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Papers

401 to 500 of 623 records

Page:
2003
NASD Notices to Members

(Courtesy of FINRA)

2003
NASD Year in Review
image pdf (Courtesy FINRA)
2003
The Depository Trust & Clearing Corporation Annual Report

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

January 23, 2003
SEC report to Congress on rules requiring audit committee disclosure
image pdf (Courtesy of National Archives)
January 28, 2003
SEC report to Congress on rules strengthening auditor independence
image pdf (Courtesy of National Archives)
February 2003
NASD Neutral Corner
image pdf (Courtesy FINRA)
February 19, 2003
Letter to Congress from Kathleen Wannisky, General Accounting Office confirming SEC compliance
image pdf (Courtesy of National Archives)
March 10, 2003
PCAOB Release – Foreign Firm Registration
image pdf
March 18, 2003
Acting SEC Chief Accountant Jack Day letter to Charles Landes (AICPA) regarding auditing standard setting.
image pdf
April 9, 2003
SEC report to Congress on implementation of Sarbanes-Oxley Act Section 301: audit committee requirements fro SRO listings
image pdf (Courtesy of National Archives)
April 15, 2003
SEC Release – PCAOB Chair Selection
image pdf
April 25, 2003
PCAOB Request for SEC Determination
image pdf (Courtesy of Don Marlais)
April 28, 2003
SEC joint press release on enforcement settlement involving conflicts of interest between research and investment banking
image pdf
04/30/2003
April 2003 Update Report by Carla Rosati to Board of Trustees
image pdf (Courtesy of David Ruder)
05/03/2003
May 2003 Update Report by Carla Rosati to Board of Trustees
image pdf (Courtesy of David Ruder)
June 2003
NASD Neutral Corner
image pdf (Courtesy FINRA)
June 5, 2003
SEC report to Congress on implementation of Sarbanes-Oxley Act Section 404: report of management of internal controls
image pdf (Courtesy of National Archives)
June 20, 2003
Handwritten note to SEC Chairman William Donaldson from President Bush
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 22, 2003
Press Briefing by SEC Chairman William Donaldson and Deputy Attorney General Larry Thompson
transcript pdf (Courtesy of George W. Bush Presidential Library and Museum)
August 1, 2003
LBJ Tapes Show President's Admiration for Manuel Cohen and Litmus Test for Regulators, by Eugene Goldman
document pdf (prepared for the museum by Eugene Goldman)
August 7, 2003
Comment letter on real-time transaction reporting to Christopher Taylor, MSRB from H. Todd Cobey, Cobey Jacobson & Gordon
image pdf (Courtesy of Municipal Securities Rulemaking Board)
August 29, 2003
Comment letter on real-time transaction reporting to Justin Pica, MSRB from Charles Paviolitis, UBS
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 9, 2003
Comment letter on real-time transaction reporting to Harold Johnson, MSRB from John Brennan, Vanguard
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 9, 2003
Letter from Carl McCall (NYSE) to William Donaldson regarding Dick Grasso Employment Agreement
document pdf (Courtesy of Roberta Karmel)
September 9, 2003
Letter from Carl McCall (NYSE) to William Donaldson regarding Dick Grasso Employment Agreement
document pdf (Courtesy of Roberta Karmel)
September 11, 2003
Comment letter on real-time transaction reporting to Harold Johnson, MSRB from Lynnette Kelly Hotchkiss, The Bond Market Association
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 12, 2003
Comment letter on implementation plan for trade dissemination to Harold Johnson, MSRB from Lynnette Kelly Hotchkiss, The Bond Market Association
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 14, 2003
Comment letter on real-time transaction reporting to Harold Johnson, MSRB from James McKinney, William Blair & Company
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 15, 2003
Comment letter on real-time transaction reporting to Harold Johnson, MSRB from Kenneth Juster, The Asset Managers Forum
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 22, 2003
Talking points for Arthur Levitt for Mutual Fund Directors Forum
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 29, 2003
Implications of the Growth of Hedge Funds - SEC Staff Report
image pdf (Courtesy of Kathryn McGrath)
September 29, 2003
Letter to Roberta Karmel from John Reed Outlining NYSE Priorities
document pdf (Courtesy of Roberta Karmel)
September 29, 2003
Letter to Roberta Karmel from John Reed Outlining NYSE Priorities
document pdf (Courtesy of Roberta Karmel)
October 2003
NASD Neutral Corner
image pdf (Courtesy FINRA)
October 13, 2003
Comment letter on real-time transaction reporting to Harold Johnson, MSRB from John Rose and Maud Daudon, Seattle-Northwest Securities Corporation
image pdf (Courtesy of Municipal Securities Rulemaking Board)
October 16, 2003
Congressional Hearing: Reviewing Capital Market Structure - Exchanges
image pdf (U.S. Government Printing Office)
October 30, 2003
Congressional Hearing: Reviewing Capital Market Structure - Competition
image pdf (U.S. Government Printing Office)
October 31, 2003
Comment letter on real-time transaction reporting to John Baughman, MSRB from Jim Dillahunty, Fixed Income Securities
image pdf (Courtesy of Municipal Securities Rulemaking Board)
10/31/2003
October 2003 Update Report by Carla Rosati to Board of Trustees
image pdf (Courtesy of David Ruder)
November 7, 2003
SEC Release: Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc.
image pdf (Government Records)
November 24, 2003
SEC report to Congress on rules increasing transparency of nominating committee functions
image pdf (Courtesy of National Archives)
Winter 2003
"Sarbanes - Oxley, Back to the Future" by Theodore Levine and Daniel Hawke, Chief Legal Executive
document pdf (Courtesy of Theodore Levine)
December 17, 2003
Letter by Mark K. Kessler in Remembrance of the SEC on November 22, 1963
document pdf (prepared for the museum by Mark Kessler)
December 19, 2003
Report on management controls to President Bush from SEC Chairman William Donaldson
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
12/31/2003
SEC Historical Society Highlights of 2003
image pdf (Courtesy of David Ruder)
January 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
2004
The Depository Trust & Clearing Corporation Annual Report

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

February 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
February 9, 2004
SEC Competitive Developments in the Options Markets; Proposed Rule
image pdf (Government Records)
February 20, 2004
Congressional Hearing: Capital Market Structure - Role of Specialist
image pdf (U.S. Government Printing Office)
02/27/2004
February 2004 Update Report by Carla Rosati to Board of Trustees
image pdf (Courtesy of David Ruder)
March 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
03/03/2004
Brochure for 24th Annual Manual F. Cohen Lecture
image pdf (Courtesy of David Ruder)
March 5, 2004
Speech in Acceptance of ASECA's William O. Douglas Award by Theodore A. Levine
document pdf (Courtesy of Theodore Levine)
March 24, 2004
Addendum to Stanley Sporkin Oral Histories
document pdf
April 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
April 23, 2004
"What Went Wrong at the SEC?" by David Silver
transcript pdf (Courtesy of David Silver)
04/30/2004
April 2004 Update Report by Carla Rosati to Board of Trustees
image pdf (Courtesy of David Ruder)
May 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
May 14, 2004
SEC interpretive guidance regarding Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1
image pdf (Courtesy of National Archives)
May 5, 2004
Congressional Hearing: SEC Market Structure - Investors
image pdf (U.S. Government Printing Office)
June 2004
Memories from Early Days of the Securities and Exchange Commission, by Karl C. Smeltzer
document pdf (prepared for the museum by Karl Smeltzer)
June 2004
NASD Neutral Corner
image pdf (Courtesy FINRA)
June 2004
NASD Neutral Corner Insert
image pdf (Courtesy FINRA)
June 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
June 2, 2004
An SEC Chairman's Recollection, by David S. Ruder
document pdf (prepared for the museum by David S. Ruder)
June 2, 2004
Paper, by Harvey L. Pitt
document pdf (prepared for the museum by Harvey L. Pitt)
June 2, 2004
Reflections of a Chairman by Roderick M. Hills
document pdf (prepared for the museum by Roderick M. Hills)
June 2, 2004
The SEC and Investor Protection under Arthur Levitt, by Arthur Levitt
document pdf (prepared for the museum by Arthur Levitt)
June 2, 2004
Thirty Years of Change? by G. Bradford Cook
document pdf (prepared for the museum by G. Bradford Cook)
06/24/2004
Elisse Walter cover memo to Society's Advisory Council with Questionnaire
image pdf (Courtesy of David Ruder)
July 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
August 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
September 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
September 2004
SEC Telephone Directory

(Government Records)

September 13, 2004
"Boesky Day" November 14, 1986, by Daniel M. Hawke
image pdf
October 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
November 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
November 29, 2004
Request to Karl Rove from Charles Miller to serve on tax reform commission
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
December 2004
NASD Notices to Members
image pdf (Courtesy of FINRA)
December 8, 2004
SEC Concept Release Concerning Self-Regulation; Proposed Rule
image pdf (Government Records)
December 22, 2004
Report on management controls to President Bush from SEC Chairman William Donaldson
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
12/30/2004
2004 4th Quarter Report by Carla Rosati to Advisory Council and Commissioners' Council
image pdf (Courtesy of David Ruder)
12/31/2004
SEC Historical Society Highlights of 2004
image pdf (Courtesy of David Ruder)
January 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
2005
The Depository Trust & Clearing Corporation Annual Report

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

January 18, 2005
Request to Karl Rove from Ken Logsdon to represent small business owners in President State of the Union address
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
February 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
February 2005
NASD Special Notice to Members: District Elections
image pdf (Courtesy of FINRA)
February 2, 2005
Congressional Hearing: SEC Market Structure - Competition
image pdf (U.S. Government Printing Office)
March 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
03/31/2005
2005 1st Quarter Report by Carla Rosati to Advisory Council and Commissioners' Council
image pdf (Courtesy of David Ruder)
April 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
April 7, 2005
SEC Release - Internal Control Reporting (SOX Section 404) Roundtable.
image pdf
April 11, 2005
Request to President Bush from U.S. Senators Harry Reid and Patrick Leahy for nominations to fill court vacancies
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
April 18, 2005
Remembrance of September 11, 2001 by Sean Kemple
document pdf
April 22, 2005
Schedule for President Bush to visit Apple Store in Arlington, Virginia to discuss strengthening Social Security
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
May 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
May 16, 2005
PCAOB Statement regarding Auditing Standard No. 2 (AS-2) implementation
image pdf
May 16, 2005
SEC statement on Implementation of Internal Control Reporting Requirements
image pdf

401 to 500 of 623 records

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