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401 to 500 of 888 records

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June 14, 1994
Testimony of Brandon Becker, SEC Division of Market Regulation concerning derivative financial instruments
image pdf (Anonymous)
June 22, 1994
Testimony of Brandon Becker, SEC Division of Market Regulation regarding the Market 2000 Report and the Unlisted Trading Privileges Act of 1994 before the Subcommittee on Telecommunications and Finance, U.S. House of Representatives Committee on Energy and
image pdf (Courtesy of Stuart Kaswell)
June 23, 1994
Testimony of Eugene H. Rotberg before the U.S. House of Representatives Committee on Banking, Finance and Urban Affairs on derivatives markets
image pdf (Courtesy of Eugene H. Rotberg)
June 24, 1994
Letter from Kathryn Fulton, SEC Office of Legislative Affairs to Elisse Hoffman and Timothy Forde, Counsel, U.S. House of Representatives Subcommittee on Telecommunications and Finance with timeline of bank securities activities.
image pdf (Anonymous)
June 30, 1994
Letter from Representative David Skaggs to Dennis Beresford, Financial Accounting Standards Board on potential impact of proposed FASB regulations on accounting for stock options
image pdf (JT Ball Collection, University of Mississippi)
July 20, 1994
"SEC Concerns with Municipal Derivatives" - Remarks of SEC Commissioner Richard Y. Roberts
image pdf (Anonymous)
July 28, 1994
Letter from U.S. Representative Edward Markey to William Donaldson, New York Stock Exchange on compliance with Telephone Consumer Protection Act of 1991
transcript pdf (Anonymous)
August 23, 1994
Letter to The Washington Post in tribute to Orval DuBois, from Herbert B. Cohn, John F. Davis, Dorothy T. and Henry G. Fischer, Phyllis and Milton V. Freeman, David Ginsburg, Harry Heller and Gerald W. Siegel
document pdf (Courtesy of Karl Smeltzer)
September 1994
Personal Investment Activities of Investment Company Personnel - Report of the SEC Division of Investment Management
image pdf (Courtesy of Kathryn McGrath)
September 1994
SEC Telephone Directory

(Courtesy of Morton Koeppel)

September 12, 1994
"Preserve Mutual Fund Market Integrity" - Remarks by SEC Commissioner Richard Y. Roberts to the Bank Securities Association 1994 National Compliance Conference
image pdf (Anonymous)
September 12, 1994
Division of Investment Management to the Commission on investment adviser conflicts of interest
image pdf (Courtesy of the National Archives and Records Administration)
September 14, 1994
Hank Hoffman to Gene Gohlke on provisions of potential investment adviser legislation
image pdf (Courtesy of the National Archives and Records Administration)
September 16, 1994
Strengthening the Professionalism of the Independent Auditor
image pdf (Anonymous)
September 23, 1994
Memo from Paul Dimond on CDFI and campaign to invest in rebuilding America
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
September 23, 1994
Remarks of SEC Chairman Arthur Levitt to Investment Company Directors Conference
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 26, 1994
Annual 1993-94 Financial Statement to Orange County Board of Supervisors
image pdf (With permission of California State Archives)
September 27, 1994
Testimony of SEC Chairman Arthur Levitt, Jr. concerning regulation of the investment company industry 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)
September 30, 1994
60th Annual Report of the U.S. Securities and Exchange Commission
image pdf (Government Records)
October 1994
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
October 25, 1994
Letter from Senator Alfonse D'Amato to SEC Chairman Arthur Levitt on potentially anticompetitive trading activities in Nasdaq
image pdf (Courtesy of Carrie E. Dwyer)
October 28, 1994
Protest letter to U.S. Representative Fazio from Lynn Narlesky in support of social responsibility resolutions
transcript pdf (Courtesy National Archives and Records Administration)
November 3, 1994
Remarks by SEC Chairman Arthur Levitt at Municipal Securities Rulemaking Board annual dinner
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
November 7, 1994
Memo for President Clinton from Paul Weinstein on economic impact of Community Development Banking and Financial Institutions Act
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 10, 1994
SEC Adopting Release for 1994 Amendments to Exchange Act Rule 15c2-12: Municipal Securities Disclosure
image pdf (Courtesy of Municipal Securities Rulemaking Board)
November 10, 1994
SEC Chairman Levitt's opening statement on municipal securities proposals
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
November 16, 1994
Letter from Donald Johnson, Nasdaq Market Services to Martin Winter, Corporate Renaissance Group, Inc. with "Knowing Nasdaq" information
image pdf (Courtesy of Carrie E. Dwyer)
November 22, 1994
Nasdaq Investigation: Time Line leading up to Formal Investigation
image pdf (Courtesy of Carrie E. Dwyer)
November 1994
Engrossed Rule 15c2-12 - Municipal securities disclosure
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
November 30, 1994
Memo for Robert Rubin and Bo Cutter from Peter Yu with mid-term assessment of National Economic Council
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 30, 1994
Notes of Morgan Stanley dealer conference call with Robert Citron
transcript pdf (With permission of California State Archives)
December 1, 1994
Letter to U.S. Senator Dianne Feinstein from William Morley, SEC on treatment of shareholder proposals of company's operations in Myanmar
transcript pdf (Courtesy National Archives and Records Administration)
December 3, 1994
Report from the NASD to the Securities Industry Association Conference
image pdf (Courtesy of Joseph R. Hardiman)
December 8, 1994
Letter to SEC Chairman Arthur Levitt from David Berg regarding the American Government Bond Fund
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
December 8, 1994
Remarks by SEC Chairman Arthur Levitt to Public Securities Association
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
December 8, 1994
Reply to U.S. Senator Bob Graham from William Morley, SEC on concerns regarding social responsibility resolutions
transcript pdf (Courtesy of National Archives and Records Administration)
December 8, 1994
Reply to U.S. Senator Bob Graham from William Morley, SEC on ownership disclosure
image pdf (Courtesy of National Archives)
December 10, 1994
Letter to California Senator Bill Lockyer from California Senator Tom Hayden on Orange County
image pdf (With permission of California State Archives)
December 13, 1994
Memo to California Senator Bill Lockyer with Orange County overview
image pdf (With permission of California State Archives)
December 14, 1994
Letter from U.S. Representative Christopher Cox to U.S. Senator Barbara Boxer on Securities Litigation Reform Act
image pdf (Anonymous)
December 14, 1994
Letter to SEC Chairman Arthur Levitt from Thomas Bowman, Association for Investment Management and Research on SEC Chief Accountant search
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
December 19, 1994
Background Paper for Hearing of California Senate Special Committee on Local Government Investments: Orange County Bankruptcy
image pdf (With permission of California State Archives)
December 23, 1994
Letter from SEC Chairman Arthur Levitt to Senator Alfonse D'Amato with memo from Brandon Becker, SEC Division of Market Regulation on Nasdaq review
image pdf (Courtesy of Carrie E. Dwyer)
1994
Create a Nationwide Network of Community Development Banks
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
1995
Government Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 1995
Haitian Refugee Center et al. v. Warren Christopher, Secretary of State et al.: Petition for Writ of Certiorari
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
1995
MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1995
NASD Annual Report
image pdf (Courtesy FINRA)
1995
NASD Notices to Members

(Courtesy of FINRA)

January 1995
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
1995
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1995
Philanthropy Protection Act of 1995 (Public Law No. 104-62); Section 203(b) of IAA Amended; Sections 3(c)(10), 7 of ICA Amended
document pdf (Government Records)
1995
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 1995
The Regulatory Threat to Nasdaq: A Lexecon Report
image pdf (Courtesy of Carrie E. Dwyer)
1995
Undated draft press release announcing the creation of an Office of Securities Industry Examinations
image pdf (Courtesy of Lori A. Richards)
January 6, 1995
Testimony of Government Finance Officers Association, presented by Bonnie Ridley Kraft, on state and local government cash management practices to U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (With permission of California State Archives)
January 10, 1995
Letter to SEC Chairman Arthur Levitt from U.S. Representative Christopher Cox on Orange County bankruptcy
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
January 10, 1995
Memo to Merrill Lynch employees from Daniel Tully on firm relationship with Orange County
transcript pdf (With permission of California State Archives)
January 11, 1995
Acknowledgement letter to Thomas Bowman from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
January 12, 1995
Materials provided by the Municipal Securities Rulemaking Board for hearing on disclosure
image pdf (Anonymous)
January 12, 1995
Memo for National Economic Council Policy Staff from Peter Yu with transition materials
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 12, 1995
Testimony of SEC Chairman Arthur Levitt concerning municipal securities market
image pdf (Anonymous)
January 17, 1995
Statement of James Van Horne, Stanford University on Orange County before California Senate Special Committee on Local Government Investments
transcript pdf (With permission of California State Archives)
January 17, 1995
Statement of Robert Citron before California Senate Special Committee on Local Government Investments
image pdf (With permission of California State Archives)
January 18, 1995
Statement of U.S. Representative Ralph Hall on securities litigation reform
image pdf (Anonymous)
January 18, 1995
Statement of U.S. Senator Pete Domenici on introduction of the Private Securities Litigation Reform Act of 1995
image pdf (Anonymous)
January 19, 1995
Statement of U.S. Representative Christopher Cox on securities litigation reform
image pdf (Anonymous)
January 19, 1995
Statement of U.S. Representative Edward J. Markey on securities litigation reform
image pdf (Anonymous)
January 23, 1995
Letter to SEC Chairman Arthur Levitt from U.S. Senator Barbara Boxer on suitability standards in municipal securities
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
January 27, 1995
Memo to Quentin Kopp on Orange County bills
image pdf (With permission of California State Archives)
February 1, 1995
CS First Boston memo on state response to Orange County financial crisis
transcript pdf (With permission of California State Archives)
February 1, 1995
Letter to California Governor Pete Wilson from Matt Fong, State Treasurer with report of Task Force on Local and State Investment Practices
image pdf (With permission of California State Archives)
February 1995
SEC Budget Estimate Fiscal Year 1996
image pdf (Anonymous)
February 2, 1995
Letter to California Governor and Legislative Leaders from Kurt Sjoberg on audit of Orange County investment funds
transcript pdf (With permission of California State Archives)
February 6, 1995
Reply to U.S. Senator Barbara Boxer from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
February 7, 1995
Letter to SEC Chairman Arthur Levitt from Matthew Fink, Investment Company Institute on profile prospectuses
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
February 10, 1995
Reply to U.S. Representative Christopher Cox from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
February 13, 1995
Letter to Arie Mientkavich, Israel Securities Authority from SEC Chairman Arthur Levitt on Israel's new mutual investment law
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
February 14, 1995
Remarks by SEC Chairman Arthur Levitt to National Association of State Treasurers Legislative Conference
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
February 16, 1995
Fact Sheet: Merrill Lynch's Relationship with Orange County
transcript pdf (With permission of California State Archives)
February 16, 1995
Letter to California Senators William Craven and Lucy Killea from California Senator Tom Hayden on campaign contributions to Orange County officials
image pdf (With permission of California State Archives)
February 16, 1995
Preliminary Report on Orange County from Board of Advisors to California Senate Special Committee on Local Government Investments
image pdf (With permission of California State Archives)
February 16, 1995
Statement of Jean Costanza on Orange County before California Senate Special Committee on Local Government Investments
transcript pdf (With permission of California State Archives)
February 24, 1995
Acknowledgement letter to Matthew Fink, Investment Company Institute from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
March 1, 1995
Letter to Board of Advisors, California Senate Special Committee on Local Investments from California Senator Tom Hayden and Quentin Kopp on response to Orange County crisis
image pdf (With permission of California State Archives)
March 7, 1995
Letter from Robert K. Elliott, KPMG Peat Marwick LLP to SEC Commissioner Steven M.H. Wallman on the Advisory Committee on the Capital Formation and Regulatory Processes
image pdf (Courtesy of Margaret Bancroft)
March 9, 1995
Carrie Dwyer to Arthur Levitt on reasons for reorganization of the SEC’s examination function
image pdf (Courtesy of Lori A. Richards)
March 13, 1995
Letter from U.S. House of Representatives John Dingell and Edward Markey to SEC Chairman Arthur Levitt on the report from the Derivatives Policy Group
transcript pdf (Anonymous)
March 14, 1995
Letter to SEC Chairman Arthur Levitt from Roland Machold, State of New Jersey on municipal bond investigations
transcript pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
March 21, 1995
Letter to Nancy Arakelian from California Senator Tom Hayden on proposed legislation to reform Orange County investment practices
image pdf (With permission of California State Archives)
March 27, 1995
Letter from Lawrence E. Mitchell, Professor of Law, The George Washington University National Law Center to SEC Commissioner Steven M.H. Wallman on the Capital Formation and Regulatory Processes
image pdf (Courtesy of Margaret Bancroft)
March 28, 1995
Federal Securities Law Update - Address by Eric Summergrad to University of Texas Law School
transcript pdf (Courtesy of the family of Eric Summergrad)
March 28, 1995
Opening statement of SEC Chairman Arthur Levitt on recommendation from Division of Investment Management
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
March 29, 1995
Presentations by President Clinton and Secretary Rubin at the Southern Regional Economic Conference Session One: Review of the Regional Economy
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 30, 1995
Letter from Charles Miller, Meridian Advisors Ltd. to SEC Commissioner Steven M.H. Wallman on the Advisory Committee on the Capital Formation and Regulatory Processes
image pdf (Courtesy of Margaret Bancroft)
April 1995
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
April 9, 1995
Securities and Exchange Commission v. Sam M. Antar et al: Appendix to the Declaration of Richard E. Simpson
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
April 10, 1995
Letter from Michael A. Conway, KPMG Peat Marwick LLP to SEC Commissioner Steven M.H. Wallman on the Advisory Committee on the Capital Formation and Regulatory Processes
image pdf (Courtesy of Margaret Bancroft)
April 11, 1995
"Mutual Fund Directors as Investor Advocates" - Remarks of SEC Chairman Arthur Levitt at Second Annual Symposium for Mutual Fund Trustees and Directors
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 20, 1995
Constituent letter from U.S. Representative Richard Armey on proposed deregulation of banking industry
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)

401 to 500 of 888 records

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