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Interfaith Center on Corporate Responsibility records, 1966-2011

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Series VI. U.S. Security and Exchanges Commission (SEC) Files, 1972-2007, bulk 1990-2004

The SEC Files contain records related to ICCR's interaction with the SEC on both SEC policy issues and ICCR's own proxy resolutions.

The files include records related to ICCR's advocacy on SEC policies such as corporate disclosure, proxy rules, shareholder rights and resolutions, and vacancies on the SEC. These records include campaign materials, clippings, correspondence, legal materials, memos, questionnaires, and reports.

The ICCR also worked with the SEC on issues related to proxy resolutions filed by ICCR's member organizations. These files include records on proxy resolutions, including chronological files with lists and copies of resolutions, as well as responses and information on legal cases.

Copies of the texts of shareholder resolutions filed each year by ICCR's faith-based investors are also published in the Proxy Resolutions Book, which can be found in Publications (Series VII).

The files are arranged in two ways. The first set of files conists of general files that are filed chronologically. The second set of files were originally filed together in groups that are roughly chronological, and the current arrangement follows that filing method.

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Chronological Files--General

SEC


Box 106 1972-1984 (1 Box), 1972-1984


Box 90 Folder 1 to 3 1985-1986 (3 Folders), 1985-1986

Box 90 Folder 4 to 24 1989-1993 (11 Folders), 1989-1993


Box 89 Folder 1 to 15 1994-1997 (15 Folders), 1994-1997


Box 22 Folder 10 to 17 1997-2000 (8 Folders), 1997-2000


Box 97 Folder 20 to 21 Shareholder Resolution Rules, 1996-2007 (2 Folders), 1996-2007

Chronological Files--Grouped Files

1975-1981


Box 82 Folder 1 General, 1975-1981

Box 82 Folder 2 Accounting Procedures, 1977

Box 82 Folder 3 Board of Directors, 1978-1979

Box 82 Folder 4 Corporate Disclosure, 1975-1977

Box 82 Folder 5 SEC Hearings, "Shareholder Communications, Participation in Corporate Electoral Process, and Corporate Governance,", 1977

1990-1993

Box 82 Folder 7 ABC Case, 1990-1991

Box 82 Folder 17 Articles, 1992-1993

Box 82 Folder 26 Bishop Browning's Letter to Episcopalians, 1992 April


Box 14 Folder 15 Brokers, Pension Funds, Foundations, circa, 1992

Box 14 Folder 1 to 2 Campaigns, 1991-1993 (2 Folders), 1991-1993

Box 14 Folder 10 Congress--Letters--SEC, 1993

Box 14 Folder 13 Congressional Responses, 1993

Box 14 Folder 14 Contracts, 1992


Box 82 Folder 31 Cracker Barrel SEC Challenge, 1992

Box 82 Folder 32 Dupont/SEC Environment Case, 1992

Box 82 Folder 18 Fax--Newspaper Articles on SEC Issue, 1992

Box 82 Folder 19 Fax Ready--Congressional List and Standard Letter, 1992 April

Box 82 Folder 20 Fried Letter, 1992 March 11

(Donald Fried)

Box 82 Folder 21 Fried's Speech, 1992 February

(Donald Fried)

Box 82 Folder 30 ICCR Board Member, circa, 1992

(Memo on SEC Campaign)

ICCR Memos

Box 82 Folder 11 Congressional Committees, 1992 April 15

Box 82 Folder 12 SEC Update, 1992 May

Box 82 Folder 13 SEC Alert, 1992 April

Box 82 Folder 14 ICCR Members & Board, 1992 April

Box 82 Folder 15 Governing Board, 1992 March 3

Box 82 Folder 16 Plan of Action, 1992 February 13

Box 82 Folder 27 IRRC Corporate Governance Highlights--Executive Summary on SEC's Decisions on Shareholder Communication and Corporate Executive Compensation Disclosure,, 1992 June

Box 82 Folder 28 IRRC News for Investors, 1992 March

Box 82 Folder 25 Kimba Wood Clippings, 1992-1993


Box 14 Folder 12 Legal Times--Mary Shapiro, SEC, 1993 June


Box 82 Folder 8 Meeting with S. Wallman, SEC, 1991 April

Box 82 Folder 9 to 10 Proposed Rule Changes, 1992 (2 Folders), 1992


Box 14 Folder 3 Proxy Rules Review, 1990-1991


Box 82 Folder 34 SEC, 1993

Box 82 Folder 29 SEC Alert--AT&T Meeting, 1992 June

Box 82 Folder 35 SEC Alerts, 1993

Box 82 Folder 22 SEC Brief, 1992

Box 82 Folder 24 SEC Campaigns Round Two, 1992

Box 82 Folder 37 SEC Court Case, 1993

Box 82 Folder 38 SEC Press Releases, 1993 October


Box 14 Folder 11 SEC Rule Changes--Solicitation and Executive Compensation, 1992


Box 82 Folder 6 SEC Rule Changes, Shareholding Information, 1990

Box 82 Folder 36 Senate Banking Letter, 1993

Box 82 Folder 23 Standard Letters, circa, 1992


Box 14 Folder 8 Tilt, 1992

Box 14 Folder 9 Update, 1992

Walmart

Box 14 Folder 4 Our T Case Equal Opportunity Employment (EEO), 1992


Box 82 Folder 33 Walmart Court Case, 1992-1993


Box 14 Folder 5 SEC--Decision for Faxing, 1993

Box 14 Folder 6 SEC--Appeal of Judge Woods' Decision, 1993

Box 14 Folder 7 Amalgamated Clothing and Textile Workers Union et al vs. Walmart--Brief,, 1994

1994-1995


Box 34 Folder 27 Action Packet, 1995

Box 34 Folder 28 Case, 1994

Box 34 Folder 29 Correspondence with SEC Chair, Arthur Levitt, 1995

Box 34 Folder 30 Meeting with Commissioner Wallman, 1994-1995

Box 34 Folder 31 Member Letters to Congress Re: 2 Vacancies on the SEC, 1995

Box 34 Folder 32 Member Letters to President Clinton and Vice-President Al Gore Re: SEC Vacancies,, 1994-1997

Box 34 Folder 34 Rule Revisions, 1995


Box 82 Folder 39 SEC Council Addresses, 1994

Box 82 Folder 40 SEC "Tilt,", 1994

Box 82 Folder 41 SEC Letters to Levitt, 1994-1995

Box 82 Folder 42 SEC Action Alert, 1995 January 22


Box 34 Folder 35 Senate and Other House Letter (Fr. Members), 1994

1995-1996


Box 82 Folder 44 Council of Institutional Investors--Committee on Shareholder Proposal Reform (SEC Committee),, 1995-1996

Box 82 Folder 46 Letter to President Clinton et al., 1996

Box 82 Folder 45 Robert Reich and SEC Campaign, 1996


Box 34 Folder 33 Rule 14-a-4, 1996


Box 82 Folder 43 SEC Campaign, 1996 Summer, 1996


Box 83 Folder 1 SEC Challenges, 1996

1996-1998

Allied Signal


Box 34 Folder 36 Challenge, 1997 February

Box 34 Folder 37 Responses to Refusal to Hear Challenge to "No Action" on Allied Signal,, 1997


Box 30 Folder 18 American Society of Corporate Secretaries "Shareholder Reform,", 1996-1997

Box 30 Folder 23 Campaign Letters Re: December 4, 1996 Alert, 1996, December 4, 1996, 1996


Box 34 Folder 38 Challenges, 1997

Box 34 Folder 39 Congressional Black Caucus, 1997

Box 34 Folder 40 Congressional Hearings, 1997 March


Box 82 Folder 49 Council of Institutional Investors (CII)--SEC Initiative, 1996-1997


Box 80 Folder 6 Home Depot, 1998


Box 34 Folder 41 Index of Briefs and Correspondence Re: 1997 Proxy Proposals, 1997, 1997, 1997


Box 79 Folder 1 Index of Files Containing Briefs and Correspondence Relating to 1997 Proxy Proposals, 1997 January 25, 1997, 1997 January 25


Box 30 Folder 21 (Investor Responsibility Research Center) IRRC Analysis, 1996

Box 30 Folder 24 Letter from 35 Congresspersons to SEC, 1996 October 10

Box 30 Folder 25 Letter Sent to 35 Congresspersons, 1996 August 29


Box 34 Folder 42 Letter to Alphonse D'Amato, 1997 January 28


Box 30 Folder 22 Letters to Commissioners, 1996 December 31

Box 30 Folder 19 Letter to Congressional Black Caucus (CBC) and Other Congresspersons,, 1997 January 24

Box 30 Folder 29 Letters to Hunt and Johnson, 1996 August 21


Box 82 Folder 50 Letters to President Clinton, 1997 August


Box 34 Folder 43 Letters to President Clinton and SEC, 1997 August


Box 30 Folder 20 Letters to SEC, 1997 January-May


Box 82 Folder 48 "Masters" for SEC Alerts, 1997 January


Box 30 Folder 28 National Securities Markets Improvement Act of 1996, 1996, 1996, 1996


Box 34 Folder 44 Neuhauser Appeals, 1997


Box 82 Folder 53 Nike--SEC Challenge, 1997


Box 34 Folder 45 Procedures for Responding to Companies (CO's) Requests to SEC for No Action Letters,, 1997


Box 14 Folder 16 Questionnaire, 1997


Box 79 Folder 12 to 13 Responses to SEC--A-Z, 1998 (2 Folders), 1998


Box 34 Folder 46 Resolutions Withdrawn, 1997


Box 30 Folder 30 Phil Roberts--Free Burma Campaign of Takoma Park, 1996

Box 30 Folder 31 Mr. Rodgers and the Nun (Sister Doris Gurmley), 1996


Box 34 Folder 47 Rule Changes, 1997

SEC

Box 34 Folder 48 Alert, 1997 July 9 (2 Folders), 1997 July 9

Box 34 Folder 49 Annual General Meeting (AGM), 1997

Box 34 Folder 50 Appeal, 1997 January 31

Box 34 Folder 51 Highlights and Proposed Action Plan, 1997 May


Box 79 Folder 2 SEC Challenges, 1997 (1 Folder), 1997


Box 80 Folder 5 SEC Challenges, 1998

SEC Challenges and Responses, 1997


Box 79 Folder 3 A


Box 80 Folder 1 to 3 C-F (3 Folders)


Box 83 Folder 2 G-M (7 Folders)


Box 79 Folder 4 to 11 N-V (8 Folders)

(No "Q")


Box 80 Folder 4 SEC Challenges and Rulings, 1997-1998

Box 80 Folder 7 SEC Decisions, 1998


Box 82 Folder 51 SEC Questionnaire, 1997

Box 82 Folder 47 SEC Rules Review Discussion, 1997


Box 34 Folder 52 Shareholder Process Review--Articles and Notes, 1997


Box 82 Folder 52 Society of Corporate Secretaries, 1997


Box 30 Folder 32 U.S. Trust Boston Op-Ed--Tim Smith, 1997

Wallman

Box 30 Folder 26 Response Letters to Wallman's Speech, 1996

Box 30 Folder 27 Letter to Wallman, 1996 August 23

1999


Box 79 Folder 14 1998-1999 SEC Challenges (List), 1999 February 1, 1998-1999, 1999 February 1

Box 79 Folder 15 to 17 Responses to SEC (3 Folders)

Box 79 Folder 18 to 20 SEC Responses (3 Folders)

2000


Box 13 Folder 1 Resolution Filings, 2000

Box 13 Folder 2 Resolutions, 2000 (3 Folders), 2000

Box 13 Folder 3 to 5 Burma, 2000

Box 13 Folder 6 to 7 SEC Challenges--A-Z, 2000 (2 Folders), 2000


Box 79 Folder 21 to 23 SEC Challenges, 2000 (3 Folders), 2000

2001


Box 83 Folder 3 Resolutions, 2001

2002-2004

Filing Letters


Box 80 Folder 8 2002

Box 80 Folder 9 Late Filing Letters, 2003

Box 80 Folder 10 to 14 2004 (5 Folders), 2004

Proxy Resolutions, 2003-2004


Box 48 Folder 43 ICCR Actions and All Players, 2003 December

(Lists)

Resolutions

Box 48 Folder 44 General, 2003-2004 (6 Folders), 2003-2004

Box 48 Folder 45 Global Warming

Box 48 Folder 46 South Africa and General

Box 48 Folder 47 Withdrawals

Abbott


Box 47 Folder 1 General

Box 47 Folder 2 HIV/AIDS Reporting

Box 47 Folder 3 Political Contributions

Box 47 Folder 4 AEP--Global Warming

Box 47 Folder 5 AGCO--Environmental Risk Disclosure

AIG

Box 47 Folder 6 Global Warming

Box 47 Folder 7 HIV/AIDS Reporting

Box 47 Folder 8 Tobacco Investments

Box 47 Folder 9 Alcoa--Pay Disparity

Box 47 Folder 10 Alltel--Sexual Orientation Nondiscrimination

Altria

Box 47 Folder 11 Canadian Warnings--Voluntary Use in US

Box 47 Folder 12 Filters

Box 47 Folder 13 Pregnant Women

Amgen

Box 47 Folder 14 Equal Employment Opportunity

Box 47 Folder 15 Interim Storage of Radioactive Waste

Box 47 Folder 16 Anadarko--Global Warming

Box 47 Folder 17 Apache--Global Warming

Box 47 Folder 18 Archer-Daniels-Midland (ADM)--Genetically Modified Organism (GMO)

Avon

Box 47 Folder 19 Annual Elections

Box 47 Folder 20 Parabens

Box 47 Folder 21 Phthalates

Bank of America

Box 47 Folder 22 International Community Reinvestment Act (CRA)

Box 47 Folder 23 Merger

Box 47 Folder 24 Bed, Bath and Beyond--Glass Ceiling

Box 47 Folder 25 BellSouth--Annual Elections

Box 47 Folder 26 BJ--Burma

Boeing

Box 47 Folder 27 Ethical Criteria for Contracts

Box 47 Folder 28 Human Rights (HR) Policies

Bristol-Myers Squibb

Box 47 Folder 29 Access

Box 47 Folder 30 HIV/AIDS

Box 47 Political Contributions

Box 47 Folder 31 Burlington--Indigenous Peoples

Caterpillar

Box 47 Folder 32 HIV/AIDS Reporting

Box 47 Folder 33 Human Rights?

Box 47 Folder 34 Cendant--CEO Pay

Chevron

Box 47 Folder 35 AIDS

Box 47 Folder 36 Arctic National Wildlife Refuge (ANWR)

Box 47 Folder 37 Renewable Energy

Box 47 Folder 38 Chubb--Global Warming

Box 47 Folder 39 Cigna--Tobacco Investments

Box 47 Folder 40 Cinergy--Global Warming

Box 47 Folder 41 Citi--International Community Reinvestment Act (CRA)

Box 47 Folder 42 Coca-Cola--HIV/AIDS

Box 47 Folder 43 Colgate--Human Rights

Box 47 Folder 44 Conoco--Arctic National Wildlife Refuge (ANWR)

Box 47 Folder 45 Cooper Cameron--Environmental Risk Disclosure

Box 47 Folder 46 Cooper Industries--Sustainability

Costco

Box 47 Folder 47 Annual Election

Box 47 Folder 48 Land Procurement

Box 47 Folder 49 CVS--Equal Employment Opportunity (EEO) Reporting

Box 47 Folder 50 Danaher--Board Diversity

Delphi

Box 47 Folder 51 Global Standards

Box 47 Folder 52 Tobacco Investments

Box 47 Folder 53 Delta--CEO Pay

Box 47 Folder 54 Dillards--Human Rights

Box 47 Folder 55 Dover--Sexual Orientation Nondiscrimination

Dow Chemical

Box 47 Folder 56 Bhopal

Box 47 Folder 57 Toxins

Box 47 Folder 58 El Paso--Pay Disparity

Eli Lilly

Box 47 Folder 59 Affordable Prescription Drugs

Box 47 Folder 60 HIV/AIDS?

Box 47 Folder 61 EOG--Environmental Risk Disclosure

Box 47 Folder 62 EW Scripps--Newsroom Diversity

Box 47 Folder 63 Excel--Global Warming

Exxon

Box 47 Folder 64 AIDS

Box 47 Folder 65 Global Warming (2 Folders)

Box 47 Folder 66 International Labor Organization (ILO)

Box 47 Folder 67 Sexual Orientation Nondiscrimination

Box 47 Folder 68 Renewable Energy

Fleet Bank

Box 47 Folder 69 International Community Reinvestment Act (CRA)

Box 47 Folder 70 Merger

Box 47 Folder 71 FMC--Board Diversity

Ford

Box 47 Folder 72 AIDS

Box 47 Folder 73 Global Warming

Box 47 Folder 74 General Dynamics--Foreign Military Sales

General Electric (GE)

Box 47 Folder 75 Pay Disparity

Box 47 Folder 76 PCBs

Box 47 Folder 77 Smoke-Movies

Box 47 Folder 78 Sustainability

Box 47 Folder 79 General Motors--Global Warming

Box 47 Folder 80 Genuine Parts--Environmental Risk Disclosure

Box 47 Folder 81 Gillette--Annual Elections

Box 47 Folder 82 Grant Pride--Board Diversity

Box 47 Folder 83 Honeywell--Pay Disparity

Box 47 Folder 84 Intel--Water Use

Box 47 Folder 85 International Paper--CEO Pay

Johnson and Johnson

Box 47 Folder 86 General

Box 47 Folder 87 HIV/AIDS

J.P. Morgan

Box 47 Folder 88 Derivatives

Box 47 Folder 89 Impact on Environment

Box 47 Folder 90 Pay Disparity

Box 47 Folder 91 Kellogg--Genetically Modified Organisms (GMOs)

Box 47 Folder 92 Keycorp--Subprime Lending

Box 47 Folder 93 Kerr McGee--Global Reporting Initiative (GRI)

Box 47 Folder 94 Kinder Morgan--Board Diversity

Box 47 Folder 95 Kohl's--Sexual Orientation Nondiscrimination

Box 47 Folder 96 Kroger--Sustainability

Box 47 Folder 97 Kraft--Coffee Crisis

Lehman

Box 47 Folder 98 Predatory Lending

Box 47 Folder 99 Private Prison

Box 47 Folder 100 Lockheed--Ethical Criteria for Contracts

Loews

Box 47 Folder 101 Environmental Tobacco Smoke (ETS)

Box 47 Folder 102 Global Reporting Initiative (GRI)

Box 47 Folder 103 Lite Cigarettes

Box 47 Folder 104 Longs--Separate Chairman and CEO

Box 47 Folder 105 Marathon--Global Warming

Box 47 Folder 106 MDC--Environmental Risk Disclosure

Merck

Box 47 Folder 107 HIV

Box 47 Folder 108 Patents

Box 47 Folder 109 Political Contributions

Box 47 Folder 110 MetLife--CEO Pay

Box 47 Folder 111 Monsanto--Genetically Modified Organisms (GMO) Reporting

Box 47 Folder 112 Newmont--Sustainability?

Box 47 Folder 113 Northfork--Board Diversity

Box 47 Folder 114 Northrop--Ethical Criteria for Contracts

Box 47 Folder 115 NVR--Environmental Risk Disclosure

Box 47 Folder 116 Occidental--Human Rights

Box 47 Folder 117 OGE--Sexual Orientation Nondiscrimination

Box 47 Folder 118 Pepsi America--Environmental Reporting

Box 47 Folder 119 Pepsico--HIV

Pfizer

Box 47 Folder 120 General

Box 47 Folder 121 HIV/AIDS Reporting

Box 47 Folder 122 Political Contributions

Box 47 Folder 123 Principal--Tobacco Investments

Box 47 Folder 124 Raytheon--Ethical Criteria for Contracts

Box 47 Folder 125 Rite Aid--Equal Employment Opportunity (EEO)

R.J. Reynolds

Box 47 Folder 126 Environmental Tobacco Smoke (ETS)

Box 47 Folder 127 Tobacco Smuggling

Box 47 Folder 128 Ruby Tuesday

Box 47 Folder 129 Ryland--Environmental Risk Disclosure


Box 48 Folder 1 Safeway--Genetically Modified Organisms (GMO)

Box 48 Folder 2 Saks--Vendor Standards

Box 48 Folder 3 Saks/Costco/99 Cents/Big Lots--Vendor Standards

Box 48 Folder 4 SBC--Annual Elections

Box 48 Folder 5 Schering Plough--Payments and Rebate Policies

Box 48 Folder 6 Skywest--Board Diversity

Box 48 Folder 7 Smith--Board Divsersity

Box 48 Folder 8 Southern--Global Warming

Box 48 Folder 9 Stanley--Annual Elections

Box 48 Folder 10 Sysco--Genetically Modified Organisms (GMO)

Box 48 Folder 11 Target--Global Reporting Initiative (GRI)

Box 48 Folder 12 Textron--Foreign Military Sales (FMS)

Time Warner

Box 48 Folder 13 Pay Disparity

Box 48 Folder 14 Political Contributions

Box 48 Folder 15 Public Obligations

Box 48 Folder 16 Teen Tobacco

TJX

Box 48 Folder 17 Annual Elections

Box 48 Folder 18 Vendor Standards

Box 48 Folder 19 Torchmark--Tobacco Investments

Box 48 Folder 20 Tribune--Political Contributions

Box 48 Folder 21 TXU--Global Warming

Box 48 Folder 22 Tyco--Environmental Reporting

Box 48 Folder 23 Tyson--One Vote

Box 48 Folder 24 United Technologies--Ethical Criteria for Contacts

Box 48 Folder 25 Unocal--Global Warming

Box 48 Folder 26 UST--Nitrosamines (TSNA)

Box 48 Folder 27 Valero--Global Warming

Box 48 Folder 28 VF Corporation--International Labor Organization (ILO) Code

Viacom

Box 48 Folder 29 CEO Pay

Box 48 Folder 30 Public Obligations

Box 48 Folder 31 Teen Tobacco

Box 48 Folder 32 Visteon--Global Standards

Wal-Mart

Box 48 Folder 33 Equal Employment Opportunity (EEO)

Box 48 Folder 34 Genetically Modified Organisms (GMOs)

Box 48 Folder 35 Sustainability

Box 48 Folder 36 Werner--Board Diversity

Box 48 Folder 37 Weyerhaeuser--Old Growth

Box 48 Folder 38 Wyeth--Access

Yum

Box 48 Folder 39 Annual Elections

Box 48 Folder 40 Genetically Modified Organisms (GMOs)

Box 48 Folder 41 Smoke Free

Box 48 Folder 42 Sustainability

2007


Box 35 Folder 13 Action--Shareholders Rights, 2007