Interfaith Center on Corporate Responsibility records, 1966-2011

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Series VI. U.S. Security and Exchanges Commission (SEC) Files, 1972-2007, bulk 1990-2004

The SEC Files contain records related to ICCR's interaction with the SEC on both SEC policy issues and ICCR's own proxy resolutions.

The files include records related to ICCR's advocacy on SEC policies such as corporate disclosure, proxy rules, shareholder rights and resolutions, and vacancies on the SEC. These records include campaign materials, clippings, correspondence, legal materials, memos, questionnaires, and reports.

The ICCR also worked with the SEC on issues related to proxy resolutions filed by ICCR's member organizations. These files include records on proxy resolutions, including chronological files with lists and copies of resolutions, as well as responses and information on legal cases.

Copies of the texts of shareholder resolutions filed each year by ICCR's faith-based investors are also published in the Proxy Resolutions Book, which can be found in Publications (Series VII).

The files are arranged in two ways. The first set of files conists of general files that are filed chronologically. The second set of files were originally filed together in groups that are roughly chronological, and the current arrangement follows that filing method.


Chronological Files--General


SEC



Box 106 1972-1984 (1 Box), 1972-1984



Box 90 Folder 1 to 3 1985-1986 (3 Folders), 1985-1986


Box 90 Folder 4 to 24 1989-1993 (11 Folders), 1989-1993



Box 89 Folder 1 to 15 1994-1997 (15 Folders), 1994-1997



Box 22 Folder 10 to 17 1997-2000 (8 Folders), 1997-2000



Box 97 Folder 20 to 21 Shareholder Resolution Rules, 1996-2007 (2 Folders), 1996-2007


Chronological Files--Grouped Files


1975-1981



Box 82 Folder 1 General, 1975-1981


Box 82 Folder 2 Accounting Procedures, 1977


Box 82 Folder 3 Board of Directors, 1978-1979


Box 82 Folder 4 Corporate Disclosure, 1975-1977


Box 82 Folder 5 SEC Hearings, "Shareholder Communications, Participation in Corporate Electoral Process, and Corporate Governance,", 1977


1990-1993


Box 82 Folder 7 ABC Case, 1990-1991


Box 82 Folder 17 Articles, 1992-1993


Box 82 Folder 26 Bishop Browning's Letter to Episcopalians, 1992 April



Box 14 Folder 15 Brokers, Pension Funds, Foundations, circa, 1992


Box 14 Folder 1 to 2 Campaigns, 1991-1993 (2 Folders), 1991-1993


Box 14 Folder 10 Congress--Letters--SEC, 1993


Box 14 Folder 13 Congressional Responses, 1993


Box 14 Folder 14 Contracts, 1992



Box 82 Folder 31 Cracker Barrel SEC Challenge, 1992


Box 82 Folder 32 Dupont/SEC Environment Case, 1992


Box 82 Folder 18 Fax--Newspaper Articles on SEC Issue, 1992


Box 82 Folder 19 Fax Ready--Congressional List and Standard Letter, 1992 April


Box 82 Folder 20 Fried Letter, 1992 March 11

(Donald Fried)


Box 82 Folder 21 Fried's Speech, 1992 February

(Donald Fried)


Box 82 Folder 30 ICCR Board Member, circa, 1992

(Memo on SEC Campaign)


ICCR Memos


Box 82 Folder 11 Congressional Committees, 1992 April 15


Box 82 Folder 12 SEC Update, 1992 May


Box 82 Folder 13 SEC Alert, 1992 April


Box 82 Folder 14 ICCR Members & Board, 1992 April


Box 82 Folder 15 Governing Board, 1992 March 3


Box 82 Folder 16 Plan of Action, 1992 February 13


Box 82 Folder 27 IRRC Corporate Governance Highlights--Executive Summary on SEC's Decisions on Shareholder Communication and Corporate Executive Compensation Disclosure,, 1992 June


Box 82 Folder 28 IRRC News for Investors, 1992 March


Box 82 Folder 25 Kimba Wood Clippings, 1992-1993



Box 14 Folder 12 Legal Times--Mary Shapiro, SEC, 1993 June



Box 82 Folder 8 Meeting with S. Wallman, SEC, 1991 April


Box 82 Folder 9 to 10 Proposed Rule Changes, 1992 (2 Folders), 1992



Box 14 Folder 3 Proxy Rules Review, 1990-1991



Box 82 Folder 34 SEC, 1993


Box 82 Folder 29 SEC Alert--AT&T Meeting, 1992 June


Box 82 Folder 35 SEC Alerts, 1993


Box 82 Folder 22 SEC Brief, 1992


Box 82 Folder 24 SEC Campaigns Round Two, 1992


Box 82 Folder 37 SEC Court Case, 1993


Box 82 Folder 38 SEC Press Releases, 1993 October



Box 14 Folder 11 SEC Rule Changes--Solicitation and Executive Compensation, 1992



Box 82 Folder 6 SEC Rule Changes, Shareholding Information, 1990


Box 82 Folder 36 Senate Banking Letter, 1993


Box 82 Folder 23 Standard Letters, circa, 1992



Box 14 Folder 8 Tilt, 1992


Box 14 Folder 9 Update, 1992


Walmart


Box 14 Folder 4 Our T Case Equal Opportunity Employment (EEO), 1992



Box 82 Folder 33 Walmart Court Case, 1992-1993



Box 14 Folder 5 SEC--Decision for Faxing, 1993


Box 14 Folder 6 SEC--Appeal of Judge Woods' Decision, 1993


Box 14 Folder 7 Amalgamated Clothing and Textile Workers Union et al vs. Walmart--Brief,, 1994


1994-1995



Box 34 Folder 27 Action Packet, 1995


Box 34 Folder 28 Case, 1994


Box 34 Folder 29 Correspondence with SEC Chair, Arthur Levitt, 1995


Box 34 Folder 30 Meeting with Commissioner Wallman, 1994-1995


Box 34 Folder 31 Member Letters to Congress Re: 2 Vacancies on the SEC, 1995


Box 34 Folder 32 Member Letters to President Clinton and Vice-President Al Gore Re: SEC Vacancies,, 1994-1997


Box 34 Folder 34 Rule Revisions, 1995



Box 82 Folder 39 SEC Council Addresses, 1994


Box 82 Folder 40 SEC "Tilt,", 1994


Box 82 Folder 41 SEC Letters to Levitt, 1994-1995


Box 82 Folder 42 SEC Action Alert, 1995 January 22



Box 34 Folder 35 Senate and Other House Letter (Fr. Members), 1994


1995-1996



Box 82 Folder 44 Council of Institutional Investors--Committee on Shareholder Proposal Reform (SEC Committee),, 1995-1996


Box 82 Folder 46 Letter to President Clinton et al., 1996


Box 82 Folder 45 Robert Reich and SEC Campaign, 1996



Box 34 Folder 33 Rule 14-a-4, 1996



Box 82 Folder 43 SEC Campaign, 1996 Summer, 1996



Box 83 Folder 1 SEC Challenges, 1996


1996-1998


Allied Signal



Box 34 Folder 36 Challenge, 1997 February


Box 34 Folder 37 Responses to Refusal to Hear Challenge to "No Action" on Allied Signal,, 1997



Box 30 Folder 18 American Society of Corporate Secretaries "Shareholder Reform,", 1996-1997


Box 30 Folder 23 Campaign Letters Re: December 4, 1996 Alert, 1996, December 4, 1996, 1996



Box 34 Folder 38 Challenges, 1997


Box 34 Folder 39 Congressional Black Caucus, 1997


Box 34 Folder 40 Congressional Hearings, 1997 March



Box 82 Folder 49 Council of Institutional Investors (CII)--SEC Initiative, 1996-1997



Box 80 Folder 6 Home Depot, 1998



Box 34 Folder 41 Index of Briefs and Correspondence Re: 1997 Proxy Proposals, 1997, 1997, 1997



Box 79 Folder 1 Index of Files Containing Briefs and Correspondence Relating to 1997 Proxy Proposals, 1997 January 25, 1997, 1997 January 25



Box 30 Folder 21 (Investor Responsibility Research Center) IRRC Analysis, 1996


Box 30 Folder 24 Letter from 35 Congresspersons to SEC, 1996 October 10


Box 30 Folder 25 Letter Sent to 35 Congresspersons, 1996 August 29



Box 34 Folder 42 Letter to Alphonse D'Amato, 1997 January 28



Box 30 Folder 22 Letters to Commissioners, 1996 December 31


Box 30 Folder 19 Letter to Congressional Black Caucus (CBC) and Other Congresspersons,, 1997 January 24


Box 30 Folder 29 Letters to Hunt and Johnson, 1996 August 21



Box 82 Folder 50 Letters to President Clinton, 1997 August



Box 34 Folder 43 Letters to President Clinton and SEC, 1997 August



Box 30 Folder 20 Letters to SEC, 1997 January-May



Box 82 Folder 48 "Masters" for SEC Alerts, 1997 January



Box 30 Folder 28 National Securities Markets Improvement Act of 1996, 1996, 1996, 1996



Box 34 Folder 44 Neuhauser Appeals, 1997



Box 82 Folder 53 Nike--SEC Challenge, 1997



Box 34 Folder 45 Procedures for Responding to Companies (CO's) Requests to SEC for No Action Letters,, 1997



Box 14 Folder 16 Questionnaire, 1997



Box 79 Folder 12 to 13 Responses to SEC--A-Z, 1998 (2 Folders), 1998



Box 34 Folder 46 Resolutions Withdrawn, 1997



Box 30 Folder 30 Phil Roberts--Free Burma Campaign of Takoma Park, 1996


Box 30 Folder 31 Mr. Rodgers and the Nun (Sister Doris Gurmley), 1996



Box 34 Folder 47 Rule Changes, 1997


SEC


Box 34 Folder 48 Alert, 1997 July 9 (2 Folders), 1997 July 9


Box 34 Folder 49 Annual General Meeting (AGM), 1997


Box 34 Folder 50 Appeal, 1997 January 31


Box 34 Folder 51 Highlights and Proposed Action Plan, 1997 May



Box 79 Folder 2 SEC Challenges, 1997 (1 Folder), 1997



Box 80 Folder 5 SEC Challenges, 1998


SEC Challenges and Responses, 1997



Box 79 Folder 3 A



Box 80 Folder 1 to 3 C-F (3 Folders)



Box 83 Folder 2 G-M (7 Folders)



Box 79 Folder 4 to 11 N-V (8 Folders)

(No "Q")



Box 80 Folder 4 SEC Challenges and Rulings, 1997-1998


Box 80 Folder 7 SEC Decisions, 1998



Box 82 Folder 51 SEC Questionnaire, 1997


Box 82 Folder 47 SEC Rules Review Discussion, 1997



Box 34 Folder 52 Shareholder Process Review--Articles and Notes, 1997



Box 82 Folder 52 Society of Corporate Secretaries, 1997



Box 30 Folder 32 U.S. Trust Boston Op-Ed--Tim Smith, 1997


Wallman


Box 30 Folder 26 Response Letters to Wallman's Speech, 1996


Box 30 Folder 27 Letter to Wallman, 1996 August 23


1999



Box 79 Folder 14 1998-1999 SEC Challenges (List), 1999 February 1, 1998-1999, 1999 February 1


Box 79 Folder 15 to 17 Responses to SEC (3 Folders)


Box 79 Folder 18 to 20 SEC Responses (3 Folders)


2000



Box 13 Folder 1 Resolution Filings, 2000


Box 13 Folder 2 Resolutions, 2000 (3 Folders), 2000


Box 13 Folder 3 to 5 Burma, 2000


Box 13 Folder 6 to 7 SEC Challenges--A-Z, 2000 (2 Folders), 2000



Box 79 Folder 21 to 23 SEC Challenges, 2000 (3 Folders), 2000


2001



Box 83 Folder 3 Resolutions, 2001


2002-2004


Filing Letters



Box 80 Folder 8 2002


Box 80 Folder 9 Late Filing Letters, 2003


Box 80 Folder 10 to 14 2004 (5 Folders), 2004


Proxy Resolutions, 2003-2004



Box 48 Folder 43 ICCR Actions and All Players, 2003 December

(Lists)


Resolutions


Box 48 Folder 44 General, 2003-2004


Box 48 Folder 45 Global Warming


Box 48 Folder 46 South Africa and General


Box 48 Folder 47 HIV/AIDS, etc.


Box 48 Folder 48 HIV/AIDS, etc.


Box 48 Folder 49 Human Rights, Global Warming, Weapons, etc.


Box 48 Folder 50 Global Warming


Box 48 Folder 51 South Africa-Generic Issues


Box 48 Folder 52 Withdrawals


Abbott



Box 47 Folder 1 General


Box 47 Folder 2 HIV/AIDS Reporting


Box 47 Folder 3 Political Contributions


Box 47 Folder 4 AEP--Global Warming


Box 47 Folder 5 AGCO--Environmental Risk Disclosure


AIG


Box 47 Folder 6 Global Warming


Box 47 Folder 7 HIV/AIDS Reporting


Box 47 Folder 8 Tobacco Investments


Box 47 Folder 9 Alcoa--Pay Disparity


Box 47 Folder 10 Alltel--Sexual Orientation Nondiscrimination


Altria


Box 47 Folder 11 Canadian Warnings--Voluntary Use in US


Box 47 Folder 12 Filters


Box 47 Folder 13 Pregnant Women


Amgen


Box 47 Folder 14 Equal Employment Opportunity


Box 47 Folder 15 Interim Storage of Radioactive Waste


Box 47 Folder 16 Anadarko--Global Warming


Box 47 Folder 17 Apache--Global Warming


Box 47 Folder 18 Archer-Daniels-Midland (ADM)--Genetically Modified Organism (GMO)


Avon


Box 47 Folder 19 Annual Elections


Box 47 Folder 20 Parabens


Box 47 Folder 21 Phthalates


Bank of America


Box 47 Folder 22 International Community Reinvestment Act (CRA)


Box 47 Folder 23 Merger


Box 47 Folder 24 Bed, Bath and Beyond--Glass Ceiling


Box 47 Folder 25 BellSouth--Annual Elections


Box 47 Folder 26 BJ--Burma


Boeing


Box 47 Folder 27 Ethical Criteria for Contracts


Box 47 Folder 28 Human Rights (HR) Policies


Bristol-Myers Squibb


Box 47 Folder 29 Access


Box 47 Folder 30 HIV/AIDS


Box 47 Political Contributions


Box 47 Folder 31 Burlington--Indigenous Peoples


Caterpillar


Box 47 Folder 32 HIV/AIDS Reporting


Box 47 Folder 33 Human Rights?


Box 47 Folder 34 Cendant--CEO Pay


Chevron


Box 47 Folder 35 AIDS


Box 47 Folder 36 Arctic National Wildlife Refuge (ANWR)


Box 47 Folder 37 Renewable Energy


Box 47 Folder 38 Chubb--Global Warming


Box 47 Folder 39 Cigna--Tobacco Investments


Box 47 Folder 40 Cinergy--Global Warming


Box 47 Folder 41 Citi--International Community Reinvestment Act (CRA)


Box 47 Folder 42 Coca-Cola--HIV/AIDS


Box 47 Folder 43 Colgate--Human Rights


Box 47 Folder 44 Conoco--Arctic National Wildlife Refuge (ANWR)


Box 47 Folder 45 Cooper Cameron--Environmental Risk Disclosure


Box 47 Folder 46 Cooper Industries--Sustainability


Costco


Box 47 Folder 47 Annual Election


Box 47 Folder 48 Land Procurement


Box 47 Folder 49 CVS--Equal Employment Opportunity (EEO) Reporting


Box 47 Folder 50 Danaher--Board Diversity


Delphi


Box 47 Folder 51 Global Standards


Box 47 Folder 52 Tobacco Investments


Box 47 Folder 53 Delta--CEO Pay


Box 47 Folder 54 Dillards--Human Rights


Box 47 Folder 55 Dover--Sexual Orientation Nondiscrimination


Dow Chemical


Box 47 Folder 56 Bhopal


Box 47 Folder 57 Toxins


Box 47 Folder 58 El Paso--Pay Disparity


Eli Lilly


Box 47 Folder 59 Affordable Prescription Drugs


Box 47 Folder 60 HIV/AIDS?


Box 47 Folder 61 EOG--Environmental Risk Disclosure


Box 47 Folder 62 EW Scripps--Newsroom Diversity


Box 47 Folder 63 Excel--Global Warming


Exxon


Box 47 Folder 64 AIDS


Box 47 Folder 65 Global Warming (2 Folders)


Box 47 Folder 66 International Labor Organization (ILO)


Box 47 Folder 67 Sexual Orientation Nondiscrimination


Box 47 Folder 68 Renewable Energy


Fleet Bank


Box 47 Folder 69 International Community Reinvestment Act (CRA)


Box 47 Folder 70 Merger


Box 47 Folder 71 FMC--Board Diversity


Ford


Box 47 Folder 72 AIDS


Box 47 Folder 73 Global Warming


Box 47 Folder 74 General Dynamics--Foreign Military Sales


General Electric (GE)


Box 47 Folder 75 Pay Disparity


Box 47 Folder 76 PCBs


Box 47 Folder 77 Smoke-Movies


Box 47 Folder 78 Sustainability


Box 47 Folder 79 General Motors--Global Warming


Box 47 Folder 80 Genuine Parts--Environmental Risk Disclosure


Box 47 Folder 81 Gillette--Annual Elections


Box 47 Folder 82 Grant Pride--Board Diversity


Box 47 Folder 83 Honeywell--Pay Disparity


Box 47 Folder 84 Intel--Water Use


Box 47 Folder 85 International Paper--CEO Pay


Johnson and Johnson


Box 47 Folder 86 General


Box 47 Folder 87 HIV/AIDS


J.P. Morgan


Box 47 Folder 88 Derivatives


Box 47 Folder 89 Impact on Environment


Box 47 Folder 90 Pay Disparity


Box 47 Folder 91 Kellogg--Genetically Modified Organisms (GMOs)


Box 47 Folder 92 Keycorp--Subprime Lending


Box 47 Folder 93 Kerr McGee--Global Reporting Initiative (GRI)


Box 47 Folder 94 Kinder Morgan--Board Diversity


Box 47 Folder 95 Kohl's--Sexual Orientation Nondiscrimination


Box 47 Folder 96 Kroger--Sustainability


Box 47 Folder 97 Kraft--Coffee Crisis


Lehman


Box 47 Folder 98 Predatory Lending


Box 47 Folder 99 Private Prison


Box 47 Folder 100 Lockheed--Ethical Criteria for Contracts


Loews


Box 47 Folder 101 Environmental Tobacco Smoke (ETS)


Box 47 Folder 102 Global Reporting Initiative (GRI)


Box 47 Folder 103 Lite Cigarettes


Box 47 Folder 104 Longs--Separate Chairman and CEO


Box 47 Folder 105 Marathon--Global Warming


Box 47 Folder 106 MDC--Environmental Risk Disclosure


Merck


Box 47 Folder 107 HIV


Box 47 Folder 108 Patents


Box 47 Folder 109 Political Contributions


Box 47 Folder 110 MetLife--CEO Pay


Box 47 Folder 111 Monsanto--Genetically Modified Organisms (GMO) Reporting


Box 47 Folder 112 Newmont--Sustainability?


Box 47 Folder 113 Northfork--Board Diversity


Box 47 Folder 114 Northrop--Ethical Criteria for Contracts


Box 47 Folder 115 NVR--Environmental Risk Disclosure


Box 47 Folder 116 Occidental--Human Rights


Box 47 Folder 117 OGE--Sexual Orientation Nondiscrimination


Box 47 Folder 118 Pepsi America--Environmental Reporting


Box 47 Folder 119 Pepsico--HIV


Pfizer


Box 47 Folder 120 General


Box 47 Folder 121 HIV/AIDS Reporting


Box 47 Folder 122 Political Contributions


Box 47 Folder 123 Principal--Tobacco Investments


Box 47 Folder 124 Raytheon--Ethical Criteria for Contracts


Box 47 Folder 125 Rite Aid--Equal Employment Opportunity (EEO)


R.J. Reynolds


Box 47 Folder 126 Environmental Tobacco Smoke (ETS)


Box 47 Folder 127 Tobacco Smuggling


Box 47 Folder 128 Ruby Tuesday


Box 47 Folder 129 Ryland--Environmental Risk Disclosure



Box 48 Folder 1 Safeway--Genetically Modified Organisms (GMO)


Box 48 Folder 2 Saks--Vendor Standards


Box 48 Folder 3 Saks/Costco/99 Cents/Big Lots--Vendor Standards


Box 48 Folder 4 SBC--Annual Elections


Box 48 Folder 5 Schering Plough--Payments and Rebate Policies


Box 48 Folder 6 Skywest--Board Diversity


Box 48 Folder 7 Smith--Board Divsersity


Box 48 Folder 8 Southern--Global Warming


Box 48 Folder 9 Stanley--Annual Elections


Box 48 Folder 10 Sysco--Genetically Modified Organisms (GMO)


Box 48 Folder 11 Target--Global Reporting Initiative (GRI)


Box 48 Folder 12 Textron--Foreign Military Sales (FMS)


Time Warner


Box 48 Folder 13 Pay Disparity


Box 48 Folder 14 Political Contributions


Box 48 Folder 15 Public Obligations


Box 48 Folder 16 Teen Tobacco


TJX


Box 48 Folder 17 Annual Elections


Box 48 Folder 18 Vendor Standards


Box 48 Folder 19 Torchmark--Tobacco Investments


Box 48 Folder 20 Tribune--Political Contributions


Box 48 Folder 21 TXU--Global Warming


Box 48 Folder 22 Tyco--Environmental Reporting


Box 48 Folder 23 Tyson--One Vote


Box 48 Folder 24 United Technologies--Ethical Criteria for Contacts


Box 48 Folder 25 Unocal--Global Warming


Box 48 Folder 26 UST--Nitrosamines (TSNA)


Box 48 Folder 27 Valero--Global Warming


Box 48 Folder 28 VF Corporation--International Labor Organization (ILO) Code


Viacom


Box 48 Folder 29 CEO Pay


Box 48 Folder 30 Public Obligations


Box 48 Folder 31 Teen Tobacco


Box 48 Folder 32 Visteon--Global Standards


Wal-Mart


Box 48 Folder 33 Equal Employment Opportunity (EEO)


Box 48 Folder 34 Genetically Modified Organisms (GMOs)


Box 48 Folder 35 Sustainability


Box 48 Folder 36 Werner--Board Diversity


Box 48 Folder 37 Weyerhaeuser--Old Growth


Box 48 Folder 38 Wyeth--Access


Yum


Box 48 Folder 39 Annual Elections


Box 48 Folder 40 Genetically Modified Organisms (GMOs)


Box 48 Folder 41 Smoke Free


Box 48 Folder 42 Sustainability


2007



Box 35 Folder 13 Action--Shareholders Rights, 2007