www.sechistorical.org

Virtual Museum and Archive of the History of Financial Regulation

SEC HISTORICAL SOCIETY
Home > New in the Museum

New in the Museum

Listed below are materials that have been added to the virtual museum this month.

Papers
July 1947
NASD Newsletter
[image] (pdf) (Courtesy FINRA)
1952
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1953
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1954
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1955
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1956
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1957
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1958
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1959
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1960
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1961
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1962
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1963
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1964
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1965
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1966
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1967
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1968
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1969
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1970
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1971
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1972
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1973
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1975
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
April 1975
NASD Newsletter
[image] (pdf) (Courtesy FINRA)
1976
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
June 1976
NASD Newsletter
[image] (pdf) (Courtesy FINRA)
1977
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
July 1977
NASD Newsletter
[image] (pdf) (Courtesy FINRA)
1978
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
December 1978
NASD Newsletter
[image] (pdf) (Courtesy FINRA)
1979
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
November 1979
NASD Newsletter
[image] (pdf) (Courtesy FINRA)
1980
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
July 1980
NASD Newsletter
[image] (pdf) (Courtesy FINRA)
July 1981
NASD Newsletter Special Issue
[image] (pdf) (Courtesy FINRA)
1982
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1983
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1984
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1985
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1986
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1987
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
December 1987
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1988
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
March 1988
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 1988
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 1988
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
January 1989
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1989
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
July 1989
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
November 1989
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1990
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
February 1990
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 1990
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
September 1990
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
December 1990
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1991
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
March 1991
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 1991
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
September 1991
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
December 1991
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
March 1992
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 1992
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
September 1992
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
December 1992
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1993
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
March 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
September 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
December 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1994
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
March 1994
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 1994
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 1994
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 25, 1994
Letter from Senator Alfonse D'Amato to SEC Chairman Arthur Levitt on potentially anticompetitive trading activities in Nasdaq
[image] (pdf) (Courtesy of Carrie E. Dwyer)
November 16, 1994
Letter from Donald Johnson, Nasdaq Market Services to Martin Winter, Corporate Renaissance Group, Inc. with "Knowing Nasdaq" information
[image] (pdf) (Courtesy of Carrie E. Dwyer)
November 22, 1994
Nasdaq Investigation: Time Line leading up to Formal Investigation
[image] (pdf) (Courtesy of Carrie E. Dwyer)
December 23, 1994
Letter from SEC Chairman Arthur Levitt to Senator Alfonse D'Amato with memo from Brandon Becker, SEC Division of Market Regulation on Nasdaq review
[image] (pdf) (Courtesy of Carrie E. Dwyer)
January 1995
The Regulatory Threat to Nasdaq: A Lexecon Report
[image] (pdf) (Courtesy of Carrie E. Dwyer)
January 1995
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1995
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
April 1995
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
May 5, 1995
Letter from Joseph Hardiman, NASD to John Koten, Worth magazine on article against NASD and Nasdaq in June issue
[image] (pdf) (Courtesy of Carrie E. Dwyer)
May 5, 1995
Letter from Joseph Hardiman, NASD to Edward C. Johnson III, FMR Corporation on article against NASD and Nasdaq in June issue of Worth magazine
[image] (pdf) (Courtesy of Carrie E. Dwyer)
July 1995
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
September 19, 1995
Executive Summary of the Report of the NASD Select Committee on Structure and Governance (Rudman Committee) to the NASD Board of Governors
[image] (pdf) (Courtesy of Carrie E. Dwyer)
October 1995
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
November 1995
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
January 1996
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
January 1996
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
1996
SEC Administrative Proceeding in the Matter of NASD (page 8 is missing)
[image] (pdf) (Courtesy of Carrie E. Dwyer)
1996
Remarks by SEC Chairman Arthur Levitt to NASD Board
[image] (pdf) (Courtesy of Carrie E. Dwyer)
1996
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
April 1996
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
July 1996
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
July 17, 1996
United States of America v. Alex. Brown & Sons, Inc. et al: Stipulation and Order
[image] (pdf) (Courtesy of Carrie E. Dwyer)
August 1996
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
August 8, 1996
Statement by NASD on SEC settlement
[image] (pdf) (Courtesy of Carrie E. Dwyer)
August 8, 1996
SEC Release: SEC Announces Settlement with NASD and Issues Report of Investigation
[image] (pdf) (Courtesy of Carrie E. Dwyer)
August 8, 1996
Statement by SEC Chairman Arthur Levitt at press conference regarding NASD
[image] (pdf) (Courtesy of Carrie E. Dwyer)
August 8, 1996
SEC Report regarding the NASD and the Nasdaq Market

(Courtesy of Carrie E. Dwyer)

September 11, 1996
Talking Points: NASDAQ Board Meeting
[image] (pdf) (Courtesy of Carrie E. Dwyer)
October 1996
United States of America v. Alex. Brown & Sons, Inc. et al: Response of United States to Public Comments
[image] (pdf) (Courtesy of Carrie E. Dwyer)
December 1996
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
1997
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
March 1997
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
April 1997
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
June 1997
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
September 1997
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
September 1997
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
November 1997
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
December 1997
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1998
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
March 1998
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
April 1998
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
June 1998
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
August 16, 1998
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
September 1998
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
November 1998
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
December 1998
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
Winter 1999
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1999
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
March 1999
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
March 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
Summer 1999
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
July 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
Fall 1999
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
November 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
Winter 2000
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
2000
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
Spring 2000
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
Summer 2000
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
Fall 2000
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
November 2000
NASD Neutral Corner Survey
[image] (pdf) (Courtesy FINRA)
November 2000
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
November 2000
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
Winter 2001
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
January 2001
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
2001
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
Spring 2001
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
Summer 2001
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 2001
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
Fall 2001
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
November 2001
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
December 2001
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
Winter 2002
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
Spring 2002
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
March 2002
NASD Neutral Corner Survey
[image] (pdf) (Courtesy FINRA)
March 2002
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
Summer 2002
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 2002
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
Fall 2002
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 2002
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
2003
NASD Year in Review
[image] (pdf) (Courtesy FINRA)
2003
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
February 2003
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
June 2003
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
October 2003
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
June 2004
NASD Neutral Corner Insert
[image] (pdf) (Courtesy FINRA)
June 2004
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
June 2005
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
Photos
June 3, 2010
Richard Nesson and Susan Coffey
June 3, 2010
James Duffy
June 3, 2010
Self-Regulation in the Securities Industry

Donna Nagy, Joanne Moffic-Silver, Richard Ketchum and James Brigagliano. James Duffy is behind Professor Nagy.

Oral Histories
10 May 2010

William Johnston

With Dr. Kenneth Durr

Programs
03 June 2010

Self-Regulation in the Securities Industry (Eleventh Annual Meeting)

Moderator: Donna Nagy

Presenter(s): James Brigagliano, James Duffy, Richard Ketchum, Joanne Moffic-Silver

Film, Radio And Television
1998
"Founders: Chicago Board Options Exchange - 25 Years of Options"
[video] (wmv) (courtesy of the Chicago Board Options Exchange)

(copyright) 2002-2010 Securities and Exchange Commission Historical Society

Terms of Use | Privacy Policy