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01/01/2000
Amended Bylaws of SEC Historical Society distributed at first Board meeting
image pdf (Courtesy of David Ruder)
2000
Emerging Markets Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2000
Government Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2000
MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2000
NASD Annual Report
image pdf (Courtesy FINRA)
2000
NASD Notices to Members

(Courtesy of FINRA)

Winter 2000
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
01/01/2000
Original Articles of Incorportion of SEC Historical Society
image pdf (Courtesy of David Ruder)
January 1, 2000
Paper on Establishing a Securities Arbitration Clinic: The Experience at Pace by Barbara Black
image pdf (Courtesy of Barbara)
2000
The Depository Trust & Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2000
U.S. Securities and Exchange Commission Annual Report
document pdf (Government Records)
January 6, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representative John Dingell on auditor independence issues
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
January 11, 2000
Email from R. Horwitz, SEC with shareholder statistics
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 11-12, 2000
Memos on President Clinton visit to New York Stock Exchange
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 19, 2000
Memo to SEC Chairman Arthur Levitt from Lynn Turner, SEC Chief Accountant on auditor independence initiatives
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
February 2000
SEC 1999 Annual Performance Report and 2001 Annual Performance Plan
image pdf (Courtesy of Kathryn McGrath)
February 3, 2000
Internal transcript of President Clinton interview by Ron Insana, The Today Show
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
February 3, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representative Dan Burton on impact of new technologies on financial markets
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
February 10, 2000
Reply letter to U.S. Representative John Dingell from SEC Chairman Arthur Levitt on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
February 17, 2000
Remarks by SEC Chairman Arthur Levitt before the Mutual Fund Directors Education Council Conference
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
March 2000
Final Report of the SEC Government-Business Forum on Small Business Capital Formation
document pdf (Courtesy of Richard Rowe)
Spring 2000
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
03/10/2000
Detailed Discription of SEC Historical Society
image pdf (Courtesy of David Ruder)
03/10/2000
Summary description of the SEC Historical Society
image pdf (Courtesy of David Ruder)
March 17, 2000
Memo to National Economic Council principals on proposed financial privacy legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 17, 2000
SEC Historical Society Application to IRS for Recognition of Exemption
image pdf (SEC Historical Society files)
03/27/2000
Email from David Ruder to Harvey Pitt and Paul Gonson outlining agenda topics for first Society Board meeting
image pdf (Courtesy of David Ruder)
March 28, 2000
Memo to National Economic Council principals with supplement on privacy of bankrupty legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
03/30/2000
List of First SEC Historical Society Board of Trustees
image pdf (Courtesy of David Ruder)
April 3, 2000
Agenda for National Economic Council Principals meeting on financial privacy
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
04/04/2000
Agenda of first meeting of Historical Society Board of Trustees
image pdf (Courtesy of David Ruder)
04/04/2000
Minutes of the first Board of Trustees Meeting of the Society prepared by Paul Gonson
image pdf (Courtesy of David Ruder)
April 17, 2000
Letter to SEC Chairman Arthur Levitt from U.S. House Committee on Commerce with questions on accounting practice
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 21, 2000
Memo to National Economic Council principals on follow-up on financial privacy proposals
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 27, 2000
Memo to National Economic Council principals from Sally Katzen and David Beier on final issues on financial privacy
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 29, 2000
Financial Privacy Proposal Questions and Answers
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 29, 2000
Memo to President Clinton from Gene Sperling on commencement address at Eastern Michigan University to announce new legislative proposal to strengthen financial privacy
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 2, 2000
Letter to U.S. Senator Phil Gramm from SEC Chairman Arthur Levitt on oversight of Financial Accounting Standards Board
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
05/03/2000
Harvey Pitt email to DC & NY law firms re SEC Historical Society membership
image pdf (Courtesy of David Ruder)
May 3, 2000
Letter from David Brumbeloe, AICPA to Jerry Sullivan, Public Oversight Board on invoices for special reviews
image pdf (Courtesy of George P. Fritz)
May 5, 2000
Memo to President Clinton from Gene Sperling and Sarah Rosen Wartell on bankruptcy legislation
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 10, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representative John Dingell on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 10, 2000
Renewing the Covenant with Investors - Speech by SEC Chairman Arthur Levitt to NYU Center for Law and Business
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
05/11/2000
David Ruder Remarks for Society's Inaugural Reception
image pdf (Courtesy of David Ruder)
05/11/2000
List of Attendees for Society's Inaugural Reception
image pdf (Courtesy of David Ruder)
05/11/2000
Membership Brochure announcing Society's Inaugural Reception
image pdf (Courtesy of David Ruder)
05/11/2000
Total attendance and revenue figures from the inaugural tea of the SEC Historical Society
image pdf (Courtesy of David Ruder)
May 18, 2000
Letter to SEC Chairman Arthur Levitt from Stephen Butler, KPMG; James Copeland, Deloitte & Touche; and W. Robert Grafton, Andersen Worldwide on May 10th Renewing the Covenant with Investors speech
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 24, 2000
Letter to U.S. Representative Billy Tauzin from SEC Chairman Arthur Levitt on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 24, 2000
Memo to SEC Chairman Arthur Levitt 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)
May 25, 2000
Questions to SEC Chairman Arthur Levitt from U.S. Senators Charles Schumer, Robert Bennett and Evan Bayh on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 31, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representatives Henry Waxman and Edward Markey on oversight of accounting profession
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
Summer 2000
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 21, 2000
Draft testimony of Lawrence Summers on the Commodity Futures Modernization Act to the Senate Agriculture and Banking Committee
image pdf (Courtesy of the William J. Clinton Presidential Library)
June 22, 2000
Memo to President Clinton for decision on bankruptcy reform legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 27, 2000
Remarks by SEC Chairman Arthur Levitt at open meeting on proposals to modernize auditor independence rules
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
June 28, 2000
Letter to SEC Chairman Arthur Levitt from Arthur Rock in support of separating auditing and consulting practices
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 17, 2000
Letter to David Becker, SEC Office of General Counsel from John Olson on auditor independence rules
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 17, 2000
Letter to U.S. Senator Robert Bennett from SEC Chairman Arthur Levitt on regulation of accounting profession
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 17, 2000
Memo to SEC Chairman Arthur Levitt from Lynn Turner, SEC Chief Accountant on Senate correspondence regarding auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 18, 2000
Letter to SEC Chairman Arthur Levitt from U.S. House of Representatives members on proposed rules limiting auditing firm services
transcript pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 20, 2000
Letter to SEC Chairman Arthur Levitt from U.S. House of Representatives members on SEC rulemaking regarding auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 21, 2000
Request to SEC Chairman Arthur Levitt from U.S. Senator Robert Torricelli to extend comment period on proposed auditor independence rulemaking
transcript pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 21, 2000
Request to U.S. Senator Rod Grams for hearing on SEC proposed rulemaking on auditor independence
transcript pdf (Courtesy of George W. Bush Presidential Library and Museum)
July 26, 2000
Non-Audit Services: Comparison of Proposals to Existing Requirements
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 26, 2000
Testimony of J. Terry Strange on behalf of KPMG LLP before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 26, 2000
Testimony of Robert Garland, Deloitte & Touche LLP before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 26, 2000
Testimony of William Allen before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 28, 2000
Caution to SEC Chairman Arthur Levitt from U.S. Senate members on proposed rules on auditor independence
transcript pdf (Courtesy of George W. Bush Presidential Library and Museum)
August 2000
A. Carl Helwig et al. v. Vencor, Inc. et al.: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
August 2, 2000
Caution to SEC Chairman Arthur Levitt from U.S. House Committee on Commerce on proposed rules on auditor independence
transcript pdf (Courtesy of George W. Bush Presidential Library and Museum)
08/22/2000
SEC Historical Society Committee Discriptions
image pdf (Courtesy of David Ruder)
08/30/2000
Letter from David Ruder to Joel Seligman regarding chair of SECHS Acquisitions Committee
image pdf (Courtesy of David Ruder)
August 31, 2000
Public Oversight Board Panel on Audit Effectiveness (O'Malley Panel) Report and Recommendations

(Courtesy of George P. Fritz)

Fall 2000
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
September 11, 2000
SEC and Department of Justice Sanction Four Options Exchanges for Anticompetitive Conduct
image pdf (Government Records)
September 13, 2000
Testimony of Bevis Longstreth before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 13, 2000
Testimony of Robert Elliott, American Institute of Certified Public Accountants before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 18, 2000
A Profession at the Crossroads - Remarks by SEC Chairman Arthur Levitt to National Association of State Boards of Accountancy
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 20, 2000
Statement of the Honorable Roderick M. Hills before SEC concerning auditor independence requirements
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 20, 2000
Testimony of Douglas Scrivner before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 22, 2000
Letter to U.S. Representative W.J. Tauzin from SEC Chairman Arthur Levitt on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 26, 2000
Letter to U.S. Representative David Obey from SEC Chairman Arthur Levitt on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 28, 2000
Oral testimony of SEC Chairman Arthur Levitt concerning the auditor independence proposal before the Subcommittee on Securities, U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 28, 2000
Testimony of SEC Chairman Arthur Levitt concerning the auditor independence proposal before the Subcommittee on Securities, U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 4, 2000
Questions to SEC Chairman Arthur Levitt from U.S. Senators Michael Crapo, Michael Enzi and Tim Johnson on auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 6, 2000
Letter to U.S. Senator Michael Crapo from SEC Chairman Arthur Levitt on auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 25, 2000
Letter to U.S. Representative John Dingell from SEC Chairman Arthur Levitt on possible delay in adoption of auditor independence rule
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
November 2000
Constituent letter from U.S. Representative Richard Armey on SEC proposed auditor independence requirements rule
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
November 2000
NASD Neutral Corner
image pdf (Courtesy FINRA)
November 2000
NASD Neutral Corner Survey
image pdf (Courtesy FINRA)
November 2000
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
image pdf (Courtesy FINRA)
November 2, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representative Michael Oxley suggesting compromise in auditor independence rule
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
November 3, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representative Michael Oxley on impact of auditor independence rules on middle market accounting firms
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
November 20, 2000
Draft: A New Economy
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
November 21, 2000
SEC report to Congress on amendments to auditor independence rules
image pdf (Courtesy of National Archives)
November 28, 2000
Letter to David Barram, General Services Administration from Jim Kolbe and Stephen Horn, U.S. Congress on GSA withholding of Presidential transition funds
image pdf (Courtesy of the William J. Clinton Presidential Library)
November 29, 2000
General Services Administration responses to questions on Presidential transition funding
image pdf (Courtesy of the William J. Clinton Presidential Library)
December 5, 2000
Reply letter to U.S. Representative Michael Oxley from SEC Chairman Arthur Levitt on possible impact on middle market accounting firms
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
December 12, 2000
Remarks by SEC Chairman Arthur Levitt at Conference on the Rise and Effectiveness of New Corporate Governance Standards
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)

1 to 100 of 648 records

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