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1970s

Complaint for Injunction, U.S. Securities and Exchange Commission v. Acoustica Associates, Inc.

[document] (pdf) (Courtesy of Richard Rowe)

1970s

Complaint for Injunction, U.S. Securities and Exchange Commission v. Continental Dynamics, Inc. and Continental Dynamics, Ltd.

[document] (pdf) (Courtesy of Richard Rowe)

1970s

Complaint for Injunction, U.S. Securities and Exchange Commission v. Grimes Consolidated, Ltd.

[document] (pdf) (Courtesy of Richard Rowe)

1970s

Complaint for Injunction, U.S. Securities and Exchange Commission v. Gulf Continental, Ltd.

[document] (pdf) (Courtesy of Richard Rowe)

1970s

Complaint for Injunction, U.S. Securities and Exchange Commission v. National Tape Corporation

[document] (pdf) (Courtesy of Richard Rowe)

1970

Investment Company Amendments Act of 1970 (Public Law No. 91-547); Sections 202, 203, 205, 206A of IAA Amended; Sections 2(a), 3, 8(b), 9, 10, 11(b), 12(d), 13, 15, 17, 18(f), 19, 22, 24, 25, 26, 27, 28, 32, 33, 36, 43(a), 44 of ICA

[document] (PDF) (Government Records)

1970

NASD Annual Report

[image] (pdf) (Courtesy FINRA)

January 1970

[image] (pdf) (Courtesy FINRA)

1970

NASD Notices to Members

(Courtesy of FINRA)

January - April [image] (pdf)
May - October [image] (pdf)
November - December [image] (pdf)

1970

Organized Crime Control Act of 1970 (Public Law No. 91-452); Section 209 of IAA Amended; Section 42(d) of ICA Amended

[document] (PDF) (Government Records)

1970s

Statement of Points and Authorities in Support of Plaintiff's Motion for Summary Judgment, U.S. Securities and Exchange Commission v. Acoustica Associates, Inc.

[document] (pdf) (Courtesy of Richard Rowe)

January 12, 1970

Memo from Peter Flanigan to Dwight Chapin on appointment of Harold Boeschenstein to chair American Enterprise Institute

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

February 25, 1970

Memo from Dwight L. Chapin to President Nixon recommending meeting on economic policy, with handwritten notes from Hugh Sloan and H.R. Haldeman

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

March 1970

[image] (pdf) (Courtesy FINRA)

March 11, 1970

Memo from Hugh Sloan to President Nixon proposing meeting with Association of Stock Exchanges, Investment Bankers Association and Investment Company Institute

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

May 1970

[image] (pdf) (Courtesy FINRA)

June 11, 1970

Letter from Robert Bicks, Breed Abbott & Morgan, to Irving Pollack, SEC Division of Trading and Markets, with U.S. Department of Justice letter to Gordon Macklin, NASD on establishment of NASDAQ

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

June 30, 1970

36th Annual Report of the Securities and Exchange Commission

[image] (pdf) (Government Records)

July 1970

[image] (pdf) (Courtesy FINRA)

July 6, 1970

Letter from Chief Justice Warren Burger to Harry Blackmun

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

July 6, 1970

Letter from Lloyd Derrickson, NASD to Irving Pollack, SEC with response to U.S. Department of Justice inquiry into NASDAQ

[image] (pdf) (Courtesy of the National Archives and Records Administration)

July 9, 1970

Letter of Inquiry from John R. Stark, Joint Economic Committee, U.S. Congress to Caspar Weinberger, Federal Trade Commission

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

August 11, 1970

Memo from H.R. Haldeman to President Nixon recommending "the ten best all-around chief executive officers in the country in the 45-60 year-old bracket"

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

September 1970

[image] (pdf) (Courtesy FINRA)

September 1970

U.S. Securities and Exchange Commission Employee Bulletin

[document] (pdf) (Courtesy of Richard Rowe)

September 28, 1970

New York Stock Exchange Press Release: Test of Specialist Electronic Book

[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

October 12, 1970

Note from Chief Justice Warren Burger to Harry Blackmun

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

October 20, 1970

Remarks by SEC Commissioner James J. Needham, Knoxville, Tennessee

[image] (pdf) (Courtesy of Stephen A. Zeff)

October 22, 1970

Letter from Gordon Macklin, NASD to SEC Chairman Hamer Budge on NASDAQ

[image] (pdf) (Courtesy of the National Archives and Records Administration)

October 27, 1970

Memo from John D. Stoffels to Federal Reserve Chairman Arthur Burns on SEC action on proposed NYSE commission rates

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

October 29, 1970

Memo from John D. Stoffels to Federal Reserve Chairman Arthur Burns on SEC action on composition of "capital" of brokerage firms

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

October 29, 1970

Memo from John D. Stoffels to Federal Reserve Chairman Arthur Burns on SEC action on subsequent contacts regarding revised commission rate schedule

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

October 30, 1970

Complaint letter from Donald Weeden, Weeden & Co. to the NASD Board of Governors on NASDAQ

[image] (pdf) (Courtesy of the National Archives and Records Administration)

October 30, 1970

Letter from SEC Chairman Hamer Budge to Gordon Macklin, NASD on NASDAQ

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

November 1970

[image] (pdf) (Courtesy FINRA)

November 1970

NASD News - Special Report

[image] (pdf) (Courtesy FINRA)

November 9, 1970

Letter from Gordon Teach, NASD Board of Governors, to Donald Weeden, Weeden & Co., on exclusion of third market securities on NASDAQ

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

November 17, 1970

"Competition and the Future of the New York Stock Exchange" - Remarks of Robert W. Haack, New York Stock Exchange at the Economic Club of New York

[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

November 20, 1970

Memo from Donald Rumsfeld to John Ehrlichman on economic indicators

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

November 20, 1970

Memo from Secretary of the Treasury David Kennedy to President Nixon on new dimension in economic policy

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

December 4, 1970

Memo from Paul W. McCracken to President Nixon with talking points on business conditions

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

December 30, 1970

Memo from John D. Ehrlichman to George Schultz recommending release of economic data at politically advantageous times

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

1971

Investment Company Act of 1940 Amendment (Public Law No. 92 - 165); Section 27(f) of ICA Amended

[document] (PDF) (Government Records)

1971

NASD Annual Report

[image] (pdf) (Courtesy FINRA)

1971

NASD Notices to Members

(Courtesy of FINRA)

January - June [image] (pdf)
July - August [image] (pdf)
September - December [image] (pdf)

1971

Report on Major Changes in NYSE Constitution and Rules since 1967

[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

January 6, 1971

Memo from J. William O'Reilly, New York Stock Exchange on meeting with SEC

[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

January 8, 1971

Letter from Orval DuBois, SEC Secretary to Robert W. Haack, New York Stock Exchange on eligibility of listed securities on NASDAQ

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

February 1971

Basic (Banking and Securities Industry Committee) Year-End Report

[image] (pdf) (Courtesy of William F. Jaenike)

February 1971

[image] (pdf) (Courtesy FINRA)

February 12, 1971

Letter from Ralph Saul, American Stock Exchange to Orval DuBois, SEC on NASDAQ

[image] (pdf) (Courtesy of the National Archives and Records Administration)

February 17, 1971

Note from Justice Hugo Black to Justice Potter Stewart in support of opinion in National Association of Securities Dealers v. SEC, et al.

[image] (pdf) (William J. Brennan, Jr. Papers, courtesy Library of Congress)

February 19, 1971

Letter from Morris A. Schapiro to U.S. Representative Emanuel Celler with complaint against NASD for NASDAQ exclusion

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

March 4, 1971

Request from Justice Byron White to Justice Potter Stewart to join in opinion in National Association of Securities Dealers v. SEC, et al.

[image] (pdf) (William J. Brennan, Jr. Papers, courtesy Library of Congress)

March 8, 1971

Note from Justice Harry Blackmun to Justice Potter Stewart on Investment Company Institute v. Camp

[transcript] (pdf) (William O. Douglas Papers, courtesy Library of Congress)

March 10, 1971

Letter from Justice John Harlan to Justice Potter Stewart on Investment Company Institute v. Camp

[image] (pdf) (William J. Brennan, Jr. Papers, courtesy Library of Congress)

March 11, 1971

Letter from Justice Potter Stewart to Justice John Harlan on Investment Company Institute v. Camp

[transcript] (pdf) (William O. Douglas Papers, courtesy Library of Congress)

April 1971

Notes from Justice Harry Blackmun in National Association of Securities Dealers v. SEC and in Investment Company Institute v. Camp

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

April 1, 1971

Remarks by SEC Commissioner James J. Needham before the Illinois Society of Certified Public Accountants

[image] (pdf) (Courtesy of Stephen A. Zeff)

April 8, 1971

Findings, Opinion and Order of the Commission in the Matter of Major Realty Corporation

[document] (pdf) (Courtesy of Richard Rowe)

April 28, 1971

Institutional Investor Study Response, Securities Regulation and Tax Report

[document] (pdf) (Courtesy of Milton Cohen)

May 1971

[image] (pdf) (Courtesy FINRA)

May 5, 1971

"Evolution in the Capital Markets" - Address by SEC Chairman William Casey to the Society of American Business Writers

[image] (pdf) (Courtesy of Stephen A. Zeff)

May 12, 1971

Statement of Points and Authorities in Opposition to Defendant's Motion to Dismiss for Improper Venue, U.S. Securities and Exchange Commission v. Computer Statistics, Inc.

[document] (pdf) (Courtesy of Richard Rowe)

May 27, 1971

Letter from Gordon Macklin, NASD to SEC Chairman William J. Casey on unsafe and unsound practices of broker/dealers

[image] (pdf) (Courtesy of the National Archives and Records Administration)

June 1, 1971

Letter from Robert W. Haack, New York Stock Exchange to SEC Chairman William J. Casey

[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

June 8, 1971

The Financial Condition of Broker-Dealers: A Question of the Adequacy of Capital and Regulatory Safeguards, by Le Mahn Tri and Terry M. Chuppe, SEC Office of Policy Research

[image] (pdf) (Courtesy of the Library of Congress)

June 30, 1971

37th Annual Report of the Securities and Exchange Commission

[image] (pdf) (Government Records)

July 1971

[image] (pdf) (Courtesy FINRA)

July 1971

Report from David Clurman to New York Attorney General Louis J. Lefkowitz on the auditors of Wall Street

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

July 2, 1971

SEC Release: Adoption of Rules 27d-1, 27d-2, 27e-1, 27f-1, 27g-1, 27h-1 and Forms N-27D-1, N27E-1 and N27F-1

[image] (pdf) (Courtesy of Richard Wendt)

July 9, 1971

Memo from Arnold Kotler, New York Stock Exchange on meeting of NYSE special committee on specialists' performance

[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

July 30, 1971

"Crisis in the Securities Industry, A Chronology: 1967-1970" - Prepared for the Subcommittee on Commerce and Finance, Committee on Interstate and Foreign Commerce, U.S. House of Representatives by the New York Stock Exchange, Inc.

[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.)

August 4, 1971

Memo from Peter Flanigan to President Nixon recommending a cadre of economic spokesmen

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

August 5, 1971

Memo from John Ehrlichman to Peter Flanigan with President Nixon's request that, in meeting with business groups, "you spend time on the economy"

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

August 5, 1971

Special New York Stock Exchange Membership Bulletin on report conducted by William McChesney Martin, Jr.

[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

August 6, 1971

The Securities Markets - A Report, with Recommendations, by William McChesney Martin, Jr.

[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

August 12, 1971

Letter from Milton Cohen to The New York Times on Policy for Securities Market

[document] (pdf) (Courtesy of Milton Cohen)

August 30, 1971

Memo from Charles Colson to George Schultz reflecting Chamber of Commerce anger about the Cost of Living Council

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

September 1971

[image] (pdf) (Courtesy FINRA)

September 27, 1971

Memo from Lee D. Arning, New York Stock Exchange on national securities market

[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

September 27, 1971

SEC Release: Coordination of the Disclosure System: The Division of Corporation Finance's Practice of Deferring Processing 1933 Act Registration Statements Filed by Issuers Until They Comply with the Reporting Requirements of The Securities Exchange Act of

[document] (pdf) (Courtesy of Richard Rowe)

September 28, 1971

Memo from William C. Freund, New York Stock Exchange to Robert W. Haack on working committee on a national securities exchange

[image] (pdf) (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

October 11, 1971

Memo from Paul F. McGuire, Special Securities Committee to the Board of Directors, Chicago Board of Trade on formation of an options exchange

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

October 13, 1971

Letter from Irving M. Pollack, SEC Division of Trading and Markets to Milton H. Cohen, Schiff Hardin Waite Dorschel & Britton concerning Chicago Board of Trade's proposed options exchange

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

October 13, 1971

Securities Regulation and Tax Report-Support for Composite Tape

[document] (pdf) (Courtesy of Milton Cohen)

October 14, 1971

Report from Owen H. Nichols, Executive Committee to the Board of Directors, Chicago Board of Trade on implementation of a securities options market

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

November 1971

NASD News - Special Report

[image] (pdf) (Courtesy FINRA)

November 4, 1971

Memo from John Evans to Chairman Sparkman on the Proposed National Credit Union Bank of 1971

[document] (pdf) (Courtesy of the estate of John Evans)

November 10, 1971

Memo for SEC v. Medical Committee for Human Rights

[transcript] (pdf) (William O. Douglas Papers, courtesy Library of Congress)

November 16, 1971

Letter from E. Robert Seaver to Roberts Owen on SEC v. Medical Committee for Human Rights

[transcript] (pdf) (William O. Douglas Papers, courtesy Library of Congress)

November 22, 1971

Memo from Dwight Chapin to George P. Schultz on call from Bernard (Bunny) Lasker

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

December 1971

[image] (pdf) (Courtesy FINRA)

December 20, 1971

Findings, Opinion and Order in the Matter of Performance Systems, Inc.

[document] (pdf) (Courtesy of Richard Rowe)

December 21, 1971

Note from Justice Potter Stewart to Justice Thurgood Marshall on SEC v. Medical Committee for Human Rights

[image] (pdf) (William J. Brennan, Jr. Papers, courtesy Library of Congress)

December 22, 1971

Note from Justice Harry Blackmun to Justice Thurgood Marshall on SEC v. Medical Committee for Human Rights

[image] (pdf) (William J. Brennan, Jr. Papers, courtesy Library of Congress)

1972 to present

Division Directors, U.S. Securities and Exchange Commission Division of Enforcement

[document] (pdf) (Government Records.)

1972 to present

Division Directors, U.S. Securities and Exchange Commission Division of Investment Management

[document] (pdf) (Government Records.)

1972 (undated)

Key Facts in Confirmation of Richard Kleindienst as Attorney General

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

1972

NASD Annual Report

[image] (pdf) (Courtesy FINRA)

1 to 100 of 1086 records

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