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U.S. Securities and Exchange Commission

SEC Historical Society To Host Online Program on
Safe Harbors

The Securities and Exchange Commission Historical Society will host an online program on safe harbor rules on March 30, 2004, at 4:00 p.m. E.S.T. It will be broadcast live over the Society's website: www.sechistorical.org. Participants will be Richard Rowe, a former Director of the SEC's Division of Corporation Finance, Edward Fleischman, a former Commissioner, and Peter Romeo, a former Division staff member. The online program is being coordinated by the Society's Corporation Finance committee in tribute to Alan Levenson and Linda Quinn, two former Directors of the Corporation Finance Division who passed away in 2003.

The SEC Historical Society is a non-profit organization, independent of the SEC, that preserves and shares the history and records of the SEC and the securities industry through a virtual museum at www.sechistorical.org. Its members are people interested in the evolution of the U.S. and international securities markets.

Participants in the safe harbors program will discuss the impetus for creating safe harbors in the federal securities laws, the rules that failed to work that created the need for them and when and how the SEC narrowed the harbors to correct perceived abuses. Safe harbors provide protection from SEC enforcement actions if companies take the actions prescribed in the rules.

Safe Harbors will be archived and transcribed for inclusion in the virtual museum after broadcast. The virtual museum includes historic papers, photos, oral histories, interviews and online programs relating to the history of the SEC and of the securities industry. This program is also part of the Society's activities in 2004 commemorating the 70th anniversary of the U.S. Securities and Exchange Commission.

Contact:  Carla Rosati, Executive Director
Securities and Exchange Commission Historical Society



Modified: 03/26/2004