Securities and Exchange Commission Historical Society
Thanks to our donors
- DONORS AND GIFTS -
Home > Papers > 1990s | Page 3

Papers

201 to 300 of 888 records

Page:
March 26, 1992
Testimony of SEC Chairman Richard C. Breeden concerning small business finance before the Subcommittee on Securities, U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (Courtesy of Stuart Kaswell)
April 22, 1992
Letter from John S. Reed to SEC Chairman Richard Breeden on relations between Financial Accounting Standards Board and SEC
transcript pdf (JT Ball Collection, University of Mississippi)
April 27, 1992
Fact Sheet- Capital Market Regulation Reform
image pdf (Courtesy of George Bush Presidential Library and Museum)
April 28, 1992
Reply to Allan Hubbard from SEC Chairman Richard Breeden on corporate governance
image pdf (Courtesy of George Bush Presidential Library and Museum)
April 28, 1992
Report on Regulatory Reform Initiatives of the Securities and Exchange Commission
image pdf (Courtesy of George Bush Presidential Library and Museum)
May 1992
Donald P. Hateley, The Cambridge Group, Inc. and Wendy J. Seretan v. Securities and Exchange Commission: Answering Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
1992
Protecting Investors: A Half Century of Investment Company Act Regulation, SEC Division of Investment Management.

(Government Records)

May 4, 1992
Letter from Wendy L. Gramm, Commodity Futures Trading Commission to U.S. Representative Glenn English on proposed definitions of futures and forward contracts
image pdf (Anonymous)
May 5, 1992
Memorandum from J. French Hill for meeting with Richard Breeden
image pdf (Courtesy of George Bush Presidential Library and Museum)
May 18, 1992
Memo to C. Boyden Gray from Clayton Yeutter on SEC proposal on stock options
image pdf (Courtesy of George Bush Presidential Library and Museum)
May 26, 1992
Press Release on Bachmann Task Force report
image pdf (Courtesy of Stuart Kaswell)
May 26, 1992
Report of the Bachmann Task Force on Clearance and Settlement Reform in U.S. Securities Markets, submitted to the Chairman of the U.S. Securities and Exchange Commission
image pdf (Courtesy of Stuart Kaswell)
June 1992
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 4, 1992
Ivan A. Anixter v. Home-Stake Production Company: Brief for the United States as Intervenor 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)
June 8, 1992
Letter to U.S. Representative Mickey Edwards from J. Paul Cunningham, Merit Advisors, Inc. on registration fees
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
June 12, 1992
Letter from J. French Hill, White House to Dennis Beresford, Financial Accounting Standards Board with speech by Deputy Secretary of the Treasury John E. Robson on accounting for stock options
image pdf (JT Ball Collection, University of Mississippi)
June 16, 1992
Letter to J. Paul Cunningham, Merit Advisors, Inc. from U.S. Representative Mickey Edwards on securities fee legislation
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
June 19, 1992
Letter from U.S. Senators Patrick Leahy and Richard Lugar to Wendy L. Gramm, Commodity Futures Trading Commission on margin levels for stock-index futures
image pdf (Anonymous)
June 22, 1992
Letter to Secretary of the Treasury Nicholas Brady from Melvin Waxman concerning SEC Chairman Richard Breeden
image pdf (Courtesy of George Bush Presidential Library and Museum)
June 29, 1992
White House nomination of James Reum as Member, SEC
image pdf (Courtesy of George Bush Presidential Library and Museum)
July 16, 1992
Letter from Marianne Smythe, SEC Division of Investment Management to Marti Cochran, U.S. Senate Committee on Banking, Housing and Urban Affairs with review of amendments proposed by Investment Company Institute
transcript pdf (Anonymous)
July 23, 1992
Memo to James Doty from Robert Swanson to prepare for clearance review of James Reum
image pdf (Courtesy of George Bush Presidential Library and Museum)
August 12, 1992
Relevance and Credibility in Financial Accounting and Reporting - Address by Walter P. Schuetze, SEC Chief Accountant to American Accounting Association
image pdf (JT Ball Collection, University of Mississippi)
August 17, 1992
White House appointment memorandum from Cynthia Ann Dominik for James Reum
image pdf (Courtesy of George Bush Presidential Library and Museum)
August 26, 1992
Letter to U.S. Representative Mickey Edwards from Stanley Erwin in support of Securities Private Enforcement Reform Act of 1992
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
August 28, 1992
Letter from Dennis Beresford, Financial Accounting Standards Board to John Reed on relations between Business Roundtable companies and FASB
image pdf (JT Ball Collection, University of Mississippi)
August 28, 1992
Report of County of Orange Office of the Treasurer-Tax Collector
transcript pdf (With permission of California State Archives)
September 1992
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
September 1992
Report on the Investment Adviser Regulatory Enhancement and Disclosure Act of 1992
image pdf (Courtesy of Stuart Kaswell)
September 4, 1992
Legislative Referral Memorandum - Investment Adviser Regulatory Enhancement and Disclosure
image pdf (Courtesy of George Bush Presidential Library and Museum)
September 10, 1992
Letter to U.S. Representative Mickey Edwards from Rick Dugan in support of securities legislation reform
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 14, 1992
Letter to Stanley Erwin from U.S. Representative Mickey Edwards on Securities Private Enforcement Reform Act of 1992
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 16, 1992
Letter from SEC Chairman Richard Breeden to U.S. Representative John Dingell on Investment Adviser Regulatory Enhancement and Disclosure Act of 1992 (HR 5726)
transcript pdf (Anonymous)
September 18, 1992
Constituent letter from U.S. Representative Richard Armey on banking legislation
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 18, 1992
Letter to U.S. Representative Mickey Edwards from Pamela Mitchell in support of Securities Private Enforcement Reform Act of 1992
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 21, 1992
Letter to U.S. Representative Mickey Edwards from Richard Coshow, KPMG Peat Marwick in support of Securities Private Enforcement Reform Act of 1992
image pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 30, 1992
58th Annual Report of the U.S. Securities and Exchange Commission
image pdf (Government Records)
October 2, 1992
Letter to President Bush from Greg Peterson, Coopers & Lybrand on securities reform legislation
image pdf (Courtesy of George Bush Presidential Library and Museum)
October 14, 1992
Letter to Robert Citron, Orange County Treasurer from Michael Stamenson, Merrill Lynch on volatility characteristics of portfolio
transcript pdf (With permission of California State Archives)
October 15, 1992
Constituent letter from U.S. Representative Richard Armey on Investment Advisor Regulatory Enhancement and Disclosure Act of 1992
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
November 1, 1992
Constituent letter from U.S. Representative Richard Armey on deregulation and savings and loan crisis
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
November 1992
Martin E. Hecht and Inventel Corporation 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)
November 1992
Securities and Exchange Commission v. Maxwell C. Huffman, Jr. et al: Reply Brief of the Securities and Exchange Commission
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
November 24, 1992
Letter from U.S. Representative Edward J. Markey to Wendy L. Gramm, Commodity Futures Trading Commission on Chicago Board of Trade request for risk assessment information
image pdf (Anonymous)
December 1992
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
1993
NASD Annual Report
image pdf (Courtesy FINRA)
1993
NASD Notices to Members

(Courtesy of FINRA)

1993
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1993
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1993
U.S. Securities and Exchange Commission Annual Report
transcript pdf (Government Records)
January 4, 1993
Reply to U.S. Senator Bob Kerrey from Mary Beach, SEC on executive compensation disclosure
image pdf (Courtesy of National Archives)
1993-2001
A History of the Council of Economic Advisers During the Clinton Administration
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
1993-2001
A History of the United States Department of the Treasury During the Clinton Administration
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 21, 1993
Memo from David Caplan with revised draft of the National Economic Council charter
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 25, 1993
Executive Order 12835 - Establishment of the National Economic Council
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 26, 1993
Marianne Smythe to Consuela Washington on problems with investment company inspection
image pdf (Courtesy of the National Archives and Records Administration)
January 26, 1993
Richard Breeden to Congressman Edward Markey on potential investment adviser legislation
image pdf (Courtesy of the National Archives and Records Administration)
February 1, 1993
Constituent letter from U.S. Representative Richard Armey on securities litigation reform
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
February 1, 1993
Memo from Ken Hagerty to Coalition for American Equity Expansion on Senator Carl Levin's stock option bill
image pdf (JT Ball Collection, University of Mississippi)
February 17, 1993
Letter from major accounting firms to Dennis Beresford, Financial Accounting Standards Board on stock compensation project
image pdf (JT Ball Collection, University of Mississippi)
February 17, 1993
Talking Points on the Economic Plan
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
February, 24, 1993
Congressman Edward Markey to Richard Breeden on potential investment adviser legislation (Chronology of Wymer case attached)
image pdf (Courtesy of the National Archives and Records Administration)
February 24, 1993
Letter from U.S. Senator Christopher Dodd to Thomas N. Richmond, Jr., McDonald & Co. Securities, Inc. on hearing on the issue of small business access to capital
image pdf (Anonymous)
March 1993
F.B. Horner & Associates, Inc. v. Securities and Exchange Commission: Brief of the Securities and Exchange Commission
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
March 1993
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
March 4, 1993
Testimony of Marianne K. Smythe, Director, SEC Division of Investment Management concerning the Small Business Incentive Act of 1993
image pdf (Anonymous)
March 5, 1993
In the Public Interest - A Special Report by the Public Oversight Board
image pdf (Anonymous)
March 17, 1993
Consuela Washington to Elise Hoffman et al on HR 578, Investment Adviser Legislation
image pdf (Courtesy of the National Archives and Records Administration)
March 22, 1993
Division of Investment Management to Jeff Duncan on the Investment Advisers Act exception for government securities advisers
image pdf (Courtesy of the National Archives and Records Administration)
March 24, 1993
Organization of the National Economic Council
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 31, 1993
Letter to Robert Citron, Orange County Treasurer from Michael Stamenson, Merrill Lynch accompanying inventory of notes
transcript pdf (With permission of California State Archives)
April 1, 1993
Bid letter to Robert Citron, Orange County Treasurer from Michael Stamenson, Merrill Lynch
transcript pdf (With permission of California State Archives)
April 6, 1993
Request to U.S. Senator Paul Sarbanes from Murray Katz for rule change on stockholder proposals
transcript pdf (Courtesy National Archives and Records Administration)
April 13, 1993
Request to SEC Chairman Richard Breeden from Murray Katz for rule change on stockholder proposals
transcript pdf (Courtesy National Archives and Records Administration)
April 16, 1993
Letter to U.S. Senator William Cohen from SEC Chairman Richard Breeden on proposed mutual fund prospectus
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 19, 1993
Inquiry to SEC Chairman Richard Breeden from U.S. Representative John Dingell on off-the-page prospectuses for open-end management investment companies
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 20, 1993
"OTC Derivatives: Taking Risk Management to New Heights" - Remarks of SEC Commissioner J. Carter Beese, Jr.
image pdf (Anonymous)
April 21, 1993
Inquiry to SEC Chairman Richard Breeden from U.S. Representative John Dingell on alleged violations in bank sales practices regarding mutual funds
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 26, 1993
Reply to Michael Stamenson, Merrill Lynch from Robert Citron, Orange County Treasurer
transcript pdf (With permission of California State Archives)
May 5, 1993
Reply to U.S. Representative John Dingell from SEC Chairman Richard Breeden on mutual fund advertising rules
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 6, 1993
Remarks by SEC Chairman Richard C. Breeden at farewell reception
image pdf (Anonymous)
May 7, 1993
Reply to U.S. Representative John Dingell from SEC Chairman Richard Breeden on bank sales practices regarding mutual funds
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 13, 1993
Letter to U.S. Representative John Dingell from SEC Chairman Richard Breeden on SEC examination and oversight of mutual funds
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 18, 1993
Letter to U.S. Representative John Dingell from SEC Acting Chairman Mary Schapiro on bank sales practices involving mutual funds
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 24, 1993
Reply letter to Murray Katz from Mary E.T. Beach, SEC
transcript pdf (Courtesy National Archives and Records Administration)
June 1993
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 16, 1993
Letter to Robert Citron, Orange County Treasurer from Michael Stamenson, Merrill Lynch on risks in purchasing derivative securities
transcript pdf (With permission of California State Archives)
June 29, 1993
Memo from Maryanne McCormick to Tom Higginbotham, AICPA on Senator Joseph Lieberman's legislation to repeal FASB's rules on accounting for stock options
image pdf (JT Ball Collection, University of Mississippi)
June 30, 1993
Financial Accounting Standards Board Release: FASB Proposes Standards for Stock Option Accounting
image pdf (JT Ball Collection, University of Mississippi)
July 12, 1993
Constituent letter from U.S. Representative Richard Armey on SEC regulation of multilevel marketing
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 16, 1993
Response by Arthur Levitt, Jr. to questions in consideration of confirmation as SEC Chairman
image pdf (Anonymous)
July 21, 1993
A.A. Sommer, Jr., Private Litigation under the Federal Securities Laws, Summary of Testimony before the Subcommittee on Securities, United States Senate Committee on Banking, Housing and Urban Affairs
document pdf (Courtesy of Mrs. Storrow Sommer)
August 1993
Congressional Record: Senate Concurrent Resolution 34, Relative to Accounting Standards
image pdf (JT Ball Collection, University of Mississippi)
August 3, 1993
Letter from Dennis Beresford, Financial Accounting Standards Board to Senator Joseph Lieberman with accounting issues raised in proposed legislation on stock options
image pdf (JT Ball Collection, University of Mississippi)
August 5, 1993
Independent Auditor's Report from Steven Lewis to Orange County Board of Supervisors
transcript pdf (With permission of California State Archives)
August 12, 1993
Letter to Elisse Walter, SEC Division of Corporation Finance from Roland Machold, State of New Jersey on proxy process
transcript pdf (Courtesy of David B.H. Martin)
August 23, 1993
Reponse to Accountants' Report from Robert Citron to Orange County Board of Supervisors
transcript pdf (With permission of California State Archives)
August 31, 1993
Letter to SEC Chairman Arthur Levitt from Dale Hanson, CalPERS requesting review of proxy system
image pdf (Courtesy of David B.H. Martin)
September 1993
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
September 9, 1993
Testimony of SEC Chairman Arthur Levitt, Jr. concerning the state of the municipal securities market before the House Subcommittee on Telecommunications and Finance
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)

201 to 300 of 888 records

Page:

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.