[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 Edition
      BRANCH: EXECUTIVE 
       SECURITIES AND EXCHANGE COMMISSION
      
          Location
          Position Title
          Name of Incumbent
          Pay Plan
          Type of Appt.
          Level Grade or Pay
          Tenure
          Expires
          
          
            EXECUTIVE STAFF
          
            Washington, DC
            Confidential Assistant
            Ida M. Williams
            GS
            SC
            11
            ..........
            ........
          
          
            Washington, DC
            Confidential Assistant
            Veronica Gillette
            GS
            SC
            11
            ..........
            ........
          
          
            Washington, DC
            Confidential Assistant
             Vacant
            GS
            SC
            11
            ..........
            ........
          
          
            Washington, DC
            Confidential Assistant
            Estelle Ware
            GS
            SC
            9
            ..........
            ........
          
          
            Washington, DC
            Confidential Assistant
            Melissa Kimps
            GS
            SC
            11
            ..........
            ........
          
          
            OFFICE OF THE CHIEF ACCOUNTANT
          
            Washington, DC
            Secretary
            Pamela Proctor-Sarvis
            GS
            SC
            10
            ..........
            ........
          
          
            OFFICE OF THE GENERAL COUNSEL
          
            Washington, DC
            Secretary
            Bettie A. Davis
            GS
            SC
            10
            ..........
            ........
          
          
            EXECUTIVE STAFF
          
            Washington, DC
            Confidential Assistant
            Carol L. Morrow
            GS
            SC
            13
            ..........
            ........
          
          
            OFFICE OF PUBLIC AFFAIRS, POLICY 
              EVALUATION AND RESEARCH
          
            Washington, DC
            Director
            Jennifer A. Scardino
            GS
            SC
            15
            ..........
            ........
          
          
            DIVISION OF MARKET REGULATION
          
            Washington, DC
            Secretary
            Lajoncy Willis
            GS
            SC
            10
            ..........
            ........
          
          
            DIVISION OF ENFORCEMENT
          
            Washington, DC
            Secretary
            Sheila Russell
            GS
            SC
            10
            ..........
            ........
          
          
            DIVISION OF INVESTMENT MANAGEMENT
          
            Washington, DC
            Secretary
            Doris Green
            GS
            SC
            10
            ..........
            ........
          
          
            DIVISION OF CORPORATION FINANCE
          
            Washington, DC
            Secretary
            Michele Williams
            GS
            SC
            10
            ..........
            ........
          
          
            OFFICE OF ECONOMIC ANALYSIS
          
            Washington, DC
            Secretary
            Patrick G. Lent
            GS
            SC
            9
            ..........
            ........
          
          
            OFFICE OF INTERNATIONAL AFFAIRS
          
            Washington, DC
            Secretary
            Jacqueline Clay
            GS
            SC
            9
            ..........
            ........
          
          
            EXECUTIVE STAFF
          
            Washington, DC
            Confidential Assistant
            Mary D. Middleton
            GS
            SC
            12
            ..........
            ........
          
          
            DIVISION OF MARKET REGULATION
          
            Washington, DC
            Secretary
            Jean M. Wade
            GS
            SC
            8
            ..........
            ........
          
          
            OFFICE OF PUBLIC AFFAIRS, POLICY 
              EVALUATION AND RESEARCH
          
            Washington, DC
            Public Affairs Specialist
             Vacant
            GS
            SC
            14
            ..........
            ........
          
          
            Washington, DC
            Confidential Assistant
            Duncan King
            GS
            SC
            9
            ..........
            ........
          
          
            OFFICE OF THE EXECUTIVE DIRECTOR
          
            Washington, DC
            Secretary
            Denise B. Green
            GS
            SC
            10
            ..........
            ........
          
          
            EXECUTIVE STAFF
          
            Washington, DC
            Speech Writer
            Nicholas Balamaci
            GS
            SC
            14
            ..........
            ........
          
          
            OFFICE OF LEGISLATIVE AFFAIRS
          
            Washington, DC
            Director
            Kaye F. Williams
            GS
            SC
            15
            ..........
            ........
          
          
            EXECUTIVE STAFF
          
            Washington, DC
            Chief of Staff
            Michael Schlein
            ES
            NA
            ..........
            ..........
            ........
          
          
            OFFICE OF THE EXECUTIVE DIRECTOR

          
            Washington, DC
            Executive Director
            James M. McConnell
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF ENFORCEMENT
          
            Washington, DC
            Director of Regional Office Operations
            James A. Clarkson
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF CORPORATION FINANCE
          
            Washington, DC
            Director
            Brian Lane
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Associate Director (Small Business & International Finance)
            Albert S. Dandridge
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF ENFORCEMENT
          
            Washington, DC
            Director
            William R. McLucas
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Chief Counsel
            Joan McKown
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Chief Litigation Counsel
             Vacant
            ES
            ..........
            ..........
            ..........
            ........
          
          
            Washington, DC
            Associate Director
            Thomas C. Newkirk
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF INVESTMENT MANAGEMENT
          
            Washington, DC
            Director
            Barry P. Barbash
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Associate Director (Legal & Disclosure)
            Heidi Stam
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Associate Director (Regulation)
            Robert E. Plaze
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF MARKET REGULATION
          
            Washington, DC
            Director
            Richard R. Lindsey
            ES
            NA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Senior Associate Director (Risk Management & Control)
            Larry E. Bergmann
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF THE CHIEF ACCOUNTANT
          
            Washington, DC
            Chief Accountant
            Michael H. Sutton
            ES
            NA
            ..........
            ..........
            ........
          
          
            OFFICE OF THE GENERAL COUNSEL
          
            Washington, DC
            General Counsel of the Commission
            Richard Walker
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Associate General Counsel (Litigation & Administrative Practices)
            Richard M. Humes
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Associate General Counsel (Appellate Litigation)
            Jacob H. Stillman
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Associate General Counsel (Counseling & Regulatory Policy)
            Diane Sanger
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Solicitor To The Commission
            Paul Gonson
            ES
            CA
            ..........
            ..........
            ........
          
          
            REGIONAL OFFICES
          
            Northeast Regional Office
          
          
            New York, NY
            Regional Director
            Carmen Lawrence
            ES
            CA
            ..........
            ..........
            ........
          
          
            New York, NY
            Senior Associate Regional Director (Enforcement)
            Henry Klehm
            ES
            CA
            ..........
            ..........
            ........
          
          
            Midwest Regional Office
          
          
            Chicago, IL
            Regional Director
            Mary E. Keefe
            ES
            CA
            ..........
            ..........
            ........
          
          
            Pacific Regional Office
          
          
            San Francisco, CA
            Regional Director
            Elaine M. Cacheris
            ES
            CA
            ..........
            ..........
            ........
          
          
            Southeast Regional Office
          
          
            Atlanta, GA
            District Administrator
            Richard P. Wessel
            ES
            CA
            ..........
            ..........
            ........
          
          
            Northeast Regional Office
          
          
            Boston, MA
            District Administrator
            Juan M. Marcelino
            ES
            CA
            ..........
            ..........
            ........
          
          
            Central Regional Office
          
          
            Denver, CO
            Regional Director
            Daniel F. Shea
            ES
            CA
            ..........
            ..........
            ........
          
          
            Fort Worth, TX
            District Administrator
            Harold Degenhardt
            ES
            CA
            ..........
            ..........
            ........
          
          
            Northeast Regional Office
          
          
            Philadelphia, PA
            District Administrator
            Donald M. Hoerl
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF CORPORATION FINANCE
          
            Washington, DC
            Associate Director (Regulatory Policy)
            Mauri L. Osheroff
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF ECONOMIC ANALYSIS
          
            Washington, DC
            Chief Economist
            Erik Sirri
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF ENFORCEMENT
          
            Washington, DC
            Associate Director
            Paul V. Gerlach
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF CORPORATION FINANCE
          
            Washington, DC
            Chief Accountant
            Robert A. Bayless
            ES
            CA
            ..........
            ..........
            ........
          
          
            REGIONAL OFFICES
          
            Midwest Regional Office
          
          
            Chicago, IL
            Associate Regional Director (Enforcement)
            Randall J. Fons
            ES
            CA
            ..........
            ..........
            ........
          
          
            EXECUTIVE STAFF
          
            Washington, DC
            Counselor to the Chairman
            Carrie E. Dwyer
            ES
            NA
            ..........
            ..........
            ........
          
          
            DIVISION OF ENFORCEMENT
          
            Washington, DC
            Deputy Chief Litigation Counsel
            Stephen J. Crimmins
            ES
            CA
            ..........
            ..........
            ........
          
          
            REGIONAL OFFICES
          
            Pacific Regional Office
          
          
            Los Angeles, CA
            Associate Regional Director (Enforcement)
            Sandra J. Harris
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF MARKET REGULATION
          
            Washington, DC
            Deputy Director
            Robert L. Colby
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF THE GENERAL COUNSEL
          
            Washington, DC
            Associate General Counsel (Legal Policy)
             Vacant
            ES
            ..........
            ..........
            ..........
            ........
          
          
            DIVISION OF INVESTMENT MANAGEMENT
          
            Washington, DC
            Associate Director (Chief Counsel)
            Jack W. Murphy
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF THE EXECUTIVE DIRECTOR
          
            Washington, DC
            Associate Executive Director (Information Technology)
            Michael E. Bartell
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF THE SECRETARY
          
            Washington, DC
            Secretary of the Commission
            Jonathan Katz
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF ENFORCEMENT
          
            Washington, DC
            Chief Accountant
            George H. Diacont
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF CORPORATION FINANCE
          
            Washington, DC
            Senior Legal Advisor
            David A. Sirignano
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF MARKET REGULATION
          
            Washington, DC
            Associate Director (Chief Counsel)
            Catherine Mcguire
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Associate Director (Risk Management & Control)
            Michael A. Macchiaroli
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF THE EXECUTIVE DIRECTOR
          
            Washington, DC
            Associate Executive Director (Reports & Information)
            Wilson A. Butler
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF CORPORATION FINANCE
          
            Washington, DC
            Associate Director (Accounting Operations)
            Wayne E. Carnall
            ES
            CA
            ..........
            ..........
            ........
          
          
            REGIONAL OFFICES
          
            Northeast Regional Office
          
          
            New York, NY
            Associate Regional Director (Broker/Dealer)
            Robert A. Sollazzo
            ES
            CA
            ..........
            ..........
            ........
          
          
            Pacific Regional Office
          
          
            Los Angeles, CA
            Associate Regional Director (Regulation)
            Rosalind R. Tyson
            ES
            CA
            ..........
            ..........
            ........
          
          
            Midwest Regional Office
          
          
            Chicago, IL
            Associate Regional Director (Regulation)
            Patricia C. Holland
            ES
            CA
            ..........
            ..........
            ........
          
          
            Northeast Regional Office
          
          
            New York, NY
            Associate Regional Director (Enforcement)
            Robert B. Blackburn
            ES
            CA
            ..........
            ..........
            ........
          
          
            New York, NY
            Associate Regional Director (Investment Management)
            Douglas Scarff
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF COMPLIANCE INSPECTIONS 
              AND EXAMINATIONS
          
            Washington, DC
            Associate Director
            Mary A. Gadzaila
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF CORPORATION FINANCE
          
            Washington, DC
            Senior Associate Director
            William E. Morley
            ES
            CA
            ..........
            ..........
            ........
          
          
            REGIONAL OFFICES
          
            Pacific Regional Office
          
          
            San Francisco, CA
            District Administrator
            David B. Bayless
            ES
            NA
            ..........
            ..........
            ........
          
          
            OFFICE OF THE EXECUTIVE DIRECTOR
          
            Washington, DC
            Director, SEC Headquarters Renovation Program
            Kenneth A. Fogash
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF MARKET REGULATION
          
            Washington, DC
            Senior Associate Director (Market Supervision)
            Howard L. Kramer
            ES
            CA
            ..........
            ..........
            ........
          
          
            REGIONAL OFFICES
          
            Southeast Regional Office
          
          
            Miami, FL
            Regional Director
            Charles V. Senatore
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF ENFORCEMENT
          
            Washington, DC
            Deputy Director
            Colleen P. Mahoney
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF COMPLIANCE INSPECTIONS 
              AND EXAMINATIONS
          
            Washington, DC
            Director
            Lori A. Richards
            ES
            CA
            ..........
            ..........
            ........
          
          
            Washington, DC
            Associate Director (Examinations Support)
            Gladwyn Goins
            ES
            CA
            ..........
            ..........
            ........
          
          
            REGIONAL OFFICES
          
            Central Regional Office
          
          
            Denver, CO
            Associate Regional Director (Enforcement)
             Vacant
            ES
            ..........
            ..........
            ..........
            ........
          
          
            OFFICE OF COMPLIANCE INSPECTIONS 
              AND EXAMINATIONS
          
            Washington, DC
            Associate Director (IA/IC Examinations)
            Gene A. Gohlke
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF CORPORATION FINANCE
          
            Washington, DC
            Senior Associate Director
            Abigail Arms
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF THE GENERAL COUNSEL
          
            Washington, DC
            Associate General Counsel (Adjudication)
            Anne E. Chafer
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF ENFORCEMENT
          
            Washington, DC
            Associate Director
            Gary N. Sundick
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF MARKET REGULATION
          
            Washington, DC
            Associate Director (Market Supervision)
            Holly H. Smith
            ES
            CA
            ..........
            ..........
            ........
          
          
            REGIONAL OFFICES
          
            Northeast Regional Office
          
          
            New York, NY
            Associate Regional Director (Enforcement)
             Vacant
            ES
            CA
            ..........
            ..........
            ........
          
          
            New York, NY
            Deputy Regional Director
            Edwin H. Nordlinger
            ES
            CA
            ..........
            ..........
            ........
          
          
            OFFICE OF INTERNATIONAL AFFAIRS
          
            Washington, DC
            Director, Office of International Affairs
            Michael D. Mann
            ES
            CA
            ..........
            ..........
            ........
          
          
            DIVISION OF CORPORATION FINANCE
          
            Washington, DC
            Deputy Director
            Meredith B. Cross
            ES
            CA
            ..........
            ..........
            ........
          
          
            EXECUTIVE STAFF
          
            Washington, DC
            Chairman
            Arthur Levitt
            EX
            PAS
            III
            5 years
            06/05/1998
          
          
            Washington, DC
            Commissioner
            Steven M. Wallman
            EX
            PAS
            IV
            5 years
            06/05/1997
          
          
            Washington, DC
            Commissioner
             Vacant
            EX
            PAS
            IV
            5 years
            ........
          
          
            Washington, DC
            Commissioner
            Norman Johnson
            EX
            PAS
            IV
            5 years
            06/05/1999
          
          
            Washington, DC
            Commissioner
            Isaac Hunt
            EX
            PAS
            IV
            5 years
            06/05/1900