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Papers

301 to 400 of 1652 records

Page:
December 2, 1981
"The SEC and the Securities Industry," Address by SEC Chairman John S.R. Shad to the Securities Industry Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 4, 1981
Letter from Senator Ted Stevens to John C. Whitehead
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 9, 1981
Release from New York Attorney General Robert Abrams against Paul Curcio (aka Dominic Bellini) for "Ponzi" scheme
image pdf (Courtesy of Orestes Mihaly)
December 11, 1981
Memo for Elizabeth Dole from Wayne Valis on Foreign Corrupt Practices Act
image pdf (Courtesy of the Ronald Reagan Library)
December 17, 1981
Request to SEC for no action for Refco Capital Corporation
image pdf (Courtesy of John Huber)
December 21, 1981
Letter to U.S. Senator Alfonse D'Amato from SEC Chairman John Shad on proposals to amend the Public Utility Holding Company Act of 1935
transcript pdf (Courtesy of George Bush Presidential Library and Museum)
December 29, 1981
Letter to John Prince Thorndike from Linda Fienberg concerning litigation with the SEC
transcript pdf (Courtesy of the Ronald Reagan Library)
December 30, 1981
Memo from Douglas Scarff to SEC Chairman Shad on MOSS operations for FY-82
image pdf (Courtesy of David Morf)
December 30, 1981
Release from New York Attorney General Robert Abrams on raid against boiler room operation of tax-sheltered oil leases
image pdf (Courtesy of Orestes Mihaly)
January 1982
"Internationalization of the Securities Markets: An Empirical Analysis" - Barbara S. Thomas, in "Foreign Issuers," The George Washington Law Review
image pdf (Courtesy of Barbara S. Thomas Judge)
Winter 1982
"The SEC and financial reporting: the sand in the oyster" - John C. Burton
image pdf (Courtesy of the American Institute of Certified Public Accountants)
1982
NASD Annual Report
image pdf (Courtesy FINRA)
1982
NASD Notices to Members

(Courtesy of FINRA)

January 1, 1982
Report by Mark Fitterman entitled "Order Exchange Rules: A Status Report"
document pdf (Courtesy of Roberta Karmel)
January 1, 1982
Report by Mark Fitterman entitled "Order Exchange Rules: A Status Report"
document pdf (Courtesy of Roberta Karmel)
1982
Securities and Exchange Commission Jurisdiction Clarification (Public Law No. 97-303); Section 202 of IAA Amended; Section 2(a)(36) of ICA Amended
document pdf (Government Records)
1982
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1982
The Legislative Strategy Group
image pdf (Courtesy of the Ronald Reagan Library)
January 24, 1982
Release from New York Attorney General Robert Abrams announcing hearings on illegal boiler room schemes
image pdf (Courtesy of Orestes Mihaly)
January 25, 1982
Memo to SEC Commissioner John R. Evans from Dianne E. O'Donnell, Special Counsel to the Director, Division of Investment Management, concerning new products
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 5, 1982
"Glass-Steagall in Transition," Address by SEC Commissioner John R. Evans to 2nd Annual Southern Securities Institute
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 5, 1982
Letter from William Hazen to John Shad Regarding Rule 19c-3
document pdf (Courtesy of Roberta Karmel)
February 5, 1982
Letter from William Hazen to John Shad Regarding Rule 19c-3
document pdf (Courtesy of Roberta Karmel)
February 9, 1982
Request to SEC for interpretive opinion for Video 1982
image pdf (Courtesy of John Huber)
February 16, 1982
Action Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D
document pdf (Courtesy of David B.H. Martin, Jr.)
February 21, 1982
Chicago Board Options Exchange press release on opening of new facility
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
February 24, 1982
Letter from Frederic W. Cook & Co. to William Toomey, SEC Division of Corporation Finance on inconsistent responses re stock appreciation rights (SARS)
image pdf (Courtesy of John Huber)
February 25, 1982
"Private Sector Resistance to Deregulation," Address by SEC Commissioner John R. Evans to Utah Securities Regulation Seminar
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 25, 1982
Letter from James Robinson (NYSE) to John Shad re 19c-3
document pdf (Courtesy of Roberta Karmel)
February 25, 1982
Letter from James Robinson (NYSE) to John Shad re 19c-3
document pdf (Courtesy of Roberta Karmel)
March 1982
Securities and Exchange Commission v. Aqua-Sonic Products Corp.: Brief of the Securities and Exchange Commission
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
March 1, 1982
Supplemental Memorandum from SEC Division of Corporation Finance to the Commission re Regulation D
document pdf (Courtesy of David B.H. Martin, Jr.)
March 15, 1982
Letter from Jean J. Rousseau, Chairman, Municipal Securities Rulemaking Board, to SEC Commissioner John R. Evans concerning MSRB's proposed changes to the Net Capital Rule
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 16, 1982
Letter from Elliott H. Lutzker, Bachner Tally & Mantell, to the SEC re Securities Act of 1933: Section 4(2), Rule 506 - Rule 146
document pdf (Courtesy of David B.H. Martin, Jr.)
March 18, 1982
Memo from Bill Morley and Mike Kargula on proposed revision of Rule 14a-8
image pdf (Courtesy of John Huber)
March 23, 1982
SEC Release: Notice of filing and immediate effectiveness of proposed rule change by Options Clearing Corporation
transcript pdf (Courtesy of Stuart J. Kaswell)
March 24, 1982
Letter from David B.H. Martin, Jr., SEC, to Elliott H. Lutzker, Bachner Tally & Mantell
document pdf (Courtesy of David B.H. Martin, Jr.)
March 25, 1982
Memorandum from SEC Chairman John S.R. Shad to all Commission employees
document pdf (Courtesy of David B.H. Martin, Jr.)
March 26, 1982
Supplementary information to SEC on Refco Capital Corporation
image pdf (Courtesy of John Huber)
March 26, 1982
The Case for Banking Deregulation - Catherine England, The Heritage Foundation
image pdf (Courtesy of George Bush Presidential Library and Museum)
March 29, 1982
Letter to C. Boyden Gray from SEC Commissioner John Evans with invitation to Vice President Bush to be keynote speaker at VII Interamerican Conference of Securities Commissioners
image pdf (Courtesy of George Bush Presidential Library and Museum)
March 30, 1982
SEC memo on revision of Rule 147
image pdf (Courtesy of John Huber)
April 1, 1982
Additional information to SEC on Film Festival '82 (formerly Video 1982)
image pdf (Courtesy of John Huber)
April 6, 1982
Testimony of John R. Evans, Commissioner, Securities and Exchange Commission, before the Subcommittee on Commerce, Consumer and Monetary Affairs of the House Committee on Government Operations
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 12, 1982
Letter from John M. Fedders, Director, SEC Division of Enforcement, to the Editor, Business Week
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 21, 1982
Request to SEC for no action letter for Bank Leumi le-Israel B.M.
image pdf (Courtesy of John Huber)
April 23, 1982
Letter from Alan Donnahoe, Media General to SEC Chairman John Shad on exemption of outstanding stock options from short-term trading provisions
image pdf (Courtesy of John Huber)
April 23, 1982
Request to SEC for interpretive opinion for Winthrop Financial Co., Inc.
image pdf (Courtesy of John Huber)
April 28, 1982
SEC Release: Order approving proposed rule change by NASD
transcript pdf (Courtesy of Stuart J. Kaswell)
May 2, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Winthrop Financial Co., Inc.
image pdf (Courtesy of John Huber)
May 3, 1982
Request to SEC for interpretive advice for Federated Financial Corporation
image pdf (Courtesy of John Huber)
May 4, 1982
Additional information to SEC on Refco Capital Corporation
image pdf (Courtesy of John Huber)
May 5, 1982
Request to SEC for interpretive opinion for Exxon Corporation
image pdf (Courtesy of John Huber)
May 6, 1982
Confirmation of transaction of Tokyu Industries on no action letter request
image pdf (Courtesy of John Huber)
May 7, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Bank Leumi le-Israel B.M.
image pdf (Courtesy of John Huber)
May 10, 1982
Reply letter from SEC Chairman John Shad to Alan Donnahoe, Media General
image pdf (Courtesy of John Huber)
May 12, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Tokyu Building, Inc.
image pdf (Courtesy of John Huber)
May 13, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Federated Financial Corporation
image pdf (Courtesy of John Huber)
May 14, 1982
Letter from Lee Spencer, SEC Division of Corporation Finance to Exxon Corporation on interpretive opinion
image pdf (Courtesy of John Huber)
May 17, 1982
Memo for Edwin Harper from Wendell Gunn on amending Foreign Corrupt Practices Act
image pdf (Courtesy of the Ronald Reagan Library)
May 18, 1982
Letter to Gordon Macklin, NASD from J. Charles Partee, Federal Reserve on changes to criteria for inclusion on list of OTC margin stocks
image pdf (Courtesy of George Bush Presidential Library and Museum)
May 25, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Film Festival '82
image pdf (Courtesy of John Huber)
May 28, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Refco Capital Corporation
image pdf (Courtesy of John Huber)
June 3, 1982
"Regulation D: More Progress in Reducing Government Regulation," Address by SEC Commissioner John R. Evans to "The New Rules for Private Placements
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 3, 1982
Letter from John Huber, SEC Division of Corporation Finance to Alan Donnahoe, Media General
image pdf (Courtesy of John Huber)
June 18, 1982
Letter from Douglas Scarff, SEC Division of Market Regulation to Gordon Macklin, NASD on independent contractors
image pdf (Courtesy of Stuart Kaswell)
June 19, 1982
Hanna Mining Company et al. v. Norcen Energy Resources Limited et al.: Memorandum of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
June 21, 1982
"Thoughts on Business Ethics in a Private Enterprise System," Address by SEC Commissioner John R. Evans to New York Chapter, Brigham Young University Management Society
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 28, 1982
Memo from Robert J. Zutz, Office of Commissioner Evans, re June 16th meeting with Morton Weiss, National Security Traders Association
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 1, 1982
New York State Attorney General Release on arrests in sale of ads in fraudulent publications
image pdf (Courtesy of Orestes Mihaly)
July 9, 1982
Note to SEC Chairman John Shad from Edwin Meese for statement on Public Utility Holding Company Act
transcript pdf (Courtesy of the Ronald Reagan Library)
July 23, 1982
Letter from William Batten to Commission Regarding Rule 19c-3
document pdf (Courtesy of Roberta Karmel)
July 23, 1982
Letter from William Batten to Commission Regarding Rule 19c-3
document pdf (Courtesy of Roberta Karmel)
July 28, 1982
Request to SEC for interpretive ruling for Buffalo Savings Bank
image pdf (Courtesy of John Huber)
July 28, 1982
Request to SEC for interpretive ruling for Gold Coast Bancshares, Inc.
image pdf (Courtesy of John Huber)
August 10, 1982
Inquiry from Hopper Kanouff Smith and Peryam to SEC on offering under Regulation D
image pdf (Courtesy of John Huber)
August 12, 1982
Release from New York Attorney General Robert Abrams announcing indictments in fraudulent metal sale
image pdf (Courtesy of Orestes Mihaly)
August 13, 1982
Follow-up letter from Frederic W. Cook & Co., Inc. to SEC on interpretive request on SARS
image pdf (Courtesy of John Huber)
August 13, 1982
Letter from SEC Commissioner John R. Evans to William P. Clark, Assistant to the President for National Security Affairs, re travel to Quito, Ecuador to plan the VIII Interamerican Conference of Securities Commissions
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 13, 1982
Request to SEC for interpretive letter for Baker International Corporation
image pdf (Courtesy of John Huber)
August 18, 1982
Letter from James Basque, Foley & Lardner to Suzanne Brannan, SEC Office of Small Business Policy on Regulation D
image pdf (Courtesy of John Huber)
August 23, 1982
Request to SEC for no action position for Sears Roebuck & Co. Dean Witter Reynolds, Inc. stock accumulation plan
image pdf (Courtesy of John Huber)
August 30, 1982
Letter from John Wynne, Chemical Bank to SEC Commissioner Bevis Longstreth on shareholder proposals
image pdf (Courtesy of John Huber)
September 2, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Baker International Corporation
image pdf (Courtesy of John Huber)
September 3, 1982
Letter from Gail Erickson, W.R. Grace & Co., to the SEC re Form D
document pdf (Courtesy of David B.H. Martin, Jr.)
September 3, 1982
Memo from Edward Greene, SEC General Counsel to SEC Chairman John S.R. Shad on issues relating to use of repurchase agreements by mutual funds
image pdf (Anonymous)
September 7, 1982
Memo from the Business Conduct Committee to the Board of Directors, Chicago Board Options Exchange on competing market maker system
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
September 10, 1982
Letter to C. Boyden Gray from Edward H. Auchincloss on proposed amendment of Section 13(f) of Securities Exchange Act of 1934
image pdf (Courtesy of George Bush Presidential Library and Museum)
September 10, 1982
Response letter from William Morley, SEC Division of Corporation Finance to Bendix Corporation
image pdf (Courtesy of John Huber)
September 10, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Hopper Kanouff Smith and Peryam
image pdf (Courtesy of John Huber)
September 20, 1982
Response letter from David B.H. Martin, SEC Division of Corporation Finance to James Basque, Foley & Lardner
image pdf (Courtesy of John Huber)
September 21, 1982
Draft memo from Stephen Larson, SEC to Alan Donnahoe, Media General on possible exemption of long-term stock options
image pdf (Courtesy of John Huber)
September 21, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Gold Coast Bancshares, Inc.
image pdf (Courtesy of John Huber)
September 23, 1982
Memo from Charles Henry to Walter Auch and Lawrence Blum, Chicago Board Options Exchange on NASD's proposal to trade stock options
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
September 24, 1982
Note to James Baker from SEC Chairman John Shad with keynote remarks at SEC Government-Business Forum
image pdf (Courtesy of the Ronald Reagan Library)
September 24, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Buffalo Savings Bank
image pdf (Courtesy of John Huber)
September 29, 1982
Letter from Paul Volcker, Federal Reserve to Senator Robert J. Dole on proposed amendment of the bankruptcy code concerning repurchase transactions ("repos")
transcript pdf (Courtesy of Stuart J. Kaswell)
September 29, 1982
Response letter from Peter Romeo, SEC Division of Corporation Finance to Frederic W. Cook & Co., Inc.
image pdf (Courtesy of John Huber)
September 29, 1982
Response of Office of Chief Counsel, SEC Division of Corporation Finance to Sears Roebuck & Co. Dean Witter Reynolds, Inc.
image pdf (Courtesy of John Huber)
September 30, 1982
48th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)

301 to 400 of 1652 records

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