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901 to 1000 of 1652 records

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May-June 1986
SEC Employee News
image pdf (Courtesy of John Huber)
May 5, 1986
Tax Analysts Special Report: Separating Public- and Private-Purpose Tax-Exempt Bonds, by Dennis Zimmerman
image pdf (Courtesy of National Archives and Records Administration)
May 20, 1986
Release from New York Attorney General Robert Abrams announcing criminal prosecutions in tax shelter fraud
image pdf (Courtesy of Orestes Mihaly)
May 23, 1986
Understanding - U.S. Securities and Exchange Commission and the Securities Bureau of the Japanese Ministry of Finance
image pdf (Government Records)
May 30, 1986
Release from New York Attorney General Robert Abrams on injunction on oil and gas lease boiler room
image pdf (Courtesy of Orestes Mihaly)
June 3, 1986
SEC Roundtable: Financial Reporting and the Role of the Independent Auditor
image pdf (Courtesy of Stuart Kaswell)
June 5, 1986
Letter to U.S. Representative Mickey Edwards from Ralph Brockman supporting tax reform
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
June 17, 1986
Form 19b-4 - Proposed Rule Change by New York Stock Exchange, Inc.
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
June 19, 1986
Appendix to Statement of SEC Chairman John Shad concerning the regulation of financial services
image pdf (Courtesy of David S. Ruder)
June 23, 1986
Statement of SEC Chairman John S.R. Shad concerning financial reporting and the role of the independent auditor before the Subcommittee on Oversight and Investigations of the House Committee on Energy and Commerce
image pdf (Courtesy of Stuart Kaswell)
July 1, 1986
Letter to U.S. Representative Mickey Edwards from Kathleen Berlman supporting tax reform
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 8, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad requesting information on Shearson Lehman Brothers
image pdf (Courtesy of Stuart Kaswell)
July 9, 1986
Letter from Gary Lynch, SEC Division of Enforcement to U.S. Representative John Dingell on SEC v. First Jersey Securities and Robert E. Brennan
image pdf (Courtesy of Stuart Kaswell)
July 16, 1986
New York Stock Exchange Press Release - Stockownership Grew Faster than General Population
image pdf (Courtesy of Stuart Kaswell)
July 17, 1986
Joint statement by U.S. Representative Dan Rostenkowski, U.S. Senator Bob Packwood and Treasury Secretary James Baker on effective date of proposed requirement that certain arbitrage profits on tax-exempt bonds be rebated to the Federal Government
transcript pdf (Courtesy of an anonymous donor)
July 22, 1986
Letter from Sarah Ackerson, SEC Division of Market Regulation to David Queen, Department of the Treasury on SRO compliance with the Currency and Foreign Transactions Reporting Act
image pdf (Anonymous)
July 23, 1986
Statement of SEC Chairman John Shad concerning the regulation of financial services
image pdf (Courtesy of David S. Ruder)
July 31, 1986
Securities and Exchange Commission Concept Release on Takeovers and Contests for Corporate Control
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
August 1986
Gabe Hammon et al. v. Securities and Exchange Commission: Answering Brief of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
August 4, 1986
Letter to SEC Chairman John Shad from U.S. Representative Doug Barnard with questions on Glass-Steagall issues
transcript pdf (Courtesy of David S. Ruder)
August 8, 1986
Letter from Richard Ketchum, SEC Division of Market Regulation to Eric Roiter, Debevoise & Plimpton on Security Pacific National Bank
image pdf (Courtesy of Stuart Kaswell)
August 11, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad concerning no-action letter to Security Pacific National Bank
image pdf (Courtesy of an anonymous donor)
August 11, 1986
Letter from U.S. Representative Larry Craig to SEC Chairman John S.R. Shad seeking clarification on Security Pacific National Bank
image pdf (Courtesy of an anonymous donor)
August 26, 1986
Statement by Orestes Mihaly, on behalf of Attorney General Robert Abrams, before the New York State Senate Committee on Banking
image pdf (Courtesy of Orestes Mihaly)
August 28, 1986
Letter from SEC Commissioner Charles Cox to U.S. Representative John Dingell, with SEC Division of Market Regulation report concerning complaint by Joan Hunt Smith
image pdf (Courtesy of an anonymous donor)
September 5, 1986
Letter from John J. Phelan, Jr., New York Stock Exchange, to A.A. Sommer, Jr.
document tml (Courtesy of Mrs. Storrow Sommer)
September 15, 1986
Letter from U.S. Representative John Dingell to Federal Reserve Chairman Paul Volcker concerning Security Pacific National Bank
image pdf (Courtesy of an anonymous donor)
September 15, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad concerning Security Pacific National Bank
image pdf (Courtesy of an anonymous donor)
September 16, 1986
Letter to Brandon Becker, SEC Division of Market Regulation from James Buck, New York Stock Exchange with Form 19b-4 - Proposed Rule Change
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
September 17, 1986
Agreement between Ivan Boesky and U.S. Securities and Exchange Commission
image pdf (Courtesy of the National Archives and Records Administration)
September 23, 1986
Memorandum of Understanding - U.S. Securities and Exchange Commission and the Department of Trade and Industry of the United Kingdom
image pdf (Government Records)
September 30, 1986
52nd Annual Report of the U.S. Securities and Exchange Commission
image pdf (Government Records)
October 1, 1986
Letter to David Bates from T. Boone Pickens, Jr. urging SEC hearing on shareholder rights
image pdf (Courtesy of National Archives)
October 2, 1986
Letter to John Poindexter from T. Boone Pickens urging the SEC to hold public hearings on one-share, one-vote
image pdf (Courtesy of the Ronald Reagan Library)
October 2, 1986
Letter to U.S. Representative Mickey Edwards from R.H. Clements, Clements Food Co. on tax reform
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
October 10, 1986
Statement of John G. Heimann, Merrill Lynch Capital Markets before the Board of Governors of the Federal Reserve
image pdf (Courtesy of National Archives and Records Administration)
October 14, 1986
Letter to SEC Chairman John Shad from U.S. Representative Newt Gingrich on shareholder rights
image pdf (Courtesy of National Archives)
October 14, 1986
Letter to SEC Chairman John Shad from U.S. Representative Trent Lott urging public hearings on shareholder rights
image pdf (Courtesy of National Archives)
October 16, 1986
Letter to SEC Chairman John Shad from U.S. Representative Jerry Yost urging public hearings on shareholder rights
image pdf (Courtesy of National Archives)
October 21, 1986
Letter from SEC Chairman John S.R. Shad to U.S. Representative John Dingell on Security Pacific Bank's no-action request
transcript pdf (Courtesy of Stuart J. Kaswell)
October 22, 1986
Letter to John Poindexter from T. Boone Pickens reporting that the SEC will hold public hearings on one-share, one-vote
image pdf (Courtesy of the Ronald Reagan Library)
October 23, 1986
The Effects of Poison Pills on the Wealth of Target Shareholders: A Study of the SEC Office of the Chief Economist
image pdf (Courtesy of David S. Ruder)
October 27, 1986
Letter from Federal Reserve Chairman Paul Volcker to U.S. Representative John Dingell, with staff memo concerning Security Pacific National Bank
image pdf (Courtesy of an anonymous donor)
October 27, 1986
Reply letter to U.S. Representative Newt Gingrich from Cecile Srodes, SEC Office of Legislative Affairs
image pdf (Courtesy of National Archives)
October 31, 1986
Letter from Joan Hunt Smith to U.S. Representative John Dingell with comments on SEC report
image pdf (Courtesy of an anonymous donor)
November 3, 1986
Memo for President Reagan on S.2000 - Exemption from application from Public Utility Holding Company Act
image pdf (Courtesy of the Ronald Reagan Library)
November 5, 1986
Memo to Peter Wallison from Peter Keisler in support of S.2000 - Exemption from application from Public Utility Holding Company Act
image pdf (Courtesy of the Ronald Reagan Library)
November 5, 1986
Memo to SEC Chairman Shad from Daniel Goelzer with responses to U.S. Representative Doug Barnard on Glass-Steagall issues
transcript pdf (Courtesy of David S. Ruder)
November 5, 1986
Release from New York Attorney General Robert Abrams on charges against First Meridian Planning Corporation
image pdf (Courtesy of Orestes Mihaly)
November 14, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad concerning Joan Hunt Smith
image pdf (Courtesy of an anonymous donor)
November 18, 1986
Public Perceptions of Management Advisory Services Performed by CPA Firms for Audit Clients
image pdf (Anonymous)
November 22, 1986
Letter to U.S. Representative Mickey Edwards from Bruce Bates opposing new tax law
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
November 25, 1986
Letter to SEC Commissioners from Richard Madden, Potlatch Corporation in support of New York Stock Exchange listing amendments
transcript pdf (Courtesy of George Bush Presidential Library and Museum)
November 25, 1986
Request to SEC Chairman John Shad from U.S. Representative Morris Udall on use of political contributions to influence Guam bond issue
image pdf (Courtesy of National Archives and Records Administration)
November 26, 1986
Letter from U.S. Representative John D. Dingell to Federal Reserve Chairman Paul A. Volcker on Security Pacific National Bank
image pdf (Anonymous)
November 26, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad concerning Security Pacific National Bank
image pdf (Courtesy of an anonymous donor)
December 1, 1986
Letter from Patrick F. Healy, Chicago Crime Commission to U.S. Representative John Dingell commending his assistance to Joan Hunt Smith
image pdf (Anonymous)
December 2, 1986
Supplement to Pool Memo to Justice Lewis Powell from Ronald J. Mann, No. 86-422, Carpenter v. United States
image pdf (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 5, 1986
In the Matter of Self-Regulatory Organizations; Proposed Rule Change by New York Stock Exchange - Comments of the U.S. Department of Justice
image pdf (Courtesy of George Bush Presidential Library and Museum)
December 5, 1986
Preliminary Memo on December 5, 1986 Conference List 1, Sheet 2, No. 86-422, Carpenter et al v. United States, with Justice Powell's handwritten notes
image pdf (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 5, 1986
U.S. Supreme Court Vote on Dissent from Denial of Certiorari, Carpenter v. United States
image pdf (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 5, 1986
Warren Buffett no action request to SEC
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
December 9, 1986
Cover Memo and Draft on Carpenter v. United States, prepared by Ronald J. Mann for Justice Lewis Powell, with Justice Powell's handwritten notes
image pdf (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 10, 1986
First Draft - Carpenter v. United States, on Petiton for Writ of Certiorari; Justice Lewis Powell, dissenting from denial of certiorari, with Justice Powell's handwritten notes
image pdf (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 10, 1986
Second Draft - Carpenter v. United States, on Petition for Writ of Certiorari; Justice Powell dissenting from denial of certiorari
image pdf (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 11, 1986
Letter from Chief Justice William Rehnquist requesting Justice Lewis Powell join in dissent from denial of certiorari in Carpenter et al. v. United States
image pdf (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 11, 1986
Letter from Justice Sandra Day O'Connor requesting Justice Lewis Powell join in dissent from denial of certiorari in Carpenter, Felis & Winans v. United States
document pdf (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 11, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad on guaranteed investment contracts (GICs)
image pdf (Courtesy of an anonymous donor)
December 11, 1986
Testimony of Gary Lynch and of Richard Ketchum in Hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, U.S. House of Representatives, 99th Congress, 2nd Session
image pdf (Courtesy of the Library of Congress)
December 12, 1986
U.S. Supreme Court Vote on Dissent from Denial of Certiorari, Carpenter v. United States
image pdf (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 13, 1986
Memo to David Bates from Lehmann Li on shareholder equity
image pdf (Courtesy of George Bush Presidential Library and Museum)
December 15, 1986
Reply to T. Boone Pickens, Jr. from David Bates
image pdf (Courtesy of George Bush Presidential Library and Museum)
December 16, 1986
SEC Public Hearing on New York Stock Exchange's Proposal Amending "One Share, One Vote" Rule - Day One

(Courtesy of FINRA)

December 17, 1986
Excepts from statement of A.A. Sommer, Jr. before SEC regarding issuance of dual class common stock
image pdf (Courtesy of George Bush Presidential Library and Museum)
December 17, 1986
Excepts from statement of Raymond Mueller before SEC regarding issuance of dual class common stock
image pdf (Courtesy of George Bush Presidential Library and Museum)
December 17, 1986
Excepts from statement of Richard Troy before SEC regarding issuance of dual class common stock
image pdf (Courtesy of George Bush Presidential Library and Museum)
December 17, 1986
SEC Public Hearing on New York Stock Exchange's Proposal Amending "One Share, One Vote" Rule - Day Two

(Courtesy of FINRA)

December 24, 1986
Letter from Leo McKernan, New York Stock Exchange to Robert Love, SEC Division of Market Regulation concerning review of complaint of Joan Hunt Smith against Shearson Lehman Brothers, Inc.
image pdf (Courtesy of an anonymous donor)
1987
How the Proposed Competitive Equality Banking Act of 1987 Differs from S.2851 of 1984: Title II Securities Activities
transcript pdf (Courtesy of National Archives and Records Administration)
January 1987
Memo for Howard Baker from Joseph R. Wright, Jr. on Dingell-Markey Tender Offer Reform Act of 1987
image pdf (Courtesy of the Ronald Reagan Presidential Library)
1987
NASD Annual Report
image pdf (Courtesy FINRA)
1987
NASD Notices to Members

(Courtesy of FINRA)

1987
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1987
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 8, 1987
Letter from John Phelan Transmitting Draft NYSE Resolution Authorizing Study of Self-Regulation
document pdf (Courtesy of Roberta Karmel)
January 8, 1987
Letter from John Phelan Transmitting Draft NYSE Resolution Authorizing Study of Self-Regulation
document pdf (Courtesy of Roberta Karmel)
January 8, 1987
Letter to SEC Commissioners from Richard Madden, Potlatch Corporation in response to arguments against New York Stock Exchange listing amendments
transcript pdf (Courtesy of George Bush Presidential Library and Museum)
January 14, 1987
Memorandum from Wendy Gramm on one share, one vote
image pdf (Courtesy of George Bush Presidential Library and Museum)
January 16, 1987
Letter from Roberta Karmel to John Phelan With Draft Charter for Study of Self Regulation
document pdf (Courtesy of Roberta Karmel)
January 16, 1987
Letter from Roberta Karmel to John Phelan With Draft Charter for Study of Self Regulation
document pdf (Courtesy of Roberta Karmel)
January 16, 1987
Memo from Bob Dugger: Why We Oppose Nonbank Banks
image pdf (Courtesy of National Archives and Records Administration)
January 22, 1987
Memo to Senate Banking Committee from Patrick Mulloy and Steven Harris on first hearing on corporate takeovers
transcript pdf (Courtesy of National Archives and Records Administration)
January 27, 1987
Excerpt from the testimony of Alan Greenspan before the U.S. Senate Committee on Banking, Housing and Urban Affairs on takeovers
transcript pdf (Courtesy of Stuart J. Kaswell)
January 30, 1987
Letter to Federal Reserve Chairman Paul Volcker from U.S. Senator William Proxmire opposing bank applications to underwrite securities
image pdf (Courtesy of National Archives and Records Administration)
January 1987
Final Report of the SEC Government-Business Forum on Small Business Capital Formation
image pdf (Courtesy of David S. Ruder)
January 1987
Recent Civil and Criminal Prosecutions of Insider Trading Violations - Gary Lynch and Michael Missal, SEC Division of Enforcement
image pdf (Courtesy of David S. Ruder)
February 4, 1987
Draft #8 Charter of "A Study of Self-Regulation in the Years Ahead"
document pdf (Courtesy of Roberta Karmel)
February 4, 1987
Draft #8 Charter of "A Study of Self-Regulation in the Years Ahead"
document pdf (Courtesy of Roberta Karmel)
February 5, 1987
Letter from Richard Ketchum, SEC Division of Market Regulation to U.S. Representative John Dingell concerning Joan Hunt Smith
image pdf (Courtesy of an anonymous donor)
February 5, 1987
Letter to Willard Butcher, The Chase Manhattan Bank from U.S. Senator William Proxmire on pending bank legislation
image pdf (Courtesy of National Archives and Records Administration)

901 to 1000 of 1652 records

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