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Papers

1 to 41 of 41 records

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January 20, 2010
Letter from Norman Poser with his January - April 1966 diary as consultant to Central Bank of Brazil
transcript pdf (Courtesy of Norman Poser)
February 26, 2010
Report of Investigation, SEC Office of Inspector General: Failure to Timely Investigate Allegations of Financial Fraud (redacted)
image pdf (Government Records)
March 31, 2010
Report of Investigation, SEC Office of Inspector General: Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme (redacted)

(Government Records)

May 7, 2010
"Swimming in Uncharted Waters: Ethics and the Life of the Lawyer in the Current Markets" - Remarks by Harvey L. Pitt at the 42nd Annual Rocky Mountain Securities Conference
transcript pdf (Courtesy of Harvey Pitt)
May 18, 2010
Preliminary Findings Regarding the Market Events of May 6, 2010 - Report of the Staffs of the CFTC and SEC to the Joint Advisory Committee on Emerging Regulatory Issues
image pdf (Government Records)
May 20, 2010
Examining the Causes and Lessons of the May 6th Market Plunge - Statement of SEC Chairman Mary Schapiro before the Subcommittee on Securities, Insurance and Investments of the U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (Government Records)
June 1, 2010
Balancing the Costs and Benefits of Auditing and Financial Reporting Regulation Post-SOX, Part I
image pdf (Courtesy of Zoe-Vanna Palmrose)
June 17, 2010
Market Conditions for Terrorism Risk Insurance - Report of the President's Working Group on Financial Markets
image pdf (Courtesy of the William J. Clinton Library)
July 2010
An Introduction to DTCC Services and Capabilities
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
July 12, 2010
PCAOB Audit Practice Alert No. 6
image pdf
September 30, 2010
Report of Investigation, SEC Office of Inspector General: Allegations of Improper Coordination Between the SEC and Other Government Entities Concerning the SEC's Enforcement Action against Goldman Sachs & Co. (redacted)
image pdf (Government Records)
March 14, 2011
PCAOB Office of Research and Analysis report on Chinese reverse mergers
image pdf
May 16, 2011
Financial Accounting Standards Board Majority/Super Majority Voting History
image pdf (Courtesy of the Financial Accounting Foundation Library)
August 22, 2011
Report of Investigation, SEC Office of Inspector General: Allegations of Enforcement Staff Misconduct in Insider Trading Investigation (redacted)
image pdf (Government Records)
September 27, 2011
Report of Investigation, SEC Office of Inspector General: Investigation into Allegations of Improper Preferential Treatment and Special Access in Connection with the Division of Enforcement's Investigation of Citigroup, Inc. (redacted)
image pdf (Government Records)
October 5, 2011
Report of Investigation, SEC Office of Inspector General: Destruction of Records Related to Matters Under Inquiry and Incomplete Statements to the National Archives and Records Administration Regarding that Destruction by the Division of Enforcement (redacted)
image pdf (Government Records)
November 2011
Silver Screen: How Films Shape Public Perception of Financial Regulation in the 20th and 21st Centuries - Loren E. Miller
January 6, 2012
Rule petition to Elizabeth Murphy, SEC from Richard Baker, Managed Funds Association to eliminate ban on general solicitation and advertising
image pdf (Courtesy of Stuart Kaswell)
March 2012
Enhancing Board Oversight - Avoiding Judgment Traps and Biases
image pdf (Courtesy of Committee of Sponsoring Organizations of the Treadway Commission)
June 30, 2012
Appraisal Economics, Inc. executive summary of fair market value of the virtual museum and archive at www.sechistorical.org
image pdf (SEC Historical Society files)
July 25, 2012
Rep. Issa and Rep. McHenry letter to PCAOB Chairman Doty
image pdf
January 10, 2013
Document Request Letter from Committee on Oversight and Government Reform to James R. Doty
image pdf
January 10, 2013
Rep. Issa and Rep. McHenry letter to PCAOB Chairman Doty
image pdf
May 2013
Internal Control - Integrated Framework: Executive Summary
image pdf (Courtesy of Committee of Sponsoring Organizations of the Treadway Commission)
May 2013
Risk/Reward - Demystifying Sustainability Risk
image pdf (Courtesy of Committee of Sponsoring Organizations of the Treadway Commission)
June 2013
The 2013 COSO Framework & SOX Compliance: One Approach to an Effective Transition
image pdf (Courtesy of Committee of Sponsoring Organizations of the Treadway Commission)
July 20, 2013
GAO Report - Internal Controls: SEC Should Consider Requiring Companies to Disclose Whether They Obtained an Auditor Attestation
image pdf
October 12, 2013
E-Mail to Special Study Group: Memories of the Ben Sonnenberg Affair - Lawrence Newman
transcript pdf (Courtesy of Lawrence Newman)
December 30, 2013
Mutual Fund Boards on Governance: Do As I Say Not As I Do - John Okray
image pdf (2014 Writing Award)
February 2014
Improving Organizational Performance and Governance - How the COSO Frameworks Can Help
image pdf (Courtesy of Committee of Sponsoring Organizations of the Treadway Commission)
February 20, 2014
Statement - Peter J. Romeo
transcript pdf (Courtesy of Peter J. Romeo)
April 23, 2014
Dorsey & Whitney LLP Anti-Corruption 2014 Spring Conference
image pdf (Courtesy of Dorsey & Whitney LLP)
June 10, 2014
Financial Accounting Standards Board - Board Member, with Term of Service and Former Position
image pdf (Courtesy of the Financial Accounting Foundation Library)
June 27, 2014
Financial Accounting Standards Board Chairmen, with FASB Statements issued when Chairman
image pdf (Courtesy of the Financial Accounting Foundation Library)
December 13, 2014
What Are the Magic Words?: Disclaimers in Official Statements - Shauna Guner
image pdf (2015 Writing Award)
05/01/2015
The Future of the Securities and Exchange Commission in a Changing World - Summary Report
document pdf (Courtesy of David Ruder)
May, 2016 (Revised March 10, 2017)
"The New Realities of Market Structure and Liquidity: Where Have We Been? Where Are We Going?"
transcript pdf
2017
The Sarbanes-Oxley Act at 15
image pdf
September 25, 2017
American Accounting Association (AAA) report on SOX Section 404(b)
image pdf
November 8, 2018
Practising Law Institute's 50th Annual Institute on Securities Regulation - Fireside Chat
edited transcript pdf (Courtesy of Practising Law Institute)
February 8, 2019
The Advent of the Chicago Board Options Exchange: A Golden Anniversary Memoir by its Founding President, by Joe Sullivan
document pdf (Courtesy of Joe Sullivan)

1 to 41 of 41 records

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