Papers
Welcome to the Papers section of the virtual museum and archive. The materials in this section are organized chronologically.
60 Records Found
Fall 1999
Carl Schneider - "How Fortuities Shape a Career," The Philadelphia Lawyer (with permission of the Philadelphia Bar Association)
Carl Schneider - "How Fortuities Shape a Career," The Philadelphia Lawyer (with permission of the Philadelphia Bar Association)
July 1999
Final Report of the SEC Government-Business Forum on Small Business Capital Formation (courtesy of Richard Rowe)
Final Report of the SEC Government-Business Forum on Small Business Capital Formation (courtesy of Richard Rowe)
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 (courtesy of Richard Rowe)
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 (courtesy of Richard Rowe)
May to June 1999
Carl Schneider - "Change, the SEC and... me," Business Law Today (with permission of the American Bar Association)
Carl Schneider - "Change, the SEC and... me," Business Law Today (with permission of the American Bar Association)
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 (courtesy of Richard Rowe)
Comment Letter from the Association of the Bar of the City of New York on File No. S7-30-98 - The Aircraft Carrier Release (courtesy of Richard Rowe)
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 (Government Records)
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 (Government Records)
October 26, 1998
Memo from Harvey Goldschmid to Office of General Counsel on appointment of Eric Summergrad as Deputy Solicitor [Image] (courtesy of the Summergrad Family)
Memo from Harvey Goldschmid to Office of General Counsel on appointment of Eric Summergrad as Deputy Solicitor [Image] (courtesy of the Summergrad Family)
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] (Courtesy of Stuart J. Kaswell)
Mandatory Arbitration Agreements in Employment Contracts in the Securities Industry - Hearing before the Committee on Banking, Housing and Urban Affairs, U.S. Senate [Image] (Courtesy of Stuart J. Kaswell)
May 12, 1998
A.A. Sommer, Jr. - Remarks at Dedication of U.S. Securities and Exchange Commission's Louis Loss Library (courtesy of Paul Gonson)
A.A. Sommer, Jr. - Remarks at Dedication of U.S. Securities and Exchange Commission's Louis Loss Library (courtesy of Paul Gonson)
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 (Government Records)
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 (Government Records)
1998 to present
U.S. Securities and Exchange Commission Staff Award - Ellen B. Ross Award (Government Records.)
U.S. Securities and Exchange Commission Staff Award - Ellen B. Ross Award (Government Records.)
1998 to present
U.S. Securities and Exchange Commission Staff Award - Martha Platt Award (Government Records.)
U.S. Securities and Exchange Commission Staff Award - Martha Platt Award (Government Records.)
December 15, 1997
Harvard Law School Press Release on Death of Professor Louis Loss (courtesy of Paul Gonson)
Harvard Law School Press Release on Death of Professor Louis Loss (courtesy of Paul Gonson)
October 1997
"The Lessons of 1987: Thinking Back After a Decade of Response" - Andrea M. Corcoran, Futures & Derivatives Law Report [Image] Courtesy of Andrea M. Corcoran
"The Lessons of 1987: Thinking Back After a Decade of Response" - Andrea M. Corcoran, Futures & Derivatives Law Report [Image] Courtesy of Andrea M. Corcoran
July 10, 1997
Letter from Eric Summergrad to Milton V. Freeman [Image] (courtesy of the Summergrad Family)
Letter from Eric Summergrad to Milton V. Freeman [Image] (courtesy of the Summergrad Family)
June 30, 1997
Letter from Milton V. Freeman to Eric Summergrad with congratulations on winning the O'Hagan case [Image] (courtesy of the Summergrad Family)
Letter from Milton V. Freeman to Eric Summergrad with congratulations on winning the O'Hagan case [Image] (courtesy of the Summergrad Family)
June 25, 1997
Supreme Court of the United States: United States v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
Supreme Court of the United States: United States v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
June 1997
Final Report of the SEC Government-Business Forum on Small Business Capital Formation (courtesy of Richard Rowe)
Final Report of the SEC Government-Business Forum on Small Business Capital Formation (courtesy of Richard Rowe)
April 27, 1997
Reply Brief for the United States, United States of America v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
Reply Brief for the United States, United States of America v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
March 28, 1997
Brief for Respondent James Herman O'Hagan on Writ of Certiorari to the U.S. Court of Appeals, United States of American v. James Herman O'Hagan (begins at Questions Presented) [Image] (courtesy of the Library of Congress)
Brief for Respondent James Herman O'Hagan on Writ of Certiorari to the U.S. Court of Appeals, United States of American v. James Herman O'Hagan (begins at Questions Presented) [Image] (courtesy of the Library of Congress)
March 27, 1997
Brief of Amici Curiae Law Professors and Counsel in Support of Respondent, United States of America v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
Brief of Amici Curiae Law Professors and Counsel in Support of Respondent, United States of America v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
February 28, 1997
Brief of Amici Curiae North American Securities Administrators Association, Inc. and Law Professors in Support of Petitioner, United States of America v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
Brief of Amici Curiae North American Securities Administrators Association, Inc. and Law Professors in Support of Petitioner, United States of America v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
February 27, 1997
Brief for the United States, United States of America v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
Brief for the United States, United States of America v. James Herman O'Hagan [Image] (courtesy of the Library of Congress)
1997
"10 Years After: Regulatory Developments in the Securities Markets Since the 1987 Market Break," by Dr. Richard R. Lindsey, Director, SEC Division of Market Regulation, and Anthony P. Pecora, Esq., Attorney-Adviser, SEC Division of Market Regulation [Image] (Government Records)
"10 Years After: Regulatory Developments in the Securities Markets Since the 1987 Market Break," by Dr. Richard R. Lindsey, Director, SEC Division of Market Regulation, and Anthony P. Pecora, Esq., Attorney-Adviser, SEC Division of Market Regulation [Image] (Government Records)
December 11, 1996
Comment Letter from the American Bar Association's Committee on Federal Regulation of Securities on the Securities Act Concepts and Their Effects on Capital Formation (courtesy of Richard Rowe)
Comment Letter from the American Bar Association's Committee on Federal Regulation of Securities on the Securities Act Concepts and Their Effects on Capital Formation (courtesy of Richard Rowe)
October 25, 1996
Comment Letter from the New York State Bar Association on Securities Act Concepts and Their Effects on Capital Formation (courtesy of Richard Rowe)
Comment Letter from the New York State Bar Association on Securities Act Concepts and Their Effects on Capital Formation (courtesy of Richard Rowe)
June 5, 1996
Testimony of SEC Chairman Arthur Levitt concerning S.1815, "Securities Investment Promotion Act of 1996," before the Committee on Banking, Housing and Urban Affairs, U.S. Senate [Image] (Courtesy of Stuart J. Kaswell)
Testimony of SEC Chairman Arthur Levitt concerning S.1815, "Securities Investment Promotion Act of 1996," before the Committee on Banking, Housing and Urban Affairs, U.S. Senate [Image] (Courtesy of Stuart J. Kaswell)
February 8, 1996
Letter from Mayer U. Newfield to Milton V. Freeman on Rule 10b-5 (courtesy of Paul Gonson)
Letter from Mayer U. Newfield to Milton V. Freeman on Rule 10b-5 (courtesy of Paul Gonson)
October 16, 1995
Letter from SEC Chairman Arthur Levitt to John L. Steffans, Securities Industry Association [Image] (Courtesy of Stuart J. Kaswell)
Letter from SEC Chairman Arthur Levitt to John L. Steffans, Securities Industry Association [Image] (Courtesy of Stuart J. Kaswell)
1995
Philanthropy Protection Act of 1995 (Public Law No. 104-62); Section 203(b) of IAA Amended; Sections 3(c)(10), 7 of ICA Amended (Government Records)
Philanthropy Protection Act of 1995 (Public Law No. 104-62); Section 203(b) of IAA Amended; Sections 3(c)(10), 7 of ICA Amended (Government Records)
August 23, 1994
Letter to The Washington Post in tribute to Orval DuBois, from Herbert B. Cohn, John F. Davis, Dorothy T. and Henry G. Fischer, Phyllis and Milton V. Freeman, David Ginsburg, Harry Heller and Gerald W. Siegel (courtesy of Karl Smeltzer)
Letter to The Washington Post in tribute to Orval DuBois, from Herbert B. Cohn, John F. Davis, Dorothy T. and Henry G. Fischer, Phyllis and Milton V. Freeman, David Ginsburg, Harry Heller and Gerald W. Siegel (courtesy of Karl Smeltzer)
June 1994
Final Report of the SEC Government-Business Forum on Small Business Capital Formation (courtesy of Richard Rowe)
Final Report of the SEC Government-Business Forum on Small Business Capital Formation (courtesy of Richard Rowe)
May 12, 1994
Abandonment of the Private Right of Action for Aiding and Abetting Securities Fraud/Staff Report on Private Securities Litigation - Hearing before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate [Image] (Courtesy of Stuart J. Kaswell)
Abandonment of the Private Right of Action for Aiding and Abetting Securities Fraud/Staff Report on Private Securities Litigation - Hearing before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate [Image] (Courtesy of Stuart J. Kaswell)
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 (courtesy of Mrs. Storrow Sommer)
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 (courtesy of Mrs. Storrow Sommer)
1993 to present
U.S. Securities and Exchange Commission Staff Award - Stanley Sporkin Award (Government Records.)
U.S. Securities and Exchange Commission Staff Award - Stanley Sporkin Award (Government Records.)
1993 to Present
U.S. Securities and Exchange Commission Staff Award - Jay Manning Award (Government Records)
U.S. Securities and Exchange Commission Staff Award - Jay Manning Award (Government Records)
1992
Protecting Investors: A Half Century of Investment Company Act Regulation, SEC Division of Investment Management. (Government Records)
Protecting Investors: A Half Century of Investment Company Act Regulation, SEC Division of Investment Management. (Government Records)
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] (courtesy of the Summergrad Family)
Memo from James R. Doty to the General Counsel's Office on the appointment of Eric Summergrad as Principal Assistant General Counsel [Image] (courtesy of the Summergrad Family)
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 (Government Records)
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 (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 (Government Records)
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 (Government Records)
1990 to present
U.S. Securities and Exchange Commission Staff Award - Chairman's Award for Excellence (Government Records.)
U.S. Securities and Exchange Commission Staff Award - Chairman's Award for Excellence (Government Records.)
1990 to present
U.S. Securities and Exchange Commission Staff Award- Sydney C. Orbach Award (Government Records.)
U.S. Securities and Exchange Commission Staff Award- Sydney C. Orbach Award (Government Records.)