| 10/18/00 |
| Revised Tax Discussion Draft Concerning Tax Shelters |
| 10/16/00 |
| Limit Order Transparency Working Group |
| 10/05/00 |
| Proposed Insurance Consumer Protection Rules Issued Pursuant to the Gramm-Leach-Bliley Act ("GLB") |
| 10/05/00 |
| Proposed Insurance Consumer Protection Rules Issued Pursuant to the Gramm-Leach-Bliley Act ("GLB") |
| 09/26/00 |
| Market Structure - Securities Exchange Act Release 34-43084 |
| 09/25/00 |
| Request for Extension on Implementation Date of Regulation FD |
| 09/25/00 |
| Proposed Rule Amendments on Auditor Independence |
| 09/14/00 |
| Proposed Parts 35, 36 and 39 of the CFTC's Rules: Exemption for Bilateral Transactions, Regulatory Reinvention and Clearing Organizations Reinvention
|
| 09/13/00 |
| Annual FASAC Survey |
| 08/30/00 |
| Certified Public Accountants ("AICPA") audit and accounting guide provisions regarding "block" discounts |
| 08/30/00 |
| Certified Public Accountants ("AICPA") audit and accounting guide provisions regarding "block" discounts |
| 08/25/00 |
| Use of Electronic Media |
| 08/02/00 |
| GAO Report on Online Trading |
| 08/01/00 |
| Association Response to NYS Banking Due Diligence Proposals |
| 07/27/00 |
| Proposed Regulation FD, File No. S7-31-99 |
| 07/21/00 |
| SIA Letter Responds to Questions Regarding the Valuation of Securities by Members of SIA (Re: Section 475) |
| 07/17/00 |
| Scope of Eligible Securities to be Included in Possible Active Cross-Trading Exemption from ERISA Section 406(b)(2)
|
| 07/13/00 |
| Valuation of Securities by Members of SIA |
| 07/10/00 |
| Joint Submission in Support of Active Cross-Trading Exemption from Section 406(b)(2) of ERISA
|
| 06/26/00 |
| The Comprehensive ERISA Modernization Act of 2000 |
| 06/15/00 |
| Proposed Rule 17a-25¿ File No. S7-12-00 |
| 06/13/00 |
| Supplemental Letter to Chairman Levitt on Regulation FD |
| 06/13/00 |
| Supplemental Letter to Commissioner Hunt on Regulation FD |
| 06/13/00 |
| SIA Comments and Recommendations on New Regulations Under I.R.C. Sections 6111(d) and 6112 |
| 06/13/00 |
| Cover Letter - New Regulations Under I.R.C. Sections 6111(d) and 6112 |
| 06/13/00 |
| Comments on Proposed Rules regarding Electronic Filing by Investment Advisers; SEC Release IA-1862 (File No. S7-10-00) |
| 06/09/00 |
| Comments on the Corporate Tax Shelter Preliminary Staff Discussion |
| 06/09/00 |
| SR-NASD-00-04; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to its Corporate Financing Rule |
| 06/09/00 |
| Cover Letter - Corporate Tax Shelter Preliminary Staff Discusssion |
| 05/31/00 |
| Comment Letter to FASB on Fair Value |
| 05/23/00 |
| International Accounting Standards - File No. S7-04-00 |
| 05/22/00 |
| Comment Letter to SEC on Market Data Fees |
| 05/22/00 |
Docket Nos. R-1065, R-1067; Merchant Banking and Capital Requirement Rules
|
| 05/22/00 |
Docket Nos. R-1065, R-1067; Merchant Banking and Capital Requirement Rules
|
| 05/19/00 |
| Comment Letter to IRS on Proposed FASIT Regulations |
| 05/15/00 |
| SEC Investment Adviser Roundtable - File No. 4-433 |
| 05/12/00 |
| Securities Industry Association Comments on IRS Notice 2000-14 |
| 05/12/00 |
| Interim Rule For Financial Activities, Docket No. R-1062 |
| 05/10/00 |
| Decimal Implementation Schedule - File 4-430 |
| 05/05/00 |
| Securities Exchange Act Release No. 34-42450; File No. SR-NYSE-99-48; Proposed Rescission of NYSE Rule 390 and Commission Request for Comment on Issues Relating to Market Fragmentation |
| 04/28/00 |
| Trade Association Comment; File No. S7-31-99 |
| 04/28/00 |
| Proposed Rule 10b5-1 - File No. S7-31-99; Inside Information |
| 04/24/00 |
| Docket Nos. R-1065, R-1067; Merchant Banking and Capital Requirement Rules |
| 04/24/00 |
| Supplementary Financial Information; File No. S7-03-00 |
| 04/13/00 |
| Mark-To-Market Accounting Under Section 475 of the Internal Revenue Code |
| 04/11/00 |
| File 4-429; Proposal to Establish an Intermarket Linkage Plan for Listed Options |
| 04/11/00 |
| Concept Release: Regulation of Market Information Fees and Revenues; Securities Exchange Act Release No. 42208; File No. S7-28-99 |
| 04/06/00 |
| Proposed Regulation FD - File No. S7-31-99 |
| 03/31/00 |
| Comment Letter on FAS 133 |
| 03/31/00 |
| Federal Banking Agencies on the Proposed Rules that Implement the Financial Privacy Provisions of the Gramm-Leach-Bliley Act |
| 03/31/00 |
| Docket No. R-1058; Comment Letter Filed by the FSCC - Proposed Privacy Regulations Under Title V of the Gramm-Leach-Bliley Act |
| 03/31/00 |
| File No. S7-6-00 (Regulation S-P) - Proposed Rules that Implement the Financial Privacy Provisions of the Gramm-Leach Bliley Act |
| 03/27/00 |
| Docket No. R-1057; Interim Rule for Financial Holding Companies |
| 03/23/00 |
| File No. SR-NASD-99-41 Amended NASD Rule - The Opening of Day-Trading Accounts |
| 03/21/00 |
| Securities Exchange Act Release No. 34-42450; File No. SR-NYSE-99-48; Proposed Rescission of NYSE Rule 390 |
| 03/14/00 |
| Comment Letter on Triparty Repo Transactions |
| 03/14/00 |
| Securities Exchange Act Release No. 34-42418; File No. SR-NASD-00-03; Amendments to Rule 2520; Margin Requirements for Day Trading Customers |
| 03/06/00 |
| Comment Letter on Reorganization of Office of Finance |
| 02/24/00 |
| File No. S7-31-99, Proposed New Corporate Disclosure Regulation Extension |
| 02/24/00 |
| File No. S7-31-99, Proposed New Corporate Disclosure Regulation |
| 02/18/00 |
| Securities Exchange Act Release No. 34-42325; File No. SR-NASD-99-60; Proposed Rule 2790; Trading in Hot Equity Offerings |
| 02/14/00 |
| Docket No. 00-03; Financial Subsidiaries and Operating Subsidiaries |
| 02/14/00 |
| Order Audit Trail System ("OATS") Phase Three |
| 02/14/00 |
| Passive Cross Trading Exemption |
| 02/10/00 |
| File No. SR-NASD-99-65; NASD "TRACE" Proposal |
| 02/09/00 |
| Comment Letter on NASD Proposal No. SR-NASD-99-65 |
| 01/28/00 |
| File No. S7-26-99 - SEC Proxy Householding Release |
| 01/13/00 |
| Proposed Rule 202(a)(11) - 1 (Release Nos. 34-42099, IA-1845; File No. S7-25-99) - Fee Based Program |
