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June 6, 1977
Keynote Address by SEC Chairman Ray Garrett, Jr., "Disclosure and 'Corp Fin' Branch Chiefs - The SEC Review Process"
document pdf (Courtesy of Richard Rowe)
June 8, 1977
Reply letter from W. Michael Blumenthal, Secretary of the Treasury to Representative Michael J. Harrington
image pdf (Courtesy of the National Archives and Records Administration)
June 15, 1977
Memo for President Carter from W. Michael Blumenthal, Secretary of the Treasury on reply to Senator Proxmire concerning anti-bribery legislation
image pdf (Courtesy of the National Archives and Records Administration)
June 16, 1977
Memo from Robert Rewald to Federal Reserve Board of Governors on Rule 390
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
June 20, 1977
Letter from President Carter to Senator William Proxmire in support of Foreign Corrupt Practices Act
image pdf (Courtesy of the National Archives and Records Administration)
June 20, 1977
Letter from William Hogan, American Bar Association to Representative Harley Staggers on Foreign Corrupt Practices Act
image pdf (Courtesy of the National Archives and Records Administration)
June 20, 1977
The Force of the Public Utility Holding Act has been Greatly Reduced by Changes in the SEC's Enforcement Policies - Report by the U.S. Comptroller General
image pdf (Courtesy of the Library of Congress)
June 24, 1977
Letter from Representative Michael J. Harrington to Secretary of the Treasury W. Michael Blumenthal asking reconsideration of legislative restrictions on corporate payments with political motivation
image pdf (Courtesy of the National Archives and Records Administration)
June 30, 1977
Request for President Carter meeting with Roberta Karmel
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
July 1977
NASD Newsletter
image pdf (Courtesy FINRA)
July 1977
Study on Federal Regulation: Independent Consumer Agency
image pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 1977
Study on Federal Regulation: Public Participation in Regulatory Agency Proceedings (excerpts)
image pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 13, 1977
Recommendation to Treasury Secretary Blumenthal from Henry C. Stockell, Jr. on further response to Representative Harrington
image pdf (Courtesy of the National Archives and Records Administration)
July 14, 1977
Complaint letter from Gaston Shumate to SEC Chairman Harold Williams regarding NASD
image pdf (Courtesy of the National Archives and Records Administration)
July 14, 1977
Memo from Division of Market Regulation to SEC Commission concerning New York power failure and exchange trading
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 14, 1977
SEC Release on New York City blackout
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 18, 1977
Reply letter from W. Michael Blumenthal, Secretary of the Treasury to Representative Michael J. Harrington confirming opposition to adding political motivation to questionable corporate payments legislation
image pdf (Courtesy of the National Archives and Records Administration)
July 19, 1977
Joel Harnett et al. v. Securities and Exchange Commission et al.: Motion of the Defendant
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 21, 1977
Joel Harnett et al. v. Securities and Exchange Commission et al.: Memorandum of Points
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 22, 1977
Letter to U.S. Representative Tom Steed from William Lovett, National Coalition for the Consumer Protection Agency
image pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 25, 1977
Joel Harnett et al. v. Securities and Exchange Commission et al.: Response of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 25, 1977
Joel Harnett et al. v. Securities and Exchange Commission et al.: Supplemental Memorandum
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 28, 1977
Joel Harnett et al. v. Securities and Exchange Commission et al.: Supplemental Response of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 28, 1977
Statement of the Securities and Exchange Commission before the Subcommittee on Oversight and Investigations and the Subcommittee on Consumer Protection and Finance, Committee on Interstate and Foreign Commerce of the House of Representatives, at Joint Over
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 29, 1977
Memo to President Carter with nomination of Roberta Karmel as SEC Commissioner
image pdf (Courtesy of the Jimmy Carter Library and Museum)
August 1, 1977
Letter from Arthur F. Burns, Federal Reserve to SEC Chairman Harold M. Williams on proposed revision of Article 9 of Regulation S-X
transcript pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
August 1, 1977
Letter from Joseph Sullivan, Chicago Board Options Exchange to George Fitzsimmons, SEC Secretary on SEC release revising rules governing the dissemination of quotations for securities
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
August 1, 1977
Letter to Speaker of the House Thomas O'Neill from Bert Lance on proposed establishment of consumer agency
transcript pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
August 1977
SEC Employee News
image pdf (Courtesy of the estate of Mollie B. Zion)
August 2, 1977
Letter to U.S. Representative Tom Steed from Esther Peterson in support of proposed agency for consumer protection
image pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
August 5, 1977
Letter from Senator Lawton Chiles to SEC Chairman Harold Williams on the Sunshine Act
document pdf (Courtesy of the estate of John Evans)
August 10, 1977
Letter from Joseph Sullivan, Chicago Board Options Exchange to George Fitzsimmons, SEC Secretary responding to SEC release on proposed rules dealing with securities transactions by members of national securities exchanges
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
August 11, 1977
Letter from Michael E. Tobin, Midwest Stock Exchange to Andrew Klein, Director, SEC Division of Market Regulation on options trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 12, 1977
Joel Harnett et al. v. Securities and Exchange Commission: Reply of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
August 15, 1977
Memorandum from the SEC Directorate of Economic and Research Policy to the SEC Division of Market Regulation on the economic analysis of Net Capital and Market Credit Requirements governing Options Market Makers
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 16, 1977
Memo from Michael Cardozo and Doug Huron to Robert Lipshutz on Bert Lance's campaign overdrafts
image pdf (Courtesy of the Jimmy Carter Library and Museum)
August 18, 1977
Memo from Robert Lipshutz to President Carter concerning Bert Lance investigation
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
August 24, 1977
Memo from A. Gary Klesch to Lyle Gramley on SEC Rule 390
image pdf (Courtesy of the Jimmy Carter Library and Museum)
August 26, 1977
SEC staff report on transactions in securities of the City of New York
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
August 30, 1977
Letter from Thomas D. Gleason, Wolverine World Wide, Inc. to William Batten, New York Stock Exchange in opposition to future expansion of options trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 1, 1977
Congressional Research Service survey of topics most likely to be read and used by members of Congress
image pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 1977
Elliot Handler et al. v. Securities and Exchange Commission: Answering Brief of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
September 6, 1977
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Regulation of Specialists and Market Makers in Light of the Proposed Removal of Off-Board Trading Restrictions
document pdf (Courtesy of George Simon)
September 6, 1977
Letter to U.S. Representative Tom Steed from Esther Peterson on study of public participation in regulatory agency proceedings
image pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 6, 1977
William F. Hink v. Agri-Research Council, Inc., John Burlington and Glenn Andersen
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
September 8, 1977
Memo from Robert Lipshutz to Jody Powell with facts relating to Bert Lance affairs prior to nomination and confirmation proceedings
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
September 12, 1977
Letter from Benjamin Civiletti, Department of Justice to SEC Chairman Harold Williams with agreement on procedures for mutual assistance with the Government of Pakistan on Lockheed and Boeing matters
transcript pdf (Courtesy of the National Archives and Records Administration)
September 12, 1977
Memo from Robert Lipshutz to President Carter on Bert Lance
image pdf (Courtesy of the Jimmy Carter Library and Museum)
September 12, 1977
Supplementary memo from Robert Lipshutz to President Carter concerning Bert Lance
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
September 13, 1977
Letter from Howard Coughlin, Office & Professional Employees International Union to George Meany, AFL-CIO opposing repeal of Rule 390
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
September 13, 1977
Memo from the SEC Office of the General Counsel to the Commission in response to Senator Lawton Chiles's Letter on the Sunshine Act
document pdf (Courtesy of the estate of John Evans)
September 13, 1977
Memorandum from Peter Kiernan, SEC Office of Public Affairs, to Richard H. Rowe, Director, SEC Division of Corporation Finance, requesting draft testimony for SEC Commissioner Evans for Congressional hearings on banking practices
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 15, 1977
"Investor Protection - A Shared Responsibility," Address by SEC Commissioner John R. Evans to Banks and the Securities Laws in 1977, Practising Law Institute
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 22, 1977
Letter from John Bowles to Charles Schultze on Rule 390
image pdf (Courtesy of the Jimmy Carter Library and Museum)
September 23, 1977
Reply letter from SEC Chairman Harold Williams to Benjamin Civiletti, Department of Justice on Lockheed and Boeing investigations
transcript pdf (Courtesy of the National Archives and Records Administration)
September 26, 1977
New York State Attorney General News Release proposing new rules to protect investors in dealing with investment advisory services
transcript pdf (Courtesy of Orestes Mihaly)
September 27, 1977
Letter from George Fitzsimmons, SEC to William Batten, New York Stock Exchange, Inc. on compliance with Securities Act Amendments of 1975
image pdf (Courtesy of the National Archives and Records Administration)
September 28, 1977
Statement of John R. Evans, Commissioner, Securities and Exchange Commission before the Senate Committee on Banking, Housing and Urban Affairs in Connection with Hearings on Certain Banking Practices
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 30, 1977
43rd Annual Report of the Securities and Exchange Commission

(Government Records)

October 5, 1977
Letter from Laurence Farrell, National Investor Relations Institute to Stephen Selig inviting President Carter to meet with the Institute's Board
image pdf (Courtesy of the Jimmy Carter Library and Museum)
October 6, 1977
Letter from Michael E. Tobin, Midwest Stock Exchange to SEC Chairman Harold M. Williams requesting proposed rule change on options trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 7, 1977
Letter from James Schropp, SEC to Rex Hawks, U.S. District Court for Western District of Oklahoma re SEC v. Haswell
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
October 11, 1977
Letter from the National Market Advisory Board to Andrew Klein, Director, SEC's Division of Market Regulation
document pdf (Courtesy of George Simon)
October 17, 1977
Letter from Fran Voorde to Laurence Farrell, National Investor Relations Institute declining invitation to President Carter
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
October 18, 1977
"Who Owns the New York Stock Exchange?" - Remarks by William M. Batten, Chairman, New York Stock Exchange, Inc. to Financial Women's Association
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.)
October 20, 1977
Memo from Joseph Sullivan to Board of Directors, Chicago Board Options Exchange with set of SEC options releases of October 18, 1977
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
October 21, 1977
Letter from Michael E. Tobin, Midwest Stock Exchange to George A. Fitzsimmons, SEC Secretary in response to SEC release to investigate options trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 25, 1977
Securities and Exchange Commission v. Andrew J. Haswell, Jr.: Response to the Order to Show Cause
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
October 27, 1977
Draft memo to the Chicago Board Options Exchange membership on SEC options proceedings
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
November 1977
Improving the Accountability of Publicy Owned Corporations and Their Auditors - Report of the Subcommittee on Reports, Accounting and Management, U.S. Senate Committee on Governmental Affairs (Metcalf Report)
image pdf (AICPA Collection, University of Mississippi)
November 3, 1977
Report of the Advisory Committee on Corporate Disclosure to the SEC
image pdf (Courtesy of the Library of Congress)
November 4, 1977
"The MFOA and Municipal Disclosure," Address by SEC Commissioner John R. Evans to Municipal Finance Officers Association, Disclosure and Current Reporting Colloquium
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 7, 1977
Postcard from Robert L. Aronoff to SEC Commissioner John R. Evans favoring Independent Audit of Municipalities
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 8, 1977
"Electronic Linkage: A Transcontinental Handshake," Remarks by William M. Batten, Chairman, New York Stock Exchange, Inc., at a dinner of the Commercial Club of Boston
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 9, 1977
"The FASB Conceptual Framework Project: A Silent Revolution" - Address by SEC Chairman Harold M. Williams to the Seaview Symposium
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 9, 1977
Letter from Donald Alexander to SEC Chairman Harold Williams on disclosure of illegal payments and corporate perquisites
image pdf (Courtesy of the National Archives and Records Administration)
November 11, 1977
"A View from the SEC," Address by SEC Commissioner John R. Evans to NASD
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 21, 1977
Letter from SEC General Counsel Harvey Pitt to Janet Studley, Counsel, Subcommittee on Federal Spending, Practices and Open Government of the Committee on Governmental Affairs, U.S. Senate, on the Sunshine Act
document pdf (Courtesy of the estate of John Evans)
November 22, 1977
The ABCs of the ABS [Automated Bond System of the New York Stock Exchange]
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
November 28, 1977
Hogan & Hartson v. David M. Butowsky: Memorandum of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
November 28, 1977
Memo from Moshe Levitin, Financial Accounting Standards Board on final report of Advisory Committee on Corporate Disclosure
image pdf (JT Ball Collection, University of Mississippi)
November 29, 1977
Statement of the Honorable John R. Evans, Commissioner, United States Securities and Exchange Commission, before the Subcommittee on Federal Spending Practices and Open Government of the Senate Committee on Government Operations, on the Impact of the Gover
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 1, 1977
"The National Market System in Perspective" - Address by SEC Chairman Harold M. Williams to the Securities Industry Association
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 6, 1977
Letter and Report from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Next Steps to be Taken to Facilitate the Establishment of a National Market System
document pdf (Courtesy of George Simon)
December 8, 1977
Statement of Barbara M. Rothenberg, Member of the Securities Industry Conference on Arbitration, before the SEC concerning the proposals of the conference for handling small claims
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 12, 1977
"The SEC's Evolving Role in Bank Regulation," Address by SEC Commissioner John R. Evans to the AICPA National Conference on Banking
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 12, 1977
U.S. Securities and Exchange Commission News Digest
document pdf (Courtesy of Richard Rowe)
December 13, 1977
"Inflation, Corporate Financial Reporting and Economic Reality" - Address by SEC Chairman Harold M. Williams to The Conference Board
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 15, 1977
Reply letter from SEC Chairman Harold Williams to Donald Alexander on recommendations of the Advisory Committee on Corporate Disclosure
transcript pdf (Courtesy of the National Archives and Records Administration)
December 19, 1977
Securities Exchange Act of 1934, Amendment - Foreign Corrupt Practices
image pdf (Courtesy of the National Archives and Records Administration)
December 23, 1977
Letter from Senator William Proxmire to Daniel Schatz on SEC's Report on Transactions in New York City Securities
document pdf (Courtesy of Daniel Schatz)
1978
Bankruptcy Reform Act of 1978 (Public Law No. 95-598); Section 202 of IAA amended; Sections 2(a)(8), 6(a)(2), 25(d) of ICA amended
document pdf (Government Records)
1978
NASD Annual Report
image pdf (Courtesy FINRA)
1978
NASD Notices to Members

(Courtesy of FINRA)

1978
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 1978
Securities and Exchange Commission v. E.L. Aaron & Co et al and Peter E. Aaron: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
1978
The Commission on Auditors' Responsibilities: Report, Conclusions and Recommendations (Cohen Commission Report)
image pdf (Courtesy of the American Institute of Certified Public Accountants)
1978
The Cornerstone of the National Market System, ITS - Intermarket Trading System
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
1978
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 4, 1978
"Professional Self-Governance: An Interim Report" - Address by SEC Chairman Harold M. Williams to AICPA
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

901 to 1000 of 1222 records

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