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May 1, 1967: Investment Company Act Amendments of 1967
image pdf (Courtesy of the Library of Congress)
May 1, 1967: Letter to the U.S. House of Representatives and U.S. Senate from SEC Chairman Manuel Cohen with legislative proposals for mutual fund shareholders
image pdf (Courtesy of the National Archives and Records Administration)
May 1967: NASD News - Special Report
image pdf (Courtesy FINRA)
May 1, 1967: SEC Release: SEC Submits Legislation Proposals to Congress on Investment Companies
transcript pdf (Courtesy of National Archives and Records Administration)
May 1, 1967: Trends and Future Requirements for Corporate Financial Reporting - Address of Andrew Barr, SEC Chief Accountant to 20th Annual Financial Management Conference
transcript pdf (AICPA Collection, University of Mississippi)
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 16, 1967: An Age of Shareownership - Welcoming Remarks by G. Keith Funston, President, New York Stock Exchange at symposium commemorating 175th anniversary of founding of the Exchange
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
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)
May 26, 1967: Letter to U.S. Representative Harley Staggers from J.L. Robertson, Federal Reserve on proposed amendments to Investment Company Act and Investment Advisers Act
image pdf (Courtesy of the National Archives and Records Administration)
June 7, 1967: Dave Ferber to Manuel Cohen regarding accelerated procedures
image pdf (Courtesy of the National Archives and Records Administration)
June 7, 1967: Letter from Cohen to Stock Exchange Presidents re Give-ups and volume discounts
image pdf (Courtesy of the National Archives and Records Administration)
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)
June 26, 1967: Letter to U.S. Representative John Moss from SEC Chairman Manuel Cohen on mutual fund sales
transcript pdf (Courtesy of National Archives and Records Administration)
June 27, 1967: Corporate Financial Reporting: The Developing Debate in "Line of Business" Disclosure - Address by Andrew Barr, SEC Chief Accountant to National Association of Accountants
transcript pdf (AICPA Collection, University of Mississippi)
June 30, 1967: 33rd Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 2, 1967: Letter from G. Keith Funston, New York Stock Exchange, to SEC Chairman Manuel Cohen
document pdf (Courtesy of Eugene Rotberg)
July 6, 1967: Irv Pollack to Manuel Cohen on his visits to regional offices
image pdf (Courtesy of the National Archives and Records Administration)
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: Eugene Rotberg to Harry Pollack on Helen Steiner’s personnel matter
image pdf (Courtesy of the National Archives and Records Administration)
July 21, 1967: Letter from G. Keith Funston, New York Stock Exchange, to SEC Chairman Manuel Cohen
document pdf (Courtesy of Eugene Rotberg)
July 27, 1967: Letter from Parcells to Cohen re Give-ups
image pdf (Courtesy of the National Archives and Records Administration)
August 1, 1967: Letter to U.S. Senator Russell Long from Stanley Surrey, Department of the Treasury on City of Baker, Louisiana municipal bond issue
image pdf (Courtesy of National Archives and Records Administration)
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 24, 1967: Mahlon Frankhauser to Manuel Cohen on cost reduction at the New York Regional Office
image pdf (Courtesy of the National Archives and Records Administration)
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)
August 29, 1967: Memo to SEC Commission from Division of Corporate Regulation on commission arrangements by affiliates of mutual funds
transcript pdf (Courtesy of National Archives and Records Administration)
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 18, 1967: Letter to U.S. Representative Harley Staggers from Warren Christopher, Deputy Attorney General on proposed amendments to Investment Company Act and Investment Advisers Act
image pdf (Courtesy of the National Archives and Records Administration)
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)
December 14, 1967: Letter from Martin Moskowitz to Lloyd J. Derrickson
image pdf
1968: NASD Annual Report
image pdf (Courtesy FINRA)
1968: NASD Notices to Members
image pdf (Courtesy of FINRA)
January 3, 1968: Division of Corporate Regulation memo on shortages of manpower in investment company inspections and investigations
image pdf (Courtesy of the National Archives and Records Administration)
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 16, 1968: Arthur J. Hohmann v. Packard Instrument Company, Inc.: Memorandum of the SEC, Amicus Curiae
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
January 19, 1968: Howard James Hansen et al. v. Securities and Exchange Commission: Petition for Review of Order
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
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 20-23, 1968: Address to Kansas City Regional Council on Higher Education - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
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: Invitation from Justice Byron White to Justice William Brennan to join in opinion in SEC v. New England Electric System
transcript pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
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: Note from Justice Hugo Black to Justice William Brennan in support of opinion in SEC v. New England Electric System
transcript pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
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: Note from Justice Abe Fortas to Justice William Brennan in support of opinion in SEC v. New England Electric System
transcript pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
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)

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