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Papers

1301 to 1400 of 1650 records

Page:
December 24, 1987
Report of the Securities Transfer Association to the Presidential Task Force on Market Mechanisms
transcript pdf (Courtesy of David S. Ruder)
December 28, 1987
Letter from James Burk, New York Stock Exchange to Richard Ketchum, SEC Division of Market Regulation with guidelines for classification of arbitrators
transcript pdf (Courtesy of Stuart Kaswell)
1988
Insider Trading and Securities Fraud Enforcement Act of 1988 (Public Law No. 100-704); Section 204A of IAA Amended
document pdf (Government Records)
1988
NASD Annual Report
image pdf (Courtesy FINRA)
1988
NASD Notices to Members

(Courtesy of FINRA)

1988
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 1988
Report of the Presidential Task Force on Market Mechanisms (Brady Report)
image pdf (Anonymous)
1988
Securities and Exchange Commission Authorization Act of 1987 (Public Law No. 100-181); Sections 202, 203, 205, 209, 211(b), 213(a), 214 of IAA Amended; Sections 2(a)(19), 2(a)(39), 2(a)(48), 3(c), 5(a)(2), 6(a), 9, 12, 15, 17, 18(e), 20, 21(b), 22, 24(d),
document pdf (Government Records)
January 1988
Summary of SEC Division of Economic Analysis's final report on stock index futures and cash market activity during October 1987 to the U.S. Commodity Futures Trading Commission
image pdf (Anonymous)
1988
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 7, 1988
Memorandum of Understanding - U.S. Securities and Exchange Commission and Ontario Securities Commission, Commission des Valeurs Mobilieres du Quebec and British Columbia Securities Commission
image pdf (Government Records)
January 19, 1988
Memo to Division of Corporation Finance from Office of Disclosure Policy on recent proxy rules amendments
image pdf (Courtesy of David B.H. Martin)
January 22, 1988
Memo from John Penhollow on response to January 14th NASAA letter
image pdf (Courtesy of David S. Ruder)
January 24, 1988
Memo to Senate Banking Committee from Steven Harris and John Dugan on briefing on recent bank board regulatory initiatives
image pdf (Courtesy of National Archives and Records Administration)
January 26, 1988
Acknowledgement to SEC Chairman David Ruder from Walter G.D. Stothers on signing of agreement between Ontario Securities Commission and SEC
image pdf (Courtesy of David S. Ruder)
January 27, 1988
Memo to SEC Chairman Ruder from George Kundahl with SEC cost for market volatility report
image pdf (Courtesy of David S. Ruder)
January 1988
Final Report on Stock Index Futures and Cash Market Activity during October 1987 to the U.S. Commodity Futures Trading Commission from the SEC Division of Economic Analysis and Division of Trading and Markets
image pdf (Courtesy of David S. Ruder)
January 1988
Financial Markets: Preliminary Observations on the October 1987 Crash - U.S. General Accounting Office
image pdf (Courtesy of David S. Ruder)
February 1, 1988
Acknowledgement to SEC Chairman David Ruder from Stanley Beck, Ontario Securities Commission Chairman on signing of memorandum of understanding
image pdf (Courtesy of David S. Ruder)
February 1988
Memo from National Association of Realtors on financial deregulation
image pdf (Courtesy of National Archives and Records Administration)
February 1988
The October 1987 Market Break: Report by SEC Division of Market Regulation

(Courtesy of Alton Harvey)

February 1, 1988
U.S. Commodity Futures Trading Commission news release on staff report on stock index futures and related stock market activity during October 1987
image pdf (Anonymous)
February 2, 1988
Memo to SEC Chairman Ruder from Kathryn McGrath on NASD self-regulatory responsibilities
image pdf (Courtesy of David S. Ruder)
February 2, 1988
Testimony of Alan Greenspan, Federal Reserve before U.S. Senate Committee on Banking, Housing and Urban Affairs on October market crash
image pdf (Courtesy of David S. Ruder)
February 3, 1988
Memo from John Penhollow on NASAA/states access to Edgar
image pdf (Courtesy of David S. Ruder)
February 3, 1988
Memo to SEC Commissioner Aulana Peters from John Penhollow on February 4th NASAA meeting
image pdf (Courtesy of David S. Ruder)
February 3, 1988
Opening statement of SEC Chairman David Ruder on SEC recommendations regarding October 1987 market break before U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (Courtesy of David S. Ruder)
February 4, 1988
Letter to Judge Frank Nebeker from Theodore Focht on nomination of Frank Zarb as director of Securities Investor Protection Corporation
image pdf (Courtesy of George Bush Presidential Library and Museum)
February 5, 1988
Confirmation to Linda Fienberg from John Olson on February 22nd meeting with Robert Erburu, The Times Mirror Company
image pdf (Courtesy of David S. Ruder)
February 5, 1988
Preliminary Observations of the Market Crash of October 1987: Statement of Richard Fogel, GAO
image pdf (Courtesy of National Archives and Records Administration)
February 5, 1988
Request to SEC Chairman David Ruder from U.S. Senators Timothy Wirth and John Heinz to postpone SEC public hearings on multiple trading
image pdf (Courtesy of David S. Ruder)
February 5, 1988
Testimony by John J. Phelan, Jr., New York Stock Exchange on market break
image pdf (Courtesy of National Archives and Records Administration)
February 8, 1988
Letter to U.S. Senators Donald Riegle and Alfonse D'Amato from SEC Chairman David Ruder on insider trading legislation
transcript pdf (Courtesy of National Archives and Records Administration)
February 10, 1988
Protest to SEC Chairman David Ruder from U.S. Representative Thomas Bliley on SEC options multiple trading proposal
image pdf (Courtesy of David S. Ruder)
February 11, 1988
Memo to U.S. Representative Mickey Edwards on expanded bank powers
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
February 12, 1988
Financial Planners - Report of the SEC Staff to the U.S. House of Representatives Subcommittee on Telecommunications and Finance
image pdf (Courtesy of Kathryn McGrath)
February 16, 1988
Association of Bank Holding Companies: Repeal of the 1934 Glass-Steagall Act will Strengthen the Competitiveness, Integrity & Soundness of Banks and Other U.S. Financial Institutions
image pdf (Courtesy of National Archives and Records Administration)
February 17, 1988
Remarks of U.S. Representative Edward J. Markey before the United Shareholders Association "Pension Funds '88" Conference
image pdf (Anonymous)
February 18, 1988
Request to SEC Chairman David Ruder, CFTC Acting Chairman Kalo Hineman and Federal Reserve Chairman Alan Greenspan from U.S. House Committee on Energy and Commerce for contingency plan following market break
image pdf (Courtesy of David S. Ruder)
February 23, 1988
Memo to SEC Chairman Ruder from SEC Chief Accountant Edmund Coulson on February 25th meeting with public accounting firm representatives
image pdf (Courtesy of David S. Ruder)
February 23, 1988
Report from Rholan Larson, Financial Foundation to Dennis Beresford, Financial Accounting Standards Board on meeting with John Reed
image pdf (JT Ball Collection, University of Mississippi)
February 24, 1988
Letter from Alton Harvey, SEC Division of Market Regulation to U.S. Representative Thomas Tauke on inquiry concerning possible trading abuses in futures markets
image pdf (Anonymous)
February 24, 1988
Letter from U.S. District Judge William D. Browning to Gary G. Lynch, SEC Division of Enforcement on SEC investigation of Washington Public Power Supply System
image pdf (Anonymous)
February 25, 1988
Acknowledgement to SEC Chairman David Ruder from Robert Erburu for meeting on proposed Rule 19c-4
image pdf (Courtesy of David S. Ruder)
February 26, 1988
Letter from U.S. Senator Richard Shelby to SEC Chairman David Ruder on hearing on one-share/one-vote
transcript pdf (Courtesy of Stuart Kaswell)
February 26, 1988
Letter to Richard Ketchum, SEC Division of Market Regulation from Kenneth Leibler, American Stock Exchange on issues from October 1987 Market Break Study
transcript pdf (Courtesy of David S. Ruder)
February 26, 1988
Letter to Richard Ketchum, SEC Division of Market Regulation from Nicholas Giordano, Philadelphia Stock Exchange on October market break
image pdf (Courtesy of David S. Ruder)
February 26, 1988
Letter to Richard Ketchum, SEC Division of Market Regulation from Robert Birnbaum, New York Stock Exchange on issues from October 1987 Market Break Study
transcript pdf (Courtesy of David S. Ruder)
March 1988
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
March 3, 1988
Letter from Stephen J. Paradise, New York Stock Exchange to Stuart Kaswell, U.S. House of Representatives on arbitration
image pdf (Anonymous)
March 3, 1988
Letter to U.S. Senator William Proxmire from Joseph Hardiman, NASD with responses to Brady Report
image pdf (Courtesy of National Archives and Records Administration)
March 4, 1988
Letter from U.S. Representatives John Dingell and Edward Markey to SEC Chairman David Ruder requesting information on short selling and frontrunning
transcript pdf (Courtesy of Stuart Kaswell)
March 4, 1988
Memo to SEC Chairman Ruder from Richard Ketchum on implementation of recommendations regarding October market break
image pdf (Courtesy of David S. Ruder)
March 4, 1988
Reply to U.S. Representative William Goodling from Mary Beach, SEC regarding letter from George Ladd
transcript pdf (Courtesy of National Archives and Records Administration)
March 8, 1988
The Business Roundtable Accounting Principles Task Force - Policy Committee Meeting
transcript pdf (JT Ball Collection, University of Mississippi)
March 11, 1988
Memo from Nina Gross on speech of U.S. Senator Patrick Leahy to Futures Industry Association
image pdf (Courtesy of David S. Ruder)
March 15, 1988
Letter from U.S. Representative Joe Barton to Wendy Gramm, Commodity Futures Trading Commission with letter from John Watson on creation of a futures market for natural gas
transcript pdf (Courtesy of Stuart Kaswell)
March 16, 1988
Letter to U.S. Senator William Proxmire from William O'Connell, U.S. League of Savings Institutions on regulatory enforcement authority
image pdf (Courtesy of National Archives and Records Administration)
March 16, 1988
Memo to SEC Chairman Ruder from Nina Gross on March 17th Senate Agriculture Committee hearing
image pdf (Courtesy of David S. Ruder)
March 17, 1988
Letter from U.S. Representative John Dingell and Edward Markey to Wendy Gramm, Commodity Futures Trading Commission on frontrunning
transcript pdf (Courtesy of Stuart Kaswell)
March 17, 1988
Letter to SEC Chairman David Ruder from U.S. Representative John Dingell opposing compromise between SEC and federal banking agencies
image pdf (Courtesy of David S. Ruder)
March 17, 1988
Testimony of Robert A.G. Monks, Institutional Shareholder Services, Inc. to the U.S. Senate Committee on Banking, Housing and Urban Affairs on one share, one vote rule
image pdf (Anonymous)
March 17, 1988
Testimony of SEC Chairman David Ruder before the U.S. Senate Committee on Agriculture, Nutrition and Forestry concerning October market break
transcript pdf (Courtesy of David S. Ruder)
March 18, 1988
Letter to U.S. Senator William Proxmire from Wendy Gramm, Commodity Futures Trading Commission on response to October market break
image pdf (Courtesy of David S. Ruder)
March 18, 1988
White House Press Release: Working Group on Financial Markets, with list of members
image pdf (Courtesy of David S. Ruder)
March 21, 1988
A Changing Environment for Investment Companies - Remarks of SEC Chairman David Ruder before 1988 Mutual Funds and Investment Advisers Conference
image pdf (Courtesy of David S. Ruder)
March 23, 1988
Memo from Nina Gross on U.S. Senator Proxmire's Intermarket Coordination Act bill
image pdf (Courtesy of David S. Ruder)
March 23, 1988
SEC Chairman Ruder's responses to prehearing questions from Chairman Markey concerning October market break
transcript pdf (Courtesy of David S. Ruder)
March 23, 1988
Testimony of SEC Chairman David Ruder before U.S. House Subcommittee on Telecommunications and Finance concerning October market break
image pdf (Courtesy of David S. Ruder)
March 28, 1988
Letter to Philip Chenok, American Institute of Certified Public Accountants from SEC Chief Accountant Edmund Coulson on proposed changes in registrants certifying accountants
transcript pdf (Courtesy of David S. Ruder)
March 28, 1988
Memo from U.S. House Subcommittee on Telecommunications and Finance on hearing on fairness and effectiveness of current arbitration process in broker-dealer/client disputes
image pdf (Anonymous)
March 29, 1988
Report to SEC Chairman Ruder from Nina Gross with chart on substantive requests from Congress following October market break
image pdf (Courtesy of David S. Ruder)
March 30, 1988
Response to U.S. Representative John Dingell from SEC Chairman David Ruder on negotiations with bank regulatory agencies
image pdf (Courtesy of David S. Ruder)
March 31, 1988
Automated Clearance and Settlement in the Municipal Securities Market: Report to the U.S. Securities and Exchange Commission from the Municipal Securities Rulemaking Board
image pdf (Courtesy of Municipal Securities Rulemaking Board)
Spring 1988
Chicago Mercantile Exchange - Final Report of the Findings of the Committee of Inquiry Examining the Events Surrounding October 19, 1987
image pdf (Courtesy of David S. Ruder)
March 31, 1988
Statement by Federal Reserve Chairman Alan Greenspan before U.S. Senate Committee on Banking, Housing and Urban Affairs on response to October market break
image pdf (Courtesy of David S. Ruder)
March 31, 1988
Statement of Stephen L. Hammerman, Merrill Lynch & Co. to U.S. House Subcommittee on Telecommunications and Finance hearing on securities arbitration
image pdf (Anonymous)
March 31, 1988
Testimony of Stephen Brobeck, Consumer Federation of America to U.S. House Subcommittee on Telecommunications and Finance hearing on arbitration of broker-dealer/client disputes
image pdf (Anonymous)
April 1988
Adrian Antoniu v. Securities and Exchange Commission: Brief of the Securities and Exchange Commission
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
April 1, 1988
Letter to Jonathan Katz, SEC from Jean Webb, Commodity Futures Trading Commission on proposed New York Stock Exchange Rule 80A
image pdf (Courtesy of David S. Ruder)
April 4, 1988
Questions to SEC Chairman David Ruder from U.S. Senator William Proxmire
transcript pdf (Courtesy of David S. Ruder)
April 5, 1988
Letter to U.S. Senator Strom Thurmond from Mary Beach, SEC regarding concern from Harry Goldsmith on junk bonds
transcript pdf (Courtesy of National Archives and Records Administration)
April 7, 1988
Memo from Alden Adkins on April 6th meeting with OCC
image pdf (Courtesy of David S. Ruder)
April 11, 1988
SEC memo to U.S. House Subcommittee on Telecommunications and Finance concerning financial services, deregulation and repeal of Glass-Steagall Act
image pdf (Courtesy of David S. Ruder)
April 12, 1988
Protest to SEC Chairman David Ruder, CFTC Chairman Wendy Gramm and Federal Reserve Chairman Alan Greenspan from U.S. Representative Edward Markey on responses to date on contingency planning
image pdf (Courtesy of David S. Ruder)
April 13, 1988
Protest to U.S. Senator Ernest Hollings from SEC Chairman David Ruder on SEC appropriations
image pdf (Courtesy of David S. Ruder)
April 13, 1988
Statement of SEC Chairman David Ruder before U.S. House Subcommittee on Telecommunications and Finance concerning financial services reform and modification or repeal of Glass-Steagall Act
image pdf (Courtesy of David S. Ruder)
April 15, 1988
Letter from Edmund Coulson, SEC Chief Accountant to Rholan Larson, Financial Accounting Foundation with concerns on FASB actions
image pdf (JT Ball Collection, University of Mississippi)
April 15, 1988
United States of America v. Ivan Boesky - Defendant's memorandum of law in support of motion for reduction of sentence
image pdf (Courtesy of the National Archives and Records Administration)
April 15, 1988
United States of America v. Ivan Boesky - Motion for reduction of sentence
image pdf (Courtesy of the National Archives and Records Administration)
April 19, 1988
Letter to U.S. Representative Edward Markey from SEC Chairman David Ruder on contingency planning
image pdf (Courtesy of David S. Ruder)
April 20, 1988
Letter from U.S. Senator William Proxmire to SEC Chairman David Ruder on one-share/one-vote
transcript pdf (Courtesy of Stuart Kaswell)
April 22, 1988
Letter from SEC Chairman David S. Ruder to U.S. Representative John D. Dingell on Corporation for Small Business Investment Charter Act
image pdf (Anonymous)
April 22, 1988
United States of America v. Ivan Boesky - Affadavit of John Carroll for reduction of sentence
image pdf (Courtesy of the National Archives and Records Administration)
April 29, 1988
Letter to Jonathan Katz, SEC from Jean Webb, Commodity Futures Trading Commission with comments on proposed Philadelphia Stock Exchange rule changes
image pdf (Courtesy of David S. Ruder)
May 10, 1988
Letter to SEC Chairman David Ruder from U.S. Senator Jake Garn on one-share, one-vote rule
transcript pdf (Courtesy of National Archives and Records Administration)
May 12, 1988
Observations on Black Monday - Address of SEC Commissioner Joseph Grundfest before Federal Reserve Bank of Chicago Conference on Bank Structure and Competition
image pdf (Courtesy of David S. Ruder)
May 13, 1988
Letter to U.S. Representatives John Dingell and Edward Markey from SEC Chairman David Ruder on short selling and frontrunning
image pdf (Courtesy of David S. Ruder)
May 14, 1988
Market and Regulatory Reform for the Securities Industry: Will Wall Street, La Salle Street or Washington Prevail?
transcript pdf (Courtesy of National Archives and Records Administration)
May 16, 1988
Appeal from U.S. Senator William Proxmire to colleagues for support of Tender Offer Disclosure and Fairness Act
transcript pdf (Courtesy of National Archives and Records Administration)

1301 to 1400 of 1650 records

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