www.sechistorical.org

Papers

• pre1930s
• 1930s
• 1940s
• 1950s
• 1960s
• 1970s
• 1980s
• 1990s
• 2000s
• 2010s

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)

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)

June 30, 1960

26th Annual Report of the Securities and Exchange Commission

(Government Records)

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

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)

August 30, 1960

Accounting Research - Panel Discussion by Andrew Barr, SEC Chief Accountant at American Accounting Association

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

October 13, 1960

New York State Attorney General Release on bar against Albert Harris

[image] (pdf) (Courtesy of Orestes Mihaly)

October 25, 1960

Accounting and Auditing Problems with Particular Reference to New Registrants with the Securities and Exchange Commission - Address by Andrew Barr, SEC Chief Accountant

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

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)

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 10, 1961

Letter from Chief Judge Harvey Johnsen to Judge Martin Van Oosterhout and Judge Harry Blackmun on Dyer v. SEC

[transcript] (pdf) (Harry A. Blackmun Papers, courtesy Library of Congress)

February 13, 1961

Letter from Judge Martin Van Oosterhout to Chief Judge Harvey Johnsen in concurrence of opinion in Dyer v. SEC

[transcript] (pdf) (Harry A. Blackmun Papers, courtesy Library of Congress)

February 17, 1961

Question from Judge Harry Blackmun to Chief Judge Harvey Johnsen on Dyer v. SEC

[transcript] (pdf) (Harry A. Blackmun Papers, courtesy Library of Congress)

February 20, 1961

Letter from Chief Judge Harvey Johnsen, U.S. Court of Appeals to Judge Harry Blackmun on Dyer v. Securities and Exchange Commission

[image] (pdf) (Harry A. Blackmun Papers, courtesy Library of Congress)

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 15, 1961

Letter from Chief Judge Harvey Johnsen on determination in Dyer v. SEC

[transcript] (pdf) (Harry A. Blackmun Papers, courtesy Library of Congress)

June 19, 1961

Letter from Judge Harvey Blackmun to Chief Judge Harvey Johnsen with opinion in Dyer v. SEC

[transcript] (pdf) (Harry A. Blackmun Papers, courtesy Library of Congress)

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)

June 30, 1961

27th Annual Report of the Securities and Exchange Commission

(Government Records)

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

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)

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)

January 18, 1962

Business Combinations and Other Financial Reporting Problems - Address by Andrew Barr, SEC Chief Accountant

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

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

Accounting Problems of First-Time Registration Statements - Address by Sydney Orbach, Chief Accountant, SEC Division of Corporation Finance to Georgia Society of CPAs

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

March 6, 1962

Letter from David Ferber, U.S. Securities and Exchange Commission to Judges, U.S. Court of Appeals for the Second Circuit on SEC v. Capital Gains Research Bureau, Inc. and Harry P. Schwarzmann

[image] (pdf) (Thurgood Marshall Papers, courtesy Library of Congress)

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

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 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)

June 30, 1962

28th Annual Report of the Securities and Exchange Commission

[image] (pdf) (Government Records)

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)