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801 to 888 of 888 records

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December 1998
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
December 7, 1998
Memo by Doug Elmendorf: What market failure would be addressed by further government regulation of risk-taking of financial institutions?
image pdf (Courtesy of the William J. Clinton Presidential Library)
December 8, 1998
A Partnership for the Public Trust - Remarks by SEC Chairman Arthur Levitt before the American Institute of Certified Public Accountants
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
December 8, 1998
SEC Release: Regulation of Exchanges and Alternative Trading Systems
image pdf (Government Records)
December 16, 1998
Letter from Stuart Kaswell, Securities Industry Association and Paul Saltzman, The Bond Market Association to SEC on books and records requirements
image pdf (Anonymous)
1999
A Short History of The Depository Trust Company
image pdf (Courtesy of William F. Jaenike)
1999
Emerging Markets Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1999
Government Securities Clearing Corporation Annual Report

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

1999
MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1999
NASD Annual Report
image PDF (Courtesy FINRA)
1999
NASD Notices to Members

(Courtesy of FINRA)

Winter 1999
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
1999
The Depository Trust & Clearing Corporation Annual Report

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

1999
U.S. Securities and Exchange Commission Annual Report
transcript pdf (Government Records)
02/18/1999
Letter from David Ruder soliciting interest in SEC Historical Society
image pdf (Courtesy of David Ruder)
02/25/1999
Paul Gonson notes from organizational meeting to establish the SEC Historical Society
image pdf (Courtesy of David Ruder)
February 25, 1999
Recommendations to SEC Chairman Arthur Levitt from Jean Gleason Stromberg on independent directors of investment companies
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
February 26, 1999
Reply to Diane Klinke, MSRB from Catherine McGuire, SEC on interests in local government pools and higher education trusts
image pdf (Courtesy of Municipal Securities Rulemaking Board)
March 1, 1999
Memo to President Clinton suggesting threat of veto of financial services modernization bill
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
March 1999
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
March 1, 1999
Recommendations to SEC Chairman Arthur Levitt from George Karpus, Karpus Investment Management on independent directors of investment companies
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
March 16, 1999
Acknowledgement to Barry Barbash from SEC Chairman Arthur Levitt for participation in Roundtable on the Role of Independent Company Directors
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
03/16/1999
Draft letter from David Ruder to organizational meeting participants outlining next steps in founding SEC Historical Society
image df (Courtesy of David Ruder)
March 22, 1999
"Keeping Faith with the Shareholder Interest: Strengthening the Role of Independent Directors of Mutual Funds" - Remarks by SEC Chairman Arthur Levitt at the Mutual Funds and Investment Management Conference
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
March 24, 1999
Draft remarks by President Clinton on consumer financial protection
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 29, 1999
Letter to SEC Chairman Arthur Levitt from Daniel Wiener, Adviser Investment Management on mutual fund directors
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
March 29, 1999
Letter to SEC Chairman Arthur Levitt from Warren Buffett, Berkshire Hathaway, Inc. on corporate governance of mutual funds
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 1999
Hedge Funds, Leverage and the Lessons of Long-Term Capital Management - Report of the President's Working Group on Financial Markets

(Anonymous)

April 1999
Hedge Funds, Leverage, and the Lessons of Long-Term Capital Management - Report of the President's Working Group on Financial Markets
image pdf (Courtesy of the William J. Clinton Library)
April 1, 1999
Letter to SEC Chairman Arthur Levitt from David Silver, ICI Mutual on mutual fund directors
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 1999
MSRB Request for Comments: Application of current municipal fund securities rules and draft rule changes
image pdf (Courtesy of Municipal Securities Rulemaking Board)
April 5, 1999
Acknowledgement letter to Daniel Wiener, Adviser Investment Management 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)
April 5, 1999
Comment Letter from the Association of the Bar of the City of New York on File No. S7-30-98 - The Aircraft Carrier Release
document pdf (Courtesy of Richard Rowe)
April 12, 1999
Acknowledgement letter to David Silver, ICI Mutual from Paul Roye, SEC Division of Investment Management
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 14, 1999
Memo to Janet Yellen from Doug Elmendorf with draft conclusions and recommendations for hedge fund study
image pdf (Courtesy of the William J. Clinton Presidential Library)
April 22, 1999
Remarks by SEC Chairman Arthur Levitt at 19th Annual Ray Garrett, Jr. Corporate and Securities Law Institute
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 29, 1999
Draft of "Plain Talk About On-Line Investing" - Remarks by SEC Chairman Arthur Levitt at National Press Club
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May to June 1999
Carl Schneider - "Change, the SEC and... me," Business Law Today
document pdf (with permission of the American Bar Association)
May 3, 1999
Draft: The Clinton-Gore Plan for Financial Privacy and Consumer Protection in the 21st Century
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 3, 1999
Email to Lowell Weiss from Sarah Rosen Wartell with notes on financial protection for consumers
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 3, 1999
Memo for President Clinton on financial privacy and consumer protection event
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 3, 1999
Treasury Department comments on President Clinton's remarks on financial privacy and consumer protection
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 4, 1999
Email to Lowell Weiss from Roger Ballentine on Senator Bryan attendance at financial privacy event
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 4, 1999
Remarks by President Clinton on financial privacy and consumer protection
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 4, 1999
The Clinton-Gore Plan for Financial Privacy and Consumer Protection in the 21st Century
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 19, 1999
National Federation of Municipal Analysts: Draft Recommended Best Practices in Disclosure for Hospital Transactions
image pdf (Courtesy of Municipal Securities Rulemaking Board)
June 1999
Joan C. Howard v. Everex Systems, Inc.: Brief of the Securities and Exchange Commission, Amicus Curiae
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
June 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
Summer 1999
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 15, 1999
Memo to John Podesta from Sarah Rosen on June 16th financial modernization conference call
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 29, 1999
An Essential Next Step in the Evolution of Corporate Governance - Speech by SEC Chairman Arthur Levitt at Audit Committee Symposium
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
June 30, 1999
Comment Letter from the Corporate and Securities Law Committee of the American Corporate Counsel Association on File No. S7-30-98 - The Aircraft Carrier Release
document pdf (Courtesy of Richard Rowe)
July 1999
Constituent letter from U.S. Representative Richard Armey on Financial Services Modernization Act of 1999
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 1999
Final Report of the SEC Government-Business Forum on Small Business Capital Formation
document pdf (Courtesy of Richard Rowe)
July 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
August 12, 1999
SEC Staff Accounting Bulletin: No. 99 - Materiality
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
August 30, 1999
Letter to SEC Chairman Arthur Levitt from Lawrence Lasser, Putnam Investments on personal trading by investment company personnel
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
Fall 1999
Carl Schneider - "How Fortuities Shape a Career," The Philadelphia Lawyer
document pdf (with permission of the Philadelphia Bar Association)
Fall 1999
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
September 9, 1999
Congratulations to Arthur Levitt on achieving longest tenure as SEC Chairman from Matthew Fink, Investment Company Institute
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 15, 1999
Letter to SEC Chairman Arthur Levitt from Matthew Fink, Investment Company Institute on release of ICI paper on cost of investing in mutual funds
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 16, 1999
Reply letter to Lawrence Lasser, Putnam Investments 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)
September 20, 1999
Background on CRA issues in financial modernization
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
September 23, 1999
Letter to Stuart Kaswell, Securities Industry Association from Joel Klein, Assistant Attorney General on pricing intervals
image pdf (Courtesy of Stuart J. Kaswell)
September 23, 1999
Release: Department of Justice Approves Securities Industry Association's Plan to Exchange Information; Plan Facilitates Move from Fractional to Decimal-Based Systems
image pdf (Courtesy of Stuart J. Kaswell)
September 27, 1999
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)
October 8, 1999
Statement by James Copeland, Deloitte & Touche LLP to POB Panel on Audit Effectiveness
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 13, 1999
Letter to SEC Chairman Arthur Levitt from Matthew Fink, Investment Company Institute on changes in the securities markets
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 22, 1999
Memo for President Clinton from Gene Sperling with National Economic Council weekly reports
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
October 25, 1999
Letter to President Clinton from members of Congress asking for consumer privacy protection in financial services modernization legislation
image pdf (Courtesy of the William J. Clinton Presidential Library)
October 27, 1999
Memo to Martin Baily from John Williams on report on over-the-counter derivatives by President's Working Group on Financial Markets
image pdf (Courtesy of the William J. Clinton Presidential Library)
October 28, 1999
Letter to President Clinton from Jesse Jackson on impact of financial services modernization bill on Community Reinvestment Act
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
Late 1990s
Carl Schneider - "40 Years of Change in Securities Practice"
document pdf (Courtesy of Carl Schneider)
November 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
November 1999
Remarks by Under Secretary of the Treasury Gary Gensler in support of Gramm-Leach-Bliley Act
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 1999
Sample letter to Senators Lott, Hastert, Daschle and Gephardt from Lawrence Summers in support of Gramm-Leach-Bliley Act
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 3, 1999
Financial Privacy Talking Points
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 3, 1999
Guidance on financial modernization
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 8, 1999
Draft statement by President Clinton on signing of Gramm-Leach-Bliley Act
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 8, 1999
Guidance on financial modernization
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 10, 1999
Email to Lowell Weiss from Sarah Rosen Wartell with draft language for acknowledgements on Gramm-Leach-Bliley
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 11, 1999
Email from Sarah Rosen Wartell on privacy inclusion for signing statement
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 12, 1999
Draft remarks by President Clinton at signing ceremony for Gramm-Leach-Bliley Act
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 12, 1999
Gramm-Leach-Bliley Act (Public Law No. 106-102); Sections 202, 210A of IAA Amended; Sections 2(a)(5), 2(a)(6), 2(a)(11), 2(a)(19), 3(c)(3), 9(a), 10(c), 17(a), 17(f), 26, 35(a) of ICA Amended
document pdf (Government Records)
December 7, 1999
Letter from Michael Macchiaroli, SEC Division of Market Regulation to Stuart Kaswell, Securities Industry Association on Rule 17a-9T before January 1, 2000
image pdf (Anonymous)
December 9, 1999
Letter to Michael Conway, KPMG Peat Marwick LLP from Lynn Turner, SEC Chief Accountant on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
December 28, 1999
LJM Approval Sheet
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)

801 to 888 of 888 records

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