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Compliance Program

Compliance Program

Personal Investments

There are various thresholds at which an individual's personal investment in a company disqualifies that individual from making or influencing a decision to purchase particular goods or services for the university from that company. The disqualifying investment size is always $2,000 if the company involved is small. For large companies, it depends on the financial effect on the company.

If the purchase exceeds $10,000,000 in a given fiscal year, then an investment in any size company is disqualifying if it is at least $2,000.

If the purchase exceeds $500,000 in a given fiscal year, then the disqualifying limit is $25,000 invested in a Fortune 500 company and $2,000 in any other company.

If the purchase is less than $500,000, then the limit is $25,000 in a Fortune 500 or a NYSE listed company (or any other company with at least $2,500,000 in earnings before taxes in the most recent fiscal year) and $2,000 in any other company.

Fortune 500 full list (2011)

1  Wal-Mart Stores
2  Exxon Mobil
3  Chevron
4  ConocoPhillips
5  Fannie Mae
6  General Electric
7  Berkshire Hathaway
8  General Motors
9  Bank of America Corp.
10  Ford Motor
11  Hewlett-Packard
12  AT&T
13  J.P. Morgan Chase & Co.
14  Citigroup
15  McKesson
16  Verizon Communications
17  American International Group
18  International Business Machines
19  Cardinal Health
20  Freddie Mac
21  CVS Caremark
22  UnitedHealth Group
23  Wells Fargo
24  Valero Energy
25  Kroger
26  Procter & Gamble
27  AmerisourceBergen
28  Costco Wholesale
29  Marathon Oil
30  Home Depot
31  Pfizer
32  Walgreen
33  Target
34  Medco Health Solutions
35  Apple
36  Boeing
37  State Farm Insurance Cos.
38  Microsoft
39  Archer Daniels Midland
40  Johnson & Johnson
41  Dell
42  WellPoint
43  PepsiCo
44  United Technologies
45  Dow Chemical
46  MetLife
47  Best Buy
48  United Parcel Service
49  Kraft Foods
50  Lowe's
51  INTL FCStone
52  Lockheed Martin
53  Merck
54  Goldman Sachs Group
55  Express Scripts
56  Intel
57  Sears Holdings
58  Caterpillar
59  Chrysler Group
60  Safeway
61  Supervalu
62  Cisco Systems
63  Morgan Stanley
64  Prudential Financial
65  Walt Disney
66  Comcast
67  Sysco
68  Sunoco
69  Abbott Laboratories
70  Coca-Cola
71  New York Life Insurance
72  Northrop Grumman
73  FedEx
74  Hess
75  Ingram Micro
76  Johnson Controls
77  Aetna
78  Amazon.com
79  Humana
80  Enterprise Products Partners
81  Honeywell International
82  Liberty Mutual Insurance Group
83  News Corp.
84  DuPont
85  Sprint Nextel
86  General Dynamics
87  TIAA-CREF
88  Delta Air Lines
89  Allstate
90  HCA Holdings
91  American Express
92  Google
93  Tyson Foods
94  Philip Morris International
95  Time Warner
96  Oracle
97  3M
98  Deere
99  Plains All American Pipeline
100  Rite Aid
101  Massachusetts Mutual Life Insurance
102  Publix Super Markets
103  CHS
104  Raytheon
105  International Paper
106  Travelers Cos.
107  Macy's
108  Staples
109  Tech Data
110  DirecTV
111  McDonald's
112  Northwestern Mutual
113  Murphy Oil
114  United Continental Holdings
115  Eli Lilly
116  Motorola Solutions
117  Hartford Financial Services
118  AMR
119  TJX
120  Emerson Electric
121  Xerox
122  Cigna
123  Alcoa
124  Fluor
125  Aflac
126  U.S. Bancorp
127  Nationwide
128  Tesoro
129  Occidental Petroleum
130  Kimberly-Clark
131  Bristol-Myers Squibb
132  Avnet
133  World Fuel Services
134  Capital One Financial
135  Nike
136  Freeport-McMoRan Copper & Gold
137  Time Warner Cable
138  Manpower
139  Goodyear Tire & Rubber
140  Arrow Electronics
141  Exelon
142  Kohl's
143  Whirlpool
144  Halliburton
145  United Services Automobile Assn.
146  J.C. Penney
147  Southern
148  United States Steel
149  Ally Financial
150  AES
151  PNC Financial Services Group
152  EMC
153  Union Pacific
154  Altria Group
155  Computer Sciences
156  Illinois Tool Works
157  Nucor
158  Medtronic
159  L-3 Communications
160  Colgate-Palmolive
161  NextEra Energy
162  Dominion Resources
163  Amgen
164  Progressive
165  Bank of New York Mellon Corp.
166  General Mills
167  Gap
168  Loews
169  American Electric Power
170  Baker Hughes
171  TRW Automotive Holdings
172  Constellation Energy
173  Duke Energy
174  CBS
175  Texas Instruments
176  Toys "R" Us
177  PG&E Corp.
178  Eaton
179  Health Net
180  Viacom
181  PPG Industries
182  Jabil Circuit
183  FirstEnergy
184  Consolidated Edison
185  Chubb
186  Cummins
187  Danaher
188  Dollar General
189  Oneok
190  Community Health Systems
191  Sara Lee
192  Baxter International
193  DISH Network
194  Aramark
195  Omnicom Group
196  Waste Management
197  AutoNation
198  Edison International
199  Kellogg
200  ConAgra Foods
201  Public Service Enterprise Group
202  National Oilwell Varco
203  Dean Foods
204  Navistar International
205  Southwest Airlines
206  Apache
207  Lear
208  US Airways Group
209  Qwest Communications
210  Marriott International
211  Office Depot
212  Coventry Health Care
213  Entergy
214  Yum Brands
215  Genuine Parts
216  Smithfield Foods
217  ITT
218  Land O'Lakes
219  SAIC
220  BB&T Corp.
221  BJ's Wholesale Club
222  Qualcomm
223  Anadarko Petroleum
224  Liberty Media
225  Marsh & McLennan
226  Avon Products
227  Thermo Fisher Scientific
228  Penske Automotive Group
229  Starbucks
230  CSX
231  Devon Energy
232  H.J. Heinz
233  Textron
234  Monsanto
235  Lincoln National
236  First Data
237  Xcel Energy
238  Paccar
239  Unum Group
240  Progress Energy
241  Praxair
242  KBR
243  Genworth Financial
244  SunTrust Banks
245  Guardian Life Ins. Co. of America
246  Ameriprise Financial
247  R.R. Donnelley & Sons
248  Parker Hannifin
249  Peter Kiewit Sons'
250  Jacobs Engineering Group
251  Western Digital
252  Oshkosh
253  State Street Corp.
254  Nordstrom
255  Liberty Global
256  KKR
257  Williams
258  Limited Brands
259  Applied Materials
260  Newmont Mining
261  Norfolk Southern
262  GameStop
263  Chesapeake Energy
264  Huntsman
265  C.H. Robinson Worldwide
266  Tenet Healthcare
267  URS
268  Principal Financial
269  eBay
270  Icahn Enterprises
271  Air Products & Chemicals
272  Ashland
273  Whole Foods Market
274  Sempra Energy
275  Automatic Data Processing
276  NRG Energy
277  Caesars Entertainment
278  Great Atlantic & Pacific Tea
279  CenterPoint Energy
280  PPL
281  Synnex
282  BlackRock
283  DTE Energy
284  Reynolds American
285  Assurant
286  Aon
287  Micron Technology
288  Stanley Black & Decker
289  Holly
290  Reinsurance Group of America
291  Discover Financial Services
292  Energy Future Holdings
293  Regions Financial
294  Kinder Morgan
295  Owens & Minor
296  Republic Services
297  Visa
298  Western Refining
299  Gilead Sciences
300  Ball
301  Crown Holdings
302  Family Dollar Stores
303  Ross Stores
304  Bed Bath & Beyond
305  Boston Scientific
306  Global Partners
307  Estée Lauder
308  Sherwin-Williams
309  Enbridge Energy Partners
310  VF
311  CarMax
312  Campbell Soup
313  Ameren
314  Masco
315  Hertz Global Holdings
316  Becton Dickinson
317  Henry Schein
318  Thrivent Financial for Lutherans
319  Visteon
320  Quest Diagnostics
321  Cablevision Systems
322  AutoZone
323  Stryker
324  Winn-Dixie Stores
325  Hormel Foods
326  Fifth Third Bancorp
327  Eastman Kodak
328  W.W. Grainger
329  Autoliv
330  OfficeMax
331  Dover
332  Darden Restaurants
333  Charter Communications
334  CenturyLink
335  Pepco Holdings
336  Shaw Group
337  Goodrich
338  Peabody Energy
339  Sonic Automotive
340  AGCO
341  Dole Food
342  Las Vegas Sands
343  Broadcom
344  SLM
345  Owens-Illinois
346  Mosaic
347  Coca-Cola Enterprises
348  Eastman Chemical
349  Calpine
350  Corning
351  Energy Transfer Equity
352  Fortune Brands
353  AECOM Technology
354  Weyerhaeuser
355  Interpublic Group
356  Avery Dennison
357  Advanced Micro Devices
358  American Family Insurance Group
359  DaVita
360  CMS Energy
361  Commercial Metals
362  NiSource
363  Pantry
364  CIT Group
365  Yahoo
366  Sanmina-SCI
367  Reliance Steel & Aluminum
368  Steel Dynamics
369  Smurfit-Stone Container
370  Dillard's
371  Omnicare
372  McGraw-Hill
373  MeadWestvaco
374  Virgin Media
375  Cameron International
376  Dana Holding
377  EOG Resources
378  Ecolab
379  Jarden
380  MGM Resorts International
381  Spectrum Group International
382  Symantec
383  AK Steel Holding
384  Expeditors International of Washington
385  TravelCenters of America
386  Tenneco
387  Advance Auto Parts
388  Celanese
389  Frontier Oil
390  Dollar Tree
391  CC Media Holdings
392  Mattel
393  Franklin Resources
394  Domtar
395  Barnes & Noble
396  Amerigroup
397  Newell Rubbermaid
398  Fidelity National Financial
399  Mutual of Omaha Insurance
400  PetSmart
401  Universal American
402  Hershey
403  BorgWarner
404  Dr Pepper Snapple Group
405  Pacific Life
406  NII Holdings
407  UGI
408  Universal Health Services
409  Precision Castparts
410  MasterCard
411  Clorox
412  Core-Mark Holding
413  Group 1 Automotive
414  Anixter International
415  Gannett
416  Targa Resources
417  KeyCorp
418  Mylan
419  Agilent Technologies
420  WellCare Health Plans
421  Pitney Bowes
422  CH2M Hill
423  Lubrizol
424  O'Reilly Automotive
425  Auto-Owners Insurance
426  Fidelity National Information Services
427  Mohawk Industries
428  Consol Energy
429  Harris
430  Integrys Energy Group
431  Western Union
432  Avis Budget Group
433  Momentive Specialty Chemicals
434  SunGard Data Systems
435  Health Management Associates
436  St. Jude Medical
437  Ryder System
438  Booz Allen Hamilton Holding
439  Emcor Group
440  CB Richard Ellis Group
441  Starwood Hotels & Resorts
441  Spectra Energy
443  Wesco International
444  Live Nation Entertainment
445  Avaya
446  Foot Locker
447  Laboratory Corp. of America
448  Owens Corning
449  Nash-Finch
450  Telephone & Data Systems
451  Polo Ralph Lauren
452  Apollo Group
453  Big Lots
454  Con-way
455  Kelly Services
456  Western & Southern Financial Group
457  Allergan
458  Harley-Davidson
459  Northeast Utilities
460  SPX
461  Erie Insurance Group
462  Bemis
463  Meritor
464  Dick's Sporting Goods
465  General Cable
466  Rockwell Automation
467  United Stationers
468  SanDisk
469  NCR
470  Washington Post
471  Insight Enterprises
472  Alliant Techsystems
473  Atmos Energy
474  AbitibiBowater
475  W.R. Berkley
476  Biogen Idec
477  Cliffs Natural Resources
478  Rockwell Collins
479  Phillips-Van Heusen
480  Graybar Electric
481  El Paso
482  J.M. Smucker
483  Scana
484  Cognizant Technology Solutions
485  Terex
486  PulteGroup
487  Genzyme
488  YRC Worldwide
489  American Financial Group
490  Sealed Air
491  Charles Schwab
492  RadioShack
493  Centene
494  Host Hotels & Resorts
495  NYSE Euronext
496  Levi Strauss
497  NuStar Energy
498  Ruddick
499  D.R. Horton
500  Seaboard