Rare Book & Manuscript Library
 

Arthur Levitt papers, 1948-2007

Series X: SEC Work Files

All files in this series were part of additions, donated by A. Levitt in 2002. Original titles. General SEC subject files are followed by subseries arranged alphabetically by office of origin or subject.

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Subseris X.1: General



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


Subseris X.2: Auditors' Independence

Files arranged chronologically by starting date.


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


Subseris X.3: Division of Corporate Finance

Files arranged chronologically by starting date.



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


Subseris X.4: Division of Enforcement

Files arranged chronologically by starting date.



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


Subseris X.5: Division of Investment Management

Files arranged chronologically by starting date.


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


Subseris X.6: Division of Market Regulation

Files arranged chronologically by starting date.



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


Subseris X.7: International Accounting Standards Committee

Files arranged chronologically by starting date.



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]


Subseris X.8: Office of Chief Accountant

Files arranged chronologically by starting date.



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


Subseris X.9: Office of Compliance, Inspection and Examination

Files arranged chronologically by starting date.


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


Subseris X.10: Office of General Council

Files arranged chronologically by starting date.



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


Subseris X.11: Office of Investor Education and Assistance

Files arranged chronologically by starting date.


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


Subseris X.12: Office of Municipal Securities

Files arranged chronologically by starting date.


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