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539 records in this section.

1980
Governor Reagan's Policies and Actions are Worth Study
[image] (pdf) (Courtesy of Ronald Reagan Presidential Foundation & Library)
1980
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1980
NASD Notices to Members

(Courtesy of FINRA)

1980
Small Business Investment Incentive Act of 1980 (Public Law No. 96-477); Sections 202, 203(b)(3), 205 of IAA Amended; Sections 2(a)(46), 3(c)(1), 3(c)(11), 6, 47(b), 54, 55, 56, 57, 58, 59, 60, 61, 62, 63, 64, 65 of ICA Amended
[document] (pdf) (Government Records)
1980
U.S. Securities and Exchange Commission Market Oversight Surveillance System
[image] (pdf) (Government Records)
January 3, 1980
"The 1980s: The Future of the Accounting Profession" - Address by SEC Chairman Harold M. Williams to AICPA
[image] (pdf) (Government Records)
January 9, 1980
"The Quest for Accountability" - Remarks by SEC Commissioner Roberta S. Karmel to American Society of Corporate Secretaries
[image] (pdf) (Government Records)
January 17, 1980
"Tender Offers and the Corporate Director" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute
[image] (pdf) (Government Records)
January 21, 1980
Letter from Stuart Eizenstat to SEC Chairman Harold Williams proposing SEC cooperation with proposed Small Business Issuers' Simplification Act
[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
January 22, 1980
Letter from U.S. Representative James H. Scheuer to Business Week
[document] (pdf) (Courtesy of Theodore A. Levine)
January 24, 1980
"Freedom, Free Enterprise and the Accountability Process" - Address by SEC Chairman Harold M. Williams to New Y ork State Bar Association
[image] (pdf) (Government Records)
January 30, 1980
Letter from Lewis H. Young, Business Week, to U.S. Representative James H. Scheuer
[document] (pdf) (Courtesy of Theodore A. Levine)
February 1, 1980
"Free Enterprise in a Free Society" - Address by SEC Chairman Harold M. Williams to Corporate Issues of the 80s, Southern Methodist University
[image] (pdf) (Government Records)
February 1, 1980
Memo from Sheldon Rappaport to SEC Commissioner John R. Evans on subjects for use in a speech to the New York Stock Exchange
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 1980
Report of the Chicago Board Options Exchange Business Conduct Committee
[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)
February 4, 1980
Memo from Al McDonald to President Carter on discussions with New York business leaders
[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
February 12, 1980
Letter from U.S. Representative James H. Scheuer to Lewis H. Young, Business Week
[document] (pdf) (Courtesy of Theodore A. Levine)
February 14, 1980
"An Inside View of the SEC Regulatory Process," Address by SEC Commissioner John R. Evans to the Utah State Bar Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 26, 1980
Minutes of the Meeting of the Floor Procedure Committee, Chicago Board Options Exchange
[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)
February 27, 1980
Memo from Jim Clarkson to SEC Commissioner John R. Evans on upcoming trip to New York Regional Office
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 1980
Initial Public Offerings of Common Stock: The Role of Regional Broker-Dealers in the Capital Formation Process - Report by the Small Business Administration and the SEC
[image] (pdf) (Courtesy of the Library of Congress)
March 6, 1980
Remarks by SEC Commissioner John R. Evans to Board of Directors, New York Stock Exchange
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 7, 1980
"The State of the Securities and Exchange Commission - 1980" - Address by SEC Chairman Harold M. Williams to SEC Speaks
[image] (pdf) (Government Records)
March 7, 1980
Program for the SEC Memorial Service for Ray Garrett, Jr.
[image] (pdf) (Courtesy of Nancy Garrett Worcester)
March 13, 1980
"The Role of the SEC in Overseeing the Accounting Profession" - Paper by SEC Chairman Harold M. Williams to Nuffield College, Oxford
[image] (pdf) (Government Records)
March 17, 1980
"The Challenges of the New Decade" - Address by SEC Chairman Harold M. Williams to the Providence Journal/Brown University Public Affairs Conference
[image] (pdf) (Government Records)
March 18, 1980
Supreme Court of the United States: Vincent F. Chiarella v. United States on Writ of Certiorari to the U.S. Court of Appeals

(Courtesy of the Library of Congress)

March 20, 1980
SEC Authorizations for Fiscal Years 1981, 1982 and 1983 - Hearing before the House Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce
[image] (pdf) (Courtesy of David Morf)
March 27, 1980
"Deregulation Has Its Price," Address by SEC Commissioner John R. Evans to 1980 Mutual Funds & Investment Management Conference
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 27-29, 1980
Remarks of SEC Chairman Harold M. Williams at the National Conference on Corporate Governance and Accountability in the 1980s
[image] (pdf) (Government Records)
April 19, 1980
Memo from Josh Gotbaum to President Carter on wage/price program
[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
April 22, 1980
"Political Physics - Accountability Vacuums and Social Dynamics" - Speech by SEC Chairman Harold M. Williams at Washington University
[image] (pdf) (Government Records)
April 23, 1980
"The First Thousand Days - and Beyond" - Address by SEC Chairman Harold M. Williams at Northwestern University
[image] (pdf) (Government Records)
April 25, 1980
"The United States in a Competitive World: Americans are Concerned" - Address by William M. Batten, New York Stock Exchange at the Conference on U.S. Competitiveness
[document] (pdf) (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
April 28, 1980
Thank-you letter from President Carter to SEC Commissioner Stephen Friedman on passage of HR 4986: Depository Institutions Deregulation and Monetary Act of 1980
[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
May 14, 1980
"Some Further Challenges to Mutual Funds" - Address by SEC Chairman Harold M. Williams to the Investment Company Institute
[image] (pdf) (Government Records)
May 14, 1980
Letter from Michael Macchiaroli, SEC Division of Market Regulation to Ronald Consiglio, Deloitte Haskins & Sells on Bateman Eichler, Hills Richards, Inc.
[image] (pdf) (Courtesy of Stuart Kaswell)
May 15, 1980
"Investor Protection and the Securities Bar," Address by SEC Commissioner John R. Evans to Securities Law Committee, Chicago Bar Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 28, 1980
Opening Statement of the Honorable Harold M. Williams, Chairman, Securities and Exchange Commission, at the Commission's consideration of proposed rules to require a management statement on internal accounting control
[transcript] (pdf) (Courtesy of the estate of John R. Evans)
June 2, 1980
Ronald Reagan invitation letter to establish Business Advisory Panel
[image] (pdf) (Courtesy of Ronald Reagan Presidential Foundation & Library)
June 3, 1980
"Revolutionary Change in the Financial Markets" - Remarks by SEC Commissioner Stephen J. Friedman to Options Seminar, Securities Industry Association
[image] (pdf) (Government Records)
June 3, 1980
The Political Economy in Perspective: The Outlook for a Capitalist Renaissance, by Paul Craig Roberts
[image] (pdf) (Courtesy of Ronald Reagan Presidential Foundation & Library)
June 5, 1980
"Inflation and the Recapitalization of America" - Address by SEC Chairman Harold M. Williams to the Calvin Bullock Forum
[image] (pdf) (Government Records)
June 5, 1980
Opening Statement of the Honorable Harold M. Williams, Chairman, Securities and Exchange Commission, at the occasion of the Commission's consideration of Rule 19c-3
[transcript] (pdf) (Courtesy of the estate of John R. Evans)
June 10, 1980
"Policy-Making and Enforcement at the SEC" - Remarks by SEC Commissioner Stephen J. Friedman to Federal Bar Association Securities Law Committee
[image] (pdf) (Government Records)
June 18, 1980
Testimony of the Honorable Harold M. Williams, Chairman, Securities and Exchange Commission, before the Joint Economic Conference
[transcript] (pdf) (Courtesy of the estate of John R. Evans)
June 19, 1980
Memo from Richard Williamson to Bill Casey on further meetings of Business Advisory Panel
[image] (pdf) (Courtesy of Ronald Reagan Presidential Foundation & Library)
June 22, 1980
Memo from Charlie Smith to Ed Meese on issue center concept
[image] (pdf) (Courtesy of Ronald Reagan Presidential Foundation & Library)
June 26, 1980
Handwritten note from Charlie Smith to Ed Meese on issue centers
[image] (pdf) (Courtesy of Ronald Reagan Presidential Foundation & Library)
July 1980
Memo from Lisa Stockdale, Council of Economic Advisors to Perry Quick on Government Related Securities Act of 1980
[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
July 1980
NASD Newsletter
[image] (pdf) (Courtesy FINRA)
August 1980
SEC Report to Congress on the Accounting Profession and the Commission's Oversight Role - Part I (pages 1-41)
[image] (pdf) (Courtesy of the Library of Congress)
August 5, 1980
"Professionalism and the Corporate Bar" - Address by SEC Chairman Harold M. Williams to American Bar Association
[image] (pdf) (Government Records)
August 8, 1980
"Corporate Accountability - A Look at Strategy" - Address by SEC Chairman Harold M. Williams at Corporate Governance in the 80s, Rice University
[image] (pdf) (Government Records)
August 14, 1980
Letter from Thomas Renk to Douglas Winn, with sample letter and "Hit List for Regulatory Reform" form from Ronald Reagan
[image] (pdf) (Courtesy of Ronald Reagan Presidential Foundation & Library)
September 1980
"Delegation of Powers Between the Commission and the Self-Regulatory Organizations and Professional Organizations," Paper Submitted by SEC Commissioner John R. Evans
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 4, 1980
SEC Division of Corporation Finance Staff Report on Corporate Accountability
[image] (pdf) (Courtesy of the Library of Congress)
September 5, 1980
Memo from Jack Kemp to Martin Anderson with suggestions regarding Governor Reagan's economic speech
[transcript] (pdf) (Courtesy of Ronald Reagan Presidential Foundation & Library)
September 5, 1980
Transcript of exit interview with Anne Edwards, by David Alsobrook
[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
September 8, 1980
"Capital Formation, the Market Economy and the SEC" - Remarks by SEC Commissioner Stephen J. Friedman to National Association of Manufacturers
[image] (pdf) (Government Records)
September 9, 1980
"A Strategy for Growth: The American Economy in the 1980s" - Address by Governor Ronald Reagan to the International Business Council
[transcript] (pdf) (Courtesy of Ronald Reagan Presidential Foundation & Library)
September 9, 1980
"Public Capital for Mortgage Credit - Gift Horse or Trojan Horse?" - Remarks by SEC Commissioner Stephen J. Friedman to Mortgage Bankers Association of America
[image] (pdf) (Government Records)
September 9, 1980
Progress Report to the SEC on an NYSE Audit Trail and other Related Developments
[image] (pdf) (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
September 16, 1980
"Adequate Information: Prerequisite to an Effective Board" - Address by SEC Chairman Harold M. Williams to Financial Executives Research Foundation/American Society of Corporate Secretaries
[image] (pdf) (Government Records)
September 16, 1980
"Regulation and Expansion of Options Markets," Address by SEC Commissioner John R. Evans to The "New" Stock Options Market Conference
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 16, 1980
"Reporting Developments at the SEC and their Impact on Annual Reports" - Remarks by A. Clarence Sampson, SEC Chief Accountant at Financial Times of London seminar
[image] (pdf) (Government Records)
September 25, 1980
Panel Presentation by SEC Commissioner John R. Evans to the OTC Congress '80
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 26, 1980
"Exploring the Limits of Corporate Accountability" - Remarks by SEC Commissioner Stephen J. Friedman to American Society of Corporate Secretaries
[image] (pdf) (Government Records)
October 1980
Acquisition of Technology-Based Firms by Tender Offer: An Economic and Financial Analysis - SEC Capital Market Working Papers
[image] (pdf) (Courtesy of the Library of Congress)
October 3, 1980
"The Foreign Challenge" - Remarks by SEC Commissioner Stephen J. Friedman, Los Angeles
[image] (pdf) (Government Records)
October 5, 1980
"The National Market System: An Update" - Address by SEC Chairman Harold M. Williams to National Security Traders Association
[image] (pdf) (Government Records)
October 10, 1980
New York State Attorney General Release on surrender of Laurence Hecker
[transcript] (pdf) (Courtesy of Orestes Mihaly)
October 17, 1980
"Transition to the 1980s - Political and Economic Evolution" - Remarks by SEC Commissioner Stephen J. Friedman to Congress of European Federation of Financial Analysts Societies
[image] (pdf) (Government Records)
October 24, 1980
"Do We Measure Up?," Address by SEC Commissioner John R. Evans to the 13th Annual Rocky Mountain State-Federal Securities Conference
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 31, 1980
"Perpetuating Private Enterprise: The Relevance of the American Experience" - Address by SEC Chairman Harold M. Williams to Institute of Advanced Legal Studies, London
[image] (pdf) (Government Records)
November 3, 1980
"Accounting and Financial Reporting - The Challenges of the 1980s" - Address by SEC Chairman Harold M. Williams to the New York State Society of Certified Public Accountants
[image] (pdf) (Government Records)
November 11, 1980
"Corporate Accountability: A Participatory Process," Address by SEC Commissioner John R. Evans to "Corporate Governance Issues and the Corporate Secretary," National Association of Corporate Directors
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 13, 1980
"Do Regulations Reinforce Ethical Postures?" - Address by SEC Chairman Harold M. Williams to Hebrew Union College
[image] (pdf) (Government Records)
November 13, 1980
"Investment Management and the Glass-Steagall Act - The Emperor's New Clothes" - Remarks by SEC Commissioner Stephen J. Friedman to the Association of Bank Holding Companies
[image] (pdf) (Government Records)
November 13, 1980
"The U.S. National Market System: Progress, Problems and Issues" - Remarks by William M. Batten, New York Stock Exchange at EEC Symposium - "Towards a European Stock Exchange"
[image] (pdf) (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
November 15, 1980
"Financial Regulators and Financial Markets: The Tortoise and the Hare" - Remarks by SEC Commissioner Stephen J. Friedman to Public Securities Association
[image] (pdf) (Government Records)
November 17, 1980
SEC Release: Steps Announced to Reduce Delays in Processing of Registration Statements
[document] (pdf) (Courtesy of Richard Rowe)
November 18, 1980
Memo from Roger Spencer, Reagan Administration Transition Team to Daniel Goelzer, SEC
[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
November 21, 1980
"The Economy and the Future - The Tyranny of the Short-Run" - Address by SEC Chairman Harold M. Williams to the Commonwealth Club
[image] (pdf) (Government Records)
November 21, 1980
New York State Attorney General Release announcing injunction against M.J.K. Investors Corporation and Kevin O'Connell
[image] (pdf) (Courtesy of Orestes Mihaly)
November 24, 1980
"The SEC and the Internal Auditor" - Address by SEC Commissioner Philip A. Loomis, Jr. to the Institute of Internal Auditors and the National Association of Corporate Directors
[image] (pdf) (Government Records)
November 24, 1980
A.A. Sommer, Jr., The Myths of Corporate Governance
[document] (pdf) (Courtesy of Mrs. Storrow Sommer)
December 1980
Report of the Joint Treasury-SEC-Federal Reserve Study of the Government-Related Securities Markets
[image] (pdf) (Courtesy of the Library of Congress)
December 4,1980
"The Securities Industry in the Years Ahead" - Address by SEC Chairman Harold M. Williams to the Securities Industry Association
[image] (pdf) (Government Records)
December 5, 1980
"The Conservative Regulator as Adventurer" - Remarks by SEC Commissioner Stephen J. Friedman to American Law Institute - American Bar Association Course of Study on Broker-Dealer Regulation
[image] (pdf) (Government Records)
December 5, 1980
Transcript of exit interview with Dr. Frank Press, by Dr. Thomas Soapes
[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
December 10, 1980
"A Time of Opportunity, A Time of Danger" - Address by William M. Batten, New York Stock Exchange at The Economy of 1981 Conference
[image] (pdf) (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
December 17, 1980
"Pension Funds and Social Responsibility" - Remarks by SEC Commissioner Stephen J. Friedman at the Exchequer Club
[image] (pdf) (Government Records)
December 18, 1980
Memorandum to the SEC Division of Corporation Finance on Group Achievement Award
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
December 22, 1980
Final Report on SEC by Reagan Administration Transition Team

(Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 31, 1980
Resignation Letter from SEC Chairman Harold M. Williams to President-Elect Ronald Reagan
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
1981
NASD Annual Report

(Courtesy of FINRA)

1981
NASD Notices to Members

(Courtesy of FINRA)

1981 to present
U.S. Securities and Exchange Commission Staff Award - Irving M. Pollack Award
[document] (pdf) (Government Records.)
January 2, 1981
Transcript of exit inteview with Sarah Weddington, by Emily Soapes
[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
January 8, 1981
Transcript of exit interview with Tom Lambrix, by Emily Soapes
[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
January 10, 1981
Transcript of exit interview with Stuart Eizenstat, by Emily Soapes
[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
January 13, 1981
"The Accounting Provisions of the Foreign Corrupt Practices Act: An Analysis," Address by SEC Chairman Harold M. Williams to the SEC Developments Conference, AICPA
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 20, 1981
Letter from John J. Phelan, Jr., New York Stock Exchange to SEC Chairman Harold Williams on NASD request for linkage between its Computer Assisted Execution System (CAES) and Intermarket Trading System (ITS)
[image] (pdf) (Courtesy of the National Archives and Records Administration)
January 22, 1981
"The Corporation as a Continuing Enterprise" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute
[image] (pdf) (Government Records)
January 22, 1981
Letter from James C. Strode, Director, Kentucky Division of Securities, to U.S. Senator Wendell H. Ford on proposed changes to the SEC Division of Enforcement
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 23, 1981
"The Real Issue: Accountability and Responsibility" - Remarks by William M. Batten, New York Stock Exchange at Securities Regulation Institute
[image] (pdf) (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
January 23, 1981
Memo to the SEC Commission from Paul Gonson and Frederick Wade on the GAO's Draft Report on the Foreign Corrupt Practices Act
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 29, 1981
Confidential Letter from A.A. Sommer, Jr. to Edwin Meese III concerning the SEC
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 30, 1981
'High Noon' in Utah for Banking Law, Salt Lake Tribune Business
[image] (pdf) (Courtesy of David Silver)
February 2, 1981
Transcript of exit interview with William Cable, by Emily Soapes
[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)
February 4, 1981
Letter from U.S. Senator Donald W. Riegle, Jr. to SEC Chairman Harold M. Wililams on the Foreign Corrupt Practices Act
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 9, 1981
Letter from Abraham J. Briloff, Baruch College, The City University of New York, to Barron's on "Sporkin's Swan Song?" 2-2-81 editorial
[document] (pdf) (Courtesy of Theodore A. Levine)
February 10, 1981
Telegram from Arnold Christensen, Utah State Senate, to SEC Commissioner John R. Evans requesting testimony on the regulation of money market funds
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 23, 1981
Letter from U.S. Representative John Dingell to SEC Chairman Harold M. Williams urging the SEC to require ITS and NASDAQ to implement automated interface
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 11, 1981
"The Eighties May be the Good New Days" - Address by John J. Phelan, Jr., New York Stock Exchange at the Yale Club
[image] (pdf) (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
March 19, 1981
Letter from A.A. Sommer, Jr. to SEC Commissioner John R. Evans thanking Mr. Evans for his participation in the Securities Regulation Institute
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April-May 1981
SEC Employee News
[image] (pdf) (Courtesy of the estate of Mollie B. Zion)
April 1, 1981
SEC First Six-Month Report on Implementation of the Market Oversight and Surveillance System (MOSS)
[image] (pdf) (Courtesy of David Morf)
April 6, 1981
Letter from Robert H. Davenport, SEC Regional Administrator - Denver, to Colorado Senator Ruth S. Stockton opposing cuts in funding for the Colorado Division of Securities
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 7, 1981
Letter from Michael Unger, Director, Massachusetts Securities Division, to SEC Secretary George A. Fitzsimmons on proposed Rule 17a-24: establishment of a customer complaint registry
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 8, 1981
Statement of the Honorable John R. Evans, Commissioner of the Securities and Exchange Commission, before the House of Representatives Subcommittee on Domestic Monetary Policy of the House Committee on Banking, Finance and Urban Affairs, concerning the Regu
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 9, 1981
Letter from Frank Wiglusz to SEC Commissioner John R. Evans on money market funds
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 10, 1981
Letter from John K. Moore, The Beach Bank of Vero Beach, to U.S. Representative Bill McCollum on checking privileges through money market funds
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 13, 1981
Letter from John S.R. Shad, E.F. Hutton & Co., to SEC Commissioner John R. Evans before Mr. Shad's swearing-in as SEC Chairman
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 24, 1981
"The Foreign Corrupt Practices Act: The Chafee Amendments" - Remarks by SEC Commissioner Stephen J. Friedman to the Annual Meeting of the Association of American Chambers of Commerce in Latin America
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 27, 1981
"Blue Skies and New Horizons of Cooperation," Address by SEC Commissioner John R. Evans to North American Securities Administrators Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 28, 1981
"Responsible Deregulation," Remarks of SEC Commissioner Barbara S. Thomas to the Federal Bar Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 8, 1981
Amended Verified Complaint for Injunctive Relief: Nelson Bunker Hunt, et Al., Plaintiffs, v. United States Securities and Exchange Commission, Defendant; U.S. District Court - Northern District of Texas, Dallas Division
[document] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 13, 1981
Statement of the Honorable John R. Evans, Commissioner of the Securities and Exchange Commission, before the United States Senate Committee on Banking, Housing and Urban Affairs, concerning the Regulation of Money Market Funds
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 16, 1981
Postcard from Joseph P. Mangine to SEC Commissioner John R. Evans in support of check writing privileges in money market funds. It begins "I hope you are real."
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 20, 1981
Statement of Sherman E. Unger, General Counsel, U.S. Department of Commerce, on amending the Foreign Corrupt Practices Act, S. 708
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 20, 1981
Testimony of William E. Brock, U.S. Trade Representative, on amending the Foreign Corrupt Practices Act, S.708
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 27, 1981
Letter from Ralph J. Bachenheimer, Corland Corporation, to SEC Chairman John S.R. Shad recommending consideration of John Fedders as Director of Enforcement
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 3, 1981
Letter from Bernard H. Barnett, Barnett & Alagia, to Senator Paul Laxalt recommending consideration of John Fedders as SEC Director of Enforcement
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 16, 1981
Written Statement of the Honorable John S.R. Shad, SEC, before Joint Hearings of the Subcommittee on Securities and the Subcommittee on International Finance and Monetary Policy of the Senate Committee on Banking, Housing and Urban Affairs concerning S.708
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 24, 1981
Release from New York Attorney General Robert Abrams on amended regulations governing theatrical financing
[image] (pdf) (Courtesy of Orestes Mihaly)
June 29, 1981
Letter from Edmund H. Kerr, Association of the Bar of the City of New York, to SEC Chairman John S.R. Shad suggesting reconsideration of SEC current practices
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 1981
NASD Newsletter Special Issue
[image] (pdf) (Courtesy FINRA)
July 9, 1981
Letter from Lee Gunderson, American Bankers Association, to Joel Goldberg, Director, SEC Division of Investment Management on money market mutual funds
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 13, 1981
Memorandum Opinion and Order: Nelson Bunker Hunt, et Al. vs. United States Securities and Exchange Commission; U.S. District Court - Northern District of Texas, Dallas Division
[document] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 13, 1981
Release from New York Attorney General Robert Abrams on raid against Mineral Resources, Inc.
[image] (pdf) (Courtesy of Orestes Mihaly)
July 13, 1981
Transcript of the Press Coffee with SEC Chairman John S.R. Shad
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 20, 1981
Memo from Benjamin Milk to SEC Chairman Shad with MOSS Briefing
[image] (pdf) (Courtesy of David Morf)
July 29, 1981
"Money Market Funds: A Case Study of the Consequences of Competition," Address by Martin E. Lybecker before the National Association of State Legislatures
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 31, 1981
Letter from SEC Commissioner John R. Evans to U.S. Senator Jake Garn responding to questions concerning money market funds
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 4, 1981
Letter from Philip McBride Johnson, Chairman of the Commodity Futures Trading Commission, to New York Attorney General Robert Abrams, asking for the State of New York's support for CFTC's enforcement on commodities fraud
[image] (pdf) (Courtesy of Orestes Mihaly)
August 17, 1981
Letter from Douglas Scarff, SEC to Bruce Simpson, Chicago Board Options Exchange, Inc. with findings on inspection of compliance programs
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 28, 1981
Letter from SEC Chairman John S.R. Shad to Charles Henry, Chicago Board Options Exchange, on surveillance of intermarket trading activity
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 28, 1981
Letter from SEC Chairman John S.R. Shad to John J. Phelan, Jr., New York Stock Exchange, Inc. on surveillance of intermarket trading activity
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 31, 1981
Letter from Ralph R. Smith, Securities Administrator, State of Washington, to SEC Commissioner John Evans
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 4, 1981
Letter from Warren B. French, Jr., Shenandoah Telephone Company, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 10, 1981
Letter from Carl W. Schneider, Wolf Block Schorr and Solis-Cohen, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 10, 1981
Release from New York Attorney General Robert Abrams on pyramid scheme of Am-Pro Marketing, Inc.
[image] (pdf) (Courtesy of Orestes Mihaly)
September 11, 1981
New York State Attorney General Release on Central Registration Depository (CRD) System
[image] (pdf) (Courtesy of Orestes Mihaly)
September 14, 1981
Letter from Robert A. Kessler, Fordham University School of Law, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 16, 1981
"Self-Regulation at the Crossroads" - Remarks by John J. Phelan, Jr., President, New York Stock Exchange, Inc. to Internal Auditors Division, Securities Industry Association
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext (copyright) 2010 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives. All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
September 23, 1981
Letter from Richard D. Latham, Texas Securities Commissioner, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 23, 1981
Letter from Robert F. Kenny, Tennis Togs, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 23, 1981
Letter from Stephen Glazier, Loeb and Loeb, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 25, 1981
Letter from Francis J. Stifter, Electronic Specialist, Inc., to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 25, 1981
Letter from Linda A. Wertheimer, Jackson Walker Winstead Cantwell & Miller, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 28, 1981
Letter from Anthony M. Lamport, Drexel Burnham Lambert, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 28, 1981
Letter from Bernard L. Porter, The William K. Westley Co., to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 29, 1981
Letter from Arthur B. Hahn, Merchandise for Media, Inc., to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 29, 1981
Letter from Michael K. Hynes, Hynes Aviation Industries, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 30, 1981
Letter from Sullivan & Cromwell to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 1, 1981
Letter from John D. Evans, Windels Marx Davies & Ives, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 1981
Letter from SEC Chairman John S.R. Shad to David A. Stockman, Office of Management and Budget, concerning the impact of budget reductions on the SEC
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 1, 1981
SEC Second Six-Month Report on Implementation of the Market Oversight and Surveillance System (MOSS)
[image] (pdf) (Courtesy of David Morf)
October 2, 1981
Letter from Gary D. Bruhn, Hoops & Hudson, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 2, 1981
Letter from the Los Angeles County Bar Association to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from David L. Ratner, University of San Francisco, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from Deloitte Haskins & Sells to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from Edward A. Benjamin and Christopher A. Klem, Ropes & Gray, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from Frank R. Goldstein, Piper & Marbury, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from Zel E. Lipsen, Lipsen & Hamberger, and Stephen M. Feldman, Wyatt and Saltzstein, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 5, 1981
Memo from Wayne Ginion on intermarket surveillance group efforts to date
[image] (pdf) (Courtesy of David Morf)
October 6, 1981
Letter from Jeremiah S. Buckley, Leighton Conklin Lemov Jacobs & Buckley, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 6, 1981
Memo from Dennis Shea to Douglas Scarff on NYSE audit trail
[image] (pdf) (Courtesy of David Morf)
October 11, 1981
"The Future is For Those Who are Prepared," Address by SEC Commissioner John R. Evans to 48th Annual Convention, National Security Traders Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 12, 1981
"A New Milestone," Address by SEC Commissioner John R. Evans to 64th Annual Conference, North American Securities Administrators Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 12, 1981
Letter from Donald G. Calcaterra, First Equity Associates, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 12, 1981
Letter from Thomas A. Kurkowski, INVST Financial Group, Inc., to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 12, 1981
Report of the Tender Offer Committee of the North American Securities Administrators Association, Inc. and Uniform Take-over Act
[image] (pdf) (Courtesy of Orestes Mihaly)
October 13, 1981
Letter from Michael Gettelman, Farella Braun & Martel, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 13, 1981
Letter from U.S. Representative Benjamin S. Rosenthal to SEC Chairman John S.R. Shad on Congressional hearings on the allegations of insider trading in Santa Fe International options
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 14, 1981
Memo from SEC Chairman Shad to all Commission staff members concerning proposed Fiscal 1982 budget reductions
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 15, 1981
Letter from Richard H. Rowe, Proskauer Rose Goetz & Mendelsohn, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 16, 1981
"Deregulation: A Sensitive Undertaking Requiring Adequate Resources," Address by SEC Commissioner John R. Evans to Symposium on Securities Regulation and the Capital Raising Process for Small Issuers
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 19, 1981
Letter from Kenneth J. Bialkin, American Bar Association, to David Stockman, Office of Management and Budget, opposing SEC budget cuts
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 20, 1981
Letter from Thomas M. Del Ricci to U.S. Representative R. Lawrence Coughlin, detailing impact of SEC budget cuts on Philadelphia Branch Office
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 20, 1981
Testimony of John R. Evans, Commissioner, Securities and Exchange Commission, before the Subcommittee on Commerce, Consumer and Monetary Affairs of the House Committee on Government Operations
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 21, 1981
Letter from Bruce H. Hahn, National Tooling & Machining Association, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 21, 1981
Letter from Frank J. Wilson, NASD, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 27, 1981
Letter from John C. Whitehead, Goldman, Sachs & Co., to Senator E.J. Garn, opposing SEC budget cuts
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 27, 1981
Letter from U.S. Representative Geraldine A. Ferraro to SEC Chairman Harold Williams, seeking information on impact on SEC of budget cuts
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 28, 1981
Letter from John H. Fitch, Jr., National Association of Wholesaler-Distributors, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
October 28, 1981
Letter from Ralph DeNunzio and Edward O'Brien, Securities Industry Association, to U.S. Representative Neal Smith, opposing SEC budget cuts
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 2, 1981
Letter from Senator Paul Laxalt to John C. Whitehead
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 4, 1981
Letter from A.A. Sommer, Jr., Morgan Lewis & Bockius, to David Stockman, opposing SEC budget cuts
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 4, 1981
Letter from Senator Christopher J. Dodd to John C. Whitehead
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 4, 1981
New York State Attorney General Release on arrest of boiler room operators preying on fears of new cold war
[image] (pdf) (Courtesy of Orestes Mihaly)
November 5, 1981
Letter from Senator Howard H. Baker, Jr. to John C. Whitehead
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 6, 1981
Letter from Robert D. Strahota, Kirkland & Ellis, to the SEC re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
November 9, 1981
Letter from Senator John Heinz to John C. Whitehead
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 10, 1981
Letter from Senator William Proxmire to John C. Whitehead
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 12, 1981
Report from Donald Malawsky, SEC Regional Administrator, to SEC Chairman John S. R. Shad on securities regulation symposium in Buffalo
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 16, 1981
Letter from Representative John D. Dingell to SEC Chairman John S.R. Shad, protesting the discontinuance of the News Digest and SEC Docket
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 16, 1981
Letter from Walter Auch, Chicago Board Options Exchange to Leslie Rosenthal and Robert Wilmouth, Chicago Board of Trade on relations between the CBOE and CBT
[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)
November 18, 1981
Letter from Leslie Rosenthal, Chicago Board of Trade to CBT members on relations between the CBT and CBOE
[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)
November 19, 1981
Memo from David Morf to George Kundahl on risk and MOSS
[image] (pdf) (Courtesy of David Morf)
November 20, 1981
Memo from SEC Executive Director George G. Kundahl to SEC Division Directors, Office Heads and Regional Administrators on Commission Activities during the Weekend of November 21-22, 1981
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 23, 1981
Memo from SEC Executive Director George G. Kundahl to SEC Staff concerning Commission Operations during Period of the Absence of Appropriations
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 2, 1981
"The SEC and the Securities Industry," Address by SEC Chairman John S.R. Shad to the Securities Industry Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 4, 1981
Letter from Senator Ted Stevens to John C. Whitehead
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 9, 1981
Release from New York Attorney General Robert Abrams against Paul Curcio (aka Dominic Bellini) for "Ponzi" scheme
[image] (pdf) (Courtesy of Orestes Mihaly)
December 30, 1981
Memo from Douglas Scarff to SEC Chairman Shad on MOSS operations for FY-82
[image] (pdf) (Courtesy of David Morf)
December 30, 1981
Release from New York Attorney General Robert Abrams on raid against boiler room operation of tax-sheltered oil leases
[image] (pdf) (Courtesy of Orestes Mihaly)
January 1982
"Internationalization of the Securities Markets: An Empirical Analysis" - Barbara S. Thomas, in "Foreign Issuers," The George Washington Law Review
[image] (pdf) (Courtesy of Barbara S. Thomas Judge)
1982
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1982
NASD Notices to Members

(Courtesy of FINRA)

1982
Securities and Exchange Commission Jurisdiction Clarification (Public Law No. 97-303); Section 202 of IAA Amended; Section 2(a)(36) of ICA Amended
[document] (pdf) (Government Records)
January 24, 1982
Release from New York Attorney General Robert Abrams announcing hearings on illegal boiler room schemes
[image] (pdf) (Courtesy of Orestes Mihaly)
January 25, 1982
Memo to SEC Commissioner John R. Evans from Dianne E. O'Donnell, Special Counsel to the Director, Division of Investment Management, concerning new products
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 5, 1982
"Glass-Steagall in Transition," Address by SEC Commissioner John R. Evans to 2nd Annual Southern Securities Institute
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 16, 1982
Action Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
February 21, 1982
Chicago Board Options Exchange press release on opening of new facility
[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)
February 25, 1982
"Private Sector Resistance to Deregulation," Address by SEC Commissioner John R. Evans to Utah Securities Regulation Seminar
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 1, 1982
Supplemental Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D (
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
March 15, 1982
Letter from Jean J. Rousseau, Chairman, Municipal Securities Rulemaking Board, to SEC Commissioner John R. Evans concerning MSRB's proposed changes to the Net Capital Rule
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 16, 1982
Letter from Elliott H. Lutzker, Bachner Tally & Mantell, to the SEC re Securities Act of 1933: Section 4(2), Rule 506 - Rule 146
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
March 23, 1982
SEC Release: Notice of filing and immediate effectiveness of proposed rule change by Options Clearing Corporation
[transcript] (pdf) (Courtesy of Stuart J. Kaswell)
March 24, 1982
Letter from David B.H. Martin, Jr., SEC, to Elliott H. Lutzker, Bachner Tally & Mantell
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
March 25, 1982
Memorandum from SEC Chairman John S.R. Shad to all Commission employees
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
April 6, 1982
Testimony of John R. Evans, Commissioner, Securities and Exchange Commission, before the Subcommittee on Commerce, Consumer and Monetary Affairs of the House Committee on Government Operations
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 12, 1982
Letter from John M. Fedders, Director, SEC Division of Enforcement, to the Editor, Business Week
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 28, 1982
SEC Release: Order approving proposed rule change by NASD
[transcript] (pdf) (Courtesy of Stuart J. Kaswell)
June 3, 1982
"Regulation D: More Progress in Reducing Government Regulation," Address by SEC Commissioner John R. Evans to "The New Rules for Private Placements
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 18, 1982
Letter from Douglas Scarff, SEC Division of Market Regulation to Gordon Macklin, NASD on independent contractors
[image] (pdf) (Courtesy of Stuart Kaswell)
June 21, 1982
"Thoughts on Business Ethics in a Private Enterprise System," Address by SEC Commissioner John R. Evans to New York Chapter, Brigham Young University Management Society
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 28, 1982
Memo from Robert J. Zutz, Office of Commissioner Evans, re June 16th meeting with Morton Weiss, National Security Traders Association
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 1, 1982
New York State Attorney General Release on arrests in sale of ads in fraudulent publications
[image] (pdf) (Courtesy of Orestes Mihaly)
August 12, 1982
Release from New York Attorney General Robert Abrams announcing indictments in fraudulent metal sale
[image] (pdf) (Courtesy of Orestes Mihaly)
August 13, 1982
Letter from SEC Commissioner John R. Evans to William P. Clark, Assistant to the President for National Security Affairs, re travel to Quito, Ecuador to plan the VIII Interamerican Conference of Securities Commissions
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 3, 1982
Letter from Gail Erickson, W.R. Grace & Co., to the SEC re Form D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 3, 1982
Memo from Edward Greene, SEC General Counsel to SEC Chairman John S.R. Shad on issues relating to use of repurchase agreements by mutual funds
[image] (pdf) (Anonymous)
September 7, 1982
Memo from the Business Conduct Committee to the Board of Directors, Chicago Board Options Exchange on competing market maker system
[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)
September 23, 1982
Memo from Charles Henry to Walter Auch and Lawrence Blum, Chicago Board Options Exchange on NASD's proposal to trade stock options
[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)
September 29, 1982
Letter from Paul Volcker, Federal Reserve to Senator Robert J. Dole on proposed amendment of the bankruptcy code concerning repurchase transactions ("repos")
[transcript] (pdf) (Courtesy of Stuart J. Kaswell)
October 7-8, 1982
Structure of the Securities Markets: Briefing Paper prepared by SEC Division of Market Regulation for SEC major issues conference
[image] (pdf) (Courtesy of Stuart Kaswell)
October 21, 1982
Memo from SEC Executive Director George G. Kundahl to SEC Division Directors, Commissioners and Office Heads with two draft agendas for the SEC's 50th anniversary
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 8, 1982
Letter from David B.H. Martin, Jr., SEC, to Gail Erickson, W.R. Grace & Co.
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
November 23, 1982
Letter from Scott Green to David B.H. Martin, Jr., SEC
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
December 1982
Report of New York Bureau of Investor Protection and Securities of significant matters in 1982
[image] (pdf) (Courtesy of Orestes Mihaly)
December 1, 1982
Statement of Commissioner John R. Evans before a Joint Hearing of the House Subcommittee on Tax, Access to Equity Capital and Business Opportunities of the House Committee on Small Business and the Senate Small Business Committee
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 3, 1982
"The Securities Industry and the SEC in the 1980s," Address by SEC Chairman John S.R. Shad to the Securities Industry Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 30, 1982
Brief for Petitioner Raymond L. Dirks on Writ of Certiorari to the U.S. Court of Appeals
[image] (pdf) (Courtesy of the Library of Congress)
1983
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1983
NASD Notices to Members

(Courtesy of FINRA)

1983 to present
U.S. Securities and Exchange Commission Staff Award - Philip A. Loomis, Jr. Award
[document] (pdf) (Government Records.)
January 12, 1983
SEC Release: Order approving proposed rule change by Options Clearing Corporation
[transcript] (pdf) (Courtesy of Stuart J. Kaswell)
January 20, 1983
Letter from David B.H. Martin, Jr., SEC, to Scott Green
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
January 24, 1983
"Changing Financial Services and Regulation," Address by SEC Commissioner John R. Evans to North American Securities Administrators Association Financial Institutions Forum
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 31, 1983
Brief for the SEC on Writ of Certiorari to the U.S. Court of Appeals, Raymond L. Dirks v. SEC
[image] (pdf) (Courtesy of the Library of Congress)
February 16, 1983
Action Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
February 17, 1983
Letter from SEC Commissioner John R. Evans to Ron Mann, Associate Director, Presidental Personnel, re re-appointment to the Commission
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 22, 1983
Memo to the SEC Commission from Russell B. Stevenson, Jr. on proposed testimony on S.414 to amend the Foreign Corrupt Practices Act
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 22, 1983
Report of the Tender Offer Committee regarding future role of NASAA in take-over regulation
[image] (pdf) (Courtesy of Orestes Mihaly)
March 1, 1983
Letter from J. Willard Marriott to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 3, 1983
Reply Brief for Petitioner Raymond L. Dirks
[image] (pdf) (Courtesy of the Library of Congress)
March 11, 1983
"Cooked Books: Just Old, Unappetizing Recipes," Remarks by SEC Commissioner James C. Treadway, Jr. to the Institute for Corporate Counsel
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 11, 1983
Letter from Dan Marriott, U.S. House of Representatives, to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 23, 1983
Letter from Richard D. Latham, Texas Securities Commissioner, to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 24, 1983
"Corporate Governance for Mutual Funds - Is It Ready for a Change," Panel Presentation by SEC Commissioner John R. Evans to 1983 Mutual Funds and Investment Management Conference
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 25, 1983
Addendum to the Testimony of John S.R. Shad, SEC Chairman, before the Subcommittee on Banking, Housing and Urban Affairs
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 25, 1983
Statement of John S.R. Shad, SEC Chairman, to the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 5, 1983
Memo on Departure of John B. "Jay" Manning, Jr. from SEC
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 8, 1983
Release from New York Attorney General Robert Abrams announcing fine for fictitious "ticker" reports
[image] (pdf) (Courtesy of Orestes Mihaly)
April 12, 1983
Remarks by John R. Evans, Commissioner, to the National Advisory Council, Senate Committee on Small Business
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 13, 1983
Selections from Hearing before the Subcommittee on Telecommunications, Consumer Protection and Finance of the Committee on Energy and Commerce, U.S. House of Representatives, 98th Congress, 1st Session on H.R. 559 (SEC Enforcement Legislation)

(Courtesy of the Library of Congress)

April 13, 1983
Written Statement of the Honorable John S.R. Shad, Chairman, before the Subcommittee on Telecommunications, Consumer Protection and Finance of the House Energy and Commerce Committee, concerning the Insider Trading Sanctions Act
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 27, 1983
"The Work of the Securities and Exchange Commission," Remarks by SEC Commissioner John R. Evans to The Brookings Institution Conference for Business Executives on Federal Government Operations
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 28, 1983
Release from New York Attorney General Robert Abrams announcing public hearing on "boiler room" abuses
[image] (pdf) (Courtesy of Orestes Mihaly)
April 29, 1983
Commissioner Barbara S. Thomas - "The Shelf Rule: An Interim Appraisal," Address to the Securities Industry Association
[document] (pdf) (Courtesy of Barbara Thomas Judge)
May 1983
A.A. Sommer, Jr., The Regulation of Securities Markets in the United States, delivered in Lisbon, Portugal
[document] (pdf) (Courtesy of Mrs. Storrow Sommer)
May 1983
A.A. Sommer, Jr., The Regulation of Securities Markets in Western Europe, delivered in Lisbon, Portugal
[document] (pdf) (Courtesy of Mrs. Storrow Sommer)
May 9, 1983
Joint Letter from Attorneys to James A. Baker III endorsing the re-appointment of John R. Evans to the SEC Commission
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 10, 1983
Letter from Daniel J. McCauley, Jr. to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 23, 1983
SEC Release: Proposed rule change by Pacific Securities Depository Trust Company
[image] (pdf) (Courtesy of Stuart Kaswell)
May 24, 1983
Letter from Senator Orrin Hatch to John Herrington, Director, Presidential Personnel, in support of the re-appointment of John R. Evans to the SEC Commission
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 2, 1983
"Insider Trading and the Duty Analysis after Chiarella," Remarks by SEC Commissioner James C. Treadway, Jr. to ALA-ABA Securities Litigation Program
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 2, 1983
Remarks by Orestes Mihaly, Chairman, North American Securities Administrators Association Tender Offer Committee, before the SEC Advisory Panel on Takeovers
[image] (pdf) (Courtesy of Orestes Mihaly)
June 3, 1983
"Financial Frauds and Related Party Transactions - the SEC Response," by Theodore A. Levine, Frederick Wade, James B. Bragg and Thomas A. Ferrigno

(Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 9, 1983
"Developments in the Regulation of Accounting and Financial Disclosure under the Federal Securities Acts," Address by SEC Commissioner John R. Evans to the Conference on New Trends in Accounting and Financial Reporting, Machinery and Allied Products Instit
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 9, 1983
Letter from A.A. Sommer, Jr. to SEC Commissioner John R. Evans supporting Mr. Evans' re-appointment to the SEC Commission
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 9-10, 1983
The Role of the SEC: Past and Future - Address by A. Clarence Sampson, SEC Chief Accountant, as part of "A Decade of Setting Financial Reporting Standards," New York University
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 23, 1983
"Shareholder Proposal Rule," Remarks by SEC Commissioner James C. Treadway, Jr. to the Edison Electric Institute Seminar on Current SEC Developments
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 27, 1983
SEC Office of the Chief Accountant Alumni Meeting
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 28, 1983
"Glass-Steagall - Who Should Decide?," Address by SEC Commissioner John R. Evans to the Executive Committees of Bank Investments and Funds Management Divisions, American Bankers Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 1, 1983
Supreme Court of the United States: Raymond L. Dirks v. SEC on Writ of Certiorari to the U.S. Court of Appeals
[image] (pdf) (Courtesy of the Library of Congress)
July 10, 1983
Letter from Joel Seligman to SEC Commissioner John R. Evans on Mr. Evans' retirement from the SEC Commission
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 12, 1983
Statement of John M. Fedders, Director, SEC Division of Enforcement, before the Subcommittee on International Economic Policy and Trade Committee on Foreign Affairs, U.S. House of Representatives, on H.R. 2157, the Foreign Trade Practices Act of 1983
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 14, 1983
New York State Attorney General Release on arrest of Florida gold dealers
[transcript] (pdf) (Courtesy of Orestes Mihaly)
July 22, 1983
Notice from National Securities Clearing Corporation on post-trade processing following AT&T divestiture
[transcript] (pdf) (Courtesy of Stuart J. Kaswell)
July 27, 1983
Summary of Statement of John S.R. Shad, SEC Chairman, before the House Judiciary Subcommittee on Administrative Law and Governmental Relations, on H.R.2327
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 3, 1983
Letter from Harry Pollack to Commissioner John R. Evans
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 3, 1983
Letter from Harry Pollack to SEC Commissioner John R. Evans on the end of Mr. Evans's tenure at the SEC
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 31, 1982
Memorandum of Understanding - U.S. Securities and Exchange Commission and the Government of Switzerland
[image] (pdf) (Government Records)
September 7, 1983
Depository Trust Company memorandum on AT&T divestiture
[image] (pdf) (Courtesy of Stuart Kaswell)
September 21, 1983
"Federal Preemption of State Blue Sky Laws," Panel Presentation by SEC Commissioner John R. Evans to the 66th Annual Fall Conference, North American Securities Administrators Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 29, 1983
"A Seamless Web: Banks, New Activities and Disclosure," Keynote Speech by SEC Commissioner James C. Treadway, Jr. to Securities Activities of Banks Third Annual Seminar
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 9, 1983
"Post-War Trends and Recent Developments in the Market and at the SEC," Address by SEC Chairman John S.R. Shad to the National Security Traders Association
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 14, 1983
Letter from SEC Commissioner John R. Evans to Eugene I. Goldman on Mr. Goldman's resignation from the SEC Division of Enforcement
[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 18, 1983
"Social and Ethical Objectives of Regulation - Can a Government be Neutral?" - Remarks by SEC Commissioner James C. Treadway, Jr., LeRoy Jeffers Memorial Lectures on Theology and Law
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 18, 1983
NASD notice to select members on AT&T divestiture
[image] (pdf) (Courtesy of Stuart Kaswell)
November 23, 1983
New York Stock Exchange information memo on deposit and capital treatment of AT&T divestiture securities
[transcript] (pdf) (Courtesy of Stuart J. Kaswell)
December 16, 1983
Letter from E.C. Mackey, Director, State of Michigan Corporation & Securities Bureau, to David B.H. Martin, Jr., SEC
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
1984
A.A. Sommer, Jr., Good People, Important Problems and Workable Laws, delivered to the U.S. Securities and Exchange Commission
[document] (pdf) (Courtesy of Mrs. Storrow Sommer)
1984
A.A. Sommer, Jr.- The Challenges of Tomorrow for the SEC, 1984 Major Issues Conference
[document] (pdf) (Courtesy of Paul Gonson)
1984
Charles C. Cox - Summary of Opening Remarks on Critique of the Commission on its 50th Anniversary
[document] (pdf) (Courtesy of Paul Gonson)
1984
Charles C. Cox and Paul Gonson - Discussion Outline of Critique of the Commission on its 50th Anniversary
[document] (pdf) (Courtesy of Paul Gonson)
1984
Irving Pollack - The SEC's First Fifty Years, 1984 Major Issues Conference
[document] (pdf) (Courtesy of Paul Gonson)
1984
Joel Seligman - Summary of Remarks at 1984 Major Issues Conference
[document] (pdf) (Courtesy of Paul Gonson)
1984
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1984
NASD Notices to Members

(Courtesy of FINRA)

1984 to present
U.S. Securities and Exchange Commission Staff Award - Byron D. Woodside Award
[document] (pdf) (Government Records.)
March 16, 1984
Release from New York Attorney General Robert Abrams announcing guilty plea by George Wilson Glass
[image] (pdf) (Courtesy of Orestes Mihaly)
April 3, 1984
Selections from Hearing before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 98th Congress, 2nd Session on H.R. 559 (Insider Trading Sanctions Act of 1983)
[image] (pdf) (Courtesy of the Library of Congress)
April 4, 1984
Release from New York Attorney General Robert Abrams on arrest of Michael and Trudy Charrier
[image] (pdf) (Courtesy of Orestes Mihaly)
April 11, 1984
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion
[document] (pdf) (Courtesy of Paul Gonson)
April 13, 1984
Release from New York Attorney General Robert Abrams on halt of sale of fraudulent tax shelters
[image] (pdf) (Courtesy of Orestes Mihaly)
April 24, 1984
Release from New York Attorney General Robert Abrams on raid on oil and gas lease boiler room
[image] (pdf) (Courtesy of Orestes Mihaly)
April 28, 1984
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion
[document] (pdf) (Courtesy of Paul Gonson)
May 1984
SEC Employee News
[document] (pdf) (Courtesy of Theodore Levine)
May 4, 1984
Letter from Homer Kripke to Paul Gonson, Irving Pollack, Joel Seligman and A.A. Sommer, Jr. on the 1984 Major Issues Conference
[document] (pdf) (Courtesy of Paul Gonson)
May 15, 1984
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion
[document] (pdf) (Courtesy of Paul Gonson)
May 17, 1984
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion
[document] (pdf) (Courtesy of Paul Gonson)
May 30, 1984
Memorandum from Homer Kripke for the 1984 Major Issues Conference
[document] (pdf) (Courtesy of Paul Gonson)
June 28 to 29 1984
Homer Kripke-Looking Backward and Forward at the SEC After Fifty Years, SEC Major Issues Conference
[document] (pdf) (Courtesy of Paul Gonson)
June 29, 1984
SEC 50th Anniversary Dinner Program
[image] (pdf) (Courtesy of Morton Koeppel)
August 21, 1984
Release from New York Attorney General Robert Abrams alerting investors to questionable penny stocks
[image] (pdf) (Courtesy of Orestes Mihaly)
August 30, 1984
No action request from Michael Lindburg, Boston Stock Exchange to Michael Simon, SEC Division of Market Regulation
[transcript] (pdf) (Courtesy of Stuart Kaswell)
August 31, 1984
Letter from SEC Chairman John S.R. Shad to Michael Unger, Massachusetts Securities Division
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 10, 1984
"The Disenfranchisement of America," draft speech by SEC Chairman John S.R. Shad
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
September 20, 1984
Report of the North American Securities Administrators Association's Investment Companies Committee to the Fall 1984 Membership Meeting
[image] (pdf) (Courtesy of Orestes Mihaly)
September 26, 1984
Response on no action request from Michael Simon, SEC Division of Market Regulation to Michael Lindburg, Boston Stock Exchange
[transcript] (pdf) (Courtesy of Stuart Kaswell)
October 4, 1984
Release from New York Attorney General Robert Abrams halting sale of shoe repair franchises
[image] (pdf) (Courtesy of Orestes Mihaly)
October 11, 1984
Report of the Organizational Task Force, Chicago Board Options Exchange
[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)
October 22, 1984
"For Your Eyes Only" Memo from Walter Auch to Chicago Board Options Exchange Directors for October 31 meeting
[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)
December 5, 1984
Release from New York Attorney General Robert Abrams announcing arrest of Harold Sorkin
[image] (pdf) (Courtesy of Orestes Mihaly)
1985
EDGAR Brochure
[image] (pdf) (Government Records)
1985
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1985
NASD Notices to Members

(Courtesy of FINRA)

January 30, 1985
Letter from Mark Tepper, New York Assistant Attorney General, on acceptance of guilty plea from James D. Alderdice on securities fraud
[image] (pdf) (Courtesy of Orestes Mihaly)
February 1, 1985
Edited transcript of interview with the Honorable Barber Conable, conducted by William A. Syers
[transcript] (pdf) (William A. Syers Papers, Courtesy of the Gerald R. Ford Library)
February 6, 1985
Edited transcript of interview with William J. Baroody, Jr., conducted by William A. Syers
[image] (pdf) (William A. Syers Papers, Courtesy of the Gerald R. Ford Library)
February 7, 1985
New York State Attorney General Release in support of state attorney generals opposing settlement in Baldwin-United
[image] (pdf) (Courtesy of Orestes Mihaly)
March 4, 1985
Letter from John M. Fedders to the SEC Commission and Staff
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
March 6, 1985
Resignation Letter from SEC Commissioner Charles L. Marinaccio
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
March 13, 1985
Final edited transcript of interview with Philip W. Buchen, conducted by William A. Syers
[transcript] (pdf) (William A. Syers Papers, Courtesy of the Gerald R. Ford Library)
March 14, 1985
Resignation Letter from SEC Commissioner James C. Treadway, Jr.
[document] (pdf) (Courtesy of David B.H. Martin, Jr.)
May 13, 1985
Final edited transcript of interview with Roger B. Porter, conducted by William A. Syers
[transcript] (pdf) (William A. Syers Papers, Courtesy of the Gerald R. Ford Library)
June 12, 1985
Final edited transcript of interview with L. William Seidman, conducted by William A. Syers
[image] (pdf) (William A. Syers Papers, Courtesy of the Gerald R. Ford Library)
July 3, 1985
Final edited transcript of interview with Tom Korologos, conducted by William A. Syers
[image] (pdf) (William A. Syers Papers, Courtesy of the Gerald R. Ford Library)
July 10, 1985
Inscription to Dennis Levine from Ivan Boesky, within a copy of "Merger Mania" by Mr. Boesky, published in 1985
[image] (pdf) (Courtesy of Government Records)
July 11, 1985
Release from New York Attorney General Robert Abrams barring "Balm in Gilead" producers
[image] (pdf) (Courtesy of Orestes Mihaly)
July 17, 1985
Memo from Orestes J. Mihaly and Daniel Bell to Wayne Howell, NASAA President, on E.F. Hutton
[image] (pdf) (Courtesy of Orestes Mihaly)
August 5, 1985
Memo from Orestes J. Mihaly and Harvey J. Golubock to Deborah Bachrach and Mary Ellen Burns, New York State Attorney General Office, on E.F. Hutton guilty plea
[image] (pdf) (Courtesy of Orestes Mihaly)
September 4, 1985
Letter from Griffin B. Bell, King & Spalding, to Orestes J. Mihaly on Hutton report
[image] (pdf) (Courtesy of Orestes Mihaly)
September 5 and 11, 1985
Background Materials for the SEC Roundtables on Major Issues
[document] (pdf) (Courtesy of Paul Gonson)
September 18, 1985
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad, with information on complaint of Joan Hunt Smith against Shearson/Lehman American Express
[transcript] (pdf) (Courtesy of Stuart J. Kaswell)
September 27, 1985
The National Market System: A Selective Outline of Significant Events, 1971-1985, by Robert L.D. Colby, Lloyd H. Feller, Mark D. Fitterman and George T. Simon
[document] (pdf) (permission given by authors May 2003)
October 22, 1985
Letter from Orestes Mihaly for the North American Securities Administrators Association, Inc. to John Wheeler, SEC Secretary on the NASAA Tender Offer Committee comment letter on proposed SEC rules regarding tender offers
[image] (pdf) (Courtesy of Orestes Mihaly)
October 28, 1985
New York State Attorney General Release announcing E.F. Hutton agreement to alter payment policies
[image] (pdf) (Courtesy of Orestes Mihaly)
October 28, 1985
Supreme Court of the State of New York - State of New York against E.F. Hutton & Company, Inc.
[transcript] (pdf) (Courtesy of Orestes Mihaly)
December 02, 1985
Letter from Lloyd N. Cutler, Wilmer Cutler & Pickering, to U.S. Senator Charles Mathias on the nomination of Stanley Sporkin to the U.S. District Court
[document] (pdf) (Courtesy of Theodore A. Levine)
December 4, 1985
New York Stock Exchange Press Release - Record Number of Americans Own Stock
[image] (pdf) (Courtesy of Stuart Kaswell)
1986
Government Securities Act of 1986 (Public Law No. 99-571); Section 203 of IAA Amended; Section 9 of ICA Amended
[document] (pdf) (Government Records)
1986
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1986
NASD Notices to Members

(Courtesy of FINRA)

1986
Nomination of Eric Summergrad for the Manuel F. Cohen Outstanding Securities and Exchange Commission Younger Lawyer Award
[image] (pdf) (Courtesy of the Summergrad Family)
January 14, 1986
Release from New York Attorney General Robert Abrams suing franchise business promoter
[image] (pdf) (Courtesy of Orestes Mihaly)
February 18, 1986
Letter from Richard Ketchum, SEC Division of Market Regulation to Consuela Washington, House Committee on Energy and Commerce on no-action letters issued to over-the-counter automated trading systems
[image] (pdf) (Courtesy of Stuart Kaswell)
February 19, 1986
SEC Roundtable on Market Rumors and Trading Halts
[image] (pdf) (Courtesy of David B.H. Martin)
May 20, 1986
Release from New York Attorney General Robert Abrams announcing criminal prosecutions in tax shelter fraud
[image] (pdf) (Courtesy of Orestes Mihaly)
May 23, 1986
Understanding - U.S. Securities and Exchange Commission and the Securities Bureau of the Japanese Ministry of Finance
[image] (pdf) (Government Records)
May 30, 1986
Release from New York Attorney General Robert Abrams on injunction on oil and gas lease boiler room
[image] (pdf) (Courtesy of Orestes Mihaly)
June 3, 1986
SEC Roundtable: Financial Reporting and the Role of the Independent Auditor
[image] (pdf) (Courtesy of Stuart Kaswell)
June 23, 1986
Statement of SEC Chairman John S.R. Shad concerning financial reporting and the role of the independent auditor before the Subcommittee on Oversight and Investigations of the House Committee on Energy and Commerce
[image] (pdf) (Courtesy of Stuart Kaswell)
July 8, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad requesting information on Shearson Lehman Brothers
[image] (pdf) (Courtesy of Stuart Kaswell)
July 9, 1986
Letter from Gary Lynch, SEC Division of Enforcement to U.S. Representative John Dingell on SEC v. First Jersey Securities and Robert E. Brennan
[image] (pdf) (Courtesy of Stuart Kaswell)
July 16, 1986
New York Stock Exchange Press Release - Stockownership Grew Faster than General Population
[image] (pdf) (Courtesy of Stuart Kaswell)
July 17, 1986
Joint statement by U.S. Representative Dan Rostenkowski, U.S. Senator Bob Packwood and Treasury Secretary James Baker on effective date of proposed requirement that certain arbitrage profits on tax-exempt bonds be rebated to the Federal Government
[transcript] (pdf) (Courtesy of an anonymous donor)
July 22, 1986
Letter from Sarah Ackerson, SEC Division of Market Regulation to David Queen, Department of the Treasury on SRO compliance with the Currency and Foreign Transactions Reporting Act
[image] (pdf) (Anonymous)
July 31, 1986
Release from New York Attorney General Robert Abrams on arrest of Jack Shulman
[image] (pdf) (Courtesy of Orestes Mihaly)
August 8, 1986
Letter from Richard Ketchum, SEC Division of Market Regulation to Eric Roiter, Debevoise & Plimpton on Security Pacific National Bank
[image] (pdf) (Courtesy of Stuart Kaswell)
August 11, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad concerning no-action letter to Security Pacific National Bank
[image] (pdf) (Courtesy of an anonymous donor)
August 11, 1986
Letter from U.S. Representative Larry Craig to SEC Chairman John S.R. Shad seeking clarification on Security Pacific National Bank
[image] (pdf) (Courtesy of an anonymous donor)
August 26, 1986
Statement by Orestes Mihaly, on behalf of Attorney General Robert Abrams, before the New York State Senate Committee on Banking
[image] (pdf) (Courtesy of Orestes Mihaly)
August 28, 1986
Letter from SEC Commissioner Charles Cox to U.S. Representative John Dingell, with SEC Division of Market Regulation report concerning complaint by Joan Hunt Smith
[image] (pdf) (Courtesy of an anonymous donor)
September 5, 1986
Letter from John J. Phelan, Jr., New York Stock Exchange, to A.A. Sommer, Jr.
[document] (tml) (Courtesy of Mrs. Storrow Sommer)
September 15, 1986
Letter from U.S. Representative John Dingell to Federal Reserve Chairman Paul Volcker concerning Security Pacific National Bank
[image] (pdf) (Courtesy of an anonymous donor)
September 15, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad concerning Security Pacific National Bank
[image] (pdf) (Courtesy of an anonymous donor)
September 23, 1986
Memorandum of Understanding - U.S. Securities and Exchange Commission and the Department of Trade and Industry of the United Kingdom
[image] (pdf) (Government Records)
October 21, 1986
Letter from SEC Chairman John S.R. Shad to U.S. Representative John Dingell on Security Pacific Bank's no-action request
[transcript] (pdf) (Courtesy of Stuart J. Kaswell)
October 27, 1986
Letter from Federal Reserve Chairman Paul Volcker to U.S. Representative John Dingell, with staff memo concerning Security Pacific National Bank
[image] (pdf) (Courtesy of an anonymous donor)
October 31, 1986
Letter from Joan Hunt Smith to U.S. Representative John Dingell with comments on SEC report
[image] (pdf) (Courtesy of an anonymous donor)
November 5, 1986
Release from New York Attorney General Robert Abrams on charges against First Meridian Planning Corporation
[image] (pdf) (Courtesy of Orestes Mihaly)
November 14, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad concerning Joan Hunt Smith
[image] (pdf) (Courtesy of an anonymous donor)
14 November 1986
Boesky Day
[image] (pdf)
November 26, 1986
Letter from U.S. Representative John D. Dingell to Federal Reserve Chairman Paul A. Volcker on Security Pacific National Bank
[image] (pdf) (Anonymous)
November 26, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad concerning Security Pacific National Bank
[image] (pdf) (Courtesy of an anonymous donor)
December 1, 1986
Letter from Patrick F. Healy, Chicago Crime Commission to U.S. Representative John Dingell commending his assistance to Joan Hunt Smith
[image] (pdf) (Anonymous)
December 2, 1986
Supplement to Pool Memo to Justice Lewis Powell from Ronald J. Mann, No. 86-422, Carpenter v. United States
[image] (pdf) (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 5, 1986
Preliminary Memo on December 5, 1986 Conference List 1, Sheet 2, No. 86-422, Carpenter et al v. United States, with Justice Powell's handwritten notes
[image] (pdf) (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 5, 1986
U.S. Supreme Court Vote on Dissent from Denial of Certiorari, Carpenter v. United States
[image] (pdf) (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 9, 1986
Cover Memo and Draft on Carpenter v. United States, prepared by Ronald J. Mann for Justice Lewis Powell, with Justice Powell's handwritten notes
[image] (pdf) (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 10, 1986
First Draft - Carpenter v. United States, on Petiton for Writ of Certiorari; Justice Lewis Powell, dissenting from denial of certiorari, with Justice Powell's handwritten notes
[image] (pdf) (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 10, 1986
Second Draft - Carpenter v. United States, on Petition for Writ of Certiorari; Justice Powell dissenting from denial of certiorari
[image] (pdf) (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 11, 1986
Letter from Chief Justice William Rehnquist requesting Justice Lewis Powell join in dissent from denial of certiorari in Carpenter et al. v. United States
[image] (pdf) (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 11, 1986
Letter from Justice Sandra Day O'Connor requesting Justice Lewis Powell join in dissent from denial of certiorari in Carpenter, Felis & Winans v. United States
[document] (pdf) (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 11, 1986
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad on guaranteed investment contracts (GICs)
[image] (pdf) (Courtesy of an anonymous donor)
December 11, 1986
Testimony of Gary Lynch and of Richard Ketchum in Hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, U.S. House of Representatives, 99th Congress, 2nd Session
[image] (pdf) (Courtesy of the Library of Congress)
December 12, 1986
U.S. Supreme Court Vote on Dissent from Denial of Certiorari, Carpenter v. United States
[image] (pdf) (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 24, 1986
Letter from Leo McKernan, New York Stock Exchange to Robert Love, SEC Division of Market Regulation concerning review of complaint of Joan Hunt Smith against Shearson Lehman Brothers, Inc.
[image] (pdf) (Courtesy of an anonymous donor)
1987
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1987
NASD Notices to Members

(Courtesy of FINRA)

January 27, 1987
Excerpt from the testimony of Alan Greenspan before the U.S. Senate Committee on Banking, Housing and Urban Affairs on takeovers
[transcript] (pdf) (Courtesy of Stuart J. Kaswell)
February 5, 1987
Letter from Richard Ketchum, SEC Division of Market Regulation to U.S. Representative John Dingell concerning Joan Hunt Smith
[image] (pdf) (Courtesy of an anonymous donor)
February 17, 1987
Letter from U.S. Senator William Proxmire to SEC Chairman John S.R. Shad seeking information on risk arbitrage
[image] (pdf) (Courtesy of an anonymous donor)
February 28, 1987
Brief for Petitioners, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America
[image] (pdf) (Courtesy of the Library of Congress)
March 3, 1987
Remarks of U.S. Representative John Dingell before the Securities Industry Association Annual Government Relations Meeting
[image] (pdf) (Courtesy of an anonymous donor)
March 6, 1987
Memo from Daniel Goelzer to Staff of the SEC Office of the General Counsel on the appointment of Eric Summergrad as Assistant General Counsel
[image] (pdf) (Courtesy of the Summergrad Family)
March 23, 1987
Letter from U.S. Representative John Dingell to SEC Chairman John S.R. Shad on financial disclosures by defense contractors
[transcript] (pdf) (Courtesy of Stuart Kaswell)
April 1987
North American Securities Administrators Association, Inc./U.S. Securities and Exchange Commission 1987 Conference on Federal-State Securities Regulation - Final Report
[image] (pdf) (Courtesy of Orestes Mihaly)
May 29, 1987
Brief for the United States, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America
[image] (pdf) (Courtesy of the Library of Congress)
June 17, 1987
Selections from Definition of Insider Trading in Hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 100th Congress, 1st Session - Part I
[image] (pdf) (Courtesy of the Library of Congress)
June 19, 1987
Selections from Definition of Insider Trading in Hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 100th Congress, 1st Session - Part II
[image] (pdf) (Courtesy of the Library of Congress)
July 20, 1987
Letter from Richard Greenfield, Greenfield & Chimicles to U.S. Representative John Dingell on complaint of City of Chester, Pennsylvania against Matthews & Wright underwriting firm
[image] (pdf) (Courtesy of an anonymous donor)
July 27, 1987
Internationalization of the Securities Markets, Report of the Staff of the SEC to the Senate Committee on Banking, Housing and Urban Affairs, and the House Committee on Energy and Commerce

(Courtesy of Stuart Kaswell)

July 29, 1987
Letter from U.S. Representative Edward Markey to John J. Phelan, Jr., New York Stock Exchange requesting information on NYSE arbitral procedures
[image] (pdf) (Anonymous)
July 29, 1987
Supplemental Brief for the United States, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America
[image] (pdf) (Courtesy of the Library of Congress)
August 7, 1987
Letter from H. Keith Brunnemer, Jr., Municipal Securities Rulemaking Board to Andre Blum, Government Finance Officers Association on disclosure guidelines for state and local government securities
[transcript] (pdf) (Courtesy of Stuart Kaswell)
August 12, 1987
Letter from SEC Commissioner Charles Cox to U.S. Representative John Dingell on municipal bond offerings in light of the default of Washington Public Power Supply System (WPPSS)
[transcript] (pdf) (Anonymous)
August 14, 1987
Letter from John J. Phelan, Jr., New York Stock Exchange to U.S. Representative Edward Markey on arbitration
[image] (pdf) (Courtesy of Stuart Kaswell)
August 18, 1987
Letter from Carrie Dwyer, American Stock Exchange to U.S. Representative Edward Markey on AMEX arbitration process
[image] (pdf) (Courtesy of an anonymous donor)
September 9, 1987
SEC Release: SEC v. Allegheny International, Inc.
[transcript] (pdf) (Courtesy of Stuart Kaswell)
September 30, 1987
Reply Brief for Petitioners, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America
[image] (pdf) (Courtesy of the Library of Congress)
October 16, 1987
Remarks of U.S. Representative Edward J. Markey at the 7th National Conference on Business Ethics
[image] (pdf) (Anonymous)
October 22, 1987
New York Stock Exchange Press Release: Early Closings
[transcript] (pdf) (Courtesy of John J. Phelan, Jr.)
October 22, 1987
New York Stock Exchange Press Release: President Reagan Commends Exchange Members and Staff
[transcript] (pdf) (Courtesy of John J. Phelan, Jr.)
October 26, 1987
New York Stock Exchange Press Release: Early Closing Extended
[transcript] (pdf) (Courtesy of John J. Phelan, Jr.)
October 27, 1987
Letter from Clayton Brown, Public Securities Association to Treasury Secretary James A. Baker III on new conditions placed on purchase of state and local government series treasury obligations (SLGS)
[transcript] (pdf) (Courtesy of Stuart Kaswell)
October 30, 1987
New York Stock Exchange Press Release: Return to Normal Trading Hours
[transcript] (pdf) (Courtesy of John J. Phelan, Jr.)
November 12, 1987
Memo from Daniel L. Goelzer, SEC General Counsel to SEC Chairman David S. Ruder on nonpublic nature of reports of Commission examinations of self-regulatory organizations
[image] (pdf) (Anonymous)
November 16, 1987
Supreme Court of the United States: David Carpenter, Kenneth P. Felis and R. Foster Winans, Petitioners v. United States
[image] (pdf) (Courtesy of the Library of Congress)
December 1987
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
December 2, 1987
Remarks of U.S. Representative Edward J. Markey to the Securities Industry Association
[image] (pdf) (Anonymous)
December 15, 1987
Response from James D. Cox to Written Questions from Senator Riegle
[transcript] (pdf) (Courtesy of the Library of Congress)
December 15, 1987
Statement of SEC Chairman David S. Ruder on The Insider Trading Proscriptions Act of 1987 in a Hearing before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 100th Congress, 1st Session, on S.1380
[image] (pdf) (Courtesy of the Library of Congress)
December 17, 1987
Letter from James B.G. Hearty, Municipal Securities Rulemaking Board to SEC Chairman David Ruder on adequacy of information in the municipal securities markets
[transcript] (pdf) (Courtesy of Stuart Kaswell)
December 28, 1987
Letter from James Burk, New York Stock Exchange to Richard Ketchum, SEC Division of Market Regulation with guidelines for classification of arbitrators
[transcript] (pdf) (Courtesy of Stuart Kaswell)
1988
Insider Trading and Securities Fraud Enforcement Act of 1988 (Public Law No. 100-704); Section 204A of IAA Amended
[document] (pdf) (Government Records)
1988
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1988
NASD Notices to Members

(Courtesy of FINRA)

January 1988
Report of the Presidential Task Force on Market Mechanisms (Brady Report)
[image] (pdf) (Anonymous)
1988
Securities and Exchange Commission Authorization Act of 1987 (Public Law No. 100-181); Sections 202, 203, 205, 209, 211(b), 213(a), 214 of IAA Amended; Sections 2(a)(19), 2(a)(39), 2(a)(48), 3(c), 5(a)(2), 6(a), 9, 12, 15, 17, 18(e), 20, 21(b), 22, 24(d),
[document] (pdf) (Government Records)
January 1988
Summary of SEC Division of Economic Analysis's final report on stock index futures and cash market activity during October 1987 to the U.S. Commodity Futures Trading Commission
[image] (pdf) (Anonymous)
January 7, 1988
Memorandum of Understanding - U.S. Securities and Exchange Commission and Ontario Securities Commission, Commission des Valeurs Mobilieres du Quebec and British Columbia Securities Commission
[image] (pdf) (Government Records)
February 1988
The October 1987 Market Break: Report by SEC Division of Market Regulation

(Courtesy of Alton Harvey)

February 1, 1988
U.S. Commodity Futures Trading Commission news release on staff report on stock index futures and related stock market activity during October 1987
[image] (pdf) (Anonymous)
February 17, 1988
Remarks of U.S. Representative Edward J. Markey before the United Shareholders Association "Pension Funds '88" Conference
[image] (pdf) (Anonymous)
February 24, 1988
Letter from Alton Harvey, SEC Division of Market Regulation to U.S. Representative Thomas Tauke on inquiry concerning possible trading abuses in futures markets
[image] (pdf) (Anonymous)
February 24, 1988
Letter from U.S. District Judge William D. Browning to Gary G. Lynch, SEC Division of Enforcement on SEC investigation of Washington Public Power Supply System
[image] (pdf) (Anonymous)
February 26, 1988
Letter from U.S. Senator Richard Shelby to SEC Chairman David Ruder on hearing on one-share/one-vote
[transcript] (pdf) (Courtesy of Stuart Kaswell)
March 1988
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
March 3, 1988
Letter from Stephen J. Paradise, New York Stock Exchange to Stuart Kaswell, U.S. House of Representatives on arbitration
[image] (pdf) (Anonymous)
March 4, 1988
Letter from U.S. Representatives John Dingell and Edward Markey to SEC Chairman David Ruder requesting information on short selling and frontrunning
[transcript] (pdf) (Courtesy of Stuart Kaswell)
March 15, 1988
Letter from U.S. Representative Joe Barton to Wendy Gramm, Commodity Futures Trading Commission with letter from John Watson on creation of a futures market for natural gas
[transcript] (pdf) (Courtesy of Stuart Kaswell)
March 17, 1988
Letter from U.S. Representative John Dingell and Edward Markey to Wendy Gramm, Commodity Futures Trading Commission on frontrunning
[transcript] (pdf) (Courtesy of Stuart Kaswell)
March 17, 1988
Testimony of Robert A.G. Monks, Institutional Shareholder Services, Inc. to the U.S. Senate Committee on Banking, Housing and Urban Affairs on one share, one vote rule
[image] (pdf) (Anonymous)
March 28, 1988
Memo from U.S. House Subcommittee on Telecommunications and Finance on hearing on fairness and effectiveness of current arbitration process in broker-dealer/client disputes
[image] (pdf) (Anonymous)
March 31, 1988
Statement of Stephen L. Hammerman, Merrill Lynch & Co. to U.S. House Subcommittee on Telecommunications and Finance hearing on securities arbitration
[image] (pdf) (Anonymous)
March 31, 1988
Testimony of Stephen Brobeck, Consumer Federation of America to U.S. House Subcommittee on Telecommunications and Finance hearing on arbitration of broker-dealer/client disputes
[image] (pdf) (Anonymous)
April 20, 1988
Letter from U.S. Senator William Proxmire to SEC Chairman David Ruder on one-share/one-vote
[transcript] (pdf) (Courtesy of Stuart Kaswell)
April 22, 1988
Letter from SEC Chairman David S. Ruder to U.S. Representative John D. Dingell on Corporation for Small Business Investment Charter Act
[image] (pdf) (Anonymous)
May 18, 1988
SIA Media Release: SIA Directors Criticize Gould Study as "Missing Mark and Deficient"
[transcript] (pdf) (Courtesy of an anonymous donor)
May 19, 1988
Letter from U.S. Representative John D. Dingell to SEC Chairman David S. Ruder on one share/one vote rule
[image] (pdf) (Anonymous)
May 25, 1988
Letter from James Abdnor, U.S. Small Business Administration to U.S. Representative Norman Lent on Corporation for Small Business Investment (COSBI) Charter Act
[image] (pdf) (Anonymous)
June 1988
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 3, 1988
Letter from U.S. Representative John LaFalce to U.S. Representative John Dingell on Corporation for Small Business Investment (COSBI) Charter Act
[image] (pdf) (Anonymous)
June 8, 1988
"Harmonization of Securities Regulation - Where Are We Heading?" - Remarks by SEC Commissioner Charles C. Cox to the Conference on Internationalization - Public Offerings in the United States Capital Market, sponsored by the Federation of Korean Industries
[image] (pdf) (Government Records)
June 9, 1988
Opening remarks on arbitration by Joan Hunt Smith
[transcript] (pdf) (Courtesy of an anonymous donor)
June 9, 1988
Written statement of Joan Hunt Smith testifying before the Subcommittee on Telecommunications and Finance in the matter of arbitration
[transcript] (pdf) (Courtesy of an anonymous donor)
June 20, 1988
Letter from Wendy Gramm, Commodity Futures Trading Commission to U.S. Representative Joe Barton on proposed futures contract market in natural gas
[image] (pdf) (Anonymous)
July 1, 1988
Memorandum of Understanding - U.S. Securities and Exchange Commission and Comissao de Valores Mobiliarios (Brazil)
[image] (pdf) (Government Records)
July 8, 1988
Memo from Nina Gross with copy of letter to be sent to each SRO that administers an arbitration facility, pursuant to a 5-0 vote of the SEC Commission on July 7th
[transcript] (pdf) (Courtesy of an anonymous donor)
July 15, 1988
Letter from Eric Glitzenstein and Alan Morrison, Public Citizen Litigation Group to Richard Ketchum, SEC Division of Market Regulation concerning revision of arbitration rules
[transcript] (pdf) (Courtesy of an anonymous donor)
July 15, 1988
Speech by W.B. Willott to summer conference of National Security Traders Association
[transcript] (pdf) (Courtesy of an anonymous donor)
July 21, 1988
"The Stock Exchanges of the World: Their Role and Their Relations in the Future" - Notes for a speech by Bruno Riverin, Montreal Stock Exchange to the National Security Traders Association
[transcript] (pdf) (Courtesy of an anonymous donor)
August 5, 1988
Nomination of Eric Summergrad for the Federal Bar Association's 1988 Younger Federal Lawyer Award
[image] (pdf) (Courtesy of the Summergrad Family)
August 29, 1988
"Globalization of the Securities Markets" - Address by SEC Commissioner Edward H. Fleischman to the First General Plenary Session of the U.S./Japan Bilateral Session: A New Era in Legal and Economic Relations
[image] (pdf) (Government Records)
September 1988
SEC Division of Enforcement Staff Report on the Investigation in the Matter of Transactions in Washington Public Power Supply System Securities
[image] (pdf) (Courtesy of Stuart J. Kaswell)
September 22, 1988
Release from Michael J. Connolly, Massachusetts Secretary of State on regulations to protect investors against mandatory arbitration
[image] (pdf) (Courtesy of Stuart Kaswell)
September 22, 1988
SEC Report on Regulation of Municipal Securities
[image] (pdf) (Courtesy of Stuart J. Kaswell)
September 26, 1988
"Internationalization of the Securities Markets" - Remarks by SEC Chairman David S. Ruder, The University of Wisconsin - Milwaukee
[transcript] (pdf) (Government Records)
October 1988
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 14, 1988
Letter from Alger B. Chapman, Chicago Board Options Exchange to SEC Chairman David S. Ruder on mandatory predispute arbitration agreements
[transcript] (pdf) (Anonymous)
October 14, 1988
Letter from Joseph R. Hardiman, NASD to SEC Chairman David S. Ruder on predispute arbitration clauses
[transcript] (pdf) (Anonymous)
October 17, 1988
Letter from Maurice Mann, Pacific Stock Exchange to SEC Chairman David S. Ruder on mandatory predispute arbitration agreements
[transcript] (pdf) (Anonymous)
October 18, 1988
Letter from Kenneth R. Leibler, American Stock Exchange to SEC Chairman David S. Ruder on securities industry arbitration
[transcript] (pdf) (Anonymous)
November 8, 1988
American Stock Exchange news release on agreement between AMEX and Securities Association of London
[transcript] (pdf) (Anonymous)
November 9, 1988
"International Cooperation in Securities Enforcement: A New United States Initiative" - Presented by SEC Commissioner Joseph A. Grundfest, King's College, London
[transcript] (pdf) (Government Records)
November 28, 1988
Letter from John W. Rowe, Municipal Securities Rulemaking Board to Jonathan Katz, SEC on proposed Rule 15c2-12
[image] (pdf) (Anonymous)
December 21, 1988
Letter from U.S. Representatives Norman Lent and Matthew Rinaldo to SEC Chairman David Ruder on disclosure of municipal securities offerings
[image] (pdf) (Anonymous)
1989
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1989
NASD Notices to Members

(Courtesy of FINRA)

January 1989
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
February 10, 1989
Letter from Michael Bradfield, General Counsel, Federal Reserve System to Gary Lynch, SEC Division of Enforcement on Farley, Inc. tender offer for shares of West Point-Pepperell, Inc.
[image] (pdf) (Anonymous)
February 17, 1989
Letter from Gary Lynch, SEC Division of Enforcement to U.S. Representative Matthew Rinaldo on West Point-Pepperell, Inc.
[image] (pdf) (Anonymous)
February 28, 1989
Letter from Austin George and John L. Watson III, Security Traders Association to Jonathan Katz, SEC on proposed Rule 144A
[image] (pdf) (Anonymous)
March 20, 1989
Letter from U.S. Representative John Dingell to SEC Chairman David Ruder on Washington Public Power Supply System (WPPSS) bond offer
[transcript] (pdf) (Anonymous)
June 20, 1989
Letter from SEC Chairman David Ruder to U.S. Representative John Dingell on Washington Public Power Supply System (WPPSS) bond offer
[transcript] (pdf) (Anonymous)
June 27, 1989
Letter from U.S. Representative John Dingell to Comptroller of the Currency Charles Bowsher on aftermath of October 1987 market break
[transcript] (pdf) (Anonymous)
July 1989
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
July 20, 1989
Letter from U.S. Representative Thomas Tauke to Charles Bowsher, U.S. Comptroller requesting CFTC investigation
[transcript] (pdf) (Anonymous)
July 24, 1989
Letter from U.S. Representative John D. Dingell to Secretary of the Treasury Nicholas F. Brady on Farmer Mac
[transcript] (pdf) (Anonymous)
July 24, 1989
U.S. Securities and Exchange Commission in the Matter of Roundtable on Commission Dollar and Payment for Order Flow Practices

(Courtesy of Aleta Benjamin)

July 28, 1989
Letter from U.S. Representatives Kika de la Garza and Edward R. Madigan to Secretary of the Treasury Nicholas F. Brady on Farmer Mac
[transcript] (pdf) (Anonymous)
August 11, 1989
Letter from Alan H. Friedenthal to Eric Summergrad, notifying Mr. Summergrad that he will receive the 1989 Younger Federal Lawyer Award
[image] (pdf) (Courtesy of the Summergrad Family)
August 17, 1989
Memo from Daniel Goelzer to Staff of the SEC Office of the General Counsel on Eric Summergrad's recognition as Federal Bar Association 1989 Younger Federal Lawyer
[image] (pdf) (Courtesy of the Summergrad Family)
September 29, 1989
Response to questions from Senate Banking Committee in connection with confirmation proceedings for Richard C. Breeden as a Commisioner of the Securities and Exchange Commission
[image] (pdf) (Anonymous)
October 5, 1989
Letter from U.S. Senator Donald Riegle to SEC Chairman Richard Breeden on junk bonds
[image] (pdf) (Anonymous)
October 11, 1989
SEC News Release on swearing-in ceremony for SEC Chairman Richard C. Breeden
[transcript] (pdf) (Anonymous)
November 1989
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
December 12, 1989
Letter from Secretary of the Treasury Nicholas Brady to U.S. Senator Donald Riegle on junk bonds
[image] (pdf) (Anonymous)
December 14, 1989
Understanding and Administrative Agreement - U.S. Securities and Exchange Commission and the Commission des Operations de Borse of France
[image] (pdf) (Government Records)
December 20, 1989
Letter from U.S. Representative John D. Dingell to SEC Chairman Richard C. Breeden protesting Commission vote
[transcript] (pdf) (Anonymous)

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