Securities and Exchange Commission Historical Society
Save the Date
April 3, 2018. 4:30pm (Georgetown University Law Center, Washington DC)

Roundtable of Current and Former SEC Enforcement Directors

Part of building new Enforcement Gallery and Irving Pollack Exhibit

Confirmed Panelists: Stephanie Avakian, Andrew J. Ceresney, Stephen M. Cutler, Robert S. Khuzami, William R. McLucas, Gary G. Lynch, Steven Peikin, Linda Chatman Thomsen, Richard H. Walker

The Investment Company Act of 1940 and Investment Company Compliance Course
August 20 - 24, 1979 (Courtesy of James H. Perry)

Visit the Exhibit

This special exhibit features a 24-videotape "compliance course" produced by the U.S. Securities and Exchange Commission during August 20 - 24, 1979. The series of videos captures then-Director of the Division of Investment Management, Sydney H. Mendelsohn leading SEC staff experts through a discussion of the provisions of the Investment Company Act of 1940 in what Mendelsohn calls, "A walk through the statute."

New in the Museum
New Gallery

December 1, 2017
Investment Company Regulation: The Intricacies of an "Enlightened Partnership"

The Investment Company Gallery is the museum's 16th permanent gallery. The gallery shows how investment companies and their financial products - a cornerstone of American finance - have evolved over the last 75 years through a complex interplay between investment advisers, fund managers, and federal regulators.

Visit the Gallery
Deloitte Fireside Chat

November 15, 2017
Evolving Role of the Auditor

Moderator Tom Davenport, Professor, Babson College, along with Dan Sunderland, Chief Auditor, Deloitte & Touche LLP and Will Bible, Partner, Deloitte & Touche LLP.

Watch The Recording

Harold M. Williams

Chairman, U.S. Securities and Exchange Commission April 18, 1977 - March 1, 1981

A.A. Sommer, Jr. and Harold Williams, November 1977

Visit the Exhibit

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: