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Papers

214 records in this section.

1990
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1990
NASD Notices to Members

(Courtesy of FINRA)

1990
Securities Acts Amendments of 1990 (Public Law No. 101-550); Sections 202, 203, 210(b), 218 of IAA Amended; Sections 2(a)(49), 2(a)(50), 9(b), 45(a), 46(b) of ICA Amended
[document] (pdf) (Government Records)
1990
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
[document] (pdf) (Government Records)
1990
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
1990 to present
U.S. Securities and Exchange Commission Staff Award - Chairman's Award for Excellence
[document] (pdf) (Government Records.)
1990 to present
U.S. Securities and Exchange Commission Staff Award- Sydney C. Orbach Award
[document] (pdf) (Government Records.)
February 1990
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
April 19, 1990
Letter from U.S. Representatives John Dingell and Edward Markey to SEC Chairman Richard Breeden on Rule 144A
[transcript] (pdf) (Anonymous)
June 1990
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 22, 1990
Memorandum of Understanding - U.S. Securities and Exchange Commission and the Republic of Hungary State Securities Supervision and Budapest Stock Exchange
[image] (pdf) (Government Records)
July 5, 1990
Letter from Benjmain F. Edwards III, A.G. Edwards & Sons, Inc. to U.S. Senator Christopher Dodd prior to Senate Subcommittee on Securities hearing
[image] (pdf) (Anonymous)
July 11, 1990
Statement of Thomas Eagleton before U.S. Senate Committee on Banking, Housing and Urban Affairs on Capital Markets Competition, Stability and Fairness Act of 1990
[transcript] (pdf) (Anonymous)
July 11, 1990
Statement of Wayne P. Luthringshausen, Options Clearing Corporation before the U.S. Senate Committee on Banking, Housing and Urban Affairs
[image] (pdf) (Anonymous)
July 11, 1990
Summary of testimony of John W. Bachman, Edward D. Jones & Co. on the Capital Markets Competition, Stability and Fairness Act of 1990
[image] (pdf) (Anonymous)
July 11, 1990
Summary of testimony of Robert G. Kirby, Capital Guardian Trust Company to the U.S. Senate Subcommittee on Securities hearing
[image] (pdf) (Anonymous)
July 11, 1990
Testimony of James R. Jones, American Stock Exchange, Inc. on the Capital Markets Competition, Stability and Fairness Act of 1990
[image] (pdf) (Anonymous)
July 11, 1990
Testimony of Joseph Hardiman, NASD on the Capital Markets Competition, Stability and Fairness Act of 1990
[image] (pdf) (Anonymous)
September 1990
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 18, 1990
Memorandum of Understanding - U.S. Securities and Exchange Commission and Comision Nacional De Valores de Mexico
[image] (pdf) (Government Records)
December 1990
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1991
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1991
NASD Notices to Members

(Courtesy of FINRA)

1991
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
March 1991
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
March 21, 1991
Letter from Robert Serino, Acting Chief Counsel, Comptroller of the Currency to U.S. Senator Patrick Leahy on Futures Trading Practices Act of 1991
[transcript] (pdf) (Anonymous)
March 22, 1991
Letter from Edward Yingling, American Bankers Association to U.S. Senator Jake Garn on Futures Trading Practices Act (S.207)
[transcript] (pdf) (Anonymous)
April 8, 1991
Letter from Bruce E. Thompson, Jr., Merrill Lynch to U.S. Senator Christopher Dodd on Futures Trading Practices Act (S.207)
[transcript] (pdf) (Anonymous)
April 15, 1991
Letter from John Damgard, Futures Industry Association to U.S. Senator Donald W. Riegle, Jr. on Futures Trading Practices Act of 1991
[transcript] (pdf) (Anonymous)
June 1991
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 13, 1991
Letter from William F. O'Connor, Chicago Board of Trade and John F. Sandner, Chicago Mercantile Exchange to Under Secretary for Finance Robert Glauber on Futures Trading Practices Act of 1991
[transcript] (pdf) (Anonymous)
September 1991
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 16, 1991
Chronology of Events involving Salomon Brothers
[transcript] (pdf) (Anonymous)
November 7, 1991
Letter from Lewis Brothers, North American Securities Administrators Association, Inc. to U.S. Representative Glenn English on CFTC reauthorization legislation
[transcript] (pdf) (Anonymous)
December 1991
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
December 6, 1991
Short-Selling Activity in the Stock Market: Market Effects and the Need for Regulation (Part I) - Eleventh Report by the Committee on Government Operations
[image] (pdf) (Anonymous)
1992
NASD Annual Report

(Courtesy of FINRA)

1992
NASD Notices to Members

(Courtesy of FINRA)

1992
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
February 26, 1992
Memo from James R. Doty to the General Counsel's Office on the appointment of Eric Summergrad as Principal Assistant General Counsel
[image] (pdf) (Courtesy of the Summergrad Family)
March 1992
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
March 6, 1992
Letter from U.S. Representative John Dingell to SEC Chairman Richard Breeden on inquiry into payment for order flow
[transcript] (pdf) (Anonymous)
March 26, 1992
Testimony of SEC Chairman Richard C. Breeden concerning small business finance before the Subcommittee on Securities, U.S. Senate Committee on Banking, Housing and Urban Affairs
[image] (pdf) (Courtesy of Stuart Kaswell)
1992
Protecting Investors: A Half Century of Investment Company Act Regulation, SEC Division of Investment Management.

(Government Records)

May 26, 1992
Press Release on Bachmann Task Force report
[image] (pdf) (Courtesy of Stuart Kaswell)
May 26, 1992
Report of the Bachmann Task Force on Clearance and Settlement Reform in U.S. Securities Markets, submitted to the Chairman of the U.S. Securities and Exchange Commission
[image] (pdf) (Courtesy of Stuart Kaswell)
June 1992
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
July 16, 1992
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
[transcript] (pdf) (Anonymous)
September 1992
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
September 1992
Report on the Investment Adviser Regulatory Enhancement and Disclosure Act of 1992
[image] (pdf) (Courtesy of Stuart Kaswell)
September 16, 1992
Letter from SEC Chairman Richard Breeden to U.S. Representative John Dingell on Investment Adviser Regulatory Enhancement and Disclosure Act of 1992 (HR 5726)
[transcript] (pdf) (Anonymous)
December 1992
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1993 to Present
U.S. Securities and Exchange Commission Staff Award - Jay Manning Award
[document] (pdf) (Government Records)
1993
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1993
NASD Notices to Members

(Courtesy of FINRA)

1993
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
1993 to present
U.S. Securities and Exchange Commission Staff Award - Stanley Sporkin Award
[document] (pdf) (Government Records.)
February 24, 1993
Letter from U.S. Senator Christopher Dodd to Thomas N. Richmond, Jr., McDonald & Co. Securities, Inc. on hearing on the issue of small business access to capital
[image] (pdf) (Anonymous)
March 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
March 4, 1993
Testimony of Marianne K. Smythe, Driector, SEC Division of Investment Management concerning the Small Business Incentive Act of 1993
[image] (pdf) (Anonymous)
June 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
July 21, 1993
A.A. Sommer, Jr., Private Litigation under the Federal Securities Laws, Summary of Testimony before the Subcommittee on Securities, United States Senate Committee on Banking, Housing and Urban Affairs
[document] (pdf) (Courtesy of Mrs. Storrow Sommer)
September 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 28, 1993
Statement of Sheila C. Bair, Acting Chairman, Commodity Futures Trading Commission on bank derivative activities
[image] (pdf) (Anonymous)
October 28, 1993
Testimony of Jonathan L. Fiechter, Acting Director, Office of Thrift Supervision concerning derivative securities activities
[image] (pdf) (Anonymous)
November 11, 1993
Introduction by U.S. Representative Edward Markey of Telecommunications and Financial Services Fair Trade Act of 1993
[transcript] (pdf) (Anonymous)
December 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
December 20, 1993
Letter from Joseph R. Hardiman, The Nasdaq Stock Market to U.S. Senators Christopher Dodd and Pete Domenici on the effect of abusive litigation on the stock market
[image] (pdf) (Anonymous)
1994
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1994
NASD Notices to Members

(Courtesy of FINRA)

1994
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
February 11, 1994
"Market 2000 and International Capital Markets" - Remarks of SEC Commissioner J. Carter Beese, Jr., Promethee/Matif Conference
[image] (pdf) (Courtesy of Stuart Kaswell)
March 1994
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
March 15, 1994
Letter from U.S. Senators Pete Domenici and Christopher Dodd to Craig Goettsch, North American Securities Administrators Association on the Securities Private Enforcement and Integrity in Financial Disclosures Act of 1994
[transcript] (pdf) (Anonymous)
April 7, 1994
Letter from Jeffrey Seltzer, Securities Industry Association to Brandon Becker, SEC Division of Market Regulation on supervisory oversight of OTC derivatives
[transcript] (pdf) (Anonymous)
April 8, 1994
"Market 2000: Regulating for the Future" - Remarks of SEC Commissioner J. Carter Beese, Jr., Philadelphia Stock Exchange Board of Governors Conference
[image] (pdf) (Courtesy of Stuart Kaswell)
April 13, 1994
Memo on U.S. House of Representatives Hearing on HR 3447 - The Securities Regulatory Equality Act of 1993
[transcript] (pdf) (Anonymous)
April 14, 1994
Statement of Matthew P. Fink, Investment Company Institute at hearing on H.R. 3447 "The Securities Regulatory Equality Act of 1993"
[image] (pdf) (Anonymous)
April 21, 1994
"What's Left on the Plate from 1993" - Remarks of SEC Commissioner Richard Y. Roberts, National Regulatory Services Supervision/Compliance Conference
[image] (pdf) (Courtesy of Stuart Kaswell)
May 1994
The Large Firm Project: A Review of Hiring, Retention and Supervisory Practices - Report by the SEC Divisions of Market Regulation and Enforcement
[image] (pdf) (Anonymous)
May 12, 1994
Abandonment of the Private Right of Action for Aiding and Abetting Securities Fraud/Staff Report on Private Securities Litigation - Hearing before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate
[image] (pdf) (Courtesy of Stuart J. Kaswell)
May 12, 1994
Statement by U.S. Senator Howard Metzenbaum on the Supreme Court's Central Bank of Denver decision
[image] (pdf) (Anonymous)
June 1994
Final Report of the SEC Government-Business Forum on Small Business Capital Formation
[document] (pdf) (Courtesy of Richard Rowe)
June 1, 1994
Letter from Secretary of Labor Robert Reich to U.S. Senator Alphonse D'Amato on prohibited transaction provisions of ERISA
[transcript] (pdf) (Anonymous)
June 1994
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 22, 1994
Testimony of Brandon Becker, SEC Division of Market Regulation regarding the Market 2000 Report and the Unlisted Trading Privileges Act of 1994 before the Subcommittee on Telecommunications and Finance, U.S. House of Representatives Committee on Energy and
[image] (pdf) (Courtesy of Stuart Kaswell)
June 24, 1994
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.
[image] (pdf) (Anonymous)
July 28, 1994
Letter from U.S. Representative Edward Markey to William Donaldson, New York Stock Exchange on compliance with Telephone Consumer Protection Act of 1991
[transcript] (pdf) (Anonymous)
August 23, 1994
Letter to The Washington Post in tribute to Orval DuBois, from Herbert B. Cohn, John F. Davis, Dorothy T. and Henry G. Fischer, Phyllis and Milton V. Freeman, David Ginsburg, Harry Heller and Gerald W. Siegel
[document] (pdf) (Courtesy of Karl Smeltzer)
September 1994
SEC Telephone Directory

(Courtesy of Morton Koeppel)

September 12, 1994
"Preserve Mutual Fund Market Integrity" - Remarks by SEC Commissioner Richard Y. Roberts to the Bank Securities Association 1994 National Compliance Conference
[image] (pdf) (Anonymous)
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 3, 1994
Report from the NASD to the Securities Industry Association Conference
[image] (pdf) (Courtesy of Joseph R. Hardiman)
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)
1995
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1995
NASD Notices to Members

(Courtesy of FINRA)

January 1995
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1995
Philanthropy Protection Act of 1995 (Public Law No. 104-62); Section 203(b) of IAA Amended; Sections 3(c)(10), 7 of ICA Amended
[document] (pdf) (Government Records)
January 1995
The Regulatory Threat to Nasdaq: A Lexecon Report
[image] (pdf) (Courtesy of Carrie E. Dwyer)
1995
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
January 18, 1995
Statement of U.S. Senator Pete Domenici on introduction of the Private Securities Litigation Reform Act of 1995
[image] (pdf) (Anonymous)
March 7, 1995
Letter from Robert K. Elliott, KPMG Peat Marwick LLP to SEC Commissioner Steven M.H. Wallman on the Advisory Committee on the Capital Formation and Regulatory Processes
[image] (pdf) (Courtesy of Margaret Bancroft)
March 13, 1995
Letter from U.S. House of Representatives John Dingell and Edward Markey to SEC Chairman Arthur Levitt on the report from the Derivatives Policy Group
[transcript] (pdf) (Anonymous)
March 27, 1995
Letter from Lawrence E. Mitchell, Professor of Law, The George Washington University National Law Center to SEC Commissioner Steven M.H. Wallman on the Capital Formation and Regulatory Processes
[image] (pdf) (Courtesy of Margaret Bancroft)
March 30, 1995
Letter from Charles Miller, Meridian Advisors Ltd. to SEC Commissioner Steven M.H. Wallman on the Advisory Committee on the Capital Formation and Regulatory Processes
[image] (pdf) (Courtesy of Margaret Bancroft)
April 1995
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
April 10, 1995
Letter from Michael A. Conway, KPMG Peat Marwick LLP to SEC Commissioner Steven M.H. Wallman on the Advisory Committee on the Capital Formation and Regulatory Processes
[image] (pdf) (Courtesy of Margaret Bancroft)
April 25, 1995
Memorandum prepared by Edward F. Greene and Larry W. Sonsini for members of the Advisory Committee on the Capital Formation and Regulatory Processes
[image] (pdf) (Courtesy of Margaret Bancroft)
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)
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 16, 1995
Letter from Stuart Kaswell, Securities Industry Association to Brandon Becker, SEC Division of Market Regulation on broker-dealer payments to customers
[image] (pdf) (Anonymous)
May 25, 1995
Committee Amendments for Private Securities Litigation Reform
[transcript] (pdf) (Anonymous)
June 14, 1995
Letter from U.S. Senators Barbara Mikulski, Christopher Dodd, Patty Murray and Carol Moseley Braun to Democratic colleagues to support Private Securities Litigation Reform Act (PSLRA)
[transcript] (pdf) (Anonymous)
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)
September 26, 1995
NASD Special Notice to Members: SEC Approves Rules For Reporting Customer Complaint Information
[image] (pdf) (Courtesy of FINRA)
October 1995
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 16, 1995
Letter from SEC Chairman Arthur Levitt to John L. Steffans, Securities Industry Association
[image] (pdf) (Courtesy of Stuart J. Kaswell)
November 1995
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
November 11, 1995
Report from Joseph R. Hardiman, NASD to the Securities Industry Association Conference
[image] (pdf) (Courtesy of Joseph R. Hardiman)
November 28, 1995
Memorandum of understanding between the Securities and Exchange Commission, American Stock Exchange, Chicago Board Options Exchange, National Association of Securities Dealers, New York Stock Exchange and the North American Securities Administrators Assoc
[image] (pdf) (Anonymous)
1996
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
January 1996
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
1996
NASD Notices to Members

(Courtesy of FINRA)

January 1996
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1996
National Securities Markets Improvement Act of 1996 (Public Law No. 104-290); Sections 202, 203, 205, 22, 203A of IAA Amended; Sections 2(a)(46), 2(a)(48), 2(a)(51(A), 2(c), 3(a), 3(c), 6, 12(d)(1), 24, 26, 27, 30, 31, 35(d), 55(a), 61, 64(b) of ICA Amende
[document] (pdf) (Government Records)
1996
Remarks by SEC Chairman Arthur Levitt to NASD Board
[image] (pdf) (Courtesy of Carrie E. Dwyer)
1996
SEC Administrative Proceeding in the Matter of NASD (page 8 is missing)
[image] (pdf) (Courtesy of Carrie E. Dwyer)
1996
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
February 8, 1996
Letter from Mayer U. Newfield to Milton V. Freeman on Rule 10b-5
[document] (pdf) (Courtesy of Paul Gonson)
March 5, 1996
SEC Report of the Task Force on Disclosure Simplification
[document] (pdf) (Courtesy of Richard Rowe)
March 8, 1996
Remarks by A.A. Sommer, Jr. at ASECA Annual Meeting
[document] (pdf) (Courtesy of Mrs. Storrow Sommer)
April 1996
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 5, 1996
Testimony of SEC Chairman Arthur Levitt concerning S.1815, "Securities Investment Promotion Act of 1996," before the Committee on Banking, Housing and Urban Affairs, U.S. Senate
[image] (pdf) (Courtesy of Stuart J. Kaswell)
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)
July 31, 1996
Letter from A.B. "Buzzy" Krongard, Alex Brown to SEC Chairman Arthur Levitt on technology issues
[transcript] (pdf) (Anonymous)
August 1996
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
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
SEC Report regarding the NASD and the Nasdaq Market

(Courtesy of Carrie E. Dwyer)

August 8, 1996
Statement by NASD on SEC settlement
[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)
September 11, 1996
Talking Points: NASDAQ Board Meeting
[image] (pdf) (Courtesy of Carrie E. Dwyer)
September 13, 1996
Reply letter from SEC Chairman Arthur Levitt to A.B. "Buzzy" Krongard, Alex Brown on technology issues
[transcript] (pdf) (Anonymous)
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)
October 25, 1996
Comment Letter from the New York State Bar Association on Securities Act Concepts and Their Effects on Capital Formation
[document] (pdf) (Courtesy of Richard Rowe)
November 8, 1996
Closing Statement by Joseph R. Hardiman, NASD to the Securities Industry Association Conference
[image] (pdf) (Courtesy of Joseph R. Hardiman)
November 8, 1996
Opening Statement by Joseph R. Hardiman, NASD to the Securities Industry Association Conference
[image] (pdf) (Courtesy of Joseph R. Hardiman)
December 1996
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
December 11, 1996
Comment Letter from the American Bar Association's Committee on Federal Regulation of Securities on the Securities Act Concepts and Their Effects on Capital Formation
[document] (pdf) (Courtesy of Richard Rowe)
1997
"10 Years After: Regulatory Developments in the Securities Markets Since the 1987 Market Break," by Dr. Richard R. Lindsey, Director, SEC Division of Market Regulation, and Anthony P. Pecora, Esq., Attorney-Adviser, SEC Division of Market Regulation
[image] (pdf) (Government Records)
1997
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1997
NASD Notices to Members

(Courtesy of FINRA)

1997
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
January 23, 1997
"The Future of Self Regulation" - Address by Joseph R. Hardiman, NASD to the Securities Regulation Institute
[image] (pdf) (Courtesy of Joseph R. Hardiman)
February 27, 1997
Brief for the United States, United States of America v. James Herman O'Hagan
[image] (pdf) (Courtesy of the Library of Congress)
February 28, 1997
Brief of Amici Curiae North American Securities Administrators Association, Inc. and Law Professors in Support of Petitioner, United States of America v. James Herman O'Hagan
[image] (pdf) (Courtesy of the Library of Congress)
March 1997
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
March 27, 1997
Brief of Amici Curiae Law Professors and Counsel in Support of Respondent, United States of America v. James Herman O'Hagan
[image] (pdf) (Courtesy of the Library of Congress)
March 28, 1997
Brief for Respondent James Herman O'Hagan on Writ of Certiorari to the U.S. Court of Appeals, United States of American v. James Herman O'Hagan (begins at Questions Presented)
[image] (pdf) (Courtesy of the Library of Congress)
April 1997
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
April 27, 1997
Reply Brief for the United States, United States of America v. James Herman O'Hagan
[image] (pdf) (Courtesy of the Library of Congress)
June 1997
Final Report of the SEC Government-Business Forum on Small Business Capital Formation
[document] (pdf) (Courtesy of Richard Rowe)
June 1997
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 25, 1997
Supreme Court of the United States: United States v. James Herman O'Hagan
[image] (pdf) (Courtesy of the Library of Congress)
June 30, 1997
Letter from Milton V. Freeman to Eric Summergrad with congratulations on winning the O'Hagan case
[image] (pdf) (Courtesy of the Summergrad Family)
July 10, 1997
Letter from Eric Summergrad to Milton V. Freeman
[image] (pdf) (Courtesy of the Summergrad Family)
July 16, 1997
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
[transcript] (pdf) (Anonymous)
September 1997
NASD Neutral Corner
[image] (pdf) (Courtesy FINRA)
September 1997
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
October 1997
"The Lessons of 1987: Thinking Back After a Decade of Response" - Andrea M. Corcoran, Futures & Derivatives Law Report
[image] (pdf) (Courtesy of Andrea M. Corcoran)
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)
December 15, 1997
Harvard Law School Press Release on Death of Professor Louis Loss
[document] (pdf) (Courtesy of Paul Gonson)
1998
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1998
NASD Notices to Members

(Courtesy of FINRA)

1998
Securities Litigation Uniform Standards Act of 1998 (Public Law No. 105-353); Sections 203(e)(8), 222(b)(2) of IAA Amended; Sections 2(a)(8), 3(b), 12(d)(1), 18(e), 30, 31(f) of ICA Amended
[document] (pdf) (Government Records)
1998
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
1998 to present
U.S. Securities and Exchange Commission Staff Award - Ellen B. Ross Award
[document] (pdf) (Government Records.)
1998 to present
U.S. Securities and Exchange Commission Staff Award - Martha Platt Award
[document] (pdf) (Government Records.)
January 16, 1998
Louis Loss Memorial Service Program
[document] (pdf) (Courtesy of Paul Gonson)
February 1998
Richard B. Smith - In Remembrance of Louis Loss, Insights
[document] (pdf) (Courtesy of Paul Gonson)
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)
May to June 1998
U.S. Securities and Exchange Commission Employee News
[document] (pdf) (Courtesy of Paul Gonson)
May 12, 1998
A.A. Sommer, Jr. - Remarks at Dedication of U.S. Securities and Exchange Commission's Louis Loss Library
[document] (pdf) (Courtesy of Paul Gonson)
June 1998
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
July 31, 1998
Mandatory Arbitration Agreements in Employment Contracts in the Securities Industry - Hearing before the Committee on Banking, Housing and Urban Affairs, U.S. Senate
[image] (pdf) (Courtesy of Stuart J. Kaswell)
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)
October 26, 1998
Memo from Harvey Goldschmid to Office of General Counsel on appointment of Eric Summergrad as Deputy Solicitor
[image] (pdf) (Courtesy of the Summergrad Family)
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)
1999
Gramm-Leach-Bliley Act (Public Law No. 106-102); Sections 202, 210A of IAA Amended; Sections 2(a)(5), 2(a)(6), 2(a)(11), 2(a)(19), 3(c)(3), 9(a), 10(c), 17(a), 17(f), 26, 35(a) of ICA Amended
[document] (pdf) (Government Records)
1999
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1999
NASD Notices to Members

(Courtesy of FINRA)

Winter 1999
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
1999
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
March 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
March 1999
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
April 5, 1999
Comment Letter from the Association of the Bar of the City of New York on File No. S7-30-98 - The Aircraft Carrier Release
[document] (pdf) (Courtesy of Richard Rowe)
May to June 1999
Carl Schneider - "Change, the SEC and... me," Business Law Today
[document] (pdf) (with permission of the American Bar Association)
June 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 30, 1999
Comment Letter from the Corporate and Securities Law Committee of the American Corporate Counsel Association on File No. S7-30-98 - The Aircraft Carrier Release
[document] (pdf) (Courtesy of Richard Rowe)
July 1999
Final Report of the SEC Government-Business Forum on Small Business Capital Formation
[document] (pdf) (Courtesy of Richard Rowe)
July 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)
Fall 1999
Carl Schneider - "How Fortuities Shape a Career," The Philadelphia Lawyer
[document] (pdf) (with permission of the Philadelphia Bar Association)
Fall 1999
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
Late 1990s
Carl Schneider - "40 Years of Change in Securities Practice"
[document] (pdf) (Courtesy of Carl Schneider)
November 1999
NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin
[image] (pdf) (Courtesy FINRA)

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