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[United States Government Policy and Supporting Positions (Plum Book), 1996]
[Independent Agencies and Government Corporations]
[Securities and Exchange Commission]
[From the U.S. Government Printing Office, www.gpo.gov]

The Plum Book (United States Government Policy
        and Supporting Positions): 1996 EditionBRANCH: EXECUTIVE SECURITIES AND EXCHANGE COMMISSIONLocationPosition TitleName of IncumbentPay PlanType of Appt.Level Grade or PayTenureExpires**EXECUTIVE STAFF**Washington, DCConfidential AssistantIda M. WilliamsGSSC11..................Washington, DCConfidential AssistantVeronica GilletteGSSC11..................Washington, DCConfidential Assistant VacantGSSC11..................Washington, DCConfidential AssistantEstelle WareGSSC9..................Washington, DCConfidential AssistantMelissa KimpsGSSC11..................**OFFICE OF THE CHIEF ACCOUNTANT**Washington, DCSecretaryPamela Proctor-SarvisGSSC10..................**OFFICE OF THE GENERAL COUNSEL**Washington, DCSecretaryBettie A. DavisGSSC10..................**EXECUTIVE STAFF**Washington, DCConfidential AssistantCarol L. MorrowGSSC13..................**OFFICE OF PUBLIC AFFAIRS, POLICY 
              EVALUATION AND RESEARCH**Washington, DCDirectorJennifer A. ScardinoGSSC15..................**DIVISION OF MARKET REGULATION**Washington, DCSecretaryLajoncy WillisGSSC10..................**DIVISION OF ENFORCEMENT**Washington, DCSecretarySheila RussellGSSC10..................**DIVISION OF INVESTMENT MANAGEMENT**Washington, DCSecretaryDoris GreenGSSC10..................**DIVISION OF CORPORATION FINANCE**Washington, DCSecretaryMichele WilliamsGSSC10..................**OFFICE OF ECONOMIC ANALYSIS**Washington, DCSecretaryPatrick G. LentGSSC9..................**OFFICE OF INTERNATIONAL AFFAIRS**Washington, DCSecretaryJacqueline ClayGSSC9..................**EXECUTIVE STAFF**Washington, DCConfidential AssistantMary D. MiddletonGSSC12..................**DIVISION OF MARKET REGULATION**Washington, DCSecretaryJean M. WadeGSSC8..................**OFFICE OF PUBLIC AFFAIRS, POLICY 
              EVALUATION AND RESEARCH**Washington, DCPublic Affairs Specialist VacantGSSC14..................Washington, DCConfidential AssistantDuncan KingGSSC9..................**OFFICE OF THE EXECUTIVE DIRECTOR**Washington, DCSecretaryDenise B. GreenGSSC10..................**EXECUTIVE STAFF**Washington, DCSpeech WriterNicholas BalamaciGSSC14..................**OFFICE OF LEGISLATIVE AFFAIRS**Washington, DCDirectorKaye F. WilliamsGSSC15..................**EXECUTIVE STAFF**Washington, DCChief of StaffMichael SchleinESNA............................**OFFICE OF THE EXECUTIVE DIRECTOR**Washington, DCExecutive DirectorJames M. McConnellESCA............................**DIVISION OF ENFORCEMENT**Washington, DCDirector of Regional Office OperationsJames A. ClarksonESCA............................**DIVISION OF CORPORATION FINANCE**Washington, DCDirectorBrian LaneESCA............................Washington, DCAssociate Director (Small Business & International Finance)Albert S. DandridgeESCA............................**DIVISION OF ENFORCEMENT**Washington, DCDirectorWilliam R. McLucasESCA............................Washington, DCChief CounselJoan McKownESCA............................Washington, DCChief Litigation Counsel VacantES......................................Washington, DCAssociate DirectorThomas C. NewkirkESCA............................**DIVISION OF INVESTMENT MANAGEMENT**Washington, DCDirectorBarry P. BarbashESCA............................Washington, DCAssociate Director (Legal & Disclosure)Heidi StamESCA............................Washington, DCAssociate Director (Regulation)Robert E. PlazeESCA............................**DIVISION OF MARKET REGULATION**Washington, DCDirectorRichard R. LindseyESNA............................Washington, DCSenior Associate Director (Risk Management & Control)Larry E. BergmannESCA............................**OFFICE OF THE CHIEF ACCOUNTANT**Washington, DCChief AccountantMichael H. SuttonESNA............................**OFFICE OF THE GENERAL COUNSEL**Washington, DCGeneral Counsel of the CommissionRichard WalkerESCA............................Washington, DCAssociate General Counsel (Litigation & Administrative Practices)Richard M. HumesESCA............................Washington, DCAssociate General Counsel (Appellate Litigation)Jacob H. StillmanESCA............................Washington, DCAssociate General Counsel (Counseling & Regulatory Policy)Diane SangerESCA............................Washington, DCSolicitor To The CommissionPaul GonsonESCA............................**REGIONAL OFFICES***Northeast Regional Office*New York, NYRegional DirectorCarmen LawrenceESCA............................New York, NYSenior Associate Regional Director (Enforcement)Henry KlehmESCA............................*Midwest Regional Office*Chicago, ILRegional DirectorMary E. KeefeESCA............................*Pacific Regional Office*San Francisco, CARegional DirectorElaine M. CacherisESCA............................*Southeast Regional Office*Atlanta, GADistrict AdministratorRichard P. WesselESCA............................*Northeast Regional Office*Boston, MADistrict AdministratorJuan M. MarcelinoESCA............................*Central Regional Office*Denver, CORegional DirectorDaniel F. SheaESCA............................Fort Worth, TXDistrict AdministratorHarold DegenhardtESCA............................*Northeast Regional Office*Philadelphia, PADistrict AdministratorDonald M. HoerlESCA............................**DIVISION OF CORPORATION FINANCE**Washington, DCAssociate Director (Regulatory Policy)Mauri L. OsheroffESCA............................**OFFICE OF ECONOMIC ANALYSIS**Washington, DCChief EconomistErik SirriESCA............................**DIVISION OF ENFORCEMENT**Washington, DCAssociate DirectorPaul V. GerlachESCA............................**DIVISION OF CORPORATION FINANCE**Washington, DCChief AccountantRobert A. BaylessESCA............................**REGIONAL OFFICES***Midwest Regional Office*Chicago, ILAssociate Regional Director (Enforcement)Randall J. FonsESCA............................**EXECUTIVE STAFF**Washington, DCCounselor to the ChairmanCarrie E. DwyerESNA............................**DIVISION OF ENFORCEMENT**Washington, DCDeputy Chief Litigation CounselStephen J. CrimminsESCA............................**REGIONAL OFFICES***Pacific Regional Office*Los Angeles, CAAssociate Regional Director (Enforcement)Sandra J. HarrisESCA............................**DIVISION OF MARKET REGULATION**Washington, DCDeputy DirectorRobert L. ColbyESCA............................**OFFICE OF THE GENERAL COUNSEL**Washington, DCAssociate General Counsel (Legal Policy) VacantES......................................**DIVISION OF INVESTMENT MANAGEMENT**Washington, DCAssociate Director (Chief Counsel)Jack W. MurphyESCA............................**OFFICE OF THE EXECUTIVE DIRECTOR**Washington, DCAssociate Executive Director (Information Technology)Michael E. BartellESCA............................**OFFICE OF THE SECRETARY**Washington, DCSecretary of the CommissionJonathan KatzESCA............................**DIVISION OF ENFORCEMENT**Washington, DCChief AccountantGeorge H. DiacontESCA............................**DIVISION OF CORPORATION FINANCE**Washington, DCSenior Legal AdvisorDavid A. SirignanoESCA............................**DIVISION OF MARKET REGULATION**Washington, DCAssociate Director (Chief Counsel)Catherine McguireESCA............................Washington, DCAssociate Director (Risk Management & Control)Michael A. MacchiaroliESCA............................**OFFICE OF THE EXECUTIVE DIRECTOR**Washington, DCAssociate Executive Director (Reports & Information)Wilson A. ButlerESCA............................**DIVISION OF CORPORATION FINANCE**Washington, DCAssociate Director (Accounting Operations)Wayne E. CarnallESCA............................**REGIONAL OFFICES***Northeast Regional Office*New York, NYAssociate Regional Director (Broker/Dealer)Robert A. SollazzoESCA............................*Pacific Regional Office*Los Angeles, CAAssociate Regional Director (Regulation)Rosalind R. TysonESCA............................*Midwest Regional Office*Chicago, ILAssociate Regional Director (Regulation)Patricia C. HollandESCA............................*Northeast Regional Office*New York, NYAssociate Regional Director (Enforcement)Robert B. BlackburnESCA............................New York, NYAssociate Regional Director (Investment Management)Douglas ScarffESCA............................**OFFICE OF COMPLIANCE INSPECTIONS 
              AND EXAMINATIONS**Washington, DCAssociate DirectorMary A. GadzailaESCA............................**DIVISION OF CORPORATION FINANCE**Washington, DCSenior Associate DirectorWilliam E. MorleyESCA............................**REGIONAL OFFICES***Pacific Regional Office*San Francisco, CADistrict AdministratorDavid B. BaylessESNA............................**OFFICE OF THE EXECUTIVE DIRECTOR**Washington, DCDirector, SEC Headquarters Renovation ProgramKenneth A. FogashESCA............................**DIVISION OF MARKET REGULATION**Washington, DCSenior Associate Director (Market Supervision)Howard L. KramerESCA............................**REGIONAL OFFICES***Southeast Regional Office*Miami, FLRegional DirectorCharles V. SenatoreESCA............................**DIVISION OF ENFORCEMENT**Washington, DCDeputy DirectorColleen P. MahoneyESCA............................**OFFICE OF COMPLIANCE INSPECTIONS 
              AND EXAMINATIONS**Washington, DCDirectorLori A. RichardsESCA............................Washington, DCAssociate Director (Examinations Support)Gladwyn GoinsESCA............................**REGIONAL OFFICES***Central Regional Office*Denver, COAssociate Regional Director (Enforcement) VacantES......................................**OFFICE OF COMPLIANCE INSPECTIONS 
              AND EXAMINATIONS**Washington, DCAssociate Director (IA/IC Examinations)Gene A. GohlkeESCA............................**DIVISION OF CORPORATION FINANCE**Washington, DCSenior Associate DirectorAbigail ArmsESCA............................**OFFICE OF THE GENERAL COUNSEL**Washington, DCAssociate General Counsel (Adjudication)Anne E. ChaferESCA............................**DIVISION OF ENFORCEMENT**Washington, DCAssociate DirectorGary N. SundickESCA............................**DIVISION OF MARKET REGULATION**Washington, DCAssociate Director (Market Supervision)Holly H. SmithESCA............................**REGIONAL OFFICES***Northeast Regional Office*New York, NYAssociate Regional Director (Enforcement) VacantESCA............................New York, NYDeputy Regional DirectorEdwin H. NordlingerESCA............................**OFFICE OF INTERNATIONAL AFFAIRS**Washington, DCDirector, Office of International AffairsMichael D. MannESCA............................**DIVISION OF CORPORATION FINANCE**Washington, DCDeputy DirectorMeredith B. CrossESCA............................**EXECUTIVE STAFF**Washington, DCChairmanArthur LevittEXPASIII5 years06/05/1998Washington, DCCommissionerSteven M. WallmanEXPASIV5 years06/05/1997Washington, DCCommissioner VacantEXPASIV5 years........Washington, DCCommissionerNorman JohnsonEXPASIV5 years06/05/1999Washington, DCCommissionerIsaac HuntEXPASIV5 years06/05/1900
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