| **--------------------------------------------------------------------------------------------------------------------** |
|--------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **FR** | **1** |
|-----------|--------|-------|

|  | **Joint proposed     rules** |
|--|-------------------------------|

| DATE: |  | 10/4/01 | FR PAGE: | 50270 | PAGES: | 23 | PDF SIZE: | 189 KB | PDF LINK: | /files/foia/f |
|-------|--|---------|----------|-------|--------|----|-----------|--------|-----------|---------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
|--|--------------------------------------------------------------------------------------------------------------------------|

| **--------------------------------------------------------------------------------------------------------------------** |
|--------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **NC** | **5** |
|-----------|--------|-------|

|  | **Open Commission Meeting     07/02/2002, Transcript** |
|--|---------------------------------------------------------|

| DATE: |  | 7/2/02 | FR PAGE: | N/A | PAGES: | 32 | PDF SIZE: | 653 KB | PDF LINK: | /files/foia/c |
|-------|--|--------|----------|-----|--------|----|-----------|--------|-----------|---------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
|--|--------------------------------------------------------------------------------------------------------------------------|

| **--------------------------------------------------------------------------------------------------------------------** |
|--------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **NC** | **4** |
|-----------|--------|-------|

|  | **Memorandum of Meeting of     CFTC Office of General Counsel, CFTC Division of** |
|--|------------------------------------------------------------------------------------|

|  | **Trading and Markets, and     SEC Division of Market Regulation with** |
|--|--------------------------------------------------------------------------|

|  | **Representatives of Cleary,     Gottlieb, Steen & Hamilton, Goldman Sachs, Morgan** |
|--|-------------------------------------------------------------------------------------------|

|  | **Stanley, Credit Suisse     First Boston** |
|--|----------------------------------------------|

| DATE: |  | 6/28/02 | FR PAGE: | N/A | PAGES: | 1 | PDF SIZE: | 19 KB | PDF LINK: | /files/foia/c |
|-------|--|---------|----------|-----|--------|---|-----------|-------|-----------|---------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
|--|--------------------------------------------------------------------------------------------------------------------------|

| **--------------------------------------------------------------------------------------------------------------------** |
|--------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **NC** | **3** |
|-----------|--------|-------|

|  | **Memorandum of Meeting with     Futures Industry Association and Securities** |
|--|---------------------------------------------------------------------------------|

|  | **Industry Association on     02/07/02** |
|--|-------------------------------------------|

| DATE: |  | 6/26/02 | FR PAGE: | N/A | PAGES: | 1 | PDF SIZE: | 14 KB | PDF LINK: | /files/foia/c |
|-------|--|---------|----------|-----|--------|---|-----------|-------|-----------|---------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
|--|--------------------------------------------------------------------------------------------------------------------------|

| **--------------------------------------------------------------------------------------------------------------------** |
|--------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **NC** | **2** |
|-----------|--------|-------|

|  | **Memorandum of Meeting with     Futures Industry Association and Securities** |
|--|---------------------------------------------------------------------------------|

|  | **Industry Association on     01/23/02** |
|--|-------------------------------------------|

| DATE: |  | 6/26/02 | FR PAGE: | N/A | PAGES: | 1 | PDF SIZE: | 14 KB | PDF LINK: | /files/foia/c |
|-------|--|---------|----------|-----|--------|---|-----------|-------|-----------|---------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
|--|--------------------------------------------------------------------------------------------------------------------------|

| **--------------------------------------------------------------------------------------------------------------------** |
|--------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **NC** | **1** |
|-----------|--------|-------|

|  | **Memorandum of Meeting with     Futures Industry Association and Securities** |
|--|---------------------------------------------------------------------------------|

|  | **Industry Association on     11/19/01** |
|--|-------------------------------------------|

| DATE: |  | 6/26/02 | FR PAGE: | N/A | PAGES: | 1 | PDF SIZE: | 14 KB | PDF LINK: | /files/foia/c |
|-------|--|---------|----------|-----|--------|---|-----------|-------|-----------|---------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
|--|--------------------------------------------------------------------------------------------------------------------------|

| **--------------------------------------------------------------------------------------------------------------------** |
|--------------------------------------------------------------------------------------------------------------------------|

| DOCUMENT: | **CL** | **23** |
|-----------|--------|--------|

|  | **American Stock Exchange     (AMEX)** |
|--|-----------------------------------------|

| DATE: |  | 9/3/02 | FR PAGE: | N/A | PAGES: | 3 | PDF SIZE: | 93 KB | PDF LINK: | /files/foia/c |
|-------|--|--------|----------|-----|--------|---|-----------|-------|-----------|---------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
|--|--------------------------------------------------------------------------------------------------------------------------|

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