New York Stock Exchange

The New York Stock Exchange (NYSE) "traces its origins to a founding agreement in 1792. The NYSE registered as a national securities exchange with the U.S. Securities and Exchange Commission on October 1, 1934. The Governing Committee was the primary governing body until 1938, at which time The Exchange hired its first paid president and created a thirty-three member Board of Governors. The Board included Exchange members, non-member partners from both New York and out-of-town firms, as well as public representatives.

"In 1971 The N.Y. Stock Exchange was incorporated as a not-for-profit corporation. In 1972 the members voted to replace the Board of Governors with a twenty-five member Board of Directors, comprised of a Chairman and CEO, twelve representatives of the public, and twelve representatives from the securities industry.

"Subject to the approval of the Board, the Chairman may appoint a President, who would serve as a director. Additionally, at the Board's discretion, they may elect an Executive Vice Chairman, who would also serve as a director.

"Currently, the NYSE Board of Directors is comprised of 27 members: 12 directors from the securities industry and 12 public directors, the Chairman and CEO, and the two Presidents, co-COOs and Executive Vice Chairmen." --- NYSE Board of Directors (as listed September 26, 2003]


 * John S. Reed, Chairman and Chief Executive Officer
 * Robert G. Britz, President, Co-Chief Operating Officer and Executive Vice Chairman
 * Catherine R. Kinney, President, Co-Chief Operating Officer and Executive Vice Chairman
 * James E. Cayne, Vice Chairman; Chairman and CEO of The Bear Stearns Companies, Inc.
 * Madeleine K. Albright, The Albright Group
 * Herbert M. Allison, Jr., TIAA-CREF
 * Carol Bartz, Autodesk, Inc.
 * James E. Cayne, The Bear Stearns Companies, Inc.
 * James M. Duryea, J.M. Duryea, Inc.
 * Robert B. Fagenson, Van der Moolen Specialists USA, LLC
 * Laurence D. Fink, BlackRock, Inc.
 * William B. Harrison, Jr., J.P. Morgan Chase & Co.
 * Andrea Jung, Avon Products, Inc.
 * Mel Karmazin, Viacom Inc.
 * Kenneth G. Langone, Invemed Associates LLC
 * Peter N. Larson, Brunswick Corporation (Retired)
 * Gerald M. Levin, AOL Time Warner Inc. (Retired)
 * H. Carl McCall, HealthPoint (resigned 9/25/03)
 * George C. McNamee, First Albany Companies Inc.
 * John J. Mack, Credit Suisse First Boston
 * E. Stanley O'Neal, Merrill, Lynch & Co., Inc.
 * Henry M. Paulson, Jr., The Goldman Sachs Group, Inc.
 * Philip J. Purcell, Morgan Stanley
 * Christopher C. Quick, Fleet Specialist, Inc.
 * Juergen E. Schrempp, DaimlerChrysler AG (resigned 9/27/03)
 * Larry W. Sonsini, Wilson Sonsini Goodrich & Rosati
 * William B. Summers, Jr., McDonald Investments, Inc.

Officers (as listed September 26, 2003)


 * Richard C. Adamonis, VICE PRESIDENT, Corporate Communications
 * Anne E. Allen, SENIOR VICE PRESIDENT, Floor Operations
 * Frank Z. Ashen, EXECUTIVE VICE PRESIDENT, Corporate Services Group
 * Raymond L. Bell, VICE PRESIDENT, New Listings and Client Service
 * Paul B. Bennett, SENIOR VICE PRESIDENT AND CHIEF ECONOMIST
 * Richard P. Bernard, EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL, Office of the General Counsel
 * Dale B. Bernstein, VICE PRESIDENT, Human Resources
 * Daniel Beyda, VICE PRESIDENT, Arbitration and Hearing Board and Chief Hearing Officer
 * Sam Bhaumik, VICE PRESIDENT, Western Region
 * Ananias Blocker III, VICE PRESIDENT, Government Relations
 * Robert G. Britz, EXECUTIVE VICE CHAIRMAN, PRESIDENT and CO-CHIEF OPERATING OFFICER, Office of the Chairman
 * Judith A. Bryngil, VICE PRESIDENT, Market Trading Analysis
 * Roger Burkhardt, CHIEF TECHNOLOGY OFFICER
 * James L. Cochrane, SENIOR VICE PRESIDENT, Strategy & Planning
 * Michael H. Cohen, VICE PRESIDENT, Marketing Communications
 * Dennis L. Covelli, VICE PRESIDENT, Trading Services, Quality Assurance and Implementation Planning
 * Noreen M. Culhane, EXECUTIVE VICE PRESIDENT, Corporate Listings and Compliance
 * Bruce Davis, ASSISTANT VICE PRESIDENT, Enforcement
 * David P. Doherty, EXECUTIVE VICE PRESIDENT, Enforcement
 * James F. Duffy, SENIOR VICE PRESIDENT & ASSOCIATE GENERAL COUNSEL
 * James C. Esposito, VICE PRESIDENT, Security
 * William M. Freeman, VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL, Corporation Transactions Practice
 * David R. Griffiths, VICE PRESIDENT and Head of Europe, Middle East and Africa
 * Thomas E. Haley, VICE PRESIDENT, Market Data
 * Keith R. Helsby, SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, Finance
 * Alan Holzer, CONTROLLER, Controllers
 * William R. Johnston, SENIOR ADVISOR, Office of the Chairman
 * Ronald Jordan, VICE PRESIDENT, Market Data Products
 * Catherine R. Kinney, EXECUTIVE VICE CHAIRMAN, PRESIDENT and CO-CHIEF OPERATING OFFICER, Office of the Chairman
 * Edward A. Kwalwasser, GROUP EXECUTIVE VICE PRESIDENT, Regulation
 * Susan E. Light, VICE PRESIDENT, Enforcement
 * Robert A. Marchman, VICE PRESIDENT, Enforcement
 * Aldo J. Martinez, VICE PRESIDENT, Market Surveillance
 * Brian M. McNamara, VICE PRESIDENT, Market Surveillance Regulatory Development
 * Robert J. McSweeney, SENIOR VICE PRESIDENT, Competitive Position
 * Elaine S. Michitsch, VICE PRESIDENT, Regulatory Development and Services
 * Rex W. Mixon, Jr., VICE PRESIDENT, Enforcement
 * Christopher R. Morin, SENIOR VICE PRESIDENT, International - Europe, Middle East & Africa
 * Alain Y. Morvan, SENIOR VICE PRESIDENT, International Relations
 * Bruce Motto, VICE PRESIDENT, Real Estate and Facilities
 * Regina C. Mysliwiec, SENIOR VICE PRESIDENT, Market Surveillance
 * Janice O'Neill, VICE PRESIDENT, Corporate Compliance
 * Salvatore Pallante, EXECUTIVE VICE PRESIDENT, Member Firm Regulation
 * Louis G. Pastina, VICE PRESIDENT, Point of Sale Technology
 * Richard A. Pecheur, VICE PRESIDENT, Equity Sales & Client Service
 * Angela A. Posillico, VICE PRESIDENT, Regulatory and Administrative Systems
 * John S. Reed, CHAIRMAN AND CHIEF EXECUTIVE OFFICER, Office of the Chairman
 * Richard L. Ribbentrop, SENIOR VICE PRESIDENT, Government Relations
 * Daniel Saporito, VICE PRESIDENT, Member Trading Analysis
 * Bryant W. Seaman, GROUP EXECUTIVE VICE PRESIDENT, International
 * James E. Shapiro, VICE PRESIDENT, International Corporate
 * Milton M. Stein, VICE PRESIDENT, Hearing Officer
 * Darla Stuckey, CORPORATE SECRETARY
 * Salvatore Triolo, VICE PRESIDENT, Sales Practice Review
 * Glenn W. Tyranski, VICE PRESIDENT, Financial Compliance
 * Georges L. Ugeux, SENIOR MANAGING DIRECTOR, International
 * Donald van Weezel, VICE PRESIDENT, Regulatory Affairs
 * Thomas E. Veit, VICE PRESIDENT, Client Service & New Business
 * Robert T. Zito, EXECUTIVE VICE PRESIDENT, Communications

21 September 2003: NYSE Chairman Search Committee Members:

"Laurence D. Fink, who chaired the search committee.... an NYSE Board member and chairman and chief executive officer of BlackRock, Inc....

"In addition to Mr. Fink, members of the search committee included Madeleine K. Albright, principal, The Albright Group; Robert B. Fagenson, vice-chairman, Van Der Moolen Specialists USA, LLC; Mel Karmazin, president and chief operating officer, Viacom, Inc.; Gerald M. Levin, retired chief executive officer, AOL Time Warner, Inc.; John J. Mack, co-chief executive officer, Credit Suisse Group, and chief executive officer, Credit Suisse First Boston; and Larry W. Sonsini, chairman and chief executive officer, Wilson Sonsini Goodrich and Rosati." --

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