Press Release Archives 1997

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Release No.DateDetails
Fourth Quarter
97-117Dec 23, 1997Louis Loss, Former Commission Staffer and Authority on Securities Laws, Leaves Scholarly Legacy
97-116Dec 17, 1997Meredith Cross, Deputy Director of the Division of Corporation Finance, to Leave
97-112Dec 17, 1997SEC To Consider Four Items in Open Meeting
97-114Dec 16, 1997Municipal Securities Underwriters Pay a Total of $325,000 in Fines
97-111Dec 15, 1997First-Ever Hemisphere-Wide Investor Education Campaign Planned; Campaign will promote financial literacy, economic growth
97-110Dec 9, 1997Michael H. Sutton, Chief Accountant of the SEC, To Depart
97-109Dec 8, 1997Chairman Arthur Levitt Sends Letters to Registered Utility Holding Companies Regarding Year 2000 Compliance
97-108Nov 26, 1997Fee Rate Advisory - Update
97-107Nov 26, 1997Fee Rate Advisory - November 26 Update
97-105Nov 19, 1997Media Advisory - Investors' Town Meeting, Friday, Des Moines, Iowa
97-104Nov 17, 1997Free Lunchtime Investment Seminars Offered: SEC Chairman Arthur Levitt, Iowa officials hold Investors' Town Meeting Friday in Des Moines
97-103Nov 17, 1997Fee Rate Advisory - November 17 Update
97-102Nov 13, 1997Chairman Arthur Levitt Sends Letters to Investment Advisers Regarding Year 2000 Compliance
97-101Nov 12, 1997SEC Announces Pilot Securities Arbitration Clinic To Help Small Investors; Levitt Responds to Concerns Voiced at Town Meetings
97-100Nov 10, 1997Fee Rate Advisory - November 10 Update
97-99Nov 5, 1997SEC Chairman Arthur Levitt, Iowa Officials To Hold Investors' Town Meeting in Des Moines; More American households are investing in the markets than ever before, record $4 trillion invested in mutual funds
97-98Nov 3, 1997Chairman Levitt Sends Letters to Broker-Dealers and Transfer Agents Regarding Year 2000 Compliance
See Also:  Letter to Broker-Dealers and Letter to Transfer Agents
97-97Oct 28, 1997Chairman Arthur Levitt and Commissioner Isaac C. Hunt, Jr., To Testify
97-96Oct 27, 1997Memorandum of Understanding Signed by SEC, CFTC, Bank of England, and Financial Services Authority
97-95Oct 27, 1997Statement of SEC Spokesman: 10/27/97
97-94Oct 24, 1997Fee Rate Advisory
97-93Oct 22, 1997Fee Rate Advisory - Additional Update
97-92Oct 17, 1997SEC and German BAWe Sign Memorandum of Understanding
97-91Oct 9, 1997Internet Impact and Micro-Cap Fraud Highlight SEC Meeting; Regulatory Issues Also on Consumer Affairs Advisory Committee Agenda
97-90Oct 8, 1997Chairman Levitt Announces the Selection of Randall J. Fons To Head the SEC's Southeast Regional Office
97-89Oct 8, 1997Securities and Exchange Commission Announces that Charles V. Senatore, Southeast Regional Director, Is To Leave the SEC for Merrill Lynch
97-88Oct 7, 1997Transaction Rate Advisory
97-87Oct 3, 1997Chief Accountant Selects an International Professional Accounting Fellow and Is Seeking Candidates for Three Other Professional Accounting Fellow Positions
97-86Oct 2, 1997SEC Announces Appointment of Walter P. Schuetze as Chief Accountant of the Division of Enforcement
97-85Oct 2, 1997Plain English Contest - Update
97-84Oct 1, 1997Fee Rate Advisory - Further Update
Third Quarter
97-83Sep 30, 1997Fee Rate Advisory - Update
97-82Sep 29, 1997Heidi Stamm, Associate Director of the Division of Investment Management, To Leave the SEC for Vanguard
97-81Sep 26, 1997Mary B. Tokar Designated Senior Associate Chief Accountant (International)
97-80Sep 25, 1997Fee Rate Advisory
97-79Sep 23, 1997Commissioner Wallman Sets Departure Date
97-78Sep 23, 1997Smith Barney Settles Charges Arising Out of Dade County Offering
97-77Sep 22, 1997SEC and State Securities Administrators Issue 'Cold Calling' Alert: Consumers Warned About Stock Market Fraud in Bull Market
97-76Sep 18, 1997Statement of SEC Chairman Levitt on the Administration's Intention To Nominate Paul Carey and Laura Unger as SEC Commissioners
97-75Sep 18, 1997Rule Proposals on the Rules Governing the Placement of Shareholder Proposals in Companies' Proxy Materials
97-74Sep 17, 1997SEC To Consider One Item at Open Meeting
97-73Sep 3, 1997SEC Announces Appointment of David P. Nelson as Deputy Regional Director
97-72Sep 2, 1997SEC Announces Appointment of William R. Baker, III, as Associate Director
97-71Sep 2, 1997USAID & SEC To Advise Emerging Securities Markets Across Globe Under New Agreement Signed Today
97-70Aug 6, 1997Staff Releases Questions and Answers About the New Market Risk Disclosure Rules
97-69Aug 6, 1997SEC Chairman Levitt Praises ABA for Formally Denouncing Pay-to-Play; State by State Effort Begins Tomorrow
97-68Aug 5, 1997Jane Adams Appointed as Deputy Chief Accountant
97-67Jul 30, 1997Levitt, Leading Lawyers Call for End to Pay-to-Play
97-66Jul 30, 1997SEC To Consider One Item at Open Meeting
97-65Jul 29, 1997Chairman Levitt and Paul Maco To Conduct News Briefing on 'Pay-to-Play'
97-64Jul 28, 1997SEC Open Meeting
97-63Jul 28, 1997Tulsa Students To Be Honored at Investors' Town Meeting: Dewey Middle School team's stock picks 'beat the Street' in Stock Market Game
97-62Jul 24, 1997Order Handling Rules: Phase-In Schedule for NASDAQ Securities
97-61Jul 21, 1997The SEC Seeks Input From Participants in Securities Offerings Regarding Uniformity of State Securities Regulation of Securities Offerings
97-60Jul 17, 1997Chief Accountant Selects Academic Accounting Fellow
97-59Jul 16, 1997Chairman Arthur Levitt Issues Challenge to SEC Staff to Heighten Awareness of Need for Plain English; Levitt says, 'Gobbledygook Must Go!'
97-57Jul 15, 1997SEC Chairman Arthur Levitt, Oklahoma Officials To Hold Investors' Town Meeting
97-56Jul 8, 1997Lawyers Organize To Fight 'Pay to Play'
97-54Jul 2, 1997Communique on Results of COSRA 1997 Annual Meeting
Second Quarter
97-53Jun 27, 1997Investors' Town Meeting Scheduled for Tulsa, Oklahoma
97-52Jun 26, 1997Independence Standards Board Schedules Initial Meeting
97-51Jun 25, 1997High Court Upholds "Misappropriation" Theory of Insider Trading; 'Insider Trading Is Cheating and Will Be Vigorously Prosecuted,' Says Chairman Arthur Levitt
97-50Jun 24, 1997SEC Chairman Arthur Levitt To Deliver Major Address on the Integrity of Municipal Securities Markets
97-49Jun 16, 1997SEC and AICPA Announce Members of New Independence Standards Board
97-48Jun 9, 1997SEC To Host Annual Government Business Forum
97-46Jun 6, 1997SEC Open Meeting: June 9, 1997
97-45Jun 5, 1997Chairman Arthur Levitt Congratulates the New York Stock Exchange on Decision to Recognize the Martin Luther King, Jr. Holiday
97-44Jun 5, 1997SEC Chairman Levitt Praises Leadership of Reps. Bliley, Oxley, and Markey and SEC Commissioner Wallman on Decimalization Issue; SEC To Convene Meeting of Markets To Coordinate Move to Decimals
97-43May 23, 1997SEC Solicits Comment on Regulation of Markets
97-42May 22, 1997SEC To Consider One Item in Open Meeting
97-41May 21, 1997SEC and AICPA Announce the Creation of a New Independence Standards Board
97-40May 9, 1997SEC To Consider Two Items in Open Meeting
97-39May 9, 1997Access to Stanford Law School Website on Litigation Available via SEC Website
97-38May 5, 1997SEC Announces Approval of AMEX Rule Change
97-37Apr 25, 1997Deputy Director of Municipal Securities Departs Commission
97-36Apr 24, 1997SEC Open Meeting: Oral Arguments on Appeals by Suzanne L. Cook and Richard H. Morrow
97-35Apr 17, 1997SEC Website Transmits Billionth Page of Data to U.S. Investors, Press, and Public: Site Informs Investors, Promotes Efficient Markets, and Enhances SEC Oversight
97-34aApr 16, 1997Statement of Chairman Arthur Levitt and General Counsel Richard Walker Regarding the Report to the President on the Impact of the Private Securities Litigation Reform Act
See Also:  Report to the President
97-34Apr 16, 1997Chairman Levitt Announces Availability on Website of Answers to Frequently Asked Questions About Changes in Investment Advisor Regulation
97-33Apr 14, 1997Securities and Exchange Commission Releases Report onPreferencing
See Also:  Report on the Practice of Preferencing
97-32Apr 11, 1997SEC Announces Seventh Annual International Institute
97-31Apr 11, 1997SEC Chairman to Address Investors' Concerns, Offer Basic Investment Tips
97-30Apr 4, 1997Chairman Levitt Announces Creation of Investment Advisor Task Force
97-29Apr 3, 1997SEC To Consider Rules Implementing Various Provisions of the National SecuritiesMarket Improvements Act of 1996
97-28Apr 2, 1997SEC To Consider One Item in Open Meeting
First Quarter
97-27Mar 28, 1997EDGAR System Open on March 29, 1997 for Filing Only
97-26Mar 26, 1997Chairman Arthur Levitt Announces the Appointment of Christopher Ullman as Director of Public Affairs
97-25Mar 25, 1997Resumption of Service on Primary EDGAR Computer System
97-24Mar 25, 1997Mary Jo White To Leave SEC To Join Law Firm; Deputy Director Golden To Serve as Acting Municipal Ombudsman
97-22Mar 25, 1997Chairman Levitt to Speak at Connecticut Investors' Town Meeting
97-21Mar 24, 1997EDGAR Processing Problems Continue
97-20Mar 24, 1997Resumption of Service on Primary EDGAR Computer System
97-19Mar 21, 1997EDGAR Service Temporarily Disrupted
97-18Mar 12, 1997SEC Announces New Public Internet Mailboxes
Last modified: Fri, 4 Jan 2008