Arthur Levitt papers, 1948-2007

Box 1 Folder 37 Anderson, Joseph F.; Koppes, Richard - see Aronson, Tracey; [Athis], Paul; Bachman, John W.; Baird, Brent D.; Baker, William; Barr, Clifford; Barry, Grace; Blackmore, Robert L.; Blair, Warren E.; Brodsky, William J.; Brophy, Raymond C.; Brown, David A.; Callaway, Howard H.; Clarkson, James A.; Carey, Paul A.; Catell, Robert B; Cogan, Marshall S.; Critchlow, Paul W.; Damson, Barry; Davidson, Joan; Degenhardt, Harold F.; Derderian, James E.; Dibble, Edward T.; Dilenschneider, Robert L; Dulski, Walter; Edelman, Stanley; Emmott, William; Evans, Carol; Evans, Thomas W.; Fields, Harvey J; Figueres, Muni; Forbes, Malcolm S. (Steve); Fink, Matthew P.; Friedland, Rhoda; Glassman, Mary; Goldin, Harrison J.; Goldsmith, Margie; [Greenbaum], Teddy; Groves, Ray J.; Guggenheim, Charles; Haskell, Janelle; Herman, James A.; [Jores], Michael; Komives, Michael; [Krongard, A. B.] Buzzy Automatic Data Processing - see Weston, Josh S.; Brooklyn Union - see Catell, Robert B; Center for Working Capital - see Tarbox, Monte; Chicago Mercantile Exchange - See Brodsky, William J; Consumer Federation of America - see Metzenbaum, Howard M; Coopers & Lybrand - see McKinney, James E.; Council for Institutional Investors - see Teslik, Sarah; The Economic Club of Chicago - see Barry, Grace; The George Washington University - see Trachtenberg, Stephen Joel; Investment Company Institute - see Fink, Matthew P. General: A - K

Box 1 Folder 38 La Ganga, Charles; Lord, Sandra; Linton, R. E.; Lorne, Simon M; Lufkin, Dan W.; McKane, David B.; McKinney, James E.; McLucas, William R.; Madoff, Bernard L; Madoff, Peter B.; Manley, John M.; Mathisen, Tyler; Metzenbaum, Howard M; Martin, David - see Aronson, Tracey; Minow, Newton N.; Morse, William E.; Nemser, Earl; Nowicki, Elizabeth; Olson, John F.; Payne, Harry C.; Petchesky, Harry J.; Pottruck, David S.; Quinn, Linda C.; Reed, William S.; Rogers, William; Rubinstein, Peter J.; Ruder, William; Scardino, Jennifer; Schadt, James P.; Schlosser, Alfred M.; Schwartz, Robert; Segal, Martin E.; Silverstone, Leslie J.; Smythe, Marianne K.; Sobel, Ronald B.; Sole, Kelly Ann; Sommer, A. A. Jr.; Stanton, Frank; Stone, J. Jacques; Spatz, Theodore; Summers, Laurence; Tarbox, Monte; Teslik, Sarah; Tolleris, Bea; Trachtenberg, Stephen Joel; Walker, Richard H.; Weisbrod, Carl; Wang, [Leo]; Weston, Josh S.; Wilpon, Fred; Woolf, Harry. Los Angeles Times - see Sole, Kelly Ann; Merrill Lynch & Co. - see Critchlow, Paul W.; Ontario Securities Commission - see Brown, David; Poly Prep School - see Petchesky, Harry J.; Salomon Brothers, Inc - see Lorne, Simon; Charles Shwab & Co - see Pottruck, David S.; VEBA; Wellesley College - see Reed, William S.; Williams College - see Payne, Harry C.; General: L - Z

Box 1 Folder 39 Andreesen, Matthew; Augustine, Norman A.; Balamaci, Nick; Beard, Sam; Beresford, Dennis R.; Bialkin, Kenneth J.; Bloch, Robert W.; Blaskovich, Fred; Brennan, John J.; Brinkley, James W.; Buffett, Warren E.; Catto, Henry E.; Chin, Faye; Colson, Robert H.; Davies, Howard; Dilenschneider, Robert L.; Emerson, John B.; Fickling, William A., Jr.; Fleischer, Arthur; Goldmark, Peter C., Jr.; Gorman, D. J.; Hopkins, Karen B.; Hunter, David W.; Job, Peter; Kelley, Aloysius P.; Koski-Grafer, Susan; Kraft, Robert K.; Linowitz, Sol M.; Lowenstein, Lou; McDonough, William J.; McIntosh, Bill; McLendon, Heath B.; Malkin, Peter L.; Mikva, Abner J.; Muis, Jules W.; Nemser, Earl; Newman, Fred; Olson, John; Perlman, Jay; Reese, James R.; Ross, Alan; Ross, Richard S.; Schneiderman, Irwin; Schwab, Richard L.; Seligman, Joel; Senatore, Charles V.; Sollazzo, Bob; Steinbrenner, George M, III; Stern, Walter P.; Stevens, Rick; Sturner, William; Sowan, Richard J.; Stalcup, Steve; Till, John G.; Williams, Harold M.; Willmott, Peter S.; Zarr, Gary; Zelinka, Robert. Wall Street Journal Levitt's Resignation from SEC

Box 59 Folder 1-3 Carol Morrow files on Arthur Levitt (correspondence and articles), 2002-2004

Box 59 Folder 4 Correspondence, 2002-2004

Box 1 Folder 40 Complete Index, 1993 - 2001

Box 1 Folder 41 Bayh, Evan; Bennett, Robert F; Biggert, Judy; Bliley, Tom; Campbell, Tom; Chabot, Steve; Crane, Phillip; Crapo, Mike; Dingell, John D.; Dodd, Christopher J; Doyle, Mike; Enzi, Michael; Fowler, Tille K; Frank, Barney; Gejdenson, Sam; Grams, Rod; Isakson, Johnny; Johnson, Tim; Kanjorski, Paul E.; Latoure[...], Steven C.; Minge, David; Mink, Patsy T.; Obey, David; Oxley, Michael G.; Pitts, Joseph R; Ros-Lehtinen, Ileana; Sawyer, Thomas; Shays, Christopher; Tauzin, Billy; Torricelli, Robert; Towns, Edolphus; Voinovich, George V.; Wayne, Allard; Auditors Independence + index, 2000

Box 1 Folder 42 Baker, Richard H.; Bliley, Thomas J.; Gram, Phil; Greenwood, James C.; Kennedy, Edward M.; Kerry, John F.; Leach, James A.; Wyden, Ron. Banking Reform (Glass-Seagal Act; Gramm-Leach-Bliley bill), 1994 - 2000

Box 1A Folder 1 Bliley, Thomas J.; Burton, Dan; Dingell, John D.; Dreier, David; Fossella, Vito J.; Gramm, Phil; Livingson, Bob; Manton, Thomas; Markey, Edward J; Oxley, Michael G.; Schumer, Charles E.; Stevens, Ted; Thomas, William M; Thompson, Fred; Towns, Edolphus; Decimalization + index, 1997 - 2000

Box 1A Folder 2 Bliley, Thomas J.; Dingell, John D.; Gore, Al; Gramm, Phil; Lasio, Rick; Markey, Edward J; Pressler, Larry; EDGAR - SEC Electronic Data Gathering Analysis and Retrieval System + index, 1993 - 1998

Box 1A Folder 3 Burton, Dan Mutual Funds, Feb. 2000

Box 1A Folder 4 Dingell, John D.; Markey, Edward J; Obey, David R.; Serrano, Jose E.; Towns, Edolphus; Pay Parity (H. R. 2441), Oct. 2000

Box 1A Folder 5 D'Amato, Alphonse M; Dingell, John D.; Gramm, Phil; Markey, Edward J; Moseley-Braun, Carol; Wyden, Ron; Pay-to-Play in Municipal Bonds Market + Index, 1993 - 2000

Box 1A Folder 6 Bliley, Thomas J.; Dingell, John D.; Fields, Jack; Greenwood, James; Hall, Ralph; Santorum, Rick; Saxton, Jim; Stevens, Ted; Payment for Order Flow/Order Handling Rules + index, 1995 - 2000

Box 1A Folder 7 - 8 Burton, Dan; Cohen, William S.; D'Amato, Alphonse M; Dingell, John D.; Dodd, Christopher J; Dorgan, Byron L; Fields, Jack; Gillmor, Paul E.; Gore, Al; Markey, Edward J; Oxley, Michael G.;Riegle, Donald W.; Synar, Mike; Plain English, 1993 - 2000

Box 1B Folder 1 Breeden, Richard C.; Cohen, William S.; Dingell, John D.; Division of Investment Management Plain English - correspondence of Richard C. Breeden, SEC Division of Investment Management

Box 1B Folder 2 Eshoo, Anna G.; Frank, Barney Regulation FD / Selective Disclosure, Jul. - Dec. 2000

Box 1B Folder 3 Bliley, Thomas J.; D'Amato, Alphonse M; Dingell, John D.; Fields, Jack;Schenk, Lynn; Wyden, Ron Securities Litigation Reform, 1994 - 1998

Box 1B Folder 4 - 5 Abraham, Spencer; Armey, Dick; Baker, Richard; Bayh, Evan; Bennett, Robert; Bilbray, Brian; Blunt, Roy; Bliley, Thomas J.; Boren, David; Bunning, Jim; Burr, Richard; Cox, Christopher; Crapo, Mike; Crowley, Joseph; Cubin, Barbara; Davis, Tom; Deal, Nathan; Deutsch, Peter; Dingell, John D.; Dooley, Cal; Dunn, Jennifer; Eshoo, Anna G.; Fossella, Vito J.; Fowler, Tillie; Gillmor, Paul E.; Gonzalez, Charles A.; Goodlatte, Bob; Gramm, Phil; Grams, Rod; Greenwood, James; Hagel, Charles; Houghton, Amo; Jeffords, James; Kind, Ron; Lieberman, Joseph; McCarthy, Carolyn; McCrerey, James; Maloney, Jim; Markey, Edward J; Moran, Jim; Myrick, Sue; Norwood, Charles W.; Oxley, Michael G.; Pickering, Charles W.; Pryce, Deborah; Roemer, Tom; Sanders, Bernard; Sandlin, Max; Santorum, Rick; Schumer, Charles; Shelby, Richard; Shimkus, John; Smith, Adam; Tauscher, Ellen; Tauzin, Billy; Torricelli, Robert; Towns, Edolphus; Udall, Mark; Upton, Fred; Waxman, Henry; Wayne, Allard; Wilson, [...]; Standards (FASB, independence), 1994 - 2000

Box 1B Folder 6 Bennett, Robert F; D'Amato, Alphonse M; Dingell, John D.; Dodd, Christopher J.; Horn, Stephen; Morella, Connie. Year 2000 Compliance, 1997 - 1999

Box 1B Folder 7 US Senate Committee on Banking, Housing and Urban Affairs Hearing Transcript - S. 1815, Jan. 5, 1996

Box 1B Folder 8 US House of Representatives Hearing Transcript - H. R. 3005, Jun. 18, 1996

Box 1B Folder 9 US Senate Committee on Banking, Housing and Urban Affairs Hearing Transcript - Market Circiut Breakers, Jan. 29, 1998

Box 1B Folder 10 Congratulations on Confirmation, Jul. - Oct. 1993

Box 1C Folder 1 Responses to Congratulations on Confirmation, Jul. - Oct. 1993

Box 1C Folder 2 Congratulations on Re-nomination and the Longest Service, 1998 - 1999

Box 1C Folder 3 Undated correspondence and fragments, 1993 - 2000

Box 1C Folder 4 Personal File, 1993 - 2000

Box 14 Folder 1 Speeches' Index, 1993 - 2000

Box 14 Folder 2 Remarks by Levitt on the Occasion of His Swearing In, Washington, DC, July 27, 1993

Box 14 Folder 2 Opening Remarks, Concerning Executive Compensation Disclosure at the Public Meeting of the Commission, Washington, DC, August 6, 1993

Box 14 Folder 2 Opening Remarks, Regarding the Adoption of Amendments to the Net Capital Rule, before US SEC, Washington, DC, August 11, 1993

Box 14 Folder 2 Remarks at the 12th Annual SEC Government-Business Forum on Small Business Capital Formation, Washington, DC, September 9, 1993

Box 14 Folder 2 Comments on the FASB, September 10, 1993

Box 14 Folder 2 Welcoming Remarks at the Penny Stock Meeting, September 20, 1993

Box 14 Folder 2 Opening Remarks, Concerning Rules to Implement the Energy Policy Act of 1992 at the Public Meeting of US SEC, Washington, DC, September 22, 1993

Box 14 Folder 2 Protecting the American Investor: A New Partnership - Remarks at the Fall Conference of the North American Securities Administrators Association (NASAA) , Orlando, FL, September 29, 1993

Box 14 Folder 2 Talking Points for Daimler-Benz dinner, October 4, 1993

Box 14 Folder 2 Opening Statement of at the US SEC Open Meeting, Washington, DC, October 6, 1993

Box 14 Folder 2 Talking Points for MSRB Meeting pay to play, October 13, 1993

Box 14 Folder 2 CFC Kickoff Statement, October 18, 1993

Box 14 Folder 2 Statements on Pay-to-Play in the Municipal Securities markets, October 18, 1993

Box 14 Folder 2 Toward a New Global Partnership: Integrity, Stability and Opportunity -Remarks at the 1993 Annual Conference of the International Organization of Securities Commissions, Mexico City, Mexico, October 26, 1993

Box 14 Folder 2 Opening Statement at the US SEC Open Meeting, Washington, DC, November 3, 1993

Box 14 Folder 2 Remarks before the NASD, Washington, DC, November 12, 1993

Box 14 Folder 2 Opening Statement at the US SEC Open Meeting, Washington, DC, November 17, 1993

Box 14 Folder 2 Opening Statement - Amendments to Executive Compensation Disclosure Rules at the US SEC Open Meeting, Washington, DC, November 22, 1993

Box 14 Folder 2 Opening Remarks at the Public Meeting of the US SEC, Washington, D.C, December 15, 1993

Box 14 Folder 2 SEC in 1994 on the Threshold of the Twenty-First Century. Prudential Securities Statement. Disclosure Statement. Opening Statement - Amendments to the NASD's Small Order Execution System at the US SEC Open Meeting, December 22, 1993

Box 14 Folder 3 Remarks: Bond Buyer Conference, New York, NY, January 24, 1994

Box 14 Folder 3 Remarks: Private Litigation Under the Federal Securities Laws at Securities Regulation Institute, The University of California, San Diego Coronado, CA, January 26, 1994

Box 14 Folder 3 Remarks: Financing Growth in the 90's: The SEC's Perspective at Swiss-American Chambers of Commerce, Zurich, Switzerland, January 31, 1994

Box 14 Folder 3 Opening Remarks at Public Meeting of the SEC: Rule Proposal, Trading Systems, February 9, 1994

Box 14 Folder 3 Remarks at American Chamber of Commerce, Frankfurt, Germany, February 28, 1994

Box 14 Folder 3 Remarks for National Association of State Treasurers, Washington, DC, March 2, 1994

Box 14 Folder 3 Remarks at Public Securities Association Annual Meeting, Orlando, FL, March 4, 1994

Box 14 Folder 3 Opening Statement: Municipal Securities Disclosure, March 9, 1994

Box 14 Folder 3 Keynote Address for Consumer Federation of America, Washington, DC, March 10, 1994

Box 14 Folder 3 Opening Statement: Proposed Rules - Investment Advisers, March 16, 1994

Box 14 Folder 3 Remarks: Mutual Fund Directors: On the Front Line for Investors at Mutual Funds and Investment Management Conference, Scottsdale, AZ, March 21, 1994

Box 14 Folder 3 Remarks: Financial Writers Association, New York, NY, April 5, 1994

Box 14 Folder 3 Opening Statement: Open Meeting - Municipal Securities, April 6, 1994

Box 14 Folder 3 Talking Points at the Business Roundtable, Washington, DC, April 6, 1994

Box 14 Folder 3 Remarks before the American Bar Association, Washington, DC, April 8, 1994

Box 14 Folder 3 Opening Statement: Entry of Foreign Issuers Into the US Public Capital Markets, April 19, 1994

Box 14 Folder 3 Opening Statement: Concept Release: Trading Practices Rules, April 19, 1994

Box 14 Folder 3 Remarks: Amendments Regarding Wrap Fee Programs, April 19, 1994

Box 14 Folder 3 Remarks: Our Changing Municipal Bond Marketplace for National Association of Bond Lawyers, Washington, DC, May 6, 1994

Box 14 Folder 3 Remarks before Investment Company Institute Annual Conference, Washington, DC, May 18, 1994

Box 14 Folder 3 Remarks before the National Association of Securities Dealers, Inc. (NASD), May 19, 1994

Box 14 Folder 3 Opening Statement: SRO proposals at Open Commission Meeting, June 1, 1994

Box 14 Folder 3 Opening Statement: Proposals-Trading in the NASDAQ Market, June 29, 1994

Box 14 Folder 3 Remarks: Public Utilities Holding Company Act: 60 Years Later at The Willard Hotel, Washington, DC, July 18, 1994

Box 14 Folder 3 Securities Industry Associaton Remarks at the Annual Meeting of the SIA Sales and Marketing Committee, July 22, 1994

Box 14 Folder 3 Remarks: Public Meeting of the Securities and Exhange Commission, August 10, 1994

Box 14 Folder 3 Opening Remarks: Rating Agencies and Credit Ratings, August 31, 1994

Box 14 Folder 4 Remarks: Market Structure and Market Regulation: The SEC Prepares for the 21st Century at ABA Capital Markets Symposium, Chantilly, VA, September 16, 1994

Box 14 Folder 4 Talking Points, Kronberg, Germany, September 21, 1994

Box 14 Folder 4 Remarks: Mutual Fund Directors and Investor Advocates at Investment Company Directors Conference, Washington, DC, September 23, 1994

Box 14 Folder 4 Opening Statement: Open Meeting - Proposals, Limit Order Protection Rule for NASDAQ/NMS Market and Adoption Rule for Payment for Order Flow, September 27, 1994

Box 14 Folder 4 Remarks at the Financial Executives Institute Conference, Washington, DC, October 5, 1994

Box 14 Folder 4 Remarks: Consumer Protection: Tips From an insider at Rotary Club of Chicago, Chicago, IL, October 11, 1994

Box 14 Folder 4 Remarks: Our Partnership for Consumer Protection at North American Securities Administration Association (NASAA) Conference, Boston, MA, October 12, 1994

Box 14 Folder 4 Opening Statement: Open Meeting - Proxy Rule IM., Concept Release CF, October 13, 1994

Box 14 Folder 4 Taking The Mystery Out Of The Marketplace - Remarks of SEC Insider before the National Press Club, October 13, 1994

Box 14 Folder 4 Remarks: Consumer Protection: Tips From and SEC Insider at Florida Atlantic University, Boca Raton, FL, October 14, 1994

Box 14 Folder 4 Remarks: Preventing Securities Fraud Against the Elderly: Tips from An SEC Insider before Florida Crime Prevention Association, October 14, 1994

Box 14 Folder 4 Remarks: Putting Investors Firstbefore International Organization of Securities Commission, Tokyo, Japan, October 19, 1994

Box 14 Folder 4 Opening Remarks: Concept Release IM., Proposing Release CF., Adopting Release CF., November 1, 1994

Box 14 Folder 4 Remarks at the Municipal Securities Rulemaking Board Annual Dinner, Washington, DC, November 3, 1994

Box 14 Folder 4 Remarks: The SEC Today: Putting Investors Firstbefore the Practicing Law Institute, New York, NY, November 3, 1994

Box 14 Folder 4 Opening Statement: Municipal Securities Proposals, November 10, 1994

Box 14 Folder 4 Remarks before the New York Chapter of the Arthritis Foundation, New York, NY, November 22, 1994

Box 14 Folder 4 Remarks: A More Perfect World: The Continuing Conversation Between the SEC and Wall Street before the Securities Industry Association, December 3, 1994

Box 14 Folder 4 Remarks: The SEC Today: Putting Investors First before Women in Housing and Finance, Washington, DC, December 6, 1994

Box 14 Folder 4 Remarks: Public Debt, Public Obligations: A Municipal Market for the 21st Century for Public Securities Association, New York, NY, December 8, 1994

Box 14 Folder 4 Opening Statement: Open Meeting - Financial Reporting for US and Foreign Companies, December 13, 1994

Box 14 Folder 4 Opening Statement: Rule Proposal CF. Financial Reporting for US and Foreign Companies, December 13, 1994

Box 14 Folder 4 Remarks: Consumer Protection: Tips From A SEC insider at L.A. Town Hall, Los Angeles, CA, December 14, 1994

Box 14 Folder 4 Remarks: Consumer Protection: Tips From a SEC insider at Albuquerque Marriott, Albuquerque, NM, December 16, 1994

Box 14 Folder 5 Between CAVEAT EMPTOR and CAVEAT VENDITOR: The Middle Ground of Litigation Reform Remarks at the 22nd Annual Securities Regulation Institute, January 25, 1995

Box 14 Folder 5 Remarks: Professional Standards: The Next Competitive Frontierat the New York Stock Exchange Ethics Conference, New York, NY, February 9, 1995

Box 14 Folder 5 Opening Statement: Hearing, February 13, 1995

Box 14 Folder 5 Remarks: Municipal Securities in the SpotlightNational Assoc. of State Treasurers 1995 Legislative Conference, Washington, DC, February 14, 1995

Box 14 Folder 5 Opening Statement: Proposed New Rule Making - Soft Dollarat [US SEC] Open Meeting, February 14, 1995

Box 14 Folder 5 Remarks: The United States and South Africa: A Partnership For Progress at the Signing Ceremony at the Financial Services Board, Pretoria, Republic of South Africa, March 2, 1995

Box 14 Folder 5 Remarks: Shareholder Interests as the Director's Touchstone at Directors' College, Stanford, CA, March 23, 1995

Box 14 Folder 5 Remarks, The SEC at 60at Council of Institutional Investors, Washington,DC, March 27, 1995

Box 14 Folder 5 Opening Statement: Open Meeting, Recommendation from Investment Management, March 28, 1995

Box 14 Folder 5 Remarks: The SEC at 60at Center for Strategic & International Studies Financial Markets Forum, Washington, DC, March 29, 1995

Box 14 Folder 5 Remarks: The SEC At 60at the National Legal Center For The Public Interest General Counsel Briefing, March 29, 1995

Box 14 Folder 5 Talking Points before the American Business Conference Membership Meeting, April 5, 1995

Box 14 Folder 5 Remarks: Mutual Fund Directors as Investor Advocates at the Second Annual Symposium For Mutual Fund Trustees and Directors, April 11, 1995

Box 14 Folder 5 Remarks: Investor Protection: Tips From An SEC Insider at Investor's Town Meeting, Lowes Anatole Hotel, Dallas, TX, April 11, 1995

Box 14 Folder 5 Remarks: Investor Protection- Tips From An SEC insider at Investor's Town Meeting, Houstonian Hotel, Houston, TX, April 12, 1995

Box 14 Folder 5 Remarks: The SEC at 60 before The Dallas Friday Group And the Greater Dallas Chamber of Commerce, Lowes Anatole Hotel, Dallas, TX, April 12, 1995

Box 14 Folder 5 Remarks: Spotlight on Investors: The SEC's Agenda for 1995 Before The Society of American Business Editors and Writers, May 1, 1995

Box 14 Folder 5 Opening Statement: Open Meeting - T+3 Settlement Schedule, May 10, 1995

Box 14 Folder 5 Remarks: The SEC And The Mutual Fund Industry: An Enlightened Partnershipbefore the Investment Company Institute, May 19, 1995

Box 14 Folder 5 Remarks: Education Today for A Secure Retirement Tomorrowat TIAA-CREF Officer's Meeting, New York, NY, May 23, 1995

Box 14 Folder 5 Remarks at the Pojoaque High School Graduation, Pojoaque Pueblo, NM, May 27, 1995

Box 14 Folder 5 Remarks: The SEC At the Threshold Of A New Centuryat Conference of Chairmen of the Federal Reserve Banks, Washington,DC, May 31, 1995

Box 14 Folder 5 Remarks: Reform Efforts In Municipal Finance, Litigation and Banking: Progress and Prognosis before the Association of the Bar, City of New York, New York, NY, June 5, 1995

Box 14 Folder 5 Remarks: Public Funds and Public Trust At The Dawn of the Twenty-First Century before Government Finance Officers Association, Baltimore, MD, June 13, 1995

Box 14 Folder 5 Remarks: Small Business, Large Contribution at the White House Conference, Washington,DC, June 14, 1995

Box 14 Folder 5 Opening Statement: Public Utility Holding Company Act, June 20, 1995

Box 14 Folder 5 Opening Statement: Disclosure Process, June 27, 1995

Box 14 Folder 5 Opening Statement: Money Market Funds, July 19, 1995

Box 14 Folder 6 Remarks: SEC Edgar Technology Conference, August 14, 1995

Box 14 Folder 6 Remarks: Public Funds and Public Obligations before Municipal Treasurer's Association of the US and Canada, Spokane, WA, August 16, 1995

Box 14 Folder 6 Remarks: Investor Protection - Tips From An SEC Insider before National Association of Investors Corporation, Nashville, TN, August 27, 1995

Box 14 Folder 6 Taking Points before the Virginia SIA Board of Directors, September 19, 1995

Box 14 Folder 6 Opening Statement: The State of Minorities and Women in the Finance Industry before the National Association of Securities Professionals, Washington, DC, September 21, 1995

Box 14 Folder 6 Opening Statement: Opening Meeting, September 27, 1995

Box 14 Folder 6 Opening Statement: Opening Meeting, October 5, 1995

Box 14 Folder 6 Remarks: Public Trust and Public Funds before National Association of State Treasurers, Lake Tahoe, NV, October 16, 1995

Box 14 Folder 6 Remarks: Common Sense and Sacred Cows: SEC Self-Assessment Todayat the 34th Annual Corporate Counsel Institute, Chicago, IL, October 19, 1995

Box 14 Folder 6 Remarks: The SEC and the States: Toward a More Perfect Union at the North American Securities Administrators Association (NASAA) Conference, Vancouver, British Columbia, Canada, October 23, 1995

Box 14 Folder 6 Remarks: Investor Protection: Tips From a SEC insider at Town Meeting, Columbus, OH, October 30, 1995

Box 14 Folder 6 Remarks: Investor Education: Disclosure for the 1990s at the University of Virginia, Charlottesville, VA, November 1, 1995

Box 14 Folder 6 Remarks: The SEC Today before the Greater Boston Chamber of Commerce, Boston, MA, November 6, 1995

Box 14 Folder 6 Remarks: Investor Protection: Tips From and SEC Insider at Town Meeting, Boston, MA, November 6, 1995

Box 14 Folder 6 Remarks: Derivatives Use in the 1990s at the IDB/ISDA Conference, Washington, DC, November 9, 1995

Box 14 Folder 6 Remarks: Cultural Change on Wall Street: The Race to the Top before the Securities Industry Association, Boca Raton, FL, November 10, 1995

Box 14 Folder 6 Remarks: Investor Protection: Tips From and SEC Insider at Town Meeting, Washington, DC, November 15, 1995

Box 15 Folder 5 Remarks: The Future For America's Investors - Their Rights and Obligations at Investors Town Hall Meeting, Philadelphia, PA, January 16, 2001

Box 15 Folder 1 Remarks: Final Thoughts On Litigation Reform at the Financial Executives Institute, San Diego, CA, January 24, 1996

Box 15 Folder 1 Remarks: Speeding Up Settlement: The Next Frontierat the Symposium on Risk Reduction in Payments, Clearance and Settlement Systems, New York, NY, January 26, 1996

Box 15 Folder 1 Remarks: Public and Public TrustCalifornia Society of Municipal Finance Officers, Burbank, CA, February 26, 1996

Box 15 Folder 1 Opening Statement : Open Meeting - Report of the Task Force on Disclosure Simplification, March 5, 1996

Box 15 Folder 1 Remarks: Joint Meeting with Treasury Secretary Rubin, March 12, 1996

Box 15 Folder 1 Remarks: Our Partnership To Improve Practices Before the Securities Industry Association's Compliance and Legal Division, Palm Desert, CA, March 18, 1996

Box 15 Folder 1 Remarks: The SEC Today: An Accent On Individual Investors Before the Public Pension Investment Policy Conference, New York, NY, March 20, 1996

Box 15 Folder 1 Opening Statement: Amendments to Rule 2-A-7, March 21, 1996

Box 15 Folder 1 Remarks: Shareholders Interests as the Director's Touchstone at the Directors' College, Stanford Law School, Palo Alto, CA, March 28, 1996

Box 15 Folder 1 Opening Statement: Open Meeting - Proposals for Trading Practices Rules, April 10, 1996

Box 15 Folder 1 Remarks : Public Funds, Public Obligations at International Municipal Lawyers Association, Washington, DC, April 15, 1996

Box 15 Folder 1 Remarks : Public Trust and Public Obligations in the Municipal Bond Market at Municipal Forum, New York, NY, April 17, 1996

Box 15 Folder 1 Remarks: Investor Interests As The Common Interest: The SEC's Campaign For Fair Trading Practices at the Economic Club of Chicago, Chicago, IL, April 24, 1996

Box 15 Folder 1 Remarks: Market Oversight in the 1990s before the Public Securities Association, White Sulphur Springs, WV, April 26, 1996

Box 15 Folder 1 Remarks: Small Business Makes a Large Contribution at California Forum on Small Business Capital Formation, Los Angeles, CA, May 2, 1996

Box 15 Folder 1 Remarks before the National Federation of Municipal Analysts, Baltimore, MD, May 8, 1996

Box 15 Folder 1 Remarks: Investor Protection: Tip From an SEC insider at Investor's Town Meeting, New York, NY, May 15, 1996

Box 15 Folder 1 Remarks: Why Protect Investors? at Commonwealth Club, San Francisco, CA, May 17, 1996

Box 15 Folder 1 Remarks: From Security to Self-Reliance: American Investors in the 1990s before the Investment Company Institute, Washington, DC, May 22, 1996

Box 15 Folder 1 Opening Statement: Proposals from the Division of Corporation Finance, May 30, 1996

Box 15 Folder 1 Remarks: The Guardians of Financial Truth at Financial Reporting Institute, University of Southern California, Pasadena, CA, June 6, 1996

Box 15 Folder 1 Remarks: Investor Protection: Tips From an SEC insider at Investors' Town Meeting, Philadelphia, PA, June 11, 1996

Box 15 Folder 1 Remarks: Cora Annual Meeting, Washington, DC, June 20, 1996

Box 15 Folder 1 Remarks: Consumer Affairs Advisory Committee Meeting, July 22, 1996

Box 15 Folder 1 Opening Statement: Open Meeting - Registering Companies, July 24, 1996

Box 15 Folder 1 Statement Regarding the NASD at a US SEC Press Conference , Washington, DC, August 8, 1996

Box 15 Folder 1 Opening Statement Regarding Adoption of Order Execution Rules at an Open Meeting of the US SEC, Washington, DC, August 28, 1996

Box 15 Folder 1 Remarks: The SEC and NASAA: Working Together to Protect Investors before the North American Securities Administrators Association, Salt Lake City, UT, September 9, 1996

Box 15 Folder 1 Remarks: Small Business Makes a Large Contribution at Los Angeles Venture Association Town Meeting, Los Angeles, CA, September 13, 1996

Box 15 Folder 1 Remarks: Regulatory Response to Change at the International Organization of Securities Commissions, Montreal, Quebec, Canada, September 18, 1996

Box 15 Folder 1 Remarks: Investor Protection and Capital Formation: A False Dichotomyat the Columbia University Law School, New York, NY, September 26, 1996

Box 15 Folder 1 Remarks: U.S. Capital Markets: Open for Business at the U.S.-Italy Investment Conference, New York, NY, October 3, 1996

Box 15 Folder 1 Opening Statement on Corporate Finance Proposals at the Open Meeting of the SEC, Washington, DC, October 9, 1996

Box 15 Folder 1 Remarks: Small Business Makes a Large Contribution at the Small Business Town Meeting, Ft. Lauderdale, FL, November 6, 1996

Box 15 Folder 1 Remarks: A Good Year for the Markets, A Busy Year for the SEC before the SIA, Boca Raton, FL, November 7, 1996

Box 15 Folder 1 Remarks: Investor Protection: Tips From an SEC InsiderInvestors' Town Meeting, San Francisco, CA, November 18, 1996

Box 15 Folder 1 Remarks: A Good Year for the Markets, A Busy Year for the SEC before the Economic Club of Memphis, Memphis, TN, November 21, 1996

Box 15 Folder 1 Remarks: The Accountant's Critical Eye at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants (AICPA), Washington, DC, December 10, 1996

Box 15 Folder 1 Opening Statement: Open Meeting - Regulation M, December 18, 1996

Box 15 Folder 1 Opening Statement: Rulemaking Proposals to Implement Certain Provisions of the National Securities Markets Improvement Act of 1996, December 18, 1996

Box 15 Folder 2 Remarks: Changes in American Savings Habits and the SEC's Response at the Anti-Defamation League of B'Nai B'rith, Chicago, IL, January 15, 1997

Box 15 Folder 2 Remarks: Corporate Finance in the Information Age at the Securities Regulation Institute, San Diego, CA\, January 23, 1997

Box 15 Folder 2 Remarks: The Options Markets: A Cornerstone of U.S. Capital Markets Todayat the 13th Annual Risk Management Conference, Tucson, AZ, January 30, 1997

Box 15 Folder 2 Remarks: Investing Wisely: Tips From an SEC insider at the L.A. Times Investment Strategies Conference, Los Angeles, CA, February 23, 1997

Box 15 Folder 2 Remarks: Taking the Mystery Out of Mutual Funds at the Boston Citizens Seminar, Boston, MA, February 25, 1997

Box 15 Folder 2 Remarks: Values Add Value at the Trinity Church Tercentenary, New York, NY, March 18, 1997

Box 15 Folder 2 Remarks: Preserving Municipal Market Trust - The Road Ahead at the New York State Government Finance Officers Association, Albany, NY, March 21, 1997

Box 15 Folder 2 Remarks: Investing Wisely: Tips From an SEC insider at the Investors' Town Meeting, Hamden, CT, April 14, 1997

Box 15 Folder 2 Remarks: Corporate Connecticut and the Markets' Nest Millennium before the Connecticut Policy and Economic Council, Stamford, CT, April 14, 1997

Box 15 Folder 2 Remarks: Small Business Makes a Large Contribution at the Small Business Town Meeting, Richmond, VA, April 21, 1997

Box 15 Folder 2 Remarks: A Good Year for the Markets, A Busy Year for the SEC to the SIA Regional Firms Committee, Chicago, IL, May 6, 1997

Box 15 Folder 2 Remarks: CPAs and CEOs: A Relationship at Riskat the Economic Club Of Detroit, Detroit, MI, May 19, 1997

Box 15 Folder 2 Opening Statement: Concept Release on Exchange Regulation and Foreign Market Access to the United States at the Open Meeting of the SEC, Washington, DC, May 23, 1997

Box 15 Folder 2 Remarks: Lawyers And Ethics: The Problem of Pay-to-Playat the Fixed Income Daily Conference on Municipal Finance, Philadelphia, PA, June 26, 1997

Box 15 Folder 2 Remarks: Fulfilling the Promise of Disclosure at the American Savings Education Council, New York, NY, July 23, 1997

Box 15 Folder 2 Remarks: Investing Wisely: Tips From an SEC insider at the Investors' Town Meeting, Union Performing Arts Center, Tulsa, OK, August 4, 1997

Box 15 Folder 2 Remarks concerning pay-to-play to the American Bar Association, House of Delegates, San Francisco, CA, August 6, 1997

Box 15 Folder 2 Remarks: The Importance of High Quality Accounting Standards at the Inter-American Development Bank, Washington, DC, September 29, 1997

Box 15 Folder 2 Remarks: A Declaration of Accounting Independenceto The Conference Board, New York, NY, October 8, 1997

Box 15 Folder 2 Remarks: The Risks and Rewards of Technology to the International Federation of Stock Exchanges, New York, NY, October 13, 1997

Box 15 Folder 2 Welcoming Remarks to SEC's Consumer Affairs Advisory Committee, Washington, DC, October 14, 1997

Box 15 Folder 2 Remarks: A Renewed Precedent: The Securities Bar and the SEC to the Practicing Law Institute, 29th Annual Institute on Securities Regulation, November 6, 1997

Box 15 Folder 2 Remarks to the Securities Industry Association, Boca Raton, FL, November 7, 1997

Box 15 Folder 2 Remarks: Investing Wisely: Tips From an SEC insider at the Investors' Town Meeting, Des Moines, IA, November 21, 1997

Box 15 Folder 3 Remarks: Inclusion and Diversity on Wall Streetto the Wall Street Project // Rainbow-PUSH Coalition, January 16, 1998

Box 15 Folder 3 Remarks: Technological Challenges for Modern Marketsto Women in Housing and Finance, Inc., January 21, 1998

Box 15 Folder 3 Remarks: Financial Self-Defense: Protection in the Modern Markets at the Investors' Town Meeting, Los Angeles, CA, February 8, 1998

Box 15 Folder 3 Remarks: Financial Self-Defense: Tips From an SEC insider at the Investors' Town Meeting, Palo Alto, CA, February 17, 1998

Box 15 Folder 3 Remarks: A Question of Integrity: Promoting Investor Confidence by Fighting Insider Trading to the S.E.C. SpeaksConference, Washington, DC, February 27, 1998

Box 15 Folder 3 Remarks: Investor Protection in the Age of Technologyat the Third Annual Financial Services and Technology Conference, Salt Lake City, UT, March 6, 1998

Box 15 Folder 3 Remarks: Corporate Governance: Integrity in the Information Age at the Tenth Annual Corporate Law Institute, Tulane University, New Orleans, LA, March 12, 1998

Box 15 Folder 3 Remarks to the National Roundtable on Saving and Investing, Facts on Saving and Investing Campaign, Federal Trade Commission, Washington, DC, March 30, 1998

Box 15 Folder 3 Remarks: The State of the Brokerage Profession before the Securities Industry Association's Legal and Compliance Seminar, Scottsdale, AZ, April 20, 1998

Box 15 Folder 3 Remarks: Reaching the Right Balance: Options for Innovative Marketson the Occasion of the 25th Anniversary of the Chicago Board Options Exchange and Options Clearing Corporation, Chicago, IL, April 24, 1998

Box 15 Folder 3 Remarks at the Enforcement Division Meeting, Solomon's Island, May 6, 1998

Box 15 Folder 3 Remarks at the Investment Company Institute, Washington, DC, May 15, 1998

Box 15 Folder 3 Remarks: Financial Self-Defense: Tips From an SEC insider at the Investors' Town Meeting, Bloomington, MN, June 1, 1998

Box 15 Folder 3 Remarks: Financial Self-Defense: Tips From an SEC insider at the Investors' Town Meeting, Bangor, ME, June 30, 1998

Box 15 Folder 3 Remarks: The Importance of Transparency In America's Debt Market at the Media Studies Center, New York, NY, September 9, 1998

Box 15 Folder 3 Remarks: The Numbers Game at the New York University Center for Law and Business, New York, NY, September 28, 1998

Box 50 Folder 1 NYU Center for Law and Business, September 28, 1998

Box 15 Folder 3 Remarks: The SEC Perspective on Investing Social Security in the Stock Market at the John F. Kennedy School of Government Forum, Harvard University, Cambridge, MA, October 19, 1998

Box 15 Folder 3 Remarks: Meeting the Challenges of a 21st Century Marketplace at the Securities Industry Association Annual Meeting, Boca Raton, FL, November 6, 1998

Box 15 Folder 3 Remarks: A Financial Partnershipat the Financial Executives Institute, New York, NY, November 16, 1998

Box 15 Folder 3 Remarks: Expanding the Promise of Opportunity and Security Through Saving and Investing before the Consumer Federation of America, Washington, DC, December 3, 1998

Box 15 Folder 3 Remarks: A Partnership for the Public Trust at the American Institute of Certified Public Accountants (AICPA) , Washington, DC, December 8, 1998

Box 15 Folder 4 Opening Remarks at the SEC Roundtable on the Role of Independent Investment Company Directors, Washington, DC, February 23, 1999

Box 15 Folder 4 Remarks: Financial Self-Defense: Tips From an SEC insider at the Miami Heralds First Annual Personal Finance Conference, Miami, FL, March 6, 1999

Box 15 Folder 4 Remarks to the Directors' College 1999, Stanford Law School, Stanford University, Stanford, CA, March 22, 1999

Box 15 Folder 4 Remarks: Keeping Faith with the Shareholder Interest: Strengthening the Role of Independent Directors of Mutual Funds at the Mutual Funds and Investment Management Conference, Palm Springs, CA, March 22, 1999

Box 15 Folder 4 Remarks: In the Best Interests of Beneficiaries: Trust and Public Funds at the 1999 Annual Meeting of the Council of Institutional Investors, Washington, DC, March 30, 1999

Box 15 Folder 4 Remarks Before the Securities Industry Association's Legal and Compliance Seminar, Boca Raton, FL, April 13, 1999

Box 15 Folder 4 Remarks at the 19th Annual Ray Garret, Jr. Corporate and Securities Law Institute, Northwestern Law School, April 22, 1999

Box 15 Folder 4 Remarks Before the Bond Market Association, San Francisco, CA, April 23, 1999

Box 15 Folder 4 Remarks: Financial Literacy and Role of the Mediaat the Media Studies Center, New York, NY, April 26, 1999

Box 15 Folder 4 Remarks: Plain Talk About On-Line Investingat the National Press Club, May 4, 1999

Box 15 Folder 4 Remarks to the Committee for Economic Development, New York, NY, May 19, 1999

Box 15 Folder 4 Remarks: Common Sense Investing in the 21st Century Marketplace at the Los Angeles Times 3rd Annual Investment Strategies Conference, Los Angeles, CA, May 23, 1999

Box 15 Folder 4 Remarks: An Essential Next Step in the Evolution of Corporate Governance at the Audit Committee Symposium, New York, N. Y., June 29, 1999

Box 15 Folder 4 Remarks to the President's Council on Year 2000 Conversion, Financial Sector Group Year 2000 Summit, Washington, DC, September 17, 1999

Box 15 Folder 4 Remarks: Dynamic Markets, Timeless Principles at Columbia Law School, New York, NY, September 23, 1999

Box 15 Folder 4 Remarks: Corporate Governance in a Global Arenato the American Council on Germany, New York, NY, October 7, 1999

Box 15 Folder 4 Remarks to the Panel on Audit Effectiveness of the Public Oversight Board, Public Oversight Hearings, New York, N. Y., October 7, 1999

Box 15 Folder 4 Remarks at the Municipal Market Roundtable, SEC Headquarters, Washington, DC, October 14, 1999

Box 15 Folder 4 Remarks: Financial Self-Defense: Tips From an SEC insider at the Boston Globed MoneymattersPersonal Finance Conference, Boston, MA, October 16, 1999

Box 15 Folder 4 Remarks: Quality Information: The Lifeblood of Our Markets at the Economic Club of New York, New York, NY, October 18, 1999

Box 15 Folder 4 Remarks on Proposals Concerning Mergers and Acquisitions, SEC Headquarters, Washington, DC, October 19, 1999

Box 15 Folder 4 Remarks: Best Execution: Promise of Integrity, Guardian of Competitionto the Securities Industry Association, Boca Raton, FL, November 4, 1999

Box 15 Folder 4 Remarks: Common Sense Investing in the 21st Century Marketplace at Investor's Town Meeting, Albuquerque, NM, November 20, 1999

Box 15 Folder 4 Remarks: Common Sense Investing in the 21st Century Marketplace at Investor's Town Meeting, New York, NY, December 9, 1999

Box 15 Folder 5 Remarks: Investing With Your Eyes Open at the Los Angeles Times 4th Annual Investment Strategies Conference, Los Angeles, CA, February 12, 2000

Box 15 Folder 5 Remarks to the Mutual Fund Directors Education Council Conference, Washington, DC, February 17, 2000

Box 15 Folder 5 Remarks: The New Economyat The Finance Conference 2000, Boston College, Boston, MA, March 6, 2000

Box 15 Folder 5 Remarks: Visible Prices, Accessible Markets, Order Interaction at the Northwestern University School of Law, Kellogg Graduate School of Management, March 16, 2000

Box 15 Folder 5 Remarks: Best Execution, Price Transparency and Linkages: Protecting the Investor Interest at the Washington University School of Law, March 24, 2000

Box 15 Folder 5 Opening Statement: Amendments to Form ADVat the Open Commission Meeting, Washington, DC, April 5, 2000

Box 15 Folder 5 Remarks at the Economic Club of Washington, April 6, 2000

Box 15 Folder 5 Remarks at the Annual Options Industry Conference, Palm Beach, FL, May 5, 2000

Box 15 Folder 5 Remarks: Renewing the Covenant With Investors at the New York University Center for Law and Business, New York, NY, May 10, 2000

Box 15 Folder 5 Remarks to the Panel on Audit Effectiveness, , New York, NY, July 10, 2000

Box 15 Folder 5 Remarks: Investing With Your Eyes Open at the SEC Investors Town Meeting, Cleveland, OH, July 25, 2000

Box 15 Folder 5 Opening Statement to the US SEC Open Meeting on Market Structure Initiatives in the Options Market and Public Disclosure of Order Routing Practices and Execution Quality, July 25, 2000

Box 15 Folder 5 Opening Statement to the US SEC Open Meeting on Regulation Fair Disclosure, August 10, 2000

Box 15 Folder 5 Remarks: Investing With Your Eyes Open at The Washington Post Investors Town Meeting, Washington, DC, September 16, 2000

Box 15 Folder 5 Remarks: A Profession at the Crossroads before the National Association of State Boards of Accountancy, Boston, MA, September 18, 2000

Box 15 Folder 5 Remarks on the 60th Anniversary of the Investment Company Act and the Investment Company Institute, October 5, 2000

Box 15 Folder 5 Remarks: Toward Markets Driven by Footsteps at the 67th Annual Conference and Business Meeting of the Security Traders Association, Boca Raton, FL, October 12, 2000

Box 15 Folder 5 Remarks before the National Conference of CPA Practitioners, Great Neck, NY, October 20, 2000

Box 15 Folder 5 Remarks: The Public's Profession at the Fall Council of the American Institute of Certified Public Accountants (AICPA), Las Vegas, NV, October 24, 2000

Box 15 Folder 5 Remarks: Costs Paid With Other People's Moneyat the A. A. Sommer Lectureship, Fordham Law School, New York, NY, November 3, 2000

Box 15 Folder 5 Remarks before the 2000 Annual Meeting, Securities Industry Association, Boca Raton, FL, November 9, 2000

Box 15 Folder 5 Opening Statement to the US SEC Open Meeting on Market Structure Initiatives in the Options and Equities Markets, and Rules Governing Auditor Independence, November 15, 2000

Box 15 Folder 5 Remarks before the Forum Club of Southwest Florida. Introduction attached. Naples, FL, December 1, 2000

Box 15 Folder 5 Remarks at the Conference on the Rise and Effectiveness of New Corporate Governance Standards, Federal Reserve Bank of New York, New York, NY, December 12, 2000

Box 15 Folder 5 Announcement of Levitt's Resignation, US SEC, Washington, DC, December 19, 2000

Box 50 Folder 2 Speech materials, 2001

Box 15 Folder 5 The National Market System: A Vision That Endures at Stanford University, Stanford, CA, January 8, 2001

Box 15 Folder 5 Opening Statement: The NASD's Proposed SuperMontage and Streamlining the SEC's Process of Reviewing Filings by Self Regulatory Organizations before the US SEC Open Meeting, Washington, DC, January 10, 2001

Box 50 Folder 3 Edward Jones, January 18, 2001

Box 50 Folder 4 Enron, January 24, 2001

Box 16 Folder 1 Testimonies' Index, 1993 - 2000

Box 16 Folder 2 Statement of Arthur Levitt, Before the Senate Committee on Banking, Housing, and Urban Affairs, concerning his nomination to be a member of the U.S. Securities and Exchange Commission, July 13, 1993

Box 16 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: Authorization Request for Fiscal Years 1994-1995 (oral and written), July 29, 1993

Box 16 Folder 2 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: Investment Company Industry, August 4, 1993

Box 16 Folder 2 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: the State of the Municipal Securities Market, September 9, 1993

Box 16 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: the Investment Company Industry, November 10, 1993

Box 16 Folder 3 Before the House Subcommittee on Oversight and Investigations committee on Energy and Commerce re: Proposed Merger between Mellon Bank Corporation and Dreyfus Corporation and related functional regulation issues, March 2, 1994

Box 16 Folder 3 Before the House Subcommittee on Commerce, Justice, and State, the Judiciary and related agencies, Committee on Appropriations, re: Appropriations for Fiscal Year 1995, March 16, 1994

Box 16 Folder 3 Before the House Committee on Banking, Finance and Urban Affairs, re: Hedge Fund Activities in the US Financial Markets (oral and written), April 13, 1994

Box 16 Folder 3 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: H.R. 3447, (oral and written), April 14, 1994

Box 16 Folder 3 Before Senate Subcommittee on Commerce, Justice, and State, the Judiciary and related agencies, Committee on Appropriations, re: Appropriations for Fiscal Year 1995, May 5, 1994

Box 16 Folder 3 Before the Senate Subcommittee on Securities Committee on Banking, Housing, and Urban Affairs, re: Central Bank of Denver Decision, May 12, 1994

Box 16 Folder 3 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: Derivative Financing Instruments, May 25, 1994

Box 16 Folder 3 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Finance, re: Litigation Under TI-IF, Federal Securities Laws, July 22, 1994

Box 16 Folder 3 Before House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: Commission's recent efforts to combat sales practice abuses in the securities industry (oral and written), September 14, 1994

Box 16 Folder 3 Before the Senate Committee on Banking, Housing and Urban Affairs, re: International Markets and Individual Investors, September 18, 1994

Box 16 Folder 3 Before the House Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, re: Regulation of the Investment Company Industry, September 27, 1994

Box 16 Folder 3 Before the Senate Committee on Banking, Housing, and Urban Affairs, re: International Markets and Individual Investors, September 28, 1994

Box 16 Folder 4 Before the Senate Committee on Banking, Housing, and Urban Affairs, re:Municipal Bond and Government Securities Markets (oral and written), January 5, 1995

Box 16 Folder 4 Before the House Committee on Commerce, re: The Municipal Securities Market, January 12, 1995

Box 16 Folder 4 Before U.S. House of Representatives, re:Litigation Reform Proposals (oral and written), February 10, 1995

Box 16 Folder 5 Before U.S. House of Representatives, re:The Financial Services Competitiveness Act of 1995And Related Issues (oral and written), March 15, 1995

Box 16 Folder 5 Before the Subcommittee on Capital, Markets, Securities and Government sponsored enterprises, Committee on Banking and Financial, re: Markets and Trading Reorganization and Reform Act, March 30, 1995

Box 16 Folder 5 Before House Subcommittee on Commerce, Justice, and State, the Judiciary and related agencies, Committee on Appropriations, re: Appropriations for Fiscal Year 1996, April 4, 1995

Box 16 Folder 5 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re:Litigation Reform Proposals (oral and written), April 6, 1995

Box 16 Folder 5 Before U.S. House of Representatives, Testimony on H.R. 1062, The Financial Services Competitiveness Act of 1995(oral and written), June 6, 1995

Box 16 Folder 5 Before the Subcommittee on Telecommunications and Finance, Committee on Commerce, U.S. House of Representatives, Oral Statement re:PUCHA, August 4, 1995

Box 16 Folder 5 Before the House Committee on Commerce, Subcommittees on Telecommunications and Finance and Energy and Power, re: The Public Utility Holding Company Act of 1935, August 4, 1995

Box 16 Folder 5 Before the Subcommittee on Telecommunications and Finance, Committee on Commerce, U.S. House of Representatives, re:H.R. 2131, The Capital Markets Deregulation and Liberalization Act of 1995,(oral and written)., November 30, 1995

Box 16 Folder 6 Before the Subcommittee on Telecommunications and Finance, Committee on Commerce, U.S. House of Representatives, re:the Commission's Authorization Request for Fiscal Year 1997 (oral and written)., February 28, 1996

Box 16 Folder 6 Before the House of Representatives re:Appropriations for Fiscal Year 1997 (oral and written)., May 9, 1996

Box 16 Folder 6 Before the Senate Committee on Banking, Housing and Urban Affairs, re: S1815, the Securities Investment Promotion Act (oral and written)., June 5, 1996

Box 16 Folder 6 Before the House of Representatives on S1815, June 5, 1996

Box 16 Folder 7 Before the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Banking and Financial Services, U.S. House of Representatives, re:H.R. 268, The Depository Institution Affiliation and Thrift Charter Conversion Act,(oral and written), February 13, 1997

Box 16 Folder 7 Before the House Commerce Subcommittee on Finance and Hazardous Materials, re:SEC Reauthorization, March 6, 1997

Box 16 Folder 7 Before the House Appropriations Subcommittee on Commerce, Justice, and State, the Judiciary, and Related Agencies, re:Appropriations for Fiscal Year 1998, March 14, 1997

Box 16 Folder 7 Before the House Appropriations Subcommittee on Commerce, Justice, and State, the Judiciary, and Related Agencies, re:the U.S. Securities and Exchange Commission's Appropriations for Fiscal Year 1998, March 19, 1997

Box 16 Folder 7 Before the Committee on Banking and Financial Services, U.S. House of Representatives, re: Financial Modernization, May 22, 1997

Box 16 Folder 8 Before the Committee on Commerce, Subcommittee on Financial and Hazardous Materials, U.S. House of Representatives,re:Financial Modernization and H.R. 10, The Financial Services Competition Act of 1997, July 17, 1997

Box 16 Folder 8 Before the Senate Banking Subcommittee on Securities, re:the Impact of the Private Securities Litigation Reform Act of 1995, July 24, 1997

Box 16 Folder 8 Before the Subcommittee on Financial Services and Technology of the Committee on Banking, Housing, and Urban Affairs, U.S. Senate, re:the Readiness of the United States Securities Industry and Public Companies To Meet the Information Processing Challenges of the Year 2000, July 30, 1997

Box 16 Folder 8 Before the Senate Governmental Affairs Permanent Subcommittee on Investigations re: Micro CapMarket (NOTE: text corrected 10-03-97), September 22, 1997

Box 16 Folder 8 Before the Subcommittee on Capital Markets, Securities and Government Sponsored Enterprises re: FASB's Proposed Accounting Rules for Derivative Financial Contracts, October 1, 1997

Box 16 Folder 8 Before the House Commerce Subcommittee on Finance and Hazardous Materials, re: The Implementation of the Private Securities Litigation Reform Act of 1995, October 21, 1997

Box 16 Folder 8 Before the Senate Banking Subcommittee on Securities, re: S. 1260, the Securities Litigation Uniform Standards Act of 1997, October 29, 1997

Box 17 Folder 1 Before the Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: Circuit Breakers, January 29, 1998

Box 17 Folder 1 Before the Subcommittee on Commerce, Justice, State and Judiciary of the House Committee on Appropriations, re: Appropriations for Fiscal Year 1999 (oral and written)., March 18, 1998

Box 17 Folder 1 Before the Subcommittee on Commerce, Justice, State and Judiciary of the Senate Committee on Appropriations, re: Appropriations for Fiscal Year 1999 (oral and written)., March 19, 1998

Box 17 Folder 1 Before the Senate Committee on Banking, Housing and Urban Affairs, re: Nomination, March 25, 1998

Box 17 Folder 1 Before the Subcommittee on Finance and Hazardous Materials, House Committee on Commerce re: H.R. 1689, The Securities Litigation Uniform Standards Act of 1997(NOTE: text corrected 05-22-98), May 19, 1998

Box 17 Folder 1 Before the Senate Committee on Banking, Housing and Urban Affairs, re: Modernizing the Laws That Govern Our Financial Services Industry, June 25, 1998

Box 17 Folder 1 Before the Senate Committee on Agriculture, Nutrition, and Forestry re: The Regulation of the Over-the-Counter Derivatives Market and Hybrid Instruments, July 30, 1998

Box 17 Folder 1 Before the House Subcommittee on Finance and Hazardous Materials re: Transparency in the United States Debt Market and Mutual Fund Fees and Expenses, September 29, 1998

Box 17 Folder 2 Before the Senate Committee on Banking, Housing and Urban Affairs re: Financial Modernization Legislation, February 24, 1999

Box 17 Folder 2 Before the House Subcommittee on Finance and Hazardous Materials, Committee on Commerce, re: Transparency in the United States Corporate Debt Market, March 18, 1999

Box 17 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: Fee Collections, March 24, 1999

Box 17 Folder 2 Before the Senate Subcommittee on Commerce, Justice, State and the Judiciary of the Committee on Appropriations, re: Appropriations for Fiscal Year 2000, March 25, 1999

Box 17 Folder 2 Before the Subcommittee on Commerce, Justice, State and the Judiciary of the Committee on Appropriations, U.S. House of Representatives, re: Appropriations for Fiscal Year 2000 (oral and written), April 14, 1999

Box 17 Folder 2 Before the House Committee on Commerce, re: H. R. 10 The Financial Services Act of 1999, May 5, 1999

Box 17 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing and Urban Affairs, re: Loan Loss Allowances, July 29, 1999

Box 17 Folder 2 Before the Senate Permanent Subcommittee on Investigations, Committee on Governmental Affairs, re: Day Trading (oral and written), September 16, 1999

Box 17 Folder 2 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs re: Market Structure Issues Currently Facing the Commission, October 27, 1999

Box 17 Folder 3 Before the Senate Committee on Banking, Housing, and Urban Affairs, re: The Competitive Market Supervision Act, February 28, 2000

Box 17 Folder 3 Before the Senate Subcommittee on Commerce, Justice, State and the Judiciary, Committee on Appropriations, re: Appropriations for Fiscal Year 2001, March 21, 2000

Box 17 Folder 3 Before the House Subcommittee on Commerce, Justice, State and the Judiciary, Committee on Appropriations, re: Appropriations for Fiscal Year 2001, March 21, 2000

Box 17 Folder 3 Before the House Subcommittee on Commerce, Justice, State and the Judiciary, Committee on Appropriations, re: Appropriations for Fiscal Year 2001, March 30, 2000

Box 17 Folder 3 Before the Senate Committee on Banking, Housing, and Urban Affairs, re: Preserving and Strengthening the National Market System for Securities in the United States, May 8, 2000

Box 17 Folder 3 Before the House Subcommittee on Finance and Hazardous Materials, Committee on Commerce, re: Decimal Pricing in the Securities and Options Markets, June 13, 2000

Box 17 Folder 3 Before the Senate Committee on Agriculture, Nutrition, and Forestry, and the Committee on Banking, Housing, and Urban Affairs, re: S. 2697, The Commodity Futures Modernization Act of 2000, June 21, 2000

Box 17 Folder 3 Before the House Subcommittee on Finance and Hazardous Materials, Committee on Commerce, re: H.R. 4541, The Commodity Futures Modernization Act of 2000, July 12, 2000

Box 17 Folder 3 Before the Senate Subcommittee on Securities, Committee on Banking, Housing and Urban Affairs, re: Clarification of Independent Auditor Status, September 28, 2000

Box 17 Folder 3 Before the Senate Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, re: the Commission's Auditor Independence Proposal, September 28, 2000

Box 17 Folder 4 Carter, Berlind & Well, (president) Testimony before the House Committee on Ways and Means, re: Tax Reform - Farm Losses., Washington, DC, Mar. 10, 1969

Box 17 Folder 4 Speech: Profits and Professionalismbefore Columbia University Graduate School of Business Administration, New York, NY, Dec. 5, 1972

Box 17 Folder 4 Hayden Stone Inc. (President) Excerpt: Professionalism Is Right from Speech: Profits and Professionalismbefore Columbia University Graduate School of Business Administration, Mar. 2, 1973

Box 17 Folder 4 Speech: To Save Our City - A New Partnershipbefore the City Club of New York (draft and final), New York, NY, May 18, 1973

Box 17 Folder 5 Shearson Hayden Stone Inc. (President) Remarks to Managers at Branch Managers Meeting, Harrison House, Glen Cove, NY, Jun. 27-29, 1975

Box 17 Folder 5 Shearson Hayden Stone Inc. (President) Address Before the 1976 President's Council Session, [1976]

Box 17 Folder 5 Commencement Address to the Class of 1977 Polythechnic Preparatory Country Day School, Jun. 9, 1977

Box 17 Folder 5 American Stock Exchange (Chairman) Remarks at Business Week Conference on Personal Financial Planning, [Brooklyn, NY], May 22, 1978

Box 17 Folder 5 American Stock Exchange (Chairman) Commencement Address on Ethics to the Mary Bergstraum High School for Business Careers, Jun. 27, 1978

Box 17 Folder 5 American Stock Exchange (Chairman) Luncheon Remarks before Securities Regulation Institute, Hotel Del Coronado, Coronado, CA, Jan. 17, 1979

Box 17 Folder 5 American Stock Exchange (Chairman) Remarks at MBA Tournament Corporate Recruiters Dinner, Harbor View Club, New York, NY, Jan. 25, 1979

Box 17 Folder 5 American Stock Exchange (Chairman) Address: Small Potatoes in the Big Apple, Citizens Union, New York, NY, Apr. 17, 1979

Box 17 Folder 5 American Stock Exchange (Chairman) Address before the White House Commission on Small Business, Washington, DC, Jan. 13, 1980

Folder 17 6 Economic Club of Chicago The Greening of American Enterprise, Chicago, IL, Feb. 13, 1981

Box 17 Folder 6 American Stock Exchange (Chairman) Commencement Address on Ethics to the Hamilton College (draft and final), May 24, 1981

Box 17 Folder 6 American Stock Exchange (Chairman) Address: The American Economy: Is the Sky Falling? to the Economic Club of Detroit, Detroit, MI, Nov. 2, 1981

Box 17 Folder 6 American Stock Exchange (Chairman) Speech at National Press Club, Mar. 17, 1982

Box 17 Folder 6 American Stock Exchange (Chairman) Address to Seattle Chamber of Commerce, Seattle, WA, May 11, 1982

Box 17 Folder 6 American Stock Exchange (Chairman) Address: Corporate Community InvolvementConference, The President's Task Force on Private Sector Initiative, Washington, DC, Jul. 27, 1982

Box 17 Folder 6 American Stock Exchange (Chairman) Address to Federal Reserve Bank, Atlanta, GA, Oct. 7, 1982

Box 17 Folder 6 American Stock Exchange (Chairman) Dinner Address at the Bank of New York Conference, Rye, NY, Nov. 8, 1982

Box 17 Folder 7 American Stock Exchange (Chairman) Address to American Council on Capital Formation, Washington, DC, Jan. 19, 1983

Box 17 Folder 7 American Stock Exchange (Chairman) Address to the Government Research Corporation's National Leadership Conference, Washington, DC, Feb. 1, 1983

Box 17 Folder 7 American Stock Exchange (Chairman) Address for Rudin Memorial Lecture Series, New York University (draft and final), New York, NY, Feb. 2, 1983

Box 17 Folder 7 American Stock Exchange (Chairman) Address: The Entrepreneurial Animalat Yale School of Organization and Management, [New Haven, CT], Feb. 9, 1983

Box 17 Folder 7 American Stock Exchange (Chairman) Address Public Policy, PACs and Power Politics - New Rules For an Old Game at LBJ School of Public Affairs, University of Texas (draft and final), Austin, TX, Feb. 28, 1983

Box 17 Folder 7 American Stock Exchange (Chairman) Address: Growth Industries in the 1980s at Federal Reserve Bank of Atlanta Conference, [Atlanta, GA], Mar. 17, 1983

Box 17 Folder 7 American Stock Exchange (Chairman) Welcoming Remarks, American Stock Exchange Regional Forum, Houston/Dallas, Apr. 26-27, 1983

Box 17 Folder 7 American Stock Exchange (Chairman) Dinner Address, American Stock Exchange Regional Forum, Houston/Dallas, Apr. 26-27, 1983

Box 18 Folder 1 American Stock Exchange (Chairman) Address to Young Presidents' Organization , New York, NY, May 3, 1983

Box 18 Folder 1 American Stock Exchange (Chairman) Luncheon Address to Young Presidents' Organization (draft and final), New York, NY, May 3, 1983

Box 18 Folder 1 American Stock Exchange (Chairman) Remarks at Key Pharmaceuticals Annual Meeting, Miami, FL, May 5, 1983

Box 18 Folder 1 American Stock Exchange (Chairman) Address at Mitchell Energy & Development Corporation, Woodlands, TX, Jun. 29, 1983

Box 18 Folder 1 American Stock Exchange (Chairman) Testimony before the Senatel Small Business Committee, Washington, DC, Jul. 13, 1983

Box 18 Folder 1 American Stock Exchange (Chairman) Remarks at Peat Marwick Annual Partners' Meeting, Boca Raton, FL, Oct. 21, 1983

Box 18 Folder 1 American Stock Exchange (Chairman) Statement: A Survey of Wall Street Executives and Amex CEO's conducted by Decima Research, McLean, VA, Nov. 17, 1983

Box 18 Folder 1 American Stock Exchange (Chairman) Speech at Annual Meeting, Pope Evans & Robbins, Amex Boardroom, Dec. 6, 1983

Box 18 Folder 1 American Stock Exchange (Chairman) Speech for Trans-Lux Directors; Day, Dec. 6, 1983

Box 18 Folder 2 Address: 1984 and Beyond: The Future for Growth Capital, Downtown Long Island Forum, Hofstra University, Jan. 18, 1984

Box 18 Folder 2 Remarks at the Forum Club of Houston (clean and edited drafts), Jan. 25, 1984

Box 18 Folder 2 Remarks to the Conference Board, Conference on Strategic Planning, Mar. 20, 1984

Box 18 Folder 2 Remarks at Central Cynagogue, Apr. 5, 1984

Box 18 Folder 2 Address to Young Presidents' Organization International University, New York, NY, Apr. 12, 1984

Box 18 Folder 2 Address at SIA Spring Conference, Hilton Head, FL, May 8, 1984

Box 18 Folder 2 Welcoming Address at American Stock Exchange Washington Conference, Washington, DC, Jun. 11, 1984

Box 18 Folder 2 Dinner Address to the Committee of 200 and the Women's Forum, Amex Trading Floor (Draft & Final), New York, NY, Oct. 2, 1984

Box 18 Folder 2 Keynote Address, Prudential-Bache Luncheon (draft), Tampa, FL, Nov. 16, 1984

Box 18 Folder 3 Address at C.W. Post Campus, Long Island University, Feb. 11, 1985

Box 18 Folder 3 Speech at Beta Gamma Sigma National Honoree Luncheon, American Assembly of Collegiate Schools of Business, Orlando, FL, Apr. 15, 1985

Box 18 Folder 3 Speech at the Financial Post Conference, Toronto, Canada, May 28, 1985

Box 18 Folder 3 Statement before the Securities Subcommittee of the Senate Committee on Banking, Housing and Urban Affairs, Washington, DC, Jun. 12, 1985

Box 18 Folder 3 Address at NYSSCPA/FAE Tax Conference, New York, NY, Oct. 18, 1985

Box 18 Folder 3 Luncheon Address to Beta Gamma Sigma , New York, NY, Oct. 24, 1985

Box 18 Folder 4 Luncheon Address at Minneapolis Meeting, Minneapolis, MN, Jan. 23, 1986

Box 18 Folder 4 Introduction of T. Boone Pickens at International Investors Conference, Washington, DC, Oct. 20, 1986

Box 18 Folder 4 Address to American Electronics Association, Monterey, CA, Oct. 27, 1986

Box 18 Folder 4 Speech The Significance of Environmental Change at Amex Officers Weekend, 1986 - outline draft, Oct. 30, 1986

Box 18 Folder 4 Statement before the Securities and Exchange Comission (SEC) - 2 versions, Washington, DC, Dec. 16, 1986

Box 18 Folder 5 Remarks at Curtice-Burns Foods, Inc. Board Dinner, Jan. 7, 1987

Box 18 Folder 5 Luncheon Address, Economic Club of Indianapolis, Indianapolis, IN, Feb. 20, 1987

Box 18 Folder 5 Address at Financial World Dinner, New York, NY, Mar. 1987

Box 18 Folder 5 Welcoming Remarks, Interracial Council for Business Opportunity, New York, NY, Apr. 29, 1987

Box 18 Folder 5 Opening Remarks, Amex Board Dinner, Wave Hill, New York, NY, May 13, 1987

Box 18 Folder 5 Gift Presentations, Amex Board Dinner, Wave Hill, New York, NY, May 13, 1987

Box 18 Folder 5 Address: Competitive Challenge to American Industry, (on Ethics) before a National Issues Forum on Enhancing the Competitiveness of US Industry, The Brookings Institution, Washington, DC, May 27, 1987

Box 18 Folder 5 Address , Amex Seminar Dinner, Los Angeles, CA, May 28, 1987

Box 18 Folder 5 Address to Young Presidents' Organization New York Chapter, New York, NY, Jun. 10, 1987

Box 18 Folder 5 Statement before the Securities and Exchange Comission (SEC), Washington, DC, Jul. 22, 1987

Box 18 Folder 5 Keynote Address at Joint Meeting: Southern Governors' Association, The Southern Growth Policies Board and the Southern States Energy Board, Louisville, KY, Aug. 31, 1987

Box 18 Folder 5 Address to Young Presidents' Organization Bermuda Conference, New York, NY, Oct. 9, 1987

Box 18 Folder 5 SIA Luncheon Remarks, Oct. 12, 1987

Box 18 Folder 5 Luncheon Remarks and Introduction of Manuel H. Johnson, Amex International Conference (Progam of events enclosed), Washington, DC, Oct. 19, 1987

Box 18 Folder 5 Address, Council of Institutional Investors - draft and final verstion. Program and related correspondence enclosed, New York, NY, Nov. 5, 1987

Box 18 Folder 6 Speech: After The Crash - A Look Ahead, National Press Club, Washington, DC, Apr. 5, 1988

Box 18 Folder 6 Opening Remarks, Amex Board Dinner, New York, NY, Apr. 13, 1988

Box 18 Folder 6 Gift Presentations, Amex Board Dinner, New York, NY, Apr. 13, 1988

Box 18 Folder 6 Speech at Amex Regional Dinner, New York, NY, Apr. 19, 1988

Box 18 Folder 6 Keynote Address, Institutional Investor Institute's Spring Pension Fund Roundtable, New York, NY, Apr. 21, 1988

Box 18 Folder 6 Address Charge to the Graduating Classon Ethics, University of Connecticut, CT, May 22, 1988

Box 18 Folder 6 Opening Statement, NYU Symposium, Information Technology and Securities Market under Stress, New York, NY, [Jun. 13, 1988]

Box 18 Folder 6 Convocation Address, College of Arts and Sciences, Northwestern University, Evanston, IL, Jun. 18, 1988

Box 18 Folder 6 Address to Industrial Designers of America Conference, New York, NY, Aug. 26, 1988

Box 18 Folder 6 Remarks at Cocktail Reception for Chief Executieves, Amex Washington Conference, Washington, DC, Nov. 7, 1988

Box 18 Folder 6 Remarks at Union Station, Amex Washington Conference, Washington, DC, Nov. 7, 1988

Box 18 Folder 6 Remarks and Introduction of Frank Carlucci, Amex Washington Conference, Washington, DC, Nov. 8, 1988

Box 18 Folder 6 Address, Fall Conference, National Investor Relations Institute, Nov. 16, 1988

Box 19 Folder 1 Dinner Address, Economic Club of Oklahoma, OK, Feb. 20, 1989

Box 19 Folder 1 ; Morgan, Porter P. American Stock Exchange (Chairman, Exec. VP) Presentations for American College of Probate Counsel, Tuscon, AZ, Mar. 14, 1989

Box 19 Folder 1 Concluding Address, SIA Meeting, New York, NY, Mar. 22, 1989

Box 19 Folder 1 Speech at Amex Annual Meeting - draft, Apr. 10, 1989

Box 19 Folder 1 Opening Remarks, Amex Board Dinner at Guggenheim Museum - draft, New York, NY, Apr. 12, 1989

Box 19 Folder 1 Gift Presentations to retiring governors: Bill Silver, George Voner Linden, Al Einbender, at Amex Board Dinner - draft, New York, NY, Apr. 12, 1989

Box 19 Folder 1 Address on Ethics and Insider Trading, Williams College, Apr. 14, 1989

Box 19 Folder 1 Speech at Amex Regional Meetings in California - draft and final, San Francisco, CA; Palo Alto, CA, Apr. 24, 1989

Box 19 Folder 1 Remarks at Chieftain International, Calgary, Canada, Apr. 26, 1989

Box 19 Folder 1 Address at Fraser Institute, Vancuver, Canada, Apr. 26, 1989

Box 19 Folder 1 Opening Keynote Address, National Financial Computer and Automation Conference, New York, NY, May 9, 1989

Box 19 Folder 1 Address on Ethics at Chief Executive Roundtable, University of California, Irvine, CA, May 17, 1989

Box 19 Folder 1 Speech at Amex Regional Dinner, with announcement of resignation from Amex and with Robert A. Mosbacher Introduction, New York, NY, Jun. 20, 1989

Box 19 Folder 1 Remarks at Amex Washington Conference Dinner, Library of Congress - draft, Washington, DC, Oct. 30, 1989

Box 19 Folder 2 Roll Call and Stagebill (owner) Testimony on NEA before the House Interior Appropriations , Washington, DC, May 15, 1990

Box 19 Folder 2 Luncheon Address: Getting to 2000 - No Easy Answers For the Artsfor the Arts and Business Council Symposium, Sep. 26, 1991

Box 19 Folder 2 Levitt Media Company (chairman); Economic Development Corporation of New York (Chairman) Testimony on NEA before the Subcommittee on Government Activities and Transportation at Brooklyn Museum of Arts, Brooklyn, NY, Oct. 28, 1991

Box 19 Folder 2 Keynote Address for the National Assembly of State Arts Councils - draft and final, Nov. 9, 1991

Box 19 Folder 2 Keynote Address for the Illinois Arts Alliance, [IL], Feb. 4, 1992

Box 19 Folder 2 Remarks for the Illinois Arts Alliance and Major Arts Institutions, [IL], Feb. 5, 1992

Box 19 Folder 2 Speech for State of Connecticut Commission on the Arts, [CT], Mar. 10, 1992

Box 19 Folder 2 Speech for International Theatre Festival Board of Directors, Chicago, IL, Mar. 12, 1992

Box 19 Folder 2 Speech: Getting to 2000 - No Easy Answers For the Artsfor the Arts and Business Council Inc., IBM Corporation, Council of Arts in Westchester, Inc; Westchester County Office of Cultural Affairs, Mariott Hotel, Tarrytown, NY, Jun. 19, 1992

Box 19 Folder 2 Speech at Investors Dinner, [New York, NY], Oct. 5, 1992

Box 19 Folder 2 Speech: Reflection on Wall Street at SIA Conference, Apr. 14, 1993

Box 19 Folder 3 Undated speeches, drafts and fragments, n.d.

Box 50 Folder 5 Ernst & Young Conference, May 22, 2001

Box 50 Folder 6 Remarks by Arthur Levitt, Denver, CO, July 24, 2001

Box 50 Folder 7 Carlyle Presentation, September 10, 2001

Box 50 Folder 8 NAVA Conference, October 9, 2001

Box 50 Folder 9 Charles Schwab, October 10, 2001

Box 50 Folder 10 Powermart, October 16, 2001

Box 51 Folder 1 CCBN, October 23, 2001

Box 51 Folder 2 Charles River Ventures retreat, October 25, 2001

Box 51 Folder 3 Putnam Investments, October 26, 2001

Box 51 Folder 4 Carlyle Group, October 29, 2001

Box 51 Folder 5 SunGard World, October 29, 2001

Box 51 Folder 6 Spear, Leads, and Kellog, November 29, 2001

Box 51 Folder 7 Levitt on Enron, January 24, 2002

Box 51 Folder 8 Goldman Scchs Debt Capital, March 14, 2002

Box 51 Folder 9 CCBN Panel, March 26, 2002

Box 51 Folder 10 American Century Funds, April 4, 2002

Box 51 Folder 11 Business Week CFO Forum, April 25, 2002

Box 52 Folder 1 The Carlyle Group, April 29, 2002

Box 52 Folder 2 National Retail Federation, April 29, 2002

Box 52 Folder 3 California Bankers' Association, May 2, 2002

Box 52 Folder 4 Foley Lardner, May 9, 2002

Box 52 Folder 5 Grantham, Mayo, Van Otterloo Forum, May 14, 2002

Box 52 Folder 6 CIGNA Conference, May 16, 2002

Box 52 Folder 7 Fairfield County Day School, June 5, 2002

Box 52 Folder 8 Williams College Reunion Weekend, June 7, 2002

Box 52 Folder 9 Jay Alix and Associates Conference, June 14, 2002

Box 52 Folder 10 Calpers Option Workshop, June 17, 2002

Box 52 Folder 11 Rutgers Business School, June 24, 2002

Box 52 Folder 12 American Council of Life Insurers, June 28, 2002

Box 52 Folder 13 Carlyle Group Investor Conference, September 10, 2002

Box 52 Folder 14 Nixon Peabody, September 18, 2002

Box 52 Folder 15 Mercer Global Investment Forum, September 19, 2002

Box 52 Folder 16 Forbes, September 26, 2002

Box 52 Folder 17 Capital Resources Advisors Conference, October 3, 2002

Box 53 Folder 1 Fidelity Investments Conference, October 4, 2002

Box 53 Folder 2 Forbes CEO Forum, October 9, 2002

Box 53 Folder 3 American Petroleum Institute, October 15, 2002

Box 53 Folder 4 Risk Management Association, October 16, 2002

Box 53 Folder 5 Family Office Exchange Conference, October 22, 2002

Box 53 Folder 6 Business for Social Responsibility, November 8, 2002

Box 53 Folder 7 Brandes Investment Partners, November 12, 2002

Box 53 Folder 8 Hanson McClain Conference, November 12, 2002

Box 53 Folder 9 Carlyle Group, November 14, 2002

Box 53 Folder 10 Fannie Mae Executive Retreat, December 10, 2002

Box 53 Folder 11 AEA-AFA Convention, January 3, 2003

Box 53 Folder 12 PCMA Annual Meeting, January 8, 2003

Box 53 Folder 13 TIAA-CREF Forum, January 24, 2003

Box 53 Folder 14 Kelley School of Business Conference, March 5, 2003

Box 53 Folder 15 CFO Conference: Palm barbor, FL, March 18, 2003

Box 53 Folder 16 CCBN Seminar, March 20, 2003

Box 53 Folder 17 Charles River Ventures Retreat, March 27, 2003

Box 54 Folder 1 Pimco Conference, March 31, 2003

Box 54 Folder 2 Illinois Teachers Retirement Fund, April 3, 2003

Box 54 Folder 3 AESC Conference, April 11, 2003

Box 54 Folder 4 CFO Summit: Marina Del Rey, April 29, 2003

Box 54 Folder 5 Andor Capitol, May 7, 2003

Box 54 Folder 6 Miami School of Business, May 9, 2003

Box 54 Folder 7 Windy City Summit, May 14, 2003

Box 54 Folder 8 Commencement, University of Connecticut, May 18, 2003

Box 54 Folder 9 Vanderbilt University, June 9, 2003

Box 54 Folder 10 Bindview "Webinar", June 17, 2003

Box 54 Folder 11 Buy Side Market Data, June 18, 2003

Box 54 Folder 12 Conference Board Audit Committee, June 19, 2003

Box 54 Folder 13 Bindview "Webinar", July 30, 2003

Box 54 Folder 14 Curian Capital Summit, September 2, 2003

Box 54 Folder 15 Hyperion Seminar, September 10, 2003

Box 54 Folder 16 Institutional Investor's Corporate Roundtable, September 15, 2003

Box 54 Folder 17 Mutual Fund Directors Forum, September 22, 2003

Box 54 Folder 18 Advent Software Conference, September 22, 2003

Box 55 Folder 1 Hyperion Seminar, October 14, 2003

Box 55 Folder 2 A. Brean Murray Conference, October 29, 2003

Box 55 Folder 3 Testimony before Subcommittee on Capital Markets, November 4, 2003

Box 55 Folder 4 Professional Liability Underwriting Conference, November 10, 2003

Box 55 Folder 5 KPMG Partners, November 20, 2003

Box 55 Folder 6 Church Alliance Meeting, December 4, 2003

Box 55 Folder 7 NYU Integrity of Financial Markets Conference, December 5, 2003

Box 55 Folder 8 Veritas Software Webcast, December 11, 2003

Box 55 Folder 9 Lacera Meeting, January 27, 2004

Box 55 Folder 10 TD Waterhouse, February 6, 2004

Box 55 Folder 11 CERA Global Oil Summit, February 9, 2004

Box 55 Folder 12 ALCAN Executives Retreat, February 14, 2004

Box 55 Folder 13 Deloitte Risk Management, March 25, 2004

Box 55 Folder 14 NYU Haskins Award Ceremony, April 28, 2004

Box 55 Folder 15 Reinsurance Conference, April 29, 2004

Box 55 Folder 16 Dickinson College Rush Award, May 6, 2004

Box 55 Folder 17 CFO Summit, May 11, 2004

Box 56 Folder 1 KPMG Global Energy Conference, May 24, 2004

Box 56 Folder 2 NIRI Annual Conference, June 8, 2004

Box 56 Folder 3 Grant and Eisenhoffer, June 9, 2004

Box 56 Folder 4 Eliot Spitzer Lunch, September, 2004

Box 56 Folder 5 Pfizer, September 17, 2004

Box 56 Folder 6 Poly Prep, October 2, 2004

Box 56 Folder 7 Columbia University Law School, October 15, 2004

Box 56 Folder 8 IOSCO Conference, October 28, 2004

Box 56 Folder 9 ADP Conference, October 29, 2004

Box 56 Folder 10 Deloitte CFO Conference, November 19, 2004

Box 56 Folder 11 KPMG: Atlanta, November 22, 2004

Box 56 Folder 12 KPMG: Boston, November 30, 2004

Box 56 Folder 13 KPMG: Philadelphia, December 1, 2004

Box 56 Folder 14 KPMG: Dallas, December 2, 2004

Box 56 Folder 15 KPMG: Phoenix, AZ, December 7, 2004

Box 56 Folder 16 KPMG: Detroit, December 14, 2004

Box 56 Folder 17 Odyssey Club, March 9, 2005

Box 56 Folder 18 Bank of America Hedge Fund Conference, June 6, 2005

Box 57 Folder 1 Rand Center for Corporate Ethics, June 16, 2005

Box 57 Folder 2 Bindview "State of Regulatory Compliance Summit", July 19, 2005

Box 57 Folder 3 SAS Webcast, July, 20, 2005

Box 57 Folder 4 Economist General Counsel Dinner, March 23, 2006

Box 57 Folder 5 Jackson National Life Dinner, June 20, 2006

Box 57 Folder 6 Riskmeterics Conference, June 21, 2006

Box 57 Folder 7 Bloomberg Securities Law Forum, June 22, 2006

Box 57 Folder 8 Bloomberg Securities Law Symposium, June 29, 2007

Box 19 Folder 4 Brademas, John New York University, President, 1986 - 1989

Box 19 Folder 5 Grace, J. Peter Foundation for the President's Private Sector Survey on Cost Control, Inc., Apr. - Jun. 1984

Box 19 Folder 6 Hunter, David W. SIA (Chairman); Parker/Hunter Inc., 1976 - 1984

Box 19 Folder 7 Kolton, Paul American Stock Exchange (Chairman), 1971 - 1977

Box 20 Folder 1 Peterson, Peter G. Lehman Brothers, Kuhn, Loeb, Inc., 1981 - 1984

Box 20 Folder 2 Williams, Harold M. US SEC (Chairman), 1978 - 1981

Box 20 Folder 3 Alda, Alan A - C, May 25, 1980

Box 20 Folder 3 Allen, Peter J. Human Resources Network, Feb. 17, 1978

Box 20 Folder 3 Baldwin, Robert H.B. Morgan Stanley & Co.; SIA (Chairman), Dec. 1977 - Nov. 1978

Box 20 Folder 3 Bernstein, Peter L. Peter L. Bernstein, Inc., Mar. 1977 - Apr. 1978

Box 20 Folder 3 Biggs, Barton M. Morgan Stanley & Co., n.d.

Box 20 Folder 3 Birch, David, 1979

Box 20 Folder 3 Bladen, Ashley Guardian Life Insurance Co., Jan. 15, 1980

Box 20 Folder 3 Boothby, Willard S., Jr. SIA (Chairman-elect), Dec. 1, 1978

Box 20 Folder 3 Bunting, John R. First Pennsylvania Corp., Oct. 27, 1977

Box 20 Folder 3 Burns, Arthur F. Chairman, Federal Reserve System Board of Governors, Oct. 27, 1977

Box 20 Folder 3 Butcher, Willard C. Chase Manhattan Bank, Oct. 5, 1983

Box 20 Folder 3 Chandler, John W. Williams College, 1979 - 1983

Box 20 Folder 3 Collier, D. W., Oct. 3, 1977

Box 20 Folder 3 Cooper, Alan B. Wright State University, May 7, 1984

Box 20 Folder 3 Corn, Ira G. Michigan General Corp., Feb. 22, 1982

Box 20 Folder 3 Cox, Carol G. Committee for a Responsible Federal Budget, Dec. 13, 1983

Box 20 Folder 3 Cox, Morris A. William Volker Fund, Jun. 2, 1976

Box 20 Folder 3 Cunniff, John Associated Press, Oct. 28, 1977

Box 20 Folder 4 Davant, James W. Paine Webber Inc. D - I, Jul. 18, 1978

Box 20 Folder 4 Davis, Sidney, n.d.

Box 20 Folder 4 Dee, Robert F. Smithkline Corp., Jun. 19, 1980

Box 20 Folder 4 Demsetz, Harold Hoover Institution, Oct. 18, 1977

Box 20 Folder 4 Diamond, Joseph Skadden, Arps, Slate, Meagher & Flom, Oct. 22, 1984

Box 20 Folder 4 Driskoll, Robert S. Lord, Abbett & Co., May 8, 1979

Box 20 Folder 4 Etherington, Edwin D. Wesleyan University, 1968 - 1981

Box 20 Folder 4 Evans, Eli N., Feb. 26, 1989

Box 20 Folder 4 Evans, James H. Union Pacific Corporation, Oct. 25, 1982

Box 20 Folder 4 Frooks, Leighton, n.d.

Box 20 Folder 4 Gartner, David G. Commodity Futures Trading Commission, Feb. 16, 1979

Box 20 Folder 4 Gervitz, Don, Jan. 27, 1987

Box 20 Folder 4 Goldmark, Peter G. Rockefeller Foundation, Oct. 26, 1989

Box 20 Folder 4 Graziano, Frank J. Crompton & Knowles Corp., Apr. 13, 1976

Box 20 Folder 4 Horan, John J. Merck & Co., Dec. 9, 1980

Box 20 Folder 5 Jacobs, Harry A. Prudential-Bache Securities J - L, Nov. 4, 1983

Box 20 Folder 5 Jennings, Eugene, n.d.

Box 20 Folder 5 Jones, Reginald H. General Electric Company, 1974 - 1977

Box 20 Folder 5 Jordan, Vernon E. National Urban League, May 18, 1981

Box 20 Folder 5 Kaufman, Henry Salomon Brothers, May 1, 1980

Box 20 Folder 5 Kemp, Jack US House of Representatives, 1978 - 1983

Box 20 Folder 5 Krug, Maurice F. Technology, Inc., Sep. 1977

Box 20 Folder 5 Kudlow, Laurence A. New Economic Review, Mar. - Dec. 1980

Box 20 Folder 5 Lamm, Richard ex-Governor, CO, Oct. 1989

Box 20 Folder 5 Lazarus, Ralph Federated Department Store, May 3, 1979

Box 20 Folder 5 Lehrer, Jim MacNeil/Lehrer Newshour, 1993

Box 20 Folder 5 Levitt, Theodore, n.d.

Box 20 Folder 5 Liebman, Walter H., n.d.

Box 20 Folder 5 Lipson, Leon S., 1979

Box 20 Folder 5 Little, Arthur D. Narragansett Capital Corp., Mar. 3, 1980

Box 20 Folder 6 Malabre, Alfred L., Jr., Mar. 5, 1980

Box 20 Folder 6 Malkiel, Burton G.; Firstenberg, Paul Princeton University, Jun. 1979

Box 20 Folder 6 Minsky, Hyman P. Washington University, 1980

Box 20 Folder 6 Nelson, Gaylord US Senate, Jan. 14, 1980

Box 20 Folder 6 Norris, William Control Data Corp., Jan. 28, 1980

Box 20 Folder 6 O'Brien, Edward I. SIA (President), 1978-1980

Box 20 Folder 6 O'Connell, Brian Independent Sector, May 17, 1986

Box 20 Folder 6 O'Leary, James J. US Trust Co., 1979 - 1983

Box 20 Folder 6 O'Sullivan, Don, Mar. 21, 1973

Box 21 Folder 1 Patricof, Alan J. Alan Patricof Associates P - R, Feb. 28, 1978

Box 21 Folder 1 Petersen, S. R.; Berg, H. E. Getty Oil Company, Feb. 8, 1978

Box 21 Folder 1 Phelan, John J. New York Stock Exchange, Chairman, 1981 - 1986

Box 21 Folder 1 Pollock, Oscar S., Sep. 23, 1980

Box 21 Folder 1 Poser, Norman S. American Stock Exchange (Exec. VP), Sep. 14, 1979

Box 21 Folder 1 Rappleye, Willard C., Jr., Dec. 1980

Box 21 Folder 1 Reich, Robert B., Apr. 12, 1987

Box 21 Folder 1 Robinson, James D., III American Express Co. (Chairman), Aug. 5, 1983

Box 21 Folder 1 Rohatyn, Felix G. Lazard Freres & Co., Jan. 26, 1988

Box 21 Folder 2 Samuels, Howard, n.d.

Box 21 Folder 2 Scribner, Richard O. American Stock Exchange (Exec. VP), Oct. 16, 1980

Box 21 Folder 2 Simon, [?], n.d.

Box 21 Folder 2 Sullivan, Joseph W. Chicago Board Options Exchange (President), Jan. 10, 1978

Box 21 Folder 2 [Stean], Martha, n.d.

Box 21 Folder 2 Steinberg, David Long Island University (President), Nov. 13, 1985

Box 21 Folder 2 Stevenson, Howard H. Harvard University, Jun. 6, 1983

Box 59 Folder 5 Sweeney, John J. Remarks for Arthur Levitt reception, October 2, 2002

Box 21 Folder 2 Taylor, Arthur R., Feb. 15, 1977

Box 21 Folder 2 Thatcher, Margaret Prime Minister, UK, Nov. 12, 1979

Box 21 Folder 2 Thomas, Barbara S. US SEC, Jun. 1981

Box 21 Folder 2 Tolley, Joseph C., Apr. 25, 1976

Box 21 Folder 2 Vitullo-Martin, Julia Fiscal Observer, Nov. 19, 1979

Box 21 Folder 2 Walker, James W., Jr. SIA (Exec. VP), Mar. 24, 1977

Box 21 Folder 2 Wriston, Walter B. Citicorp, 1980-1982

Box 21 Folder 2 Zises, Alvin, 1977

Box 21 Folder 3 Drafts and Notes, n.d.

Box 21 Folder 4 Capital Formation 1977 - 1990

Box 21 Folder 5 Clippings 1978 - 1988

Box 21 Folder 6 The Executive Speaker 1982 - 1987

Box 21 Folder 7 Small Business 1979 - 1981

Box 21 Folder 8 Securities Industry Association 1990 - 1993

Box 21 Folder 9 Printed Materials 1975 - 1985

Box 21 Folder 10 Quotes and correspondence 1973 - 1990

Box 59 Folder 8 Restructuring the Financial Accounting Foundation, April 9, 2001

Box 23 Folder 1 - 5 Periodicals and broshures, 1979 - 2001

Box 60 Miscellaneous magazines, brochures, and pamphlets, 2001-2003

Box 23A Folder 1 - 6 Scrapbooks, 1965 - 2001

Box 23A Folder 7 SEC Resignation Letters and Clippings scrapbook, 2000 - 2001

Box 23A Folder 8 After SEC Resignation, 2001 - 2002

Box 23A Folder 9 Articles by A. Levitt Jr., 1977 - 1990

Box 23A Folder 10 American Stock Exchange, Roll Call Articles re: A. Levitt Jr., 1977 - 1991

Box 23A Folder 11 Articles sent by A. Levitt Jr. to son A. Levitt III, 1990 - 1991

Box 23A Folder 12 Various clippings, 1988 - 1991

Box 59 Folder 10-13 Clippings and articles, 2001-2003

Box 60 Arthur levitt. Take On The Street: How to Fight for Your Financial Future, 2002

Box 60 Jim Salim with R. Foster Winans. The Great Wall Street Swindle, 2001

Sub-subseries VIII.1.1: Hearings and Testimonies.

Sub-subseries VIII.1.2: Speeches and media appearances

Sub-subseries VIII.2.1: Arthur Levitt Jr.

Sub-subseries VIII.2.2: Arthur Levitt Sr.

Sub-subseries VIII.3.1: Arthur Levitt Jr.

Sub-subseries VIII.3.2: Arthur Levitt Sr.

Box 35 Folder 1 - 4 SEC Annual Reports, 1993 - 1999

Box 35 Folder 5 - 6 Legislative developments affecting SEC, 1993 - 2000

Box 35 Folder 7 SEC Press Releases Index, 1993 - 2000

Box 35 Folder 8 SEC Rules - proposed and final, 1993 - 2001

Box 36 Folder 1 Press Statements by Levitt, 1993 - 2000

Box 36 Folder 2 IPO Study on behalf of Philadelphia, Boston, Chicago and Pacific Stock Exchanges, Feb. 17, 1995

Box 36 Folder 3 The Common Sense Legal Reforms Act of 1995 (re: H.R. 10), Feb. 23, 1995

Box 36 Folder 4 Calendar for Levitt, 1996 - 2001

Box 36 Folder 5 Report to Congress re: Securities and Litigation Reform Act, Apr. 1997

Box 36 Folder 6 General Accounting Office GAO Draft Report to Congressional Committees, May 1997

Box 36 Folder 7 Confirmation Hearing Q&A, Mar. 25, 1998

Box 36 Folder 8 Commission on Auditors Responsibilities (Cohen Commission) Report, 1978

Box 36 Folder 9 Letters by SEC Chief Accountant, 1998 - 2000

Box 37 Folder 1 - 2 Press Articles on Auditor Independence, Jan. 2000 - Jul. 2000

Box 37 Folder 3 - 4 Public Hearing on Independence - Participant Binder, Jul. 26, 2000

Box 38 Folder 1 - 2 Public Hearing on Independence - Background Prep. Binder, Jul. 26, 2000

Box 38 Folder 3 - 4 Public Hearing on Independence - Supplemental Materials, Jul. 26, 2000

Box 38 Folder 5 Public Hearing on Independence - Transcript, Jul. 26, 2000

Box 38 Folder 6 Selected Letters from Small Firms, Aug. - Sep. 2000

Box 39 Folder 1 Industry and other support, Sep. - Nov. 2000

Box 39 Folder 2 - 3 Public Hearing on Independence - Participant Binder, Sep. 13, 2000

Box 39 Folder 4 - 5 Public Hearing on Independence - Participant Binder, Sep. 20, 2000

Box 39 Folder 6 Public Hearing on Independence - Participant Binder, Sep. 21, 2000

Box 39 Folder 7 US Senate, Securities Subcommittee, Banking Housing and Urban Affairs Committee Hearing on SEC Audit Rules - Transcript, Sep. 28, 2000

Box 40 Folder 1 Staff Legal Bulletin, Nos. 1 - 7, Feb. 1997 - Sep. 1998

Box 40 Folder 2 Plain English Proposal, Jun. 1997

Box 40 Folder 3 Significant Accomplishment, 1996 - 2000, [2000]

Box 40 Folder 4 Office of Small Business Policy, Dec. 2000

Box 40 Folder 5 - 8 Releases, 1995 - 2000

Box 41 Folder 1 BT Securities Corp; Bear Stearns Sec. Corp; Bennett Funding Group; Cendant; Dreyfus, Exchange Options (AMEX, CBOE, Pacific, Philadelphia); First Jersey; Livent, NASDAQ (filed under Certain Market Activities on NASDAQ) Significant Cases of Levitt's Tenure: Index + A - L, 1993 - 2000

Box 41 Folder 2 Milken, Michael R; O'Hagan, James; MC Group; NASD; NYSE; Paine Webber, PriceWaterhouseCoopers; Prudential Securities; Stratton Oakmont; Van Kampen Investment Advisory Group; W. R. Grace & Co. Significant Cases: M - Z, 1993 - 2000

Box 41 Folder 3 Municipal Securities Cases, 1994 - 2000

Box 41 Folder 4 Office of Internet Enforcement, 1996 - 2000

Box 41 Folder 5 Wheat First Securities Investigation, 1998

Box 41 Folder 6 Microcap Fraud, 1998 - 2000

Box 41 Folder 7 Significant Insider Training Actions, 2000

Box 41 Folder 8 Yield Burning Actions, 2000

Box 41 Folder 9 - 10 Public Utility Holding Company Act (PUCHA), 1992 - 2001

Box 42 Folder 1 Multi-Class Master Feeds, 1993 - 1995

Box 42 Folder 2 Money Market Funds Rule 12a-7, 1993 - 1996

Box 42 Folder 3 Large Firm Project, 1994

Box 42 Folder 4 Personal Investments of Investment Company Personnel (Rule 17j - 1), 1994 - 1999

Box 42 Folder 5 Mutial Funds, 1994 - 2000

Box 42 Folder 6 Releases on SEC Electronic Data Gathering Analysis and Retrieval System (EDGAR), 1994 - 2000

Box 42 Folder 7 Contingent Deferred Sales Loads (Rule 6c-10), 1995

Box 42 Folder 8 1995 Permitted Arrangements, 1995 - 1999

Box 42 Folder 9 Report on Compensation Practices, Apr. 10, 1995

Box 42 Folder 10 Technical Amendments, 12b-1, 1996

Box 42 Folder 11 Privately Offered Investment Companies, 1996 - 1997

Box 42 Folder 12 Independent Directors, 1999 - 2001

Box 42 Folder 13 Householding, Nov. 16, 1999

Box 42 Folder 14 Regulation S-P (Privacy of consumer financial info), 2000

Box 42 Folder 15 Electronic Signatures Exemption, 2000

Box 42 Folder 16 Significant Accomplishment, as of Dec. 15, 2000, Dec. 15, 2000

Box 43 Folder 1 Net Capital Requirements, 1993 - 1997

Box 43 Folder 2 Municipal Securities Disclosure, Mar. - Nov. 1994

Box 43 Folder 3 Municipal Securities Rulemaking Board (MSRB) rule change on Pay-to-Play, Apr. 7, 1994

Box 43 Folder 4 Rule 19c-4 (shareholder voting rights), Dec. 19, 1994

Box 43 Folder 5 Rule 15c6-1 (T + 3- Three business days as standard settlement timeframe), [1995]

Box 43 Folder 6 Electronic Media Releases, 1995 - 2000

Box 43 Folder 7 Derivatives Policy Group, Mar. 1995

Box 43 Folder 8 Office of Interpretation and Guidance, Jul. - Aug. 1996

Box 43 Folder 9 Concept Release on regulation of Exchanges, [1997]

Box 43 Folder 10 Releases re: Year 2000, 1997 - 1998

Box 43 Folder 11 Security Arbitration Clinic, 1997 - 1998

Box 43 Folder 12 Rule 17a-4 (Reporting requirements), Feb. 12, 1997

Box 43 Folder 13 Report on Preferencing, Apr. 11, 1997

Box 43 Folder 14 New York Stock Exchange (NYSE) Rule 500, [Dec. 1997]

Box 44 Folder 1 Order Approving Order Audit Trail System (OATS) for National Association of Securities Dealers (NASD), Mar. 6, 1998

Box 44 Folder 2 Circuit Breaker Approval Order, Apr. 1998

Box 44 Folder 3 Technology Roundtable, Apr. 1998

Box 44 Folder 4 Tradepoint Exemption, Jul. 1998 - Mar. 1999

Box 44 Folder 5 OTC Derivatives Dealers, Nov. 3, 1998

Box 44 Folder 6 New Products Exemptions, Dec. 8, 1998

Box 44 Folder 7 Release on Exchanges and Alternative Trading Systems (ATS), Dec. 22, 1998

Box 44 Folder 8 Report on Hedge Funds, Apr. 1999

Box 44 Folder 9 Intermarket Trading System (ITS) Plan Amendments, Apr. 1999 - Jul. 1999

Box 44 Folder 10 Web Central Registration Depository (CRD), May 1999 - Jul. 1999

Box 44 Folder 11 Releases re: Options Linkage, Oct. 1999 - Jul. 2000

Box 44 Folder 12 Commodity Exchange Act (CEA) - Shad-Johnson, Nov. 1999 - Dec. 2000

Box 44 Folder 13 Market Data Concept Release, [2000]

Box 44 Folder 14 Decimalization, Jan. 2000 - Jun. 2000

Box 45 Folder 1 International Securities Exchange (ISE) Registration, Feb. 24, 2000

Box 45 Folder 2 National Money Laundering Strategy, Mar. 2000

Box 45 Folder 3 Electronic Communication Networks (ICN) and After-Hours Trading, Jun. 2000

Box 45 Folder 4 Releases re: Decimals, Jun. 8, 2000

Box 45 Folder 5 Order Execution Quality, Aug. - Dec. 2000

Box 45 Folder 6 Regulation S-P (Privacy of consumer financial info), [Nov. 2000]

Box 45 Folder 7 Payment for Order Flow, Dec. 19, 2000

Box 45 Folder 8 Regulation M, [Jan. 2001]

Box 45 Folder 9 Short Sale Concept Release, [Jan. 2001]

Box 45 Folder 10 Firm Quote and Trade Through Disclosure Rules, Feb. 1, 2001

Box 46 Folder 1 Memoranda of Understanding: Australia, China, Egypt, Germany, Hong-Kong, india, Israel, Portugal, Russia, Singapore, South Africa, UK, 1993 - 2000

Box 46 Folder 2 I International Securities correspondence (copies), 1994 - 1998

Box 46 Folder 3 Litigation Releases (Lexis-Nexis), 1994 - 2000

Box 46 Folder 4 International Organization of Securities Commissions IOSCO, 1998 - 2000

Box 46 Folder 5 International Accounting Standards Committee, 1999 - 2001

Box 46 Folder 6 International Disclosure Standards, 2000

Box 46 Folder 7 International Accomplishments, 1993 - 2000, [Dec. 2000]

Box 47 Folder 1 Financial Accounting Foundation, 1996

Box 47 Folder 2 Financial Accounting Standards Board, 1996 - 1997

Box 47 Folder 3 Loan Loss Reserves, 1998 - 1999

Box 47 Folder 4 Staff Accounting Bulletin, Nos. 99 - 101, 1999

Box 47 Folder 5 Earnings Management, 1999 - 2000

Box 47 Folder 6 Audit Committee Disclosure, Jan. 2001

Box 47 Folder 7 OCA Significant Accomplishments, Jan. 2001

Box 47 Folder 8 OCIE Creation, 1995

Box 47 Folder 9 Memoranda of Understanding, 1995

Box 47 Folder 10 Sales Practice Sweep Report, Mar. 1996

Box 47 Folder 11 Mutual Fund Oversight, May 28, 1997

Box 47 Folder 12 Soft Dollar Sweep, Sep. 22, 1998

Box 47 Folder 13 Year 2000 Readiness, Jun. 1999

Box 47 Folder 14 Enforcement Action Against NYSE, Jun. 29, 1999

Box 47 Folder 15 Risk Management, Jul. 1999

Box 47 Folder 16 Day Trading Report, Feb. 25, 2000

Box 47 Folder 17 Limit Orders Report, May 4, 2000

Box 47 Folder 18 Enforcement Actions Against Options Exchanges, Sep. 11, 2000

Box 47 Folder 19 Payment for Order Flow, Dec. 2000

Box 47 Folder 20 OCIE Significant Accomplishments, Jan. 2001

Box 48 Folder 1 Blount, William B., 1994 - 1995

Box 48 Folder 2 USA vs. O'Hagan, 1996 - 2001

Box 48 Folder 3 Regulation FD, 1999 - 2000

Box 48 Folder 4 Garten Committee, 2000

Box 48 Folder 5 OGC Significant Accomplishments, Jan. 2001

Box 48 Folder 6 Investor Education and Protection Initiatives, 1994

Box 48 Folder 7 Town Hall Meetings, 1995 - 2000

Box 48 Folder 8 General Information, 1995 - 2000

Box 48 Folder 9 Municipal Securities Correspondence (copies), 1994 - 1995

Box 48 Folder 10 Disclosure Obligations, Mar. 9, 1994

Box 48 Folder 11 Final Disclosure Rule, Nov. 1994

Box 48 Folder 12 Municipal Securities Disclosure (Rule 15c2 - 12), [Apr. 1995]

Box 49 Folder 1 Municipal Securities Cases and Materials, Apr. 1999

Box 49 Folder 2 First Annual Municipal Market Roundtable, Oct. 14, 1999

Box 49 Folder 3 Second Annual Municipal Market Roundtable, Oct. 12, 2000

Box 49 Folder 4 Municipal Securities Rules G-37 and G-38, [2000]

Box 49 Folder 5 OMS Significant Accomplishments, 1995 - 2000, Dec. 2000