| Release No. | Date | Details |
|
| 98-129 | Dec 9, 1998 | Duncan King Promoted to Deputy Director of the Office of Public Affairs |
| 98-128 | Dec 4, 1998 | SEC Open Meeting |
| 98-127 | Dec 2, 1998 | SEC Modernizes Regulations for Alternative Trading Systems; Streamlines Process of Introducing Products and Operating Pilot Trading Systems |
| 98-126 | Dec 1, 1998 | SEC To Consider One Item at an Open Meeting |
| 98-125 | Nov 24, 1998 | Joint Interagency Statement |
| 98-124 | Nov 23, 1998 | Commission Brings Pay-To-Play Cases Against Stephens Inc. and its Former Head of Public Finance, William Bethea |
| 98-123 | Nov 20, 1998 | News Conference to Announce Pay-to-Play Cases |
| 98-122 | Nov 18, 1998 | Stephen Cutler Named Deputy Director of the Division of Enforcement |
| 98-121 | Nov 13, 1998 | Michael McAlevey Named Deputy Director of the Division of Corporation Finance |
| 98-120 | Oct 30, 1998 | SEC Staff Recommends That NASDR Operate an Electronic Investment Adviser Registration System |
| 98-119 | Oct 29, 1998 | Paul F. Roye Named Director of the Division of Investment Management |
| 98-118 | Oct 29, 1998 | David Becker and Meyer Eisenberg Named Deputy General Counsels |
| 98-117 | Oct 28, 1998 | SEC Conducts First Ever Nationwide Internet Securities Fraud Sweep, Charges 44 Stock Promoters in 23 Enforcement Actions; Purveyors of Fraudulent Spam, Online Newsletters, Message Board Postings, and Web Sites Caught in Effort To Clean Up the Internet |
| 98-116 | Oct 27, 1998 | News Conference to Announce First-Ever Nationwide Crackdown on Internet Securities Fraud |
| 98-115 | Oct 26, 1998 | Chairman Levitt Supports POB's Audit Effectiveness Panel |
| 98-114 | Oct 22, 1998 | Jacob H. Stillman Named Solicitor for the Securities and Exchange Commission |
| 98-113 | Oct 21, 1998 | Fee Rate Advisory |
| 98-112 | Oct 21, 1998 | Commission to Consider One Item at an Open Meeting Conducted Under the Government in the Sunshine Act |
| 98-111 | Oct 20, 1998 | Fee Rate Advisory |
| 98-110 | Oct 20, 1998 | SEC Brings Year 2000 Enforcement Actions For First Time; 37 Broker-Dealers Charged for Failing to Make Required Y2K Disclosure |
| 98-109 | Oct 19, 1998 | SEC Chairman Arthur Levitt Says Investor Protection Must Be Paramount Under Any Plan to Invest Social Security
See Also:
Chairman Levitt's remarks |
| 98-108 | Oct 16, 1998 | Fee Rate Advisory |
| 98-107 | Oct 15, 1998 | SEC Chairman Arthur Levitt to Deliver Address on Social Security at Harvard's JFK School of Government |
| 98-106 | Oct 14, 1998 | Fee Rate Advisory |
| 98-105 | Oct 14, 1998 | Annette Nazareth Named Acting Director of the Division of Investment Management |
| 98-104 | Oct 14, 1998 | SEC to Consider Two Items at an Open Meeting
See Also:
Regulation of Takeovers & Shareholder Communications Information Sheet; Opening Statement of Chairman Arthur Levitt, Open Commission Meeting; both October 15, 1998 |
| 98-103 | Oct 13, 1998 | Fee Rate Advisory |
| 98-102 | Oct 9, 1998 | Fee Rate Advisory |
| 98-101 | Oct 9, 1998 | SEC to Host Small Business Town Hall Meeting in Cleveland, Ohio |
| 98-100 | Oct 8, 1998 | SEC Staff to Conduct Briefing on 'Aircraft Carrier' Rule Proposals |
| 98-99 | Oct 7, 1998 | Paul Gonson, SEC'S Top Appellate Lawyer, "Retires" - Will Consult and Teach |
| 98-98 | Oct 6, 1998 | SEC, NYSE, and NASD Announce Members of Blue Ribbon Committee To Improve Corporate Audit Committees |
| 98-97 | Oct 5, 1998 | Chief Accountant is Seeking Candidates for Two Professional Accounting Fellow Positions |
|
| 98-96 | Sep 28, 1998 | SEC, NYSE and NASD Announce Blue Ribbon Panel To Improve Corporate Audit Committees |
| 98-95 | Sep 28, 1998 | SEC Chairman Arthur Levitt, Concerned That the Quality of Corporate Financial Reporting Is Eroding, Announces Action Plan to Remedy Problem |
| 98-94 | Sep 28, 1998 | SEC Applauds Muni Bond Pricing Data on Internet |
| 98-93 | Sep 24, 1998 | Fee Rate Advisory |
| 98-92 | Sep 24, 1998 | SEC Charges 41 People in 13 Actions Involving More Than $25 Million in Microcap Fraud; Fight Against Microcap Fraud 'Paying Dividends' |
| 98-91 | Sep 22, 1998 | SEC Defines 'Improper Professional Conduct' By Accountants |
| 98-90 | Sep 22, 1998 | SEC Chairman Arthur Levitt to Deliver Major Address on Accounting; Media Briefing to Precede Speech |
| 98-89 | Sep 22, 1998 | SEC to Consider One Item at an Open Meeting |
| 98-88 | Sep 18, 1998 | The SEC Will Conduct a Briefing on the Findings and Recommendations Contained in a New Report on Soft Dollars
See Also:
Inspection Report on the Soft Dollar Practices of Broker-Dealers, Investment Advisers and Mutual Funds |
| 98-87 | Sep 16, 1998 | Division of Market Regulation Issues a Report Entitled 'Trading Analysis of October 27 and 28, 1997'
See Also:
Trading Analysis of October 27 and 28, 1997 |
| 98-86 | Sep 15, 1998 | SEC Commissioner Laura Unger to Testify on the Impact of Year 2000 on Mutual Funds |
| 98-85 | Sep 14, 1998 | Kenneth V. Domingues Named Chief Accountant of the Division of Investment Management |
| 98-84 | Sep 10, 1998 | Division of Market Regulation Issues Staff Legal Bulletin No. 8 Discussing Broker-Dealer Order Handling During Circuit Breaker Trading Halts and Broker-Dealer Responsibility to Maintain Adequate System Capacity
See Also:
Staff Legal Bulletin No. 8 |
| 98-83 | Sep 10, 1998 | Olde Discount Corp. and Three Senior Officials to Pay More Than $5 Million to Settle Sales Practice Abuses Suit; Olde's Compensation, Production, Hiring and Training Policies Created An Environment In Which Fraudulent Sales Practices Occurred |
| 98-82 | Sep 9, 1998 | Division of Corporation Finance Issues Staff Legal Bulletin No. 7 on Commission's Plain English Rule |
| 98-81 | Sep 9, 1998 | SEC Chairman Arthur Levitt Announces Measures to Improve Transparency of Corporate Debt Market |
| 98-80 | Sep 2, 1998 | SEC Chairman Arthur Levitt to Deliver Address on Transparency in the Corporate Securities Market |
| 98-78 | Aug 25, 1998 | Susan M. Ochs Named Director of the Office of Legislative Affairs |
| 98-77 | Aug 25, 1998 | SEC Launches On-line Version of 'Financial Facts Tool Kit' |
| 98-76 | Aug 20, 1998 | Kaye F. Williams, Director of the Office of Legislative Affairs, Will Leave the Commission to Work with Prudential |
| 98-75 | Aug 14, 1998 | Annette L. Nazareth Named Senior Counsel to Chairman Arthur Levitt |
| 98-74 | Aug 11, 1998 | SEC, FTC and NASAA Crack Down on Fraud in the Entertainment Industry, File Dozens of Fraud Cases in Federal and State Courts |
| 98-73 | Aug 11, 1998 | Joseph H. Godwin Appointed Academic Accounting Fellow |
| 98-72 | Aug 5, 1998 | Barry P. Barbash, Nation's Top Mutual Fund Regulator, to Leave the Securities and Exchange Commission |
| 98-71 | Aug 3, 1998 | Belinda Blaine Named Associate Director in the Division of Market Regulation |
| 98-70 | Aug 3, 1998 | Chairman Arthur Levitt Sends Letters to More Than 9,000 Companies Regarding Year 2000 Readiness Disclosure |
| 98-69 | Jul 28, 1998 | SEC Creates Office of Internet Enforcement to Battle Online Securities Fraud |
| 98-68 | Jul 28, 1998 | SEC To Consider One Item at an Open Meeting
See Also:
Year 2000 Disclosure Interpretive Release Information Sheet. July 29, 1998 |
| 98-67 | Jul 27, 1998 | Facts on Saving and Investing Campaign" Urges Americans to Get a "Ballpark Estimate" of Retirement Savings Needs |
| 98-66 | Jul 23, 1998 | Valerie Caproni Named Head of the SEC's Pacific Regional Office |
| 98-65 | Jul 21, 1998 | Chairman Arthur Levitt Praises ABA Pay-to-Play Task Force Report |
| 98-64 | Jul 16, 1998 | Unger Enforcement Review Finds Ways To Leverage Commission Resources |
| 98-63 | Jul 6, 1998 | Colleen P. Mahoney to Leave Commission After 15 Years of Service |
|
| 98-59 | Jun 30, 1998 | EDGAR Modernization Contract Awarded |
| 98-62 | Jun 25, 1998 | Howard L. Kramer, Senior Associate Director of the Division of Market Regulation, To Leave the Commission After 16 Years of Service |
| 98-61 | Jun 23, 1998 | SEC Approves Proposal by the NASD Which Eliminates Requirement that Employees Must Arbitrate Statutory Discrimination Claims |
| 98-60 | Jun 19, 1998 | SEC To Host Annual Government Business Forum |
| 98-58 | Jun 11, 1998 | SEC To Consider One Item at an Open Meeting |
| 98-57 | Jun 9, 1998 | SEC To Host Small Business Town Hall Meeting in Salt Lake City, Utah |
| 98-56 | Jun 8, 1998 | SEC Chairman Arthur Levitt, Maine Officials To Hold Investors' Town Meeting in Bangor; Mainers urged to make advance reservations to attend free program |
| 98-55 | Jun 4, 1998 | Statement of SEC Chairman Arthur Levitt, National Summit on Retirement Savings Delegate |
| 98-54 | May 22, 1998 | Figuring How Much Money to Save for Retirement Isn't as Hard as Many Think: Securities regulators, financial pros urge Twin Citians to get a 'Ballpark Estimate' |
| 98-53 | May 19, 1998 | SEC Proposes Rule Change to Combat Microcap Fraud |
| 98-52 | May 19, 1998 | SEC To Consider Two Items at Open Meeting
See Also:
Amendments to Rules on Shareholder Proposals and Summary of Rule 504 Proposals |
| 98-51 | May 14, 1998 | Harvey Goldschmid Named New SEC General Counsel |
| 98-50 | May 14, 1998 | SEC Chairman Arthur Levitt to Deliver Speech at ICI Conference |
| 98-48 | May 12, 1998 | SEC Chairman Arthur Levitt, Minnesota Officials To Hold Investors' Town Meeting in Twin Cities |
| 98-49 | May 11, 1998 | SEC Library To Be Dedicated to the Memory of Louis Loss; Friends and relatives gather to remember the late 'father of securities law' |
| 98-47 | May 8, 1998 | SEC To Host Small Town Hall Meeting in Las Vegas, NV |
| 98-46 | May 7, 1998 | Lynn Turner Named New SEC Chief Accountant |
| 98-45 | May 6, 1998 | Office of the Chief Accountant Selects Three Professional Accounting Fellows |
| 98-44 | May 4, 1998 | SEC, OCC, and NASDR to Announce Significant Enforcement Action |
| 98-43 | Apr 29, 1998 | Colleen Mahoney Named Acting General Counsel |
| 98-42 | Apr 23, 1998 | Securities and Exchange Commission Announces First Settlement of Yield-Burning Case |
| 98-41 | Apr 17, 1998 | SEC Announces 1998 International Institute |
| 98-40 | Apr 16, 1998 | Elaine M. Chacheris, Director of the Commission's Pacific Regional Office, To Leave the West Coast |
| 98-39 | Apr 15, 1998 | SEC To Consider One Item at an Open Meeting |
| 98-38 | Apr 14, 1998 | SEC Staff to Conduct Media Briefing on Alternative Trading Systems Rule Proposals
See Also:
Summary of Releases Proposing Changes to the Regulation of Alternative Trading Systems and Relief from the SRO Rulefiling Requirements |
| 98-37 | Apr 10, 1998 | Securities and Exchange Commission Approves New Circuit Breaker Levels |
| 98-36 | Apr 8, 1998 | Chairman Levitt Appoints Richard Walker as Director of the Division of Enforcement |
| 98-35 | Apr 8, 1998 | SEC to Announce New Enforcement Division Director |
| 98-34 | Apr 7, 1998 | Order Issued in SEC v. International Heritage, Inc., et al., Case No. 1 98-CV-0803 RWS (N.D.GA.) |
| 98-33 | Apr 7, 1998 | SEC to Host Technology Roundtable - Will Examine Impact of Technology on Markets and Regulatory Environment of Future |
| 98-32 | Apr 6, 1998 | SEC Takes Action to Increase Competition in Post-Trade Information Processing |
| 98-31 | Apr 3, 1998 | National Town Meeting on Saving and Investing: Public forum caps 'Facts on Saving and Investing Campaign' kickoff week |
|
| 98-29 | Mar 27, 1998 | Media Advisory: National Roundtable Opens 'Facts on Saving and Investing Campaign' Forum |
| 98-28 | Mar 26, 1998 | 'Facts on Saving and Investing Campaign' urges Americans to get a 'Ballpark Estimate' |
| 98-27 | Mar 25, 1998 | CNBC's Tyler Mathisen to Host National Town Meeting on Saving and Investing; April 4 telecast highlights 'Facts on Saving and Investing Campaign' kickoff week |
| 98-26 | Mar 24, 1998 | National Roundtable on Saving and Investing Scheduled in Washington, D.C.; Public forum will chart course for financial literacy campaign |
| 98-25 | Mar 17, 1998 | Commission Files Emergency Action in Federal District Court To Shut Down $150
Million Pyramid Scheme |
| 98-24 | Mar 17, 1998 | National Town Meeting on Saving and Investing Set for April 4; Public forum caps 'Facts on Saving and Investing Campaign' kickoff week |
| 98-23 | Mar 13, 1998 | Statement of Richard Lindsey, Director of the Division of Market Regulation, Securities and Exchange Commission, Regarding Discussions Between the National Association of Securities Dealers and the American Stock Exchange |
| 98-22 | Mar 9, 1998 | SEC To Consider Two Items at Open Meeting - March 10, 1998 |
| 98-21 | Mar 6, 1998 | SEC and Indian SEBI Sign Memorandum of Understanding |
| 98-20 | Feb 24, 1998 | Unprecedented Campaign to Combat America's Financial Literacy 'Crisis'; 65 million American households could fall short of major financial goals |
| 98-19 | Feb 19, 1998 | Unprecedented Investor Education Campaign Unveiled by Government, Business, and Consumer Leaders |
| 98-18 | Feb 17, 1998 | SEC, Sen. Moseley-Braun, and CFTC To Host Symposium on Career Options for Minority Students |
| 98-17 | Feb 11, 1998 | Media Advisory: Investors' Town Meeting in Palo Alto, February 17 |
| 98-15 | Feb 11, 1998 | Statement of SEC Chairman Arthur Levitt on 'Facts on Saving and Investing Campaign for the Americas' |
| 98-14 | Feb 10, 1998 | SEC Proposes Several Measures To Combat Securities Fraud and Issues Status Report on Commission-Wide Microcap Fraud Reports
See Also:
Information on Microcap Fraud |
| 98-16 | Feb 9, 1998 | SEC To Consider Two Items at Open Meeting - Feb. 10, 1998 |
| 98-13 | Feb 6, 1998 | SEC Staff To Conduct Briefing on Efforts To Address Microcap Fraud |
| 98-12 | Jan 29, 1998 | SEC Chairman Arthur Levitt, California Officials To Hold Investors' Town Meeting in Palo Alto |
| 98-11 | Jan 23, 1998 | SEC Announces Selection of John Riley Brissman as Associate Regional Director of the Commission's Midwest Regional Office |
| 98-10 | Jan 22, 1998 | SEC Adopts Rule Requiring Plain English in Prospectuses |
| 98-9 | Jan 22, 1998 | William R. McLucas, Director of the Division of Enforcement, To Leave the Commission After Two Decades of Service |
| 98-8 | Jan 21, 1998 | Chairman Levitt Announces Winner of Gobbledygook Contest |
| 98-7 | Jan 21, 1998 | SEC To Consider One Item at an Open Meeting |
| 98-6 | Jan 16, 1998 | News Digest Concerning Scott Evans and Brian White Issued in Error |
| 98-5 | Jan 15, 1998 | SEC To Host Small Business Town Hall Meeting in Austin, Texas |
| 98-4 | Jan 15, 1998 | Barry D. Miller Selected Associate Director in the Division of Investment Management |
| 98-3 | Jan 14, 1998 | Securities and Exchange Commission Creates a Year 2000 Page on Website
See Also:
Year 2000 Page |
| 98-2 | Jan 13, 1998 | SEC Announces Selection of James B. Adelman as Associate District Administrator of the Commission's Boston District Office |
| 98-1 | Jan 8, 1998 | Mark J. Dowdell, Branch Chief in the Philadelphia District Office, Receives an Examination Award of Excellence for His Work on the Devon Capital Management Case |
