PDF September 28 and 29, 1988 Paper Fraud in the Over the Counter Securities Markets: Common Sense and Investigatory Techniques Course
PDF September 28, 1988 Paper Letter to U.S. Representative John Dingell from SEC Chairman David Ruder on proposed Securities Law Enforcement Remedies Act of 1988
PDF October 25, 1994 Paper Letter from Senator Alfonse D’Amato to SEC Chairman Arthur Levitt on potentially anticompetitive trading activities in Nasdaq
PDF December 23, 1994 Paper Letter from SEC Chairman Arthur Levitt to Senator Alfonse D’Amato with memo from Brandon Becker, SEC Division of Market Regulation on Nasdaq review
PDF August 8, 1996 Paper SEC Release: SEC Announces Settlement with NASD and Issues Report of Investigation
PDF April 13, 1983 Paper 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)
PDF April 13, 1983 Paper 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
PDF November 16, 1987 Paper Supreme Court of the United States: David Carpenter, Kenneth P. Felis and R. Foster Winans, Petitioners v. United States
PDF 1990 Paper Securities Enforcement Remedies and Penny Stock Reform Act of 1990 (Public Law No. 101-429); Sections 203, 209(e), 214 of IAA Amended; Sections 9, 42 of ICA Amended
