www.sechistorical.org

Papers

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• 2010s

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 9, 2005

SEC Release: Regulation NMS

[image] (pdf) (Government Records)

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 9, 2005

Oral Argument, U.S. Court of Appeals for the District of Columbia Circuit: NASD v. SEC

[transcript] (pdf) (Courtesy of the family of Eric Summergrad)

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)

2006

Address by Eugene H. Rotberg on innovations in financial capital markets

[image] (pdf) (Courtesy of Eugene H. Rotberg)

2006

The Depository Trust & Clearing Corporation Annual Report

(Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

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

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)

March 24, 2006

Oral Argument, U.S. Court of Appeals for the District of Columbia Circuit: Juang Lou v. SEC

[transcript] (pdf) (Courtesy of the family of Eric Summergrad)

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

[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

[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)

2007

The Depository Trust & Clearing Corporation Annual Report

(Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

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

February 26, 2007

Comment Letter on Chicago Board Options Exchange from Nickolas J. Neubauer to SEC

[image] (pdf) (Government Records)

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 26, 2007

SEC Release: Order Approving Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.

[image] (pdf) (Government Records)

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)

2008

The Depository Trust & Clearing Corporation Annual Report

(Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

• Part 1 [image] (pdf)
• Part 2 [image] (pdf)
• Part 3 [image] (pdf)
• Part 4 [image] (pdf)
• Part 5 [image] (pdf)

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)

October 2008

The Financial Crisis - Notes by Eugene H. Rotberg for XM Radio and NPR interview, and George Washington University speech

[image] (pdf) (Courtesy of Eugene H. Rotberg)

January 27, 2009

Main Street and Wall Street - Address by Eugene H. Rotberg

[image] (pdf) (Courtesy of Eugene H. Rotberg)

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)

August 31, 2009

SEC Office of Investigations: Investigation of Failure of SEC to Uncover Bernard Madoff's Ponzi Scheme

[image] (pdf) (Government Records)

November 6, 2009

Head of the Financial Accounting Foundation Trustees

[image] (pdf) (Courtesy of the Financial Accounting Foundation Library)