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Director, Personnel

CHARLENE T. KUKLA Director, Quality Assurance

ROBERT J. SEABERG Director, Supply and Service

HENRY M. VALIULIS Director, Public Affairs

WILLIAM G. POULOS Director of Equal Opportunity

LEO FRANKLIN Secretary to the Board

BEATRICE E. EZERSKI (For the Railroad Retirement Board statement of organization, see the Code of Federal Regulations, Title 20, Part 200)

The Railroad Retirement Board administers comprehensive retirement-survivor and unemployment-sickness benefit programs for the Nation's railroad workers and their families.

The Railroad Retirement Board was with the advice and consent of the established by the Railroad Retirement Senate one upon recommendations of Act of 1934, as amended (42 U.S.C.

representatives of employees; one upon 201—2282-1, 231 et seq.). The Board derives statutory authority

recommendations of carriers; and one,

the Chairman, as a public member. from the Railroad Retirement Act of 1974 (45 U.S.C. 231-231v) and the

Field Organization The Board Railroad Unemployment Insurance Act

maintains direct contact with railroad (45 U.S.C. 351-368). It administers these

retirement beneficiaries through its field acts and participates in the

offices located across the country. Field administration of the Social Security Act personnel explain benefit rights and and the Health Insurance for the Aged responsibilities on an individual basis, Act insofar as they affect railroad

assist employees applying for benefits, retirement beneficiaries.

and answer questions related to the The Board is composed of three

benefit programs. members appointed by the President

Regional Offices-Railroad Retirement Board

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Activities
The Railroad Retirement Act provides for
the payment of annuities to individuals
who have completed at least 10 years of
creditable service and have ceased
compensated service upon their
attainment of specified ages, or at any
age if permanently disabled for all
employment. In some circumstances
occupational disability annuities or
supplemental annuities are provided for
longer term or career employees.

A spouse's annuity is provided, under certain conditions, for the wife or husband of an employee annuitant. Divorced spouses may also qualify.

Survivor annuities are awarded to the qualified spouses, children, and parents of deceased career employees. Various

lump-sum benefits are also provided under certain conditions.

Benefits are provided under the Railroad Unemployment Insurance Act to individuals who are unemployed in a benefit year, but who are ready and willing to work, and to individuals who are unable to work because of sickness or injury, based upon qualifying railroad earnings in a preceding one-year period.

The Board maintains, through its field offices, a placement service for unemployed railroad personnel.

Sources of Information

Benefit Inquiries Inquiries concerning claims for railroad retirement and survivor benefits should be directed to

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the Congressional Inquiry Section (phone, 312-751-4973). Inquiries concerning unemployment and sickness claims should be directed to the Adjudication, Systems, and Procedures Section (phone, 312-751-4810).

To locate the nearest field office, individuals should check with their rail employer, local union official, local post office, or one of the regional offices listed above. Most offices are open to the public from 9 a.m. to 3:30 p.m., Monday through Friday. The Board also relies on railroad labor groups and employers for assistance in keeping railroad personnel informed about its benefit programs. Employment Inquiries and applications for employment should be directed to the Director of Personnel, Railroad Retirement Board, 844 North Rush Street, Chicago, IL 60611-2092. Phone, 312–751-4570. Legislative Assistance Information regarding legislative matters may be obtained through the Office of

Legislative Affairs (phone, 202-2727742). Publications General information pamphlets on benefit programs may be obtained from the Board's field offices or Chicago headquarters. Requests for annual reports or statistical data should be directed to the Director of Public Affairs at the Chicago headquarters. Electronic Information Services Railroad Retirement Board information is available electronically in several ways. Using America Online, select "Clubs & Interests," then "AARP Online," "Software Library," and then "Government Resources." Using CompuServe, enter “GO TRAINNET”; select the Library Section, and then “RR Retirement Board." Internet, http:// www.rrb.govl. Telecommunications Devices for the Deaf (TDD) The Board provides TDD services from 9 a.m. to 3:30 p.m. (CST/ CDT) daily. Phone 312–751-4701 for beneficiary inquiries and 312-751-4334 for employment inquiries.

For further information, contact the Office of Public Affairs, Railroad Retirement Board, 844 North Rush Street, Chicago, IL 60611–2092. Phone, 312–751-4776.

SECURITIES AND EXCHANGE COMMISSION
450 Fifth Street NW., Washington, DC 20549
Phone, 202–942-4150

Chairman Commissioners

Secretary
Executive Director
Chief of Staff
General Counsel
Director, Division of Corporation Finance
Director, Division of Enforcement
Director, Division of Investment Management
Director, Division of Market Regulation
Director, Office of Compliance Inspections and

Examinations
Chief Accountant
Chief Administrative Law Judge
Chief Economist

ARTHUR LEVITT
ISAAC C. HUNT, JR., NORMAN S.

JOHNSON, STEVEN M.H.

WALLMAN, (1 VACANCY)
JONATHAN G. KATZ
JAMES M. MCCONNELL
MICHAEL SCHLEIN
RICHARD H. WALKER
BRIAN J. LANE
WILLIAM R. MCLUCAS
BARRY P. BARBASH
RICHARD R. LINDSEY
LORI A. RICHARDS

MICHAEL H. SUTTON BRENDA P. MURRAY (VACANCY)

Director, Office of International Affairs

MICHAEL D. MANN Director, Office of Municipal Securities

PAUL S. MACO
Director, Office of Public Affairs, Policy

JENNIFER SCARDINO
Evaluation and Research
Director, Office of Legislative Affairs

KAYE F. WILLIAMS
Inspector General

WALTER STACHNIK
Director, Office of Equal Employment

VICTOR H. TYNES, JR.
Opportunity
Director, Office of Investor Education and

NANCY M. SMITH
Assistance
Associate Executive Director, Office of

FERNANDO L. ALEGRIA, JR.
Administrative and Personnel Management
Associate Executive Director, Office of the JAMES DONAHUE

Comptroller
Associate Executive Director, Office of Filings WILSON A. BUTLER

and Information Services
Associate Executive Director, Office of

MICHAEL E. BARTELL Information Technology (For the Securities and Exchange Commission statement of organization, see the Code of Federal Regulations, Title 17, Part 200)

The Securities and Exchange Commission administers Federal securities laws that seek to provide protection for investors; to ensure that securities markets are fair and honest; and, when necessary, to provide the means to enforce securities laws through sanctions.

The Securities and Exchange
Commission was created under authority
of the Securities Exchange Act of 1934
(15 U.S.C. 780-78jj) and was organized
on July 2, 1934. The Commission serves
as adviser to United States district courts
in connection with reorganization
proceedings for debtor corporations in
which there is a substantial public
interest. The Commission also has
certain responsibilities under section 15
of the Bretton Woods Agreements Act of
1945 (22 U.S.C. 286k-1) and section
851(e) of the Internal Revenue Code of
1954 (26 U.S.C. 851(e)).

The Commission is vested with quasijudicial functions. Persons aggrieved by its decisions in the exercise of those functions have a right of review by the United States courts of appeals.

on their behalf, to file with the
Commission registration statements
containing financial and other pertinent
data about the issuer and the securities
being offered. It is unlawful to sell such
securities unless a registration statement
is in effect. There are limited
exemptions, such as government
securities, nonpublic offerings, and
intrastate offerings, as well as certain
offerings not exceeding $1.5 million. The
effectiveness of a registration statement
may be refused or suspended after a
public hearing if the statement contains
material misstatements or omissions, thus
barring sale of the securities until it is
appropriately amended.

Registration of securities does not
imply approval of the issue by the
Commission or that the Commission has
found the registration disclosures to be
accurate. It does not insure investors
against loss in their purchase, but serves
rather to provide information upon
which investors may make an informed
and realistic evaluation of the worth of
the securities.

Persons responsible for filing false information with the Commission subject

Activities
Full and Fair Disclosure The Securities
Act of 1933 (15 U.S.C. 77a) requires
issuers of securities and their controlling
persons making public offerings of
securities in interstate commerce or
through the mails, directly or by others

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