<PAGE>
Filed by Board of Trade of the City of Chicago, Inc. (CBOT)
Subject Company -- Board of Trade of the City of Chicago, Inc.
Pursuant to Rule 425 under the Securities Act of 1933 File No.
132-01854
* * * *
The following communication was distributed to CBOT members and membership
interest holders on November 21, 2000 and is currently available on the CBOT's
intranet site, MemberNet.
[LOGO] BOARD OF TRADE OF THE CITY OF CHICAGO
OFFICE OF THE SECRETARY
MONTHLY LETTER TO MEMBERS
NOVEMBER 2000
--------------------------------------------------------------------------------
Please report business and home address changes and changes affecting
registration privileges to the Department of Member Services.
In accordance with the provisions of Regulation 312.01, the Exchange will be
closed on Thursday, November 23, 2000 in observance of Thanksgiving Day.
NOTICES DISTRIBUTED DURING THE LAST MONTH
October 3, 2000
Dear Fellow Member:
Yesterday, we announced the expansion of trading hours for our a/c/e electronic
trading platform, responding to member and customer demand for more trading
opportunities in the Asian time zone. Market users can begin trading CBOT
products on the new schedule on October 15, 2000.
The new operating hours on a/c/e for financial products will be 8:00 p.m. to
4:00 p.m. Previously, the hours of operation were 10:00 p.m. to 4:00 p.m. The
new hours on a/c/e for agricultural products will be 8:30 p.m. to 6:00 a.m.
Previously, the hours of operation were 10:10 p.m. to 6:00 a.m.
Since its launch just more than a month ago, overall volume on the a/c/e
platform has surpassed 2 million contracts--with volume reaching one million in
its first 12 days of trading. Currently, 84 CBOT members and member firms are
able to trade CBOT products on the a/c/e platform. The second phase of the
alliance, scheduled to launch during fourth quarter 2000, will include an
additional 60-80 members and member firms.
The CBOT is committed to service to our members and customers. I welcome your
feedback on any issues of interest to you.
Sincerely,
David P. Brennan
Chairman of the Board
* * * * * *
<PAGE>
October 4, 2000
Dear Fellow Member,
The implementation of side by side a/c/e and open outcry grain trading will
require a specific plan to complement the complexities of the CBOT's grain
products. As the Chicago Board of Trade evaluates the issues pertinent to side
by side ag trading, I want to assure you that we are working to address the
concerns associated with such a change in the traditional grain trading day.
Presently we are precluded from trading grains between the hours of 6:00 a.m.
and 6:00 p.m. absent member approval. This window must be minimized in order to
remain competitive in the futures industry. It is our goal to initiate side by
side trading before this step becomes a reactionary or defensive response to
CBOT competitors. We will seek out the demands of our users and those of the
marketplace in general in order to conclude the most suitable side by side
trading framework for effectively serving our members and customers.
Side by side trading of grains cannot properly be addressed with the same
initiative utilized for our financial products. The overlap of electronic
trading and the 7:30 a.m. government crop reports is a critical issue and will
contribute to the determination of extended a/c/e trading hours. We recognize
the crucial role these reports play in the trading of grain products, and we
will carefully consider the impact of permitting active electronic trading
during the release of these reports.
I will update you with developments in this process.
Sincerely,
David P. Brennan
Chairman of the Board
* * * * * *
2
<PAGE>
The results of the October 12, 2000 membership ballot vote are as follows:
PROPOSITION
-----------
Amend the CBOT Charter, Bylaws and Rules, as indicated in the Ballot Disclosure,
to reduce the size of the Board of Directors and of the Nominating Committee.
AM REGULAR TOTAL
-- ------- -----
Total Count
----- -----
Total number of
ballots cast 167 27 5/6 684 711 5/6
---- ------- ------- -------
Ballots FOR 138 23 585 608
---- ------- ------- -------
Ballots AGAINST 29 4 5/6 99 103 5/6
---- ------- ------- -------
BLANKS 0 0
---- -------
MAJORITY FOR 504 1/6
---- -------
The CBOT urges you to read the Registration Statement on Form S-4, including the
proxy statement/prospectus contained within the Registration Statement,
regarding the CBOT restructuring, when it becomes available, as well as the
other documents that the CBOT has filed or will file with the SEC, because they
contain or will contain important information. CBOT members and membership
interest holders may obtain a free copy of the proxy statement/prospectus, when
it becomes available, and other documents filed by the CBOT at the Commission's
website at www.sec.gov, or from the CBOT by directing such request in writing or
by telephone to: Board of Trade of the City of Chicago, Inc., 141 W. Jackson
Blvd., Chicago, Illinois 60604, Attention: Office of the Secretary, Telephone:
(312) 435-3605, Facsimile: (312) 347-3827. This communication shall not
constitute an offer to sell or the solicitation of an offer to buy, nor shall
there by any sale of securities in any state in which offer, solicitation or
sale would be unlawful prior to registration or qualification under the
securities laws of any such state. No offering of securities shall be made
except by means of a prospectus meeting the requirements of Section 10 of the
Securities Act of 1933, as amended.
* * * * * *
October 16, 2000
TO: MEMBERS
RE: NOMINATING COMMITTEE
In accordance with the CBOT(R) Bylaws, Article II, Section 4, the Nominating
----------
Committee will hold open meetings as follows:
---------
TUESDAY, OCTOBER 24, 2000 (2:00 P.M.)
WEDNESDAY, OCTOBER 25, 2000 (2:00 P.M.)
THURSDAY, OCTOBER 26, 2000 (2:00 P.M.)
(continued)
3
<PAGE>
Members are invited and urged to present their recommendations to the Committee.
-------------------------------------------------------------------------------
All three meetings will be held in the Board of Trade Building. Appointments are
necessary and can be made by calling the Secretary's Office at 312/435-3600. The
---
Committee suggests that appointments be made as early as possible in order to
-----------------------------------------------------------------------------
accommodate all interested members.
----------------------------------
Nominations will be made to fill the following office:
Chairman of the Board (two year term)
IF YOU CANNOT ATTEND A MEETING IN PERSON, PLEASE SUBMIT YOUR RECOMMENDATIONS IN
WRITING TO THE NOMINATING COMMITTEE, C/O PAUL J. DRATHS, VICE PRESIDENT AND
SECRETARY, SUITE 600.
Nominating Committee
--------------------
John H. Tocks, Chairman Jay Homan
John L. Pietrzak, Vice Chairman Bruce A. Williams
Jack R. Frymire Charles M. Wolin
* * * * * *
October 3, 2000
RE: a/c/e Agricultural Products Trading Times Survey
------------------------------------------------
On September 19, 2000, the Board of Directors unanimously approved a proposal to
enable the listing of CBOT(R) agricultural complex products for electronic
trading during all hours of operation of the a/c/e trading platform, including
side-by-side with the open outcry session. Under Rule 9B.02 the electronic
trading of agricultural contracts during the 6:00 a.m. to 6:00 p.m. timeframe is
subject to approval by a vote of the membership. Current a/c/e trading hours for
agricultural commodities are 10:10 p.m. - 6:00 a.m. On October 15, 2000, a/c/e
trading hours for agricultural commodities will be expanded to 8:30 p.m. - 6:00
a.m.
What is your preference for a/c/e trading hours for agricultural products?
1) All possible and continuous a/c/e platform trading hours?
(8:30 p.m. - 4:00 p.m.) This proposal raises questions related to potential
volatility caused by the release of the quarterly USDA Grain Stocks
reports, monthly USDA Crop Production reports at 7:30 a.m. and the weekly
Crop Condition and Progress reports at 3:00 p.m.
2) All possible a/c/e platform trading hours, except 6:00 a.m. - 9:30 a.m.?
(8:30 p.m. - 6:00 a.m. plus 9:30 a.m. - 4:00 p.m.) Under this proposal, no
--------------------------
trading on the a/c/e platform would be allowed during the hours when
quarterly USDA Grain Stocks reports and monthly USDA Crop Production
reports are released, however, the system would be open for trading when
the weekly Crop Condition and Progress reports are released at 3:00 p.m.
3) All possible a/c/e platform trading hours, except 6:00 a.m. - 9:30 a.m. and
1:15 p.m. - 4:00 p.m.?
(8:30 p.m. - 6:00 a.m. plus 9:30 a.m. - 1:15 p.m.) Under this proposal, the
--------------------------
a/c/e system would be closed when quarterly USDA Grain Stocks reports,
monthly USDA Crop Reports and weekly Crop Condition and Progress reports
are released.
Please contact David Lehman (312-347-3848, Fax: 312-341-3118, e-mail:
[email protected]) in the Market and Product Development Department with your
----------------
response and any questions by October 5, 2000.
* * * * * *
4
<PAGE>
October 9, 2000
Trading Against Own Orders Prohibited
-------------------------------------
All a/c/e users are reminded of the following CBOT Rule and Ruling:
Rule 501.00: Fictitious Transactions
It shall be an offense against the Association to create fictitious
transactions or to give an order for the purchase or sale of fuutres
or options, the execution of which would involve no change in
ownership, or to execute such an order with knowledge of its
character.
Ruling 9B.16A: Trading Against Own Orders Prohibited
During an e-cbot trading session, a member shall not knowingly cause
to be entered, or enter into, a transaction in which the member
assumes the opposite side of an order entered on behalf of the
member's own account.
Violations of Ruling 9B.16A or Rule 501.00 may result in disciplinary action by
the Exchange.
Questions regarding this notice may be directed to Bryan Durkin (312.435.3687)
or Dean Payton (312.435.3658) of the Office of Investigations and Audits.
* * * * * *
October 10, 2000
RE: NEW A/C/E TRADING SCHEDULE
--------------------------
Beginning SUNDAY, OCTOBER 15, 2000, the regular trading hours for CBOT(R)
------------------------
products on the a/c/e electronic trading platform will be as follows (Central
Time, Sunday through Friday):
Financial Products 8:00 p.m. to 4:00 p.m.
Stock Index & Metals Products 8:15 p.m. to 4:00 p.m.
Agricultural Products 8:30 p.m. to 6:00 a.m.
Questions in this regard may be directed to Jeffrey Hersh, Director, Electronic
Trading Systems (312) 341-7650 or Mary McDonnell, Vice President and a/c/e
Managing Director (312) 341-7332.
* * * * * *
5
<PAGE>
October 19, 2000
RE: DELIVERY ELIGIBILITY OF REOPENED U.S. TREASURY BONDS AND NOTES
--------------------------------------------------------------
As stipulated in Regulations 2336.01, 2436.01, and 2536.01, the Chicago Board of
Trade will add new issues of U.S. Treasury Notes to the deliverable grades of
the 2-Year, 5-Year, and 10-Year U.S. Treasury Note futures contracts as they are
issued. If, during the auction of a 2-Year, 5-Year, or 10-Year note which meets
the standards of these regulations, the U.S. Treasury Department re-opens an
existing bond or note that does not meet these standards but is
indistinguishable from the newly auctioned security (i.e., both issues
constitute a single issue), the CBOT will deem both the new and existing issues
to meet the delivery standards of the 2-Year, 5-Year, or 10-Year Note futures
contracts.
For example, if the Treasury Department re-opens an old 10-Year note (e.g., the
5-7/8s of November 2005) at the next 5-year note auction scheduled this
November, thus rendering the existing 10-year note indistinguishable from the
newly auctioned 5-year note, the Exchange will officially deem both issues to be
eligible for delivery into the 5-Year Note futures contract for the December
2000, March 2001, June 2001, and September 2001 expirations.
Questions or comments regarding this notice should be directed to William Lange
of the Office of Investigations and Audit Department at (312) 341-7757 or Daniel
W. Grombacher of the Market and Product Development Department at (312)
435-3787.
* * * * * *
October 24, 2000
RE: CORN FUTURES DELIVERY SPECIFICATIONS
A question has been raised regarding the eligibility of StarLink(TM) corn for
delivery in satisfaction of CBOT(R) corn futures contracts. StarLink corn is a
genetically enhanced variety of corn that is registered to Aventis CropScience.
According to CBOT Rule 1038.00, Grades, "A contract for the sale of commodities
for future delivery shall be performed on the basis of the grades officially
promulgated by the Secretary of Agriculture as conforming to United States
Standards at the time of making the contract. If no such United States grades
shall have been officially promulgated, then such contract shall be performed on
the basis of the grades established by the Department of Agriculture of the
State of Illinois, or the standards established by the Rules and Regulations of
the Association in force at the time of making the contract."
Under CBOT Rule 1036.00, Grade Differentials, U.S. Nos. 1-3 grades of yellow
corn can be delivered in satisfaction of CBOT Corn futures contracts, subject to
the specified differentials for quality. Since these grade standards do not
include restrictions on genetically enhanced varieties, StarLink(TM) corn, or
any other genetically enhanced varieties that meet the U.S. Grade standards
designated above, may be delivered in satisfaction of CBOT futures contracts.
If you have any questions about CBOT Corn delivery requirements, please contact
David Lehman (312/347-3848) in the Market and Product Development Department or
Joe Hawrysz (312/341-7750) in the Office of Investigations and Audits.
* * * * * *
6
<PAGE>
October 26, 2000
RE: PRE-EXECUTION COMMUNICATIONS IN
CONNECTION WITH A/C/E TRADING
A member may enter an order into the a/c/e system for its own account or for the
account of a customer following communications with one or more other members
under the procedure described below.
1. Members or employees of member firms authorized to use the a/c/e system may
engage in communications intended to discern the level of interest for a
particular quantity and/or at a particular price.
2. A member ("Member A") who has made or received such communications may enter
an order ("Order A") into a/c/e.
3. Following the entry of that order, another member who also participated in
the communications ("Member B") may an enter an order ("Order B") which could be
matched against Order A, provided that
(a) Order A is not for the account of Member B;
(b) Order B is not for the account of Member A; and
(c) Member B has waited a reasonable period of time before entering Order B.
4. A reasonable period of time is presumed to be 5 seconds with respect to
futures, and 15 seconds with respect to options.
5. Member B may agree in advance with Member A to take the other side of Order A
after waiting a reasonable period of time after the entry of Order A, if Order A
is not otherwise executed during that interval. A trade made after such
communications or agreement would not violate Regulations 332.01, 350.05(f) or
352.01(3) or Rule 332.00 because Order A is exposed to other market
participants, thus ensuring that the execution of Order A is open and
competitive. Such activity would still have to comply with other Exchange rules,
such as the ban on wash trading, and with CFTC regulations.
6. For a customer order, the customer would have to consent to execution of his
order in accordance with this procedure.
7. A person who has been solicited to participate in a transaction through
pre-execution communications may not: (a) disclose the details of such
communications to another person (other than to secure the consent of a customer
pursuant to paragraph 6); or (b) use the information obtained from such
communications other than to participate in such transaction in accordance with
the procedure described above.
Questions in this regard may be directed to O.I.A., Bryan T. Durkin at
(312)435-3687 or Dean Payton at (312)435-3658.
* * * * * *
October 30, 2000
RE: DEFERMENT OF ELECTRONIC ORDER ROUTING FIRM MANDATE
---------------------------------------------------
ON THE TRADING FLOOR
--------------------
The electronic order routing agricultural and financial firm mandate
implementation scheduled for November 1, 2000 is postponed due to recent order
routing system stability issues which are being addressed. Additionally, the
Exchange requires more time to meet the overwhelming demand for COMETs and
Electronic Clerks as the trading community dramatically increased its adoption
of order routing.
As a reminder, the mandate required certain firms who conducted business in the
agricultural or financial markets to utilize the order routing system to
endorse/enter no less than 25% of their total executed orders each month. The
Order Routing Business team will provide ample notice to the trading community
prior to re-instating the mandate.
Further information requests regarding the mandate may be directed to Bryan T.
Durkin (435-3687) or Tom McCabe (341-3121).
* * * * * *
7
<PAGE>
CBOT DECEMBER 2000 CONTRACTS
<TABLE>
<CAPTION>
Commodity First First First Last Trade Last
Name Position Notice Delivery Date Delivery
<S> <C> <C> <C> <C> <C>
Wheat Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Thu-Dec 14 Tue-Dec 26
Corn Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Thu-Dec 14 Mon-Dec 18
IA/IL/IN/OH/US *** No December Contract ***
NAT CROP YIELD
Oats Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Thu-Dec 14 Tue-Dec 26
Soybeans *** No December Contract ***
Soybean Oil Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Thu-Dec 14 Fri-Dec 29
Soybean Meal Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Thu-Dec 14 Mon-Dec 18
Rough Rice *** No December Contract ***
Gold Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Tue-Dec 26 Fri-Dec 29
(Kilo & 100 oz.)
Silver (1000 &
5000 oz.) Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Tue-Dec 26 Fri-Dec 29
US Bonds Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Tue-Dec 19 Fri-Dec 29
Ten Year Notes Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Tue-Dec 19 Fri-Dec 29
Ten Year Agency Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Tue-Dec 19 Fri-Dec 29
Five Year Notes Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 Tue-Dec 19 Fri-Dec 29
<CAPTION>
Commodity First First First Last Trade Last Last
Name Position Notice Delivery Date Notice Delivery
<S> <C> <C> <C> <C> <C> <C>
2 Year Notes Wed-Nov 29 Thu-Nov 30 Fri-Dec 01 *Thu-Dec 28 *Tue-Jan 2, 2001 *Wed-Jan 3, 2001
</TABLE>
*Tentative dates - subject to change based on U.S. Treasury choice of note issue
day.
Flexible options - available for trading in bonds, 10, 5, and 2 year T-Note
options.
<TABLE>
<CAPTION>
EXPIRING OPTIONS WILL TRADE
---------------------------
UNTIL THEIR NORMAL CLOSE TIME.
------------------------------
COMMODITY LAST TRADE EXPIRATION EXPIRING FUTURE CONTRACTS CLOSE
-------------------------------
NAME DATE DATE AT 12:00 NOON EXCEPT:
---- ---- ---- ---------------------
<S> <C> <C> <C>
Twelve month SC/
CA/NE PCS OPT Fri-Dec 29, 2000
1999 ANN SC/LC 12:30 PM - PCS Insurance Options
NA PCS OPT Fri-Dec 29, 2000 1:25 PM - Silver Futures
1:40 PM - Gold
2:00 PM - Muni Bonds, 30 Day Fed Funds
3:15 PM - Dow Jones futures
Dow Jones Futures Thu-Dec 14 The daily price limits for spot month
Dow Jones Options Thu-Dec 14 future contracts will be removed
30 Day Fed Funds Fri-Dec 29 uniformly beginning on the second
Muni Bond Futures Tue-Dec 19 business day prior to the first day of
Muni Bond Options Tue-Dec 19 the spot month. Limits on
US Bond Options Fri-Nov 17 Sat-Nov 18 option contracts will be removed on
10 Yr. Note Options Fri-Nov 17 Sat-Nov 18 the last day of trading.
5 Yr. Note Options Fri-Nov 17 Sat-Nov 18
2 Yr. Note Options Fri-Nov 17 Sat-Nov 18 This information is subject to change
10 Yr. Agency Options Fri-Nov 17 Sat-Nov 18 without notice in an emergency as
Soybean Options Fri-Nov 17 Sat-Nov 18 defined in Rule 180.00 and
Corn Options Fri-Nov 17 Sat-Nov 18 Regulation 180.01.
</TABLE>
8
<PAGE>
<TABLE>
<S> <C> <C> <C>
Wheat Options Fri-Nov 17 Sat-Nov 18 It subject to change with notice,
Oat Options Fri-Nov 17 Sat-Nov 18 constructive or actual, if relevant rules
Soybean Oil Options Fri-Nov 17 Sat-Nov 18 or regulations are amended or holiday
Soybean Meal Opt's. Fri-Nov 17 Sat-Nov 18 schedule revisions are made by the Board.
Rice Options Fri-Nov 17 Sat-Nov 18
Silver Options Fri-Nov 24 Sat-Nov 25
</TABLE>
* * * * * *
AMENDMENTS TO THE RULES AND REGULATIONS
October 17, 2000
Re: REVISED REGULATION 332.06 RECORDS OF PROPRIETARY ORDERS
The Board of Directors and the CFTC have approved amendments to Regulation
332.06 "Records of Proprietary Orders".
Under amended Regulation 332.06 proprietary orders of both clearing and
non-clearing member firms executed by employees of the member firm may be
recorded on trading cards in a manner similar to a local's trade recordation if
the following requirements are met:
. The executing members must meet the recordkeeping requirements of
Regulation 332.04.
. Executing members must register with Exchange.
. Executing members may not trade for their personal accounts.
. The amended regulation applies to orders initiated by the executing firm or
orders placed by the employing member firm.
The amended regulation is effective immediately.
For further information and/or to register with the Exchange under the revised
regulation, please contact Mary Beth Rooney (312-435-3583) or Terry Quinn
(312-435-3753) in OIA.
* * * * * *
9
<PAGE>
CHANGES IN MARGIN REQUIREMENTS
October 19, 2000
RE: MARGIN REQUIREMENTS
------------------------
The following changes in Exchange minimum margin requirements will be effective
as of the opening of business October 20, 2000:
----------------
<TABLE>
<CAPTION>
From To
Initial/Maintenance/Hedge Initial/Maintenance/Hedge
------------------------- --------------------------
<S> <C> <C> <C> <C> <C> <C>
Soybean Oil $ 540/ 400 / 400 $ 473/ 350 / 350
Rough Rice 675/ 500 / 500 810/ 600 / 600
Dow Jones Composite Index 2,025/ 1,500 / 1,500 1,350/ 1,000 /1,000
Dow Jones Utilities Index 2,025/ 1,500 / 1,500 2,700/ 2,000 /2,000
<CAPTION>
From To
Spread Amount Spread Amount
Ratio Spread Credit% Initial/Maintenance/Hedge Credit % Initial/Maintenance/Hedge
----- ------ ------- ------------------------- -------- -------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
1:1 5 Yr. T-Notes vs. 2 Yr. T-Notes 80% $ 297/ 220 / 220 85% $ 223/ 165 / 165
1:2 Dow Jones(SM) Industrial Average
vs. Dow Jones(SM) Composite Index 85% 1,418/ 1,050 /1,050 70% $2,835/ 2,100 /2,100
1:4 1 Dow Jones(SM) Industrial Average,
1 Transportation, 1 Utilities Indices
vs. 4 Dow Jones(SM) Composite Index 85% 2,734/ 2,025 /2,025 70% $5,468/ 4,050 /4,050
</TABLE>
Old crop/new crop:
From To
Initial/Maintenance/Hedge Initial/Maintenance/Hedge
------------------------- -------------------------
Corn $ 135/ 100 / 100 $ 68/ 50 / 50
*"Dow Jones(SM), "The Dow(SM)", "Dow Jones Industrial Average(SM)", "Dow Jones
Transportation Average(SM)", "Dow Jones Utility Average(SM)", "Dow Jones
Composite Average(SM)", "DJIA(SM)", "DJTA(SM)", "DJUA(SM)", and "DJCA(SM)" are
service marks of Dow Jones & Company, Inc. and have been licensed for use for
certain purposes by the Board of Trade of the City of Chicago ("CBOT(R)"). The
CBOT's futures and futures options contracts based on the Dow Jones Industrial
Average(SM), Dow Jones Transportation Average(SM), Dow Jones Utility Average(SM)
and Dow Jones Composite Average(SM) are not sponsored, endorsed, sold or
promoted by Dow Jones, and Dow Jones makes no representation regarding the
advisability of trading in such product(s).
* * * * * *
REGULARITY INFORMATION
October 2, 2000
RE: APPLICATION FOR CORN AND SOYBEAN REGULARITY
-------------------------------------------
Pursuant to Regulations C1081.01 and S1081.01, notice hereby is given that
CHICAGO AND ILLINOIS RIVER MARKETING L.L.C. ("CIRM") has applied to the Exchange
for regularity to deliver corn and soybeans via a throughout agreement at SENECA
SHIPYARD TERMINALS, SENECA, ILLINOIS (mile marker 253).
The requested rate of loading is 1 barge (55,000 bushels) per day, which would
allow for the issuance of up to 330 shipping certificates.
* * * * * *
10
<PAGE>
October 2, 2000
Re: APPLICATION FOR INCREASED SOYBEAN OIL REGULARITY
------------------------------------------------
Pursuant to Regulation 1181.01, notice hereby is given that INCOBRASA
INDUSTRIES, LTD. has applied for an increase in Soybean Oil regularity at its
GILMAN, ILLINOIS facility.
The current regular capacity is 22,500,000 pounds (375 maximum receipts). The
requested increase is to 37,500,000 pounds (625 maximum receipts).
* * * * * *
October 4, 2000
RE: APPROVED APPLICATION FOR OATS REGULARITY
---------------------------------------------
The Exchange has approved the application of CON AGRA, INCORPORATED for a
declaration of regularity for the delivery of oats at its MARQUETTE ELEVATOR in
MINNEAPOLIS, MINNESOTA.
The approved regular capacity is 3,800,000 bushels.
Approval is effective immediately.
* * * * * *
October 24, 2000
RE: APPLICATION FOR SOYBEAN OIL REGULARITY INCREASE
-----------------------------------------------
Pursuant to Regulation 1181.01, notice hereby is given that CARGILL,
INCORPORATED has applied to the Exchange for an increase in Soybean Oil regular
capacity at its storage only facility in ACKLEY, IOWA.
The current regular capacity is 128,000,000 pounds. The requested increase is to
160,000,000 pounds, which would allow for the issuance of up to 2,666 warehouse
receipts.
* * * * * *
The Market Report Department has authorized trading in the following
commodities:
COMMODITY EFFECTIVE DATE
--------- --------------
2002 March Corn November 15, 2000
2002 March Oats November 15, 2000
2002 March Soybeans November 15, 2000
2003 July Soybeans November 15, 2000
2003 November Soybeans November 15, 2000
2002 January Rough Rice November 21, 2000
2002 April Silver 1000 oz. November 28, 2000
2002 April Silver 5000 oz. November 28, 2000
2002 April Kilo Gold November 28, 2000
2002 April Gold 100 oz. November 28, 2000
2002 December 30 Day Fed Funds December 1, 2000
**2001 February Wheat Options November 20, 2000
**2001 February Corn Options November 20, 2000
**2001 February Oat Options November 20, 2000
**2001 February Soybean Options November 20, 2000
11
<PAGE>
**2001 February Soybean Oil Options November 20, 2000
**2001 February Soybean Meal Options November 20, 2000
**2001 February Rough Rice Options November 20, 2000
**2001 December Wheat Options November 20, 2000
**2002 March Corn Options November 20, 2000
**2002 March Oat Options November 20, 2000
**2002 March Soybean Options November 20, 2000
**2002 January Rough Rice Options November 20, 2000
**2001 September US Treasury Bond Options November 20, 2000
**2001 September Ten Year T-Note Options November 20, 2000
**2001 September Five Year T-Note Options November 20, 2000
**2001 September Two-Year T-Note Options November 20, 2000
**2001 September Ten Year Agency Note Options November 20, 2000
**2001 February Municipal Bond Options November 20, 2000
**2001 August Silver Options November 27, 2000
* These commodities are authorized to trade the evening prior to the effective
date.
** On the business day prior to the effective date, a notice listing the Call
and Put Strike Prices will be distributed following the close.
* * * * * *
Effective as of the dates indicated, the Market Report Department has authorized
trading in the following strike prices:
<TABLE>
<CAPTION>
COMMODITY STRIKE (PUT & CALL) EFFECTIVE DATE
<S> <C> <C>
2001 February US Treasury Bond Options* 60 thru 164 October 23, 2000
2001 February Ten Year T-Note Options 78 thru 135 October 23, 2000
2001 February Five Year T-Note Options 90.5 thru 122 October 23, 2000
2001 February Ten Year Agency Note Options 74 thru 110 October 23, 2000
2001 January Wheat Options* 230 thru 400 October 23, 2000
2002 January Soybean Oil Options* 12 thru 27 October 23, 2000
2001 February DJIA(SM) Options 4500 thru 16500 October 23, 2000
</TABLE>
* These strike prices are authorized to trade effective the evening prior to the
effective date.
LAST TRADING DAY AND EXPIRATION DAY FOR NEW OPTIONS
COMMODITY LAST TRADING DAY EXPIRATION DAY
2001 January Options Fri. December 15, 2000 Sat. December 16, 2000
2001 February Options Fri. January 19, 2001 Sat. January 20, 2001
2001 Feb. DJIA(SM) Options Fri. February 16, 2001
2002 January Options Fri. December 21, 2001 Sat. December 22, 2001
* * * * * *
12
<PAGE>
DISCIPLINARY ACTIONS
October 11, 2000
Without admitting or denying any violation, ABN AMRO, INCORPORATED consented to
the entry of a conclusion that the BUSINESS CONDUCT COMMITTEE had reason to
believe that the firm violated:
Regulation 332.02, in that the firm failed to submit only the bracket
information submitted to it by the members executing the trades on the record of
transactions submitted to the Clearing House.
Regulation 332.08, in that the firm failed to make all trade data submissions in
a correct manner.
The penalty was a $750 fine.
* * * * * *
October 11, 2000
Without admitting or denying any violation, AUBREY G. LANSTON & CO., INC.
consented to the entry of a conclusion that the BUSINESS CONDUCT COMMITTEE had
reason to believe that the firm violated:
Regulation 332.02, in that the firm failed to submit only the bracket
information submitted to it by the members executing the trades on the record of
transactions submitted to the Clearing House.
Regulation 332.08, in that the firm failed to make all trade data submissions in
a correct manner.
The penalty was a $750 fine.
* * * * * *
October 11, 2000
Without admitting or denying any violation, CREDIT SUISSE FIRST BOSTON
CORPORATION consented to the entry of a conclusion that the BUSINESS CONDUCT
COMMITTEE had reason to believe that the firm violated:
Regulation 332.02, in that the firm failed to submit only the bracket
information submitted to it by the members executing the trades on the record of
transactions submitted to the Clearing House.
Regulation 332.08, in that the firm failed to make all trade data submissions in
a correct manner.
The penalty was a $1,000 fine.
* * * * * *
October 11, 2000
Without admitting or denying any violation, MERRILL LYNCH FUTURES, INC.
consented to the entry of a conclusion that the BUSINESS CONDUCT COMMITTEE had
reason to believe that the firm violated:
Regulation 332.02, in that the firm failed to submit only the bracket
information submitted to it by the members executing the trades on the record of
transactions submitted to the Clearing House.
Regulation 332.08, in that the firm failed to make all trade data submissions in
a correct manner.
The penalty was a $1,000 fine.
* * * * * *
13
<PAGE>
October 11, 2000
Without admitting or denying any violation, MORGAN STANLEY & CO., INCORPORATED
consented to the entry of a conclusion that the BUSINESS CONDUCT COMMITTEE had
reason to believe that the firm violated:
Regulation 332.08, in that the firm failed to make all trade data submissions in
a correct manner.
The penalty was a $1,000 fine.
* * * * * *
October 11, 2000
Without admitting or denying any violation, REFCO, INC. consented to the entry
of a conclusion that the BUSINESS CONDUCT COMMITTEE had reason to believe that
the firm violated:
Regulation 332.02, in that the firm failed to submit only the bracket
information submitted to it by the members executing the trades on the record of
transactions submitted to the Clearing House.
Regulation 332.08, in that the firm failed to make all trade data submissions in
a correct manner.
The penalty was a $3,500 fine.
* * * * * *
October 11, 2000
Without admitting or denying any violation, KATHRYN MARY MCBRIDE consented to
the entry of a conclusion that the FLOOR GOVERNORS COMMITTEE had reason to
believe that she violated:
Rule 332.00 and Regulation 332.01, in that she participated in the
non-competitive execution of Corn option transactions, not by open outcry or in
the open market.
The penalty was a $2,500 fine and floor access denial for 15 business days.
* * * * * *
October 11, 2000
Without admitting or denying any violation, EDWARD R. KRAJEWSKI, JR. consented
to the entry of a conclusion that the FLOOR GOVERNORS COMMITTEE had reason to
believe that he violated:
Rule 332.00 and Regulation 332.01, in that he participated in the
non-competitive execution of Soybean Oil futures transactions, not by open
outcry or in the open market;
Regulation 332.04, in that he submitted trading cards for clearing which did not
record his trades in the exact chronological order of execution;
Regulation 332.041, in that he was unable to account for certain pre-numbered
trading cards within his card sequence; and
Regulation 332.05, in that he failed on various occasions to submit trading
cards for clearing in a timely fashion.
The penalty was a $15,000 fine and floor access denial for 15 business days
(from 10-16-00 to 11-03-00).
* * * * * *
14
<PAGE>
October 11, 2000
Without admitting or denying any violation, EDWARD R. KRAJEWSKI, JR. consented
to the entry of a conclusion that the FLOOR GOVERNORS COMMITTEE had reason to
believe that he violated:
Rule 332.00 and Regulation 332.01, in that he participated in the
non-competitive execution of Soybean Oil futures transactions, not by open
outcry or in the open market;
Regulation 332.04, in that he submitted trading cards for clearing which did not
record his trades in the exact chronological order of execution;
Regulation 332.041, in that he was unable to account for certain pre-numbered
trading cards within his card sequence; and
Regulation 332.05, in that he failed on various occasions to submit trading
cards for clearing in a timely fashion.
The penalty was a $15,000 fine and floor access denial for 15 business days
(from 11-06-00 to 11-27-00).
* * * * * *
October 26, 2000
The FINANCIAL COMPLIANCE COMMITTEE determined that SERRINO TRADING COMPANY, INC.
("Serrino") violated:
Regulation 285.05B and Appendix 4C, in that Serrino failed to file an annual
financial statement within 90 days of the firm's year end.
The penalty was a $500 fine.
* * * * * *
<TABLE>
<CAPTION>
PROSPECTIVE MEMBERSHIP LESSEES & LESSORS
LONG TERM FULL MEMBERSHIPS AVAILABLE FOR LEASING
------------------------------------------------
DATE AVAILABLE CONTACT TELEPHONE
MEMBER SESSION POSTED FOR USE PERSON NUMBER
------ ------- ------ ------- ------ ------
<S> <C> <C> <C> <C> <C>
Foglton, Michael S. Night 02/23/2000 02/23/2000 Kelly (312) 362-9203
Fanning, Thomas G. Night 03/09/2000 03/09/2000 Fanning, Thomas G. (708) 452-4706
Dwyer, Joseph J. Both 07/03/2000 07/03/2000 Jeanne (312) 347-0100
Uhlmann, Thomas G. Night 07/26/2000 07/26/2000 Uhlmann, Thomas G. (312) 347-5234
Cunningham Jr., Tom P. Both 08/07/2000 08/07/2000 Cunningham Jr., Tom (312) 786-4245
(630) 455-9234
McKerr, Anthony J. Both 08/15/2000 08/15/2000 Dawn (312) 435-4779
Groover, Kenneth M. Night 08/15/2000 08/15/2000 Dana (312) 986-6361
Jacobs, Tim Both 08/22/2000 08/22/2000 Bill (312) 408-9422
Laser, Robert L. Both 08/22/2000 08/22/2000 Celia (312) 663-4939
Gillen, Kenneth Night 08/24/2000 08/24/2000 Chrissy (312) 697-2960
Darraugh, Mike P. Both 09/12/2000 10/01/2000 Darraugh, Mike P. (847) 295-6551
Kellen, Kevin M. Both 09/14/2000 10/14/2000 Kellen, Kevin M. (847) 998-0846
Sutherland, Earl W. Both 10/02/2000 11/01/2000 Billie Dewane (312) 922-8228
Goldberg, Alan I. Both 10/10/2000 12/01/2000 Goldberg, Alan I. (847) 438-6446
Corvino, Robert F. Both 10/16/2000 12/01/2000 Althea (312) 435-4779
</TABLE>
15
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C>
Cahnman, Raymond Both 10/19/2000 10/19/2000 Celia Davis (312) 663-4939
Warning, Kevin J. Both 10/19/2000 12/01/2000 Althea (312) 435-4779
Lyman, Carol L. Both 10/26/2000 12/01/2001 Lyman, Carol L. (847) 441-5652
Gladstone, Gordon W. Both 10/30/2000 12/01/2000 Gladstone, Gordon W. (847) 524-8726
Warning, James H. Both 10/31/2000 12/01/2000 Keith Warning (800) 327-8661
Smithson, Fred L. Both 11/01/2000 12/01/2000 Smithson, Fred L. (212) 648-2265
Wasserman, Charles S. Both 11/01/2000 11/01/2000 Kathy Smith (312) 362-3042
Brooks, Roger H. Both 11/02/2000 12/01/2000 Brooks, Roger H. (561) 750-2144
Brumfield, Frank S. Both 11/02/2000 11/02/2000 Jackie (312) 922-6765
McKerr, Irene Both 11/02/2000 11/30/2000 Jackie (312) 922-6765
Nettere, Eric B. Both 11/02/2000 11/02/2000 Celia (312) 663-4939
<CAPTION>
SHORT TERM FULL MEMBERSHIPS AVAILABLE FOR LEASING
-------------------------------------------------
DATE AVAILABLE CONTACT TELEPHONE
MEMBER SESSION POSTED FOR USE PERSON NUMBER
------ ------- ------ ------- ------ ------
<S> <C> <C> <C> <C> <C>
Shaughnessy, Bryan T. Both 10/04/2000 10/26/2000 - Shaughnessy, Bryan T. (773) 235-7533
12/23/2000 (312) 987-9550
<CAPTION>
LONG TERM AM MEMBERSHIPS AVAILABLE FOR LEASING
----------------------------------------------
DATE AVAILABLE CONTACT TELEPHONE
MEMBER SESSION POSTED FOR USE PERSON NUMBER
------ ------- ------ ------- ------ ------
<S> <C> <C> <C> <C> <C>
Theys, Joseph J. Night 04/25/2000 05/14/2000 Theys, Joseph J. (312) 922-7600
Scopes, Leslie M. Night 06/21/2000 07/01/2000 Scopes, Leslie M. (312) 787-1181
Zumpano III, John Both 09/13/2000 09/13/2000 Dawn (Eurex only) (312) 435-4779
O'Hallaren, Thomas R. Night 09/27/2000 10/17/2000 O'Hallaren, Tom R. (630) 960-4555
Goldsand, Richard S. Night 10/11/2000 11/01/2000 Goldsand, Richard S. (480) 451-8850
Baby Jr., Henry P. Both 10/24/2000 11/24/2000 Baby Jr., Henry P. (847) 441-9499
Bark, Sidney Both 10/26/2000 10/26/2000 Bark, Sidney (847) 433-6392
Klipp, Everett E. Both 10/26/2000 10/26/2000 Kelly (312) 362-9203
Stokes, Thomas G. Both 10/26/2000 10/26/2000 Stokes, Thomas G. (630) 247-3049
Mirowitz, Carl L. Both 10/27/2000 11/25/2000 Mark Dellacamera (314) 434-7000
Bennett, Eugene L. Both 10/31/2000 12/01/2000 Althea (312) 435-4779
Bernacchi, Jeffrey M. Both 10/31/2000 10/31/2000 Chrissy (312) 697-3216
Spencer-McKerr, Joan Both 11/01/2000 11/27/2000 Jim Spencer (773) 405-9879
McGuire, Brian M. Day 11/01/2000 11/01/2000 McGuire, Brian M. (847) 289-8880
Evans, Joseph D. Both 11/02/2000 11/02/2000 Dana (312) 986-6361
</TABLE>
16
<PAGE>
<TABLE>
<CAPTION>
LONG TERM GIM MEMBERSHIPS AVAILABLE FOR LEASING
-----------------------------------------------
DATE AVAILABLE CONTACT TELEPHONE
MEMBER SESSION POSTED FOR USE PERSON NUMBER
------ ------- ------ ------- ------ ------
<S> <C> <C> <C> <C> <C>
Baby, David P. Both 09/27/2000 10/25/2000 Baby, David P. (847) 256-4164
Abramson, Leo Randal Both 10/10/2000 10/31/2000 Abramson, Leo R. (847) 634-4300
(or Lee)
Dodson, Richard W. Both 10/20/2000 11/21/2000 Dodson, Richard W. (312) 435-7026
Bulmash, Barbara Both 10/31/2000 12/01/2000 Bulmash, Barbara (847) 267-0870
<CAPTION>
LONG TERM IDEM MEMBERSHIPS AVAILABLE FOR LEASING
------------------------------------------------
DATE AVAILABLE CONTACT TELEPHONE
MEMBER SESSION POSTED FOR USE PERSON NUMBER
------ ------- ------ ------- ------ ------
<S> <C> <C> <C> <C> <C>
Teng, Theresa G. Both 10/25/1999 10/25/1999 Teng, Theresa G. (312) 664-9731
Khazei, Brent H. Both 11/02/1999 11/02/1999 Khazei, Brent H. (312) 961-1510
Khazei, Eric C. Both 11/02/1999 11/02/1999 Khazei, Eric C. (312) 666-0066
Durra, Richard Both 11/12/1999 12/01/1999 Durra, Richard (312) 786-1358
Rothman, Michael C. Both 11/12/1999 11/12/1999 Dawn Krause (312) 435-4779
Gregory, Robert D. Both 11/22/1999 11/22/1999 Gregory, Robert D. (610) 644-7941
Kalchbrenner, Richard D. Both 11/22/1999 11/22/1999 Jackie (312) 356-6231
Leslie, R. Conrad Day 12/02/1999 12/02/1999 Roberta (312) 922-7426
Pierce, Richard A. Day 12/02/1999 12/02/1999 Pierce, Richard A. (847) 446-5967
Stobart, Reese E. Day 12/02/1999 12/02/1999 Cheri (312) 795-7502
Obermeier, Chess C. Day 12/06/1999 12/06/1999 Obermeier, Chess C. (773) 445-3686
Migely III, Robert J. Both 12/08/1999 12/08/1999 Leslie (312) 341-7700
Kerrigan, Thomas F. Both 12/15/1999 12/15/1999 Kerrigan, Thomas F. (630) 986-8551
Schroeder, Mark E. Both 12/29/1999 12/29/1999 Jeanne (312) 347-0100
Hershten, Gedon Both 12/31/1999 12/31/1999 Celia (312) 663-4939
Oakum, Robert Lee Both 12/31/1999 12/31/1999 Dawn (312) 435-4779
Towson, Michael W. Both 01/03/2000 01/31/2000 Towson, Michael W. (912) 598-0319
Nemerovski, Scott C. Both 01/07/2000 01/07/2000 Nemerovski, Scott C. (312) 635-4523
Cupelis, Thomas T. Both 01/11/2000 01/11/2000 Cupelis, Thomas T. (248) 851-8119
Kunard, D. Alan Both 01/11/2000 01/11/2000 Kunard, D. Alan (727) 862-0510
Fraelick, Michael T. Both 01/12/2000 01/12/2000 Darise (312) 913-6100
Devaney, Michael P. Both 01/18/2000 02/12/2000 Pam Caliendo (212) 524-9382
Sheridan, James M. Both 01/26/2000 01/26/2000 Dawn (312) 435-4779
Richter, Sam Both 01/27/2000 01/27/2000 Dawn (312) 435-4779
Martin, Robert G. Both 02/01/2000 02/01/2000 Martin, Robert G. (520) 299-9755
Heinz, David Mark Both 02/03/2000 02/03/2000 Heinz, David Mark (847) 991-0498
McKerr Jr., John F. Both 03/01/2000 03/01/2000 Kathy (312) 786-9140
Greenspan, William I. Both 03/08/2000 03/08/2000 Greenspan, William I. (312) 207-6200
Berhoff, Lloyd Both 03/15/2000 03/15/2000 Dawn (312) 435-4779
Hurley, Terence X. Both 03/15/2000 03/15/2000 Dawn (312) 435-4779
Lerner, Eugene Max Both 03/15/2000 03/15/2000 Dawn (312) 435-4779
Spelson, Mark J. Both 03/15/2000 03/15/2000 Spelson, Mark J. (630) 833-7770
Hutcherson III, Sidney F. Both 03/31/2000 03/31/2000 Hutcherson III, Sidney (630) 887-0199
$50 first
Chenot, Geraldine Both 04/21/2000 04/21/2000 Chenot, Geraldine (412) 856-8532
Feldkircher, Friedbert J. Both 04/21/2000 04/21/2000 Anita or Nancy (312) 341-7700
Kern, Andrew Both 05/02/2000 05/02/2000 Kern, Andrew (312) 787-2897
Namba, Shunichi Both 05/16/2000 05/16/2000 BIll Hagerty (312) 427-7422
</TABLE>
17
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C>
Cowhey, William P. Both 05/25/2000 06/13/2000 Jim Kuchen (312) 786-9140
Sagui, Gary V. Both 05/25/2000 05/27/2000 Cristina (312) 986-6361
Petrie III, John A. Day 06/01/2000 06/01/2000 Petrie III, John A. (773) 561-5482
Bouchard, Gary P. Day 06/02/2000 06/02/2000 Anita (312) 341-7700
Reiner, David F. Both 06/05/2000 06/05/2000 Reiner, David F. (847) 432-2470
Ogorek, Peggy Ann Day 06/06/2000 06/30/2000 Chrissy (312) 697-2960
Kramer, James J. Both 06/19/2000 07/01/2000 Kramer, James J. (847) 658-3377
Quinn, Susan R. Both 06/19/2000 06/19/2000 Quinn, Susan R. (312) 654-8887
Grabill, Jonathan S. Both 06/21/2000 06/21/2000 Pamela (312) 341-8643
(312) 645-0945
Marquardt, C. William Both 06/21/2000 06/21/2000 Marquardt, C. W. (847) 724-5394
Tully, Thomas E. Both 06/21/2000 06/21/2000 Diane (312) 341-7627
Faliszek, Edward Both 06/22/2000 06/22/2000 Faliszek, Edward (773) 725-7997
Bartolotta, Sam William Both 06/26/2000 06/26/2000 Bartolotta, Sam W. (708) 429-4512
Leventis, George D. Both 07/03/2000 07/03/2000 Leventis, George D. (312) 435-3500
Brzozowski, Fred Walter Both 07/07/2000 07/07/2000 Lois Segal (312) 322-7400
Shlaes, George Both 07/07/2000 07/07/2000 Shlaes, George (312) 787-2675
(312) 266-8005
Barrowman, James Both 07/13/2000 08/01/2000 Barrowman, James (815) 784-5157
Baby, Charles P. Both 08/01/2000 08/01/2000 Henry Baby (847) 446-9499
Gregory, Paul Alan Both 08/01/2000 08/01/2000 Dawn (312) 435-4779
Burbano, Robert Day 08/01/2000 08/01/2000 Burbano, Robert($150) (312) 482-9013
Amirsaleh, Mahyar Both 08/07/2000 08/07/2000 Renee (201) 867-6005
Chubin, Cary M. Both 08/07/2000 08/07/2000 Chubin, Cary M. (773) 248-2333
Horwitz, Jeffrey Both 08/07/2000 08/07/2000 Horwitz, Jeffrey (847) 673-0222
Sandford, Robert L. Both 08/07/2000 08/07/2000 Sandford, Robert L. (312) 435-3500
Clancy, Thomas M. Both 08/08/2000 09/01/2000 Clancy, Thomas M. (630) 243-9412
Morris, Terrence E. Both 08/15/2000 09/09/2000 Dawn (312) 435-4779
Clancy, Thomas M. Day 08/15/2000 09/01/2000 Clancy, Thomas M. (630) 243-9412
Clifford, Daniel P. Both 08/22/2000 09/01/2000 Crissy (312) 697-3216
Guerriero, Jerome Both 08/22/2000 08/22/2000 Guerriero, Jerome (773) 775-2910
Ieronimo, James M. Both 08/22/2000 09/16/2000 Jackie (312) 356-6210
Hickey, Thomas M. Both 09/13/2000 09/13/2000 Hickey, Thomas M. (708) 246-5197
Smith, Thomas N. Both 09/13/2000 09/13/2000 Jackie Lampkin (312) 922-6765
Spencer, James C. Both 09/13/2000 09/13/2000 Spencer, James C. (773) 405-9879
(773) 764-9879
Brzozowski-Warner, Susan Both 09/19/2000 09/19/2000 Lois Segal (312) 322-7400
Leventis, George D. Both 09/26/2000 10/20/2000 Leventis, George D. (312) 435-3500
Nelson, Thomas E. Both 09/26/2000 09/26/2000 Nelson, Thomas E. (708) 524-0655
Guzzo, Angelo J. Both 10/04/2000 10/04/2000 Guzzo, Angelo J. (708) 442-9539
McGuire, John A. Both 10/04/2000 10/04/2000 McGuire, John A. (630) 377-9959
Miely, Kenneth D. Both 10/05/2000 11/01/2000 Bill (312) 408-9422
O'Connor, Mary Jane Both 10/10/2000 10/10/2000 Pamela (312) 341-8643
McCauley, Patrick G. Both 10/11/2000 11/11/2000 McCauley, Patrick G. (773) 779-4268
Crilly, Timothy P. Both 10/16/2000 10/16/2000 Althea (312) 435-4779
Einspahr, Dean B. Both 10/16/2000 10/16/2000 Althea (312) 435-4779
McBride, Nicholas M. Both 10/16/2000 10/16/2000 Althea (312) 435-4779
Dudley Jr., William B. Both 10/19/2000 10/19/2000 Dana (312) 986-6361
La Crosse, Craig J. Both 10/27/2000 10/27/2000 La Crosse, Craig J. (312) 986-8805
Hensel, James S. Day 11/01/2000 11/01/2000 Dana (312) 986-6361
Selander, Joyce C. Day 11/01/2000 11/01/2000 Selander, Joyce C. (312) 787-7530
Vasiliou, Byron D. Both 11/02/2000 12/02/2000 Vasiliou, Byron D. (312) 475-8121
Popa, Ryan M. Day 11/02/2000 12/01/2000 Popa, Ryan M. (773) 348-6857
</TABLE>
18
<PAGE>
<TABLE>
<CAPTION>
LONG TERM COM MEMBERSHIPS AVAILABLE FOR LEASING
-----------------------------------------------
DATE AVAILABLE CONTACT TELEPHONE
MEMBER SESSION POSTED FOR USE PERSON NUMBER
------ ------- ------ ------- ------ ------
<S> <C> <C> <C> <C> <C>
Dickman, David M. Both 01/27/2000 01/27/2000 Dawn (312) 435-4779
Goldberg, Jacqueline J. Both 02/04/2000 02/15/2000 Goldberg, Jacqueline (847) 328-4986
Schaer, J. Brian Both 02/04/2000 02/04/2000 Bill (312) 408-9422
Binder, Charles Both 02/08/2000 02/08/2000 Christina (312) 986-6361
Goldberg, David F. Both 02/08/2000 02/08/2000 Susan (847) 382-9068
Coxe, Alexander Both 02/28/2000 02/28/2000 Pat (312) 786-4880
Knapp, Thomas B. Both 03/01/2000 03/01/2000 Sid Kaz (312) 913-6100
Hicks Jr., Robert E. Both 03/07/2000 04/01/2000 Bill Hagerty (312) 427-7422
Feldman, Victor D. Both 03/14/2000 04/07/2000 Feldman, Victor D. (800) 580-5143
Skubisz, Joseph J. Both 03/16/2000 02/28/2000 Pat (312) 786-4880
Manne, Jerry Both 03/24/2000 03/24/2000 Manne, Jerry (312) 341-1323
Huber, Daniel P. Both 03/29/2000 03/29/2000 Huber, Daniel P. (847) 784-8115
Ferguson, David G. Both 03/30/2000 04/14/2000 Linda (312) 435-3238
Alfano, David M. Both 04/11/2000 04/11/2000 Alfano, David M. (312) 460-4022
(630) 887-0161
McKerr Jr., John F. Both 04/14/2000 05/15/2000 Kathy (312) 786-9140
Gulotta, Larry C. Both 04/28/2000 05/21/2000 Cristina (312) 986-6361
Tlapek, Lucille R. Both 05/08/2000 06/08/2000 Tlapek, Lucille R. (501) 954-8545
Glynn, Daniel R. Both 05/17/2000 05/17/2000 Glynn, Daniel R. (847) 251-8150
(312) 939-8950
Rothman, Michael C. Both 05/18/2000 05/18/2000 Dawn (312) 435-4779
Bittman, James B. Both 05/25/2000 05/25/2000 Cristina (312) 986-6361
Griffin, Robert J. Both 05/25/2000 05/25/2000 Griffin, Robert J. (847) 446-8405
Bournakis, Louis P. Day 06/02/2000 07/01/2000 Bournakis, Louis P. (312) 427-7440
Durra, Richard Both 06/21/2000 07/15/2000 Melissa (773) 394-9788
O'Connor, Mary Jane Both 06/21/2000 06/21/2000 Pamela (312) 341-8643
(312) 645-0945
McMurray, Michael K. Both 06/26/2000 06/26/2000 Dawn (312) 435-4779
Watterson, David L. Both 07/03/2000 07/03/2000 Watterson, David L. (219) 722-2616
Cantrell, R. Franklin Both 07/13/2000 08/01/2000 Cantrell, R. Franklin (312) 683-6189
Massey, Aaron R. D. Both 07/13/2000 07/13/2000 Massey, Aaron R. D. (847) 441-5028
Becker, Scott M. Both 07/26/2000 07/26/2000 Becker, Scott M. (847) 446-3767
Townsend, Frederic Both 08/07/2000 08/07/2000 Dawn (312) 435-4779
Stewart, Linda M. Day 08/15/2000 08/26/2000 Stewart, Linda M. (561) 465-7099
Weissman, Wes Day 08/15/2000 08/15/2000 Pamela Martin (312) 341-8643
Croke, James R. Both 08/22/2000 09/17/2000 Croke, James R. (847) 803-9200
Negotiable $100.00
Massey, Aaron R. D. Day 08/25/2000 08/25/2000 E. Davidson Massey (312) 362-2929
Becker, H. Phillip Both 09/01/2000 09/01/2000 Rita (847) 272-6465
Morris, Terrence E. Both 09/01/2000 09/01/2000 Morris, Terrence E. (312) 922-8750
Segal, George I. Both 09/07/2000 09/07/2000 Donna (312) 559-8809
Buehler, Jay W. Both 09/12/2000 09/12/2000 Dawn (312) 435-4779
DiBenedetto, Steven Aldo Both 09/12/2000 09/12/2000 DiBenedetto, Steven A. (847) 297-3535
Groover, Kenneth M. Both 09/12/2000 09/12/2000 Dennis (312) 986-6361
Wickham, Mont R. Both 09/12/2000 09/12/2000 Dawn (312) 435-4779
Conley, Douglas M. Both 09/14/2000 09/14/2000 Conley, Douglas M. (705) 842-1234
(727) 858-1188
Sherwood, Toni Both 09/14/2000 09/14/2000 Dennis (312) 986-6361
Wood-Prince, Patrick B. Both 09/21/2000 09/21/2000 Wood-Prince, Patrick B. (770) 552-2482
Natinchek, N. A. Both 09/26/2000 09/26/2000 Jeanne (312) 347-0100
</TABLE>
19
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C>
Parman, Wayne T. Both 09/26/2000 09/26/2000 Parman, Wayne T. (312) 588-5530
Ackerman, Bruce F. Both 10/04/2000 11/04/2000 Ackerman, Bruce F. (708) 479-1116
Bollero Jr., John A. Both 10/16/2000 10/16/2000 Althea (312) 435-4779
Dorman, Bernard Both 10/16/2000 10/16/2000 Bob Sheeran (312) 341-7070
Moens, Keith A. Both 10/16/2000 10/16/2000 Moens, Keith A. (847) 255-6050
(312) 394-7552
Supple, John J. Both 10/16/2000 10/16/2000 Althea (312) 435-4779
McTague III, George W. Both 10/19/2000 10/19/2000 McTague III, George W. (303) 725-7869
Hanson, Lawrence John Both 10/20/2000 10/20/2000 Hanson, Lawrence John (312) 855-7756
Nagel, Marc Both 10/26/2000 10/26/2000 Bill Levinsky (312) 408-9422
Tocks, John H. Both 10/30/2000 11/20/2000 Tocks, John H. (847) 234-7016
Kotz, John A. Both 11/02/2000 11/02/2000 Jackie (312) 922-6765
</TABLE>
* * * * * *
REVOCABLE FAMILY TRANSFERS
In accordance with Regulation 249.01(j), the following Members, and their
respective transferees, have completed revocable family transfers through the
Exchange.
MEMBER TRANSFEREE EFFECTIVE DATE
------ ---------- --------------
Martin S. McGlone Brendan C. McGlone October 7, 2000
~(AM)
Robert J. Reardon Robert James Reardon, Jr. October 10, 2000
(FULL)
~ ONLY AVAILABLE MEMBERSHIP TRANSFERRED
20
<PAGE>
MEMBERSHIP DELEGATIONS
In accordance with Rule 221.00(f), the following Members, and their respective
delegates, have filed delegation agreements with the Exchange.
MEMBER (Type of Membership) DELEGATE EFFECTIVE DATE
Connelly, Brian I Allen, Michael P. 10/09/2000
(FULL)
Scopes, Leslie M Atkinson, Daniel T. 10/10/2000
(IDEM)
Wieneke, Robert C Atwater, Earle B. 10/02/2000
~(AM)
Bohl, David B. Barron, Kevin G.* 10/01/2000
~(FULL)
Groover, Kenneth M Battles, Alexander M. 10/13/2000
(COM)
Smithson, Fred L Bauer, Scott I.* 10/23/2000
~(FULL)
Hicks Jr., Robert E Blake, Thomas J.* 10/30/2000
(FULL)
Collins, Arthur F Bruber, Eugene G. 10/03/2000
(IDEM)
Oliwa, Marian A Bumpers, R. Langford 10/01/2000
(AM)
Warning, James H Butler, Joseph William* 10/17/2000
(FULL)
Baccetti, Gerald C Calto, John K. 10/09/2000
~(COM)
Ossmann, William J Cashman, James E. 10/09/2000
~(FULL)
Vasiliou, Byron D Combs, Cedric Emil 10/24/2000
~(IDEM)
Georges, Thomas J Conway, Christopher A. 10/10/2000
~(COM)
Cahnman, David Cooper, Jason R 10/03/2000
(AM)-Day
Griffith, Bradley G Corydon, James A.* 10/11/2000
~(FULL)
Rosenson, Harold Cournoyer, Bryan R. 10/09/2000
~(FULL)
Heiser, William L DeMarco, Anthony 10/02/2000
~(GIM)
Preiser, Beverly A Droegemueller, Mark W. 10/02/2000
~(AM)
Forbeck Jr., Anthony G Duszynski, John M.* 10/01/2000
~(FULL)
Seaman, B. J Eadie Jr., Sam L.* 10/01/2000
~(FULL)
Young, Ronald F Eliashevsky, Alex M.* 10/02/2000
~(FULL)
Rothschild, Mark S Ellis Jr., James J. 10/09/2000
(FULL)
Genin, Alexis J Fidler, David J. 10/31/2000
~(FULL)
Wenger, Marvin H Fisher, Gregory William 10/03/2000
(IDEM)
Kraft, Burnell D Fitzgerald II, Richard H. 10/03/2000
(FULL)
Pilcher, James A Frantz, Jeffrey A. 10/03/2000
~(FULL)
Reum, Ronald K Frech, Raymond Gerald 10/02/2000
(AM)
Hellman, Mark D Fried, Ted A.* 10/19/2000
~(FULL)
Bekkers, John Gilfand, Aaron M.* 10/02/2000
~(FULL)
McGuire, Roger Graham, Laurence J. 10/02/2000
(FULL)-Evening
Ackerman, Bruce F Grom, Douglas E. 10/04/2000
~(IDEM)
Cahnman, Raymond Gulotta, Joseph N 10/31/2000
(GIM)
O'Shaughnessy, Dennis M Hanhardt, Edward * 10/30/2000
~(FULL)
Rothman, Gregory C Harap, David G.* 10/01/2000
(FULL)
Hollander, Glenn P Harrigan, Timothy 10/02/2000
(AM)-Day
Riley, Marvel Jean Haugens, Paul B. 10/31/2000
~(FULL)
Blew, Thomas J Herrala, Thomas * 10/04/2000
(FULL)
Bergstrom, Charles W Heumann, Allyson Joy* 10/13/2000
~(FULL)
Faraci, Victor C Hoelscher, David J.* 10/05/2000
~(FULL)
Leventis, George D Ingram, Clint E. 10/30/2000
(IDEM)
Jacobson, Joel C Jackson, Larry * 10/23/2000
~(FULL)
McGrath, Margaret E Kalisvaart, Edward N.* 10/05/2000
(FULL)
Rothman, Michael C Kennelly, John E. 10/16/2000
(GIM)
Cassidy, Lloyd C Kernan, Richard M.* 10/19/2000
~(FULL)
O'Donnell, Patrick Kilgallon, Joseph 10/06/2000
(AM)
Terman, William J Klingen, Leonard R.* 10/02/2000
~(FULL)
Harrigan, Timothy Koehler, Patrick T.* 10/02/2000
~(FULL)
Mathis, Gregory F Kotler, Todd J.* 10/25/2000
(FULL)
Hillegass, Patrick S Koval, Christopher J. 10/13/2000
(IDEM)
Truxal, Kenneth L Krajewski, William F. 10/16/2000
~(FULL)
Davis, Jay Kruse, Mark S.* 10/01/2000
(FULL)
DiBenedetto, Steven Aldo Kuhn, Charles J. 10/13/2000
(IDEM)
Schell, Ward J Lopata, Paul E. 10/11/2000
(IDEM)
Bulwa, David M Maggos, Nicholas G. 10/06/2000
~(AM)
Sunderlin, John Nels Michalski, Richard 10/07/2000
(AM)-Day
Berendt, Arthur R Morse, Mark T.* 10/05/2000
~(FULL)
Perpich, Jane A. Morvice, Robert E.* 10/01/2000
~(FULL)
21
<PAGE>
Kaberna, James M Moster, Thomas C. 10/23/2000
~(AM)
Wheaton, Christopher M Neubauer, Nickolas J. 10/02/2000
~(COM)
Lavender, John Oliver Nocek, Lawrence J. 10/04/2000
~(AM)
Aull, James P. Norberg, Brian J 10/24/2000
~(GIM)
Barrett, John Carl Noyes, William E. 10/16/2000
(AM)
Berhoff, Lloyd O'Brien, Mary Barbara* 10/09/2000
(FULL)
Phillips, Gary A O'Connor, Douglas S. 10/09/2000
~(AM)
Shakon, Terrence J Or, Rachel W.* 10/01/2000
~(FULL)
Perry, Lois Osborne, Peter * 10/26/2000
~(FULL)
Israelov, Jerome J Pape, Daniel * 10/20/2000
(FULL)
Huber, Daniel P Raguseo, Michael * 10/19/2000
(FULL)
Osgood, Mark M Ramirez, Brian J. 10/20/2000
(COM)
Lundy, William G Reardon, Jr., Robert J. 10/06/2000
(FULL)
Burrell, John B Reina Jr., Louis P. 10/01/2000
~(AM)
Levin, Marc Roberts, Richard J.* 10/17/2000
(FULL)
Kardos, Sandor H Rosenthal, David E. 10/01/2000
~(AM)
Gelbort, Robert B Rothman, Marc E.* 10/01/2000
~(FULL)
Meo, Albert Ruggerio, Dominic W. 10/09/2000
~(IDEM)
Jackson, Paul W Schwab, Joseph H. 10/20/2000
(AM)
Kogan, Martin Schwartz, James H. 10/18/2000
(FULL)-Day
Cohn, Mark Alan Shorr, David S. 10/27/2000
(AM)-Day
Kanavos, Stephen C Soppi, Mark Edward 10/17/2000
(COM)
O'Donnell, Lee Spears, Timothy L.* 10/02/2000
~(FULL)
Leslie, R. Conrad Steinbis, Michael D. 10/02/2000
(FULL)
Stone, Burton N. Stone, Burton N 10/30/2000
~(IDEM)
Nathan, Ira S Storey, Brian J.* 10/18/2000
~(FULL)
Hibberd, Oliver M Stuber, David L.* 10/01/2000
~(FULL)
Rabin, Sondra Tarrach, Christopher S.* 10/19/2000
~(FULL)
Casey Jr., Robert D Taugner, Christian P. 10/05/2000
(AM)
Lupori, Richard D Terman, William J.* 10/16/2000
~(FULL)
Brault Jr., Jerome J Terri, James 10/27/2000
~(GIM)
Kinsella, John R Terry, Randy * 10/12/2000
~(FULL)
Finn, Michael K. Tolman, Bryce T.* 10/01/2000
~(FULL)
Tuchman, Marvin Tuchman, Steven A. 10/02/2000
~(GIM)
Spencer-McKerr, Joan Valenzuela, Tom C.* 10/02/2000
~(FULL)
Czajkowski, James D Walden, Martin Lincoln* 10/01/2000
~(FULL)
Stein, Gregory R Welsh, Robert J. 10/01/2000
~(GIM)
Levin, Rozanne Bloom Widdis, Daniel J. 10/11/2000
~(AM)
Neagle, Michael P York, Timothy F. 10/27/2000
(COM)
Lyons, Gregory T Zunica, Lawrence J. 10/27/2000
(IDEM)
~
ONLY AVAILABLE MEMBERSHIP LEASED OUT.
D DAY SESSION ONLY
N NIGHT SESSION ONLY
* CBOE ONLY
F FIRM OWNED
22
<PAGE>
MEMBERSHIP DELEGATIONS - RENEWALS
In accordance with Rule 221.00 (f), the following Members, and their respective
delegates, have filed delegation agreement renewals with the Exchange.
MEMBER (Type of Membership) DELEGATE EFFECTIVE DATE
Reilley, Dale L. Anaya Jr., Anthony October 10, 2000
(FULL)
Wenger, Marvin H. Culley, John Andrew October 3, 2000
(IDEM)
Conrad, Thomas C. DeLaura, Michael Ch. October 20, 2000
(AM)
Lorenzen, Dale E. Flakus, Patricia J. October 16, 2000
(FULL)
Evans, Joseph D. Foster, David L. October 1, 2000
(IDEM)
Fusco, Joseph T. Leahy, James J. October 18, 2000
(AM)-Evening
O'Connor, Matthew J. Mergener, Michael E. October 1, 2000
(FULL)-Evening
Ignarski, Adeline D. Meystel, Jay October 1, 2000
(IDEM)
Rusin, Robert B. Pierce, Thomas F. October 31, 2000
(AM)
Notorangelo, John F. Sullivan, R. Mark October 17, 2000
(AM)-Evening
Shute, Robert E. Westcott, Mark E. October 1, 2000
(FULL)
Pacelli, Mark W. Williams, Brian H. October 2, 2000
(COM)
Ossmann, William J. Zalizniak, Ihor Clyde October 23, 2000
(COM)
23
<PAGE>
CHANGES OF MAILING ADDRESS
Full Members
Burke, Thomas K., 141 W. Jackson Blvd., Ste. 2020, Chicago, IL 60604
Conrad, Mary Jane, 2815 Sun Valley Rd., Lisle, IL 60532
Ehrhardt, Kenneth, 10405 E. Champagne Dr., Sun Lakes, AZ 85248
Ehrlich, Reed N., 2521 Keppel Sands Dr., Las Vegas, NV 89134
Kane, Mary Patricia, 542 S. Dearborn St., Ste. 1370, Chicago, IL 60605
Komparda Jr., Stanley L. 111 W. Jackson Blvd., Ste. 944, Chicago, IL 60604
Komparda, William P., 111 W. Jackson Blvd., Ste. 944, Chicago, IL 60604
Masterson III, James, 141 W. Jackson Blvd., Ste. 2168, Chicago, IL 60604
Murphy, Joseph J., 111 W. Jackson Blvd., Ste. 1700, Chicago, IL 60604
O'Connell, William J., 633 N. Spring Ave., LaGrange, IL 60525
Raskin, Alan, 25 Royal Vale Dr., Oak Brook, IL 60523
Taki, Hiroshi, 655 3rd Ave., 26th Floor, New York, NY 10017
Terman, William, 855 Sheridan Rd., Highland Park, IL 60035
Weinstein, Alan L., 696 De Tamble Ave., Highland Park, IL 60035
Associate Members
Burrell, John B., 2976 Buccaneer Rd., Virginia Beach, VA 23451
Erickson, Jon C., 11030 Revere Rd., Mokena, IL 60448
Komparda, Mary J., 111 W. Jackson Blvd., Ste. 944, Chicago, IL 60604
Masterson, Edward C., 141 W. Jackson Blvd., Ste. 2168, Chicago, IL 60604
McGlone, Martin S., 811 S. Lytle St., Apt. 302, Chicago, IL 60607
Skach, Kathleen Ann, 227 W. Monroe St., 41st Floor, Chicago, IL 60606
White, Martin W., 417 Grove, Oak Park, IL 60302
Wolf, Daniel P., 1802 N. Sedgwick St., Chicago, IL 60614
COM Interest Holders
Conley, Douglas M., 8810 Avondale Ln., Bayonet Point, FL 34667
Neuman Jr., John Lee, 12 S. Columbia St., Naperville, IL 60540
Quaid, Patrick J., 3748 W. 116th Street, Alsip, IL 60803
Smale, Grant R., 3353 N. Clark St., Apt. 2NW, Chicago, IL 60657
IDEM Interest Holders
Ambrosino, Michael J., 2053 N. Sheffield Ave., #1F, Chicago, IL 60614
Coretz, Craig, 5343 N. Damen Ave., 3rd Floor, Chicago, IL 60625
Green, Kristine, 124 W. Polk St., Apt. 107, Chicago, IL 60605
Ledinsky, Jay R., 2618 N. Wayne Ave., Apt. 1FRH, Chicago, IL 60614
Lightcap, Kurt, 555 W. Madison St., Apt. 2410, Chicago, IL 60661
Northey, William G., 101 Las Colinas Dr., Corralitos, CA 95076
Peck, Clay A., 440 S. LaSalle St., Ste. 2800, Chicago, IL 60605
GIM Interest Holders
Goldfarb, Mark S., 807 Marseilles Cir., Buffalo Grove, IL 60089
24
<PAGE>
FULL Delegates
Berninger, Kevin, 810 Butternut Ln., Apt. B, Mt. Prospect, IL 60056
Boggs, Ryan, 1 W. Superior St., Apt. 2511, Chicago, IL 60610
DiLeonardo, Frank, 1 W. Superior St., Apt. 1902, Chicago, IL 60610
Hoelscher, David J., 141 W. Jackson Blvd., Ste. 1310A, Chicago, IL 60604
Hoelscher, Robert, 828 Wagner Rd., Glenview, IL 60025
Northey, Stephen E., 141 W. Jackson Blvd., Ste. 2168, Chicago, IL 60604
Reardon Jr., Robert J., 1545 N. Larrabee St., Chicago, IL 60610
Tyson, Michael T., 2816 N. Mozart St., Chicago, IL 60618
AM Delegates
Bloom, Lauri L., 3124 Hutington Ln., Northbrook, IL 60062
Corby, Terence, 2300 Lincoln Park West, Apt. 1520, Chicago, IL 60614
Droegemueller, Mark, 4328 N. Keeler Ave., Chicago, IL 60641
Knight, Stephen F., 836 Brookline Dr., Sunnyvale, CA 94087
Lewis, Daniel J., 2717 Old Woods Trl., Plainfield, IL 60544
Lindsay, Ian, 1923 N. Dayton St., Apt. 1, Chicago, IL 60614
Spahn, Mark J., 22W259 Ironwood Dr., Glen Ellyn, IL 60137
Van Wezemaal, Joel R., 2340 N. Glenview Ave., Apt. 3, Chicago, IL 60614
Wood, Christopher J., 141 W. Jackson Blvd., Ste. 2135, Chicago, IL 60604
COM Delegates
McConnell, Gerald, 2772 N. Lincoln Ave., Apt. 303, Chicago, IL 60614
IDEM Delegates
Cannon Hunter T., 1464 W. Grace St., Apt. 2F, Chicago, IL 60613
Escobar, Rafael, 2626 N. Lakeview Ave., Apt. 808, Chicago, IL 60614
Kuhn, Charles J., 1832 Grove St., Glenview, IL 60025
Makaris, Peter J., 623 Ferdinand Ave., Forest Park, IL 60130
McKerr, Emmett J., 141 W. Jackson Blvd., Ste. 2020, Chicago, IL 60604
GIM Delegates
Bongiorno, Anthony S., 714 Busse, Mt. Prospect, IL 60056
Connelly, Thomas E., 2025 N. Fremont St., Apt. 1, Chicago, IL 60614
Corso, Jeffrey N., 1521 Westminister Dr., Apt. 106, Naperville, IL 60563
Ryan Jr., John H., 3230 N. Seminary Ave., Apt. 1, Chicago, IL 60657
Paul J. Draths
Vice President and Secretary
25
