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

(Courtesy of FINRA)

1990
National Securities Clearing Corporation Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
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
The Depository Trust Company Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
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)
May 8, 1990
Statement of Dr. Wendy L. Gramm, Chairman, Commodity Futures Trading Commission, before the U.S. Senate on the proposed merger of CFTC and the U.S. Securities and Exchange Commission
[image] (pdf) (Anonymous)
May 8, 1990
Statement of the Honorable Robert R. Glauber, Under Secretary of the Treasury for Finance, before the U.S. Senate on the proposed merger of the Commodity Futures Trading Commission and the U.S. Securities and Exchange Commission
[image] (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)
September 10, 1990
SEC response to U.S. Representative John Dingell on proposal from Fidelity Management & Research Company
[image] (pdf) (Anonymous)
September 30, 1990
56th Annual Report of the U.S. Securities and Exchange Commission
[image] (pdf) (Government Records)
October 9, 1990
Letter from U.S. Representative John Dingell to SEC Chairman Richard Breeden opposing SEC decision on Fidelity request
[image] (pdf) (Anonymous)
October 11, 1990
Letter from Arthur S. Loring, Fidelity Investments to U.S. Securities and Exchange Commission with comments on SEC concept release on regulation of investment companies
[image] (pdf) (Anonymous)
October 18, 1990
Memorandum of Understanding - U.S. Securities and Exchange Commission and Comision Nacional De Valores de Mexico
[image] (pdf) (Government Records)
October 22, 1990
"Corporate Boards and Their Advisors" - Remarks by SEC Commissioner Philip R. Lochner, Jr. to the National Association of Corporate Directors
[image] (pdf) (Anonymous)
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
National Securities Clearing Corporation Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1991
The Depository Trust Company Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
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 1991
Problems and Controversy: The U.S. Banking System - Address by Eugene H. Rotberg
[image] (pdf) (Courtesy of Eugene H. Rotberg)
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)
September 30, 1991
57th Annual Report of the U.S. Securities and Exchange Commission
[image] (pdf) (Government Records)
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
National Securities Clearing Corporation Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1992
The Depository Trust Company Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
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)
April 22, 1992
Letter from John S. Reed to SEC Chairman Richard Breeden on relations between Financial Accounting Standards Board and SEC
[transcript] (pdf) (JT Ball Collection, University of Mississippi)
1992
Protecting Investors: A Half Century of Investment Company Act Regulation, SEC Division of Investment Management.

(Government Records)

May 4, 1992
Letter from Wendy L. Gramm, Commodity Futures Trading Commission to U.S. Representative Glenn English on proposed definitions of futures and forward contracts
[image] (pdf) (Anonymous)
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)
June 12, 1992
Letter from J. French Hill, White House to Dennis Beresford, Financial Accounting Standards Board with speech by Deputy Secretary of the Treasury John E. Robson on accounting for stock options
[image] (pdf) (JT Ball Collection, University of Mississippi)
June 19, 1992
Letter from U.S. Senators Patrick Leahy and Richard Lugar to Wendy L. Gramm, Commodity Futures Trading Commission on margin levels for stock-index futures
[image] (pdf) (Anonymous)
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)
August 12, 1992
Relevance and Credibility in Financial Accounting and Reporting - Address by Walter P. Schuetze, SEC Chief Accountant to American Accounting Association
[image] (pdf) (JT Ball Collection, University of Mississippi)
August 28, 1992
Letter from Dennis Beresford, Financial Accounting Standards Board to John Reed on relations between Business Roundtable companies and FASB
[image] (pdf) (JT Ball Collection, University of Mississippi)
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)
September 30, 1992
58th Annual Report of the U.S. Securities and Exchange Commission
[image] (pdf) (Government Records)
November 24, 1992
Letter from U.S. Representative Edward J. Markey to Wendy L. Gramm, Commodity Futures Trading Commission on Chicago Board of Trade request for risk assessment information
[image] (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
National Securities Clearing Corporation Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1993
The Depository Trust Company Annual Report
[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
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 1, 1993
Memo from Ken Hagerty to Coalition for American Equity Expansion on Senator Carl Levin's stock option bill
[image] (pdf) (JT Ball Collection, University of Mississippi)
February 17, 1993
Letter from major accounting firms to Dennis Beresford, Financial Accounting Standards Board on stock compensation project
[image] (pdf) (JT Ball Collection, University of Mississippi)
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)
April 20, 1993
"OTC Derivatives: Taking Risk Management to New Heights" - Remarks of SEC Commissioner J. Carter Beese, Jr.
[image] (pdf) (Anonymous)
May 6, 1993
Remarks by SEC Chairman Richard C. Breeden at farewell reception
[image] (pdf) (Anonymous)
June 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
June 29, 1993
Memo from Maryanne McCormick to Tom Higginbotham, AICPA on Senator Joseph Lieberman's legislation to repeal FASB's rules on accounting for stock options
[image] (pdf) (JT Ball Collection, University of Mississippi)
June 30, 1993
Financial Accounting Standards Board Release: FASB Proposes Standards for Stock Option Accounting
[image] (pdf) (JT Ball Collection, University of Mississippi)
July 16, 1993
Response by Arthur Levitt, Jr. to questions in consideration of confirmation as SEC Chairman
[image] (pdf) (Anonymous)
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)
August 1993
Congressional Record: Senate Concurrent Resolution 34, Relative to Accounting Standards
[image] (pdf) (JT Ball Collection, University of Mississippi)
August 3, 1993
Letter from Dennis Beresford, Financial Accounting Standards Board to Senator Joseph Lieberman with accounting issues raised in proposed legislation on stock options
[image] (pdf) (JT Ball Collection, University of Mississippi)
September 1993
NASD Regulatory and Compliance Alert
[image] (pdf) (Courtesy FINRA)
September 14, 1993
Letter from Senator Carl Levin to Patrick McGurn, Investor Responsibility Research Center on stock options
[image] (pdf) (JT Ball Collection, University of Mississippi)
September 28, 1993
Letter from John Reed to Representatives John Dingell and Edward Markey on Financial Accounting Standards Board
[image] (pdf) (JT Ball Collection, University of Mississippi)
October 12, 1993
Invitation from Senators Phil Gramm and Christopher Dodd to James Leisenring, Financial Accounting Standards Board to hearing on accounting for employee stock options
[image] (pdf) (JT Ball Collection, University of Mississippi)
October 20, 1993
Reply from Representative John Dingell to John Reed
[image] (pdf) (JT Ball Collection, University of Mississippi)
October 22, 1993
Letter from Walter Schuetze, SEC Chief Accountant to Senator Christopher Dodd on hearing on accounting for employee stock options
[image] (pdf) (JT Ball Collection, University of Mississippi)
October 28, 1993
Statement of Sheila C. Bair, Acting Chairman, Commodity Futures Trading Commission on bank derivative activities
[image] (pdf) (Anonymous)

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