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501 to 600 of 888 records

Page:
April 25, 1995
Memorandum prepared by Edward F. Greene and Larry W. Sonsini for members of the Advisory Committee on the Capital Formation and Regulatory Processes
image pdf (Courtesy of Margaret Bancroft)
April 25, 1995
Report to California State Legislature on Orange County bankruptcy and aftermath
image pdf (With permission of California State Archives)
May 1, 1995
Larry Haynes to Jim McConnell on establishing a hiring ceiling for OCIE
image pdf (Courtesy of Lori A. Richards)
May 1, 1995
Reply to Roland Machold, State of New Jersey from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
May 5, 1995
Letter from Joseph Hardiman, NASD to Edward C. Johnson III, FMR Corporation on article against NASD and Nasdaq in June issue of Worth magazine
image pdf (Courtesy of Carrie E. Dwyer)
May 5, 1995
Letter from Joseph Hardiman, NASD to John Koten, Worth magazine on article against NASD and Nasdaq in June issue
image pdf (Courtesy of Carrie E. Dwyer)
May 10, 1995
Protest letter to SEC Chairman Arthur Levitt and MSRB Executive Director Christopher Taylor from California Senator Tom Hayden on Governor Pete Wilson's request for exemption from Rule G-37
transcript pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
May 16, 1995
Letter from Stuart Kaswell, Securities Industry Association to Brandon Becker, SEC Division of Market Regulation on broker-dealer payments to customers
image pdf (Anonymous)
May 19, 1995
"The SEC and the Mutual Fund Industry: An Enlightened Partnership" - Remarks by SEC Chairman Arthur Levitt for Investment Company Institute
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 24, 1995
Letter to Senator John Kerry from Robert Stone, Massachusetts Association of County Commissioners in opposition to Private Securities Litigation Reform Act bill
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 24, 1995
Letter to Senator John Kerry in opposition to Private Securities Litigation Reform Act bill
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 25, 1995
Committee Amendments for Private Securities Litigation Reform
transcript pdf (Anonymous)
May 31, 1995
Letter to Benjamin Ginsberg, Wilson for President Committee from Christopher Taylor, Municipal Securities Rulemaking Board on political contributions
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
June 1995
Constituent letter from U.S. Representative Richard Armey on reform of Glass-Steagall Act
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
June 5, 1995
Reform Efforts in Municipal Finance, Litigation and Banking: Progress and Prognosis - Remarks by SEC Chairman Arthur Levitt to New York City Bar Association
transcript pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
June 13, 1995
Letter to Senator John Kerry from Boston Mayor Thomas Menino in opposition to Private Securities Litigation Reform Act bill
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 13, 1995
Remarks by SEC Chairman Arthur Levitt to Government Finance Officers Association
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
June 14, 1995
Letter from U.S. Senators Barbara Mikulski, Christopher Dodd, Patty Murray and Carol Moseley Braun to Democratic colleagues to support Private Securities Litigation Reform Act (PSLRA)
transcript pdf (Anonymous)
June 15, 1995
Memo to Leon Panetta from Laura Tyson on long range plan for economy
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 19, 1995
Memo to SEC Chairman Arthur Levitt from Brandon Becker and Paul Maco on Orange County
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
June 20, 1995
Letter to Secretary of the Treasury Robert Rubin from SEC Chairman Arthur Levitt on Orange County
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
June 20, 1995
Reply to California Senator Tom Hayden from SEC Chairman Arthur Levitt regarding Governor Pete Wilson's request for exemption from Rule G-37
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
June 20, 1995
The Regulation of Public-Utility Holding Companies - SEC Division of Investment Management
image pdf (Courtesy of Kathryn McGrath)
June 21, 1995
Letter to Senator John Kerry from Scott Harshbarger, Massachusetts Attorney General in opposition to Private Securities Litigation Reform Act bill
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 22, 1995
Reply to Douglas Allchin from William Morley, SEC on shareholder resolutions
transcript pdf (Courtesy of National Archives and Records Administration)
July 1995
Memo to Erskine Bowles from Laura Tyson and Gene Sperling on National Economic Council
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
July 1995
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
July 17, 1995
Memo for Laura Tyson from Erskine Bowles with comments on National Economic Council long-range plans
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
August 4, 1995
Request to Paul Maco, SEC Office of Municipal Securities from U.S. Representative Richard Baker for additional information on municipal financing reform
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
August 16, 1995
Remarks by SEC Chairman Arthur Levitt to Municipal Treasurers' Association of the United States and Canada
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
August 21, 1995
Letter to SEC Chairman Arthur Levitt from Connecticut State Treasurer Christopher Burnham in support of municipal financing reform
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
August 22, 1995
Letter to SEC Chairman Arthur Levitt from Boise Treasurer Kent Rock in support of municipal financing reform
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
August 25, 1995
Reply to U.S. Representative Richard Baker from Paul Maco
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
September 8, 1995
Lori Richardson et al. to Regional Directors, District Administrators, and others on changes in the Commission’s exam program
document pdf (Courtesy of Lori A. Richards)
September 19, 1995
Executive Summary of the Report of the NASD Select Committee on Structure and Governance (Rudman Committee) to the NASD Board of Governors
image pdf (Courtesy of Carrie E. Dwyer)
September 21, 1995
Acknowledgement to Christopher Burnham from SEC Chairman Arthur Levitt
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
September 26, 1995
NASD Special Notice to Members: SEC Approves Rules For Reporting Customer Complaint Information
image pdf (Courtesy of FINRA)
September 30, 1995
61st Annual Report of the U.S. Securities and Exchange Commission
image pdf (Government Records)
October 1995
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
October 2, 1995
Letter from U.S. Representative Anna Eshoo to Speaker of the House Newt Gingrich on securities litigation reform
image pdf (Anonymous)
October 16, 1995
Letter from SEC Chairman Arthur Levitt to John L. Steffans, Securities Industry Association
image pdf (Courtesy of Stuart J. Kaswell)
October 18, 1995
SEC Order in the Matter of T. Rowe Price Spectrum Fund, Inc. et al
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 25, 1995
GAO Report on CFTC/SEC Enforcement Programs: Status and Potential Impact of a Merger
image pdf (Anonymous)
November 1, 1995
Letter from U.S. Representative John Dingell to U.S. Representative Peter Deutsch on bipartisan compromise agreement on securities litigation reform
image pdf (Anonymous)
November 1995
NASD Neutral Corner
image pdf (Courtesy FINRA)
November 11, 1995
Report from Joseph R. Hardiman, NASD to the Securities Industry Association Conference
image pdf (Courtesy of Joseph R. Hardiman)
November 28, 1995
Memorandum of understanding between the Securities and Exchange Commission, American Stock Exchange, Chicago Board Options Exchange, National Association of Securities Dealers, New York Stock Exchange and the North American Securities Administrators Assoc
image pdf (Anonymous)
November 30, 1995
Letter from Kenneth Johnson, Committee on Corporate Reporting to Dennis Dammerman, Financial Accounting Foundatoin with recommendations for improving standards setting process
image pdf (JT Ball Collection, University of Mississippi)
December 1, 1995
Remarks by SEC Chairman Arthur Levitt to Financial Accounting Foundation trustees
image pdf (JT Ball Collection, University of Mississippi)
December 19, 1995
Constituent letter from U.S. Representative Richard Armey on Financial Services Competitiveness and Regulatory Relief Act
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
1996
Government Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1996
MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1996
NASD Annual Report
image pdf (Courtesy FINRA)
January 1996
NASD Neutral Corner
image pdf (Courtesy FINRA)
1996
NASD Notices to Members

(Courtesy of FINRA)

January 1996
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
1996
National Securities Clearing Corporation Annual Report

(Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

1996
National Securities Markets Improvement Act of 1996 (Public Law No. 104-290); Sections 202, 203, 205, 22, 203A of IAA Amended; Sections 2(a)(46), 2(a)(48), 2(a)(51(A), 2(c), 3(a), 3(c), 6, 12(d)(1), 24, 26, 27, 30, 31, 35(d), 55(a), 61, 64(b) of ICA Amende
document pdf (Government Records)
1996
Remarks by SEC Chairman Arthur Levitt to NASD Board
image pdf (Courtesy of Carrie E. Dwyer)
1996
SEC Administrative Proceeding in the Matter of NASD (page 8 is missing)
image pdf (Courtesy of Carrie E. Dwyer)
1996
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 5, 1996
Letter from President Clinton to SEC Chairman Arthur Levitt requesting report on impact of securities litigation reform act
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 31, 1996
Letter to SEC Chairman Arthur Levitt from Professor Philippe Jorian on Orange County
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
February 8, 1996
Letter from Mayer U. Newfield to Milton V. Freeman on Rule 10b-5
document pdf (Courtesy of Paul Gonson)
February 26, 1996
Remarks by SEC Chairman Arthur Levitt to California Society of Municipal Finance Officers
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
March 5, 1996
SEC Report of the Task Force on Disclosure Simplification
document pdf (Courtesy of Richard Rowe)
March 8, 1996
Remarks by A.A. Sommer, Jr. at ASECA Annual Meeting
document pdf (Courtesy of Mrs. Storrow Sommer)
March 12, 1996
Remarks by SEC Chairman Arthur Levitt in joint meeting with Secretary of the Treasury Robert Rubin on management of public funds
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
April 1996
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
April 15, 1996
Remarks by SEC Chairman Arthur Levitt to International Municipal Lawyers Association
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
April 17, 1996
Remarks by SEC Chairman Arthur Levitt to New York Municipal Forum
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
April 22, 1996
Letter from SEC Chairman Arthur Levitt to J. Michael Cook, Financial Accounting Foundation urging majority of public service representation on FAF Board
image pdf (JT Ball Collection, University of Mississippi)
April 24, 1996
Letter to SEC Chairman Arthur Levitt from Norman Rice, Mayor of Seattle and President, U.S. Conference of Mayors on review of implementation of municipal market reforms
image pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
April 30, 1996
FEI News Release: Financial Executives Institute Supports Strong, Independent Standards-Setting Process
image pdf (JT Ball Collection, University of Mississippi)
May 8, 1996
Public Trust and Public Obligations in the Municipal Bond Market - Remarks by SEC Chairman Arthur Levitt to National Federation of Municipal Analysts
transcript pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
May 13, 1996
Letter from Michael Caccese, Association for Investment Management and Research to SEC Chairman Arthur Levitt supporting independence of financial accounting standard-setting
image pdf (JT Ball Collection, University of Mississippi)
May 15, 1996
Letter from Representative John Dingell to SEC Chairman Arthur Levitt with concerns about Financial Accounting Standards Board and Financial Accounting Foundation
image pdf (JT Ball Collection, University of Mississippi)
May 20, 1996
Letter from J. Michael Cook, Financial Accounting Foundation to P. Norman Roy, Financial Executives Institute on work between FAF and Financial Accounting Standards Board
image pdf (JT Ball Collection, University of Mississippi)
May 20, 1996
Letter from J. Michael Cook, Financial Accounting Foundation to SEC Chairman Arthur Levitt on work between FAF and Financial Accounting Standards Board
image pdf (JT Ball Collection, University of Mississippi)
May 20, 1996
Letter from Representative Christopher Cox to SEC Chairman Arthur Levitt on proposed reorganization of Financial Accounting Foundation
image pdf (JT Ball Collection, University of Mississippi)
May 21, 1996
Letter from SEC Chairman Arthur Levitt to J. Michael Cook, Financial Accounting Foundation on FAF composition
image pdf (JT Ball Collection, University of Mississippi)
May 22, 1996
Remarks by SEC Chairman Arthur Levitt for Investment Company Institute
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
June 1996
Clinton Hugh Holland, Jr. v. Securities and Exchange Commission: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
June 5, 1996
Testimony of SEC Chairman Arthur Levitt concerning S.1815, "Securities Investment Promotion Act of 1996," before the Committee on Banking, Housing and Urban Affairs, U.S. Senate
image pdf (Courtesy of Stuart J. Kaswell)
June 6, 1996
Letter from Senator Phil Gramm to J. Michael Cook, Financial Accounting Foundation on proposals to politicize FAF
image pdf (JT Ball Collection, University of Mississippi)
June 6, 1996
The Guardians of Financial Truth: Remarks by SEC Chairman Arthur Levitt to SEC and Financial Reporting Institute
image pdf (JT Ball Collection, University of Mississippi)
June 7, 1996
Reply to Norman Rice, Mayor of Seattle from SEC Chairman Arthur Levitt
transcript pdf (With permission of Arthur Levitt Papers, Columbia University in the City of New York)
July 1996
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
July 8, 1996
Financial Accounting Foundation Release: FAF and SEC Reach Agreement on Changes in Composition of Accounting Foundation; Appointing Three New Trustees to Serve
image pdf (JT Ball Collection, University of Mississippi)
July 17, 1996
United States of America v. Alex. Brown & Sons, Inc. et al: Stipulation and Order
image pdf (Courtesy of Carrie E. Dwyer)
July 31, 1996
Letter from A.B. "Buzzy" Krongard, Alex Brown to SEC Chairman Arthur Levitt on technology issues
transcript pdf (Anonymous)
August 1996
NASD Neutral Corner
image pdf (Courtesy FINRA)
August 6, 1996
Legislative referral memorandum on proposed Securities Amendments of 1996
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
August 8, 1996
SEC Release: SEC Announces Settlement with NASD and Issues Report of Investigation
image pdf (Courtesy of Carrie E. Dwyer)
August 8, 1996
SEC Report regarding the NASD and the Nasdaq Market

(Courtesy of Carrie E. Dwyer)

August 8, 1996
Statement by NASD on SEC settlement
image pdf (Courtesy of Carrie E. Dwyer)
August 8, 1996
Statement by SEC Chairman Arthur Levitt at press conference regarding NASD
image pdf (Courtesy of Carrie E. Dwyer)
August 12, 1996
Memo for Gene Sperling from Eric Toder on tax initiatives for urban revitalization
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
August 13, 1996
Memo to Elaine Kamarck from Philip Lader on new internet venture capital financing for fast-growth businesses
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
August 29, 1996
Memo to Nell Hennesy from Robert Plaze, SEC on church plan provisions
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)

501 to 600 of 888 records

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