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701 to 800 of 851 records

Page:
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 1, 1968
Letter to Lewis Gilbert from Charles Sheppe, SEC on proxy rule amendment
image pdf (Courtesy of National Archives)
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)
April 23, 1968
Corporate Decision-Making and Social Control - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
April 30, 1968
David Worley to Irv Pollack on audits of Pacific Coast Stock Exchange member firms
image pdf (Courtesy of the National Archives and Records Administration)
May 1, 1968
Robert Bishop to Martin Moskowitz on NYSE member firm examinations
image pdf (Courtesy of the National Archives and Records Administration)
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 17, 1968
Trading and Markets to New York Regional Administrator Mahlon Frankhauser on coordination of broker-dealer inspections (with memos to other regions attached)
image pdf (Courtesy of the National Archives and Records Administration)
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 23, 1968
Gerald Boltz to Edward Newton (NASD) on inspections
image pdf (Courtesy of the National Archives and Records Administration)
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 13, 1968
Memo to Commissioners from Mahlon Frankhauser transmitting an American Stock Exchange re "Member Firm Efforts to Control Speculation"
document pdf (Courtesy of Roberta Karmel)
June 13, 1968
Memo to Commissioners from Mahlon Frankhauser transmitting an American Stock Exchange re "Member Firm Efforts to Control Speculation"
document pdf (Courtesy of Roberta Karmel)
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)
June 28, 1968
Manuel Cohen to Congressman Harley Staggers on hedge funds (additional documentation attached)
image pdf (Courtesy of the National Archives and Records Administration)
June 30, 1968
34th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
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 12, 1968
Letter to U.S. Senator Harrison Williams from Adolf Berle on pending bill limiting corporate control over stock voting rights
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
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 1968
SEC Accounting Series Releases 1 to 112, Inclusive

(Courtesy of Gary J. Previts)

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
Howard James Hansen v. Securities and Exchange Commission: Brief for the SEC in Opposition
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
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
Memo from Trading and Markets and Corporate Regulation to Manuel Cohen on hedge funds
image pdf (Courtesy of the National Archives and Records Administration)
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 9, 1968
Office of General Counsel Memo re Major Legal Issues in Texas Gulf Sulphur Decision
document pdf (Courtesy of Roberta Karmel)
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)
October 26, 1968
Reporting for Diversified Companies - Address by SEC Chairman Manuel Cohen before the Financial Executives Institute
transcript pdf (AICPA Collection, University of Mississippi)
October 26, 1968
Some Viewpoints in Corporate Disclosure - Remarks by Robert W. Haack, President, New York Stock Exchange
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
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)
November 25, 1968
Manuel Cohen to regional office administrators on reassessing branch offices
image pdf (Courtesy of the National Archives and Records Administration)
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 10, 1968
Official Transcript: SEC Rate Structure Investigation of National Securities Exchanges
transcript pdf (Courtesy of Bernard E. Garil)
December 10,1968
Testimony of Bernard H. Garil before hearings on the Commission Rate Structure of National Securities Exchanges
image pdf (Courtesy of Bernard H. Garil)
December 12, 1968
Memo from Eugene Rotberg to SEC Chairman Manuel Cohen on Institutional Study Advisory Committee
document pdf (Courtesy of Eugene Rotberg)
December 16, 1968
Note from Justice William Douglas to Justice Thurgood Marshall in support of SEC v. National Securities
image pdf (Thurgood Marshall Papers, courtesy Library of Congress)
1968
The Tax Exemption of Interest on Industrial Development Bonds
transcript pdf (Courtesy of National Archives and Records Administration)
1969
NASD Annual Report
image pdf (Courtesy FINRA)
1969
NASD Notices to Members

(Courtesy of FINRA)

January 6, 1969
Note from Justice Potter Stewart to Justice Thurgood Marshall in support of opinion in SEC v. National Securities, Inc.
transcript pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
January 8, 1969
Note from Justice Hugo Black to Justice Thurgood Marshall on dissent in SEC v. National Securities, Inc.
transcript pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
January 8, 1969
Note from Justice John Harlan to Justice Thurgood Marshall on opinion in SEC v. National Securities, Inc.
transcript pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
January 21, 1969
Tally Sheet on Associate Justices Opinions in SEC v. National Securities, Inc.
image pdf (Earl Warren Papers, courtesy Library of Congress)
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)
January 22, 1969
Note from Justice Potter Stewart to Justice Thurgood Marshall on SEC v. National Securities
image pdf (Thurgood Marshall Papers, courtesy Library of Congress)
January 23, 1969
Memo to H.R. Haldeman from Robert Ellsworth on SEC Commission appointments
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)

701 to 800 of 851 records

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