|
1974/146
|
Part 1 (1974/146): Original Collection, 1974
2.0 c.f. (2 record center cartons)
: Correspondence, 1974.
|
|
|
1978/025
|
Part 2 (1978/025): Additions, 1955-1972
14.4 c.f. (14 record center cartons and 1 archives box)
: Correspondence, 1955-1972. Correspondence is organized by year, then alphabetically by correspondent. Also included is correspondence specifically on investment clubs, 1959-1970.
|
|
|
Correspondence
|
|
|
Box
1
|
1955-1958
|
|
|
Box
2
|
1959-1961
|
|
|
Box
3
|
1961-1962
|
|
|
Box
4
|
1962-1963
|
|
|
Box
5
|
1964-1965
|
|
|
Box
6
|
1965-1967
|
|
|
Box
7
|
1967-1968
|
|
|
Box
8
|
1968
|
|
|
Box
9
|
1968-1969
|
|
|
Box
10
|
1969
|
|
|
Box
11
|
1969-1970
|
|
|
Box
12
|
1970-1971
|
|
|
Box
13
|
1971-1972
|
|
|
Box
14
|
1972
|
|
|
Box
15
Folder
1-5
|
1972
|
|
|
Box
15
Folder
6-7
|
Investment clubs, general information, 1959-1970
|
|
|
1980/146
|
Part 3 (1980/146): Additions, 1974
0.8 c.f. (2 archives boxes)
: Correspondence, 1974. Box 1 contains A-I; Box 2 contains K-Z.
|
|
|
1982/140
|
Part 4 (1982/140): Additions, 1973-1976
2.0 c.f. (2 record center cartons) and 2 audio recordings
: Subject files, 1973-1976, of Commissioner Jeffrey B. Bartell. Includes records of companies including case files on Camalon, Inc., the Cathedral of Tomorrow, Inc., and others. There are also records on the Council for Consumer Affairs, franchise investment law, Midwest Securities Administrators Association meetings, and real estate limited partnership policy, and orders and notices issued by the Commissioner of Securities.
: Alphabetical.
|
|
|
Jeffrey B. Bartell, Commissioner, records, 1973-1976
|
|
|
Box
1
Folder
1
|
American Credit Card Association, Inc., decision
|
|
|
Box
1
Folder
2
|
Bart Starr's Delta Wing Sales Corporation
|
|
|
Box
1
Folder
3
|
Buyer's clubs, Assembly Bill 48
|
|
|
Box
1
Folder
4-6
|
Camalon hearing
|
|
|
1537A/1-2
|
Hearing, June 14-15, 1973
|
|
|
1982/140
Box
1
Folder
7
|
Camp Dells Recreational Park
|
|
|
Box
1
Folder
8
|
Cash commodities
|
|
|
Box
1
Folder
9-10
|
Cathedral of Tomorrow, Inc.
|
|
|
Box
1
Folder
11-12
|
Central Securities Administrators Council meetings, 1974
|
|
|
Box
1
Folder
13
|
Clark Oil Company
|
|
|
Box
1
Folder
14
|
Corporation of Student Investors
|
|
|
Box
1
Folder
15
|
Council for Consumer Affairs
|
|
|
Box
1
Folder
16
|
Educational Development and Research Corporation
|
|
|
Box
1
Folder
17
|
Equity funding
|
|
|
Box
1
Folder
18
|
Franchise investment law
|
|
|
Box
1
Folder
19
|
Home Loan Company, Inc.
|
|
|
Box
1
Folder
20
|
Jet-Ster Boats of Washington
|
|
|
Box
1
Folder
21
|
Lake Havasu Estates, Inc.
|
|
|
Box
1
Folder
22
|
Legislative Council Criminal Penalties Committee
|
|
|
Box
1
Folder
23
|
Mathias, Reverend H.J., complaint
|
|
|
Box
1
Folder
24
|
Mayday
|
|
|
Midwest Securities Administrators Association
|
|
|
Box
2
Folder
1
|
Past conferences
|
|
|
Box
2
Folder
2-5
|
Meetings, 1974-1975
|
|
|
Box
2
Folder
6
|
Nakoma Golf Club, Inc.
|
|
|
North American Securities Administrators Association
|
|
|
Box
2
Folder
7
|
Meeting, San Antonio, October 1973
|
|
|
Box
2
Folder
8
|
Past conferences
|
|
|
Box
2
Folder
9-10
|
Orders and notices
|
|
|
Box
2
Folder
11-12
|
Pacific Coast Coin Exchange
|
|
|
Box
2
Folder
13
|
Prosecutors' Bulletin
|
|
|
Box
2
Folder
14
|
Real estate limited partnership policy, historical
|
|
|
Box
2
Folder
15
|
Royal Homes, Inc.
|
|
|
Box
2
Folder
16
|
J. Shapiro Company
|
|
|
Box
2
Folder
17-20
|
Tising, John Henry
|
|
|
Box
2
Folder
21
|
Wagner, Myron H.
|
|
|
Box
2
Folder
22
|
Wissler, Jacob
|
|
|
1983/023
|
Part 5 (1983/023): Additions, 1975-1977
2.0 c.f. (2 record center cartons)
: Correspondence, 1975-1977. Correspondence is organized by year, then alphabetically by correspondent. Also included are requests for information (1977).
|
|
|
Correspondence
|
|
|
Box
1
Folder
1-38
|
1975-1976, M
|
|
|
Box
2
Folder
1-33
|
1976, N-, 1977
|
|
|
Box
2
Folder
34
|
Requests for forms filled, 1977
|
|
|
1984/039
|
Part 6 (1984/039): Additions, 1976-1978
1.0 c.f. (1 record center carton)
: Security investment company question, 1976-1978.
|
|
|
1985/073
|
Part 7 (1985/073): Additions, 1973-1979
7.4 c.f. (7 record center cartons and 1 archives box)
: Subject files and professional association records, 1973-1979, of Commissioner Jeffrey B. Bartell. Included are records on franchise law, investment companies, legislation, real estate, the Securities and Exchange Commission, the Wisconsin Subdivided Land Sales Act, and administrative files. Also included are records on a Governor's Advisory Committee, the Council for Consumer Affairs, and correspondence, committee records and meeting materials for the Central Securities Administrators Council, the Midwest Securities Commissioners Association, and the North American Securities Administrators Association.
: By topic and alphabetically thereunder.
|
|
|
Subject files
|
|
|
Box
1
Folder
1
|
Access to records
|
|
|
Box
1
Folder
2
|
Accounting Advisory Committee
|
|
|
Box
1
Folder
3
|
Administrative code amendment procedure
|
|
|
Box
1
Folder
4
|
Advance fee
|
|
|
Box
1
Folder
5
|
Agency effectiveness
|
|
|
Box
1
Folder
6
|
Agents' seminar
|
|
|
Box
1
Folder
7
|
Arrest/conviction records
|
|
|
Box
1
Folder
8
|
Attorney survey and reallocation request, 1977
|
|
|
Box
1
Folder
9-10
|
Broker-dealer
|
|
|
Box
1
Folder
11
|
Bulletin correspondence
|
|
|
Box
1
Folder
12
|
CMI Investment Corporation matter
|
|
|
Box
1
Folder
13
|
Certificates
|
|
|
Box
1
Folder
14
|
Clearing agencies
|
|
|
Box
1
Folder
15
|
Clinical file
|
|
|
Box
1
Folder
16
|
Condominiums
|
|
|
Box
1
Folder
17
|
Cooperative registration review
|
|
|
Box
1
Folder
18
|
Customer agreement
|
|
|
Box
1
Folder
19
|
De-sexing
|
|
|
Box
1
Folder
20
|
Discount
|
|
|
Box
1
Folder
21
|
Energy conservation program
|
|
|
Box
1
Folder
22
|
Enforcement chief
|
|
|
Box
1
Folder
23
|
Exchange funds
|
|
|
Box
1
Folder
24
|
Farmland trusts
|
|
|
Box
1
Folder
25
|
Economic Planning Act
|
|
|
Box
1
Folder
26
|
Fiduciary operations
|
|
|
Box
1
Folder
27
|
Finance companies
|
|
|
Box
1
Folder
28
|
Fiscal note manual
|
|
|
Box
1
Folder
29
|
Forms
|
|
|
Box
1
Folder
30
|
Franchise amendments
|
|
|
Box
1
Folder
31
|
Franchise law
|
|
|
Box
1
Folder
32
|
Governor's office
|
|
|
Box
1
Folder
33
|
Insurance replacement practices
|
|
|
Investment companies
|
|
|
Box
2
Folder
1
|
American Investors Fund
|
|
|
Box
2
Folder
2
|
Expense limitations
|
|
|
Box
2
Folder
3
|
Manhattan Fund
|
|
|
Box
2
Folder
4
|
Unit Investment Fund
|
|
|
Box
2
Folder
5
|
Lease lottery
|
|
|
Legislation
|
|
|
Box
2
Folder
6
|
Federal securities legislation
|
|
|
Box
2
Folder
7
|
Financial privacy
|
|
|
Box
2
Folder
8
|
Housekeeping
|
|
|
Box
2
Folder
9
|
Franchise legislation
|
|
|
Box
2
Folder
10
|
, 1981 proposals
|
|
|
Box
2
Folder
11
|
Remedial legislation
|
|
|
Box
2
Folder
12
|
Legislative Audit Bureau, office audit
|
|
|
Box
2
Folder
13
|
Lobby law
|
|
|
Box
2
Folder
14
|
Madison Area Technical College bond sale
|
|
|
Box
2
Folder
15
|
Milwaukee Bond Club
|
|
|
Box
2
Folder
16
|
Milwaukee Road
|
|
|
Box
2
Folder
17
|
Oakley, John T., personnel matter
|
|
|
Box
2
Folder
18
|
Office space
|
|
|
Box
2
Folder
19
|
Oil and gas enforcement
|
|
|
Box
2
Folder
20
|
Open meeting law
|
|
|
Box
2
Folder
21
|
Pension plans
|
|
|
Box
2
Folder
22
|
Personal and office integrity policy
|
|
|
Box
2
Folder
23-24
|
Real estate limited partnerships
|
|
|
Box
2
Folder
25
|
Real Estate Securities and Syndication Institute
|
|
|
Box
2
Folder
26
|
Reclassifications
|
|
|
Box
3
Folder
1
|
Records retention
|
|
|
Box
3
Folder
2
|
Reporter service
|
|
|
Box
3
Folder
3
|
Form S-16
|
|
|
Box
3
Folder
4
|
Secretary of State
|
|
|
Box
3
Folder
5
|
Securities and Exchange Commission
|
|
|
Box
3
Folder
6-8
|
Securities Fraud Strike Force
|
|
|
Box
3
Folder
9
|
Securities Industry Association
|
|
|
Box
3
Folder
10
|
Seminar
|
|
|
Box
3
Folder
11
|
Social concerns disclosures
|
|
|
Box
3
Folder
12
|
State Bar
|
|
|
Box
3
Folder
13
|
Sunset law
|
|
|
Box
3
Folder
14
|
Trust corporations
|
|
|
Box
3
Folder
15
|
Uniform franchise application
|
|
|
Box
3
Folder
16
|
University of Wisconsin Business School
|
|
|
Box
3
Folder
17
|
Variable interest securities
|
|
|
Box
3
Folder
18
|
Wisconsin Association of Securities Dealers, correspondence
|
|
|
Box
3
Folder
19
|
Wisconsin Industrial Revenue Bond Refinance Authority
|
|
|
Box
3
Folder
20
|
Wisconsin Subdivided Land Sales Act
|
|
|
Box
3
Folder
21
|
Correspondence
|
|
|
Box
4
Folder
1
|
Drafts
|
|
|
Box
4
Folder
2
|
Newspaper clippings
|
|
|
Box
4
Folder
3
|
Uniform Land Sales Practices Act
|
|
|
Box
4
Folder
4
|
Ziegler Company
|
|
|
Miscellaneous
|
|
|
Box
4
Folder
5-6
|
Wisconsin Subdivided Land Sales Act
|
|
|
Box
4
Folder
7
|
Investor complaints
|
|
|
Box
4
Folder
8
|
Correspondence
|
|
|
Box
4
Folder
9
|
Governor's Advisory Committee
|
|
|
Citizens Study Committee on Judicial Organization
|
|
|
Box
4
Folder
10
|
Speeches
|
|
|
Box
4
Folder
11
|
History of task force
|
|
|
Box
4
Folder
12
|
Council for Consumer Affairs
|
|
|
Box
4
Folder
13
|
Environmental impact
|
|
|
Box
5
Folder
1
|
E Z Paintr Corporation
|
|
|
Box
5
Folder
2
|
Savings and Loan Association, capital stock
|
|
|
Box
5
Folder
3
|
Usury law
|
|
|
Central Securities Administrators Council
|
|
|
Box
5
Folder
4
|
Directories
|
|
|
Box
5
Folder
5
|
Correspondence, Thomas Nelson, Commissioner, 1970-1972
|
|
|
Box
5
Folder
6
|
Meetings
|
|
|
Box
5
Folder
7
|
Organization
|
|
|
Box
5
Folder
8
|
Correspondence
|
|
|
Box
5
Folder
9-10
|
Policies
|
|
|
Box
5
Folder
11-23
|
Meetings, 1975-1979
|
|
|
Midwest Securities Commissioners Association
|
|
|
Box
6
Folder
1
|
Miscellaneous
|
|
|
Box
6
Folder
2
|
Correspondence
|
|
|
Box
6
Folder
3
|
Committees
|
|
|
Box
6
Folder
4
|
Documents
|
|
|
Box
6
Folder
5
|
Policies
|
|
|
Box
6
Folder
6
|
Advisory committee on selection of Commissioner
|
|
|
Box
6
Folder
7
|
Midwest clearinghouse
|
|
|
Box
6
Folder
8
|
Midwest Securities Commissioners Association-North American Securities Administrators Association merger committee
|
|
|
Box
6
Folder
9
|
Midwest membership applications
|
|
|
Box
6
Folder
10
|
Invitations committee
|
|
|
Box
6
Folder
11-19
|
Conferences and meetings, 1976-1979
|
|
|
North American Securities Administrators Association
|
|
|
Box
6
Folder
20
|
Correspondence
|
|
|
Box
7
Folder
1-2
|
Committees
|
|
|
Box
7
Folder
3
|
Documents
|
|
|
Box
7
Folder
4
|
Cooperative registration review
|
|
|
Box
7
Folder
5
|
Enforcement bulletin
|
|
|
Box
7
Folder
6
|
Public Investors Protection Committee
|
|
|
Box
7
Folder
7
|
Legislation Committee
|
|
|
Box
7
Folder
8
|
Study Committee, correspondence
|
|
|
Box
7
Folder
9
|
Uniform Securities Agent State Law Examination
|
|
|
Box
7
Folder
10
|
Joint state-Securities and Exchange Commission study groups
|
|
|
Annual conferences
|
|
|
Box
7
Folder
11-17
|
1976-1978
|
|
|
Box
8
Folder
1
|
1979
|
|
|
Box
8
Folder
2-6
|
Meetings, 1974-1979
|
|
|
Box
8
Folder
7
|
Wisconsin
|
|
|
1986/049
|
Part 8 (1986/049): Additions, 1973-1979
2.8 c.f. (2 record center cartons and 2 archives boxes)
: Records, 1973-1979, from the administration of Jeffrey B. Bartell, Commissioner, including records on various committees, staff memos, correspondence with the North American Securities Administrators Association, and general correspondence and requests for information (1979). Also included is a case file on Milwaukee Professional Sports and Services, Inc., concerning the company's going private.
|
|
|
Jeffrey B. Bartell, Commissioner, records, 1973-1979
|
|
|
Committees
|
|
|
Box
1
Folder
1
|
Committee for public review of the Office of the Commissioner of Securities
|
|
|
Box
1
Folder
2
|
Commissioner's advisory committee on the status of women and minorities in the securities industry
|
|
|
Box
1
Folder
3
|
Commissioner's advisory committee on securities agents' professional responsibility
|
|
|
Box
1
Folder
4-5
|
Commissioner's advisory committee on investment advisors
|
|
|
Staff memos
|
|
|
Box
1
Folder
6-7
|
Enforcement
|
|
|
Box
2
Folder
1
|
Office administration
|
|
|
Box
2
Folder
2
|
Franchising
|
|
|
Box
2
Folder
3
|
Licensing
|
|
|
Box
2
Folder
4
|
Registration
|
|
|
Box
2
Folder
5
|
North American Securities Administrators Association correspondence
|
|
|
Box
2
Folder
6
|
Assignment sheets
|
|
|
Correspondence, 1979
|
|
|
Box
2
Folder
7-19
|
A-L
|
|
|
Box
3
Folder
1-12
|
M-Z
|
|
|
Box
4
Folder
1
|
Requests for information, 1979
|
|
|
Box
4
Folder
2
|
Milwaukee Professional Sports and Services, Inc.
|
|
|
1987/058
|
Part 9 (1987/058): Additions, 1980
1.0 c.f. (1 record center carton)
: Correspondence, 1980.
|
|
|
1988/074
|
Part 10 (1988/074): Additions, 1972-1981
2.0 c.f. (2 record center cartons)
: Records, 1972-1981. Included are records of Jeffrey B. Bartell, Commissioner, including records on corporate take-over law, and Richard R. Malmgren, Commissioner, including correspondence and North American Securities Administration Association and Midwest Securities Commissioners Association meeting materials. Also included is general correspondence and requests for information (1981).
|
|
|
Jeffrey B. Bartell, Commissioner, records, 1972-1979
|
|
|
Box
1
Folder
1-2
|
Corporate take-over law
|
|
|
Box
1
Folder
3
|
Legislation
|
|
|
Box
1
Folder
4-5
|
Amendments
|
|
|
Box
1
Folder
6
|
Correspondence
|
|
|
Box
1
Folder
7
|
Delegation of duties
|
|
|
Richard R. Malmgren, Commissioner, records, 1979-1981
|
|
|
Box
1
Folder
8-9
|
Correspondence, 1979-1981
|
|
|
Box
1
Folder
10
|
North American Securities Administration Association spring meeting, Washington, D.C., April 13-16, 1980
|
|
|
Midwest Securities Commissioners Association
|
|
|
Box
1
Folder
11
|
Winter meeting, Carefree, Arizona, March 2-5, 1980
|
|
|
Box
2
Folder
1
|
Annual conference, Rapid City, South Dakota, July 27-30, 1980
|
|
|
Box
2
Folder
2-24
|
Correspondence, 1981
|
|
|
Box
2
Folder
25
|
Requests for publications, 1981
|
|
|
1989/064
|
Part 11 (1989/064): Additions, 1980-1983
3.0 c.f. (3 record center cartons)
: Records, 1980-1983. Included are records of Richard R. Malmgren, Commissioner, including records on administrative rule revisions, North American Securities Administration Association meeting materials and correspondence, and speeches. Also included is general correspondence (1982), and requests for information (1982-1983).
|
|
|
Richard R. Malmgren, Commissioner, records, 1980-1982
|
|
|
Box
1
Folder
1-3
|
Administrative rule revisions
|
|
|
Box
1
Folder
4
|
Confidential records submitted under pledge of confidentiality
|
|
|
Box
1
Folder
5-6
|
Chapter 551, Wisconsin Statutes, Senate Bill 127
|
|
|
Box
1
Folder
7
|
Testimony before Assembly Commerce and Consumer Affairs Committee, August 20, 1981
|
|
|
Box
1
Folder
8
|
Chapter 552, Wisconsin Statutes, Senate Bill 129
|
|
|
Box
1
Folder
9
|
Chapter 553, Wisconsin Statutes, Senate Bill 128
|
|
|
Box
1
Folder
10
|
Rule revisions on generally accepted accounting principles (GAAP)
|
|
|
Box
1
Folder
11
|
Meeting on Wisconsin corporate take-over law, Milwaukee, September 29, 1982
|
|
|
Box
1
Folder
12
|
Hearing on , 1981 administrative rule revisions
|
|
|
Box
1
Folder
13
|
Hearing on adoption of administrative rules, June 17, 1982
|
|
|
Box
1
Folder
14
|
Public hearing on administrative rule revisions, September 10, 1982
|
|
|
Box
1
Folder
15
|
Hearing on real estate guidelines, Senate Committee on Aging, Business and Financial Institutions and Transportation, February 3, 1981
|
|
|
North American Securities Administration Association
|
|
|
Box
1
Folder
16
|
Correspondence
|
|
|
Box
2
Folder
1
|
Correspondence (continued)
|
|
|
Box
2
Folder
2
|
Planning Committee
|
|
|
Box
2
Folder
3
|
Real Estate Investment Trust Subcommittee meeting, Denver, December 4, 1980
|
|
|
Box
2
Folder
4
|
Legal Assistant Advisory Committee meeting, November 18, 1981
|
|
|
Box
2
Folder
5
|
Annual meeting, Toronto, September 14-17, 1980
|
|
|
Box
2
Folder
6
|
Spring meeting, Washington, April 26-29, 1981
|
|
|
Box
2
Folder
7
|
Meeting, Atlanta, October 10-15, 1981
|
|
|
Speeches
|
|
|
Box
2
Folder
8
|
New York Law Journal, New York, June 17, 1980
|
|
|
Box
2
Folder
9
|
Zigman-Joseph-Skeen, Milwaukee, July 25, 1980
|
|
|
Box
2
Folder
10
|
Merrill Rotary, September 23, 1980
|
|
|
Box
2
Folder
11
|
Exchange Club of Madison, October 2, 1980
|
|
|
Box
2
Folder
12
|
National Investor Relations Institute, Milwaukee, October 15, 1980
|
|
|
Box
2
Folder
13
|
Corporate Practice Institute, Milwaukee, December 12, 1980
|
|
|
Box
2
Folder
14
|
Department of Justice midwinter conference, January 14, 1981
|
|
|
Box
2
Folder
15
|
Wisconsin Association of Securities Dealers, annual meeting, January 16, 1981
|
|
|
Box
2
Folder
16
|
Fox Valley Security Brokers Association, April 22, 1981
|
|
|
Box
2
Folder
17
|
International Association of Financial Planners, May 14, 1981
|
|
|
Box
2
Folder
18
|
Marathon County Bar Association, May 28, 1981
|
|
|
Box
2
Folder
19
|
Wisconsin chapter of Real Estate Securities and Syndication Institute, June 11, 1981
|
|
|
Box
2
Folder
20
|
University of Wisconsin Elderhostel program, July 30, 1981
|
|
|
Box
2
Folder
21
|
Green Bay Bond Club, August 17, 1981
|
|
|
Box
2
Folder
22
|
Appearance on WHA Radio, Madison, August 20, 1981
|
|
|
Box
2
Folder
23
|
Management Research Center, Milwaukee, September 22, 1981
|
|
|
Box
2
Folder
24
|
National Association of Church and Institutional Financing Organizations, Fontana, October 16, 1981
|
|
|
Box
2
Folder
25-26
|
Administrative memos
|
|
|
Box
3
Folder
1-24
|
Correspondence, 1982
|
|
|
Requests for information
|
|
|
Box
3
Folder
25
|
Requests for forms, 1982
|
|
|
Box
3
Folder
26
|
Forms mailed, 1983
|
|
|
1992/029
|
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.
|
|
|
Subject files, 1979-1985
|
|
|
Box
1
Folder
1
|
Administration, Department of, correspondence
|
|
|
Box
1
Folder
2
|
Attorney General
|
|
|
Box
1
Folder
3
|
American Bar Association
|
|
|
Box
1
Folder
4
|
Better Business Bureau of Greater Milwaukee
|
|
|
Box
1
Folder
5
|
Blue chip
|
|
|
Box
1
Folder
6
|
Bulletin correspondence
|
|
|
Box
1
Folder
7
|
Capital gains
|
|
|
Box
1
Folder
8
|
Cases
|
|
|
Box
1
Folder
9-10
|
Central Securities Administrators Council
|
|
|
Box
1
Folder
11
|
Citizen advisory committees
|
|
|
Box
1
Folder
12
|
Citizen advisory committee on Wisconsin Act 200, 1983
|
|
|
Box
1
Folder
13
|
Commissioner's advisory committee on economic issues
|
|
|
Citizen advisory committee on the raising of venture capital in Wisconsin
|
|
|
Box
1
Folder
14
|
Reports, releases
|
|
|
Box
1
Folder
15
|
Newspaper clippings
|
|
|
Box
1
Folder
16
|
Correspondence
|
|
|
Box
1
Folder
17
|
Appointments to committee
|
|
|
Box
1
Folder
18
|
Commiseration of commissioners
|
|
|
Box
1
Folder
19
|
Commodity Futures Trading Commission
|
|
|
Box
1
Folder
20
|
Development, Department of
|
|
|
Box
1
Folder
21
|
Disclosure of commission rates committee
|
|
|
Box
1
Folder
22
|
Enforcement matters
|
|
|
Box
2
Folder
1-3
|
General correspondence, 1982-1984
|
|
|
Box
2
Folder
4-5
|
Giddings and Lewis, Inc., offer by AMCA Enterprises Corporation for the common stock of
|
|
|
Box
3
Folder
1
|
Governor's office
|
|
|
Box
3
Folder
2
|
Illinois legislation trip, June 6-7, 1983
|
|
|
Box
3
Folder
3
|
Intra-office committee on employee performance evaluations
|
|
|
Box
3
Folder
4-5
|
Intra-Office Public Relations Committee
|
|
|
Judicial Council
|
|
|
Box
3
Folder
6
|
Appellate Decisions Committee
|
|
|
Box
3
Folder
7
|
Appellate Procedures Committee
|
|
|
Box
3
Folder
8
|
Minutes
|
|
|
Box
3
Folder
9
|
National Association of Securities Dealers, Inc.
|
|
|
Box
3
Folder
10
|
National Development and Investment, Inc., and Victor Construction
|
|
|
Box
3
Folder
11-13
|
Newspaper clippings
|
|
|
Box
3
Folder
14
|
Opinion request to Commissioner of Banking, regarding interest on credit balances of customer accounts
|
|
|
Box
3
Folder
15
|
Performance assessment
|
|
|
Box
3
Folder
16
|
Performance evaluation
|
|
|
Box
3
Folder
17
|
Plunkett, et al., Oliver, State of Wisconsin v.
|
|
|
Box
3
Folder
18
|
Public education programs
|
|
|
Box
3
Folder
19
|
Public expenditure survey
|
|
|
Box
3
Folder
20-21
|
Public merit testimonies on merit regulation in Illinois, Iowa
|
|
|
Box
3
Folder
22
|
Securities and Exchange Commission
|
|
|
Box
4
Folder
1
|
Securities and Exchange Commission (continued)
|
|
|
Box
4
Folder
2
|
Seminar, Wisconsin Institute of Certified Public Accountants
|
|
|
Speeches
|
|
|
Box
4
Folder
3
|
Speech and article file
|
|
|
Box
4
Folder
4
|
Dane County Bar Association, January 19, 1982
|
|
|
Box
4
Folder
5
|
Milwaukee County Bar Association, January 21, 1982
|
|
|
Box
4
Folder
6
|
Talk on real estate rules, Milwaukee, March 11, 1982
|
|
|
Box
4
Folder
7
|
Wisconsin real estate investment trust (REIT) deposition, Milwaukee, March 11, 1982
|
|
|
Box
4
Folder
8
|
Accounting and financial reporting conference, University of Wisconsin-Madison, April 23, 1982
|
|
|
Box
4
Folder
9
|
Greater Milwaukee Association of Financial Planners, August 5, 1982
|
|
|
Box
4
Folder
10
|
Wisconsin Institute of Certified Public Accountants, Governmental Accounting Committee, Madison, September 17, 1982
|
|
|
Box
4
Folder
11
|
Wisconsin Economic Development Association, Inc., Eau Claire, September 23, 1982
|
|
|
Box
4
Folder
12
|
Seminar for Accountants, Attorneys and Tax Practitioners, Milwaukee, October 14, 1982
|
|
|
Box
4
Folder
13
|
Statewide Financial Planning Conference, Mishicot, October 19, 1982
|
|
|
Box
4
Folder
14
|
Wisconsin Institute of Certified Public Accountants accounting program, October 22, 1982
|
|
|
Box
4
Folder
15
|
Wisconsin Association of Securities Dealers educational program, Milwaukee, October 28, 1982
|
|
|
Box
4
Folder
16
|
Milwaukee Bar Association, Milwaukee, November 4, 1982
|
|
|
Box
4
Folder
17
|
Financial regulatory agencies meeting, regarding individual retirement accounts (IRAs), November 10, 1982
|
|
|
Box
4
Folder
18
|
Meeting with Investment Company Institute (ICI), November 23, 1982
|
|
|
Box
4
Folder
19
|
Wisconsin Association of Securities Dealers, Milwaukee, December 1, 1982
|
|
|
Box
4
Folder
20
|
University of Wisconsin-Extension small business real estate programs, University of Wisconsin-Milwaukee, December 1, 1982
|
|
|
Box
4
Folder
21
|
United States Small Business Administration, St. Louis, December 10, 1982
|
|
|
Box
4
Folder
22
|
New York City Blue Sky lawyers, Yale Club, New York City, January 19, 1983
|
|
|
Box
4
Folder
23
|
National Association of Accountants, Milwaukee chapter, Milwaukee, April 18, 1983
|
|
|
Box
4
Folder
24
|
Greater Milwaukee Association for Financial Planning, September 1, 1983
|
|
|
Box
4
Folder
25
|
Ozaukee-Washington County Association of Life Underwriters, Thiensville, October 21, 1983
|
|
|
Box
4
Folder
26
|
Dane County Bar Association, Madison, November 1, 1983
|
|
|
Box
4
Folder
27
|
Milwaukee Bar Association, Milwaukee, November 3, 1983
|
|
|
Box
4
Folder
28
|
“The Business of Wisconsin” program, Channel 10, Milwaukee, December 29, 1983
|
|
|
Box
4
Folder
29
|
National Syndication Forum, Phoenix, January 27, 1984
|
|
|
Box
4
Folder
30
|
National Association of Accountants, Winona chapter, La Crosse, March 20, 1984
|
|
|
Box
4
Folder
31
|
Tempo, Milwaukee, March 29, 1984
|
|
|
Box
4
Folder
32
|
Wisconsin Mortgage Bankers Association convention, Oshkosh, May 18, 1984
|
|
|
Box
4
Folder
33
|
Kiwanis Club, Madison, May 25, 1984
|
|
|
Box
4
Folder
34
|
American Bar Association program appearance, Chicago, August 7, 1984
|
|
|
Box
4
Folder
35
|
Wisconsin Venture Group, Milwaukee, August 13, 1984
|
|
|
Box
4
Folder
36
|
Source International, Inc., annual convention, Sturgeon Bay, August 15, 1984
|
|
|
Box
4
Folder
37
|
Charter Securities Corporation sales conference, Madison, August 22, 1984
|
|
|
Box
4
Folder
38
|
International Association for Financial Planning, Atlanta, September 10, 1984
|
|
|
Box
4
Folder
39
|
Wisconsin broker-dealer regulation trip, New York, September 13, 1984
|
|
|
Box
4
Folder
40
|
Wisconsin Institute of Certified Public Accountants Securities Committee, Madison, September 28, 1984
|
|
|
Box
4
Folder
41
|
Madison South Rotary, Madison, October 22, 1984
|
|
|
Box
4
Folder
42
|
Marquette Continuing Education Center, Milwaukee, December 3, 1984
|
|
|
Box
4
Folder
43
|
International Association of Financial Planners, Green Bay, December 5, 1984
|
|
|
Box
4
Folder
44
|
West Bend Rotary, West Bend, February 4, 1985
|
|
|
Box
4
Folder
45
|
Greater Milwaukee Association for Financial Planning, Milwaukee, February 7, 1985
|
|
|
Staff memos
|
|
|
Box
5
Folder
1-2
|
Office administration
|
|
|
Box
5
Folder
3
|
Enforcement Division
|
|
|
Box
5
Folder
4
|
Franchise Division
|
|
|
Box
5
Folder
5
|
Office of General Council
|
|
|
Box
5
Folder
6
|
Licensing Division
|
|
|
Box
5
Folder
7-8
|
Registration Division
|
|
|
Box
5
Folder
9
|
Take-over law correspondence
|
|
|
Box
5
Folder
10
|
State Bar of Wisconsin
|
|
|
Box
5
Folder
11
|
Meeting, September 23, 1983
|
|
|
Box
6
Folder
1
|
Annual convention
|
|
|
Box
6
Folder
2
|
Advanced Training Seminars-Continuing Legal Education (ATS-CLE) program
|
|
|
Box
6
Folder
3-6
|
Securities law programs, Milwaukee, 1981-1984
|
|
|
Box
6
Folder
7
|
Wisconsin Association of Securities Dealers
|
|
|
Box
6
Folder
8
|
Executive Committee meeting, Milwaukee, February 21, 1984
|
|
|
Box
6
Folder
9-10
|
Annual meetings, Milwaukee, 1983-1984
|
|
|
Box
6
Folder
11-12
|
Wilde, Harold R., Aetna Life Insurance, et al. v., case number 79-001
|
|
|
Administrative rule and statute revisions
|
|
|
Box
6
Folder
13-14
|
Administrative rule revisions, 1982-1984
|
|
|
Box
6
Folder
15
|
Public hearing on administrative rule revisions, Madison, September 11, 1984
|
|
|
Box
6
Folder
16
|
Legislation revision file, 1984
|
|
|
Box
6
Folder
17
|
Uniform limited offering exemption (ULOE) public hearing, June 22, 1983
|
|
|
Box
6
Folder
18
|
Statute revisions, 1982
|
|
|
Box
6
Folder
19
|
Public hearing on corporate take-over law, December 2, 1983
|
|
|
Box
7
Folder
1
|
Substitute Amendment 1 to Senate Bill 301
|
|
|
Box
7
Folder
2-5
|
Statutory amendments
|
|
|
Box
7
Folder
6
|
Senate Bill 121, 1983
|
|
|
Box
7
Folder
7
|
Regulation D
|
|
|
Preventive Investor Protection (PIP) program
|
|
|
Box
7
Folder
8
|
1974-1980
|
|
|
Box
7
Folder
9
|
Concepts for expanding the PIP program, March 1977
|
|
|
Box
7
Folder
10
|
Columns
|
|
|
Box
7
Folder
11
|
Column mailing lists
|
|
|
Box
7
Folder
12-15
|
Questionnaires
|
|
|
Box
8
Folder
1
|
Investing...Questions and Answers
|
|
|
Box
8
Folder
2-5
|
Preliminary draft
|
|
|
Box
8
Folder
6-11
|
Drafts
|
|
|
Box
8
Folder
12-14
|
Notes on specific securities-related cases
|
|
|
1997/056
|
Part 13 (1997/056): Additions, 1985-1988
7.0 c.f. (7 record center cartons)
: Records, 1985-1987, from the administration of Ulice Payne, Jr., Commissioner. Included are budgetary files, records on various state agencies, records on administrative rule and statute revisions, administrative correspondence, records on various committees and organizations, and a merit review study and associated materials. Also included is some correspondence of Walter H. White, Commissioner (1988).
|
|
|
Ulice Payne, Jr., Commissioner, records, 1985-1987
|
|
|
Box
1
Folder
1
|
Corporate take-over law
|
|
|
Box
1
Folder
2
|
Pickens, T. Boone, Jr.
|
|
|
Box
1
Folder
3
|
Blinder, Robinson and Company
|
|
|
Box
1
Folder
4
|
Series 62
|
|
|
Box
1
Folder
5
|
Manitowoc Company
|
|
|
Box
1
Folder
6
|
Merrill Lynch, savings and loan certificates of deposit (CDs)
|
|
|
Box
1
Folder
7-8
|
Franchise Investment Division
|
|
|
Box
1
Folder
9
|
Correspondence
|
|
|
Box
2
Folder
1-3
|
Enforcement Division
|
|
|
Box
2
Folder
4-5
|
Budget
|
|
|
Box
2
Folder
6
|
Emergency request, last quarter, 1984-1985
|
|
|
Box
2
Folder
7
|
Budget requests
|
|
|
Box
2
Folder
8
|
Special session, fall 1985
|
|
|
Box
2
Folder
9
|
Budget reports, 1987
|
|
|
Box
2
Folder
10
|
, 1987-1989 budget preparation file
|
|
|
Box
2
Folder
11
|
Joint Finance Committee
|
|
|
Box
2
Folder
12
|
Annual budget, 1987-1988
|
|
|
Box
2
Folder
13
|
Governor's pleasure file
|
|
|
Box
2
Folder
14
|
Delegations of duties
|
|
|
Box
2
Folder
15
|
Examiner training, Tallahassee, Florida, March 9-13, 1987
|
|
|
Box
2
Folder
16
|
Education
|
|
|
Correspondence, miscellaneous
|
|
|
Box
2
Folder
17
|
Computer file, 1986
|
|
|
Personnel
|
|
|
Box
2
Folder
18
|
1985-1986
|
|
|
Box
3
Folder
1
|
1987
|
|
|
Box
3
Folder
2
|
Constituent correspondence
|
|
|
Box
3
Folder
3
|
Maple Flooring Manufacturers Association
|
|
|
Box
3
Folder
4-5
|
Legislative correspondence
|
|
|
Box
3
Folder
6
|
New York Blue Sky lawyers correspondence, 1986
|
|
|
State of Wisconsin departments
|
|
|
Box
3
Folder
7
|
Attorney General
|
|
|
Box
3
Folder
8
|
Department of Administration
|
|
|
Box
3
Folder
9-11
|
Department of Development
|
|
|
Box
3
Folder
12
|
Department of Employment Relations
|
|
|
Box
3
Folder
13
|
Governor's office
|
|
|
Box
3
Folder
14
|
Department of Industry, Labor and Human Relations
|
|
|
Box
3
Folder
15
|
Joint Finance Committee
|
|
|
Box
3
Folder
16
|
Department of Justice
|
|
|
Box
3
Folder
17
|
Department of Regulation and Licensing
|
|
|
Box
3
Folder
18
|
Secretary of State
|
|
|
Box
3
Folder
19
|
Travel allotments
|
|
|
Administrative rule and statute revisions
|
|
|
Box
3
Folder
20
|
Wisconsin statute revision file, 1987
|
|
|
Box
3
Folder
21-22
|
Administrative rule revision files, 1986-1987
|
|
|
Box
3
Folder
23
|
Legislation file
|
|
|
Box
3
Folder
24
|
Wisconsin Act 381, 1987, Assembly Bill 957
|
|
|
Box
4
Folder
1
|
Chapter 180 revisions
|
|
|
Box
4
Folder
2
|
Emergency rules
|
|
|
Box
4
Folder
3
|
Statutory changes
|
|
|
Box
4
Folder
4
|
Section 180, Wisconsin Statutes
|
|
|
Box
4
Folder
5
|
Out-of-state savings and loan CDs
|
|
|
Box
4
Folder
6
|
Legislation, general
|
|
|
Box
4
Folder
7
|
Chapter 227
|
|
|
Box
4
Folder
8
|
Joint Committee for Review of Administrative Rules
|
|
|
Box
4
Folder
9
|
Administrative Rule Advisory Committee, administrative rule changes
|
|
|
Box
4
Folder
10-12
|
Administrative rules, 1986-1987
|
|
|
Box
4
Folder
13
|
Venture capital
|
|
|
Box
4
Folder
14
|
Statutory cleanup/administrative penalty
|
|
|
Box
4
Folder
15
|
Enacted legislation
|
|
|
Office correspondence
|
|
|
Box
4
Folder
16
|
Administration Division
|
|
|
Box
4
Folder
17
|
Budget, 1987-1989
|
|
|
Box
4
Folder
18
|
Franchise Investment Division
|
|
|
Box
4
Folder
19
|
Office of the General Counsel
|
|
|
Box
5
Folder
1
|
Office of the General Counsel (continued)
|
|
|
Box
5
Folder
2
|
Intern law clerks
|
|
|
Box
5
Folder
3
|
University of Wisconsin law students
|
|
|
Box
5
Folder
4
|
Licensing and Regulation Division
|
|
|
Box
5
Folder
5
|
Marquette Law School internship program
|
|
|
Box
5
Folder
6
|
Press releases
|
|
|
Box
5
Folder
7
|
Policy on staff and office integrity
|
|
|
Box
5
Folder
8
|
Registration Division
|
|
|
Box
5
Folder
9
|
Registration appeals file
|
|
|
Box
5
Folder
10
|
Staff meetings
|
|
|
Box
5
Folder
11-12
|
Staff memos
|
|
|
Box
5
Folder
13
|
University of Wisconsin-Milwaukee Business School intern program
|
|
|
Box
5
Folder
14
|
Work plans
|
|
|
Committees
|
|
|
Box
5
Folder
15
|
Small business
|
|
|
Box
5
Folder
16
|
Senate Economic Development Committee
|
|
|
Box
6
Folder
1
|
Cash flow
|
|
|
Box
6
Folder
2
|
Small business guide to raising working capital in Wisconsin
|
|
|
Organizations
|
|
|
Box
6
Folder
3
|
North American Securities Administrators Association
|
|
|
Box
6
Folder
4
|
American Stock Exchange
|
|
|
Box
6
Folder
5
|
Better Business Bureau of Greater Milwaukee
|
|
|
Box
6
Folder
6
|
Center for Public Representation
|
|
|
Box
6
Folder
7
|
Citizens' Governmental Research Bureau bulletin
|
|
|
Box
6
Folder
8-9
|
Financial Planners Advisory Committee
|
|
|
Box
6
Folder
10
|
Forward Wisconsin
|
|
|
Box
6
Folder
11
|
Franchise and Business Opportunity Regulation Advisory Committee
|
|
|
Box
6
Folder
12
|
Government Finance Officers Association
|
|
|
Box
6
Folder
13
|
Government securities
|
|
|
Box
6
Folder
14
|
Greater Milwaukee Association of Financial Planners
|
|
|
Box
6
Folder
15
|
Institute of Certified Financial Planners
|
|
|
Box
6
Folder
16
|
International Association of Financial Planners
|
|
|
Box
6
Folder
17
|
International Association of Securities Commission and similar organizations
|
|
|
Box
6
Folder
18
|
Investment Company Institute
|
|
|
Box
6
Folder
19
|
Investor Responsibility Research Center
|
|
|
Box
6
Folder
20
|
Investor protection
|
|
|
Box
6
Folder
21
|
Media file, 1986
|
|
|
Box
6
Folder
22
|
Metropolitan Milwaukee Chamber of Commerce
|
|
|
Box
6
Folder
23
|
Milwaukee Trade Association
|
|
|
Box
6
Folder
24
|
National Association of Securities Dealers, Inc.
|
|
|
Box
6
Folder
25
|
Wisconsin Institute of Certified Public Accountants
|
|
|
Box
6
Folder
26
|
Securities Industry Association
|
|
|
Box
6
Folder
27-28
|
Wisconsin Association of Securities Dealers, Inc.
|
|
|
Box
6
Folder
29
|
Third market committee
|
|
|
Merit review
|
|
|
Box
6
Folder
30
|
Merit review study
|
|
|
Box
7
Folder
1
|
Final merit review materials
|
|
|
Box
7
Folder
2
|
Summary report requests
|
|
|
Box
7
Folder
3
|
Budget/legislation
|
|
|
Box
7
Folder
4
|
Report to Commissioner of Securities on exempting certain equity offerings from merit review
|
|
|
Box
7
Folder
5-6
|
Walter H. White, Commissioner, correspondence, 1988
|
|
|
2000/018
|
Part 14 (2000/018): Additions, 1988-1990
2.0 c.f. (2 record center cartons)
: Commissioner's correspondence, 1988-1990.
|
|
|
Agency Divisions
|
|
|
Walter H. White
|
|
|
Box
1
Folder
1
|
Carbon copies
|
|
|
Box
1
Folder
2
|
Administration
|
|
|
Box
1
Folder
3
|
Registration and Franchise Investment
|
|
|
Box
1
Folder
4
|
Licensing and Regulation
|
|
|
Box
1
Folder
5
|
Legal Services
|
|
|
Box
1
Folder
6
|
Agency memos from Wesley Ringo
|
|
|
Box
1
Folder
7
|
Miscellaneous
|
|
|
Box
1
Folder
8
|
Computer Group Materials
|
|
|
Box
1
Folder
9
|
Vacation
|
|
|
Box
1
Folder
10
|
Cabinet meetings
|
|
|
Box
1
Folder
11
|
Miscellaneous Correspondence (Incoming)
|
|
|
Conferences/Seminars
|
|
|
Box
1
Folder
12
|
Completed conferences
|
|
|
Box
1
Folder
13
|
State Government in Western Wisconsin
|
|
|
Box
1
Folder
14
|
Governor's retreat
|
|
|
Committees
|
|
|
Box
1
Folder
15
|
London - Susan Bryant
|
|
|
Box
1
Folder
16
|
Advisory Committees originals
|
|
|
Box
1
Folder
17
|
Corporate Takeover Advisory Committee
|
|
|
Statute Revision/Rule Reversals
|
|
|
Box
2
Folder
1
|
, 1988 Proposed Rules
|
|
|
Box
2
Folder
2
|
Meeting, August 10, 1988
|
|
|
Box
2
Folder
3
|
Emergency Rules
|
|
|
Box
2
Folder
4
|
Chapter 553
|
|
|
Box
2
Folder
5
|
, 1988 Statute Revision Ideas
|
|
|
Administrative Issues
|
|
|
Box
2
Folder
6
|
Corporate Takeover
|
|
|
Box
2
Folder
7
|
Nonprofit Identification
|
|
|
Proposed Legislation
|
|
|
Box
2
Folder
8
|
Blind Pool Blank Check Offering
|
|
|
Box
2
Folder
9
|
, 1987-1988 Legislation Ideas
|
|
|
Box
2
Folder
10
|
, 1987 Assembly Bill 989
|
|
|
Box
2
Folder
11
|
Dual Registration
|
|
|
Box
2
Folder
12
|
Recession Offer Proposals
|
|
|
Box
2
Folder
13
|
Legislation - $5 Equity
|
|
|
Box
2
Folder
14
|
Foreign Securities
|
|
|
Box
2
Folder
15
|
Investment Company
|
|
|
Box
2
Folder
16
|
Stock Exchanges/Markets
|
|
|
Box
2
Folder
17
|
Clew Film Outlines
|
|
