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701 to 780 of 780 records

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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 15, 1988
Letter from Edmund Coulson, SEC Chief Accountant to Rholan Larson, Financial Accounting Foundation with concerns on FASB actions
[image] (pdf) (JT Ball Collection, University of Mississippi)
April 15, 1988
United States of America v. Ivan Boesky - Defendant's memorandum of law in support of motion for reduction of sentence
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 15, 1988
United States of America v. Ivan Boesky - Motion for reduction of sentence
[image] (pdf) (Courtesy of the National Archives and Records Administration)
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)
April 22, 1988
United States of America v. Ivan Boesky - Affadavit of John Carroll for reduction of sentence
[image] (pdf) (Courtesy of the National Archives and Records Administration)
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)
June 20, 1988
Planning memo from Larry Horner, KPMG Peat Marwick on June 28th FASB dinner
[image] (pdf) (JT Ball Collection, University of Mississippi)
June 30, 1988
Memo from Dennis Beresford, Financial Accounting Standards Board on June 28th meeting with Big 8 managing partners
[image] (pdf) (JT Ball Collection, University of Mississippi)
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 26, 1988
Letter from Representative John Dingell to SEC Chairman David Ruder regarding August 3rd Wall Street Journal article on purported SEC overhaul of FASB
[image] (pdf) (JT Ball Collection, University of Mississippi)
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 1988
Some Reflections on Standards Setting - JT Ball
[transcript] (pdf) (Courtesy of JT Ball)
September 7, 1988
Letter from Drexel Burnham Lambert to customers on SEC civil suit
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
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)
September 30, 1988
54th Annual Report of the U.S. Securities and Exchange Commission
[image] (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)
October 24, 1988
Letter from SEC Chairman David Ruder to John Reed on Business Roundtable's views of Financial Accounting Standards Board
[image] (pdf) (JT Ball Collection, University of Mississippi)
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
Derivatives: The Ultimate Freudian Slip-up - Address by Eugene H. Rotberg
[image] (pdf) (Courtesy of Eugene H. Rotberg)
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)
1989
National Securities Clearing Corporation Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1989
The Depository Trust Company Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
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 21, 1989
Statement of Philip B. Chenok, AICPA before House Committee on Banking, Finance and Urban Affairs
[image] (pdf) (JT Ball Collection, University of Mississippi)
February 21, 1989
The Need to Imrove Auditing in the Savings and Loan Industry - Statement of Frederick D. Wolf, U.S. General Accounting Office before House Committee on Banking, Finance and Urban Affairs
[image] (pdf) (JT Ball Collection, University of Mississippi)
February 27, 1989
Letter from Robert J. Casey to John A. Meyers, Editor in Chief, Constitution
[image] (pdf) (Harry A. Blackmun Papers, courtesy Library of Congress)
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)
April 12, 1989
Letter by Jess Fardella to Judge Morris Lasker on motion of Ivan Boesky to reduce sentence
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 12, 1989
United States of America v. Ivan Boesky - Sealing order
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 13, 1989
Letter from Leon Silverman to Judge Morris Lasker correcting date of Ivan Boesky's supplemental memorandum
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 13, 1989
United States of America v. Ivan Boesky - Defendant's supplemental memorandum of law in support of motion for reduction of sentence
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 27, 1989
United States of America v. Ivan Boesky - Denial of motion of Ivan Boesky
[image] (pdf) (Courtesy of the National Archives and Records Administration)
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)
September 30, 1989
55th Annual Report of the U.S. Securities and Exchange Commission
[image] (pdf) (Government Records)
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)

701 to 780 of 780 records

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