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Comments on Proposed Rule:
Investment Company Governance
[Release Nos. IC-26323; File No. S7-03-04]
- Thomas R. Reeves, Jonesboro, Arizona, July 9, 2004 (File name: s70304-194.pdf)
- Bill Majure, June 28, 2004 (File name: bmajure062804.txt)
- Ron & Nancy Cornell, Salt Lake City, UT, June 24, 2004 (File name: rncornell062404.txt)
- Lee B. Schierloh, June 24, 2004 (File name: lbschierloh062404.txt)
- Gordon Fisher, June 24, 2004 (File name: gfisher062404.txt)
- John D. Larson, Nevis, MN, June 24, 2004 (File name: jdlarson062304.txt)
- Anonymous reviewer, June 22, 2004 (File name: geogessch843.txt)
- Judd Gregg, Chairman, Subcommittee on Commerce, Justice, State, the Judiciary and Related Agencies, June 21, 2004 (File name: s70304-186.pdf)
- Clayton Yeutter, Hogan & Hartson, June 21, 2004 (File name: s70304-185.pdf)
- Charles K. Carlson, President, Greenspring Fund, Incorporated, June 17, 2004 (File name: s70304-184.pdf)
- Richard C. Breeden, G. Brandford Cook, Roderick M. Hills, Arthur Levitt, Harvey L. Pitt, David S. Ruder and Harold M. Williams, all of the living former Chairmen of the Securities and Exchange Commission, June 15, 2004 (File name: s70304-179.pdf)
- Memorandum from the Division of Investment Management regarding a June 3 meeting with respresentatives of USAA, dated June 7, 2004 (File name: s70304-178.pdf)
- Joseph J Kearns, June 3, 2004 (File name: s70304-181.pdf)
- Memorandum from the Office Commissioner Glassman regarding a March 25, 2004 meeting with representatives from the United Services Automobile Association, dated May 28, 2004 (File name: usaa032504.pdf)
- John A. Hill, Chairman of the Board, Putnam Mutual Funds, Boston, Massachusetts, May 25, 2004, (File name: jahlil5042.htm)
- John C. Bogle, Founder and Former CEO, The Vanguard Group, May 25, 2004 (File name: s70304-175.pdf)
- Michael G. Oxley, Chairman, Committee on Financial Services, U.S. House of Representatives, May 20, 2004 (File name: s70304-180.pdf)
- Senator Robert Bennett, May 19, 2004 (File name: s70304-176.pdf)
- Fergus Reid, Independent Chairman, JP Morgan Funds, May 18, 2004 (File name: s70304-174.pdf)
- Glendon E. Johnson, Jr., Director, Ivy Funds, Washington, District of Columbia, May 17, 2004, (File name: gejohnson5533.htm)
- Allan S. Mostoff, President, and David S. Ruder, Chairman, Mutual Fund Directors Forum, May 14, 2004, (File name: s70304-169.pdf)
- John A. Hill, Chairman, The Putnam Funds, May 12, 2004 (File name: s70304-171.pdf)
- Lacy B. Herrmann, Chairman and Chief Executive Officer, Aquilasm Group of Funds, May 11, 2004 (File name: s70304-173.pdf)
- Gary Anderson, May 10, 2004 (File name: garyanderson051004.txt)
- Gil Gutknecht, Member of Congress, May 3, 2004 (File name: s70304-172.pdf)
- William F. Ausfahl, L. Dale Crandall, Thomas A. Larsen, and Will C. Wood, Dodge & Cox Funds, April 29, 2004 (File name: dodgecox042904.pdf)
- Michael J. Downer, Capital Research and Management Company, April 26, 2004 (File name: s70304-163.pdf)
- George R. Fisher, Newtown, PA, April 16, 2004 (File name: grfisher041604.txt)
- James E. Grant, CPA, Author, National Public Speaker on Mutual Fund Investing, Carbondale, Colorado, April 14, 2004, (File name: jgrant041404.htm)
- Memorandum from Daphne Tippens Chisolm, Counsel to Commissioner Goldschmid regarding a meeting with Marvin L. Mann, Chairman of the Independent Trustees of the Fidelity Funds, and Kenneth J. Berman, Debevoise & Plimpton LLP, April 13, 2004 (File name: dchisolm041304.pdf)
- W. Hardy Callcott, April 11, 2004 (File name: whcallcott04112004.htm)
- Memorandum from Daphne Tippens Chisolm, Counsel to Commissioner Goldschmid regarding meeting with Fidelity Management & Research Company, April 9, 2004 (File name: fidelity040904.pdf)
- Edward M. Tighe, Independent Trustee, Fort Lauderdale, Florida, April 8, 2004, (File name: emtighe8831.htm)
- John E. Sunumu, U.S. Senator, Mike Crapo, U.S. Senator, Jim Bunning, U.S. Senator, Mike Enzi, U.S. Senator and Chuck Hagel, U.S. Senator, April 7, 2004 (File name: s70304-157.pdf)
- Michael G. Smith, Independent Director of the Ivy Funds Board, April 7, 2004 (File name: s70304-156.pdf)
- Jarold W. Boettcher, CFA, April 5, 2004 (File name: s70304-167.pdf)
- Joseph Harroz, Lead Independent Director, Board of Directors of the Ivy Funds, April 2, 2004 (File name: s70304-168.pdf)
- Andrew A. Strauss, Esquire, Strauss & Associates, PA, April 2, 2004, (File name: s70304-164.pdf)
- Association for Investment Management and Research, March 19, 2004 (File name: aimr031904.htm)
- Mary Van Vliet, March 19, 2004 (File name: mvliet031904.htm)
- Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, March 18, 2004 (File name: fidelity031804.htm) [Revised]
- Jim Greene, March 17, 2004 (File name: jgreene031704.htm)
- Sarah A.B. Teslik, March 17, 2004 (File name: steslik031704.htm)
- Phil Lamoreaux, March 16, 2004 (File name: plamoreaux031604.txt)
- Mitchell M. Merin, President and Chief Operating Officer, Investment Management, MorganStanley, March 15, 2004 (File name: s70304-143.pdf)
- Phillip Goldstein, President, Kimball & Winthrop, Inc.; Opportunity Partners L.P., Pleasantville, New York, March 14, 2004 (File name: pgoldstein031404.htm)
- David Certner, Director, Federal Affairs, AARP, March 12, 2004 (File name: dcertner03122004.htm)
- Brian Cohen, Fidelity Fund Holder, Seattle, Washington, March 11, 2004, (File name: bcohen9497.htm)
- U.S. Representative Michael G. Oxley, Chairman, House Committee on Financial Services; U.S. Representative Richard H. Baker, Chairman, House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises; U.S. Senator Peter G. Fitzgerald, Chairman, Senate Governmental Affairs, Subcommittee on Financial Management, the Budget, and International Security; U.S. Senator Daniel K. Akaka, Ranking Member, Senate Governmental Affairs Subcommittee on Financial Management, the Budget, and International Security; and U.S. Senator Carl Levin, Ranking Member, Senate Governmental Affairs Permanent Subcommittee on Investigations, , March 11, 2004 (File name: s70304-113.pdf)
- Ralph Bakkensen, Andover, MA, March 10, 2004 (File name: rbakkensen031004.txt)
- Independent Directors of the American Century Funds, March 10, 2004 (File name: s70304-63.pdf)
- Morningstar, Inc., March 10, 2004 (File name: morningstar031004.htm)
- Barbara Roper, Director of Investor Protection, Consumer Federation of America; Mercer Bullard, Founder and President, Fund Democracy, Inc.; Kenneth McEldowney, Executive Director, Consumer Action; Sally Greenberg, Senior Counsel, Consumers Union; Frank Clemente, Director, Public Citizen's Congress Watch, March 10, 2004 (File name: s70304-67.pdf)
- Arnold L. Lehman, Legg Mason Wood Walker, Inc., Baltimore, Maryland, March 10, 2004 (File name: s70304-64.pdf)
- James H. Bodurtha, Chair, Directors' Committee, lnvestment Company Institute, March 10, 2004 (File name: s70304-62.pdf)
- George Keane, chairman, Audit Committee of Nicholas Applegate Funds, San Diego, California, March 10, 2004 (File name: s70304-40.pdf)
- Roy Sandstrom, March 10, 2004 (File name: rsandstrom031004.txt)
- John K.S. Wilson, Director - Socially Responsible Investing, March 10, 2004 (File name: sociallyrespon031004.txt)
- Karen Maughan, Anacortes, Washington, March 10, 2004 (File name: kmaughan031004.txt)
- Rosemary Clausen, March 10, 2004 (File name: rclausen031004.txt)
- Stephen Y. Ascher, Ascher Decision, March 10, 2004 (File name: arscher031004.htm)
- Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable, March 10, 2004 (File name: financialserv031004.htm)
- R. Bruce Josten, U.S. Chamber of Commerce, March 10, 2004 (File name: uscc031004.htm)
- John J. Brennan, Chairman and Chief Executive Officer, The Vanguard Group, March 10, 2004 (File name: vanguard031004.htm)
- Charles D. Ellis, Senior Adviser and Former Managing Partner, Greenwich Associates; Rajiv L. Gupta, Chairman and Chief Executive Officer, Rohm and Haas Co.; JoAnn Heffernan Heisen, Vice President, Chief Information Officer and Member of Executive Committee, Johnson & Johnson; Burton G. Malkiel, Professor of Economics, Princeton University; Alfred M. Rankin, Jr., Chairman, President and Chief Executive Officer, NACCO Industries, Inc.; J. Lawrence Wilson, Retired Chairman and Chief Executive Officer, Rohm and Haas Co., March 10, 2004 (File name: vanguarddirectors031004.htm)
- Robert G. Davis, Chairman and Chief Executive Officer, United Services Automobile Association, March 10, 2004 (File name: usaa031004.htm)
- Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc., March 10, 2004 (File name: nasaa031004.htm)
- Scott L. Barbee, Managing Director, Berno, Gambal & Barbee, Inc., March 10, 2004 (File name: berno031004.htm)
- James L. Bicksler, Rutgers University, School of Business, March 10, 2004 (File name: jlbicksler031004.htm)
- Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, March 10, 2004 (File name: fidelity031004.htm)
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Edward E. Sammons, Jr., President, Asset Management Fund and Shay Assets Management, Inc., Chicago, Illinois, March 10, 2004, (File name: eesammons7330.htm)
- Daniel M. Clifton, Executive Director, American Shareholders Association, March 10, 2004 (File name: asa031004.txt)
- Craig S. Tyle, General Counsel, Investment Company Institute, March 10, 2004 (File name: ici031004.htm)
- Graham T. Allison, Jr.; Kenneth J. Cowan, Chair, Contract Review
and Governance Committee; Edward A. Benjamin; Richard Darman; Daniel M. Cain, Chair, Audit Committee; Sandra O. Moose; Paul G. Chenault; John A. Shane, CDC Nvest Funds and Loomis Sayles Funds, March 10, 2004 (File name: cdcloomis030904.htm)
- John E. Murray, Jr., Lead Director, The Federated Funds, Federated Investors, Inc., March 10, 2004 (File name: federatedinv031004.htm)
- Dorothy E. Bourassa, Pioneer Investment Management, Inc., Boston, Massachusetts, March 9, 2004 (File name: s70304-43.pdf)
- Sullivan & Cromwell, March 9, 2004 (File name: sullcrom030904.htm)
- Stuart H. Coleman, Chair, Committee on Investment Management Regulation, Association of the Bar of the City of New York, March 9, 2004 (File name: abcny030904.htm)
- Additional Marvin L. Mann, Chairman, Independent Trustees, March 9, 2004 (File name: indeptrustee030904.htm)
- Ashok N. Bakhru, Chairman of the Board and Independent Trustee, Goldman Sachs Trust,
Goldman Sachs Variable Insurance Trust, March 9, 2004 (File name: goldmansacs030904.htm)
- Theresa A. Hamacher, Principal and Elizabeth A. Watson, Principal, Versanture Consulting, March 9, 2004 (File name: versanture030904.htm)
- Mary Ellen Harris, Bothell, Washington, March 9, 2004 (File name: meharris030904.txt)
- William Affleck-Asch, Seattle, March 9, 2004 (File name: waffleckasch030904.txt)
- Brian J. Edwards, Seattle, Washington, March 9, 2004, (File name: bjedwards1657.htm)
- Kenneth D. Marvel and Terri L. Alexander, Edmonds, Washington, March 9, 2004 (File name: kdmatla030904.txt)
- Glenn Young, March 9, 2004 (File name: gyoung030904.txt)
- Chuck Tarvin, Bainbridge Island, Washington, March 9, 2004 (File name: ctarvin030904.txt)
- Tom Walker, March 9, 2004 (File name: twalker039094.txt)
- Dave Wood, March 9, 2004 (File name: dwood030904.txt)
- R. L. Rodbury, Kent, Washington, March 9, 2004 (File name: rlrodbury030904.txt)
- Wallace Powelson, Seattle, Washington, March 9, 2004 (File name: wpowelson030904.txt)
- William L. Livingston, PE, March 9, 2004 (File name: wllivingston030904.txt)
- Philip L. Katz, Seattle, Washington, March 9, 2004 (File name: plkatz030904.txt)
- D. A. Wickersham, Port Hadlock, Washington, March 9, 2004 (File name: dawickersham030904.txt)
- James Fankhauser, March 8, 2004 (File name: s70304-69.pdf)
- David S. Kircher, Seattle, Washington, March 8, 2004 (File name: dskircher030804.txt)
- Richard G. Cline, Hawthorne Investors, Inc., March 8, 2004 (File name: hawthorne030804.htm)
- Rebecca Herzfeld and Gordon Crawford, March 8, 2004 (File name: herzcraw030804.txt)
- Mr. F.A. Sorrel, Seattle, Washington, March 8, 2004 (File name: fasorrel030804.txt)
- C. Carey, March 8, 2004 (File name: ccarey030804.txt)
- Arthur Dietrich, Medina, Washington, March 8, 2004 (File name: adietrich030804.txt)
- Richard Beckenbaugh, March 8, 2004 (File name: rbeckenbaugh030804.txt)
- Gary Vuchinich, March 8, 2004 (File name: gvuchinich030804.txt)
- James and Diane Snell, Seattle, Washington, March 8, 2004 (File name: jadsnell030804.txt)
- Robert E. Condon, Clyde Hill, Washington, March 8, 2004 (File name: recondon030804.txt)
- Laurie, March 8, 2004 (File name: laurie030804.txt)
- Bob Schaeffer,Green Bay, WI, March 8, 2004 (File name: bschaeffer030804.txt)
- George E. Creel, Hernando Beach, FL, March 8, 2004 (File name: gecreel030804.txt)
- The Catons, March 8, 2004 (File name: thecatons030804.txt)
- Tim Riley, March 8, 2004 (File name: triley030804.txt)
- Robert M. Tourtelot, Lummi Island, Washington, March 8, 2004 (File name: rmtourtelot030804.txt)
- Venu Aravamudan, March 8, 2004 (File name: varavamudan030804.txt)
- M. June Ross, Des Moines, Washington, March 8, 2004 (File name: s70304-68.pdf)
- F.E. James, Ph.D., James Investment Research, Inc., Alpha, Ohio, March 8, 2004 (File name: s70304-45.pdf)
- Edwin A. Clay, investor, Bellingham, Washington, March 7, 2004, (File name: eaclay8476.htm)
- Dwight Thompson, March 7, 2004 (File name: dthompson030704.txt)
- Al Wingert, March 7, 2004 (File name: awingert030704.txt)
- Thor Christensen, March 7, 2004 (File name: tchristensen030704.txt)
- Ron Smith, Federal Way, Washington, March 7, 2004 (File name: rsmith030704.txt)
- Ronald C. Schick, March 7, 2004 (File name: rcschick030704.txt)
- Al McCrary, March 7, 2004 (File name: amccrary030704.txt)
- Larry E. Swift, March 7, 2004, (File name: leswift2665.htm)
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Donald T. Brubeck, Seattle, Washington, March 7, 2004, (File name: dtbrubeck9733.htm)
- Lorraine Lamey, March 7, 2004 (File name: llamey030704.htm)
- Sheila Fehrenbach, March 7, 2004 (File name: sfehrenbach030704.htm)
- Charlie Young, March 7, 2004 (File name: cyoung030704.htm)
- Chris Crowder, March 7, 2004 (File name: ccrowder030704.htm)
- David Harman, March 7, 2004 (File name: dharman030704.htm)
- William Penhallegon, March 7, 2004 (File name: wpenhallegon030704.htm)
- Eduardo, March 7, 2004 (File name: eduardo030704.htm)
- Bob Denney, March 7, 2004 (File name: bdenney030704.htm)
- Howard & Susan McElroy, March 7, 2004 (File name: mcelroy030704.htm)
- Don Mortenson, March 7, 2004 (File name: dmortenson030704.htm)
- John G. Innes, March 7, 2004 (File name: jinnes030704.htm)
- Dwight Thompson, March 7, 2004 (File name: dthompson030704.htm)
- Joe Matt, March 6, 2004 (File name: jmatt030604.htm)
- Richard A. Mitchell, March 6, 2004 (File name: rmitchell030604.htm)
- David Rees, Chairman of the Audit Committee of Source Capital, Inc. and on behalf of the Independent Directors, March 5, 2004 (File name: drees03052004.htm)
- Mary Ann Dolan, AMCAP/AMF/ICA, and Martin Fenton, AMCAP/ AMF / ICA / Fixed Income, Senior Resource Group, San Diego, California, March 4, 2004 (File name: s70304-61.pdf)
- Ronald, J. Abdow, Abdow Corp., West Springfield, Massachusetts, March 4, 2004 (File name: s70304-44.pdf)
- Robert H. Wadsworth, Paradise Valley, Arizona, March 4, 2004 (File name: s70304-42.pdf)
- David W. Fox, Lead Disinterested Trustee, and Jehie M. Edwards, Audit Committee Chairman, of EQ Advisors Trust, March 4, 2004 (File name: s70304-34.pdf)
- Dr. James A. Gentry, Joseph Andrew Hays, and Harold W. Nations of ICAP FUNDS, INC., March 4, 2004 (File name: icapfunds03042004.htm)
- Steve Odland, Chairman, President & CEO of AutoZone, Inc., March 4, 2004 (File name: sodland03042004.htm)
- Marvin L. Mann, Chairman of the Independent Trustees, The Fidelity Funds, Boston, Massachusetts , March 2, 2004 (File name: s70304-66.pdf)
- Keith J. Matthews fowarded by Frank R. Wolf, Member of Congress, U.S. House of Representatives, March 2, 2004 (File name: s70304-177.pdf)
- William L. Livingston, P.E, March 1, 2004 (File name: wlivingston03012004.htm)
- John G. McDonald, the IBJ Professor of Finance, Stanford University, February 27, 2004 (File name: s70304-28.pdf)
- Cyrus A. Ansary, Chairman of the Governance Committee, of
Washington Mutual Investors Fund, March 1, 2004 (File name: s70304-35.pdf)
- John R. Miniutti, February 29, 2004 (File name: s70304-29.pdf)
- Scott C. Newquist, President and CEO, Board Governance Services, Inc., February 26, 2004 (File name: s70304-159.pdf)
- Mr. and Mrs. Clifford Edgcumbe, February 26, 2004 (File name: s70304-30.pdf)
- Vanessa C.L. Chang, February 26, 2004 (File name: s70304-27.pdf)
- K.D.Hill, February 26, 2003 (File name: kdhill022604.htm)
- Leslie Ogg, President, Board Services Corporation, February 26, 2003 (File name: bsc022604.htm)
- T. Rowe Price Mutual Funds, February 25, 2003 (File name: trowe022504.htm)
- Rick Garlick, February 25, 2003 (File name: rgarlick022504.htm)
- Joseph E. May, February 25, 2003 (File name: jmay022504.htm)
- Salvatore J. Carminati, February 24, 2004, (File name: sjcarminati3038.htm)
- Donald B. Campbell, West Chester, Pennsylvania, February 24, 2004 (File name: dbcampbell8323.htm)
- Patricia Rizzolo, February 24, 2003 (File name: prizzolo022404.htm)
- Anonymous, February 24, 2003 (File name: nocreek022404.htm)
- John and Judy Hesselberth, February 24, 2003 (File name: hesselberth022404.htm)
- Bob Cramer, February 24, 2003 (File name: bobcramer022404.htm)
- John Honeck received February 24, 2004 (File name: s70304-22.pdf)
- Martin Brody, David Gale, Morgan Gust, and Robert F. Wulf, C.F.A., The Independent Directors of Flaherty & Crumrine Preferred Income Opportunity Fund Incorporated, February 23, 2004 (File name: s70304-41.pdf)
- Walter E. Auch, Sr., February 20, 2004 (File name: s70304-25.pdf)
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Douglas W. Palme, Kansas City, Missouri, February 17, 2004, (File name: dwpalme4945.htm)
- Irving Lehman Straus, Chairman, of Straus Corporate Communications, February 16, 2004 (File name: s70304-26.pdf)
- Irwin Fischman, CPA, February 16, 2004 (File name: ifischman021604.txt)
- William R. Dill, February 16, 2004 (File name: s70304-20.pdf)
- M. Hunt Broyhill, Vice President, BMC Fund, Inc., February 16, 2004 (File name: s70304-8.pdf)
- Samuel E. Hessrity, February 13, 2004 (File name: s70304-17.pdf)
- U.S. Representatives Patrick Tiberi, Bob Ney, Steve LaTourette, Ruben Hinojosa, Melissa Hart, Jay Inslee, Michael Capuano, Vito Fossella, Dennis Moore, Joseph Crowley, Chris Bell, and Steve Israel, February 11, 2004 (File name: s70304-115.pdf)
- Jay S. Neuman, Corporate Counsel, Federated Investors, Inc., February 11, 2004 (File name: federatedinv021104.htm)
- David Gladstone, Chairman, National Association of Business Development Companies received February 11, 2004 (File name: s70304-15.pdf)
- Jonathan M. Keys, February 11, 2004 (File name: s70304-23.pdf)
- Vern 0. Curtis, February 10, 2004 (File name: s70304-14.pdf)
- Maurice Schoenwald, Chairperson, New Alternatives Fund, Inc., February 9, 2004 (File name: newalternatives020904.htm)
- William L. Armstrong, February 4, 2004 (File name: s70304-33.pdf)
- Elizabeth R. Bramwell, CFA President, Bramwell Funds, Inc. and Bramwell Capital Management, Inc., February 4, 2004 (File name: s70304-16.pdf)
- Anne J. Mills, February 2, 2004 (File name: s70304-11.pdf)
- Paul Koester, January 28, 2004 (File name: s70304-24.pdf)
- Frank Sanchez, January 25, 2004 (File name: fsanchez012504.txt)
- Terry Murtaugh, January 24, 2004 (File name: tmurtaugh012404.txt)
- Jerald H. Meissner, January 22, 2004 (File name: jhmeissner012204.txt)
- Henry P. Becton,Jr., Independent Truste, Scudder Funds, January 15, 2004 (File name: s70304-160.pdf)
- U.S. Representative Richard H. Baker, Chairman, House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, January 14, 2004 (File name: s70304-114.pdf)
- Peter Ryan, January 14, 2004 (File name: pryan011404.txt)
- James J. McMonagle, January 14, 2004 (File name: s70304-5.pdf)
- Robert G. Davis, Chairman and Chief Executive Officer of United Services Automobile Association, January 12, 2004 (File name: s70304-111.pdf)
- J. Lawrence Wilson, lead independent trustee of the Vanguard finds and Chairman of their Audit Committee, January 7, 2004 (File name: s70304-158.pdf)
- Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company, January 7, 2004 (File name: s70304-112.pdf)
- Dawn-Marie Driscoll, President, Driscoll Associates, January 5, 2004 (File name: s70304-4.pdf)
- Jonathan M. Keyes, November 28, 2003 (File name: s70304-3.pdf)
- Mary Jane Baker, July 24, 2003 (File name: s70304-24.pdf)
http://www.sec.gov/rules/proposed/s70304.shtml
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