| Release No. | Date | Details |
|
| 99-177 | Dec 31, 1999 | As Foreign Markets Experience Millennium Change, It's Business As Usual for U.S. Securities Markets |
| 99-176 | Dec 27, 1999 | Securities Industry Mobilizes for Year 2000 Transition |
| 99-175 | Dec 22, 1999 | Scudder Kemper Investments Censured for Unauthorized Derivatives Trading |
| 99-174 | Dec 21, 1999 | SEC and U.S. Attorney Bring Civil and Criminal Fraud Charges Against James McDermott, Former Chairman and CEO of Investment Banking Firm Keefe, Bruyette & Woods, for Insider Trading
See Also:
Litigation Release No. 16395 |
| 99-173 | Dec 16, 1999 | SEC Charges New York Pension Fund Manager in $6.9 Million Kickback Scheme |
| 99-172 | Dec 15, 1999 | SEC and U.S. Attorney File Fraud Charges Against Two Former UCLA Students and One Other for Internet Stock Manipulation; Three Charged Made $364,000 by Using UCLA Computers To Spread False Information on Internet Message Boards |
| 99-171 | Dec 15, 1999 | SEC Proposes Rule to Ban Selective Disclosure of Material Information; Adopts Rules to Enhance Audit Committee Effectiveness
See Also:
Statement of Chairman Arthur Levitt, Fact Sheet on Selective Disclosure Proposal, Fact Sheet on Rules for Enhancing Audit Committee Effectiveness, Proposed Rule: Selective Disclosure and Insider Trading, and Final Rule: Audit Committee Disclosure |
| 99-170 | Dec 14, 1999 | Media Advisory: Commission to Consider Rule to Ban Selective Disclosure |
| 99-169 | Dec 13, 1999 | Media Advisory: Media Briefing on Selective Disclosure and Corporate Governance Rules |
| 99-168 | Dec 7, 1999 | Media Advisory: SEC Chairman, Congressional and State Officials Hold Investors' Town Meeting in New York City; Free program will offer practical tips for investing wisely and avoiding costly mistakes |
| 99-167 | Dec 7, 1999 | EDGAR Subscription Price Reduced |
| 99-166 | Dec 7, 1999 | David Becker Named General Counsel |
| 99-165 | Dec 7, 1999 | General Counsel Harvey Goldschmid to Leave Commission, but Will Become Special Senior Advisor to Chairman Levitt |
| 99-164 | Dec 6, 1999 | Media Advisory: Media Briefing on Market Regulation Rules |
| 99-163 | Dec 6, 1999 | John M. Morrissey Named Deputy Chief Accountant |
| 99-162 | Dec 3, 1999 | Commission Staff Issues Accounting Bulletin on Revenue Recognition
See Also:
Fact Sheet on Staff Accounting Bulletin No. 101: sab101f.htm; complete text of Staff Accounting Bulletin No. 101: sab101.htm |
| 99-161 | Nov 30, 1999 | Fee Rate Advisory No. 10 |
| 99-160 | Nov 29, 1999 | David B. H. Martin Named Director of the Division of Corporation Finance, |
| 99-159 | Nov 29, 1999 | Corporation Finance Director Brian Lane to Join Law Firm |
| 99-158 | Nov 26, 1999 | SEC Chairman Arthur Levitt, Congressional and State Officials To Conduct Investors' Town Meeting in New York City; Free program will offer area residents practical tips for saving and investing |
| 99-157 | Nov 24, 1999 | Commission Staff Issues Accounting Bulletin Addressing Restructuring and Asset Impairment Chargest
See Also:
Fact Sheet on Staff Accounting Bulletin No. 100: sab100f.htm; complete text of Staff Accounting Bulletin No. 100: sab100.htm |
| 99-156 | Nov 22, 1999 | Commissioner Laura Unger Releases On-Line Trading Report
See Also:
Executive Summary only: cybexsum.htm; Full report, with Executive Summary and Appendices, in PDF format: cybrtrnd.pdf |
| 99-155 | Nov 19, 1999 | Disclosure Documents Indicate All Broker Dealers and Non-Bank Transfer Agents Ready for Year 2000 |
| 99-154 | Nov 19, 1999 | Fee Rate Advisory No. 9 |
| 99-153 | Nov 18, 1999 | Fee Rate Advisory No. 8 |
| 99-152 | Nov 17, 1999 | Statement of SEC Chief Accountant Lynn E. Turner on IASC Board Decision to Support Restructuring Plan |
| 99-151 | Nov 17, 1999 | BT Alex. Brown Incorporated To Pay $15.3 Million To Settle Fraud Charges in Municipal Bond "Yield Burning" Case; Former Head of Public Finance at Alex. Brown Charged with Fraud; Fund Raiser and Adviser to Former Pennsylvania State Treasurer To Be Enjoined; Seven Others Settle Related Charges Arising From Pennsylvania Bond Refundings |
| 99-150 | Nov 12, 1999 | Fee Rate Advisory No. 7 |
| 99-149 | Nov 8, 1999 | Fee Rate Advisory No. 6 |
| 99-148 | Nov 8, 1999 | SEC Charges S. Jay Goldinger in PairGain Technologies Fraud |
| 99-147 | Nov 5, 1999 | Commission Issues Rule Proposal to Address Application of the Investment Advisers Act to New Brokerage Programs |
| 99-146 | Nov 4, 1999 | Chairman Arthur Levitt Stresses Need for Best Execution in Light of Findings From Ongoing SEC Review; Calls on Brokers to Improve Practices and Disclosure; Asks Media To Help Educate Public |
| 99-145 | Nov 1, 1999 | SEC Will Not Seek Further Review of Court of Appeals Decision in Board of Trade of the City of Chicago v. SEC |
| 99-144 | Nov 1, 1999 | Fee Rate Advisory No. 5 |
| 99-143 | Oct 29, 1999 | Fee Rate Advisory No. 4 |
| 99-142 | Oct 26, 1999 | Joanne Cronrath Bamberger Named Deputy Director of the Office of Public Affairs |
| 99-141 | Oct 25, 1999 | Chief Accountant Is Seeking Candidates for Six Professional Accounting Fellow Positions |
| 99-140 | Oct 25, 1999 | SEC Chairman Arthur Levitt, Congressional and State Officials To Conduct Investors' Town Meeting in Albuquerque; Free program will offer area residents practical tips for saving and investing |
| 99-139 | Oct 21, 1999 | Fee Rate Advisory No. 3 |
| 99-138 | Oct 20, 1999 | In First Case of Its Kind, Commission Sues Three Individuals for Illegally Offering Securities Over Internet Auction Site |
| 99-137 | Oct 19, 1999 | Commission Orders Options Markets to Develop a Linkage Plan; Options Exchanges Meet at SEC to Discuss Linkage Plan Process |
| 99-136 | Oct 18, 1999 | Media Advisory: Media Briefing on Corporation Finance Rules |
| 99-135 | Oct 15, 1999 | Media Advisory: Chairman Levitt To Deliver Speech to the Economic Club of NY |
| 99-134 | Oct 15, 1999 | SEC To Host Small Business Town Hall Meeting in Anchorage, Alaska |
| 99-133 | Oct 14, 1999 | Chairman Arthur Levitt Supports Amendments to Financial Modernization Legislation |
| 99-132 | Oct 13, 1999 | Commission Approves After-Hours Trading by the Chicago Stock Exchange and Approves Extension of Nasdaq Trade Reporting and Quote Dissemination Systems |
| 99-131 | Oct 13, 1999 | Jay Perlman, Deputy Chief of the Office of Internet Enforcement, to Leave SEC After Nine Years of Service |
| 99-130 | Oct 13, 1999 | SEC Chairman Arthur Levitt Praises Formation of the Mutual Fund Directors Education Council
See Also:
Chairman's Statement, Statement of Invesment Management Director Paul Roye, and a Fact Sheet |
| 99-129 | Oct 8, 1999 | Chairman Levitt Commends the Working Groups on After-Hours Trading |
| 99-128 | Oct 7, 1999 | SEC Releases Full Agenda and Panelists for First Annual Municipal Market Roundtable |
| 99-127 | Oct 6, 1999 | Fact Sheet: SEC Proposals Implementing Blue Ribbon Committee's Recommendations Regarding Audit Committee Effectiveness
See Also:
Chairman Levitt's Opening Statement at the Open Commission Meeting |
|
| 99-125 | Sep 29, 1999 | SEC Adopts New Disclosure Requirements for Foreign Companies |
| 99-126 | Sep 28, 1999 | Fee Rate Advisory No. 2 |
| 99-124 | Sep 28, 1999 | SEC Charges 68 Individuals and Entities with Fraud and/or Abuses of the Financial Reporting Process; 30 Actions Represent First Ever Coordinated Assault on Financial Reporting Misdeeds
See Also:
Details of the 30 Enforcement Actions |
| 99-123 | Sep 28, 1999 | Contract Award for Electronic and Stenographic Reporting Services |
| 99-122 | Sep 28, 1999 | Fee Rate Advisory |
| 99-121 | Sep 24, 1999 | SEC To Host Small Business Town Hall Meeting in Albuquerque, NM |
| 99-120 | Sep 23, 1999 | In a Major Speech on the Structure of the Securities Markets, SEC Chairman Arthur Levitt Calls for Greater Competition and Innovation as Markets Adapt and Respond to New Technologies; Levitt Calls for Constructive Industry Dialogue to Trump Parochial Interests |
| 99-119 | Sep 22, 1999 | SEC Brings Municipal Fraud Charges Against the City of Miami and Two Former Senior Officials |
| 99-118 | Sep 22, 1999 | SEC Praises Securities Industry Association for Leadership on
Decimal Pricing Plan |
| 99-117 | Sep 20, 1999 | First Annual Municipal Securities Roundtable Agenda Released |
| 99-116 | Sep 20, 1999 | Arthur Levitt to Deliver Major Address on the Structure of the
Securities Markets |
| 99-115 | Sep 16, 1999 | Chairman Levitt: NYSE To Remain Open Despite Weather |
| 99-114 | Sep 16, 1999 | Day Trading: Your Dollars at Risk (An Investor Alert) |
| 99-113 | Sep 9, 1999 | Audit Effectiveness Panel Conducts Survey to Help Improve Quality of Public Company Audits |
| 99-112 | Sep 9, 1999 | Fleet Investment Advisors to Pay $1.9 Million as a Result of Former Shawmut Officers' Fraudulent Use of Client Brokerage Commissions |
| 99-111 | Sep 8, 1999 | Van Kampen Investment Advisory Corp. and Former Senior Official Censured and Fined for Disclosure Violations Regarding 'Incubator' Growth Fund |
| 99-110 | Sep 7, 1999 | President's Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000; 'Tool Kit' Helps Public Learn About Industry's Y2K Readiness
See Also:
Chairman Levitt's Statement on the Transition Efforts |
| 99-109 | Sep 2, 1999 | Statement by SEC Chairman Arthur Levitt on NYSE Vote |
| 99-108 | Sep 2, 1999 | Media Briefing To Outline Securities Industry's Efforts To Prepare for Year 2000 |
| 99-107 | Sep 1, 1999 | Leo Orenstein, Assistant Chief Litigation Counsel, To Leave SEC |
| 99-106 | Aug 30, 1999 | Media Briefing To Outline Securities Industry's Efforts To Prepare for Year 2000 |
| 99-105 | Aug 30, 1999 | Chairman Arthur Levitt Names Helane L. Morrison Head of the SEC's San Francisco District Office |
| 99-104 | Aug 27, 1999 | Statement by SEC Chairman Arthur Levitt on NASDAQ's Decision To Extend Trade Reporting and Quotation Systems Hours |
| 99-103 | Aug 26, 1999 | SEC Brings Additional Enforcement Actions Against Investment Advisers and Transfer Agents for Failing to Make Required Year 2000 Disclosure |
| 99-102 | Aug 23, 1999 | SEC Tightens Rules Governing Personal Trading by Mutual Fund Insiders
See Also:
Fact Sheet on the Rule Amendments. |
| 99-101 | Aug 19, 1999 | SEC Sues IG Holdings, Inc. in First Ever 'Mini-Tender Offer' Case; Warns Investors To Carefully Scrutinize Offers To Buy Their Stock |
| 99-100 | Aug 17, 1999 | SEC Chief Accountant Solicits Academic Research on Key Accounting Issues Facing the Commission and the Profession
See Also:
the Chief Accountant's call for research |
| 99-99 | Aug 13, 1999 | Commission Staff Issues Accounting Bulletin Addressing the Concept of Materiality in the Preparation and Auditing of Financial Statements |
| 99-98 | Aug 12, 1999 | Cynthia M. Fornelli Appointed Attorney-Fellow in the Division of Investment Management |
| 99-97 | Aug 12, 1999 | Martha Mahan Haines Appointed Attorney-Fellow in Office of Municipal Securities |
| 99-96 | Aug 12, 1999 | Duncan King, SEC Public Affairs Deputy Director, To Leave Commission for Private Sector |
| 99-95 | Aug 9, 1999 | Statement on NASAA Day Trading Report by Securities and Exchange Commission Spokesman Chris Ullman |
| 99-94 | Aug 5, 1999 | Bear Stearns Securities Corporation to Pay $35 Million To Settle SEC Charges That It Caused Fraud at A.R. Baron; Bear Stearns President Richard Harriton Charged with Fraud |
| 99-93 | Aug 4, 1999 | News Conference to Announce Major Enforcement Action (Media Advisory) |
| 99-92 | Aug 4, 1999 | Pay-to-Play Rule Proposal Conference Call (Media Advisory) |
| 99-91 | Aug 4, 1999 | Commission Proposes Rule To Ban Pay-to-Play by Investment Advisers |
| 99-90 | Aug 3, 1999 | SEC Charges 82 Individuals and Companies in 26 Actions Involving More Than $12 Million in Second Nationwide Microcap Fraud Sweep |
| 99-89 | Aug 2, 1999 | SEC EDGAR System Certified Y2K Compliant |
| 99-88 | Aug 2, 1999 | Media Advisory: Microcap Fraud Sweep News Conference |
| 99-87 | Aug 2, 1999 | Wayne M. Carlin Named Associate Director of the Commission's Northeast Regional Office |
| 99-86 | Jul 30, 1999 | SEC Updates Securities Industry Y2K Readiness Information on Web |
| 99-85 | Jul 29, 1999 | SEC, NYSE and NASD Issue Joint Statement on Broker-Dealer Risk Management Practices |
| 99-84 | Jul 26, 1999 | Joseph C. Lombard Named Counsel to Chairman Arthur Levitt |
| 99-83 | Jul 22, 1999 | SEC Brings First Actions to Halt Unregistered Online Offerings of So-Called 'Free Stock' |
| 99-82 | Jul 19, 1999 | Corporation Finance Director Brian Lane To Leave Commission After 16 Years of Service |
| 99-81 | Jul 13, 1999 | SEC Announces First Annual Municipal Market Roundtable |
| 99-80 | Jul 12, 1999 | Jaime Lizarraga, Deputy Director of Legislative Affairs, to
Leave SEC |
| 99-79 | Jul 12, 1999 | Joint Interagency Letter to Financial Institutions (on the Allowance for Loan Losses) |
| 99-78 | Jul 9, 1999 | Filers Can Use EDGAR Y2K Test System Beginning Monday, July 12 |
| 99-77 | Jul 8, 1999 | A.S. Goldmen and Co., Inc. and Employees Charged with Variety of Microcap Related Violations |
| 99-76 | Jul 2, 1999 | Susan Ochs, Director of Legislative Affairs, To Leave the Commission |
|
| 99-75 | Jun 30, 1999 | W. R. Grace & Co. and Outside Auditors Settle SEC Proceedings |
| 99-74 | Jun 29, 1999 | Media Advisory: News Conference to Follow After-Hours Trading Summit |
| 99-73 | Jun 29, 1999 | SEC To Host Annual Government Business Forum |
| 99-72 | Jun 29, 1999 | New York Stock Exchange Failed to Enforce Floor Broker Compliance; NYSE Agrees To Remedies |
| 99-71 | Jun 24, 1999 | Chairman Levitt Commends ICI on Fund Governance Report |
| 99-70 | Jun 23, 1999 | SEC Charges 11 Individuals With Insider Trading; U.S. Attorney Also Indicts Former Director of Koo Koo Roo, Inc. |
| 99-69 | Jun 23, 1999 | SEC, NASD, and NYSE to Convene Industry Summit To Address After-Hours Trading Issues |
| 99-68 | Jun 21, 1999 | SEC Welcomes Counterparty Risk Management Policy Group Report |
| 99-67 | Jun 21, 1999 | Commissioner Isaac C. Hunt, Jr. To Speak at SEC Small Business Town Hall Meeting in Kansas City, Mo. |
| 99-66 | Jun 21, 1999 | SEC Commissioner Laura Unger To Address Y2K Contingency Planning and Risk Mitigation at SIA Conference |
| 99-65 | Jun 15, 1999 | Small Business Registration and Reporting Forms and Regulations Available on SEC Website |
| 99-64 | Jun 10, 1999 | President's Year 2000 Council, SEC, NASD, SIA Team Up To Educate Investors About Y2K Preparations |
| 99-63 | Jun 8, 1999 | SEC Charges Washington Lawyer Lewis Rivlin and Two Others for Defrauding Investors of $6.2 Million in Prime Bank Scheme; Ecuadorian Charity for Underprivileged Girls Among Duped Investors |
| 99-62 | Jun 3, 1999 | Statement by Securities and Exchange Commission Chairman Arthur Levitt Concerning ABA Proposed Pay-To-Play Ethics Rule |
| 99-61 | Jun 3, 1999 | SEC Chairman Arthur Levitt, Oregon Officials to Hold Investors' Town Meeting in Portland |
| 99-60 | Jun 3, 1999 | SEC Chairman Arthur Levitt, State Officials to Hold Investors' Town Meeting in Washington |
| 99-59 | Jun 2, 1999 | SEC To Host Small Business Town Hall Meeting In Kansas City, MO |
| 99-58 | May 27, 1999 | Statement by Chairman Arthur Levitt, Securities and Exchange Commission, Concerning Extended Market Hours |
| 99-57 | May 26, 1999 | SEC Charges Twenty-Five Individuals With Insider Trading In Advance of IBM's Takeover of Lotus Development Corp.; Illegal Profits Exceed $1.3 Million; Doctor, Engineer, Deli and Pizza Shop Owners Among Six Tiers of Illicit Traders |
| 99-56 | May 25, 1999 | SEC Announces Y2K Testing for EDGAR Filers |
| 99-55 | May 24, 1999 | Stephen J. Weinstein Appointed Attorney Fellow in Office of Municipal Securities |
| 99-54 | May 19, 1999 | SEC Introduces New Publication: 'International Investing - Get The Facts' |
| 99-53 | May 19, 1999 | Henry Klehm III, Senior Associate Director of the Northeast Regional Office, To Leave the SEC After 10 Years of Service |
| 99-52 | May 17, 1999 | Rulemaking In Connection With EDGAR Modernization |
| 99-51 | May 12, 1999 | Statement by Chairman Arthur Levitt on Resignation Announcement of Secretary Robert Rubin |
| 99-50 | May 12, 1999 | Paul Leder, International Affairs Deputy Director and Senior Advisor to the Chairman for International Issues, to Leave SEC |
| 99-49 | May 12, 1999 | SEC Steps Up Nationwide Crackdown Against Internet Fraud, Charging 26 Companies and Individuals for Bogus Securities Offerings; Vigilant Surveillance and Preemptive Strikes Help Prevent Investor Losses |
| 99-48 | May 11, 1999 | David Bayless, Head of SEC's San Francisco Office, to Leave the Commission to Return to Private Practice |
| 99-47 | May 7, 1999 | SEC Continues Effort to Increase Competition in Post-Trade Information Processing |
| 99-46 | May 7, 1999 | Michael Walinskas Named Associate Director of Division of Market Regulation |
| 99-45 | May 5, 1999 | SEC's EDGAR Database Will Be Unavailable on Saturday, May 8, 1999 |
| 99-44 | May 4, 1999 | SEC Brings Year 2000 Enforcement Actions Against Eight Investment Advisers For Failing to Make Required Y2K Disclosure |
| 99-43 | May 4, 1999 | SEC Chairman Arthur Levitt Discusses Risks and Rewards of On-Line Trading; Calls on Investors to Take Greater Responsibility and On-Line Brokerages to Better Protect Investors |
| 99-42 | Apr 29, 1999 | SEC Chairman Levitt Applauds Increase in Municipal Market Transparency |
| 99-41 | Apr 29, 1999 | SEC Chairman Levitt Commends Industry on Successful Y2K Test; Positive Sign That Industry Y2K Preparation Is On-Track |
| 99-40 | Apr 27, 1999 | Media Advisory: Levitt To Give Speech at National Press Club on Implications of On-Line Trading |
| 99-39 | Apr 26, 1999 | Facts on Saving and Investing Campaign Encourages Young Americans To Learn About Saving and Investing |
| 99-38 | Apr 26, 1999 | Future Investors Open Trading at the New York Stock Exchange |
| 99-37 | Apr 22, 1999 | Securities and Exchange Commission Settles Municipal Finance Case With Lazard Frères; Lazard Agrees To Pay $11 Million |
| 99-36 | Apr 6, 1999 | SEC Introduces New 'Mutual Fund Cost Calculator'; Internet-Based Tool Will Help Investors Comparison Shop and Save Money
See Also:
remarks by Chairman Levitt and SEC Investment Management Director Paul Roye |
| 99-35 | Apr 5, 1999 | Levitt to Unveil Significant Financial Tool |
|
| 99-34 | Mar 31, 1999 | SEC Director of Enforcement Richard Walker to Speak at National Press Club |
| 99-33 | Mar 26, 1999 | Chairman Arthur Levitt to Speak at Council of Institutional Investors Conference |
| 99-32 | Mar 25, 1999 | J. Richard Dietrich Appointed Academic Accounting Fellow |
| 99-31 | Mar 22, 1999 | SEC Chairman Arthur Levitt Proposes Significant Reforms to Mutual Fund Governance Structure |
| 99-30 | Mar 19, 1999 | SEC Chairman Arthur Levitt to Speak at Investment Company Institute's Mutual Funds Conference |
| 99-29 | Mar 10, 1999 | Annette L. Nazareth Named Director of the Division of Market Regulation |
| 99-28 | Mar 10, 1999 | Joint Interagency Letter to Financial Institutions |
| 99-27 | Mar 1, 1999 | Arthur Levitt Will Conduct an Investors' Town Meeting in Miami |
| 99-26 | Mar 1, 1999 | SEC To Consider Two Items at an Open Meeting
See Also:
Materials available regarding the BD and TA operational capability and Y2K issues: proposal for new rules and opening remarks by Chairman Levitt at the meeting |
| 99-25 | Mar 1, 1999 | Levitt Praises Independent Financial Advisors for Adopting Voluntary Pay-to-Play Ban |
| 99-24 | Feb 25, 1999 | SEC Continues Internet Fraud Crackdown: SEC Files Four More Cases Against Purveyors of Fraudulent Spam, Online Newsletters, Message Board Postings and Websites in its Ongoing Effort to Clean Up the Internet |
| 99-23 | Feb 24, 1999 | Regulators Reach Out to Young People With the 'Facts on Saving and Investing Campaign for the Americas' |
| 99-22 | Feb 19, 1999 | SEC Releases Full Agenda and Panelists for Independent Fund Directors Roundtable |
| 99-21 | Feb 19, 1999 | SEC Approves Series of Measures in Ongoing Fight Against Microcap Fraud
See Also:
Chairman Levitt's statement; Fact sheets on amendments" Rule 15c2-11, Rule 504, Rule 701, and Form S-8 |
| 99-20 | Feb 18, 1999 | SEC to Consider Four Items at an Open Meeting |
| 99-19 | Feb 16, 1999 | SEC Releases Agenda for Independent Fund Directors Roundtable |
| 99-18 | Feb 16, 1999 | SEC Posts Securities Industry Y2K Readiness Information on Web; Searchable database includes Year 2000 reports from broker-dealers, transfer agents, investment advisers, and mutual funds |
| 99-17 | Feb 12, 1999 | Office of the Chief Accountant Selects Two Professional Accounting Fellows |
| 99-16 | Feb 11, 1999 | Commission Approves Changes to NYSE Rule 80A ("Collar Rule") |
| 99-15 | Feb 10, 1999 | In First Case of Its Kind, SEC Charges Brokerage Firm and Its President With Aiding and Abetting Soft Dollar Fraud |
| 99-14 | Feb 8, 1999 | NYSE Chair Richard Grasso, NASD Chair Frank Zarb, and Blue Ribbon Panel Co-Chairs Ira Millstein and John Whitehead Announce "Ten-Point Plan" To Improve Oversight of FInancial Reporting Process |
| 99-12 | Feb 3, 1999 | SEC Proposes International Harmonization of Disclosure Requirements for Foreign Companies |
| 99-11 | Feb 3, 1999 | SEC and Catholic University To Sponsor Symposium To Increase Minority Awareness of and Participation in the Securities Industry |
| 99-10 | Feb 2, 1999 | SEC Sues Donnkenny, Inc. and Four Former Senior Executives and Employees for Financial Fraud; U.S. Attorney Announces Guilty Pleas |
| 99-9 | Jan 27, 1999 | Statement by Chairman Arthur Levitt, Securities and Exchange Commission, Concerning On-Line Trading |
| 99-8 | Jan 26, 1999 | Richard Lindsey, Market Regulation Director, To Leave SEC |
| 99-7 | Jan 22, 1999 | SEC to Host Roundtable on the Role of Independent Investment Company Directors |
| 99-6 | Jan 19, 1999 | SEC To Host Small Business Town Hall Meeting in Seattle, Washington |
| 99-5 | Jan 14, 1999 | SEC Censures PricewaterhouseCoopers for Violating Auditor Independence Rules and Improper Professional Conduct; PwC Agrees to Establish New Procedures and to Create $2.5 Million Auditor Independence Education Fund |
| 99-4 | Jan 13, 1999 | SEC and U.S. Attorney to Conduct Media Briefing and News Conference to Announce Accounting Fraud Perpetrated by Livent Senior Management |
| 99-3 | Jan 13, 1999 | SEC Sues Livent and Nine Former Livent Officials for Extensive Accounting Fraud; U.S. Attorney Files Criminal Charges |
| 99-2 | Jan 11, 1999 | SEC Fines 28 Brokerage Firms $26 Million and Suspends 51 Individual Traders for Fraudulent Market-Making Activities in the Nasdaq Market |
| 99-1 | Jan 7, 1999 | SEC Seeks Sanctions Against Nine Transfer Agents for Failing to Make Required Year 2000 Disclosure |
