Securities and Exchange Commission Historical Society
Thanks to our donors
- DONORS AND GIFTS -
Home > Papers > 2000s | Page 6

Papers

501 to 600 of 648 records

Page:
April 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
April 7, 2005
SEC Release - Internal Control Reporting (SOX Section 404) Roundtable.
image pdf
April 11, 2005
Request to President Bush from U.S. Senators Harry Reid and Patrick Leahy for nominations to fill court vacancies
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
April 18, 2005
Remembrance of September 11, 2001 by Sean Kemple
document pdf
April 22, 2005
Schedule for President Bush to visit Apple Store in Arlington, Virginia to discuss strengthening Social Security
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
May 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
May 16, 2005
PCAOB Statement regarding Auditing Standard No. 2 (AS-2) implementation
image pdf
May 16, 2005
SEC statement on Implementation of Internal Control Reporting Requirements
image pdf
May 16, 2005
SEC Statement on PCAOB Auditing Standard No. 2 (AS-2) implementation
image pdf
May 17, 2005
Remembrance of September 11, 2001 by Bret Johnson
document pdf
May 27, 2005
Remembrance of September 11, 2001 by Stuart J. Kaswell
document pdf
June 2005
NASD Neutral Corner
image pdf (Courtesy FINRA)
June 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
June 9, 2005
SEC Release: Regulation NMS
image pdf (Government Records)
June 14, 2005
Handwritten note to SEC Chairman William Donaldson from President Bush
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
June 15, 2005
Report and recommendations to President Bush from SEC Chairman William Donaldson pursuant to Section 401(c) of Sarbanes-Oxley Act
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
June 20, 2005
NASD Special Notice to Members: District Elections
image pdf (Courtesy of FINRA)
July 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
August 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
August 25, 2005
NASD Special Notice ot Members: NAC Nominee
image pdf (Courtesy of FINRA)
September 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
September 2, 2005
Order - Judge Pauley re NASD Foundation Investor Education Account_Global Research Analyst Settlement
image pdf (Courtesy of Northwestern University Law School)
September 9, 2005
Oral Argument, U.S. Court of Appeals for the District of Columbia Circuit: NASD v. SEC
transcript pdf (Courtesy of the family of Eric Summergrad)
September 27, 2005
NASD Special Notice to Members: District Elections
image pdf (Courtesy of FINRA)
October 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
October 4, 2005
Competitive Enterprise Institute Issue Analysis - The Public Company Accounting Oversight Board: An Unconstitutional Assault on Goverment Oversight.
image pdf
October 25, 2005
Acknowledgement letter to Harvey Goldschmid on retirement from SEC Commission from President Bush
image pdf (Courtesy of George W. Bush Presidential Library and Museum)
November 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
November 2005
NASD Special Notice to Members: District Elections
image pdf (Courtesy of FINRA)
November 9, 2005
NASD Special Notice to Members: Nominees for NASD Board of Governors
image pdf (Courtesy of FINRA)
November 17, 2005
Edited Transcript of SEC General Counsels Roundtable
document pdf
November 30, 2005
Report on the Initial Implementation of Auditing Standard No. 2, An Audit of Internal Control Over Financial Reporting Performed in Conjunction With an Audit of Financial Statements
image pdf
December 2005
NASD Notices to Members
image pdf (Courtesy of FINRA)
December 20, 2005
Edited Transcript of SEC Chairmen Roundtable
document pdf
12/31/2005
SEC Historical Society Highlights of 2005
image pdf (Courtesy of David Ruder)
2006
Address by Eugene H. Rotberg on innovations in financial capital markets
image pdf (Courtesy of Eugene H. Rotberg)
2006
Graphic showing SEC Examinations Staff Rick Targeted Exams, Reports from 2003 - 2006
image pdf (Courtesy of Lori A. Richards)
2006
The Depository Trust & Clearing Corporation Annual Report

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

January 22, 2006
Addendum to Jack Ferguson Oral Histories
document pdf
February 3, 2006
Addendum to Barbara Thomas Judge Oral Histories
document pdf
February 3, 2006
List of Speeches by SEC Commissioner Barbara Thomas Judge
document pdf
March 2006
Measuring Market Cleanliness, by Ben Dubow and Nuno Monteiro
document pdf (Courtesy of the Financial Services Authority)
March 3, 2006
Paul Gonson - Speech in Acceptance of 2006 William O. Douglas Award
transcript pdf (Courtesy of Paul Gonson)
March 24, 2006
Oral Argument, U.S. Court of Appeals for the District of Columbia Circuit: Juang Lou v. SEC
transcript pdf (Courtesy of the family of Eric Summergrad)
April 5, 2006
Harvey L. Pitt - "Where Are We Headed?," 26th Annual Manuel F. Cohen Lecture, The George Washington University Law School
transcript pdf (with permission of The George Washington University Law School)
May 1, 2006
PCAOB Statement on Inspections of Internal Control Audits
image pdf
May 10, 2006
SEC and PCAOB transcript of Joint Roundtable on Internal Control
image pdf
May 31, 2006
Edited Transcript of SEC Women Commissioners Roundtable
transcript pdf
June 5, 2006
Letter from Michael Udoff, Securities Industry Association to Nancy Morris, SEC on exemption from Section 11(d)(1) for Money Market Funds
image pdf (Anonymous)
June 8, 2006
Letter to Michael Udoff, Securities Industry Association from Catherine McGuire, SEC Division of Market Regulation
image pdf (Anonymous)
June 13, 2006
Letter - Investor Protection Clinics Draft Re Permanent Endowment Funding
image pdf (Courtesy of Northwestern University Law School)
June 14, 2006
Edited Transcript of SEC Enforcement Roundtable
document pdf
June 19, 2006
Letter - SEC Response - Disbursement of Remaining Funds from Global Research Analyst Settlement
image pdf (Courtesy of Northwestern University Law School)
July 28, 2006
PCAOB Staff Audit Practice Alert No. 1
image pdf
July 28, 2006
PCAOB Staff Audit Practice Alert No. 1 on Timing and Accounting for Option Grants
image pdf
August 11, 2006
Recollection of Stuart J. Kaswell of 1987 Interview of Dennis Levine
document pdf (prepared for the museum by Stuart J. Kaswell)
September 13, 2006
Comment letter on access equals delivery standard to Ernesto Lanza, MSRB from Peter Schmitt, DPC DATA
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 14, 2006
Comment letter on access equals delivery standard to Ernesto Lanza, MSRB from Gary Machak, Municipal Advisory Council of Texas
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 15, 2006
Comment letter on access equals delivery standard to Ernesto Lanza, MSRB from Gerard Scavelli, ADP
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 15, 2006
Comment letter on access equals delivery standard to Ernesto Lanza, MSRB from Leslie Norwood, The Bond Market Association
image pdf (Courtesy of Municipal Securities Rulemaking Board)
September 22, 2006
Comment letter on access equals delivery standard to Ernesto Lanza, MSRB from Jackie Williams, College Plan Savings Network
image pdf (Courtesy of Municipal Securities Rulemaking Board)
09/29/2006
September 2006 Update Report by Herbert Janick to Board of Advisors and Commissioners' Council
image pdf (Courtesy of David Ruder)
12/29/2006
December 2006 End of Year Report to Board of Trustees, Board of Advisors and Commissioners' Council
image pdf (Courtesy of David Ruder)
January 2007
State of the Economy Overview
image pdf (Courtesy George W. Bush Library)
2007
The Depository Trust & Clearing Corporation Annual Report

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

February 26, 2007
Comment Letter on Chicago Board Options Exchange from Nickolas J. Neubauer to SEC
image pdf (Government Records)
February 27, 2007
"The Materially Weak Trend Alert" by Glass Lewis & Co.
image pdf
March 8, 2007
Handwritten note to Ernesto Lanza, MSRB from Merry Jane Tissier supporting standard of paper copy delivery
image pdf (Courtesy of Municipal Securities Rulemaking Board)
March 9, 2007
Comment letter on electronic access system for official statements to Ernesto Lanza, MSRB from Gerard Scavelli, ADP
image pdf (Courtesy of Municipal Securities Rulemaking Board)
May 2007
"Beyond Borders Part II: A New Approach to the Regulation of Global Securities Offerings," by Edward F. Greene
document pdf
May 22, 2007
MSRB MSIL/Access System
image pdf (Courtesy Municipal Securities Rulemaking Board)
May 30, 2007
Memo from the Office of the Chairman to the Chicago Board Options Exchange Members on agreement with IntercontinentalExchange (ICE)
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
July 13, 2007
Rocky Mountain Securities Conference, by Robert Davenport
document pdf
July 26, 2007
SEC Release: Order Approving Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
image pdf (Government Records)
July 31, 2007
"The Fog of Battle, A Personal View of the October 1987 Market Break" by Alton Harvey
transcript pdf
August 2, 2007
"October 1987, A Retrospective" by John J. Phelan, Jr., retired Chairman and Chief Executive Officer, New York Stock Exchange
transcript pdf
August 31, 2007
Draft MSRB Access = Delivery: Logical System Overview
image pdf (Courtesy Municipal Securities Rulemaking Board)
September 10, 2007
Muni-EDGAR and EMMA: Logical System Overview
image pdf (Courtesy Municipal Securities Rulemaking Board)
September 16, 2007
Email from Professor Jonathan B K Rickford to Wayne J. Carroll on MOU negotiation
transcript pdf (Courtesy of Jonathan Rickford)
November 1, 2007
"Keeping the Markets Open: Lessons Learned from the 1987 Market Break" - Notes by Andrea M. Corcoran
transcript pdf (Courtesy of Andrea M. Corcoran)
November 14, 2007
CCO Outreach National Seminar document on Forensic Measures for Funds and Advisers
document pdf (Courtesy of Lori A. Richards)
November 19, 2007
Obituary of Jennie Howle Randolph, former SEC Southeast Regional Counsel (edited from publication in Atlanta Journal-Constitution)
transcript pdf (Courtesy of an anonymous donor)
November 21, 2007
Letter to Frank Chin, MSRB from SEC Chairman Christopher Cox supporting municipal securities electronic filing system
image pdf (Courtesy of Municipal Securities Rulemaking Board)
December 7, 2007
Ask the White House - Henry Paulson, Secretary of the Treasury
image pdf (Courtesy George W. Bush Library)
December 14, 2007
Comment letter on electronic access system for official statements to Ernesto Lanza, MSRB from Leslie Norwood, SIFMA
image pdf (Courtesy of Municipal Securities Rulemaking Board)
December 17, 2007
Comment letter on electronic access system for official statements to Ernesto Lanza, MSRB from Philip Moyer, EDGAR Online
image pdf (Courtesy of Municipal Securities Rulemaking Board)
December 19, 2007
Finalization of Naming of EMMA
image pdf (Courtesy Municipal Securities Rulemaking Board)
January 1, 2008
OCIE Public Inspection Reports, 1996-2008
document pdf (Courtesy of Lori A. Richards)
2008
The Depository Trust & Clearing Corporation Annual Report

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

January 9, 2008
Conference Call of the Federal Open Market Committee
image pdf (Government Records)
January 19, 2008
President's Radio Address: Economy
image pdf (Courtesy George W. Bush Library)
January 23, 2008
Comment letter on electronic access system for official statements to MSRB from Peter Schmitt, DPC DATA
image pdf (Courtesy of Municipal Securities Rulemaking Board)
January 26, 2008
President's Radio Address: State of the Union
image pdf (Courtesy George W. Bush Library)
March 10, 2008
Conference Call of the Federal Open Market Committee
image pdf (Government Records)
March 15, 2008
President's Radio Address: Economy
image pdf (Courtesy George W. Bush Library)
March 18, 2008
Meeting of the Federal Open Market Committee
image pdf (Government Records)
March 29, 2008
President's Radio Address: Economy
image pdf (Courtesy George W. Bush Library)
April 9, 2008
Letter 1 from Tenenbaum to Judge Pauley re Global Research Settlement Funds
image pdf (Courtesy of Northwestern University Law School)
May 3, 2008
President's Radio Address: Economy
image pdf (Courtesy George W. Bush Library)
June 2008
Evaluating the Mission: A Critical Review of the History and Evolution of the SEC Enforcement Program - Paul S. Atkins and Bradley J. Bondi
transcript pdf (Courtesy of Paul Atkins and Bradley Bondi; with permission of the Fordham Journal of Corporate and Financial Law)

501 to 600 of 648 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.