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1990
NASD Annual Report
image pdf (Courtesy FINRA)
1990
NASD Notices to Members

(Courtesy of FINRA)

1990
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1990
Securities Acts Amendments of 1990 (Public Law No. 101-550); Sections 202, 203, 210(b), 218 of IAA Amended; Sections 2(a)(49), 2(a)(50), 9(b), 45(a), 46(b) of ICA Amended
document pdf (Government Records)
1990
Securities Enforcement Remedies and Penny Stock Reform Act of 1990 (Public Law No. 101-429); Sections 203, 209(e), 214 of IAA Amended; Sections 9, 42 of ICA Amended
document pdf (Government Records)
1990
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 4, 1990
Letter to U.S. Representative Mickey Edwards from John Pearson, Guthrie Cotton Oil Company on futures marketplace
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
January 4, 1990
White House appointment memorandum from Marilyn Wagner for Philip Lochner
image pdf (Courtesy of George Bush Presidential Library and Museum)
January 10, 1990
White House Press Release: Nomination of Philip Lochner to SEC
image pdf (Courtesy of George Bush Presidential Library and Museum)
January 17, 1990
Letter to U.S. Representative Dave McCurdy from David Been, Oklahoma Police Pension & Retirement System supporting legislation on computer trading
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
January 17, 1990
Memo for John Sununu on recess appointment of Margot Machol to Commodity Futures Trading Commission
image pdf (Courtesy of George Bush Presidential Library and Museum)
January 17, 1990
Request to SEC Chairman Richard Breeden from U.S. Senator Donald Riegle for information on accounting profession supervision
image pdf (Courtesy of National Archives and Records Administration)
January 19, 1990
Reply to Mrs. Earl French from Howard Kramer, SEC on program trading
image pdf (Courtesy of George Bush Presidential Library and Museum)
January 23, 1990
Letter to U.S. Representative Mickey Edwards from J.W. Moore on market volatility
transcript pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
February 1990
Adrian Antoniu v. Securities and Exchange Commission: Brief for the Respondent in Opposition
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 1990
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
February 8, 1990
Letter to Roger Porter from Thomas Rideout, Bank Capital Markets Association on financial services system restructuring
image pdf (Courtesy of George Bush Presidential Library and Museum)
February 15, 1990
Memo for John Sununu from Chase Untermeyer on vacancies in independent regulatory commissions
image pdf (Courtesy of George Bush Presidential Library and Museum)
February 21, 1990
Invitation to SEC Chairman Richard Breeden from U.S. Senator Donald Riegle to testify on Drexel Burnham Lambert
image pdf (Courtesy of National Archives and Records Administration)
March 1990
Kay Hollinger v. Titan Capital Corp.: Supplemental Brief of the SEC, Amicus Curiae
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
March 7, 1990
Request to Charles Bowsher, GAO from U.S. Senator Donald Riegle for Securities Investor Protection Corporation information
image pdf (Courtesy of National Archives and Records Administration)
March 9, 1990
Invitation to Sir John Quinton, Barclays Bank from U.S. Senators Donald Riegle and Jake Garn to testify on financial services trends and developments
image pdf (Courtesy of National Archives and Records Administration)
March 9, 1990
Letter to Andrew Card from Wendy Gramm, Commodity Futures Trading Commission supporting President Bush meeting with independent regulatory agencies
image pdf (Courtesy of George Bush Presidential Library and Museum)
March 14, 1990
Invitation to SEC Chairman Richard Breeden from U.S. Senator Donald Riegle to testify on legislation for financial services regulation modernization
image pdf (Courtesy of National Archives and Records Administration)
March 15, 1990
Handwritten reply to Wendy Gramm from Andrew Card on President Bush meeting with agencies
image pdf (Courtesy of George Bush Presidential Library and Museum)
March 29, 1990
Statement of Wendy Gramm, Commodity Futures Trading Commission on futures market to U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (Courtesy of George Bush Presidential Library and Museum)
March 1990
Broker-Dealer Policies and Procedures Designed to Segment the Flow and Prevent the Misuse of Material Nonpublic Information - Report of SEC Division of Market Regulation
image pdf (Courtesy of FINRA)
April 6, 1990
White House nomination of Richard Y. Roberts as Member, SEC
image pdf (Courtesy of George Bush Presidential Library and Museum)
April 19, 1990
Letter from U.S. Representatives John Dingell and Edward Markey to SEC Chairman Richard Breeden on Rule 144A
transcript pdf (Anonymous)
May 1990
Arcadia, Ohio v. Ohio Power Company: Brief for the Federal Energy Regulatory Commission as Respondent Supporting Petitioners and for the Securities and Exchange Commission as Amicus Curiae
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
May 1990
MSRB Reports
image pdf (Courtesy of The Municipal Securities Rulemaking Board)
May 2, 1990
Regulatory Jurisdiction: What Motivates the Call for Reform? - Speech by Wendy Gramm, Commodity Futures Trading Commission
transcript pdf (Courtesy of David S. Ruder)
May 4, 1990
Letter to William Diefenderfer, Office of Management and Budget from SEC Chairman Richard Breeden on possible transfer of regulation of stock index futures to SEC
image pdf (Courtesy of George Bush Presidential Library and Museum)
May 8, 1990
Statement of Dr. Wendy L. Gramm, Chairman, Commodity Futures Trading Commission, before the U.S. Senate on the proposed merger of CFTC and the U.S. Securities and Exchange Commission
image pdf (Anonymous)
May 8, 1990
Statement of the Honorable Robert R. Glauber, Under Secretary of the Treasury for Finance, before the U.S. Senate on the proposed merger of the Commodity Futures Trading Commission and the U.S. Securities and Exchange Commission
image pdf (Anonymous)
May 24, 1990
Executive Summary of Comments by Dr. Wendy Gramm, Commodity Futures Trading Commission before U.S. House Subcommittee on Telecommunications and Finance
image pdf (Courtesy of David S. Ruder)
May 24, 1990
Opening statement of SEC Chairman Richard Breeden before U.S. House Subcommittee on Telecommunications and Finance on intermarket regulation
image pdf (Courtesy of David S. Ruder)
May 24, 1990
Statement by Dr. Wendy Gramm, Commodity Futures Trading Commission before U.S. House Subcommittee on Telecommunications and Finance
image pdf (Courtesy of David S. Ruder)
May 24, 1990
The Current Debate Concerning Proxy Reform - Remarks by SEC Commissioner Philip R. Lochner, Jr. to Tenth Annual Ray Garrett, Jr. Corporate and Securities Law Institute
image pdf (Courtesy of David B.H. Martin)
May 25, 1990
Letter to John Robson, Deputy Secretary of the Treasury from SEC Chairman Richard Breeden on technical assistance to Hungary
image pdf (Courtesy of George Bush Presidential Library and Museum)
May 29, 1990
SEC News Release - Formation of Emerging Markets Advisory Committee
image pdf (Courtesy of George Bush Presidential Library and Museum)
June 1990
Evolution of the Quality Control Inquiry Committee - Robert K. Mautz and Charles J. Evers
image pdf (Anonymous)
June 1990
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 1990
What is QCIC? What is Peer Review? What is the POB? What is Self-Regulation?
image pdf (Anonymous)
June 15, 1990
SEC Request for Comments on Reform of the Regulation of Investment Companies
transcript pdf (Courtesy of FINRA)
June 21, 1990
Letter to Matthew Fink from Harry Heller on Investment Company Institute's 50th anniversary
image pdf (Courtesy of the Investment Company Institute)
June 21, 1990
Memo to President Bush from Lud Ashley on collapse of thrift industry
image pdf (Courtesy of George Bush Presidential Library and Museum)
June 22, 1990
Memorandum of Understanding - U.S. Securities and Exchange Commission and the Republic of Hungary State Securities Supervision and Budapest Stock Exchange
image pdf (Government Records)
June 27, 1990
Letter to Matthew Fink from Edwin Cohen on Investment Company Institute's 50th anniversary
image pdf (Courtesy of the Investment Company Institute)
June 29, 1990
Notice from Neuberger & Berman supporting regulation of stock market futures
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 1990
MSRB Reports
image pdf (Courtesy of The Municipal Securities Rulemaking Board)
July 1990
MSRB Reports: Continuing Disclosure Information/Electronic Submission System
image pdf (Courtesy Municipal Securities Rulemaking Board)
July 5, 1990
Letter from Benjmain F. Edwards III, A.G. Edwards & Sons, Inc. to U.S. Senator Christopher Dodd prior to Senate Subcommittee on Securities hearing
image pdf (Anonymous)
July 11, 1990
Statement of Thomas Eagleton before U.S. Senate Committee on Banking, Housing and Urban Affairs on Capital Markets Competition, Stability and Fairness Act of 1990
transcript pdf (Anonymous)
July 11, 1990
Statement of Wayne P. Luthringshausen, Options Clearing Corporation before the U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (Anonymous)
July 11, 1990
Summary of testimony of John W. Bachman, Edward D. Jones & Co. on the Capital Markets Competition, Stability and Fairness Act of 1990
image pdf (Anonymous)
July 11, 1990
Summary of testimony of Robert G. Kirby, Capital Guardian Trust Company to the U.S. Senate Subcommittee on Securities hearing
image pdf (Anonymous)
July 11, 1990
Testimony of James R. Jones, American Stock Exchange, Inc. on the Capital Markets Competition, Stability and Fairness Act of 1990
image pdf (Anonymous)
July 11, 1990
Testimony of Joseph Hardiman, NASD on the Capital Markets Competition, Stability and Fairness Act of 1990
image pdf (Anonymous)
July 16, 1990
Letter to Brent Hatch from Maralyn Blatch, SEC re Richard Roberts
image pdf (Courtesy of George Bush Presidential Library and Museum)
July 20, 1990
White House appointment memorandum from Mark Paoletta for Richard Roberts
image pdf (Courtesy of George Bush Presidential Library and Museum)
July 24, 1990
Letter to U.S. Representative Mickey Edwards from Douglass Brazell on computer trading
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 31, 1990
Letter to Matthew Fink from Henry Ansbacher Long on Investment Company Institute's 50th anniversary
image pdf (Courtesy of the Investment Company Institute)
August 1, 1990
Response to Lee Daniels, National Conference of State Legislators from John Robson on origin of savings and loan crisis
transcript pdf (Courtesy of George Bush Presidential Library and Museum)
August 28, 1990
Letter to U.S. Representative Mickey Edwards from Doyal Gregg on investor protection
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 1990
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
September 10, 1990
SEC response to U.S. Representative John Dingell on proposal from Fidelity Management & Research Company
image pdf (Anonymous)
September 10, 1990
Testimony of SEC Chairman Richard Breeden on issues involving financial institutions and accounting principles before U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (Courtesy of George Bush Presidential Library and Museum)
September 18, 1990
Letter to Michael Boskin, Council of Economic Advisers from SEC Chairman Richard Breeden on September 10th Senate testimony
image pdf (Courtesy of George Bush Presidential Library and Museum)
September 20, 1990
Improving Corporate Governance for the Nineties: The Role of Institutional Investors and Proxy Reform - Remarks by SEC Commissioner Philip R. Lochner, Jr. to the Dallas City Club
image pdf (Courtesy of David B.H. Martin)
September 30, 1990
56th Annual Report of the U.S. Securities and Exchange Commission
image pdf (Government Records)
October 5, 1990
Comments of the Investment Company Institute on the Reform of the Regulation of Investment Companies
transcript pdf (Courtesy of FINRA)
October 5, 1990
Presidential Event Proposal - Signing ceremony for Securities Law Enforcement Remedies Act and Market Reform Act
image pdf (Courtesy of George Bush Presidential Library and Museum)
October 9, 1990
Letter from U.S. Representative John Dingell to SEC Chairman Richard Breeden opposing SEC decision on Fidelity request
image pdf (Anonymous)
October 11, 1990
Letter from Arthur S. Loring, Fidelity Investments to U.S. Securities and Exchange Commission with comments on SEC concept release on regulation of investment companies
image pdf (Anonymous)
October 12, 1990
Memorandum for the President - Market Reform Act and signing statement
image pdf (Courtesy of George Bush Presidential Library and Museum)
October 12, 1990
Report of meeting of Special Committee on Financial Services Regulation
image pdf (Courtesy of George Bush Presidential Library and Museum)
October 16, 1990
Statement by President Bush on signing Market Reform Act of 1990
image pdf (Courtesy of George Bush Presidential Library and Museum)
October 18, 1990
Memorandum of Understanding - U.S. Securities and Exchange Commission and Comision Nacional De Valores de Mexico
image pdf (Government Records)
October 22, 1990
"Corporate Boards and Their Advisors" - Remarks by SEC Commissioner Philip R. Lochner, Jr. to the National Association of Corporate Directors
image pdf (Anonymous)
October 22, 1990
Memo to President Bush from Jim Cicconi requesting signature on commemorative copy of Market Reform Act of 1990 for Richard Breeden
image pdf (Courtesy of George Bush Presidential Library and Museum)
October 31, 1990
Memo to Michael Boskin from Charles Jacklin on developments related to financial markets and institutions
image pdf (Courtesy of George Bush Presidential Library and Museum)
November 21, 1990
Letter to President Bush from John Medlin on economy
image pdf (Courtesy of George Bush Presidential Library and Museum)
November 25, 1990
Request to Nicholas Brady and Roger Porter from President Bush for comments on November 15th memo from Lud Ashley
image pdf (Courtesy of George Bush Presidential Library and Museum)
November 28, 1990
Memo to President Bush from Roger Porter on Lud Ashley memo
image pdf (Courtesy of George Bush Presidential Library and Museum)
November 29, 1990
The Fourth Branch at Work: Address by SEC Commissioner Edward Fleischman to Women in Housing and Finance
transcript pdf (Courtesy of David S. Ruder)
December 1990
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
December 3, 1988
Letter from James Cheek to Roberta Karmel on Arbitration Project
document pdf (Courtesy of Roberta Karmel)
December 3, 1988
Letter from James Cheek to Roberta Karmel on Arbitration Project
document pdf (Courtesy of Roberta Karmel)
December 10, 1990
Letter to U.S. Representative John Dingell from SEC Chairman Richard Breeden on municipal securities information library
image pdf (Courtesy of Municipal Securities Rulemaking Board)
December 13, 1990
Letter to Roger Porter from Gedale Horowitz with Securities Industry Association's proposal for financial restructuring
image pdf (Courtesy of George Bush Presidential Library and Museum)
December 17, 1990
Letter to Roger Porter from Gregory Wilson, McKinsey & Company on reform of banking system
image pdf (Courtesy of George Bush Presidential Library and Museum)
December 21, 1990
Letter from Roberta Karmel to James Cheek Regarding Arbitration Project
document pdf (Courtesy of Roberta Karmel)
December 21, 1990
Letter from Roberta Karmel to James Cheek Regarding Arbitration Project
document pdf (Courtesy of Roberta Karmel)
1990
Memo to Orange County Board of Supervisors from Robert Citron with statement of investment policy
transcript pdf (With permission of California State Archives)
1991
NASD Annual Report
image pdf (Courtesy FINRA)
1991
NASD Notices to Members

(Courtesy of FINRA)

1991
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1991
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 5, 1991
Memo to Roger Porter from Michael Klausner with draft response to Securities Industry Association
image pdf (Courtesy of George Bush Presidential Library and Museum)

1 to 100 of 888 records

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