www.sechistorical.org

Papers

• pre1930s
• 1930s
• 1940s
• 1950s
• 1960s
• 1970s
• 1980s
• 1990s
• 2000s
• 2010s

1998

NASD Notices to Members

(Courtesy of FINRA)

• January - June [image] (pdf)
• July - December [image] (pdf)

1998

National Securities 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)

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

The Depository Trust Company 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)

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)

April 17, 1998

Letter from Denise Voight Crawford, North American Securities Administrators Association to Michael Macchiaroli, SEC Division of Market Regulation on proposed changes to books and records requirements

[image] (pdf) (Anonymous)

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 5, 1998

Letter from Warren Langley, Pacific Exchange and William Lupien, OptiMark Technologies to SEC on ITS plan

[image] (pdf) (Anonymous)

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)

November 5, 1998

Letter from James Buck, New York Stock Exchange to SEC on ITS plan

[image] (pdf) (Anonymous)

December 1998

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

December 8, 1998

SEC Release: Regulation of Exchanges and Alternative Trading Systems

[image] (pdf) (Government Records)

December 16, 1998

Letter from Stuart Kaswell, Securities Industry Association and Paul Saltzman, The Bond Market Association to SEC on books and records requirements

[image] (pdf) (Anonymous)

1999

A Short History of The Depository Trust Company

[image] (pdf) (Courtesy of William F. Jaenike)

1999

Emerging Markets Clearing Corporation Annual Report

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

1999

Government Securities 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)

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

MBS Clearing Corporation Annual Report

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

1999

NASD Annual Report

[image] (PDF) (Courtesy FINRA)

1999

NASD Notices to Members

(Courtesy of FINRA)

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

Winter 1999

NASD Regulatory and Compliance Alert

[image] (pdf) (Courtesy FINRA)

1999

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)

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 1999

Hedge Funds, Leverage and the Lessons of Long-Term Capital Management - Report of the President's Working Group on Financial Markets

(Anonymous)

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

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)

December 7, 1999

Letter from Michael Macchiaroli, SEC Division of Market Regulation to Stuart Kaswell, Securities Industry Association on Rule 17a-9T before January 1, 2000

[image] (pdf) (Anonymous)