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2000
Emerging Markets Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2000
Government Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2000
MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2000
NASD Annual Report
image pdf (Courtesy FINRA)
2000
NASD Notices to Members

(Courtesy of FINRA)

Winter 2000
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
2000
The Depository Trust & Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2000
U.S. Securities and Exchange Commission Annual Report
document pdf (Government Records)
January 6, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representative John Dingell on auditor independence issues
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
January 11, 2000
Email from R. Horwitz, SEC with shareholder statistics
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 11-12, 2000
Memos on President Clinton visit to New York Stock Exchange
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
January 19, 2000
Memo to SEC Chairman Arthur Levitt from Lynn Turner, SEC Chief Accountant on auditor independence initiatives
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
February 3, 2000
Internal transcript of President Clinton interview by Ron Insana, The Today Show
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
February 10, 2000
Reply letter to U.S. Representative John Dingell from SEC Chairman Arthur Levitt on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
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)
March 17, 2000
Memo to National Economic Council principals on proposed financial privacy legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
March 28, 2000
Memo to National Economic Council principals with supplement on privacy of bankrupty legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 3, 2000
Agenda for National Economic Council Principals meeting on financial privacy
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 17, 2000
Letter to SEC Chairman Arthur Levitt from U.S. House Committee on Commerce with questions on accounting practice
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
April 21, 2000
Memo to National Economic Council principals on follow-up on financial privacy proposals
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 27, 2000
Memo to National Economic Council principals from Sally Katzen and David Beier on final issues on financial privacy
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 29, 2000
Financial Privacy Proposal Questions and Answers
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
April 29, 2000
Memo to President Clinton from Gene Sperling on commencement address at Eastern Michigan University to announce new legislative proposal to strengthen financial privacy
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 2, 2000
Letter to U.S. Senator Phil Gramm from SEC Chairman Arthur Levitt on oversight of Financial Accounting Standards Board
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 3, 2000
Letter from David Brumbeloe, AICPA to Jerry Sullivan, Public Oversight Board on invoices for special reviews
image pdf (Courtesy of George P. Fritz)
May 5, 2000
Memo to President Clinton from Gene Sperling and Sarah Rosen Wartell on bankruptcy legislation
transcript pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
May 10, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representative John Dingell on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 10, 2000
Renewing the Covenant with Investors - Speech by SEC Chairman Arthur Levitt to NYU Center for Law and Business
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 18, 2000
Letter to SEC Chairman Arthur Levitt from Stephen Butler, KPMG; James Copeland, Deloitte & Touche; and W. Robert Grafton, Andersen Worldwide on May 10th Renewing the Covenant with Investors speech
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 24, 2000
Letter to U.S. Representative Billy Tauzin from SEC Chairman Arthur Levitt on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 24, 2000
Memo to SEC Chairman Arthur Levitt from Lynn Turner, SEC Chief Accountant on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 25, 2000
Questions to SEC Chairman Arthur Levitt from U.S. Senators Charles Schumer, Robert Bennett and Evan Bayh on auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
May 31, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representatives Henry Waxman and Edward Markey on oversight of accounting profession
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
Summer 2000
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
June 22, 2000
Memo to President Clinton for decision on bankruptcy reform legislation
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
June 27, 2000
Remarks by SEC Chairman Arthur Levitt at open meeting on proposals to modernize auditor independence rules
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
June 28, 2000
Letter to SEC Chairman Arthur Levitt from Arthur Rock in support of separating auditing and consulting practices
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 17, 2000
Letter to David Becker, SEC Office of General Counsel from John Olson on auditor independence rules
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 17, 2000
Letter to U.S. Senator Robert Bennett from SEC Chairman Arthur Levitt on regulation of accounting profession
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 17, 2000
Memo to SEC Chairman Arthur Levitt from Lynn Turner, SEC Chief Accountant on Senate correspondence regarding auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 20, 2000
Letter to SEC Chairman Arthur Levitt from U.S. House of Representatives members on SEC rulemaking regarding auditor independence
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 26, 2000
Non-Audit Services: Comparison of Proposals to Existing Requirements
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 26, 2000
Testimony of J. Terry Strange on behalf of KPMG LLP before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 26, 2000
Testimony of Robert Garland, Deloitte & Touche LLP before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
July 26, 2000
Testimony of William Allen before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
August 2000
A. Carl Helwig et al. v. Vencor, Inc. et al.: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
Fall 2000
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
September 11, 2000
SEC and Department of Justice Sanction Four Options Exchanges for Anticompetitive Conduct
image pdf (Government Records)
September 13, 2000
Testimony of Bevis Longstreth before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 13, 2000
Testimony of Robert Elliott, American Institute of Certified Public Accountants before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 18, 2000
A Profession at the Crossroads - Remarks by SEC Chairman Arthur Levitt to National Association of State Boards of Accountancy
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 20, 2000
Statement of the Honorable Roderick M. Hills before SEC concerning auditor independence requirements
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 20, 2000
Testimony of Douglas Scrivner before SEC on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 22, 2000
Letter to U.S. Representative W.J. Tauzin from SEC Chairman Arthur Levitt on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 26, 2000
Letter to U.S. Representative David Obey from SEC Chairman Arthur Levitt on proposed auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 28, 2000
Oral testimony of SEC Chairman Arthur Levitt concerning the auditor independence proposal before the Subcommittee on Securities, U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
September 28, 2000
Testimony of SEC Chairman Arthur Levitt concerning the auditor independence proposal before the Subcommittee on Securities, U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 4, 2000
Questions to SEC Chairman Arthur Levitt from U.S. Senators Michael Crapo, Michael Enzi and Tim Johnson on auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 6, 2000
Letter to U.S. Senator Michael Crapo from SEC Chairman Arthur Levitt on auditor independence rulemaking
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
October 25, 2000
Letter to U.S. Representative John Dingell from SEC Chairman Arthur Levitt on possible delay in adoption of auditor independence rule
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
November 2000
Constituent letter from U.S. Representative Richard Armey on SEC proposed auditor independence requirements rule
transcript pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
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)
November 2, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representative Michael Oxley suggesting compromise in auditor independence rule
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
November 3, 2000
Letter to SEC Chairman Arthur Levitt from U.S. Representative Michael Oxley on impact of auditor independence rules on middle market accounting firms
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
November 20, 2000
Draft: A New Economy
image pdf (Courtesy of the William J. Clinton Presidential Library & Museum)
December 5, 2000
Reply letter to U.S. Representative Michael Oxley from SEC Chairman Arthur Levitt on possible impact on middle market accounting firms
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
December 12, 2000
Remarks by SEC Chairman Arthur Levitt at Conference on the Rise and Effectiveness of New Corporate Governance Standards
image pdf (With permission of Arthur Levitt Papers, Rare Book & Manuscript Library, Columbia University in the City of New York)
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
Emerging Markets Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
2001
Government Securities Clearing Corporation and MBS Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
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)

Winter 2001
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
2001
The Depository Trust & Clearing Corporation Annual Report

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

January 24-25, 2001
Enron Investor Conference - Valuation Considerations
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
January 25, 2001
Enron Press Release: Enron Announces Increased Earning Target for 2001
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
Spring 2001
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
March 2001
Raptor Hedging Strategy Analysis
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
March 7, 2001
Summary of Raptor Transactions
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
May 22, 2001
Memo to Jeff Skilling from Jordan Mintz on Enron approvals for transactions with LJM
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
Summer 2001
Letter to Kenneth Lay from anonymous Enron employee
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
June 2001
NASD Neutral Corner
image pdf (Courtesy FINRA)
Summer 2001
NASD Regulatory and Compliance Alert
image pdf (Courtesy FINRA)
July 2001
Independence Standards Board Staff Report - A Conceputal Framework for Auditor Independence
transcript pdf (Courtesy of Henry R. Jaenicke)
July 17, 2001
SEC Press Release - Independence Standards Board to Cease Operations
transcript pdf (Government Records)
August 14, 2001
Enron News Release: Enron Announces Skilling Resignation
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
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)
August 29, 2001
Email to Kenneth Lay from Margaret Ceconi
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
August 31, 2001
SEC Division of Corporation Finance: Current Accounting and Disclosure Issues
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
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
October 3, 2001
Goldman Sachs Analyst Report: Enron Corporation
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
October 8, 2001
Enron Audit and Compliance Committee Meeting
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
October 19, 2001
Letter to U.S. Representative Richard Armey from New York Governor George Pataki on funding for New York City following 9/11 attacks
image pdf (Richard K. Armey Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
October 22, 2001
Enron News Release: Enron Announces SEC Request, Pledges Cooperation
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)
October 23, 2001
Enron All Employee Meeting
image pdf (Courtesy of the U.S. Department of Justice, Enron Exhibits)

1 to 100 of 229 records

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