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February 14, 2002: H.R. 3763 (Oxley)
image pdf
February 15, 2002: PaeTec Corp. request to SEC for registration exemption
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
February 20, 2002: Marriott Residence Inn Limited Partnership no action request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
March 2002: NASD Neutral Corner
image pdf (Courtesy FINRA)
March 2002: NASD Neutral Corner Survey
image pdf (Courtesy FINRA)
Spring 2002: NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
March 5, 2002: GAO Report: SEC Operations - Increased Workload Creates Challenges
image pdf (Courtesy of Kathryn McGrath)
March 6, 2002: SEC Pay Parity Implementation Plan and Report
image pdf (Courtesy of Kathryn McGrath)
March 7, 2002: President Bush Plan to Improve Corporate Responsibility
image pdf
March 8, 2002: S. 2004 (Dodd-Corzine)
image pdf
March 11, 2002: Action Memorandum from SEC Division of Enforcement concerning WorldCom, Inc.
image pdf (Courtesy of the National Archives and Records Administration)
March 12, 2002: Request to New York Stock Exchange to fund virtual museum on www.sechistorical.org
image pdf (SEC Historical Society Files)
March 19, 2002: Email to White House from Consuelo Hitchcock on SEC Chairman Harvey Pitt upcoming Senate testimony
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
March 19, 2002: Request for SEC Commission Action: Testimony concerning "Corporate and Auditing Accountability, Responsibility and Transparency Act"
image pdf (Courtesy of the National Archives and Records Administration)
March 20, 2002: SEC Release: Pitt Announces Special Study of SEC Operations, Resources
image pdf (Courtesy of Kathryn McGrath)
March 21, 2002: Program from Roundtable on Integration of the 1933 and 1934 Acts
document pdf
March 21, 2002: Written Testimony Concerning Accounting and Investor Protection Issues Raised by Enron and Other Public Companies - Harvey L. Pitt, SEC Chairman
image pdf (Courtesy of Kathryn McGrath)
03/29/2002: Draft 2002-2005 Action Plan for SEC Historical Society
image pdf (Courtesy of David Ruder)
April 2, 2002: Action Memorandum from SEC Division of Corporation Finance concerning proposed rules on acceleration of periodic report disclosure and Website access to periodic reports
image pdf (Courtesy of the National Archives and Records Administration)
April 4, 2002: Remarks by Arthur Levitt for the American Century Funds luncheon
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 8, 2002: Action Memorandum from SEC Division of Enforcement concerning Xerox Corporation
image pdf (Courtesy of the National Archives and Records Administration)
April 9, 2002: Action Memorandum from SEC Northeast Regional Office concerning Adelphia Communications Corporation
image pdf (Courtesy of the National Archives and Records Administration)
April 17, 2002: Testimony Concerning Appropriations for Fiscal Year 2003 - Harvey L. Pitt, SEC Chairman
image pdf (Courtesy of Kathryn McGrath)
April 22 to May 2, 2002: Agenda for SEC International Institute for Securities Market Development
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
April 22 to May 2, 2002: Information for SEC International Institute for Securities Market Development
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
April 22 to May 2, 2002: List of Participants in SEC International Institute for Securities Market Development
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
April 4, 2002: HR 3763 Conference Committee Members
image pdf (Courtesy of Stephen Kroll)
04/24/2002: Memo from Richard M. Phillips to SEC Historical Society re Society Committees for the proposed Virtual Museum
image pdf (Courtesy of David Ruder)
April 24, 2002: S. 2247 - The Truth in Auditing Act of 2002 (Richard Durbin)
image pdf
April 25, 2002: Confirmation from New York Stock Exchange of grant to fund virtual museum on www.sechistorical.org
image pdf (SEC Historical Society Files)
April 25, 2002: White House Press Release: Nominations of Roel Campos and Harvey Goldschmid as SEC Commissioners
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
April 26, 2002: Action Memorandum from SEC Division of Corporation Finance concerning disclosure in MD&A about critical accounting estimates
image pdf (Courtesy of the National Archives and Records Administration)
April 30, 2002: Open Meeting of the U.S. Securities and Exchange Commission
image pdf (Courtesy of the National Archives and Records Administration)
May 2002: Biography of Harvey L. Pitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
May 2002: Public Oversight Board Final Annual Report 2001
image pdf (Anonymous)
May 3, 2002: Action Memorandum from SEC Office of General Counsel concerning United States v. Arthur Andersen LLP
image pdf (Courtesy of the National Archives and Records Administration)
May 14, 2002: Email to Dixie Johnson from Jonathan Katz on Investment Management discussion with ABA Federal Regulation members
image pdf (Courtesy of Kathryn McGrath)
05/31/2002: May 2002 Update Report by Carla Rosati to Board of Trustees and the Advisory Council
image pdf (Courtesy of David Ruder)
June 2002: NASD Neutral Corner
image pdf (Courtesy FINRA)
Summer 2002: NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 2002: Sample statement under oath of principal executive officer and principal financial officer regarding facts and circumstances relating to Exchange Act filings
image pdf (Courtesy of the National Archives and Records Administration)
June 3, 2002: Action Memorandum from SEC Division of Corporation Finance concerning certification of disclosure in quarterly and annual reports
image pdf (Courtesy of the National Archives and Records Administration)
June 5, 2002: Henry Paulson "Restore Confidence" Speech
image pdf
June 25, 2002: S. 2673 - The Public Company Accounting Reform and Investor Protection Act of 2002 (Paul Sarbanes)
image pdf
June 26, 2002: Action Memorandum from SEC Division of Enforcement concerning WorldCom, Inc.
image pdf (Courtesy of the National Archives and Records Administration)
June 26, 2002: Minutes of the U.S. Securities and Exchange Commission
image pdf (Courtesy of the National Archives and Records Administration)
June 27, 2002: Minutes of the U.S. Securities and Exchange Commission
image pdf (Courtesy of the National Archives and Records Administration)
July 2002: Sample letter from Secretary of the Treasury, Secretary of Housing and Urban Development and Federal Housing Finance Board to Federal Home Loan Banks to voluntarily register with the Securities and Exchange Commission
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 2, 2002: Request to SEC Chairman Harvey Pitt from U.S. Representatives W.J. Tauzin and James Greenwood regarding WorldCom, Tyco, Global Crossing, Xerox and Qwest
image pdf (Courtesy of the National Archives and Records Administration)
July 3, 2002: Email to Karl Rove from Brian Bennett with letter from Robert Dunn, Business for Social Responsibility
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 5, 2002: Request to SEC Chairman Harvey Pitt from U.S. Representatives W.J. Tauzin and James Greenwood regarding Rite Aid, Adelphia, Waste Management, Kmart, Sunbeam, Enron, Peregrine and MicroStrategy
image pdf (Courtesy of the National Archives and Records Administration)
July 9, 2002: H.R. 5070 (LaFalce)
image pdf
July 11, 2002: Action Memorandum from SEC Office of Legislative Affairs concerning Congressional request for documents of Qwest and Global Crossing
image pdf (Courtesy of the National Archives and Records Administration)
July 15, 2002: Action Memorandum from SEC Office of Legislative Affairs concerning July 5th Congressional request for documents
image pdf (Courtesy of the National Archives and Records Administration)
July 17, 2002: Minutes of the U.S. Securities and Exchange Commission
image pdf (Courtesy of the National Archives and Records Administration)
July 21, 2002: Letter to Andrew Card from Kevin Costello, South Shore Chamber of Commerce in opposition to Federal Home Loan Banks registering with the SEC
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 24, 2002: Handwritten note (paragraph redacted) to President Bush from SEC Chairman Harvey Pitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 30, 2002: Sarbanes-Oxley Act of 2002 (Public Law No. 107-204); Sections 203(3), 203(f), 209(e)(3)(A) of IAA amended; Section 42(e)(3)(A) of ICA Amended
document pdf (Government Records)
07/31/2002: Memo to David Ruder on existence/location of former SEC Chairs' records
image pdf (Courtesy of David Ruder)
August 1, 2002: SEC Release – Call for PCAOB Board Members
image pdf
August 1, 2002: Statement of the Commission regarding the Public Company Accounting Oversight Board
image pdf (Courtesy of the National Archives and Records Administration)
August 2, 2002: SEC Release: Certification of Disclosure in Companies' Quarterly and Annual Reports
image pdf (Courtesy of the National Archives and Records Administration)
August 5, 2002: Action Memorandum from SEC Division of Corporation Finance for release on amendments to Section 16(a)
image pdf (Courtesy of the National Archives and Records Administration)
August 5, 2002: Draft SEC Release: Notice of Supplemental Information on Section 16(a) and Related Rules
image pdf (Courtesy of the National Archives and Records Administration)
July 12, 2002: Stock index closing values during SOX considerations
image pdf (Yahoo Finance)
August 15, 2002: Action Memorandum from SEC Division of Corporation Finance on final rules on acceleration of peroidic report disclosure and Website access to periodic reports
image pdf (Courtesy of the National Archives and Records Administration)
August 16, 2002: Action Memorandum from SEC Division of Corporation Finance concerning certification of disclosure in quarterly and annual reports
image pdf (Courtesy of the National Archives and Records Administration)
August 27, 2002: U.S. Securities and Exchange Commission Open Meeting Agenda
image pdf (Courtesy of the National Archives and Records Administration)
August 28, 2002: Response to Kevin Costello, South Shore Chamber of Commerce from Keith Hennessey
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
August 30, 2002: SEC report to Congress on implementation of Sarbanes-Oxley Act Section 302: certification of financial information
image pdf (Courtesy of National Archives)
Fall 2002: NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
09/05/2002: Draft agenda for the inaugural meeting of the SEC Historical Society Advisory Council
image pdf (Courtesy of David Ruder)
09/18/2002: Outline of Presentation by Richard H. Rowe, Chair of the Acquisitions Committee, to the Executive Committee of the Society
image pdf (Courtesy of David Ruder)
September 25, 2002: A Brief History of the SEC's Enforcement Program, 1934-1981, by Daniel Hawke.
document pdf
09/25/2002: Announcement of live audiostream of Oral Histories Roundtable on Enforcement
image pdf (Courtesy of David Ruder)
October 2002: GAO Financial Statements Restatements Study
image pdf
October 2002: NASD Neutral Corner
image pdf (Courtesy FINRA)
October 4, 2002: Talking points for Arthur Levitt for Fidelity Investments conference
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 7, 2002: Letter to SEC Chairman Harvey Pitt from U.S. Senate Committee on Governmental Affairs on Enron
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
10/24/2002: Report of the Advisory Council Meeting prepared by Carla Rosati
image pdf (Courtesy of David Ruder)
October 25, 2002: SEC Release – Selection of Founding PCAOB Board Members
image pdf
October 31, 2002: Letter to President Bush from U.S. Senators Christopher Dodd and Jon Corzine asking for resignation of SEC Chairman Harvey Pitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
November 1, 2002: Letter to President Bush from U.S. Senator Carl Levin asking for resignation of SEC Chairman Harvey Pitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
November 2, 2002: Press Gaggle by Ari Fleischer aboard Air Force One
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
November 4, 2002: "Spitzer Benefits from Comparisons to Pitt" - Excerpts from The White House Bulletin
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
11/04/2002: Summary Notes of SECHS Commissioner's Council Meeting
image pdf (Courtesy of David Ruder)
November 5, 2002: Handwritten note to President Bush from Harriet Miers on Harvey Pitt resignation
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
November 5, 2002: Resignation letter of SEC Chairman Harvey Pitt
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
November 5, 2002: Response to U.S. Senator Carl Levin from Nicholas Calio
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
November 21, 2002: Self-Nomination of Russell Lewis, The New York Times Company as SEC Chairman
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
December 2002: A Pathology of the Independence Standards Board 's Conceptual Framework Project - Alan S. Glazer and Henry R. Jaenicke
transcript pdf (Courtesy of Henry R. Jaenicke)
December 1, 2002: GAO Report - Securities and Exchange Commission: Action Needed to Improve Public Company Accounting Oversight Board Selection Process
image pdf
12/03/2002: Letter to Carla Rosati from Kenneth Bialkin regarding sectors influencing securities law and regulation
image pdf (Courtesy of David Ruder)
December 7, 2002: Letter to SEC Ethics Counsel from Nanette Everson, White House on confidential review of SEC Chairman candidate
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
December 10, 2002: President Names Donaldson to SEC
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
December 10, 2002: Talking Points on William H. Donaldson
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
December 10, 2002: White House Press Release: President Bush Announced His Intention to Nominate William Donaldson to be Commissioner of the Securities and Exchange Commission
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
12/31/2002: December 2002 Update Report by Carla Rosati to Board of Trustees, Advisory Council and Commissioners' Council
image pdf (Courtesy of David Ruder)
12/31/2002: SEC Historical Society Highlights of 2002
image pdf (Courtesy of David Ruder)
2003: NASD Annual Report
image pdf (Courtesy FINRA)

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