34 records in this section.
From 1974 to 1995, Mark Fitterman served in various roles at the SEC, eventually becoming Associate Director in the Division of Market Regulation. He worked on implementing the 1975 Act Amendments, including establishing a National Market System and the Municipal Securities Rulemaking Board. He also was in charge of oversight and inspections of the exchanges, investment advisors and broker dealers prior to the creation of a separate Office of Compliance Inspections and Examinations.
Daniel Goelzer held a number of positions at the SEC from the mid-70’s through 1990, including Special Counsel in the Office of the General Counsel, Special Counsel to Chairman Harold Williams, Associate General Counsel for Counseling, Executive Assistant to Chairman John Shad, and General Counsel from 1983 to 1990. After leaving the SEC, he was partner at the law from of Baker & McKenzie LLP in Washington, DC until his appointment as a founding Board member of the Public Company Accounting Oversight Board (PCAOB) in 2003. He served as PCAOB’s Acting Chairman from 2009 – 2011, after which he returned to Baker & McKenzie. He was one of the founding Trustees of the SEC Historical Society.
In this interview with Dan Goelzer, Paul Gonson describes his role in founding, together with David Ruder and Harvey Pitt, the Securities and Exchange Commission Historical Society in 1999. His memories reveal the early vision, challenges, and successes of what is now a mission to preserve the history of our financial markets and regulation that is accomplished through a virtual museum and archive rather than a bricks and mortar structure.
Paul Gonson served at the SEC from 1978 to 1982, first as Director of the Division of Corporation Finance under Chairman Harold Williams, then as General Counsel under Chairman John Shad. Mr. Gonson spearheaded several major pioneering initiatives while at the SEC. He negotiated the first Memorandum of Understanding (MOU) for the agency, which became the framework for future cooperative agreements with other governments. He also spearheaded improvements to the disclosure system around initial public offerings and led advancements in market access for shelf registrations. Mr. Gonson was one of the founders of the SEC Historical Society and served on its initial board of trustees.
Ed Greene served at the SEC from 1978 to 1982, first as director of the Division of Corporation Finance under Chairman Harold Williams, then as General Counsel under Chairman John Shad. He was involved in several ground-breaking projects. As director of Corporation Finance, he led efforts to integrate and improve disclosures around Initial Public Offerings (IPOs), and spearheaded efforts to create faster access to markets for shelf registrations. As general counsel, he negotiated the agency’s first Memorandum of Understanding (MOU), which became a template for future cooperative agreements between governments. Mr. Greene was a founding trustee of the SEC Historical Society.
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.