-8 either alone or with others: (1) The trade date or settlement date of each transaction, as long as such transactions are reported on the same basis, and whether it involved a purchase or sale. (6) The name of the brokers or dealers through which the transaction vas executed. For the purposes of this paragraph, the term "purchase or sale" shall include any single transaction or series of transactions which are executed pursuant to a single order or authorization. (c) Such reports shall be filed with the Comptroller of the Currency no later than 30 calendar days after each of the herein designated quarterly reporting dates. (d) A copy of the reports required to be made to the Comptroller of the Currency by the provisions of paragraphs (a) and (b) of this section shall be available for public inspection at the Office of the Comptroller of the Currency in Washington, D. C., during regular business hours. In addition, such reports may also be made available to any person at such reasonable charge and under such reasonable limitations as the Comptroller of the Currency may prescribe, consistent with the purposes of this part as expressed at 9.101. -9 9.103 Exemptions. For the purposes of this part: (a) Any equity security, the aggregate holding of which is ten thousand shares or less, need not be included in the report to the Comptroller of the Currency required to be made by the provisions of 8 9.102(a). (b) The assets of any investment company, as that term is defined in the Investment Company Act of 1940, as amended, which is subject to the regulations of the United States Securities and Exchange Commission, for which the reporting institution provides investment advice or counsel, need not be included in the reports to the Comptroller of the Currency required to be made by 9.102. (c) The Comptroller of the Currency may, in his discretion, exempt any reporting entity from the requirements of this part, or any portion thereof upon prior request. 9.104 Information filed with the Comptroller of the Currency. The Any entity required to file reports with the Comptroller of the Currency pursuant to this Regulation may make written request to the Comptroller of the Currency that any information contained in such reports be designated by the Comptroller of the Currency as confidential. Comptroller of the Currency may, in such cases, make available to the public the information contained in any such report only when in his judgment a disclosure of such information is in the public interest and consistent Mr. VIC REINEMER, THE DEPOSITORY TRUST Co., Staff Director, Subcommittee on Budgeting, Management, and Expenditures, Committee on Government Operations, U.S. Senate, Washington, D.C. DEAR VIC: This responds to your request for information about the Societe Interprofessionells Pour La Compensation Des Valeurs Mosilieres (SICOVAM). SICOVAM is the French securities depository system, which was organized under a 1949 law as a "societe anonyme ordinaire" and whose predecessor was established in 1941. It is supervised by the Ministry of Finance and is owned by the principal banks of France and the French brokers association. Its eligible security issues consist of approximately 1,250 French and 125 foreign issues. SICOVAM receives for deposit both bearer securities, which are standard in France, and registered foreign securities which are re-registered in SICOVAM's nominee name. Our understanding is that SICOVAM has over 200 participating members at the present time, most of them banks. SICOVAM is located in Paris. We will supply its current address to you when we have it. I am sorry we do not have more information but the above may be of some help to you. Best wishes. Sincerely, WILLIAM T. Dentzer, Jr., Chairman of the Board and |