PDF April 30, 1985 Paper Memo from Mary Beach and Mary Jackley to John Huber on proposed amendments to Rule 252
PDF March 1999 Paper NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
PDF March 4, 1993 Paper Testimony of Marianne K. Smythe, Director, SEC Division of Investment Management concerning the Small Business Incentive Act of 1993
PDF June 24, 1994 Paper Letter from Kathryn Fulton, SEC Office of Legislative Affairs to Elisse Hoffman and Timothy Forde, Counsel, U.S. House of Representatives Subcommittee on Telecommunications and Finance with timeline of bank securities activities.
PDF July 16, 1992 Paper Letter from Marianne Smythe, SEC Division of Investment Management to Marti Cochran, U.S. Senate Committee on Banking, Housing and Urban Affairs with review of amendments proposed by Investment Company Institute
PDF July 16, 1997 Paper Letter from Richard Lindsey, SEC Division of Market Regulation to Richard Ketchum, NASD and Mary Schapiro, NASD Regulation on compliance with the firm quote rule
PDF February 16, 1982 Paper Action Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D
