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Container
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Title
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1992/029
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Part 12 (1992/029): Additions, 1974-1985
8.0 c.f. (8 record center cartons)
: Records, 1974-1985. Included are subject files, including records on citizen advisory committees, the Judicial Council, and the State Bar of Wisconsin, general correspondence, newspaper clippings, speeches of Richard R. Malmgren, Commissioner, and staff memos. Also included are records on administrative rule and statute revisions, the Preventive Investor Protection (PIP) program, including bulletins and drafts of the publication Investing…Questions and Answers, and notes on specific securities-related court cases.
: Alphabetical by subject and thereunder chronological.
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Subject files, 1979-1985
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Box
1
Folder
1
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Administration, Department of, correspondence
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Box
1
Folder
2
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Attorney General
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Box
1
Folder
3
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American Bar Association
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Box
1
Folder
4
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Better Business Bureau of Greater Milwaukee
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Box
1
Folder
5
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Blue chip
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Box
1
Folder
6
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Bulletin correspondence
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Box
1
Folder
7
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Capital gains
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Box
1
Folder
8
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Cases
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Box
1
Folder
9-10
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Central Securities Administrators Council
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Box
1
Folder
11
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Citizen advisory committees
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Box
1
Folder
12
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Citizen advisory committee on Wisconsin Act 200, 1983
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Box
1
Folder
13
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Commissioner's advisory committee on economic issues
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Citizen advisory committee on the raising of venture capital in Wisconsin
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Box
1
Folder
14
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Reports, releases
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Box
1
Folder
15
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Newspaper clippings
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Box
1
Folder
16
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Correspondence
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Box
1
Folder
17
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Appointments to committee
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Box
1
Folder
18
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Commiseration of commissioners
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Box
1
Folder
19
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Commodity Futures Trading Commission
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Box
1
Folder
20
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Development, Department of
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Box
1
Folder
21
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Disclosure of commission rates committee
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Box
1
Folder
22
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Enforcement matters
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Box
2
Folder
1-3
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General correspondence, 1982-1984
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Box
2
Folder
4-5
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Giddings and Lewis, Inc., offer by AMCA Enterprises Corporation for the common stock of
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Box
3
Folder
1
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Governor's office
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Box
3
Folder
2
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Illinois legislation trip, June 6-7, 1983
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Box
3
Folder
3
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Intra-office committee on employee performance evaluations
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Box
3
Folder
4-5
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Intra-Office Public Relations Committee
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Judicial Council
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Box
3
Folder
6
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Appellate Decisions Committee
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Box
3
Folder
7
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Appellate Procedures Committee
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Box
3
Folder
8
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Minutes
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Box
3
Folder
9
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National Association of Securities Dealers, Inc.
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Box
3
Folder
10
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National Development and Investment, Inc., and Victor Construction
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Box
3
Folder
11-13
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Newspaper clippings
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Box
3
Folder
14
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Opinion request to Commissioner of Banking, regarding interest on credit balances of customer accounts
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Box
3
Folder
15
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Performance assessment
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Box
3
Folder
16
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Performance evaluation
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Box
3
Folder
17
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Plunkett, et al., Oliver, State of Wisconsin v.
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Box
3
Folder
18
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Public education programs
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Box
3
Folder
19
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Public expenditure survey
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Box
3
Folder
20-21
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Public merit testimonies on merit regulation in Illinois, Iowa
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Box
3
Folder
22
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Securities and Exchange Commission
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Box
4
Folder
1
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Securities and Exchange Commission (continued)
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Box
4
Folder
2
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Seminar, Wisconsin Institute of Certified Public Accountants
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Speeches
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Box
4
Folder
3
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Speech and article file
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Box
4
Folder
4
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Dane County Bar Association, January 19, 1982
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Box
4
Folder
5
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Milwaukee County Bar Association, January 21, 1982
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Box
4
Folder
6
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Talk on real estate rules, Milwaukee, March 11, 1982
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Box
4
Folder
7
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Wisconsin real estate investment trust (REIT) deposition, Milwaukee, March 11, 1982
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Box
4
Folder
8
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Accounting and financial reporting conference, University of Wisconsin-Madison, April 23, 1982
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Box
4
Folder
9
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Greater Milwaukee Association of Financial Planners, August 5, 1982
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Box
4
Folder
10
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Wisconsin Institute of Certified Public Accountants, Governmental Accounting Committee, Madison, September 17, 1982
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Box
4
Folder
11
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Wisconsin Economic Development Association, Inc., Eau Claire, September 23, 1982
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Box
4
Folder
12
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Seminar for Accountants, Attorneys and Tax Practitioners, Milwaukee, October 14, 1982
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Box
4
Folder
13
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Statewide Financial Planning Conference, Mishicot, October 19, 1982
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Box
4
Folder
14
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Wisconsin Institute of Certified Public Accountants accounting program, October 22, 1982
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Box
4
Folder
15
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Wisconsin Association of Securities Dealers educational program, Milwaukee, October 28, 1982
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Box
4
Folder
16
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Milwaukee Bar Association, Milwaukee, November 4, 1982
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Box
4
Folder
17
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Financial regulatory agencies meeting, regarding individual retirement accounts (IRAs), November 10, 1982
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Box
4
Folder
18
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Meeting with Investment Company Institute (ICI), November 23, 1982
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Box
4
Folder
19
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Wisconsin Association of Securities Dealers, Milwaukee, December 1, 1982
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Box
4
Folder
20
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University of Wisconsin-Extension small business real estate programs, University of Wisconsin-Milwaukee, December 1, 1982
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Box
4
Folder
21
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United States Small Business Administration, St. Louis, December 10, 1982
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Box
4
Folder
22
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New York City Blue Sky lawyers, Yale Club, New York City, January 19, 1983
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Box
4
Folder
23
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National Association of Accountants, Milwaukee chapter, Milwaukee, April 18, 1983
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Box
4
Folder
24
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Greater Milwaukee Association for Financial Planning, September 1, 1983
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Box
4
Folder
25
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Ozaukee-Washington County Association of Life Underwriters, Thiensville, October 21, 1983
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Box
4
Folder
26
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Dane County Bar Association, Madison, November 1, 1983
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Box
4
Folder
27
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Milwaukee Bar Association, Milwaukee, November 3, 1983
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Box
4
Folder
28
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“The Business of Wisconsin” program, Channel 10, Milwaukee, December 29, 1983
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Box
4
Folder
29
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National Syndication Forum, Phoenix, January 27, 1984
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Box
4
Folder
30
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National Association of Accountants, Winona chapter, La Crosse, March 20, 1984
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Box
4
Folder
31
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Tempo, Milwaukee, March 29, 1984
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Box
4
Folder
32
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Wisconsin Mortgage Bankers Association convention, Oshkosh, May 18, 1984
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Box
4
Folder
33
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Kiwanis Club, Madison, May 25, 1984
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Box
4
Folder
34
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American Bar Association program appearance, Chicago, August 7, 1984
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Box
4
Folder
35
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Wisconsin Venture Group, Milwaukee, August 13, 1984
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Box
4
Folder
36
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Source International, Inc., annual convention, Sturgeon Bay, August 15, 1984
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Box
4
Folder
37
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Charter Securities Corporation sales conference, Madison, August 22, 1984
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Box
4
Folder
38
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International Association for Financial Planning, Atlanta, September 10, 1984
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Box
4
Folder
39
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Wisconsin broker-dealer regulation trip, New York, September 13, 1984
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Box
4
Folder
40
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Wisconsin Institute of Certified Public Accountants Securities Committee, Madison, September 28, 1984
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Box
4
Folder
41
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Madison South Rotary, Madison, October 22, 1984
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Box
4
Folder
42
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Marquette Continuing Education Center, Milwaukee, December 3, 1984
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Box
4
Folder
43
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International Association of Financial Planners, Green Bay, December 5, 1984
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Box
4
Folder
44
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West Bend Rotary, West Bend, February 4, 1985
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Box
4
Folder
45
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Greater Milwaukee Association for Financial Planning, Milwaukee, February 7, 1985
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Staff memos
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Box
5
Folder
1-2
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Office administration
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Box
5
Folder
3
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Enforcement Division
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Box
5
Folder
4
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Franchise Division
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Box
5
Folder
5
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Office of General Council
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Box
5
Folder
6
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Licensing Division
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Box
5
Folder
7-8
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Registration Division
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Box
5
Folder
9
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Take-over law correspondence
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Box
5
Folder
10
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State Bar of Wisconsin
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Box
5
Folder
11
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Meeting, September 23, 1983
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Box
6
Folder
1
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Annual convention
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Box
6
Folder
2
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Advanced Training Seminars-Continuing Legal Education (ATS-CLE) program
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Box
6
Folder
3-6
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Securities law programs, Milwaukee, 1981-1984
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Box
6
Folder
7
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Wisconsin Association of Securities Dealers
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Box
6
Folder
8
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Executive Committee meeting, Milwaukee, February 21, 1984
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Box
6
Folder
9-10
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Annual meetings, Milwaukee, 1983-1984
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Box
6
Folder
11-12
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Wilde, Harold R., Aetna Life Insurance, et al. v., case number 79-001
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Administrative rule and statute revisions
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Box
6
Folder
13-14
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Administrative rule revisions, 1982-1984
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Box
6
Folder
15
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Public hearing on administrative rule revisions, Madison, September 11, 1984
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Box
6
Folder
16
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Legislation revision file, 1984
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Box
6
Folder
17
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Uniform limited offering exemption (ULOE) public hearing, June 22, 1983
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Box
6
Folder
18
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Statute revisions, 1982
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Box
6
Folder
19
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Public hearing on corporate take-over law, December 2, 1983
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Box
7
Folder
1
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Substitute Amendment 1 to Senate Bill 301
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Box
7
Folder
2-5
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Statutory amendments
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Box
7
Folder
6
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Senate Bill 121, 1983
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Box
7
Folder
7
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Regulation D
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Preventive Investor Protection (PIP) program
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Box
7
Folder
8
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1974-1980
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Box
7
Folder
9
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Concepts for expanding the PIP program, March 1977
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Box
7
Folder
10
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Columns
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Box
7
Folder
11
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Column mailing lists
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Box
7
Folder
12-15
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Questionnaires
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Box
8
Folder
1
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Investing...Questions and Answers
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Box
8
Folder
2-5
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Preliminary draft
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Box
8
Folder
6-11
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Drafts
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Box
8
Folder
12-14
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Notes on specific securities-related cases
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