www.sechistorical.org

Papers

• pre1930s
• 1930s
• 1940s
• 1950s
• 1960s
• 1970s
• 1980s
• 1990s
• 2000s

125 records in this section.

2000

NASD Annual Report

[image] (pdf) (Courtesy FINRA)

2000

NASD Notices to Members

(Courtesy of FINRA)

• January [image] (pdf)
• February [image] (pdf)
• March - April [image] (pdf)
• May I [image] (pdf)
• May II [image] (pdf)
• June [image] (pdf)
• July [image] (pdf)
• August I [image] (pdf)
• August II [image] (pdf)
• September I [image] (pdf)
• September II [image] (pdf)
• September III [image] (pdf)
• October I [image] (pdf)
• October II [image] (pdf)
• November [image] (pdf)
• December [image] (pdf)

Winter 2000

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

2000

U.S. Securities and Exchange Commission Annual Report

[document] (pdf) (Government Records)

March 2000

Final Report of the SEC Government-Business Forum on Small Business Capital Formation

[document] (pdf) (Courtesy of Richard Rowe)

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

[image] (pdf) (Courtesy FINRA)

November 2000

NASD Neutral Corner Survey

[image] (pdf) (Courtesy FINRA)

November 2000

NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin

[image] (pdf) (Courtesy FINRA)

December 21, 2000

Consolidated Appropriations - FY2001 (Public Law No. 106-554); Sections 2(a)(36), 2(a)(52) of ICA Amended

[document] (PDF) (Government Records)

2001

NASD Annual Report

[image] (pdf) (Courtesy FINRA)

January 2001

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

2001

NASD Notices to Members

(Courtesy of FINRA)

• January [image] (pdf)
• February [image] (pdf)
• March I [image] (pdf)
• March II [image] (pdf)
• April - May [image] (pdf)
• June [image] (pdf)
• July [image] (pdf)
• August [image] (pdf)
• September [image] (pdf)
• October [image] (pdf)
• November - December [image] (pdf)

Winter 2001

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

Spring 2001

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

June 2001

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

Summer 2001

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

August 22, 2001

Letter from Stanley Keller, on behalf of the ABA Committee on Federal Regulation of Securities, to David B.H. Martin, SEC Division of Corporation Finance with suggestions of regulatory revisions

[image] (pdf) (Courtesy of Richard Rowe)

Fall 2001

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

October 2, 2001

Remembrance by Arthur Rothkopf of 1963 SEC Special Study of the Securities Markets

[document] (pdf)

November 2001

NASD Regulation CRD (Central Registration Depository) Public Disclosure Bulletin

[image] (pdf) (Courtesy FINRA)

November 2001

Proceedings Book of "Securities Regulation in the Global Internet Economy" Major Issues Conference

• Address [image] (pdf)
• Introduction [image] (pdf)
• Panel 1 [image] (pdf)
• Panel 2 [image] (pdf)
• Panel 3 [image] (pdf)
• Panel 4 [image] (pdf)

November 14, 2001

"Securities Regulation in the Global Internet Economy" Major Issues Conference (Day I) Transcript

[document] (PDF)

November 15, 2001

"Securities Regulation in the Global Internet Economy" Major Issues Conference (Day II) Transcript

[document] (PDF)

December 2001

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

2002

NASD Annual Report

(Courtesy of FINRA)

• Part 1 [image] (pdf)
• Part 2 [image] (pdf)
• Part 3 [image] (pdf)

2002

NASD Notices to Members

(Courtesy of FINRA)

• January [image] (pdf)
• February - March [image] (pdf)
• April [image] (pdf)
• May [image] (pdf)
• June [image] (pdf)
• July [image] (pdf)
• August I [image] (pdf)
• August II [image] (pdf)
• September [image] (pdf)
• October [image] (pdf)
• November I [image] (pdf)
• November II [image] (pdf)
• December [image] (pdf)

Winter 2002

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

2002

Sarbanes-Oxley Act of 2002 (Public Law No. 107-204); Sections 203(3), 203(f), 209(e)(3)(A) of IAA amended; Section 42(e)(3)(A) of ICA Amended

[document] (PDF) (Government Records)

March 2002

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

March 2002

NASD Neutral Corner Survey

[image] (pdf) (Courtesy FINRA)

Spring 2002

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

March 21, 2002

Program from Roundtable on Integration of the 1933 and 1934 Acts

[document] (pdf)

June 2002

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

Summer 2002

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

Fall 2002

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

September 25, 2002

A Brief History of the SEC's Enforcement Program, 1934-1981, by Daniel Hawke.

[document] (pdf)

October 2002

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

2003

NASD Annual Report

[image] (pdf) (Courtesy FINRA)

2003

NASD Notices to Members

(Courtesy of FINRA)

• January [image] (pdf)
• February [image] (pdf)
• March [image] (pdf)
• April [image] (pdf)
• May [image] (pdf)
• June [image] (pdf)
• July I [image] (pdf)
• July II [image] (pdf)
• August [image] (pdf)
• September I [image] (pdf)
• September II [image] (pdf)
• October [image] (pdf)
• November [image] (pdf)
• December [image] (pdf)

2003

NASD Year in Review

[image] (pdf) (Courtesy FINRA)

February 2003

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

June 2003

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

August 1, 2003

LBJ Tapes Show President's Admiration for Manuel Cohen and Litmus Test for Regulators, by Eugene Goldman

[document] (pdf) (prepared for the museum by Eugene Goldman)

October 2003

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

Winter 2003

"Sarbanes - Oxley, Back to the Future" by Theodore Levine and Daniel Hawke, Chief Legal Executive

[document] (pdf) (Courtesy of Theodore Levine)

December 17, 2003

Letter by Mark K. Kessler in Remembrance of the SEC on November 22, 1963

[document] (pdf) (prepared for the museum by Mark Kessler)

January 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

February 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

March 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

March 5, 2004

Speech in Acceptance of ASECA's William O. Douglas Award by Theodore A. Levine

[document] (pdf) (Courtesy of Theodore Levine)

March 24, 2004

Addendum to Stanley Sporkin Oral Histories

[document] (pdf)

April 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

April 23, 2004

"What Went Wrong at the SEC?" by David Silver

[transcript] (pdf) (Courtesy of David Silver)

May 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

June 2004

Memories from Early Days of the Securities and Exchange Commission, by Karl C. Smeltzer

[document] (pdf) (prepared for the museum by Karl Smeltzer)

June 2004

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

June 2004

NASD Neutral Corner Insert

[image] (pdf) (Courtesy FINRA)

June 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

June 2, 2004

An SEC Chairman's Recollection, by David S. Ruder

[document] (pdf) (prepared for the museum by David S. Ruder)

June 2, 2004

Paper, by Harvey L. Pitt

[document] (pdf) (prepared for the museum by Harvey L. Pitt)

June 2, 2004

Reflections of a Chairman by Roderick M. Hills

[document] (pdf) (prepared for the museum by Roderick M. Hills)

June 2, 2004

The SEC and Investor Protection under Arthur Levitt, by Arthur Levitt

[document] (pdf) (prepared for the museum by Arthur Levitt)

June 2, 2004

Thirty Years of Change? by G. Bradford Cook

[document] (pdf) (prepared for the museum by G. Bradford Cook)

July 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

August 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

September 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

September 13, 2004

"Boesky Day" November 14, 1986, by Daniel M. Hawke

[image] (pdf)

October 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

November 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

December 2004

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

January 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

February 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

February 2005

NASD Special Notice to Members: District Elections

[image] (pdf) (Courtesy of FINRA)

March 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

April 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

April 18, 2005

Remembrance of September 11, 2001 by Sean Kemple

[document] (pdf)

May 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

May 17, 2005

Remembrance of September 11, 2001 by Bret Johnson

[document] (pdf)

May 27, 2005

Remembrance of September 11, 2001 by Stuart J. Kaswell

[document] (pdf)

June 2005

NASD Neutral Corner

[image] (pdf) (Courtesy FINRA)

June 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

June 20, 2005

NASD Special Notice to Members: District Elections

[image] (pdf) (Courtesy of FINRA)

July 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

August 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

August 25, 2005

NASD Special Notice ot Members: NAC Nominee

[image] (pdf) (Courtesy of FINRA)

September 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

September 27, 2005

NASD Special Notice to Members: District Elections

[image] (pdf) (Courtesy of FINRA)

October 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

November 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

November 2005

NASD Special Notice to Members: District Elections

[image] (pdf) (Courtesy of FINRA)

November 9, 2005

NASD Special Notice to Members: Nominees for NASD Board of Governors

[image] (pdf) (Courtesy of FINRA)

November 17, 2005

Edited Transcript of SEC General Counsels Roundtable

[document] (pdf) (the audio broadcast is available on www.sec.gov)

December 2005

NASD Notices to Members

[image] (pdf) (Courtesy of FINRA)

December 20, 2005

Edited Transcript of SEC Chairmen Roundtable

[document] (pdf) (the audio broadcast is available on www.sec.gov)

January 22, 2006

Addendum to Jack Ferguson Oral Histories

[document] (pdf)

February 3, 2006

Addendum to Barbara Thomas Judge Oral Histories

[document] (pdf)

February 3, 2006

List of Speeches by SEC Commissioner Barbara Thomas Judge

[document] (pdf)

March 2006

Measuring Market Cleanliness, by Ben Dubow and Nuno Monteiro

[document] (pdf) (Courtesy of the Financial Services Authority)

March 3, 2006

Paul Gonson - Speech in Acceptance of 2006 William O. Douglas Award

[transcript] (pdf) (Courtesy of Paul Gonson)

April 5, 2006

Harvey L. Pitt - "Where Are We Headed?," 26th Annual Manuel F. Cohen Lecture, The George Washington University Law School

[transcript] (pdf) (with permission of The George Washington University Law School)

May 31, 2006

Edited Transcript of SEC Women Commissioners Roundtable (the audio broadcast is available on www.sec.gov)

[transcript] (pdf)

June 5, 2006

Letter from Michael Udoff, Securities Industry Association to Nancy Morris, SEC on exemption from Section 11(d)(1) for Money Market Funds

[image] (pdf) (Anonymous)

June 8, 2006

Letter from Nancy Morris, SEC to Michael Udoff, Securities Industry Association on exemption from Section 11(d)(1) for Money Market Funds

[image] (pdf) (Anonymous)

June 14, 2006

Edited Transcript of SEC Enforcement Roundtable (the video broadcast is available on www.sec.gov)

[document] (pdf)

August 11, 2006

Recollection of Stuart J. Kaswell of 1987 Interview of Dennis Levine

[document] (pdf) (prepared for the museum by Stuart J. Kaswell)

May 2007

"Beyond Borders Part II: A New Approach to the Regulation of Global Securities Offerings," by Edward F. Greene

[document] (pdf)

May 30, 2007

Memo from the Office of the Chairman to the Chicago Board Options Exchange Members on agreement with IntercontinentalExchange (ICE)

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

July 13, 2007

Rocky Mountain Securities Conference, by Robert Davenport

[document] (pdf)

July 31, 2007

"The Fog of Battle, A Personal View of the October 1987 Market Break" by Alton Harvey

[transcript] (pdf)

August 2, 2007

"October 1987, A Retrospective" by John J. Phelan, Jr., retired Chairman and Chief Executive Officer, New York Stock Exchange

[transcript] (pdf)

September 16, 2007

Email from Professor Jonathan B K Rickford to Wayne J. Carroll on MOU negotiation

[transcript] (pdf) (Courtesy of Jonathan Rickford)

November 1, 2007

"Keeping the Markets Open: Lessons Learned from the 1987 Market Break" - Notes by Andrea M. Corcoran

[transcript] (pdf) (Courtesy of Andrea M. Corcoran)

November 19, 2007

Obituary of Jennie Howle Randolph, former SEC Southeast Regional Counsel (edited from publication in Atlanta Journal-Constitution)

[transcript] (pdf) (Courtesy of an anonymous donor)

June 2008

Evaluating the Mission: A Critical Review of the History and Evolution of the SEC Enforcement Program - Paul S. Atkins and Bradley J. Bondi

[transcript] (pdf) (Courtesy of Paul Atkins and Bradley Bondi; with permission of the Fordham Journal of Corporate and Financial Law)

August 15, 2008

Letter from Norman Poser describing photos from August 1966 trip to Rio de Janeiro

[image] (pdf) (Courtesy of Norman S. Poser)

September 19, 2008

Letter from Walter P. Schuetze to The Wall Street Journal on AIG

[transcript] (pdf) (Courtesy of Walter Schuetze)

September 19, 2008

Letter from Walter P. Schuetze to The Wall Street Journal on proposed suspension of Fair Value Accounting Rules

[transcript] (pdf) (Courtesy of Walter Schuetze)

September 30, 2008

Letter from members of the U.S. House of Representatives to SEC Chairman Christopher Cox requesting the suspension of the use of fair value accounting or "mark to market"

[image] (pdf) (Courtesy of an anonymous donor)

January 28, 2009

Letter from Willis H. Riccio, Looney & Grossman LLP, to U.S. Senator Jack Reed on the SEC

[image] (pdf) (Courtesy of Willis H. Riccio)

February 4, 2009

Cecilia Wilkerson's 75th Anniversary Memorable: Wilson A. Butler, Jr.

[transcript] (pdf) (Courtesy of Cecilia Wilkerson)

February 20, 2009

Kevin Haley's 75th Anniversary Memorable: Stephen M. Cutler

[transcript] (pdf) (Courtesy of Kevin Haley)

June 25, 2009

Book given to guests at the SEC Historical Society's dinner honoring the 75th anniversary of the U.S. Securities and Exchange Commission

[image] (pdf)