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

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

|  | **National Futures     Association (NFA)** |
|--|---------------------------------------------|

| DATE: |  | 12/5/01 | FR PAGE: |  | N/A | PAGES: | 8 | PDF SIZE: | 202 KB | PDF LINK: | /files/foia/ |
|-------|--|---------|----------|--|-----|--------|---|-----------|--------|-----------|--------------|

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

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

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

|  | **SunGard Futures     Systems** |
|--|----------------------------------|

| DATE: |  | 12/5/01 | FR PAGE: |  | N/A | PAGES: | 3 | PDF SIZE: | 108 KB | PDF LINK: | /files/foia/ |
|-------|--|---------|----------|--|-----|--------|---|-----------|--------|-----------|--------------|

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

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

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

|  | **Peregrine Financial Group,     Inc.** |
|--|------------------------------------------|

| DATE: |  | 12/5/01 | FR PAGE: |  | N/A | PAGES: | 2 | PDF SIZE: | 55 KB | PDF LINK: | /files/foia/ |
|-------|--|---------|----------|--|-----|--------|---|-----------|-------|-----------|--------------|

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

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

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

|  | **The American Stock     Exchange, Chicago Board Options Exchange, International** |
|--|-------------------------------------------------------------------------------------|

|  | **Securities Exchange, The     Options Clearing Corporation, Pacific Exchange,** |
|--|-----------------------------------------------------------------------------------|

|  | **Philadelphia Stock     Exchange** |
|--|--------------------------------------|

| DATE: |  | 12/5/01 | FR PAGE: |  | N/A | PAGES: | 7 | PDF SIZE: | 240 KB | PDF LINK: | /files/foia/ |
|-------|--|---------|----------|--|-----|--------|---|-----------|--------|-----------|--------------|

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

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

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

|  | **Partnoy, Frank (Professor     of Law, University of San Diego School of Law)** |
|--|-----------------------------------------------------------------------------------|

| DATE: |  | 10/29/01 | FR PAGE: |  | N/A | PAGES: | 15 | PDF SIZE: | 575 KB | PDF LINK: | /files/foia/ |
|-------|--|----------|----------|--|-----|--------|----|-----------|--------|-----------|--------------|

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

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

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

|  | **Futures Industry     Association (FIA) and Securities Industry Association (SIA),** |
|--|----------------------------------------------------------------------------------------|

|  | **Requesting Extension of     Comment Period** |
|--|-------------------------------------------------|

| DATE: |  | 10/16/01 | FR PAGE: |  | N/A | PAGES: | 4 | PDF SIZE: | 74 KB | PDF LINK: | /files/foia/ |
|-------|--|----------|----------|--|-----|--------|---|-----------|-------|-----------|--------------|

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

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