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101 to 200 of 623 records

Page:
December 19, 2000
Letter to John Podesta from Vice President-Elect Dick Cheney on Presidential administration transition
image pdf (Courtesy of the William J. Clinton Presidential Library)
December 21, 2000
Consolidated Appropriations - FY2001 (Public Law No. 106-554); Sections 2(a)(36), 2(a)(52) of ICA Amended
document pdf (Government Records)
December 21, 2000
MSRB Discussion Paper: Disclosure in the municipal securities market
image pdf (Courtesy of Municipal Securities Rulemaking Board)
December 22, 2000
Memo to Kara Bringard from Mary Simpkins on important reforms and events in the municipal market under SEC Chairman Arthur Levitt
transcript pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
2001
DPC DATA Advertisements
image pdf (Courtesy of Municipal Securities Rulemaking Board)
2001
Emerging Markets Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2001
Government Securities Clearing Corporation and MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2001
NASD Annual Report
image pdf (Courtesy FINRA)
January 2001
NASD Neutral Corner
image pdf (Courtesy FINRA)
2001
NASD Notices to Members

(Courtesy of FINRA)

Winter 2001
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
01/01/2001
SEC Historical Society 2001-2002 Membership Brochure
image pdf (Courtesy of David Ruder)
2001
The Depository Trust & Clearing Corporation Annual Report

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

January 11, 2001
Letter to Vice President-Elect Richard Cheney from SEC Chairman Arthur Levitt in support of re-appointment of SEC Commissioner Isaac Hunt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
January 11-12, 2001
MSRB Disclosure Forum II - Presented by Clayton Erickson, A.G. Edwards
image pdf (Courtesy of Municipal Securities Rulemaking Board)
January 24-25, 2001
Enron Investor Conference - Valuation Considerations
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
January 25, 2001
Enron Press Release: Enron Announces Increased Earning Target for 2001
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
February 9, 2001
Resignation letter of SEC Chairman Arthur Levitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
Spring 2001
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
March 2001
Raptor Hedging Strategy Analysis
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
March 7, 2001
Summary of Raptor Transactions
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
04/01/2001
Volume 1, Number 1 Historical Society Newsletter
image pdf (Courtesy of David Ruder)
April 12, 2001
Letter to Thomas Newkirk, SEC Division of Enforcement from Ralph Ferrara on Waste Management, Inc.
image pdf (Courtesy of the National Archives and Records Administration)
04/18/2001
David Ruder memo to Board of Trustees on Society Activities
image pdf (Courtesy of David Ruder)
May 2, 2001
White House: Criteria for SEC Chairman and assessment of Harvey Pitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
May 2, 2001
White House: Information on Harvey Pitt as SEC Chairman candidate
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
May 10, 2001
White House Press Release: Nominations of Cari Dominguez, Dennis Schornack, Janet Hale and Harvey Pitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
May 22, 2001
Memo to Jeff Skilling from Jordan Mintz on Enron approvals for transactions with LJM
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
05/31/2001
Carla Rosati email to David Ruder, Paul Gonson, Robert Kueppers, Jack Katz re office space
image pdf (Courtesy of David Ruder)
Summer 2001
Letter to Kenneth Lay from anonymous Enron employee
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
June 2001
NASD Neutral Corner
image pdf (Courtesy FINRA)
Summer 2001
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 28, 2001
Testimony Concerning Appropriations for Fiscal Year 2002 - Laura S. Unger, SEC Acting Chair
image pdf (Courtesy of Kathryn McGrath)
06/29/2001
Carla Rosati update to Board of Trustees
image pdf (Courtesy of David Ruder)
June 29, 2001
Global Direct Financial Services LLC application to SEC for control location for foreign securities
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
July 2001
Independence Standards Board Staff Report - A Conceputal Framework for Auditor Independence
transcript pdf (Courtesy of Henry R. Jaenicke)
July 6, 2001
National Financial Services Limited Liability Corporation request to SEC for omnibus account
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
July 6, 2001
White House Office of General Counsel clearance of nomination of Harvey Pitt to SEC
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 17, 2001
Memo to President Bush from Clay Johnson on selection of Harvey Pitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 17, 2001
SEC policy statement regarding auditor independence standards
image pdf (Courtesy of National Archives)
July 17, 2001
SEC Press Release - Independence Standards Board to Cease Operations
transcript pdf (Government Records)
July 17, 2001
SEC report to Congress regarding Independence Standards Board
image pdf (Courtesy of National Archives)
July 19, 2001
Robert Andrew Securities, Inc. request to SEC for filing extension
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
07/20/2001
Carla Rosati memo to David Ruder re portable display about the Society for conferences
image pdf (Courtesy of David Ruder)
July 23, 2001
Stern & Kennedy request to SEC for filing extension
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
July 23, 2001
Trenwith Securities LLC request to SEC for audit waiver
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
July 24, 2001
First Clearing Corporation request to SEC for omnibus account
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
July 25, 2001
Kingfisher plc no action request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
07/27/2001
Alan B. Levenson letter to panelists of the Roundtable on 1963 Special Study
image pdf (Courtesy of David Ruder)
August 14, 2001
Enron News Release: Enron Announces Skilling Resignation
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
August 15, 2001
A Report on the Trustees' Vision for and Relationship to the Securities and Exchange Commission Historical Society - Carla Rosati
image pdf (SEC Historical Society files)
August 22, 2001
Letter from Stanley Keller, on behalf of the ABA Committee on Federal Regulation of Securities, to David B.H. Martin, SEC Division of Corporation Finance with suggestions of regulatory revisions
image pdf (Courtesy of Richard Rowe)
08/22/2001
Summary Report on Trustees' Vision for SEC Historical Society
image pdf (Courtesy of David Ruder)
August 29, 2001
Email to Kenneth Lay from Margaret Ceconi
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
August 31, 2001
SEC Division of Corporation Finance: Current Accounting and Disclosure Issues
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
Fall 2001
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
09/17/2001
Draft press release announcing Society Roundtable on 1963 Special Study
image pdf (Courtesy of David Ruder)
September 17, 2001
GAO Report: Securities and Exchange Commission - Human Capital Challenges Require Management Attention
image pdf (Courtesy of Kathryn McGrath)
01/30/2001
2000 and 2001 Historical Society Annual Reports
image pdf (Courtesy of David Ruder)
October 1, 2001
BondInvest LLC filing extension request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
October 2, 2001
Remembrance by Arthur Rothkopf of 1963 SEC Special Study of the Securities Markets
document pdf
October 3, 2001
Goldman Sachs Analyst Report: Enron Corporation
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
October 4, 2001
Pershing Division of Donaldson Lufkin and Jenrette Securities Corporation request to SEC for omnibus account
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
October 8, 2001
Enron Audit and Compliance Committee Meeting
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
10/08/2001
Letter from Ralph Saul to David Ruder and Alan Levenson on 1963 Special Study Roundtable
image df (Courtesy of David Ruder)
October 19, 2001
Letter to U.S. Representative Richard Armey from New York Governor George Pataki on funding for New York City following 9/11 attacks
image pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
October 22, 2001
Enron News Release: Enron Announces SEC Request, Pledges Cooperation
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
October 23, 2001
Enron All Employee Meeting
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
October 23, 2001
Masco Corporation no action request to SEC to omit shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
October 24, 2001
Bear, Stearns & Co. update to SEC of foreign control locations
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
October 26, 2001
Remarks by Arthur Levitt for the Putnam Investments Conference
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 29, 2001
Memo from SEC Chairman Harvey Pitt on recusal from participation in certain matters
transcript pdf (Courtesy of George W. Bush Presidential Library and Museum)
October 29, 2001
Minutes of the SEC Historical Society Board of Trustees Meeting
image pdf (SEC Historical Society files)
October 30, 2001
Acknowledgement to Arthur Levitt from Lawrence Lasser, Putnam Investments
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 30, 2001
Email from David Ruder to SEC Historical Society Board of Trustees on decision to proceed with SEC Major Issues Conference
image pdf (SEC Historical Society files)
October 30, 2001
Hewlett-Packard Company no action request to SEC to omit shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
October 30, 2001
K&Z Partners LLC request to SEC for waiver from audited financial statements
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
October 31, 2001
Cabot Corporation request to SEC for confirmation of previous no action decision
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
10/31/2001
Carla Rosati update to Board of Trustees
image pdf (Courtesy of David Ruder)
October 31, 2001
Letter to Clay Johnson from U.S. Representative Vito Fossella recommending Leopold Korins as SEC Commissioner
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
November 1, 2001
Acknowledgement to Arthur Levitt from Richard Monaghan, Putnam Investments
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
November 1, 2001
Email to Andrew Card from Tom Bliley recommending David Cavicke as SEC Commissioner
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
November 2001
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
November 1, 2001
National Investor Services Corp. request to SEC for omnibus account
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 2001
Proceedings Book of "Securities Regulation in the Global Internet Economy" Major Issues Conference
November 2, 2001
Wm. Wrigley Jr. Company no action request to SEC for omission of stockholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 5, 2001
The Asia Tigers Fund, Inc. no action request to SEC for omission of shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 9, 2001
Bridge Bancorp, Inc. no action request to SEC for omission of shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 14, 2001
"Securities Regulation in the Global Internet Economy" Major Issues Conference (Day I) Transcript
document PDF
November 14, 2001
Enron Conference Call
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
11/14/2001
SEC Historical Society Major Issues Conference Brochure
image pdf (Courtesy of David Ruder)
November 14, 2001
U.S. Clearing request to SEC for omnibus account
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 15, 2001
"Securities Regulation in the Global Internet Economy" Major Issues Conference (Day II) Transcript
document PDF
November 15, 2001
IBM no action request to SEC for omission of stockholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 16, 2001
Memo to David Ruder, Paul Gonson and Robert Kueppers from Carla Rosati on remaining funds and future of SEC Historical Society operations
image pdf (SEC Historical Society files)
November 16, 2001
Occidental Petroleum Corporation no action request to SEC for omission of stockholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 19, 2001
Eastman Kodak Company no action request to SEC to omit shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 19, 2001
Email from Enron Office of the Chairman
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
November 20, 2001
Motorola, Inc. no action request to SEC for exclusion of stockholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 20, 2001
White House Office of General Counsel clearance of nomination of Cynthia Glassman to SEC
image pdf (Courtesy of George W. Bush Presidential Library and Museum)

101 to 200 of 623 records

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