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542 records in this section.

1960
Hawaii Omnibus Act (Public Law No. 86-624); Section 202 of IAA amended; Sections 2(a)(37), 6(a)(1) of ICA amended
[document] (PDF) (Government Records)
1960
Investment Advisers Act of 1940 Amendment (Public Law No. 86-750); Sections 202, 203, 204, 205, 206, 208, 209, 210(b), 211, 217 of IAA amended
[document] (pdf) (Government Records)
1960s (undated)
Letter from SEC Commissioner Jack M. Whitney II to Edwin Darby, Chicago Sun-Times
[transcript] (pdf) (Government Records)
1960
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1960
Postal Service (Public Law No. 86-507); Section 211 of IAA amended; Sections 8(e), 40(a) of ICA amended
[document] (PDF) (Government Records)
1960s
Rule 394 by Eugene Rotberg
[document] (pdf) (Courtesy of Eugene Rotberg)
1960 to 1964
Summary of Interpretations for Staff Use Only, U.S. Securities and Exchange Commission Division of Corporation Finance
[document] (pdf) (Courtesy of Richard Rowe)
1960
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
March 1960
NASD News
[image] (pdf) (Courtesy FINRA)
March 9, 1960
Introduction by Joseph C. Woodle, Division of Corporation Finance, at Farewell Luncheon for Lawrence M. Greene
[document] (pdf) (Courtesy of Lawrence Greene)
May 3, 1960
New York State Attorney General Release on charges against Gervin Barrett for selling non-existent oil leases
[image] (pdf) (Courtesy of Orestes Mihaly)
May 19, 1960
New York State Attorney General Release on charge against Fred F. Hesse for forging signatures on Manufacturers Hanover Trust Company certificates
[image] (pdf) (Courtesy of Orestes Mihaly)
June 8, 1960
New York State Attorney General Release on charges against Robert Winterberger for stock fraud
[image] (pdf) (Courtesy of Orestes Mihaly)
July 15, 1960
SEC Release on Byron D. Woodside becoming SEC Commissioner
[image] (pdf) (Courtesy of the estate of Mollie B. Zion)
August 11, 1960
New York State Attorney General Release on charges against O.T.C. Enterprises, Inc. for "flying saucer" stock fraud (Note: The release is mis-dated 1970.)
[image] (pdf) (Courtesy of Orestes Mihaly)
August 25, 1960
New York State Attorney General Release on longer prison sentences and increased fines for "boiler room" operators
[image] (pdf) (Courtesy of Orestes Mihaly)
October 13, 1960
New York State Attorney General Release on bar against Albert Harris
[image] (pdf) (Courtesy of Orestes Mihaly)
November 16, 1960
Memo from Mollie Zion to Mildred Hartley on the library of Manuel Cohen
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
December 1960
NASD News
[image] (pdf) (Courtesy FINRA)
December 1960
Report on Regulatory Agencies to the President-Elect by James M. Landis
[document] (pdf) (Courtesy of Justin Feldman)
December 8, 1960
New York State Attorney General Release charging fraud against author of "How I Made $2,000,000 in the Stock Market"
[image] (pdf) (Courtesy of Orestes Mihaly)
December 23, 1960
Memo from Walter P. North to SEC Chairman Edward N. Gadsby on establishing a quorum as less than a majority of the Commission
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
1961
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1961
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
February 5, 1961
Letter from Senator J. Allen Frear, Jr. to President Kennedy on his nomination to the SEC Commission
[image] (jpg) (Courtesy of the John F. Kennedy Presidential Library)
February 24, 1961
Memo from Walter W. Heller to President Kennedy on "Blue-Ribbon" Committee on Full Recovery
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
March 12, 1961
SEC Release on Manuel Cohen receiving National Civil Service League Career Service Award
[image] (pdf) (Courtesy of the estate of Mollie B. Zion)
March 14, 1961
Letter from J. Truman Bidwell, New York Stock Exchange to President Kennedy in thanks for March 13th meeting
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
March 17, 1961
Letter from G. Keith Funston, New York Stock Exchange to President Kennedy on investing advertisements
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
March 17, 1961
Memo from Walter W. Heller to President Kennedy on the economics of the second-stage recovery program
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
March 21, 1961
Memo from Edward H. Emerson to Philip A. Loomis, Jr. on "our speculative market"
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 1961
NASD News
[image] (pdf) (Courtesy FINRA)
April 25, 1961
Letter from President Kennedy appointing Manuel F. Cohen, Director, SEC Division of Corporation Finance to the Council for the Administrative Conference of the U.S.
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
April 27, 1961
Message from the White House to Congress on reorganization of the Securities and Exchange Commission
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
April 28, 1961
Letter from SEC Chairman William L. Cary to David E. Bell, Bureau of the Budget on SEC reorganization
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
May 4, 1961
Oral Argument in the Matter of Re, Re and Sagarese
[document] (pdf) (Courtesy of David Silver)
May 16, 1961
Letter from R.J. Reynolds to SEC asking for investigation of rigged markets in new issues of over-counter stocks
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 18, 1961
Memo from Ezra Weiss to William D. Moran on May 16, 1961 Letter from R.J. Reynolds
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 2, 1961
Statement of SEC Chairman William L. Cary before the Securities Subcommittee of the Senate Committee on Banking and Currency on Reorganization Plan No. 1 of 1961
[image] (pdf) (Government Records)
June 27, 1961
Letter from William A. Ader, Ader's Dress Shoppe, to the SEC regarding insider trading
[image] (pdf) (Courtesy of the National Archives and Records Administration)
June 28, 1961
Official Report of Proceedings before the Securities and Exchange Commission in the matter of the Japanese American Depository Conference
[image] (pdf) (Courtesy of Michael Mann)
July 3, 1961
Letter from Philip A. Loomis, Jr. to Wiliam A. Ader, Ader's Dress Shoppe
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 5, 1961
Letter from William A. Ader, Ader's Dress Shoppe, to Philip A. Loomis, Jr. regarding insider trading
[image] (pdf) (Courtesy of the National Archives and Records Administration)
July 6, 1961
Memo from SEC Chairman William L. Cary to the White House, asking that Manuel F. Cohen be appointed SEC Commissioner
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
August 1961
NASD News
[image] (pdf) (Courtesy FINRA)
August 2, 1961
Statement of SEC Chairman William L. Cary before Subcommittee No. 2 of the House Committee on Banking and Currency on HR 6672
[image] (pdf) (Government Records)
August 4, 1961
Memo from Walter W. Heller to President Kennedy on the current spurt in the stock market
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
August 9, 1961
Letter from SEC Chairman William L. Cary to Phillip S. Hughes, Bureau of the Budget on S.2135
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
August 11, 1961
Letter from SEC Chairman William L. Cary to Ralph Dungan, White House on proposed investigation of the over-the-counter market and exchange practices
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
August 15, 1961
Letter from SEC Chairman William L. Cary to James M. Landis, Bureau of the Budget on S.2135
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
September 21, 1961
Top Secret Security Clearance for Mollie B. Zion, Secretary, SEC Division of Corporation Finance
[image] (pdf) (Courtesy of the estate of Mollie B. Zion)
October 30, 1961
Memo from Frederick Moss and Eugene Rotberg to U.S. Securities and Exchange Commission Staff Attorneys
[document] (pdf) (Courtesy of Paul Gonson)
November 8, 1961
In the Matter of Cady, Roberts & Co., U.S. Securities and Exchange Commission
[image] (pdf) (Courtesy of the Library of Congress)
November 17, 1961
"Policing the Securities Industry: More Regulation - Or More Responsibility?" - Remarks by G. Keith Funston, President, New York Stock Exchange before the New England Council
[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.)
December 6, 1961
Letter from G. Keith Funston, New York Stock Exchange to SEC Chairman William L. Cary about upcoming investigations for the Special Study
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 14, 1961
Memo from Willard K. Vanderbeck, New York Stock Exchange on visit by David Silver and Otto Lowe, Jr.
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 27, 1961
Memo from J. William O'Reilly, New York Stock Exchange on call from Bob Bretz, SEC
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 27, 1961
Memo from Willard K. Vanderbeck, New York Stock Exchange on visit of Milton Cohen
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
Early 1960s
Instructional Manual, The Securities Act of 1933, prepared by Irene Duffy, Newton Feldman and George Parlin, New York Regional Office, U.S. Securities and Exchange Commission
[document] (pdf) (Government Records)
1962
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1962
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
January 9, 1962
Letter from U.S. Senator J. Glenn Beall to SEC Chairman William L. Cary requesting information on fraudulent activities of savings and loans associations
[transcript] (pdf) (Government Records)
January 15, 1962
Letter from Everett Reese, The City National Bank & Trust Company of Columbus, to SEC Chairman William L. Cary regarding directorship
[image] (pdf) (Courtesy of the National Archives and Records Administration)
February 6, 1962
Memo from SEC Chairman William L. Cary to President Kennedy on the January 6th Staff Report on the investigation of the American Stock Exchange
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
February 8, 1962
Memo from SEC Chairman William L. Cary to Philip A. Loomis, Jr., SEC Division of Trading and Exchanges, on NASD listing requirements
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
February 13, 1962
Reply from Everett Reese, The City National Bank & Trust Company of Columbus, to SEC Chairman William L. Cary regarding denial of directorship
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 6, 1962
Letter from Milton H. Cohen, Director, Special Study of Securities Markets, to Broker-Dealers requesting information
[transcript] (pdf) (Government Records)
March 12, 1962
Memo from Mollie Zion to Manuel Cohen on turnover among attorneys in the Division of Corporation Finance
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
April 16, 1962
Letter from Milton H. Cohen, Director of the Special Study of Securities Markets, introducing questionnaire to firms on selection, training and supervision of salesmen
[image] (pdf) (Government Records)
April 23, 1962
Staff orientation to the SEC's work, presented by Mollie Zion
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
April 25, 1962
Report on Conference on the Wharton School Study between the SEC and the Wharton School
[transcript] (pdf) (Government Records)
May 1962
"Our Securities Markets _ Some S.E.C. Problems and Techniques" - by Paul Windels, Jr., New York Law Forum
[image] (pdf) (Courtesy of Paul Windels, Jr., with permission of the New York Law School)
May 10, 1962
Memo from J. William O'Reilly, New York Stock Exchange on telephone meeting with Fred Siesel
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 28, 1962
Letter from Mrs. Alfred E. Norris to President Kennedy expressing her concerns about the stock market
[image] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
May 28, 1962
Memo from Walter W. Heller to President Kennedy on the market
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
May 29, 1962
Letter from SEC Chairman William L. Cary to Walter W. Heller recommending alternate language on the SEC market study in "The Present Decline in Perspective"
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
May 29, 1962
Memo from John Kenneth Galbraith to President Kennedy advising White House action on the stock market decline
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
May 29, 1962
Memo from McGeorge Bundy to President Kennedy advising White House action on the stock market decline
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
May 29, 1962
Postcard from George R. Brown to President Kennedy
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 29, 1962
Postcard from George R. Brown to President Kennedy
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 29, 1962
Report from the Council of Economic Advisers: The Present Decline in Perspective
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
May 31, 1962
Telegram from G. Keith Funston, New York Stock Exchange to SEC Chairman William L. Cary protesting SEC statements
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 1962
NASD News
[image] (pdf) (Courtesy FINRA)
June 5, 1962
Letter from SEC Chairman William L. Cary to Timothy J. Reardon, Jr., The White House with report on securities regulation developments during May 1962
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
June 6, 1962
Memo from SEC Chairman William L. Cary to Walter W. Heller on the study of the market during the period of May 28, 1962
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
June 12, 1962
Response Letter from Walter W. Heller to SEC Chairman William L. Cary on the study of the market during the period of May 29, 1962
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
June 14, 1962
Postcard from W.F. Callaway to President Kennedy
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 14, 1962
Postcard from W.F. Callaway to President Kennedy
[image] (pdf) (Courtesy of the National Archives and Records Administration)
June 18, 1962
Letter from Walter W. Heller to SEC Chairman William L. Cary on the status of the stock market
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
July 5, 1962
Letter from Ralph A. Dungan, The White House to Mrs. Alfred E. Norris on the stock market decline
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
July 9, 1962
Letter from Irwin Friend, Securities Research Unit, The Wharton School to the SEC transmitting the mutual funds study
[image] (pdf) (Government Records)
July 11, 1962
Letter from Milton Cohen, SEC to G. Keith Funston, New York Stock Exchange requesting information for the Special Study
[image] (pdf) (Courtesy of New York Stock Exchange Archives)
July 24, 1962
Memo from J. William O'Reilly, New York Stock Exchange on Benjamin Einhorn's meeting with the Special Study group
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
July 25, 1962
Letter from Carl L. Shipley, Chairman of the Republican State Committee for the District of Columbia, to Timothy J. Reardon, Jr., The White House, in protest of the study of mutual funds
[image] (pdf) (Government Records)
August 1962
A Study of Mutual Funds, Prepared for the Securities and Exchange Commission by the Wharton School of Finance and Commerce (The Wharton Report)

(Government Records)

August 8, 1962
Memo from J.J. Donohue, New York Stock Exchange on Charles H. Jewett's meeting with the SEC
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
August 28, 1962
Summary of Over-the-Counter Interviews by Eugene Rotberg to Milton H. Cohen, Ralph S. Saul, Richard H. Paul and Herbert G. Schick
[document] (pdf) (Courtesy of Eugene Rotberg)
September 5, 1962
Memo from Willard K. Vanderbeck, New York Stock Exchange on visit of Fred Siesel, SEC Special Study Group
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 29, 1962
SEC Order directing investigation and study and designating officers to take testimony in the matter of investment companies registered under the Investment Company Act of 1940
[image] (pdf) (Government Records)
November 1962
NASD News
[image] (pdf) (Courtesy FINRA)
November 16, 1962
Letter from G. Keith Funston, New York Stock Exchange to Milton H. Cohen, SEC
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 17, 1962
Memorandum of Telephone Call from Lewis Godwin to the White House, advising that the Soviet Union may be planning military maneuvers in Cuba, possibly for the purpose of affecting the New York Stock Exchange
[image] (jpg) (Courtesy of the John F. Kennedy Presidential Library)
December 18, 1962
Letter from James J. Saxon, Comptroller of the Currency, to SEC Chairman William L. Cary on statements made by Charles Shreve
[transcript] (pdf) (Government Records)
1963
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1963
Reflections by Milton Cohen on the Special Study of Securities Markets, presented at the Practising Law Institute, New York City
[document] (pdf) (Courtesy of Milton Cohen)
1963
SEC Special Study of the Securities Markets

(Courtesy of Stuart Kaswell; made possible through a gift from the family of Milton H. Cohen)

1963
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
February 5, 1963
Address of SEC Commissioner Jack M. Whitney II before the Washington Society of Investment Analysts
[image] (pdf) (Courtesy of Stephen A. Zeff)
February 7, 1963
Letter from SEC Chairman William L. Cary to the Secretary of the Treasury on statements made by James J. Saxon
[transcript] (pdf) (Government Records)
March 22, 1963
Recommendation from SEC Commissioner Manuel Cohen to Harry Pollack, Office of Personnel, for increase in pay grade for Mollie Zion
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
April 1963
NASD News
[image] (pdf) (Courtesy FINRA)
April 3, 1963
SEC Release No. 22 on the Special Market Study: Chapter III, Selling Practices
[image] (pdf) (Government Records)
April 5, 1963
Letter from U.S. Representative Oren Harris, Committee on Interstate and Foreign Commerce, to SEC Chairman William Cary
[document] (pdf) (Courtesy of Milton Cohen)
April 4, 1963
Memo of discussion between Joseph Reeve and Walter P. North on the SEC's legislative program
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
April 18 and 19, 1963
Memo of discussion between Joseph Reeve and Walter P. North on the SEC's legislative proposals
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
April 24, 1963
Memorandum of Conference with Industry Representatives regarding the Commission's Legislative Program
[image] (pdf) (Government Records)
April 25, 1963
Letter from Louis Loss to SEC Chairman William L. Cary on the SEC's legislative proposals
[image] (pdf) (Government Records)
April 25, 1963
Memo from G. Keith Funston to the New York Stock Exchange Board of Governors on SEC legislative program
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
April 30, 1963
Memo of conference at Bureau of Budget on the SEC's proposed legislative program
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
May 6, 1963
Compilation of comments on SEC Special Study from New York Stock Exchange departments
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 6, 1963
Report #1 from Norman C. Miller, New York Stock Exchange on SEC data in Special Study Chapter I
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 14, 1963
Report #2 from Norman C. Miller, New York Stock Exchange on SEC data in Special Study Chapter I
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 15, 1963
Memo from Edward C. Gray, New York Stock Exchange on SEC legislative proposals
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 16, 1963
Report #3 from Norman C. Miller, New York Stock Exchange on SEC data in Special Study Chapter I
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 27, 1963
Report #4 from Norman C. Miller, New York Stock Exchange on SEC data in Special Study Chapter I
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 29, 1963
Memo from Phillip S. Hughes to Mr. Feldman on the administration program on SEC legislation
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
May 31, 1963
Memo from A. James Meigs to G. Keith Funston, New York Stock Exchange on review of SEC Special Study Chapter I
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 1963
NASD News
[image] (pdf) (Courtesy FINRA)
June 3, 1963
Letter from Harry Heller to SEC Commissioner Manuel F. Cohen on the SEC's legislative proposals
[image] (pdf) (Government Records)
June 5, 1963
Letter from Donald I. Rogers, New York Herald Tribune, to SEC Chairman William Cary
[image] (pdf) (Government Records)
June 7, 1963
Memo from Walter W. Heller to President Kennedy on possible discussions with top business leaders
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
June 10, 1963
Washington Report of the Association of Stock Exchange Firms
[image] (pdf) (Government Records)
June 15, 1963
Memo from Walter W. Heller on milestones in the Kennedy expansion
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
June 26, 1963
Letter from James M. Landis to U.S. Senator Harrison A. Williams, Jr. in support of SEC legislative proposals
[image] (pdf) (Government Records)
July 22, 1963
Memo from Ralph Saul, Special Study of Securities Markets to the SEC Chairman on the organization of the Division of Trading and Exchanges
[image] (pdf) (Courtesy of the National Archives and Records Administration)
July 26, 1963
Letter from U.S. Representative Oren Harris, Committee on Interstate and Foreign Commerce, to SEC Chairman William Cary
[document] (pdf) (Courtesy of Milton Cohen)
July 30, 1963
Memo from G. Keith Funston to New York Stock Exchange Department Heads on "Operation S.E.C."
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
August 10, 1963
Letter from Carl W. Stern to Milton Cohen on the Special Study
[image] (pdf) (Government Records)
September 4, 1963
Memo from Ruddick C. Lawrence to G. Keith Funston, New York Stock Exchange on SEC reactions to standards for advertising and market letters
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 5, 1963
Memo from Robert Block to Ralph Saul regarding proposal to adopt a new confirmation rule under 10(b)
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 17, 1963
Memo from Ruddick C. Lawrence, New York Stock Exchange on preliminary findings of public reaction to SEC Study Report
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 20, 1963
Memo from Walter P. North, SEC to Roy R. Coffin, Bureau of the Budget on Part 5 of Special Study Report
[transcript] (pdf) (Courtesy of the John F. Kennedy Presidential Library)
October 8, 1963
Excerpts from Speech by SEC Chairman William L. Cary before the Financial Executives Institute
[image] (pdf) (Courtesy of Stephen A. Zeff)
October 8, 1963
Memo from A.L. Meentemeier, New York Stock Exchange on NYSE visit to the SEC concerning the Special Study
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 8, 1963
Memo from Willard K. Vanderbeck, New York Stock Exchange on NYSE visit to the SEC concerning the Special Study
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 14, 1963
Letter from Philip A. Loomis, Jr. to Joe Matters, Legal and Monetary Subcommittee, House Committee on Government Operations
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 18, 1963
New York Stock Exchange Memo to Members on review of SEC Special Study
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 1963
NASD News
[image] (pdf) (Courtesy FINRA)
November 1963
New York Stock Exchange Survey of Public Awareness and Reaction to SEC Special Study of Securities Markets
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 6, 1963
Letter from SEC Chairman William L. Cary to G. Keith Funston, New York Stock Exchange on upcoming testimony on floor trading
[image] (pdf) (Courtesy of New York Stock Exchange Archives)
November 7, 1963
Memo from James B. Halpern to Charles E. Rickershauser, Jr. regarding suggested 7(f) of the proxy rules
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 12, 1963
Memo from Willard K. Vanderbeck, New York Stock Exchange on meeting with SEC concerning the Special Study Report
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 15, 1963
Letter from G. Keith Funston, New York Stock Exchange to U.S. Representative Oren Harris on analysis of Exchange rules
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 15, 1963
Letter from Senator B. Everett Jordan to SEC Chairman William L. Cary requesting SEC assistance in Bobby Baker investigation
[image] (pdf) (Courtesy of the National Archives and Records Administration)
November 20, 1963
Statement of G. Keith Funston, New York Stock Exchange, before the Subcommittee on Commerce and Finance of the House Interstate and Foreign Commerce Committee on HR. 6789, 6793 and S.1642
[image] (pdf) (Government Records)
November 21, 1963
Letter from SEC Chairman William L. Cary to Senator B. Everett Jordan
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 25, 1963
Memo from Walter W. Heller to President Johnson on the impact of Presidents on stock prices
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
November 26, 1963
Memo from Walter W. Heller to President Johnson suggesting call to Keith Funston
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
December 10, 1963
Letter from U.S. Representative Oren Harris to SEC Chairman William L. Cary asking the scope of the SEC's audit of registered broker-dealers
[transcript] (pdf) (Government Records)
1964
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1964
NASD Notices to Members
[image] (pdf) (Courtesy of FINRA)
1964
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
January 23, 1964
Letter from G. Keith Funston, New York Stock Exchange to President Johnson regarding capital gains and dividend taxation
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 1964
NASD News
[image] (pdf) (Courtesy FINRA)
February 1964
New York Stock Exchange Study of Floor Trading

(Courtesy of the National Archives and Records Administration)

March 15, 1964
Letter from Warren S. Loud to SEC regarding "market riggers"
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 16, 1964
Letter from Robert Wideman to SEC Chairman William L. Cary in support of the proposal to abolish floor trading
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 18, 1964
Letter from Arthur W. Gregory, Jr. to SEC, opposing the proposal to abolish floor trading
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 18, 1964
Letter from SEC Chairman William L. Cary to G. Keith Funston and Henry M. Watts, New York Stock Exchange on use of EDP equipment
[image] (pdf) (Courtesy of New York Stock Exchange Archives)
March 20, 1964
Letter from G. Keith Funston, New York Stock Exchange to Kenneth O'Donnell on upcoming meeting with President Johnson
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
March 24, 1964
Memo from David Silver to Ralph Saul, SEC Division of Trading and Markets, on New York Stock Exchange floor trading rules
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 26, 1964
Memo from Walter W. Heller to President Johnson on Secretary of the Treasury Dillon and stock prices
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
April 8, 1964
Letter from Robert H. Mundheim, Duke University, to Manuel F. Cohen
[image] (pdf) (Government Records)
April 21, 1964
Memo from Carl Schneider on Codification of Securities Laws
[document] (pdf) (Courtesy of Carl Schneider)
April 27, 1964
Report to the President of the United States from the Task Force on Promoting Increased Foreign Investment in U.S. Corporate Securities and Increased Foreign Financing for U.S. Corporations Operating Abroad
[image] (pdf) (Government Records)
May 19, 1964
Memo from Stan West to Edward C. Gray, New York Stock Exchange on SEC statistical requests re specialists' activity
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 1964
Mutual Fund Retailing: Aspects of Market Structure and Dealer Operations, by Meyer Eisenberg and Dennis J. Lehr
[document] (pdf) (Courtesy of Paul Gonson)
June 22, 1964
Memo from Ralph A. Dungan to President Johnson on preparation of Hamer Budge for Senate confirmation hearing
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
July 13 ,1964
Letter from G. Keith Funston, New York Stock Exchange to President Johnson on SEC appointments of Manuel Cohen and Francis Wheat
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
July 14, 1964
Letter from John S.R. Shad, E.F. Hutton & Co. to President Johnson on appointment of Manuel Cohen as SEC Chairman
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
July 16, 1964
Memo from Walter W. Heller to President Johnson on impact of candidacy of Barry Goldwater on the stock market
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
August 4, 1964
Memo from Walter W. Heller to President Johnson on Barry Goldwater's impact on the stock market
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
August 20, 1964
Amendments of the Securities Act of 1933
[image] (pdf) (Courtesy of the Library of Congress)
August 21, 1964
SEC Memorandum to Staff on President Johnson's Comments upon Signing S.1642 - Securities Acts Amendments of 1964
[image] (pdf) (Government Records)
August 26, 1964
Memo from Marc White to Robert Haack on arbitration
[image] (pdf) (Courtesy FINRA)
September 1964
NASD News
[image] (pdf) (Courtesy FINRA)
September 14, 1964
Memo from David Silver to SEC Chairman Cohen re Mr. Funston's Charges of Commission Staff Misconduct
[image] (pdf) (Courtesy of David Silver)
September 24, 1964
New York Stock Exchange Press Release: Specialist System
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 1964
NASD News - Special Report
[image] (pdf) (Courtesy FINRA)
October 1964
SEC Telephone Directory
[image] (pdf) (Courtesy of Morton Koeppel)
October 9, 1964
SEC 30th Anniversary Celebration Invitation
[image] (pdf) (Courtesy of the estate of Mollie B. Zion)
October 9, 1964
SEC 30th Anniversary Dinner Guest List
[image] (pdf) (Courtesy of Morton Koeppel)
November 27, 1964
Memo from William T. Dolan to Ralph S. Saul, SEC Division of Trading and Markets on purchase by a corporation of its own shares
[transcript] (pdf) (Courtesy of Fred Siesel)
December 1964
SEC Employee Bulletin
[image] (pdf) (Courtesy of the estate of Mollie B. Zion)
December 14, 1964
Memo from Jeffrey D. Bauman on legislative history of the problem of requiring issuers of foreign securities traded over-the-counter to comply with disclosure requirements of the Securities Exchange Act of 1934
[image] (pdf) (Courtesy of the National Archives and Records Administration)
1965
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1965
NASD Notices to Members
[image] (pdf) (Courtesy of FINRA)
January 1965
Regulation of the Indian Stock Markets: A Preliminary Survey, by Norman S. Poser and David Silver
[image] (pdf) (Courtesy of Norman S. Poser)
1965
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
January 28, 1965
Letter from Edmund H. Worthy, SEC Division of Corporation Finance to Colonal B.F. Chadwick on Chicago Rock Island and Pacific Railroad Co.
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 5, 1965
Memo from Otto Eckstein to President Johnson: Is the Stock Market Too High?
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 10, 1965
SEC staff poem to Manuel Cohen during his recuperation
[image] (pdf) (Courtesy of the estate of Mollie B. Zion)
February 25, 1965
Letter from Jack Valenti to Gaston Shumate on remarks made by Philip Loomis, Jr.
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
March 24, 1965
Memo by Maxwell Kaufman on trends in financial disclosures of foreign companies
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 26, 1965
Memo from Edmund P. Shevlin to Abraham Zwerling on legislative and administrative history of the status of foreign securities under the reporting, registration, proxy and insider trading provisions of the Securities Exchange Act
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 29, 1965
"Trends in Financial Reporting" - Address by SEC Chief Accountant Andrew Barr before the 19th Annual Conference of Accountants
[image] (pdf) (Courtesy of Stephen A. Zeff)
May 1965
NASD News
[image] (pdf) (Courtesy FINRA)
May 4, 1965
Memo from Bill Moyers to Marvin Watson on upcoming New York Stock Exchange visit with President Johnson
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
May 28, 1965
Letter from Mollie Zion to Manuel Cohen, advising him to take care of his health
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
June 2, 1965
Letter and Statement from SEC Chairman Manuel F. Cohen to U.S. Representative Wright Patman on HR 7372
[image] (pdf) (Government Records)
June 10, 1965
Memo from David Silver, Special Counsel to Director, Division of Trading and Markets, to Solomon Freedman, Director, SEC Division of Corporate Regulation, re Proxy Statement of United Funds
[image] (pdf) (Courtesy of David Silver)
June 15, 1965
Memo from Gardner Ackley to President Johnson on the stock market
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
June 25, 1965
Letter from John O'Brien, Investor Diversified Services, Inc. to President Johnson asking him to address "Mr. Average Investor"
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
August 1965
NASD News
[image] (pdf) (Courtesy FINRA)
August 12, 1965
Memo from Gardner Ackley to President Johnson on the Dow-Jones Index
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
September 27, 1965
Letter from U.S. Senator Harrison A. Williams, Jr. to SEC Chairman Manuel F. Cohen
[image] (pdf) (Government Records)
October 21, 1965
Memo from Robert Haack to NASD members on questionnaire
[image] (pdf) (Courtesy FINRA)
November 23, 1965
Memo from Joe Califano to Henry Wilson and Mike Manatos on SEC Chairman Cohen's mutual funds legislative proposal
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
November 24, 1965
Memo to John Lesniewski from R.F. Burke, New York Stock Exchange requesting information for J. William O'Reilly's presentation at the SEC and the Federal Reserve Board
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 30, 1965
Memo from J. William O'Reilly of meeting with SEC staff concerning financing of specialist accounts
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 1965
A Preliminary Survey of the Brazilian Stock Markets, by Norman S. Poser and Allan R. Roth
[image] (pdf) (Courtesy of Norman S. Poser)
December 17, 1965
Letter from Carl L. Shipley to SEC Chairman Manuel F. Cohen on S 2704
[image] (pdf) (Government Records)
December 30, 1965
Memorandum of Conference between Dorsey Richardson and Robert L. Augenblick, Investment Company Institute, and Manuel F. Cohen and Leonard M. Leiman, SEC
[image] (pdf) (Government Records)
1966
Bank Holding Company Act of 1956 Amendments (Public Law No. 89-485); Section 202 of IAA amended; Section 3(c) of ICA amended
[document] (pdf) (Government Records)
1966
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
January 1966
NASD News
[image] (pdf) (Courtesy FINRA)
1966
NASD Notices to Members
[image] (pdf) (Courtesy of FINRA)
1966
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
January 8, 1966
Letter from SEC Chairman Manuel Cohen to Richard Walbert, NASD on current "hot issue" period
[transcript] (pdf) (Courtesy FINRA)
March 12, 1966
Protest Letter from J.E. Hammers to the U.S. Congress
[image] (pdf) (Government Records)
May 11, 1966
Memo from Mollie Zion to Manuel Cohen on the oversight of the library and file system assembled by Mr. Cohen
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
May 16, 1966
Memo from Harry Pollack to Chairman Cohen denying upgrade of Mollie Zion's position
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
May 17, 1966
Memo from Dorsey Richardson to ICI Board of Governors concerning New York Times articles
[image] (pdf) (Government Records)
June 21, 1966
Letter from G. Keith Funston, New York Stock Exchange to SEC Chairman Manuel Cohen
[document] (pdf) (Courtesy of Eugene Rotberg)
May 24, 1966
Address by SEC Chairman Manuel F. Cohen before the 19th Annual Conference of the Financial Analysts Federation
[image] (pdf) (Courtesy of Stephen A. Zeff)
June 1966
NASD News
[image] (pdf) (Courtesy FINRA)
June 22, 1966
Memo from Edward Gilleran on cooperative arrangements with New York Stock Exchange and other exchanges
[image] (pdf) (Courtesy FINRA)
June 28, 1966
Address by SEC Chairman Manuel F. Cohen before American Society of Corporate Secretaries
[document] (pdf) (Courtesy of William Joseph)
June 30, 1966
Letter from Irving M. Pollack, SEC Division of Trading and Markets, to John Birmingham, New York Stock Exchange
[document] (pdf) (Courtesy of Eugene Rotberg)
June 30, 1966
Memo from Gardner Ackley to President Johnson on the stock market decline
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
August 8, 1966
Letter from John Birmingham, New York Stock Exchange, to Irving M. Pollack, SEC Division of Trading and Markets
[document] (pdf) (Courtesy of Eugene Rotberg)
August 22, 1966
Letter of Protest from C.H. Goppert to President Johnson on government spending
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
September 20, 1966
Letter from SEC Chairman Manuel Cohen to G. Keith Funston, New York Stock Exchange
[document] (pdf) (Courtesy of Eugene Rotberg)
October 5, 1966
Address by SEC Chairman Manuel F. Cohen before the 79th AICPA Annual Meeting
[image] (pdf) (Courtesy of Stephen A. Zeff)
October 17, 1966
Memo from William E. Becker on AID request for the SEC to receive S.U. Durrani of Pakistan
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 28, 1966
Memorandum from David L. Ratner to SEC Chairman Manuel Cohen on Takeover Bid Legislation
[document] (pdf) (Courtesy of David Ratner)
November 17, 1966
Statement of NASD to the SEC regarding "Public Policy Implications of Investment Company Growth"
[image] (pdf) (Government Records)
November 18, 1966
Letter from Robert L. Augenblick and Statement of Francis S. Williams, Investment Company Institute, to the SEC regarding draft of report on mutual funds
[image] (pdf) (Government Records)
November 29, 1966
Memo from Joe Califano to President Johnson on the upcoming release of the SEC report on mutual fund regulation
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
December 1966
NASD News - Special Report
[image] (pdf) (Courtesy FINRA)
December 2, 1966
Report of the U.S. Securities and Exchange Commission on the Public Policy Implications of Investment Company Growth; Report of the Committee on Interstate and Foreign Commerce, Pursuant to Section 136 of the Legislative Reorganization Act of 1946, Public

(Government Records)

December 13, 1966
Memo from Doug Nobles to Marvin Watson on appointment of Ezra Weiss to SEC
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
December 20, 1966
Protest Letter from Jim Hammers to President Lyndon B. Johnson
[image] (pdf) (Government Records)
1967
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1967
NASD Notices to Members
[image] (pdf) (Courtesy of FINRA)
1967-1999
Securities and Exchange Commission Fort Worth District Office
[image] (pdf) (Courtesy of James H. Perry)
1967
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
January 4, 1967
Letter from Norman Poser, SEC Assistant Director, to Donald L. Calvin, New York Stock Exchange
[document] (pdf) (Courtesy of Eugene Rotberg)
January 4, 1967
Letter from SEC Chairman Manuel F. Cohen to Malcolm S. Forbes
[image] (pdf) (Government Records)
January 13, 1967
Letter from Louis Loss to SEC Chairman Manuel Cohen introducing H.U. Beg of Pakistan
[image] (pdf) (Courtesy of the National Archives and Records Administration)
January 18, 1967
Letter from Robert M. Bishop, New York Stock Exchange, to Norman Poser, SEC
[document] (pdf) (Courtesy of Eugene Rotberg)
January 19, 1967
Letter from Irving Pollack, SEC to Robert W. Haack, NASD on draft amendments
[transcript] (pdf) (Courtesy FINRA)
January 20, 1967
Letter from Robert W. Haack, National Association of Securities Dealers, to Irving M. Pollack, SEC Division of Trading and Markets
[document] (pdf) (Courtesy of Eugene Rotberg)
January 23, 1967
Letter from Lewis D. Gilbert to U.S. Senator John J. Sparkman
[image] (pdf) (Government Records)
January 31, 1967
"The S.E.C. Investment Company Report: An Emphatic Rebuttal," by Vance, Sanders & Company, Inc.
[image] (pdf) (Government Records)
February 1, 1967
Letter from Hart Wood, Hawaii Mutual Fund Association, to U.S. Representative Spark M. Matsunaga protesting "Public Policy Implications of Investment Company Growth"
[image] (pdf) (Government Records)
February 4, 1967
Protest Graphic from Jim Hammers to Mr. Cohen
[image] (pdf) (Government Records)
February 11, 1967
Memo from W.M. Blackburn. Jr. with list of Wall Street equity representatives invited to the White House on February 10th
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 16, 1967
"Business, Government and Regulation" - Address by SEC Chairman Manuel F. Cohen before the National Industrial Conference Board
[image] (pdf) (Courtesy of Stephen A. Zeff)
February 17, 1967
Letter from William Donaldson, Donaldson Lufkin & Jenrette, Inc. to Charles Ravenel, Office of the Secretary of the Treasury following February 10th White House meeting
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 17, 1967
Letter from William Rudd, Investment Planning Corporation, to President Johnson praising the White House for not backing the SEC report on mutual funds
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 24, 1967
Letter from Irving M. Pollack, SEC Division of Trading and Markets to Robert W. Haack, National Association of Securities Dealers
[document] (pdf) (Courtesy of Eugene Rotberg)
February 24, 1967
Protest Letter from John Y. Williamson to President Lyndon B. Johnson
[image] (pdf) (Government Records)
February 27, 1967
Letter from Edward C. Johnson 2nd, Fidelity to Arthur Okun, Council of Economic Advisors following February 10th White House meeting
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 27, 1967
Letter from Peter Vermilye, State Street Investment Corporation to Arthur Okun, Council of Economic Advisors following February 10th White House meeting
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 27, 1967
Resignation Letter from SEC Commissioner Byron D. Woodside to President Johnson
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 28, 1967
Memo from Doug Nobles to W. Marvin Watson recommending appointment of Richard B. Smith to SEC
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
February 28, 1967
Memo from John W. Macy, Jr. to President Johnson recommending appointment of Richard B. Smith as SEC Commissioner, with Mr. Smith's biographical data
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
March 1967
NASD News
[image] (pdf) (Courtesy FINRA)
March 10, 1967
Letter from American Stock Exchange to Robert Block, SEC Division of Trading and Markets requesting preliminary review of proposed Rule 10b-10
[transcript] (pdf) (Government Records)
March 22, 1967
New York Stock Exchange Release backing Senate bill provding more information to stockholders during take-over bids
[image] (pdf) (Government Records)
April 14, 1967
"Take-Over Bids" - Remarks by SEC Chairman Manuel F. Cohen before the Association of the Bar of the City of New York
[image] (pdf) (Government Records)
April 21, 1967
Letter from J. William O'Reilly, New York Stock Exchange to Irving M. Pollack, SEC on automation of surveillance of floor trading activities
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 1, 1967
Investment Company Act Amendments of 1967
[image] (pdf) (Courtesy of the Library of Congress)
May 1967
NASD News - Special Report
[image] (pdf) (Courtesy FINRA)
May 12 ,1967
Letter from J. William O'Reilly, New York Stock Exchange to Eugene Rotberg, SEC on speed of sales
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 19, 1967
Letter from Irving M. Pollack, SEC Division of Trading and Markets to G. Keith Funston, New York Stock Exchange
[document] (pdf) (Courtesy of Eugene Rotberg)
June 8, 1967
Letter from E.L. Alexander to U.S. Representative Moss supporting the SEC and in protest of NASD
[transcript] (pdf) (Government Records)
June 16, 1967
Letter from G. Keith Funston, New York Stock Exchange, to Irving M. Pollack, SEC Division of Trading and Markets
[document] (pdf) (Courtesy of Eugene Rotberg)
June 20, 1967
Memorandum by Robert Block, U.S. Securities and Exchange Commission Chief Counsel, on Foreign Broker-Dealers
[document] (pdf) (Courtesy of Paul Gonson)
July 2, 1967
Letter from G. Keith Funston, New York Stock Exchange, to SEC Chairman Manuel Cohen
[document] (pdf) (Courtesy of Eugene Rotberg)
July 7, 1967
Letter from SEC Chairman Manuel Cohen to American Stock Exchange, Boston Stock Exchange, Cincinnati Stock Exchange, Detroit Stock Exchange, Midwest Stock Exchange, National Stock Exchange, New York Stock Exchange and Pacific Coast Stock Exchange
[document] (pdf) (Courtesy of Eugene Rotberg)
July 21, 1967
Letter from G. Keith Funston, New York Stock Exchange, to SEC Chairman Manuel Cohen
[document] (pdf) (Courtesy of Eugene Rotberg)
August 3, 1967
Letter from SEC Chairman Manuel F. Cohen to Leonard Sheriff
[transcript] (pdf) (Government Records)
August 14, 1967
Protest Letter from Fred K. Kerpen to Francis X. Kelly, SEC
[image] (pdf) (Government Records)
August 16, 1967
Letter from Donald Rundle, Chairman for District Committee No. 9, to Robert Gardiner, NASD requesting review of penalties
[image] (pdf) (Courtesy FINRA)
August 23, 1967
Letter from SEC Chairman Manuel Cohen to G. Keith Funston, New York Stock Exchange
[document] (pdf) (Courtesy of Eugene Rotberg)
August 28, 1967
Letter with Draft of Interpretation and Policy with Respect to Markups and Markdowns from Lloyd Derrickson, National Association of Securities Dealers, to Martin Moskowitz, SEC
[document] (pdf) (Courtesy of Eugene Rotberg)
September 22, 1967
Letter from SEC Chairman Manuel Cohen to Robert W. Haack, New York Stock Exchange
[document] (pdf) (Courtesy of Eugene Rotberg)
October 1967
NASD News
[image] (pdf) (Courtesy FINRA)
October 3, 1967
Letter from Robert W. Haack, New York Stock Exchange, to SEC Chairman Manuel Cohen
[document] (pdf) (Courtesy of Eugene Rotberg)
October 17, 1967
Protest Letter from Robert H. MacCready to SEC Chairman Manuel F. Cohen
[image] (pdf) (Government Records)
October 19, 1967
Letter from Henry Gemmill, The Wall Street Journal, to Orval Dubois, SEC
[document] (pdf) (Courtesy of Eugene Rotberg)
October 27, 1967
Memo from Arthur Okun to President Johnson reporting on Capitol Hill dinner on the tax issue
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
November 13, 1967
"Need for Product-Line Reporting" - Address by Andrew Barr at Symposium on Financial Reporting for Conglomerates
[transcript] (pdf) (Courtesy of the AICPA Library Collection, University of Mississippi)
November 20, 1967
Memorandum on Give-Ups: Alternative Courses of Action, from Irving M. Pollack, SEC Division of Trading and Markets, with Attachments: a) Practices and Procedures of Mutual Funds in Allocating Brokerage -- a basis for enforcement proceedings, and b) Selection of an Appropriate Respondent
[document] (pdf) (Courtesy of Eugene Rotberg)
November 27, 1967
SEC Release - Announcement of Disclosure Study (The Wheat Report)
[image] (pdf) (Government Records)
November 29, 1967
Memorandum from the SEC Office of the General Counsel to the Commission on request from The Wall Street Journal
[document] (pdf) (Courtesy of Eugene Rotberg)
1968
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1968
NASD Notices to Members
[image] (pdf) (Courtesy of FINRA)
1968
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
January 15, 1968
Memo from John W. Macy, Jr. to President Johnson recommending re-appointment of Manuel Cohen as SEC Chairman
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
January 29, 1968
Lion G. Mason Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
January 29, 1968
R. Frazier Potts Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
January 29, 1968
U.S. Securities and Exchange Commission Litigation Release
[document] (pdf) (Courtesy of Libbey Sussan)
January 29, 1968
William J. McCrann Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
January 30, 1968
Marshall A. Lewis Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
January 30, 1968
Request from Mollie B. Zion to Manuel Cohen for increase in grade for Rhoda Pines and herself
[image] (pdf) (Courtesy of the estate of Mollie B. Zion)
January 31, 1968
Fred J. Chemidlin, Jr. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
January 31, 1968
Henry E. Lewis Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
January 31, 1968
Investors Research Fund, Inc. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 1, 1968
Eugene H. Killen Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 1, 1968
G. Shelby Friedrichs Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 1, 1968
Gaston A. Shumate Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 1, 1968
Ralph S. Heath Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 2, 1968
Carroll H. Payne Letter re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 3, 1968
J.L. Trimble Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 5, 1968
Memo from J. William O'Reilly, New York Stock Exchange on SEC telephone call on specialist reponsibility for quotations
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
February 6, 1968
Ford R. Weber Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 7, 1968
Shirlie E. Clelland Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 8, 1968
Peter A. Engelbach Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 15, 1968
B. C. McCall Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 15, 1968
B.F. Edwards III Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 15, 1968
David F. Lawrence Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 15, 1968
Joseph Lincoln Ray Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 19, 1968
Ad Hoc Committee of the Western Pennsylvania Investment Industry Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 19, 1968
Ronald Cramer Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 20, 1968
Memorandum from David L. Ratner to SEC Chairman Manuel Cohen on Rule 10b-5 - Heit v. Weitzen
[document] (pdf) (Courtesy of David Ratner)
February 20, 1968
R.C. O'Donnell & Company Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 20, 1968
Richard O. Arnesen Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 21, 1968
Edgar Scott Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 21, 1968
H. Peter Schaub Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 21, 1968
Harold L. Bache Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 21, 1968
John F. Fogarty Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 21, 1968
S.L. Sabel Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 22, 1968
Frank H. Hunter Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 23, 1968
David Norr Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 23, 1968
Joseph C. Kennedy Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 23, 1968
Truman Semans Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 23, 1968
Walter Werner Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 23, 1968
William C. Coe Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 26, 1968
Neuberger & Berman Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 26, 1968
U.S. Representative Byron C. Rogers Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 27, 1968
Orson D. Munn Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 27, 1968
R.G.D. Lafferty Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 27, 1968
Roth Gerard & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 28, 1968
Colin A. Campbell Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 28, 1968
Edward M. Higgins Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 28, 1968
Frank A. Weil Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 29, 1968
Baer Securities Corporation Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 29, 1968
Charles T. Larus Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 29, 1968
Emil J. Pattberg, Jr. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 29, 1968
George W. Fulk Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 29, 1968
John H. Kitchen Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 29, 1968
John Hancock Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 29, 1968
Willard J. Tillotson Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
February 29, 1968
William L. Leibman Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 1, 1968
"The 'Mutual' Fund" - Address by SEC Chairman Manuel F. Cohen before the 1968 Conference on Mutual Funds
[image] (pdf) (Courtesy of Stephen A. Zeff)
March 1, 1968
Augustine T. Marasco Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 1, 1968
John H. Hayward Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 1, 1968
Memorandum of Conference between Merrill Lynch, Pierce Fenner & Smith representatives and the SEC Disclosure Study Group (Wheat Study)
[transcript] (pdf) (Government Records)
March 1968
NASD News - Special Report
[image] (pdf) (Courtesy FINRA)
March 4, 1968
Pershing & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 4, 1968
R. Ron Heiligenstein Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 4, 1968
The Round Table Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 7, 1968
"Some Problems of Disclosure" - Address by SEC Chairman Manuel F. Cohen at the University of Illinois
[image] (pdf) (Courtesy of Stephen A. Zeff)
March 7, 1968
H.C. Piper, Jr. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 7, 1968
Henning Hilliard Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 7, 1968
Jack Stephen Skakandy Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 7, 1968
Joseph F. Darpel, Jr. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 8, 1968
Edward F. Stansfield Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 8, 1968
I. George Weston Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 8, 1968
Joseph P. Short Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 8, 1968
R. W. Lyon Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 9, 1968
Paul E. Youmans Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 11, 1968
Bayard T. Read Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 11, 1968
Eugene Arnold, Jr. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 12, 1968
Earl F. Meyers Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 12, 1968
Memorandum of Conference between New York Stock Exchange representatives and the SEC Disclosure Study Group (Wheat Study)
[transcript] (pdf) (Government Records)
March 12, 1968
Singer Deane & Scribner Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 12, 1968
W. G. Simpson Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 13, 1968
N.K. Parker Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 14, 1968
John Barnard, Jr. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 14, 1968
John M. Butler Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 14, 1968
Seymour D. Schwarz Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 14, 1968
Thomas Lynch III Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 15, 1968
B.C. Mergentime Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 18, 1968
Louis Meyer, Jr. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 19, 1968
Bernard J. Koerselman Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 19, 1968
N.R. Gilbert Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 19, 1968
Robert B. Rivel Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 19, 1968
Wilfred Godfrey Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 20, 1968
Sherman Ellsworth Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 21, 1968
Baker Watts & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 21, 1968
William J. Baumol and Burton Malkiel, Department of Economics, Princeton University, Comments on Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 22, 1968
The Round Table Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 25, 1968
Letter from SEC Chairman Manuel Cohen to U.S. Representative W.S. Stuckey, Jr. responding to questions concerning mutual fund regulation
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
March 25, 1968
Memo from Frank J. Wilson to Committee on Internal Reorganization with background on review of Section 25 of Article III of Rules of Fair Practice
[transcript] (pdf) (Courtesy FINRA)
March 25, 1968
Michael F. Ling Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 25, 1968
Ronald D. Lubash Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 26, 1968
Charles M. Rosenthal Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 26, 1968
Courts & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 26, 1968
George Draper Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 26, 1968
M.B. Pilcher Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
A. Lowrie Applegate Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
Ad Hoc Committee of the Western Pennsylvania Investment Industry Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
Cazenove & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
Chas. W. Scranton & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
George W. Hopper Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
Howard B. Dean Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
Joseph W. Sener Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
Mitchel Schreiber Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
Paul Adelson Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
Robert G. Cabell Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 27, 1968
W.D. Fleming Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
Alexander B. Johnson Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
Arthur N. Honig Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
Bernard E. Pollak Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
Dale C. Tintsman Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
David J. Harris Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
Harry C. Whittaker Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
Loeb Rhoades & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
M.A. Welsch Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
Newberger & Company Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
R.W. Cocchi Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
Robert L. Cody Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 28, 1968
Stanton L. Pressman Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
A.E. Schwabacher, Jr., Schwabacher & Co., Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Alan N. Weeden, Weeden & Co., Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Allin P. Baxter, Steadman Security Corporation, Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Andrew F. Peck Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Bateman Eichler, Hill Richards Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Charles M. Peltason White & Company Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
D. George Sullivan, Fidelity Management & Research Company, Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Don W. Goelzer Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
E. Douglas Howard, Niagara Share Corporation, Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Edward P. Fitch Investment Securities Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Farrell & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Frank J. Hoenemeyer, The Prudential Insurance Company of America, Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Frank P. Wendt, Nuveen Corporation, Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Gaston Snow Motley & Holt Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
George M. Ferris, Jr. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Goldman Sachs & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
J. Robert Schuman, Schuman Agnew & Co., Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
James A. Wildgust Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
John F. Summer Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
John J. Carroll & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Joseph E. Welch, Wellington Fund, Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Lawrence J. Sheehan, O'Melveny & Myers, Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Mitchel J. Valicenti, Valicenti Leighton Reid & Pine, Letter to SEC on behalf of Waddell & Reed, Inc. re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
N. Michael Keiser, Hugh Johnson & Company, Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
New York Securities Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Robert M. Loeffler, Investors Diversified Services, Inc., Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Robert W. Baird & Co. Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Ronald T. Lyman, Jr., Scudder, Stevens & Clark, Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
S.J. Marsh, Woodard - Elwood Co., Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
W. Nicholas Thorndike Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
March 29, 1968
Wendell W. Whitter Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 1, 1968
George W. Davis, Davis Skaggs & Co., Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 1, 1968
John G. Butler, Prescott Merrill Turben & Co., Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 1968
NASD News
[image] (pdf) (Courtesy FINRA)
April 1, 1968
Shipley Akerman & Pickett Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 1, 1968
Sullivan & Worcester Letter to SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 1, 1968
U.S. Department of Justice Comments into Proposals to Modify the Commission Rate Structure of the New York Stock Exchange
[document] (pdf) (Courtesy of Eugene Rotberg)
April 3, 1968
George J. Otto, Irving Lundborg & Co., Letter to the SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 3, 1968
Gordon H. Dickinson, Gordon H. Dickinson & Co., Letter to the SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 8, 1968
R.V.H. Harned, Warren W. York & Co., Letter to the SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 15, 1968
Auchincloss Parker & Redpath Letter to the SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 18, 1968
L.W. Young, Jr., A.E. Masten & Co., Letter to the SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
April 19, 1968
Ricardo A. Mestres, Princeton University, Letter to the SEC re Proposed Rule 10b-10
[document] (pdf) (Courtesy of Eugene Rotberg)
May 9, 1968
Memo from J. William O'Reilly, New York Stock Exchange on meeting with Eugene Rotberg on specialists' dealing
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 21, 1968
"Disclosure: The SEC and the Press," Address by SEC Chairman Manuel Cohen on the Occasion of the University of Connecticut's G.M. Loeb Awards Luncheon in New York City
[document] (pdf) (Courtesy of Paul Gonson)
May 28, 1968
Order for U.S. Securities and Exchange Commission Investigation and Public Investigatory Hearing on Commission Rate Structure
[document] (pdf) (Courtesy of Eugene Rotberg)
June 6, 1968
Memo from Arthur Okun to President Johnson on possible Federal Reserve action on margin requirements
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
June 26, 1968
Notes from Arthur Okun for President Johnson on upcoming meeting with equity managers
[transcript] (pdf) (Courtesy of the Lyndon B. Johnson Library and Museum)
July 1968
NASD News - Special Report
[image] (pdf) (Courtesy FINRA)
July 1, 1968
Opening Statement of Eugene H. Rotberg at Public Investigatory Hearing on Commission Rate Structure
[document] (pdf) (Courtesy of Eugene Rotberg)
July 1, 1968
Summary of Transcript of Proceedings in the Matter of Commission Rate Structures of Registered National Securities Exchanges
[document] (pdf) (Courtesy of Eugene Rotberg)
July 2, 1968
Letter from Irving Pollack, SEC to Richard Walbert, NASD recommending NASD set up a trust fund for customers
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 15, 1968
Memo by SEC Chairman Manuel Cohen to All Staff Attorneys on Voluntary Legal Service to the Poor
[document] (pdf) (Courtesy of Paul Gonson)
July 16, 1968
Letter from SEC Chairman Manuel F. Cohen to Al Altwegg, The Dallas Morning News
[transcript] (pdf) (Government Records)
July 25, 1968
Letter from Al Altwegg, The Dallas Morning News, to SEC Chairman Manuel F. Cohen, with memo on distribution of prospectuses to the financial press
[image] (pdf) (Government Records)
July 28, 1968
Public Law 90-438: To amend the Securities Exchange Act of 1934 to authorize an investigation of the effect on the securities markets of the operation of institutional investors
[image] (pdf) (Government Records)
August 8, 1968
Letter from Robert W. Haack, New York Stock Exchange, to SEC Chairman Manuel Cohen
[document] (pdf) (Courtesy of Eugene Rotberg)
August 13, 1968
Letter from Richard S. Maynard to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 14, 1968
Letter from Raymond J. Fox to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 15, 1968
Letter from Josephthal & Co. to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 16, 1968
Letter from Investment Bankers Association of America to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 19, 1968
Letter and Memorandum from Edward T. McCormick, National Stock Exchange, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 19, 1968
Letter from Alex H. Calvert, Jr. to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 19, 1968
Letter from Robert L. Augenblick, Investment Company Institute, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 19, 1968
Statement of Robert W. Haack, New York Stock Exchange before the SEC on commission structure
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
August 20, 1968
Letter from Goldman & Co. to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 20, 1968
Letter from Herbert Schollenberger, Detroit Stock Exchange, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 20, 1968
Letter from Raymond W. Cocchi, Independent Broker Dealers' Trade Association, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 21, 1968
Letter from Irving M. Pollack, SEC to Robert W. Haack, New York Stock Exchange on off-floor trading
[transcript] (pdf) (Courtesy of New York Stock Exchange Archives)
August 21, 1968
Letter from Wilfred Godfrey, Keystone Custodian Funds, Inc., to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 22, 1968
Letter from American Life Convention and Life Insurance Association of America to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
August 23, 1968
Letter from James W. Davant, Association of Stock Exchange Firms, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
[document] (pdf) (Courtesy of Eugene Rotberg)
September 1968
NASD News
[image] (pdf) (Courtesy FINRA)
September 9, 1968
Memorandum on Staff Director Prospects: A.A. (Al) Sommer, Jr., Merton Miller, Ezra Solomon and Charles Holt
[transcript] (pdf) (Government Records)
September 16, 1968
Letter and Press Release from Betty Furness, Special Assistant to the President for Consumer Affairs to SEC Chairman Manuel F. Cohen on defeat of Investment Company Amendments Act
[transcript] (pdf) (Government Records)
October 1, 1968
Letter from Robert M. Bishop, New York Stock Exchange, to SEC Chairman Manuel F. Cohen on tender offer provision
[image] (pdf) (Government Records)
October 9, 1968
Memo from Elliott F. Higgins, New York Stock Exchange to J. William O'Reilly on SEC inspection of specialists operations
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 22, 1968
Memo from Richard F. Burke, New York Stock Exchange on discussion with Sheldon Rappaport, SEC
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 19, 1968
Letter from Robert W. Haack, New York Stock Exchange to SEC Chairman Manuel F. Cohen
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 10, 1968
Memo from J. William O'Reilly, New York Stock Exchange on odd-lot dealers
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 12, 1968
Memo from Eugene Rotberg to SEC Chairman Manuel Cohen on Institutional Study Advisory Committee
[document] (pdf) (Courtesy of Eugene Rotberg)
1969
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1969
NASD Notices to Members

(Courtesy of FINRA)

1969
U.S. Securities and Exchange Commission Annual Report
[transcript] (pdf) (Government Records)
January 22, 1969
"The Securities Industry and the Realities of 1969" - Remarks of Robert W. Haack, New York Stock Exchange to the 2nd Annual Institutional Investor Conference
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
February 1969
NASD News - Special Report
[image] (pdf) (Courtesy FINRA)
February 14, 1969
Letter from SEC Chairman Manuel F. Cohen to U.S. Representative Hastings Keith supporting study into the effect of conglomerate activities in the securities markets
[image] (pdf) (Government Records)
February 19, 1969
Memo from John C. Whitehead, Chairman, Institutional Investor Study Advisory Committee, to committee members
[image] (pdf) (Government Records)
March 3, 1969
Findings and Stop Order in the Matter of Bally Manufacturing Corporation
[document] (pdf) (Courtesy of Richard Rowe)
March 6, 1969
Problems in the Securities Industry: Hearing before the Subcommittee on Securities of the U.S. Senate Committee on Banking and Currency
[image] (pdf) (Courtesy of the Library of Congress)
March 14, 1969
"The Commission Rate Structure and the Institutional Investor" - Remarks by Eugene Miller, Vice President, New York Stock Exchange at 1969 Mutual Funds Conference
[transcript] (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.)
March 21, 1969
Farewell letter from Manuel Cohen to Albert Fontes, SEC Assistant Director of Personnel
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
March 27, 1969
Disclosures to Investors - A Reappraisal of Federal Administrative Policies Under the '33 and '34 Acts, by Francis M. Wheat (The Wheat Report)

(Courtesy of Richard Rowe)

March 31, 1969
Invitation to A Salute to "Manny"
[image] (pdf) (Courtesy of the estate of Mollie B. Zion)
May 19, 1969
"An Agenda for the Securities Industry" - Remarks of Robert W. Haack, New York Stock Exchange to the Economic Club of Detroit
[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
July 1969
NASD News
[image] (pdf) (Courtesy FINRA)
July 7, 1969
Memo from Paul W. McCracken to Harry Dent on "Wall Street Political Problems" article by Dick Garbett
[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)
September 1969
NASD News
[image] (pdf) (Courtesy FINRA)
September 1, 1969
Report to the Honorable Louis J. Lefkowitz, Attorney General of the State of New York, on new issues of securities
[image] (pdf) (Courtesy of Orestes Mihaly)
September 12, 1969
Letter from SEC Chairman Hamer H. Budge to Robert W. Haack, New York Stock Exchange requesting information on NYSE members in financial difficulty
[image] (pdf) (Courtesy of New York Stock Exchange Archives)
October 10, 1969
A National System for Reporting, Clearing and Settling Over-the-Counter Securities Transactions - NASD
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 16, 1969
Memo from William Safire describing Jawboning vs. Backboning
[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)
November 1969
NASD News
[image] (pdf) (Courtesy FINRA)
November 13, 1969
Memo from Morris N. Simkin to SEC Division of Trading and Markets on meeting discussing an early warning system for liquidity
[image] (pdf) (Courtesy of the National Archives and Records Administration)
November 21, 1969
New York State Attorney General Release announcing reimbursement of Woodstock tickets
[image] (pdf) (Courtesy of Orestes Mihaly)

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