www.sechistorical.org

The Depository Trust & Clearing Corporation Annual Report

[image] (pdf) (Courtesy FINRA)

2000

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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

Letter from David Brumbeloe, AICPA to Jerry Sullivan, Public Oversight Board on invoices for special reviews

[image] (pdf) (Courtesy FINRA)

May 3, 2000

[image] (pdf) (Courtesy of George P. Fritz)

Summer 2000

[image] (pdf) (Courtesy FINRA)

Fall 2000

SEC and Department of Justice Sanction Four Options Exchanges for Anticompetitive Conduct

[image] (pdf) (Courtesy FINRA)

September 11, 2000

[image] (pdf) (Government Records)

November 2000

NASD Neutral Corner Survey

[image] (pdf) (Courtesy FINRA)

November 2000

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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

Emerging Markets Clearing Corporation Annual Report

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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

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January 2001

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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

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2001

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)

Spring 2001

[image] (pdf) (Courtesy FINRA)

June 2001

[image] (pdf) (Courtesy FINRA)

Summer 2001

Independence Standards Board Staff Report - A Conceputal Framework for Auditor Independence

[image] (pdf) (Courtesy FINRA)

July 2001

[transcript] (pdf) (Courtesy of Henry R. Jaenicke)

July 17, 2001

SEC Press Release - Independence Standards Board to Cease Operations

[transcript] (pdf) (Government Records)

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

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

[image] (pdf) (Courtesy FINRA)

October 2, 2001

[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

[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

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

[image] (pdf) (Courtesy FINRA)

2002

[document] (PDF) (Government Records)

2002

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, 2002

Letter from Eugene H. Rotberg to James Leach, Chairman Emeritus, U.S. House Financial Services Committee on Enron

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

March 2002

NASD Neutral Corner Survey

[image] (pdf) (Courtesy FINRA)

March 2002

[image] (pdf) (Courtesy FINRA)

Spring 2002

Program from Roundtable on Integration of the 1933 and 1934 Acts

[image] (pdf) (Courtesy FINRA)

March 21, 2002

[document] (pdf)

June 2002

[image] (pdf) (Courtesy FINRA)

Summer 2002

[image] (pdf) (Courtesy FINRA)

Fall 2002

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

[image] (pdf) (Courtesy FINRA)

September 25, 2002

[document] (pdf)

October 2002

A Pathology of the Independence Standards Board 's Conceptual Framework Project - Alan S. Glazer and Henry R. Jaenicke

[image] (pdf) (Courtesy FINRA)

December 2002

[transcript] (pdf) (Courtesy of Henry R. Jaenicke)

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

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2003

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)

February 2003

[image] (pdf) (Courtesy FINRA)

June 2003

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

[image] (pdf) (Courtesy FINRA)

August 1, 2003

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

October 2003

SEC Release: Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc.

[image] (pdf) (Courtesy FINRA)

November 7, 2003

[image] (pdf) (Government Records)

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

[image] (pdf) (Courtesy of FINRA)

2004

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 2004

SEC Competitive Developments in the Options Markets; Proposed Rule

[image] (pdf) (Courtesy of FINRA)

February 9, 2004

[image] (pdf) (Government Records)

March 2004

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

[image] (pdf) (Courtesy of FINRA)

March 5, 2004

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

March 24, 2004

Addendum to Stanley Sporkin Oral Histories

[document] (pdf)

April 2004

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

[image] (pdf) (Courtesy of FINRA)

April 23, 2004

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

May 2004

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

[image] (pdf) (Courtesy of FINRA)

June 2004

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

June 2004

NASD Neutral Corner Insert

[image] (pdf) (Courtesy FINRA)

June 2004

[image] (pdf) (Courtesy FINRA)

June 2004

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

[image] (pdf) (Courtesy of FINRA)

June 2, 2004

[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

[image] (pdf) (Courtesy of FINRA)

August 2004

[image] (pdf) (Courtesy of FINRA)

September 2004

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

[image] (pdf) (Courtesy of FINRA)

September 2004

SEC Telephone Directory

(Government Records)

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

September 13, 2004

[image] (pdf)

October 2004

[image] (pdf) (Courtesy of FINRA)

November 2004

[image] (pdf) (Courtesy of FINRA)

December 2004

SEC Concept Release Concerning Self-Regulation; Proposed Rule

[image] (pdf) (Courtesy of FINRA)

December 8, 2004

[image] (pdf) (Government Records)

January 2005

[image] (pdf) (Courtesy of FINRA)

2005

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 2005

NASD Special Notice to Members: District Elections

[image] (pdf) (Courtesy of FINRA)

February 2005

[image] (pdf) (Courtesy of FINRA)

March 2005

[image] (pdf) (Courtesy of FINRA)

April 2005