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