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1940s
Brief, U.S. Securities and Exchange Commission v. Samuel Okin
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
1940
Investment Advisers Act of 1940 (Public Law No. 76-768) [Excerpt]
[document] (pdf) (Government Records)
1940
Investment Company Act of 1940 (Public Law No. 76-768) [Excerpt]; Enacted Sections 1-53 (accompanied by reports from the Senate Committee on Banking and Currency and the House Committee on Interstate and Foreign Commerce)
[document] (PDF) (Government Records)
1940
United States of America before the Securities and Exchange Commission in the Matter of McKesson & Robbins, Inc., pursuant to Section 21(a) of the Securities Exchange Act of 1934, Report on Investigation

(Courtesy of Daniel Goelzer, Simon Lorne and the Public Company Accounting Oversight Board)

January 23, 1940
NASD News - The Bulletin
[image] (pdf) (Courtesy FINRA)
February 1, 1940
Remarks of Chief Justice Charles Evans Hughes in recognition of 150th anniversary of first session of Supreme Court
[transcript] (pdf) (Charles Evans Hughes Papers, courtesy Library of Congress)
February 6, 1940
Statement of SEC Chairman Jerome N. Frank before the Foreign Relations Committee of the U.S. Senate on securities offerings of the Republic of Finland
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 1, 1940
Report on the trading in American securities in the British market, by Harold H. Neff, Foreign Expert, SEC
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 1940
Supreme Court of the United States: Securities and Exchange Commission v. United States Realty and Improvement Company - Petition for Writ of Certiorari
[image] (pdf) (Courtesy of National Archives and Records Administration)
March 13, 1940
Letter from SEC Chairman Jerome Frank to the Secretary of the Treasury requesting information on British transactions in American securities
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 15, 1940
Confidential Report from Harold H. Neff to SEC Chairman Frank on the trading in American securities on the British market
[transcript] (pdf) (Courtesy of the Library of Congress)
March 26, 1940
Letter from President Franklin D. Roosevelt to SEC Commissioner George Mathews
[image] (pdf) (Government Records)
March 28, 1940
Letter from Francis Biddle, Solicitor General to Charles Cropley, Clerk, Supreme Court of the United States requesting expedition of decision in SEC v. United States Realty
[image] (pdf) (Courtesy of National Archives and Records Administration)
March 28, 1940
Memo from Ganson Purcell to SEC Chairman Frank on daily figures on sales of dollar securities effected on behalf of the British Government
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 2, 3, 4, 5, 8, 9 and 10, 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part I

(Government Records)

April 11, 1940
Letter from Harold Neff to U.S. Supreme Court Justice William O. Douglas on report on foreign trading
[transcript] (pdf) (Courtesy of the Library of Congress)
April 12 to 26, 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part II

(Government Records)

Spring 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part III - Exhibits

(Government Records)

May 1940
Draft of SEC v. United States Realty and Improvement Company, with notes from Justice Harlan F. Stone
[image] (pdf) (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 1940
Notes from Justice William O. Douglas on SEC v. United States Realty
[transcript] (pdf) (William O. Douglas Papers, courtesy Library of Congress)
May 14, 1940
American Institute of Accountants Report of the Special Committee on Cooperation with Securities and Exchange Commission
[transcript] (pdf) (Courtesy of the American Institute of Certified Public Accountants)
May 16, 1940
Note from Justice Felix Frankfurter to Justice Harlan F. Stone in support of opinion in SEC v. United States Realty
[transcript] (pdf) (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 16, 1940
Note from Justice Hugo Black to Justice Harlan F. Stone in support of opinion in SEC v. United States Realty
[transcript] (pdf) (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 16, 1940
Note from Justice William O. Douglas to Justice Harlan F. Stone on SEC v. United States Realty
[transcript] (pdf) (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 18, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
May 20, 1940
Draft of letter from the President to SEC Chairman Jerome Frank requesting SEC restrictions on trading
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 20, 1940
SEC order suspending trading until May 31, 1940
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 24, 1940
Additional notes from Justice William O. Douglas on SEC v. United States Realty
[transcript] (pdf) (William O. Douglas Papers, courtesy Library of Congress)
May 24, 1940
Letter from Associate Justice Harlan Stone to Associate Justice Owen Roberts on SEC v. U.S. Realty and Improvement Company
[transcript] (pdf) (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 31 and June 4, 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part IV

(Government Records)

June 7, 1940
Independence and Cooperation - Address of William Werntz, SEC Chief Accountant to Controllers Institute of America
[transcript] (pdf) (AICPA Collection, University of Mississippi)
June 13, 1940
Accounting Requirements of the Securities and Exchange Commission - Address of William Werntz, SEC Chief Accountant to Texas Society of CPAs
[transcript] (pdf) (AICPA Collection, University of Mississippi)
June 13 to 14, 1940
Hearings before a Subcommittee of the Committee on Interstate and Foreign Commerce, U.S. House of Representatives on H.R. 10065, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers

(Government Records)

June 22, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
1927-1940
Monthly Average Value of New Securities Issued
[document] (pdf) (Courtesy of U.S. Department of Commerce, Survey of Current Business)
June 30, 1940
Sixth Annual Report of the Securities and Exchange Commission

(Government Records)

August 2, 1940
Letter from Arnold Barker to Jerome Frank on revision of Section 16-B
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 19, 1940
Letter from SEC Chairman Jerome Frank to Harry Hopkins questioning President Roosevelt for not appointing Frank to New York Court of Appeals
[transcript] (pdf) (Hugo Black Papers, courtesy Library of Congress)
August 28, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
September 16, 1940
The Government's Responsibility for the Regulation of Accounting Reports - Address of William Werntz to Accounting Symposium Bicentennial Conference
[transcript] (pdf) (AICPA Collection, University of Mississippi)
September 25, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
October 6, 1940
SEC Release No. 3033 - In the Matter of the Rules of the New York Stock Exchange, Findings and Opinions of the Commission
[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.)
October 18, 1940
The Sin of Perfectionism - Address of SEC Chairman Jerome Frank to American Institute of Accountants
[transcript] (pdf) (AICPA Collection, University of Mississippi)
November 9, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
November 12, 1940
Report to the SEC on the trading in American securities on the British market, by Harold H. Neff, Foreign Expert
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 5, 1940
In the Matter of McKesson & Robbins, Inc., Accounting Series Release No. 19, Summary of Findings and Conclusions
[image] (pdf) (Courtesy of James H. Perry)
December 30, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
1941 (Undated)
Brief for the Securities and Exchange Commission in the United States Circuit Court of Appeals for the Second Circuit - Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc.
[image] (pdf) (Government Records)
1941 (Undated)
Reply Brief for the Securities and Exchange Commission in the United States Circuit Court of Appeals for the Second Circuit - Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc.
[image] (pdf) (Government Records)
January 3, 1941
Minutes of meeting of Special Committee on Cooperation with Securities and Exchange Commission
[transcript] (pdf) (Courtesy of the American Institute of Certified Public Accountants)
January 7, 1941
Memorandum for American Institute of Accountants: Rule 2-02 of Regulation S-X
[transcript] (pdf) (Courtesy of the American Institute of Certified Public Accountants)
January 10, 1941
Letter from H.A. Withey to John Carey on appropriate form of auditor's report
[transcript] (pdf) (Courtesy of the American Institute of Certified Public Accountants)
January 14, 1941
Minutes of meeting of Special Committee on Cooperation with Securities and Exchange Commission
[transcript] (pdf) (Courtesy of the American Institute of Certified Public Accountants)
January 15, 1941
SEC Release on Raymond Concrete File Company Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
February 17, 1941
Report on SEC investigation in the matter of the disciplinary proceedings of the New York Curb Exchange
[transcript] (pdf) (Courtesy FINRA)
March 14, 1941
Memo by Francis T. Greene of conference with Mr. Donovan regarding General Industries Company
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 14, 1941
NASD News
[image] (pdf) (Courtesy FINRA)
March 21, 1941
Letter from Dan T. Moore, SEC Regional Administrator, to Chester T. Lane, SEC General Counsel
[document] (pdf) (Courtesy of Milton Kroll)
April 3, 1941
Brief for Defendant, Chinese Consolidated Benevolent Association, Inc. in the United States Circuit Court of Appeals for the Second Circuit - Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc.
[image] (pdf) (Government Records)
April 30, 1941
Memorandum from U.S. Securities and Exchange Commission Legal Division to All Attorneys re Levy et al. v. Feinberg et al.
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
May 8, 1941
NASD News
[image] (pdf) (Courtesy FINRA)
May 16, 1941
Letter from Francis T. Greene to William T. Gardiner, Incorporated Investors
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 16, 1941
Memo by Francis T. Greene of conference with William T. Gardiner
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 21, 1941
Memo to the SEC Commission from Ganson Purcell, Walter C. Louchheim, Jr. and Edwin A. Sheridan with review of Harold Neff's report on Yandell study
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 7, 1941
Standards of Disclosure in Financial Statements - Address of Andrew Cavanaugh, Assistant Director, SEC Registration Division to Middle Atlantic States Accounting Conference
[transcript] (pdf) (AICPA Collection, University of Mississippi)
June 23, 1941
Letter from SEC Chairman Ganson Purcell to Justice William O. Douglas on proposed amendment to Exchange Act
[image] (pdf) (William O. Douglas Papers, courtesy Library of Congress)
June 24, 1941
Memo by G .C. Poole of conference on Plough, Inc. Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 27, 1941
Memo from Harold Neff to the SEC Commission on the study of the London Stock Exchange
[image] (pdf) (Courtesy of the National Archives and Records Administration)
June 30, 1941
Seventh Annual Report of the Securities and Exchange Commission

(Government Records)

August 7, 1941
Selections from the Report of the SEC on Proposals for Amendments to the Securities Act of 1933 and the Securities Exchange Act of 1934 to the U.S. House of Representatives, 77th Congress, 1st Session (copy is inscribed "Homer Kripke")
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 2, 1941
Memo by Francis T. Greene of conference with Mr. Ward on National Cylinder Gas Company Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 16, 1941
Progress in Accounting - Address of William Werntz, SEC Chief Accountant to American Institute of Accountants
[transcript] (pdf) (AICPA Collection, University of Mississippi)
October 1, 1941
NASD News
[image] (pdf) (Courtesy FINRA)
October 6, 1941
Findings and Opinion of the SEC in the matter of the Rules of the New York Stock Exchange
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 16, 1941
Memo by Francis T. Greene of telephone call from Bruce Tuttle on Autocar Company Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 1, 1941
Letter from Chief Justice Harlan F. Stone to Justice James Byrnes on practice of writing and circulating opinions among justices
[transcript] (pdf) (Harlan Fiske Stone Papers, courtesy Library of Congress)
November 13, 1941
Letter from SEC Chairman Edward Eicher to L.A. Moyer, U.S. Civil Service Commission requesting that the SEC be designated as a defense agency
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 13, 1941
Memo by Francis T. Greene of telephone conversation with Mr. Kramer
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 15, 1941
NASD News
[image] (pdf) (Courtesy FINRA)
December 4, 1941
Memo by Francis T. Greene of telephone call from Mr. Doolittle on short selling of Jacobs Aircraft Engine Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 6, 1941
Memo from George S. Parlin to Francis T. Greene regarding secondary distribution of Jacobs Aircraft through Ritter and Company
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
January 1, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
February 13, 1942
Memo from Raymond Vernon to James A. Treanor, Jr. on summary of transactions in American Telephone and Telegraph Co. common stock in selected periods
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
February 15, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
February 24, 1942
Letter from Frank Scheffey, NASD to H.H. Dewar, Chairman, NASD Board of Governors on relationship between the District Committees and the National Board of Governors
[transcript] (pdf) (Courtesy FINRA)
March 7, 1942
Letter from Murray Hanson, NASD to Orrin Wood, Estabrook & Company on proceeding against SEC on legality of underwriting and selling group agreements
[transcript] (pdf) (Courtesy FINRA)
April 15, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
April 25, 1942
Letter from President Franklin D. Roosevelt to SEC Chairman Ganson Purcell
[document] (pdf) (Courtesy of Milton Kroll)
May 16, 1942
Minutes of the Meeting of the U.S. Securities and Exchange Commission
[document] (pdf) (Courtesy of Paul Gonson)
May 21, 1942
U.S. Securities and Exchange Commission Press Release on Adoption of Rule X-10B-5
[document] (pdf) (Courtesy of Paul Gonson)
May 25, 1942
Letter from Justice Robert H. Jackson to Chief Justice Harlan F. Stone on Wickard v. Filburn
[image] (pdf) (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 26, 1942
Memo from Francis F. Lincoln to SEC Chairman on present position and activities of the Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 15, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
June 30, 1942
Eighth Annual Report of the Securities and Exchange Commission
[image] (pdf) (Government Records)
July 1942
Supreme Court of the United States: Securities and Exchange Commission v. Chenery Corporation, et al. - Petition for Writ of Certiorari
[image] (pdf) (Courtesy of National Archives and Records Administration)
July 31, 1942
Letter from John L. Carey, American Institute of Accountants to AIA members and associates on demand for accountants in war agencies
[image] (pdf) (Courtesy of the American Institute of Certified Public Accountants)
August 1, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
August 11, 1942
Memo from Woolvin Patten to James A. Treanor, Jr. on insider trades
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 14, 1942
Memo from Mr. Keenan to Mr. Treanor, Miss Stieg, Mr. Knudsen and Mr. Vernon on market disclosure rule
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 19, 1942
Reassignment of the Functions and Activities of Certain Divisions of the U.S. Securities and Exchange Commission
[document] (pdf) (Courtesy of Paul Gonson)

1 to 100 of 328 records

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