Washington,

D.C. 4735 Tilden St. NW., Washington,

D.C. 6733 Newbold Dr., Bethesda, Md.

do

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.-Continued

OFFICERS

Name and title

Business address

Home address

12400 Shawmont Lane, Bowie, Md.

433 Meer Ave., Wyckoff, N.J.

10201 Gary Road, Potomac, Md.

5311 Moorland Lane, Bethesda, Md.

7804 Charleston Dr., Bethesda, Md.

3616 Dorado St., Fairfax, Va.

Frank J. Wilson, vice president and associ- National Association of Securities ate general counsel.

Dealers, Inc., 1735 K St. NW.,

Washington, D.C. George J. Bergen, vice president and dis- National Association of Securities trict director.

Dealers, Inc., 77 Water St., New

York, N.Y. Ralph E. Burgess, vice president and chief National Association of Securities economist,

Dealers, Inc., 1735 K St. NW.,

Washington, D.C. Edward R. Gilleran, vice president-regu- do..

lation. John H. Hodges, Jr., vice president-mem- do..

ber services. Charles R. Justice, vice president-auto- do.

mation. V. Reed Manning, vice president-techni- do..

cal director. William A. Matthews, vice president

investment companies. Lee Monett, vice president-member National Association of Securities operations.

Dealers, Inc., 17 Battery Pl., New

York, NY. Bruce J. Simpson, vice president-mem- National Association of Securities bership.

Dealers, Inc., 1735 K St. NW.,

Washington, D.C. A. John Taylor, vice president-variable

contracts. George E. Warner, vice president-corpo- do.

rate financing. Donald H. Burns, secretary..

do.

do...

11700 Old Columbia Pike, Silver

Spring, Md. 3030 Wisconsin Ave., Washington,

D.C. 128 Ormond Road, Chatham, N.J.

3519 Devon Dr., Falls Church, Va.

.....do

7108 27th Road, North, Arlington,

Va. 12220 Old Colony Dr., North Upper

Marlboro, Md. 1200 North Washington St., No.

1118, Arlington, Va.

NATIONAL CLEARING CORP.

BOARD OF DIRECTORS

Name and title

Business address

Home address

James J. Barbi, partner in charge of opera- W.E.Hutton & Co., 14 Wall St., New 403 Beacon Blvd., Sea Girt, N.J. tions.

York, N.Y. Peter C. Barnes, president and treasurer... H. O. Peet & Co., Inc., 23 West 10th 801 Greenway Ter., Kansas City, Mo.

St., Kansas City, Mo. Henry W. Bineault, president..... B/W/A, Inc., 2375 Huntington Dr., 2257 Highland Vista Dr., Arcadia,

San Marino, Calif.

Calif. Roger E. Birk, vice president and director Merrill Lynch, Pierce, Fenner & 145 Pelican Road, Middletown, N.J. of operations.

Smith, Inc., 70 Pine St., New

York, N.Y. Robert M. Gardiner, president...... Reynolds Securities Inc., 120 Broad- Glen Alpine Road, New Vernon, N.J.

way, New York, N.Y. John H. Kirvin, president.....

John Kirvin & Co., 17 Battery Pl., 298 Green Ridge Road, Franklin suite 1924, New York, N.Y.

Lake, N.J. Gordon S. Macklin, president...

National Association of Securities 8212 Burning Tree Road, Bethesda,

Dealers, Inc., 1735 K St. NW., Md.

Washington, D.C. Villiam S. Mason, Jr., senior vice president New York Hanseatic Corp., 60 11 The Naples, Rosslyn Estates, and treasurer.

Broad St., New York, N.Y.

Long Island, N.Y. David H. Morgan, president..

National Clearing Corp., 1720 I St. 8404 Pittsfield Ct., Potomac, Md.

NW., Washington, D.C. W. Stewart Storie, vice president and First Southwest Co., 927 Mercantile 7224 Stonetrail Dr., Dallas, Tex. treasurer.

Bank Bldg., Dallas, Tex.
Richard B. Walbert, president....... Halsey, Stuart & Co., Post Office 630 Frazier Ct., Wheaton, Ill.

Box 759, Chicago, III.
John D. Weeden, executive vice president.. Weeden & Co., 25 Broad St., New 183 Chapel Hill Road, Red Bank, N.J.

York, N.Y.

OFFICERS

Name and title

Busiuess address

Home address

David H. Morgan, president.

1720 1 St. NW., Washington, D.C..... 8404 Pittsfield Ct., Potomac, Md. C. Richard Justice, executive vice president.. do.

3626 Dorado St., Fairfax, Va. Lloyd J. Derrickson, vice president-legal.. 1735 K St. NW., Washington, D.C.... 4735 Tilden St. NW., Washington,

D.C. Stimson S. T. Lee, vice president.. 110 Washington St., New York, N.Y.. 43 West 83d St., New York, N.Y. Raymond D. Rice, treasurer....

1720 i St. NW., Washington, D.C..... 3072 North Oakland, Arlington, Va.

Mr. McCOLLISTER. I want to thank the gentleman from California, the chairman, for his statement and the emphasis that he has given to this issue. But what I was leading up to Mr. Bevis, you have here the evident interest and willingness to participate on the part of other exchanges.

Regardless of the question of whether or not it is a simple matter of communications or whether it is a lot more complex than that, isn't this a wonderful opportunity to enlist the participation of other parts of the country willing and ready and able to participate?

I think with the small knowledge I have of the situation, it is foolish of BASIC to deny them meaningful participation in the original la vout of it.

Now I am sure the issue is a lot more complex than that but I would surely hope that in our legislative inquiry of this question, that it might be resolved by the industry itself in taking some meaningful steps to include other areas of the country in the design of the central depository system. Mr. Bevis. May I comment ? Mr. McCOLLISTER. Please do, Mr. Bevis.

Mr. Bevis. I think you are quite right that if this effort were confined to New York, solving New York problems only, it would be only a halfway effort in tackling the whole problem of handling securities transactions.

My position is one of not having been associated with either industry, and working without compensation, I am beholden to no one, and I have never been asked to confine myself and that of my task force solely to New York.

I decided that New York problem had to be resolved and the guidelines for resolving them had to be established before we could go nationwide.

Among other things we must consider not only the exchanges in these other areas like Midwest and the Pacific Coast Exchange but the banks, the insurance companies, possibly mutual funds, all of whose securities should be in the same depository so that you can broaden your book entry transfer.

We have had quite a time first in convincing banks with a strong sense of fiduciary responsibility that they should give up possession of those certificates to anyone.

Their instinct is that they can protect them better if they hold possession.

We have I think made great headway in New York in convincing the banks not only that this is the system of the future but even hare started to develop some enthusiasm for this.

This same kind of educational campaign must be carried on in other parts of the country and insofar as Chicago and California is concerned, we have been talking mostly to exchange people up to nor.

We are commencing and Mr. Mever has arranged meetings now with the Chicago and California banks from the standpoint of telling them what a job they have to do to start getting their thinking and then their procedures.

Mr. McCOLLISTER. I missed the first part of that sentence. Would von repeat that for me?

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