Papers (1930s) | Papers | Virtual Museum and Archive of the History of Financial Regulation

[image] (pdf) (All rights are owned exclusively by NYSE Euronext (copyright) 2010 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives. All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)

November 1, 1938

Letter from SEC Chairman William O. Douglas to William McC. Martin, New York Stock Exchange on the investigation of Richard Whitney & Company

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

November 1938

William O. Douglas, Administrative Government in Action, Speech to Lotos Club

[document] (pdf) (with permission of the Yale University Press)

November 1938

William O. Douglas, Conservative Finance and the Holding Company Act, Talk to Harvard Club of Boston

[document] (pdf) (with permission of the Yale University Press)

November 8, 1938

Letter from William O. Douglas to the Attorney General

[transcript] (pdf) (Courtesy of the National Archives)

November 8, 1938

Memo from Samuel O. Clark, Jr., Director, Reorganization Division, to William O. Douglas

[transcript] (pdf) (Courtesy of the National Archives)

November 12, 1938

Letter from William O. Douglas to Thomas Reed Powell, Harvard Law School

[transcript] (pdf) (Courtesy of the Library of Congress)

November 12, 1938

Letter to President Roosevelt with information in consideration of Wiley Rutledge for U.S. Supreme Court

[transcript] (pdf) (Hugo Black Papers, courtesy Library of Congress)

November 22, 1938

Report on Foreign Dealings in American Securities - By Lunsford P. Yandell

[image] (pdf) (Courtesy of the Library of Congress)

November 23, 1938

Letter from Representative A.J. Sabath to Thomas Corcoran re Joseph L. Tupy

[document] (pdf) (Courtesy of the Library of Congress)

November 30, 1938

Memo from Walter C. Louchheim, Jr. to Ganson Purcell on Yandell Report on Foreign Dealings in American Securities by Lunsford P. Yandell

[transcript] (pdf) (Courtesy of the Library of Congress)

December 2, 1938

Letter from Senator Theodore Bilbo to SEC

[document] (pdf) (Courtesy of the National Archives)

December 6, 1938

Letter from William O. Douglas to C.E. Groesbeck, Electric Bond and Share Company

[transcript] (pdf) (Courtesy of the Library of Congress)

December 17, 1938

Memorandum of conference at the New York Stock Exchange with SEC Chairman William O. Douglas and Ganson Purcell, SEC Trading and Exchange Division

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

December 19, 1938

Draft SEC statement on the decision of the New York Stock Exchange to take no action against members involved in the Whitney episode

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

December 22, 1938

Memo from William O. Douglas to Chester Lane

[transcript] (pdf) (Courtesy of the Library of Congress)

December 27, 1938

Letter from Francis White, Foreign Bondholders Protective Council, Inc. to SEC Chairman William O. Douglas re Colombia

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

1939

1939 SEC Organizational Chart

[document] (pdf) (Courtesy of National Archives)

1939

SEC Commissioner Robert Healy's comments on material relating to interstate commerce and restraint of trade aspects of the NYSE rule

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

1939

SEC Commissioner Robert Healy's suggestions on multiple trading hearing

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

1939

SEC Memorandum of Law regarding multiple trading rule

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

January 3, 1939

Letter from SEC Chairman William O. Douglas to Francis White, Foreign Bondholders Protective Council, Inc.

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

1939

Undated Thomas Corcoran Memo on SEC Commission Succession

[document] (pdf) (Courtesy of the Library of Congress)

January 6, 1939

Letter from Francis White, Foreign Bondholders Protective Council, Inc. to SEC Chairman William O. Douglas re Colombia

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

January 9, 1939

Letter from Counsellor, Canadian Legation, to SEC Chairman William O. Douglas on regulation of Canadian securities

[image] (pdf) (Courtesy of the National Archives and Records Administration)

January 10, 1939

Letter from William McC. Martin, New York Stock Exchange to SEC Chairman William O. Douglas on disposition of Whitney case

[image] (pdf) (Courtesy of the National Archives and Records Administration)

January 19, 1939

Comments on the McKesson & Robbins case, from letters sent to American Institute of Accountants

[transcript] (pdf) (Courtesy of the American Institute of Certified Public Accountants)

January 26, 1939

Memo from Raoul Berger to Milton Freeman

[document] (pdf) (Courtesy of the National Archives)

January 27, 1939

Address of John Carey to Pittsburgh Chapter, American Institute of Accountants on McKesson & Robbins case

[transcript] (pdf) (Courtesy of the American Institute of Certified Public Accountants)

February 21, 1939

Review by Members of the Staff of the Trading and Exchange Division of "Report on the London Stock Exchange" and "Report on Foreign Dealings in American Securities"

[transcript] (pdf) (Courtesy of the Library of Congress)

February 23, 1939

Memo from Edwin A. Sheridan, Executive Assistant to SEC Chairman William O. Douglas, with comments on statement from New York Stock Exchange

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

March 4, 1939

Letter from American Institute of Accountants Special Committee on McKesson and Robbins

[image] (pdf) (Courtesy of the American Institute of Certified Public Accountants)

March 15, 1939

Final Report from M.L. Ramsay to the SEC Commissioners on the Collection and Dissemination of Information

[document] (pdf) (Courtesy of the Library of Congress)

March 15, 1939

On Amending the Law, SEC Statement to Stock Exchange Committee Report

[document] (pdf) (with permission of the Yale University Press)

March 20, 1939

Report on English Underwriting and Distribution, Methods and Practices - By Lunsford P. Yandell

[transcript] (pdf) (Courtesy of the Library of Congress)

March 21, 1939

Congratulation letter from Justice Harlan Stone to William O. Douglas on appointment to U.S. Supreme Court

[transcript] (pdf) (Harlan Fiske Stone Papers, courtesy Library of Congress)

April 11, 1939

Letter from William O. Douglas to Abe Fortas, SEC Public Utilities Division

[transcript] (pdf) (Courtesy of the Library of Congress)

April 12, 1939

Letter from SEC Chairman William O. Douglas to President Roosevelt with views of statutes administered by SEC

[transcript] (pdf) (William O. Douglas Papers, courtesy Library of Congress)

April 12, 1939

Memorandum from SEC Chairman William O. Douglas to President Roosevelt on insurance investigation

[transcript] (pdf) (William O. Douglas Papers, courtesy Library of Congress)

April 24, 1939

Letter from William O. Douglas to George E. Bates, Harvard University

[transcript] (pdf) (Courtesy of the Library of Congress)

April 27, 1939

Memo from Jerome Frank to Thomas Corcoran with draft Wall Street Journal article

[document] (pdf) (Courtesy of the Library of Congress)

April 28, 1939

Letter from William O. Douglas to Hector J. Dowd, SEC

[transcript] (pdf) (Courtesy of the Library of Congress)

May 23, 1939

Notes from Wiley Rutledge on conversation with President Franklin Roosevelt

[transcript] (pdf) (Wiley Rutledge Papers, courtesy Library of Congress)

May 31, 1939

Letter from Jerome Frank to William O. Douglas

[transcript] (pdf) (Courtesy of the Library of Congress)

June 16, 1939

Address of SEC Commissioner Robert E. Healy before the Harvard Business School Alumni Association

[transcript] (pdf) (Courtesy of Stephen Zeff)

June 30, 1939

Fifth Annual Report of the Securities and Exchange Commission

(Government Records)

Part 1 [image] (pdf)
Part 2 [image] (pdf)

August 2, 1939

Letter from Jerome Frank to William O. Douglas

[document] (pdf) (Courtesy of the National Archives)

August 7, 1939

Memorandum from Martin Riger, Assistant Director, Reorganization Division, to Chester Lane, General Counsel, on Chapters X and XI of the Bankruptcy Act

[document] (pdf) (Courtesy of the estate of Nathan Sameth)

August 26, 1939

Letter from SEC Chairman Jerome Frank to Secretary of State Cordell Hull on sale of bonds of the Republic of China in the United States

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

September 6, 1939

Letter from SEC Chairman Jerome Frank to the Secretary of State on hearing on Konversionskasse

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

September 7, 1939

Financial Statements for Investors - Address of William Werntz, SEC Chief Accountant before Ohio Society of CPAs

[transcript] (pdf) (AICPA Collection, University of Mississippi)

September 20, 1939

Subjects for Accounting Research - Address of William Werntz, SEC Chief Accountant to American Institute of Accountants

[transcript] (pdf) (AICPA Collection, University of Mississippi)

September 21, 1939

What is Expected of the Independent Auditor: From the Viewpoint of the Investor - Address of William Werntz, SEC Chief Accountant to American Institute of Accountants

[transcript] (pdf) (AICPA Collection, University of Mississippi)

October 12, 1939

Accounting and the Commission's Enforcement Program - Address of Robert E. Kline, Jr., SEC Assistant General Counsel to Chi Chapter of Delta Sigma Pi, Johns Hopkins University

[transcript] (pdf) (AICPA Collection, University of Mississippi)

October 31, 1939

Notes of Herbert Feis, Adviser on International Economic Affairs, Department of State of meeting with the Department of the Treasury on foreign securities

[image] (pdf) (Courtesy of the Library of Congress)

November 15, 1939

The Relation of Accounting Statements and Reports to Security Issues - Address of William Werntz, SEC Chief Accountant to Third National Accounting Conference

[transcript] (pdf) (AICPA Collection, University of Mississippi)

November 16, 1939

Letter from President Franklin D. Roosevelt to Mrs. Pierce Butler on the death of her husband

[transcript] (pdf) (With permission of the Pierce Butler Family Papers, Minnesota Historical Society)

December 7, 1939

Memorandum from Justice William O. Douglas requesting disqualification in consideration of Radio-Keith-Orpheum Corporation case

[transcript] (pdf) (Harlan Fiske Stone Papers, courtesy Library of Congress)

December 11, 1939

Note from T.H. Sanders with proposed SEC Accounting Release No. 11: Accounting for Marketable Securities

[transcript] (pdf) (Courtesy of the American Institute of Certified Public Accountants)

December 15, 1939

Supreme Court of the United States: A.C. Frost & Company vs. Coeur d'Alene Mines Corporation - Petition for Writ of Certiorari

[image] (pdf) (Courtesy of National Archives and Records Administration)

1939

Excerpts of testimony of Samuel J. Broad before SEC hearing

[transcript] (pdf) (Courtesy of the American Institute of Certified Public Accountants)

1939

Memorandum on Associate Justice Pierce Butler, prepared by his daughter, accompanying letter to Miss Susie Hershberg

[transcript] (pdf) (With permission of the Pierce Butler Family Papers, Minnesota Historical Society)

1939

Tribute to Associate Justice Pierce Butler

[transcript] (pdf) (With permission of the Pierce Butler Family Papers, Minnesota Historical Society)

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