Securities and Exchange Commission Historical Society
Thanks to our donors
- DONORS AND GIFTS -
New Gallery
Home > Papers > 2000s | Page 3

Papers

201 to 300 of 623 records

Page:
November 21, 2001
Singer Xenos Securities, Corp. request to SEC for audit waiver
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 26, 2001
Southern Africa Fund, Inc. no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 27, 2001
Anheuser-Busch Companies, Inc. no action request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 29, 2001
Sempra Energy no action request to SEC to omit shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
November 30, 2001
Duke Energy Corporation no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 1, 2001
H.B. Fuller Company no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 2001
NASD Neutral Corner
image pdf (Courtesy FINRA)
December 3, 2001
Caterpillar, Inc. no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 3, 2001
The Goldman Sachs Group, Inc. no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 3, 2001
United Technologies Corporation no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 4, 2001
General Electric Company no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 5, 2001
RJ Murphy Executions, Inc. request to SEC for extension to file final focus report
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 5, 2001
The Stride Rite Corporation no action request to SEC to exclude shareholder proposal from New York City Employees' Retirement System and New York City Teachers' Retirement System
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 6, 2001
Cooper Industries, Inc. no action request to SEC to omit shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 7, 2001
Hartmarx Corporation no action request to SEC to exclude shareholder proposal re "poison pill"
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 7, 2001
Otter Tail Corporation no action request to SEC to omit shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 7, 2001
Request to SEC Chairman Harvey Pitt from U.S. Representatives W.J. Tauzin and James Greenwood for Enron materials
image pdf (Courtesy of the National Archives and Records Administration)
December 10, 2001
Citigroup, Inc. no action request to SEC to exclude shareholder proposal from SEIU Master Trust
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 10, 2001
IBM no action request to SEC to exclude shareholder proposal to establish national health insurance system
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 10, 2001
PPG Industries, Inc. no action request to SEC to exclude shareholder proposal from International Brotherhood of Teamsters General Fund
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 11, 2001
Spire Securities LLC waiver request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 13, 2001
Canaccord Capital Corporation no action request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 13, 2001
Duke Energy Corporation no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 13, 2001
Research Conversion Corp. request to SEC for exemption from annual audit requirement
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 14, 2001
Adobe Systems Incorporated no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 14, 2001
Coca-Cola Company no action request to SEC to exclude share owner proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 14, 2001
Philip Morris Companies, Inc. no action request to SEC toe exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 17, 2001
Halcyon Execution Services, Inc. request to SEC for extension to file final focus report
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 17, 2001
Memo to David Becker from Robert Herdman and David Martin with Enron information
image pdf (Courtesy of the National Archives and Records Administration)
December 17, 2001
Philip Morris Companies, Inc. no action request to SEC to exclude shareholder proposal to allocate corporate philanthropy to alleviate lung cancer
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 17, 2001
Pitney Bowes no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 17, 2001
Reply letter to U.S. Representative W.J. Tauzin from David Becker, SEC General Counsel concerning Enron materials
image pdf (Courtesy of the National Archives and Records Administration)
December 17, 2001
The Geneva Companies, Inc. request to SEC to change net capital computation
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 17, 2001
UAL Corporation no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 17, 2001
Whitney Capital Markets, Inc. request to SEC for exemption from annual audit filing
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 18, 2001
Ameren Corporation no action request to SEC for omission of shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 18, 2001
Geocapital Securities, Inc. request to SEC for audit exemption
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 18, 2001
The Boeing Company no action request to SEC to exclude shareholder proposal for report on space-based weaponization
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 18, 2001
Tootsie Roll Industries, Inc. no action request to SEC to exclude shareholder proposal for company to dissociate from offensive imagery to the American Indian community
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 19, 2001
Allstate Corporation no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 19, 2001
BNY Clearing Services LLC request to SEC for omnibus account
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 19, 2001
FlexTrade LLC request to SEC for exemption from annual audit filing
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 19, 2001
The Boeing Company no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 20, 2001
BondGlobe Securities request to SEC for audit waiver
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 20, 2001
Peter C. Kenny, Inc. request to SEC for extension to file final focus report
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 20, 2001
Schering-Plough Corporation no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 21, 2001
Johnson & Johnson no action request to SEC to exclude shareholder proposal on CERES Principles
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 21, 2001
PG&E Corporation no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 27, 2001
The Manufacturers Life Insurance Company no action request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 28, 2001
K+K Securities LLC request to SEC for relief from filing audited financial statements
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 28, 2001
Safeway, Inc. no action request to SEC to exclude shareholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 31, 2001
Deutsche Bank no action request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 31, 2001
IBM request to SEC for reconsideration of no action decision
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 31, 2001
Report on management controls to President Bush from SEC Chairman Harvey Pitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
December 31, 2001
The Links Group LLC request to SEC for exemption from filing audited financial statements
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
2002
Letter to U.S. Representative Richard Armey from Ray Kerby in support of removing Terrorism Information and Prevention System (TIPS) from Homeland Security Act
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
2002
NASD Annual Report

(Courtesy of FINRA)

2002
NASD Notices to Members

(Courtesy of FINRA)

Winter 2002
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
January 1, 2002
Pre-SOX Regulatory Structure
image pdf (Courtesy of Stephen Kroll)
2002
The Depository Trust & Clearing Corporation Annual Report

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

January 2, 2002
Halcyon Execution Services, Inc. request to SEC for audit waiver
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 4, 2002
Bank of America Corporation no action request to SEC to exclude stockholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 4, 2002
JP Morgan Chase & Co. no action request to SEC to exclude stockholder proposal
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 4, 2002
Peyton, Chandler & Sullivan, Inc. request to SEC for audit waiver
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 4, 2002
The Republic of Italy disclosure procedure request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 4, 2002
Unisphere Networks, Inc. no action request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 7, 2002
TFS Blackwood LLC request to SEC for audit waiver
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 7, 2002
Track Data Securities Corporation no action request to SEC concerning electronic communications network
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 8, 2002
Advanced Clearing, Inc. request to SEC for extension of omnibus account
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 8, 2002
Bernard G. Haddican request to SEC for filing extension
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 9, 2002
Request for SEC Commission Action: Congressional request for briefing and documents concerning Enron Corporation
image pdf (Courtesy of the National Archives and Records Administration)
01/14/2002
Letter from Paul Gonson to David Ruder regarding a vision/planning meeting for the SEC Historical Society
image pdf (Courtesy of David Ruder)
January 14, 2002
Updated Frequently Asked Questions About Mutual Fund After-Tax Return Requirements to Craig Tyle, Investment Company Institute from Susan Nash, SEC Division of Investment Management
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 15, 2002
Brut LLC no action request to SEC concerning electronic communications network
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 16, 2002
Action Memorandum from SEC Office of the Chief Accountant: Statement regarding MD&A
image pdf (Courtesy of the National Archives and Records Administration)
January 16, 2002
Berg Faircloth no action request to SEC on audit filing
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 16, 2002
Fairway Capital LLP request to SEC for exemption from filing audited financial statements
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 16, 2002
Letter to Lance Lee, OneShare.com from Catherine McGuire, SEC Division of Market Regulation revoking prior no action relief granted to Stock Art
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 16, 2002
Request to SEC Chairman Harvey Pitt from U.S. Senators Joseph Lieberman and Carl Levin for briefing on Enron and Arthur Andersen
image pdf (Courtesy of the National Archives and Records Administration)
January 17, 2002
Draft reply to U.S. Senators Joseph Lieberman and Carl Levin from David Becker, SEC General Counsel
image pdf (Courtesy of the National Archives and Records Administration)
January 17, 2002
Karen L. Lacey request to SEC for filing extension
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 18, 2002
Minutes of the U.S. Securities and Exchange Commission
image pdf (Courtesy of the National Archives and Records Administration)
January 21, 2002
Letter from POB Chair Charles Bowsher to SEC Chair Harvey Pitt regarding Public Oversight Board (POB) termination
image pdf
January 22, 2002
Letter from Eugene H. Rotberg to James Leach, Chairman Emeritus, U.S. House Financial Services Committee on Enron
image pdf (Courtesy of Eugene H. Rotberg)
January 22, 2002
Letter from SEC Chairman Pitt to Charles Bowsher responding to Public Oversight Board (POB) termination decision
image pdf
January 23, 2002
Letter to SEC Chairman Harvey Pitt from U.S. Representative W.J. Tauzin with additional questions on Enron
image pdf (Courtesy of the National Archives and Records Administration)
January 25, 2002
National Football League Players Association request to SEC to establish registered financial advisors program
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 29, 2002
RBC Dain Rauscher, Inc. request to SEC for omnibus account
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
January 31, 2002
Letter from Charles Bowsher to SEC Chair Harvey Pitt regarding the Public Oversight Board (POB)
image pdf
February 1, 2002
Action Memorandum from SEC Office of Congressional and Intergovernmental Affairs concerning Enron
image pdf (Courtesy of the National Archives and Records Administration)
February 1, 2002
Draft reply to U.S. Representative W.J. Tauzin from David Becker, SEC General Counsel
image pdf (Courtesy of the National Archives and Records Administration)
February 1, 2002
Memo to David Becker from Alan Beller with Enron information
image pdf (Courtesy of the National Archives and Records Administration)
February 4, 2002
Action Memorandum from SEC Pacific Regional Office concerning Global Crossing Ltd.
image pdf (Courtesy of the National Archives and Records Administration)
February 6, 2002
Evergreen Funds no action request to the SEC on behalf of First Union Corporation
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
February 6, 2002
Report of operating loss of SEC Major Issues Conference
image pdf (SEC Historical Society files)
February 6, 2002
Seligman New Technologies II Fund no action request to SEC for incentive fee
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
February 7, 2002
Invesco Bond Funds no action request to SEC on behalf of AIM Advisors
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
February 7, 2002
Memorandum for the President on nomination of Harvey Goldschmid as SEC Commissioner
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
February 12, 2002
Request for SEC Commission Action: Intention to propose rules on corporate disclosure
image pdf (Courtesy of the National Archives and Records Administration)

201 to 300 of 623 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.