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Jonathan Katz
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#	Item
171	ELECTRONIC MARKETS April 6, 2004 Jonathan G. Katz, Secretary Securities and Exchange Commission 450 Fifth Street, NW Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-04-22 15:27:23 International Securities Exchange Finance Financial system Financial markets Financial economics Market maker
172	April 16, 2004 Jonathan G. Katz, Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington DC, 20549 Re: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-04-19 09:23:55 Finance Stock market United States Securities and Exchange Commission Financial regulation Securities Regulation NMS Payment for order flow Order Market maker Financial economics Financial markets Investment
173	March 25, 2004 Submitted electronically to [removed] Jonathan G. Katz Secretary Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-03-31 15:40:20 Computer law Gramm–Leach–Bliley Act Privacy law Internet privacy Financial economics Privacy Fair Credit Reporting Act Law United States federal banking legislation Ethics 106th United States Congress
174	ICAA June 11, 2004 Via Electronic Filing Jonathan G. Katz Secretary Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-14 15:51:10 Financial system Same-day affirmation Straight-through processing U.S. Securities and Exchange Commission Financial adviser Registered Investment Advisor Depository Trust & Clearing Corporation Short Goldman Sachs Financial economics Finance Transaction processing
175	Securities Transfer Association of Canada Richard M. Barnowski Secretary-Treasurer June 14th, 2004 Mr. Jonathan G. Katz Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-15 12:59:58 Finance Demat account Security Depository Trust & Clearing Corporation Depository participant Dematerialization Securities market Repurchase agreement U.S. Securities and Exchange Commission Financial economics Economics Securities
176	June 15, 2004 Page 1. Mr. Jonathan G. Katz, Secretary United States Securities and Exchange Commission 450 Fifth Street NW Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-15 13:00:15 Business Finance Financial markets Securities Security Demat account Dematerialization Securities market U.S. Securities and Exchange Commission Financial economics Economics Stock market
177	December 8, 2005 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC[removed]Attention: Jonathan G. Katz, Secretary Re: Commission Guidance Regarding Client Commission Practices under Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-13 13:34:34 U.S. Securities and Exchange Commission Christopher Cox Financial adviser Securities and Exchange Commission Annette Nazareth Government Economics Finance Soft dollar Business
178	@ S T O N E CARLIE GOING BEYOND T H E NUMBERS December[removed]Mr. Jonathan G. Katz Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-12-31 09:59:30 Financial services Funds Collective investment schemes Financial markets Mutual fund fees and expenses Mutual fund Net asset value Short Security Financial economics Investment Finance
179	June 16, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-17 12:29:21 Financial markets Financial services Transaction processing Securities Straight-through processing Settlement U.S. Securities and Exchange Commission Demat account Security Financial economics Investment Finance
180	May 14, 2004 Mr. Jonathan G. Katz, Secretary Securities and Exchange Commission 450 Fifth Street NW Washington, DC[removed]Re: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-05-19 16:54:54 Economy of the United States Public Company Accounting Oversight Board Sarbanes–Oxley Act Audit U.S. Securities and Exchange Commission American Institute of Certified Public Accountants Center for Audit Quality SOX 404 top–down risk assessment Accountancy Auditing Business

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