Joan B. Gottschall

Vanguard Wellington Fund — Int/Div

Vanguard Wellesley Fund — Int/Div

Vanguard Index Trust — Int/Div

Vanguard Prime Portfolio — Int/Div

Van Kampen Emerging Growth Fund (renamed Strategic Growth A) — None

Eaton Vance Muni Bond Fund — Int/Div

US Treasury Strip (11-15-09) — None

Fed Empl Credit Union Accts — Interest

IBM common stock — Int/Div

Sr.Hi Inc Port.(renamed BlackRock Sr.Hi.Inc.) — Int/Div

Viacom c/stock Class A — Int/Div — Redemption* — VIII, n.2

Viacom c/stock Class B — Int/Div — Redemption* — VIII, n.2

Munder Intemet Fund — None

Time Warmer c¢/stock — Int/Div

Intel ¢/stock — Int/Div

Waste Management c¢/stock — Int/Div

Vanguard Tax-Managed Growth & Income — Int/Div

Fund

Flextronics c/stock — None

Hewlett-Packard c/stock — Int/Div

Caremark c/stock — Int/Div

Dycom c/stock (sold 1/16/07) — None

MVSN c/stock — None

MFS Mid-Cap Growth Fund B — None

Putnam New Value Fund — None

MEFS Utilities Fund — Int/Div

MFS Govt Securities Fund — Int/Div

MFS Value Fund B — Int/Div

MEFS Core Growth — None

Vanguard Capital Opportunity Fund — Int/Div

MFS Govt Sec B — Int/Div

Morgan Stanley (MS) US Govt Sec. Fund — Int/Div

Mercury (now BlackRock) Large Cap Value — Int/Div

Mercury (now BlackRock)Value Opportunities — Int/Div

MS (now BlackRock) MuniEnhanced Fund — Interest

CBS Cl. A c/stock (sold 5/07) — Int/Div — * — sh/for/sh dividend

CBS Cl. B c/stock (sold 5/07) — Int/Div — sh/for/sh dividend

MS Bank Dep. Program — Interest — Bought/sold — See VIII, n3

Member, Visiting Committee to the Divinity School, University of Chicago

Member, Board of Directors, Illinois Humanities Council

Chair, District Selection Committee, 52 ZF The Rhodes Trust 7 —< [@] _— ey B= a TT

Member, Board of Directors, } X= aT Foundation for Law and Science Center5 1 <2 - ~~ ~ Ped

Reimbursement — University of St. Thomas (Minneapolis) Law School — Food, lodging and transportation at law school seminar

Income — See Section VIII, note 1 — $0.00

Spouse's income — Reduced annual dues for judges — Union League Club of Chicago

JUDICIAL CONFERENCE OF THE UNITED STATES

FEDERAL BUILDING, LOCKBOX 33

844 KINO STREKT

Jupag R. Lanign Anogason. Hii

WILMINGTON, DELAWARE 19801

TELEPHONE

Juoex Franxtin 8. BiLLinos, JR

COM! (302) 873-8168

Juoerx Jonn P. Puttar

MasisTRATE HEnay LL JonEs. Jr

Juoex Jown B. Jones

R. TOWNSEND ROBINSON

Juoeg NaTwanigL A. Jones

October 23,

1991

cCounNsEL

Juoeg Rostnry C. Jones

FT8: 633-8007

Juoeg Henry A. Pout:

Juoeg Davio Baw

Juoaeg Rosgar M. Tacasve!

Juoet Josten Lb. Tauno

Juoet Patricia M. WaLo

Juoex Hinman H. Wano

Juoar James 8. ZaoaL

Jubak WALTER K. STarLETON

CHalnMAN

The Honorable Jean

- .

P

Gottschall

United States District Court

219 South Dearborn Street

Chicago,

Illinois

60604

Re:

Docket No.

828

Dear Judge Gottschall:

In 1986,

1987,

and 1988 you,

along with your

edited and proofread a manuscript on a non-legal subject written by

your

The manuscript was published as ‘a book by your

The book is selling well enough to produce income for its

publisher, author, and editors.

Your

who reside in Canada

have proposed formation of a partnership under Canadian’ laws whose

assets will be all the rights to the book.

The partners will be

your

and you.

After the partnership is

formed, 1t will, in turn, be dissolved and the assets transferred

to a canadian corporation whose shareholders will be the partners

of the dissolved partnership.

After the partnership is formed,

your sole role will be to serve as a shareholder.

As a sharehold-

er, you will share in proceeds arising from the sales of the book

and the use of the rights to the book.

You ask whether you may

participate in this arr

Cte

anoe

— od

aoe bw

without trancsgressing either the

Code of Conduct for United States Judges or the Ethics Reform Act

of 1989.

The receipt of income from writing or editing a book is

permitted under the Code of Conduct.

Canon 5A says,

"A judge may

write

.

.

on non-legal subjects."

The Committee believes that

editing

and proofreading

are

activities

covered by the word

"writing."

And the Committee has approved,

at least implicitly,

Advisory Opinion No.

55.

the receipt of income from writing.

There are restrictions on the manner in which a judge's name may ba

used in the promotion of a book, but, we assume, these restrictions

are not likely to be involved in your case since you are not the

author and your name is unlikely to be used in connection with

selling of the book.

Nor is there anything about the nature of the