| DOCUMENT               NUMBER: | 6 |
|---------------------------------|---|

|  | M. Philipp, Katten               Muchin Zavis, to R. Adriance, L. Gregory, D. Van Wagner,               and |
|--|---------------------------------------------------------------------------------------------------------------|

|  | Lawton, John,               Division of Trading and Markets, re: Copy of Option               Clearing |
|--|----------------------------------------------------------------------------------------------------------|

|  | Corporation's               Proposed Rule Submission to the Securities and Exchange |
|--|--------------------------------------------------------------------------------------|

|  | Commission               Concerning Clearance and Settlement of Security Futures |
|--|-----------------------------------------------------------------------------------|

| DATE: |  | 6/27/01 | PAGES: |  | 21 | PDF SIZE: |  | 478 KB | PDF LINK: |
|-------|--|---------|--------|--|----|-----------|--|--------|-----------|

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

| DOCUMENT               NUMBER: | 7 |
|---------------------------------|---|

|  | Cawley, Jean M.,               Options Clearing Corporation, to J. Lawton, Division of               Trading |
|--|----------------------------------------------------------------------------------------------------------------|

|  | and Markets, and to               J.W. Carpenter, Division of Market Regulation, Securities               and |
|--|-----------------------------------------------------------------------------------------------------------------|

|  | Exchange Commission,               re: Copy of Option Clearing Corporation's Proposed               Rule |
|--|------------------------------------------------------------------------------------------------------------|

|  | Submission to the               Securities and Exchange Commission Concerning Clearance |
|--|------------------------------------------------------------------------------------------|

|  | and Settlement of               Security Futures |
|--|---------------------------------------------------|

| DATE: |  | 6/29/01 | PAGES: |  | 126 | PDF SIZE: |  | 2982 KB | PDF LINK: |
|-------|--|---------|--------|--|-----|-----------|--|---------|-----------|

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

| DOCUMENT               NUMBER: | 8 |
|---------------------------------|---|

|  | S.C. Ervin, Dechert,               and A.W. Hahan, Katten Muchin Zavis, to J. Lawton,               Division |
|--|----------------------------------------------------------------------------------------------------------------|

|  | of Trading and               Markets, re: Application of Nasdaq LIFFE, LLC, Futures               Exchange |
|--|--------------------------------------------------------------------------------------------------------------|

|  | for Designation as a               Contract Market, Draft Documents Relating to the |
|--|--------------------------------------------------------------------------------------|

|  | Application,               Transmittal Letter |
|--|------------------------------------------------|

| DATE: |  | 6/29/01 | PAGES: |  | 2 | PDF SIZE: |  | 29 KB | PDF LINK: |
|-------|--|---------|--------|--|---|-----------|--|-------|-----------|

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

| DOCUMENT               NUMBER: | 9 |
|---------------------------------|---|

|  | S.C. Ervin, Dechert,               to J.A. Webb, Secretary, re: Application of Nasdaq LIFFE, |
|--|-----------------------------------------------------------------------------------------------|

|  | LLC, Futures               Exchange for Designation as a Contract Market, FOIA               Confidential |
|--|-------------------------------------------------------------------------------------------------------------|

|  | Treatment Request of               June 6, 2001 |
|--|--------------------------------------------------|

| DATE: |  | 7/2/01 | PAGES: |  | 3 | PDF SIZE: |  | 65 KB | PDF LINK: |
|-------|--|--------|--------|--|---|-----------|--|-------|-----------|

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

| DOCUMENT               NUMBER: | 10 |
|---------------------------------|----|

|  | S.C. Ervin, Dechert,               and A.W. Hahan, Katten Muchin Zavis, to J. Lawton,               Division |
|--|----------------------------------------------------------------------------------------------------------------|

|  | of Trading and               Markets, re: Application of Nasdaq LIFFE, LLC, Futures               Exchange |
|--|--------------------------------------------------------------------------------------------------------------|

|  | for Designation as a               Contract Market, Draft Security Futures Agreement for |
|--|-------------------------------------------------------------------------------------------|

|  | Clearing and               Settlement Services Dated July 2, 2001 |
|--|--------------------------------------------------------------------|

| DATE: |  | 7/2/01 | PAGES: |  | 3 | PDF SIZE: |  | 60 KB | PDF LINK: |
|-------|--|--------|--------|--|---|-----------|--|-------|-----------|

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

| DOCUMENT               NUMBER: | 11 |
|---------------------------------|----|

|  | S.C. Ervin, Dechert,               and A.W. Hahan, Katten Muchin Zavis, to J. Lawton,               Division |
|--|----------------------------------------------------------------------------------------------------------------|

|  | of Trading and               Markets, re: Application of Nasdaq LIFFE, LLC, Futures               Exchange |
|--|--------------------------------------------------------------------------------------------------------------|

|  | for Designation as a               Contract Market, Responses to CFTC Staff's               Preliminary |
|--|-----------------------------------------------------------------------------------------------------------|

|  | Review of the Nasdaq               LIFFE Contract Market Application Submissions Dated |
|--|-----------------------------------------------------------------------------------------|

|  | June 6, 2001 through               June 25, 2001 |
|--|---------------------------------------------------|

| DATE: |  | 7/13/01 | PAGES: |  | 18 | PDF SIZE: |  | 514 KB | PDF LINK: |
|-------|--|---------|--------|--|----|-----------|--|--------|-----------|

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

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