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

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

|  | **Statement of Commissioner Holum, Open Commission Meeting        09/03/97** |
|--|-------------------------------------------------------------------------------|

| DATE: | 9/3/97 | FR        PAGE: | N/A | PAGES: | 1 |
|-------|--------|------------------|-----|--------|---|

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

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

| DOCUMENT: | **CL** | **1** |
|-----------|--------|-------|

|  | **Chicago        Board of Trade** |
|--|------------------------------------|

| DATE: | 11/6/97 | FR        PAGE: | N/A | PAGES: | 2 |
|-------|---------|------------------|-----|--------|---|

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

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

| DOCUMENT: | **CL** | **2** |
|-----------|--------|-------|

|  | **Government Finance Officers Association** |
|--|---------------------------------------------|

| DATE: | 11/10/97 | FR        PAGE: | N/A | PAGES: | 5 |
|-------|----------|------------------|-----|--------|---|

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

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

| DOCUMENT: | **CL** | **3** |
|-----------|--------|-------|

|  | **Chicago        Mercantile Exchange** |
|--|-----------------------------------------|

| DATE: | 11/4/97 | FR        PAGE: | N/A | PAGES: | 2 |
|-------|---------|------------------|-----|--------|---|

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

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

| DOCUMENT: | **CL** | **4** |
|-----------|--------|-------|

|  | **Futures        Industry Association** |
|--|------------------------------------------|

| DATE: | 11/12/97 | FR        PAGE: | N/A | PAGES: | 5 |
|-------|----------|------------------|-----|--------|---|

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

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

| DOCUMENT: | **CL** | **5** |
|-----------|--------|-------|

|  | **National        Futures Asscoiation** |
|--|------------------------------------------|

| DATE: | 11/25/97 | FR        PAGE: | N/A | PAGES: | 4 |
|-------|----------|------------------|-----|--------|---|

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

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

| DOCUMENT: | **CL** | **6** |
|-----------|--------|-------|

|  | **Association of the Bar of the City of New York, Committee on Futures        Regulation** |
|--|---------------------------------------------------------------------------------------------|

| DATE: | 11/24/97 | FR        PAGE: | N/A | PAGES: | 3 |
|-------|----------|------------------|-----|--------|---|

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

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

| DOCUMENT: | **CL** | **7** |
|-----------|--------|-------|

|  | **Memorandum of Meeting with Representatives of the Law and Compliance        Division of the** |
|--|--------------------------------------------------------------------------------------------------|

|  | **Futures        Industry Association** |
|--|------------------------------------------|

| DATE: | 12/30/97 | FR        PAGE: | N/A | PAGES: | 2 |
|-------|----------|------------------|-----|--------|---|

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

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