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Papers

701 to 800 of 870 records

Page:
January 16, 1998
Louis Loss Memorial Service Program
document pdf (Courtesy of Paul Gonson)
February 1998
Richard B. Smith - In Remembrance of Louis Loss, Insights
document pdf (Courtesy of Paul Gonson)
February 13, 1998
Thank-you letter to Barry Barbash 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)
February 18, 1998
SEC report to Vice President Al Gore on recognition of Independent Standards Board
image pdf (Courtesy of National Archives)
February 20, 1998
The Bond Market Association: Report of the Task Force on Electronic Information Delivery
image pdf (Courtesy of Municipal Securities Rulemaking Board)
March 1998
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
March 2, 1998
Memo for President Clinton from Sally Katzen on regulatory reform legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 3, 1998
Note to President Clinton with options on regulatory reform bill
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 6, 1998
Letter to Senator Fred Thompson from Franklin Raines, Office of Management and Budget, with administration views on Regulatory Improvement Act of 1998
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 12, 1998
Corporate Governance: Integrity in the Information Age - Remarks by SEC Chairman Arthur Levitt, Tulane University
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
March 15, 1998
Memo to President Clinton from Robert Rubin on financial modernization legislation
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 16, 1998
Memo to President Clinton from Gene Sperling on financial services modernization
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 30, 1998
Memo on White House and Treasury views on financial modernization legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 1, 1998
Inquiry to SEC Chairman Arthur Levitt from Timothy Cusick and Paul Siegel, Prudential Securities, Inc. on portability of mutual funds
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 1998
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
April 5, 1998
Email from Mary Smith with consumer financial bill of rights draft
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 7, 1998
Letter to SEC Chairman Arthur Levitt from John Brennan, The Vanguard Group on new disclosure rules for mutual funds
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 9, 1998
Congratulations to SEC Chairman Arthur Levitt from David Silver, ICI Mutual
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 14, 1998
Congratulations to Elizabeth Powell, 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)
April 16, 1998
Letter to Gene Sperling from Ralph Nader in opposition to proposed financial legislation
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 17, 1998
Letter from Denise Voight Crawford, North American Securities Administrators Association to Michael Macchiaroli, SEC Division of Market Regulation on proposed changes to books and records requirements
image pdf (Anonymous)
April 17, 1998
Letter to Frank Zarb, NASD, Inc. from SEC Chairman Arthur Levitt on compensation issues
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 23, 1998
Reply to John Brennan, The Vanguard Group 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)
April 30, 1998
Draft of President Clinton remarks on the economy
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 30, 1998
Reply to David Silver, ICI Mutual 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)
April 30, 1998
Reply to Timothy Cusick and Paul Siegel, Prudential Securities, Inc. 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)
May 1, 1998
Memo to President Clinton from Gene Sperling with National Economic Council weekly report
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May to June 1998
U.S. Securities and Exchange Commission Employee News
document pdf (Courtesy of Paul Gonson)
May 7, 1998
Treasury News: Joint Statement by Treasury Secretary Robert Rubin, Federal Reserve Board Chairman Alan Greenspan and Securities and Exchange Commission Chairman Arthur Levitt on over-the-counter derivatives
image pdf (Courtesy of the William J. Clinton Presidential Library)
May 12, 1998
A.A. Sommer, Jr. - Remarks at Dedication of U.S. Securities and Exchange Commission's Louis Loss Library
document pdf (Courtesy of Paul Gonson)
May 15, 1998
Remarks by SEC Chairman Arthur Levitt to Investment Company Institute
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
June 1998
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 1, 1998
Release: Hyde Schedules Antitrust Hearing on Bank Mergers
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 2, 1998
Letter to Catherine McGuire, SEC from Diane Klinke, MSRB on interests in local government pools and higher education trusts
image pdf (Courtesy of Municipal Securities Rulemaking Board)
June 2, 1998
Media Release: Orange County, Merrill Lynch Announce Settlement of Lawsuit
image pdf (With permission of California State Archives)
June 3, 1998
Joint statement of Citicorp and Travelers Group to the House Judiciary Committee
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Joint statement of NationsBank Corporation and BankAmerica Corporation to the House Committee on the Judiciary
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Statement of Bill Flory, National Association of Wheat Growers before the House Committee on the Judiciary: The Effects of Consolidation on the State of Competition in the Financial Services Industry
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Statement of Chairman Henry J. Hyde before the Committee on the Judiciary: The Effects of Consolidation on the State of Competition in the Financial Services Industry
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Statement of James Brock, Miami University of Ohio before the House Committee on the Judiciary: Bank Mergers and Financial Consolidation
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Statement of John Nannes, Department of Justice before the House Committee on the Judiciary concerning mergers in the financial services industry
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Statement of Laurence Meyer, Board of Governors of the Federal Reserve System before the House Committee on the Judiciary
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Testimony of Frank Torres, Consumers Union before the House Committee on the Judiciary: The Effects of Consolidation on the State of Competition in the Financial Services Industry
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Testimony of James Foorman, First Chicago NBD Corporation before the House Committee on the Judiciary
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Testimony of the Federal Trade Commission concerning the effects of consolidation on the state of competition in the financial services industry before the House Committee on the Judiciary
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 3, 1998
Testimony of William McQuillan, Independent Bankers Association of America before the House Committee on the Judiciary: The Effects of Consolidation on the State of Competition in the Financial Services Industry
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 17, 1998
Text of Treasury Secretary Robert Rubin before the Senate Banking Committee on financial modernization
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 18, 1998
Witnesses at U.S. Senate Committee on Banking, Housing and Urban Affairs hearing on Financial Services Act of 1998
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 30, 1998
Written statement of Steven Bennett, Banc One Corporation to the House Committee on the Judiciary
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 7, 1998
Memo on July 8th NEC/DPC Deputies meeting on privacy
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 7, 1998
Talking points for Principals meeting on privacy
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 9, 1998
Memo to President Clinton from Gene Sperling with strategy on financial modernization
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 14, 1998
Memo to Gene Sperling from Linda Robertson on calls to senators on financial modernization bill
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 20, 1998
Memo for Gene Sperling and Sally Katzen from Tom Kalil on agency views on privacy paper
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 30, 1998
Testimony of SEC Chairman Arthur Levitt regarding the regulation of the over-the-counter derivatives market and hybrid instruments
image pdf (Courtesy of the William J. Clinton Presidential Library)
July 31, 1998
Mandatory Arbitration Agreements in Employment Contracts in the Securities Industry - Hearing before the Committee on Banking, Housing and Urban Affairs, U.S. Senate
image pdf (Courtesy of Stuart J. Kaswell)
August 7, 1998
Letter to Senator Alfonse D'Amato from Erskine Bowles on White House stance on HR 10: Financial Modernization Act of 1998
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
August 10, 1998
Memo to SEC Chairman Arthur Levitt from Barry Barbash on Division of Investment Management sub-delegation of authority
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
August 12, 1998
Email from Paul Weinstein on revised draft of ATM proposal
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
August 13, 1998
Recommendation to SEC Chairman Arthur Levitt from Paul Schott Stevens of Division of Investment Management Director candidates
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
August 16, 1998
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
August 17, 1998
Draft talking points on financial institutions and privacy
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
August 18, 1998
Letter to U.S. Senators Phil Gramm and Christopher Dodd from the Working Group on Financial Markets on performance of circuit breakers on October 27, 1997
image pdf (Courtesy of the William J. Clinton Presidential Library)
August 24, 1998
Hattier, Sanford & Reynoir et al. v. Securities and Exchange Commission: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
September 1998
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
September 22, 1998
Memo to Secretary Rubin from Lisa Andrews with industry positions on HR 10: Financial Modernization Act
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
September 23, 1998
Letter from Julie Williams, acting Comptroller of the Currency, and Ellen Seidman, Director of the Office of Thrift Supervision to Senate Banking Committee on financial modernization legislation
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
September 23, 1998
Memo for Erskine Bowles and Gene Sperling from Robert Rubin on meeting with Citicorp and Travelers Group on financial modernization
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
September 23, 1998
Memo to Sarah Rosen from Allen Fishbein, Center for Community Change with grassroots opposition letter to HR 10
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
September 28, 1998
The "Numbers Game" - Remarks by SEC Chairman Arthur Levitt, NYU Center for Law and Business
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 29, 1998
Testimony of SEC Chairman Arthur Levitt concerning transparency in the United States debt market and mutual fund fees and expenses before the House Subcommittee on Finance and Hazardous Materials
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 5, 1998
Letter from Warren Langley, Pacific Exchange and William Lupien, OptiMark Technologies to SEC on ITS plan
image pdf (Anonymous)
10/06/1998
Proposal for establishing SEC Historical Society prepared by Gregg W. Corso
image pdf (Courtesy of David Ruder)
10/16/1998
Letter from David Ruder to Arthur Levitt agreeing to organize SEC Historical Society
image pdf (Courtesy of David Ruder)
October 21, 1998
Email from Paul Weinstein on Treasury opposition to ATM initiative
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
October 22, 1998
Recommendation of Paul Roye as Director, Division of Investment Management from H. Patrick Swygert, Howard University to SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 26, 1998
Memo from Harvey Goldschmid to Office of General Counsel on appointment of Eric Summergrad as Deputy Solicitor
image pdf (Courtesy of the Summergrad Family)
October 28, 1998
Acknowledgement letter to H. Patrick Swygert, Howard University 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)
November 1998
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
November 5, 1998
Letter from James Buck, New York Stock Exchange to SEC on ITS plan
image pdf (Anonymous)
November 14, 1998
Memo for Robert Rubin and Lawrence Summers from Richard Carnell and Gregory Baer on rethinking financial modernization legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 29, 1998
Memo from Michael Moynihan with suggested Treasury changes to President Clinton's speech on electronic commerce
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
December 1998
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
December 7, 1998
Memo by Doug Elmendorf: What market failure would be addressed by further government regulation of risk-taking of financial institutions?
image pdf (Courtesy of the William J. Clinton Presidential Library)
December 8, 1998
A Partnership for the Public Trust - Remarks by SEC Chairman Arthur Levitt before the American Institute of Certified Public Accountants
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
December 8, 1998
SEC Release: Regulation of Exchanges and Alternative Trading Systems
image pdf (Government Records)
December 16, 1998
Letter from Stuart Kaswell, Securities Industry Association and Paul Saltzman, The Bond Market Association to SEC on books and records requirements
image pdf (Anonymous)
1999
A Short History of The Depository Trust Company
image pdf (Courtesy of William F. Jaenike)
1999
Emerging Markets Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1999
Government Securities Clearing Corporation Annual Report

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

1999
MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1999
NASD Annual Report
image PDF (Courtesy FINRA)
1999
NASD Notices to Members

(Courtesy of FINRA)

Winter 1999
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
1999
The Depository Trust & Clearing Corporation Annual Report

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

1999
U.S. Securities and Exchange Commission Annual Report
transcript pdf (Government Records)
02/18/1999
Letter from David Ruder soliciting interest in SEC Historical Society
image pdf (Courtesy of David Ruder)
02/25/1999
Paul Gonson notes from organizational meeting to establish the SEC Historical Society
image pdf (Courtesy of David Ruder)
February 25, 1999
Recommendations to SEC Chairman Arthur Levitt from Jean Gleason Stromberg on independent directors of investment companies
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
February 26, 1999
Reply to Diane Klinke, MSRB from Catherine McGuire, SEC on interests in local government pools and higher education trusts
image pdf (Courtesy of Municipal Securities Rulemaking Board)

701 to 800 of 870 records

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