Securities and Exchange Commission Historical Society
Thanks to our donors
- DONORS AND GIFTS -
New Gallery
Home > Papers > 1990s | Page 7

Papers

601 to 700 of 870 records

Page:
October 11, 1996
Memo for Don Baer and Mark Penn from Michael Waldman on President Clinton upcoming speeches
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
October 13, 1996
Memo to Tom O'Donnell from Tom Kalil on National Economic Council accomplishments and areas for improvement
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
October 16, 1996
Memo from Elena Kagan on draft letter on preempting state securities law
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
October 25, 1996
Comment Letter from the New York State Bar Association on Securities Act Concepts and Their Effects on Capital Formation
document pdf (Courtesy of Richard Rowe)
November 8, 1996
Closing Statement by Joseph R. Hardiman, NASD to the Securities Industry Association Conference
image pdf (Courtesy of Joseph R. Hardiman)
November 8, 1996
Opening Statement by Joseph R. Hardiman, NASD to the Securities Industry Association Conference
image pdf (Courtesy of Joseph R. Hardiman)
December 1996
NASD Neutral Corner
image pdf (Courtesy FINRA)
December 11, 1996
Comment Letter from the American Bar Association's Committee on Federal Regulation of Securities on the Securities Act Concepts and Their Effects on Capital Formation
document pdf (Courtesy of Richard Rowe)
December 31, 1996
Hannover Corporation of America et al. v. Donald L. Beckner et al.: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
1997
"10 Years After: Regulatory Developments in the Securities Markets Since the 1987 Market Break," by Dr. Richard R. Lindsey, Director, SEC Division of Market Regulation, and Anthony P. Pecora, Esq., Attorney-Adviser, SEC Division of Market Regulation
image pdf (Government Records)
1997
Government Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1997
MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1997
NASD Annual Report
image pdf (Courtesy FINRA)
1997
NASD Notices to Members

(Courtesy of FINRA)

1997
National Securities Clearing Corporation Annual Report

(Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

1997
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 9, 1997
Congratulations to Catherine Spain, Government Finance Officers Association from SEC Chairman Arthur Levitt on publication of "Questions to Ask Before You Approve a Bond Issue"
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
January 9, 1997
Letter to SEC Chairman Arthur Levitt from New York City Comptroller Alan Hevisi on Texaco employee discrimination
transcript pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
January 9, 1997
Letter to Secretary of the Treasury Robert Rubin from SEC Chairman Arthur Levitt on improving practices in municipal bond markets
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
January 16, 1997
Memo for Erskine Bowles from Ellen Seidman on securities litigation reform
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 23, 1997
"The Future of Self Regulation" - Address by Joseph R. Hardiman, NASD to the Securities Regulation Institute
image pdf (Courtesy of Joseph R. Hardiman)
January 28, 1997
Government Finance Officers Association policy statement on preemption of state investor protection laws
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 29, 1997
Draft - Letter to U.S. Senator Richard Lugar from Secretary of the Treasury Robert Rubin with Treasury legislative proposal to amend the Treasury Amendment
image pdf (Courtesy of the William J. Clinton Presidential Library)
January 31, 1997
Letter to members of U.S. Senate from consumer groups opposing preemption of state investor protection laws
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
February 1997
Securities and Exchange Commission v. Hughes Capital Corp. et al: Brief of the Securities and Exchange Commission
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 24, 1997
Memo for Gene Sperling from Ellen Seidman and Paul Dimond on financial services modernization and community concerns
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
February 25,1997
"Taking the Mystery out of Mutual Funds" - Remarks by SEC Chairman Arthur Levitt for Boston Citizens Seminar
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
February 27, 1997
Brief for the United States, United States of America v. James Herman O'Hagan
image pdf (Courtesy of the Library of Congress)
February 28, 1997
Brief of Amici Curiae North American Securities Administrators Association, Inc. and Law Professors in Support of Petitioner, United States of America v. James Herman O'Hagan
image pdf (Courtesy of the Library of Congress)
March 1997
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
March 1997
Securities Litigation White House Process Outline
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 14, 1997
Letter to President Clinton from U.S. House of Representatives members on legislation to establish uniform standards for private securities class action ligitation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 14, 1997
Letter to U.S. Representative Thomas Manton from SEC Chairman Arthur Levitt on Cracker Barrel
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
March 17, 1997
Memo to National Economic Council principals from Gene Sperling on Treasury's proposed financial services modernization legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 18, 1997
Request to SEC Chairman Arthur Levitt for meeting to discuss yield burning
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
March 20, 1997
Letter from Senator Phil Gramm to Dennis Beresford, Financial Accounting Standards Board on accounting principles regarding financial derivatives and hedging activities
image pdf (JT Ball Collection, University of Mississippi)
March 21, 1997
Memo to President Clinton from Gene Sperling with National Economic Council weekly reports
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 21, 1997
Preserving Municipal Market Trust - The Road Ahead - Remarks by SEC Chairman Arthur Levitt to New York State Government Finance Officers Association
transcript pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
March 25, 1997
Reply from Dennis Beresford to Senator Phil Gramm
image pdf (JT Ball Collection, University of Mississippi)
March 26, 1997
Letter to Secretary of the Treasury Robert Rubin from U.S. Representative James Leach on status of financial services modernization legislation
image pdf (Courtesy of the William J. Clinton Presidential Library)
March 26, 1997
Reply to Richard Daley, Mayor of Chicago from SEC Chairman Arthur Levitt on meeting on yield burning
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
March 27, 1997
Brief of Amici Curiae Law Professors and Counsel in Support of Respondent, United States of America v. James Herman O'Hagan
image pdf (Courtesy of the Library of Congress)
March 28, 1997
Brief for Respondent James Herman O'Hagan on Writ of Certiorari to the U.S. Court of Appeals, United States of American v. James Herman O'Hagan (begins at Questions Presented)
image pdf (Courtesy of the Library of Congress)
March 28, 1997
Letter to Under Secretary of the Treasury John Hawke from U.S. Representative James Leach on financial services modernization legislation
image pdf (Courtesy of the William J. Clinton Presidential Library)
April 1997
NASD Neutral Corner
image pdf (Courtesy FINRA)
April 3, 1997
Request to SEC Chairman Arthur Levitt from New York State Senator Franz Leichter to expand scope of Rule G-37
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
April 15, 1997
Letter to President Clinton from SEC Chairman Arthur Levitt with report on first year of practice under Private Securities Litigation Reform Act of 1995
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 15, 1997
Letter to U.S. Senator Christopher Dodd from SEC Chairman Arthur Levitt on Section 3(c)(7) funds
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
April 15, 1997
Reply to New York State Senator Franz Leichter from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
April 15, 1997
Testimony of Richard Lindsey, Director, SEC Division of Market Regulation before the House Subcommittee on Risk Management and Specialty Crops regarding HR 467: The Commodity Exchange Act Amendments of 1997
image pdf (Courtesy of the William J. Clinton Presidential Library)
April 17-18, 1997
Emails with revisions to letter to be sent to members of Congress on securities litigation issues
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 21, 1997
Letter to SEC Chairman Arthur Levitt from David Clapp, Goldman Sachs with letter to The New York Times on success of managing municipal bond abuses
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
April 27, 1997
Reply Brief for the United States, United States of America v. James Herman O'Hagan
image pdf (Courtesy of the Library of Congress)
May 1, 1997
Memo for National Economic Council Principals from Gene Sperling and Ellen Seidman: Financial Services Modernization - Part III
image pdf (Courtesy of the William J. Clinton Presidential Library)
May 2, 1997
Letter to U.S. Senator Carol Moseley-Braun from SEC Chairman Arthur Levitt on SEC commitment to diversity
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
May 6, 1997
Memo to National Economic Council principals from Gene Sperling and Ellen Seidman on Treasury's financial services modernization proposal
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 13, 1997
Letter from Representative Michael Oxley to Dennis Beresford, Financial Accounting Standards Board on accounting for derivatives
image pdf (JT Ball Collection, University of Mississippi)
May 16, 1997
Memo to President Clinton with request for decision concerning Treasury's financial services modernization proposal
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 23, 1997
Email from Alice Veenstra: Hill Reactions to Treasury's Financial Services Modernization Proposal
image pdf (Courtesy of the William J. Clinton Presidential Library)
June 1997
Final Report of the SEC Government-Business Forum on Small Business Capital Formation
document pdf (Courtesy of Richard Rowe)
June 1997
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 4, 1997
Email from Alice Veenstra: Treasury Testimony on Financial Services Modernization
image pdf (Courtesy of the William J. Clinton Presidential Library)
June 4, 1997
Email response to Alice Veenstra from Ellen Seidman
image pdf (Courtesy of the William J. Clinton Presidential Library)
June 12, 1997
Reply to David Clapp from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
June 16, 1997
Email from Alice Veenstra: Suggestions for Treasury's Comments on HR 10 - Financial Services Modernization
image pdf (Courtesy of the William J. Clinton Presidential Library)
June 17, 1997
Talking point regarding securities litigation legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 25, 1997
Supreme Court of the United States: United States v. James Herman O'Hagan
image pdf (Courtesy of the Library of Congress)
June 26, 1997
Lawyers and Ethics: The Problems of Pay-to-Play - Remarks by SEC Chairman Arthur Levitt to Fixed Income Daily Conference on Municipal Finance
transcript pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
June 30, 1997
Letter from Milton V. Freeman to Eric Summergrad with congratulations on winning the O'Hagan case
image pdf (Courtesy of the Summergrad Family)
July 1997
Memo to National Economic Council principals from Mozelle Thompson and Ellen Seidman on extension of Private Securities Litigation Reform Act of 1995 to state securities class action suits
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 10, 1997
Letter from Eric Summergrad to Milton V. Freeman
image pdf (Courtesy of the Summergrad Family)
July 10, 1997
Memo to Gene Sperling from Emil Parker on budget deal
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 16, 1997
Letter from Richard Lindsey, SEC Division of Market Regulation to Richard Ketchum, NASD and Mary Schapiro, NASD Regulation on compliance with the firm quote rule
transcript pdf (Anonymous)
July 18, 1997
Letter to Elena Kagan from Mern Horan, National Association of Securities and Commercial Law Attorneys, urging caution with securities legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 29, 1997
In re Horizon/CMS Healthcare Corporation Securities Litigation: Plaintiffs' Memorandum
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
August 25, 1997
Letter to SEC Chairman Arthur Levitt from Attorney General Janet Reno on ABA pay to play resolution
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
August 29, 1997
Acknowledgement to John Olson from SEC Chairman Arthur Levitt on ABA pay to play resolution
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
September 1997
NASD Neutral Corner
image pdf (Courtesy FINRA)
September 1997
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
September 22, 1997
Reply to Attorney General Janet Reno from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
September 30, 1997
63rd Annual Report of the U.S. Securities and Exchange Commission
image pdf (Government Records)
October 1997
"The Lessons of 1987: Thinking Back After a Decade of Response" - Andrea M. Corcoran, Futures & Derivatives Law Report
image pdf (Courtesy of Andrea M. Corcoran)
October 8, 1997
Testimony of Lori Richards, SEC Office of Compliance Inspections and Examinations before U.S. House Subcommittee on Financial Institutions and Consumer Credit concerning SEC examination oversight of securities firms affiliated with banks
image pdf (Courtesy of David S. Ruder)
October 27, 1997
Treasury News: Statement by Treasury Secretary Robert Rubin on Today's Developments in Stock Market
image pdf (Courtesy of the William J. Clinton Presidential Library)
November 1997
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
November 13, 1997
Letter to SEC Chairman Arthur Levitt from Matthew Fink, Investment Company Institute on circuit breakers
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
November 25, 1997
Acknowledgement to Matthew Fink, Investment Company Institute from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
December 1997
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
December 15, 1997
Harvard Law School Press Release on Death of Professor Louis Loss
document pdf (Courtesy of Paul Gonson)
December 17, 1997
Media Release: County of Orange Returns to Investment Grade Rating
image pdf (With permission of California State Archives)
1998
Government Securities Clearing Corporation Annual Report

(Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

1998
MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1998
NASD Annual Report
image pdf (Courtesy FINRA)
1998
NASD Notices to Members

(Courtesy of FINRA)

1998
National Federation of Municipal Analysts: Position Paper on 1994 Amendments to Rule 15c2-12
image pdf (Courtesy of Municipal Securities Rulemaking Board)
1998
National Securities Clearing Corporation Annual Report

(Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

1998
Securities Litigation Uniform Standards Act of 1998 (Public Law No. 105-353); Sections 203(e)(8), 222(b)(2) of IAA Amended; Sections 2(a)(8), 3(b), 12(d)(1), 18(e), 30, 31(f) of ICA Amended
document pdf (Government Records)
1998
The Depository Trust Company Annual Report

(Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

1998
U.S. Securities and Exchange Commission Annual Report
transcript pdf (Government Records)
January 5, 1998
SEC report to Speaker of the House Dennis Hastert on adoption of amendments to conform with generally accepted accounting principles
image pdf (Courtesy of National Archives)

601 to 700 of 870 records

Page:

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.