Papers
Welcome to the Papers section of the virtual museum and archive. The materials in this section are organized chronologically.
538 Records Found
December 27, 1979
Letter from Jeffrey R. Liebman to SEC requesting an oral hearing on open Wells submission issues [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Jeffrey R. Liebman to SEC requesting an oral hearing on open Wells submission issues [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 26, 1979
New York State Attorney General Release announcing joint work with SEC to bar Petro Natural Resource Corporation [Transcription] (Courtesy of Orestes Mihaly)
New York State Attorney General Release announcing joint work with SEC to bar Petro Natural Resource Corporation [Transcription] (Courtesy of Orestes Mihaly)
December 26, 1979
SEC New York Regional Office Litigation Release on SEC v. Petro Natural Resource Corporation and Eugene L. Colman [Transcription] (Courtesy of Orestes Mihaly)
SEC New York Regional Office Litigation Release on SEC v. Petro Natural Resource Corporation and Eugene L. Colman [Transcription] (Courtesy of Orestes Mihaly)
December 21, 1979
Letter from Arthur Levitt, Jr., American Stock Exchange, to SEC Chairman Harold Williams on audit committees (courtesy of the estate of John Evans)
Letter from Arthur Levitt, Jr., American Stock Exchange, to SEC Chairman Harold Williams on audit committees (courtesy of the estate of John Evans)
December 6, 1979
"Selected Current Issues in Securities Regulation," Address by SEC Commissioner John R. Evans to Conference on Securities Regulation [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Selected Current Issues in Securities Regulation," Address by SEC Commissioner John R. Evans to Conference on Securities Regulation [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 1979
Significant Achievements in the [New York] Bureau of Investor Protection and Securities since January 1, 1979 [Image] (Courtesy of Orestes Mihaly)
Significant Achievements in the [New York] Bureau of Investor Protection and Securities since January 1, 1979 [Image] (Courtesy of Orestes Mihaly)
November 21, 1979
1979 President's Award for Distinguished Federal Civilian Service to Stanley Sporkin (Government Records)
1979 President's Award for Distinguished Federal Civilian Service to Stanley Sporkin (Government Records)
November 19, 1979
"Current Developments Affecting Small Business and Small and Medium-Sized Accounting Firms," Remarks of SEC Commissioner Philip A. Loomis, Jr. to the Foundation for Accounting Education, New York State Society of CPAs Annual SEC Accounting Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Current Developments Affecting Small Business and Small and Medium-Sized Accounting Firms," Remarks of SEC Commissioner Philip A. Loomis, Jr. to the Foundation for Accounting Education, New York State Society of CPAs Annual SEC Accounting Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 19, 1979
"The Audit Committee and the Internal Auditor: Strengthening Corporate Accountability," Address by SEC Commissioner John R. Evans to The National Association of Corporate Directors and The Institute of Internal Auditors [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Audit Committee and the Internal Auditor: Strengthening Corporate Accountability," Address by SEC Commissioner John R. Evans to The National Association of Corporate Directors and The Institute of Internal Auditors [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 1, 1979
Statement of the Honorable John R. Evans, Commissioner, United States Securities and Exchange Commission, on S.1411 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of the Honorable John R. Evans, Commissioner, United States Securities and Exchange Commission, on S.1411 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 31, 1979
Petitioner's Reply Brief, Vincent F. Chiarella against United States of America [Image] (courtesy of the Library of Congress)
Petitioner's Reply Brief, Vincent F. Chiarella against United States of America [Image] (courtesy of the Library of Congress)
October 24, 1979
Congratulatory Letter from Donald L. Calvin, The New York Stock Exchange, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Donald L. Calvin, The New York Stock Exchange, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 22, 1979
Appointment Affadavit of John R. Evans to the Securities and Exchange Commission [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Appointment Affadavit of John R. Evans to the Securities and Exchange Commission [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 22, 1979
Memo from William C. Wood to SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from William C. Wood to SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 19, 1979
Letter from James Scheuer and Bob Eckhardt, U.S. House of Representatives, to SEC Chairman Harold M. Williams requesting comments following Congressional hearings on the progress towards the development of a national market system [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from James Scheuer and Bob Eckhardt, U.S. House of Representatives, to SEC Chairman Harold M. Williams requesting comments following Congressional hearings on the progress towards the development of a national market system [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 12, 1979
"The Regulatory Framework for Public Accounting," Address by SEC Commissioner John R. Evans to 3rd Annual Intermountain Accounting Seminar and 1979 Update [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Regulatory Framework for Public Accounting," Address by SEC Commissioner John R. Evans to 3rd Annual Intermountain Accounting Seminar and 1979 Update [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 9, 1979
"Current Problems in Financial Reporting and Internal Controls" - Address by SEC Chairman Harold M. Williams to Financial Executives Institute 1978 International Convention [Transcription] (Courtesy of the estate of John R. Evans)
"Current Problems in Financial Reporting and Internal Controls" - Address by SEC Chairman Harold M. Williams to Financial Executives Institute 1978 International Convention [Transcription] (Courtesy of the estate of John R. Evans)
September 25, 1979
"The Vital Role of State Boards of Accountancy," Remarks by SEC Commissioner John R. Evans to National Association of State Boards of Accountancy 72nd Annual Meeting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Vital Role of State Boards of Accountancy," Remarks by SEC Commissioner John R. Evans to National Association of State Boards of Accountancy 72nd Annual Meeting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 13, 1979
Letter from SEC Commissioner John Evans to Senator William Proxmire on the SEC's relationship with the bank regulatory agencies (courtesy of the estate of John Evans)
Letter from SEC Commissioner John Evans to Senator William Proxmire on the SEC's relationship with the bank regulatory agencies (courtesy of the estate of John Evans)
August 14, 1979
"Implementation of the Foreign Corrupt Practices Act: An Intersection of Law and Management" - Address by SEC Chairman Harold M. Williams to Section of Business, Banking and Corporation Law, American Bar Association [Transcription] (Courtesy of the estate of John R. Evans)
"Implementation of the Foreign Corrupt Practices Act: An Intersection of Law and Management" - Address by SEC Chairman Harold M. Williams to Section of Business, Banking and Corporation Law, American Bar Association [Transcription] (Courtesy of the estate of John R. Evans)
August 10, 1979
Brief for the United States on Writ of Certiorari to the U.S. Court of Appeals, Vincent F. Chiarella v. United States of America [Image] (courtesy of the Library of Congress)
Brief for the United States on Writ of Certiorari to the U.S. Court of Appeals, Vincent F. Chiarella v. United States of America [Image] (courtesy of the Library of Congress)
August 7, 1979
Letter from Kenneth Rosenblum, Midwest Stock Exchange, to Andrew Klein, SEC Division of Market Regulation, reporting progress in meeting SEC Act Release 15575 recommendations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Kenneth Rosenblum, Midwest Stock Exchange, to Andrew Klein, SEC Division of Market Regulation, reporting progress in meeting SEC Act Release 15575 recommendations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 2, 1979
Letter from George P. Stamas to SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from George P. Stamas to SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 28, 1979
"Current Developments in Disclosure Policy," Remarks by SEC Commissioner Philip A. Loomis, Jr. to the American Society of Corporate Secretaries Annual Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Current Developments in Disclosure Policy," Remarks by SEC Commissioner Philip A. Loomis, Jr. to the American Society of Corporate Secretaries Annual Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 28, 1979
Brief for the Petitioner Vincent F. Chiarella on Writ of Certiorari to the U.S. Court of Appeals, Vincent F. Chiarella against United States of America [Image] (courtesy of the Library of Congress)
Brief for the Petitioner Vincent F. Chiarella on Writ of Certiorari to the U.S. Court of Appeals, Vincent F. Chiarella against United States of America [Image] (courtesy of the Library of Congress)
June 22, 1979
"Tender Offers: An SEC Perspective," Address by SEC Commissioner John R. Evans to National Association of Corporate Directors Briefing [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Tender Offers: An SEC Perspective," Address by SEC Commissioner John R. Evans to National Association of Corporate Directors Briefing [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 19, 1979
Congratulatory Letter from Frederic T. Spindel to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Frederic T. Spindel to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 18, 1979
The Internal Auditing Profession: Challenges and Opportunities - Address by SEC Chief Accountant A. Clarence Sampson to the 1979 International Conference of The Institute of Internal Auditors [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
The Internal Auditing Profession: Challenges and Opportunities - Address by SEC Chief Accountant A. Clarence Sampson to the 1979 International Conference of The Institute of Internal Auditors [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 15, 1979
Congratulatory Letter from A. A. Sommer, Jr. to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from A. A. Sommer, Jr. to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1979
Congratulatory Letter from Gerald Boltz to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Gerald Boltz to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1979
Congratulatory Letter from Harvey L. Pitt to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Harvey L. Pitt to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1979
Congratulatory Letter from John C. "Sandy" Burton to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from John C. "Sandy" Burton to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1979
Letter from R.C. Dikeman to SEC Commissioner John R. Evans on the National Association of Bond Dealers [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from R.C. Dikeman to SEC Commissioner John R. Evans on the National Association of Bond Dealers [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 12, 1979
Congratulatory Letter from Hugh Owens, Securities Investor Protection Corporation, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Hugh Owens, Securities Investor Protection Corporation, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 12, 1979
Congratulatory Letter from retired Senator Wallace F. Bennett to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from retired Senator Wallace F. Bennett to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 12, 1979
Congratulatory Letter from Senator William Proxmire to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Senator William Proxmire to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 11, 1979
Congratulatory Letter from Daniel J. McCauley, Jr. to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Daniel J. McCauley, Jr. to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from Alan Rosenblat to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Alan Rosenblat to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from Joan M. Fleming, SEC, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Joan M. Fleming, SEC, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from John S.R. Schoenfeld, International Management and Development Institute, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from John S.R. Schoenfeld, International Management and Development Institute, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from Martin E. Lybecker, SEC, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Martin E. Lybecker, SEC, to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from Richard B. Smith to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Richard B. Smith to John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 7, 1979
Congratulatory Letter from Barbara L. Leventhal, Municipal Securities Rulemaking Board, to John R. Evans (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Congratulatory Letter from Barbara L. Leventhal, Municipal Securities Rulemaking Board, to John R. Evans (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 1, 1979
Letter from Robert J. Birnbaum, American Stock Exchange, to SEC Chairman Harold M. Williams, protesting SEC approval of the expansion of the Chicago Board Options Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Robert J. Birnbaum, American Stock Exchange, to SEC Chairman Harold M. Williams, protesting SEC approval of the expansion of the Chicago Board Options Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 2, 1979
Letter from U.S. Senator William Proxmire to SEC Chairman Harold Williams on the SEC's disclosure of questionable corporate payment cases [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from U.S. Senator William Proxmire to SEC Chairman Harold Williams on the SEC's disclosure of questionable corporate payment cases [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 30, 1979
Letter from the Audit Committee, Standard Oil of California to SEC Chairman Harold M. Williams on reserve recognition accounting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from the Audit Committee, Standard Oil of California to SEC Chairman Harold M. Williams on reserve recognition accounting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 20, 1979
Letter from Stanley R. Greenfield to SEC Commissioner John R. Evans describing a prospective magazine for corporate directors [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Stanley R. Greenfield to SEC Commissioner John R. Evans describing a prospective magazine for corporate directors [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 3, 1979
New York State Attorney General Release endorsing SEC proposed rules on tender offers [Image] (Courtesy of Orestes Mihaly)
New York State Attorney General Release endorsing SEC proposed rules on tender offers [Image] (Courtesy of Orestes Mihaly)
March 30, 1979
Letter from SEC Chairman Harold M. Williams to Bernard Martin, Office of Management and Budget, on the draft "Paperwork Reduction" bill [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Chairman Harold M. Williams to Bernard Martin, Office of Management and Budget, on the draft "Paperwork Reduction" bill [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 2, 1979
Letter from Gerald E. Boltz to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
Letter from Gerald E. Boltz to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
March 2, 1979
Letter from Walter D. Vinyard, Jr. to Peggy Rainwater, Presidential Personnel Office, in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
Letter from Walter D. Vinyard, Jr. to Peggy Rainwater, Presidential Personnel Office, in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
March 2, 1979
Williams, SEC Chairman Harold M., "The State of the Securities and Exchange Commission," to The SEC Speaks, Practising Law Institute (courtesy of Theodore A. Levine)
Williams, SEC Chairman Harold M., "The State of the Securities and Exchange Commission," to The SEC Speaks, Practising Law Institute (courtesy of Theodore A. Levine)
February 28, 1979
"The SEC, the Accounting Profession, and Self-Regulation," Address by SEC Commissioner John R. Evans as part of the Distinguished Speaker Series, Department of Accounting, University of Kentucky [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The SEC, the Accounting Profession, and Self-Regulation," Address by SEC Commissioner John R. Evans as part of the Distinguished Speaker Series, Department of Accounting, University of Kentucky [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 27, 1979
Memorandum prepared by Janet R. Zimmer, Special Counsel, SEC Division of Market Regulation on options closing hours and closing rotations [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memorandum prepared by Janet R. Zimmer, Special Counsel, SEC Division of Market Regulation on options closing hours and closing rotations [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 21, 1979
Letter from Elkins Wetherill, Philadelphia Stock Exchange, to George Fitzsimmons, SEC Secretary on standardized options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Elkins Wetherill, Philadelphia Stock Exchange, to George Fitzsimmons, SEC Secretary on standardized options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 2, 1979
Letter from Scott Lager, Chicago Board Options Exchange, to Michael Maloney, Assistant Director, SEC Division of Market Regulation on options trading closing [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Scott Lager, Chicago Board Options Exchange, to Michael Maloney, Assistant Director, SEC Division of Market Regulation on options trading closing [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 12, 1979
Statement of Meeting of the Municipal Securities Rulemaking Board with the SEC [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of Meeting of the Municipal Securities Rulemaking Board with the SEC [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 4, 1979
Letter from James Buck, New York Stock Exchange, to George Fitzimmons, SEC Secretary on the NYSE proposal to enter the options trading market [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from James Buck, New York Stock Exchange, to George Fitzimmons, SEC Secretary on the NYSE proposal to enter the options trading market [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 22, 1978
Report of the SEC's Special Study of the Options Market (courtesy of Stuart Kaswell)
Report of the SEC's Special Study of the Options Market (courtesy of Stuart Kaswell)
December 8, 1978
"Improving the Accounting Profession: A Shared Responsibility," Address by SEC Commissioner John R. Evans to 8th Annual SEC Conference, Florida Institute of Certified Public Accountants [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Improving the Accounting Profession: A Shared Responsibility," Address by SEC Commissioner John R. Evans to 8th Annual SEC Conference, Florida Institute of Certified Public Accountants [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 10, 1978
Letter from Milton H. Cohen, Schiff Hardin & Waite, to the SEC in support of the Chicago Board Options Exchange's position on the New York Stock Exchange's creation of an options market [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Milton H. Cohen, Schiff Hardin & Waite, to the SEC in support of the Chicago Board Options Exchange's position on the New York Stock Exchange's creation of an options market [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 3, 1978
"Audit Committees - The American Experience," Address by SEC Commissioner Philip A. Loomis, Jr. to The Institute of Chartered Accountants in England and Wales [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Audit Committees - The American Experience," Address by SEC Commissioner Philip A. Loomis, Jr. to The Institute of Chartered Accountants in England and Wales [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 3, 1978
"SEC Corporate Governance Proposals: An Update," Address by SEC Commissioner John R. Evans to Santa Barbara Conference, American Society of Corporate Secretaries [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"SEC Corporate Governance Proposals: An Update," Address by SEC Commissioner John R. Evans to Santa Barbara Conference, American Society of Corporate Secretaries [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 27, 1978
Joint Submission of Chicago Board Options Exchange and Midwest Stock Exchange to SEC Chairman Harold M. Williams on the proposed combination of Midwest's stock options program with that of CBOE [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Joint Submission of Chicago Board Options Exchange and Midwest Stock Exchange to SEC Chairman Harold M. Williams on the proposed combination of Midwest's stock options program with that of CBOE [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 12, 1978
Letter from Senator William Proxmire to President Carter in support of re-appointment of John R. Evans as SEC Commissioner [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator William Proxmire to President Carter in support of re-appointment of John R. Evans as SEC Commissioner [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 23, 1978
Letter from Harvey L. Pitt to SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Harvey L. Pitt to SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 17, 1978
Letter from ICC Commissioner Charles L. Clapp to SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from ICC Commissioner Charles L. Clapp to SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 14, 1978
Letter from Philip J. Lo Bue, Pacific Stock Exchange, to Andrew M. Klein, Director, SEC Division of Market Regulation with comments on guidelines for replacement of involuntarily delisted options classes [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Philip J. Lo Bue, Pacific Stock Exchange, to Andrew M. Klein, Director, SEC Division of Market Regulation with comments on guidelines for replacement of involuntarily delisted options classes [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 11, 1978
Letter from William D. Moran to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
Letter from William D. Moran to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
July 1, 1978
SEC Report to Congress on the Accounting Profession and the Commission's Oversight Role [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
SEC Report to Congress on the Accounting Profession and the Commission's Oversight Role [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July to August 1978
U.S. Securities and Exchange Commission Employee News (courtesy of Theodore Levine)
U.S. Securities and Exchange Commission Employee News (courtesy of Theodore Levine)
June 28, 1978
Letter from Sterling D. Colton to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
Letter from Sterling D. Colton to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
June 21, 1978
Letter from David G. Taylor, Continental Bank, to Tim Kraft, Special Assistant to the President, in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
Letter from David G. Taylor, Continental Bank, to Tim Kraft, Special Assistant to the President, in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
June 20, 1978
Letter from Joseph L. Grant, SEC Atlanta Assistant Regional Administrator, to SEC Commissioner John Evans in support of Mr. Evans's re-appointment to the SEC Commission (courtesy of the estate of John Evans)
Letter from Joseph L. Grant, SEC Atlanta Assistant Regional Administrator, to SEC Commissioner John Evans in support of Mr. Evans's re-appointment to the SEC Commission (courtesy of the estate of John Evans)
June 15, 1978
"The National Market System: A Status Report" - Address by SEC Chairman Harold M. Williams to the FBA/CCH National Market System Conference [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The National Market System: A Status Report" - Address by SEC Chairman Harold M. Williams to the FBA/CCH National Market System Conference [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 14, 1978
Letter from John E. Horne to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
Letter from John E. Horne to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
June 14, 1978
Letter from SEC Commissioner Philip A. Loomis, Jr. to President Carter in support of re-appointment of John R. Evans as SEC Commissioner [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Commissioner Philip A. Loomis, Jr. to President Carter in support of re-appointment of John R. Evans as SEC Commissioner [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1978
Letter from Wallace F. Bennett to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
Letter from Wallace F. Bennett to President Carter in support of the re-appointment of John Evans to the SEC Commission (courtesy of the estate of John Evans)
June 9, 1978
"SEC Influence on Corporate Ethics and Governance," Address by SEC Commissioner John R. Evans to Southwest Assembly on Corporate Ethics and Governance, Southern Methodist University [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"SEC Influence on Corporate Ethics and Governance," Address by SEC Commissioner John R. Evans to Southwest Assembly on Corporate Ethics and Governance, Southern Methodist University [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 6, 1978
Letter from Senator Herman Talmadge to Frank B. Moore in support of re-appointment of John R. Evans as SEC Commissioner [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator Herman Talmadge to Frank B. Moore in support of re-appointment of John R. Evans as SEC Commissioner [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 1, 1978
"The Role of the Corporate Secretary in Promoting Corporate Accountability" - Address by SEC Chairman Harold M. Williams to the American Society of Corporate Secretaries [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Role of the Corporate Secretary in Promoting Corporate Accountability" - Address by SEC Chairman Harold M. Williams to the American Society of Corporate Secretaries [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 24, 1978
Letter from Kenneth I. Rosenblum, Midwest Stock Exchange, to Harvey Pitt, SEC General Counsel on complaint filed by options market makers against the exchange and Michael Tobin [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Kenneth I. Rosenblum, Midwest Stock Exchange, to Harvey Pitt, SEC General Counsel on complaint filed by options market makers against the exchange and Michael Tobin [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 17, 1978
"A Challenge to Mutual Funds" - Address by SEC Chairman Harold M. Williams to the Investment Company Institute [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"A Challenge to Mutual Funds" - Address by SEC Chairman Harold M. Williams to the Investment Company Institute [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 17, 1978
Statement of the Honorable Harold M. Williams, Chairman of the Securities and Exchange Commission, before the Subcommittee on Financial Institutions of the Committee on Banking, Housing and Urban Affairs, U .S. Senate [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of the Honorable Harold M. Williams, Chairman of the Securities and Exchange Commission, before the Subcommittee on Financial Institutions of the Committee on Banking, Housing and Urban Affairs, U .S. Senate [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 15, 1978
Letter from Milton H. Cohen to Andrew M. Klein, Director, SEC Division of Market Regulation with suggestions for improving Rule 19b-4 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Milton H. Cohen to Andrew M. Klein, Director, SEC Division of Market Regulation with suggestions for improving Rule 19b-4 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 8, 1978
"Progress Toward Professional Self-Governance: An Update" - Address by SEC Chairman Harold M. Williams to the AICPA Council [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Progress Toward Professional Self-Governance: An Update" - Address by SEC Chairman Harold M. Williams to the AICPA Council [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 2, 1978
Letter from U.S. Ambassador Marvin L. Warner to SEC Chairman Harold Williams on visit of SEC Commissioner Irving Pollack to the American Embassy in Switzerland [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from U.S. Ambassador Marvin L. Warner to SEC Chairman Harold Williams on visit of SEC Commissioner Irving Pollack to the American Embassy in Switzerland [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 1, 1978
"The Role of the Director in Corporate Accountability" - Address by SEC Chairman Harold M. Williams to the Economic Club of Detroit [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Role of the Director in Corporate Accountability" - Address by SEC Chairman Harold M. Williams to the Economic Club of Detroit [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 3, 1978
"The State of the Securities and Exchange Commission - 1978" - Address by SEC Chairman Harold M. Williams to The SEC Speaks in 1978 [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The State of the Securities and Exchange Commission - 1978" - Address by SEC Chairman Harold M. Williams to The SEC Speaks in 1978 [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 23, 1978
"Economic Priorities for Business" - Address by SEC Chairman Harold M. Williams to the Economic Club of Chicago [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Economic Priorities for Business" - Address by SEC Chairman Harold M. Williams to the Economic Club of Chicago [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 16, 1978
Request from U.S. Representative John E. Moss to SEC Commissioner John R. Evans to testify as part of the House investigation into the organization and reform measures of the American Institute of Certified Public Accountants [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Request from U.S. Representative John E. Moss to SEC Commissioner John R. Evans to testify as part of the House investigation into the organization and reform measures of the American Institute of Certified Public Accountants [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 13, 1978
Letter from SEC Commissioner John Evans to Kevin Kenny, J.J. Kenny Co., Inc. (courtesy of the estate of John Evans)
Letter from SEC Commissioner John Evans to Kevin Kenny, J.J. Kenny Co., Inc. (courtesy of the estate of John Evans)
January 28, 1978
"The Future of the Securities Industry" - Address by SEC Chairman Harold M. Williams, Gustave L. Levy Memorial Lecture, Twelfth Annual Conference on Wall Street and the Economy [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Future of the Securities Industry" - Address by SEC Chairman Harold M. Williams, Gustave L. Levy Memorial Lecture, Twelfth Annual Conference on Wall Street and the Economy [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 18, 1978
"Corporate Accountability" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Corporate Accountability" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 11, 1978
"Corporate Checks and Balances," Address by SEC Commissioner John R. Evans to Middle Atlantic Regional Group, American Society of Corporate Secretaries [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Corporate Checks and Balances," Address by SEC Commissioner John R. Evans to Middle Atlantic Regional Group, American Society of Corporate Secretaries [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 5, 1978
Memo from SEC Commissioner Loomis to SEC Commissioner Evans concerning applicants for the position of legal assistant to Commissioner Loomis (courtesy of the estate of John Evans)
Memo from SEC Commissioner Loomis to SEC Commissioner Evans concerning applicants for the position of legal assistant to Commissioner Loomis (courtesy of the estate of John Evans)
January 4, 1978
"Professional Self-Governance: An Interim Report" - Address by SEC Chairman Harold M. Williams to AICPA [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Professional Self-Governance: An Interim Report" - Address by SEC Chairman Harold M. Williams to AICPA [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
1978 to present
U.S. Securities and Exchange Commission Staff Award - Manuel F. Cohen Award (Government Records.)
U.S. Securities and Exchange Commission Staff Award - Manuel F. Cohen Award (Government Records.)
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 (Government Records)
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 (Government Records)
December 23, 1977
Letter from Senator William Proxmire to Daniel Schatz on SEC's Report on Transactions in New York City Securities (courtesy of Daniel Schatz)
Letter from Senator William Proxmire to Daniel Schatz on SEC's Report on Transactions in New York City Securities (courtesy of Daniel Schatz)
December 13, 1977
"Inflation, Corporate Financial Reporting and Economic Reality" - Address by SEC Chairman Harold M. Williams to The Conference Board [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Inflation, Corporate Financial Reporting and Economic Reality" - Address by SEC Chairman Harold M. Williams to The Conference Board [Transcription] (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] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The SEC's Evolving Role in Bank Regulation," Address by SEC Commissioner John R. Evans to the AICPA National Conference on Banking [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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 [Transcription] (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 (courtesy of George Simon)
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 (courtesy of George Simon)
December 1, 1977
"The National Market System in Perspective" - Address by SEC Chairman Harold M. Williams to the Securities Industry Association [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The National Market System in Perspective" - Address by SEC Chairman Harold M. Williams to the Securities Industry Association [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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 Government in the Sunshine Act [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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 Government in the Sunshine Act [Image] (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 (courtesy of the estate of John Evans)
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 (courtesy of the estate of John Evans)
November 11, 1977
"A View from the SEC," Address by SEC Commissioner John R. Evans to NASD [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"A View from the SEC," Address by SEC Commissioner John R. Evans to NASD [Image] (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 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The FASB Conceptual Framework Project: A Silent Revolution" - Address by SEC Chairman Harold M. Williams to the Seaview Symposium [Transcription] (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 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"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 [Transcription] (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] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Postcard from Robert L. Aronoff to SEC Commissioner John R. Evans favoring Independent Audit of Municipalities [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The MFOA and Municipal Disclosure," Address by SEC Commissioner John R. Evans to Municipal Finance Officers Association, Disclosure and Current Reporting Colloquium [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Michael E. Tobin, Midwest Stock Exchange to George A. Fitzsimmons, SEC Secretary in response to SEC release to investigate options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 11, 1977
Letter from the National Market Advisory Board to Andrew Klein, Director, SEC's Division of Market Regulation (courtesy of George Simon)
Letter from the National Market Advisory Board to Andrew Klein, Director, SEC's Division of Market Regulation (courtesy of George Simon)
October 6, 1977
Letter from Michael E. Tobin, Midwest Stock Exchange to SEC Chairman Harold M. Williams requesting proposed rule change on options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Michael E. Tobin, Midwest Stock Exchange to SEC Chairman Harold M. Williams requesting proposed rule change on options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 26, 1977
New York State Attorney General News Release proposing new rules to protect investors in dealing with investment advisory services [Transcription] (Courtesy of Orestes Mihaly)
New York State Attorney General News Release proposing new rules to protect investors in dealing with investment advisory services [Transcription] (Courtesy of Orestes Mihaly)
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] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Investor Protection - A Shared Responsibility," Address by SEC Commissioner John R. Evans to Banks and the Securities Laws in 1977, Practising Law Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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 (courtesy of the estate of John Evans)
Memo from the SEC Office of the General Counsel to the Commission in response to Senator Lawton Chiles's Letter on the Sunshine Act (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] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 5, 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 (courtesy of George Simon)
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 (courtesy of George Simon)
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 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Thomas D. Gleason, Wolverine World Wide, Inc. to William Batten, New York Stock Exchange in opposition to future expansion of options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 11, 1977
Letter from Michael E. Tobin, Midwest Stock Exchange to Andrew Klein, Director, SEC Division of Market Regulation on options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Michael E. Tobin, Midwest Stock Exchange to Andrew Klein, Director, SEC Division of Market Regulation on options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 5, 1977
Letter from Senator Lawton Chiles to SEC Chairman Harold Williams on the Sunshine Act (courtesy of the estate of John Evans)
Letter from Senator Lawton Chiles to SEC Chairman Harold Williams on the Sunshine Act (courtesy of the estate of John Evans)
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 Oversight Hearings on the Functioning and Administration of the Securities Acts Amendments of 1975 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
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 Oversight Hearings on the Functioning and Administration of the Securities Acts Amendments of 1975 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 14, 1977
Memo from Division of Market Regulation to SEC Commission concerning New York power failure and exchange trading [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from Division of Market Regulation to SEC Commission concerning New York power failure and exchange trading [Image] (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] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
SEC Release on New York City blackout [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 6, 1977
Keynote Address by SEC Chairman Ray Garrett, Jr., "Disclosure and 'Corp Fin' Branch Chiefs - The SEC Review Process" (courtesy of Richard Rowe)
Keynote Address by SEC Chairman Ray Garrett, Jr., "Disclosure and 'Corp Fin' Branch Chiefs - The SEC Review Process" (courtesy of Richard Rowe)
June 2, 1977
Letter from Senator Lee Metcalf, Chairman of the U.S. Senate Subcommittee on Reports, Accounting and Management, Committee on Governmental Affairs, to SEC Commissioner John R. Evans requesting Mr. Evans testify at hearings on accounting practices and suggested reforms. [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator Lee Metcalf, Chairman of the U.S. Senate Subcommittee on Reports, Accounting and Management, Committee on Governmental Affairs, to SEC Commissioner John R. Evans requesting Mr. Evans testify at hearings on accounting practices and suggested reforms. [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 19, 1977
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Off-Board Trading by Members of National Securities Exchanges (courtesy of George Simon)
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Off-Board Trading by Members of National Securities Exchanges (courtesy of George Simon)
May 9, 1977
Letter from Frieda K. Wallison, Municipal Securities Rulemaking Board, to SEC Commissioner John R. Evans concerning new members of the MSRB Board [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Frieda K. Wallison, Municipal Securities Rulemaking Board, to SEC Commissioner John R. Evans concerning new members of the MSRB Board [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 16, 1977
"Corporate Ethics" - Address by SEC Chairman Harold M. Williams to the American Assembly, Columbia University [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Corporate Ethics" - Address by SEC Chairman Harold M. Williams to the American Assembly, Columbia University [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 12, 1977
"The Accounting Profession and the SEC: A Partnership Under Attack," Address by SEC Commissioner John R. Evans to Cincinnati Chapter, Ohio Society of Certified Public Accountants [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Accounting Profession and the SEC: A Partnership Under Attack," Address by SEC Commissioner John R. Evans to Cincinnati Chapter, Ohio Society of Certified Public Accountants [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 4, 1977
Nomination by SEC Chairman Roderick Hills of Richard H. Rowe for the Tom C. Clark Award (courtesy of Richard Rowe)
Nomination by SEC Chairman Roderick Hills of Richard H. Rowe for the Tom C. Clark Award (courtesy of Richard Rowe)
March 17, 1977
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission, with Letter to Edward O'Brien, President, Securities Industry Association (courtesy of George Simon)
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission, with Letter to Edward O'Brien, President, Securities Industry Association (courtesy of George Simon)
February 25, 1977
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Off-Board Trading by Members of National Securities Exchanges (courtesy of George Simon)
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Off-Board Trading by Members of National Securities Exchanges (courtesy of George Simon)
February 21, 1977
"Challenges and Cooperative Regulatory Efforts," Address by SEC Commissioner John R. Evans to 1977 Winter Conference, Midwest Securities Commissioners Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Challenges and Cooperative Regulatory Efforts," Address by SEC Commissioner John R. Evans to 1977 Winter Conference, Midwest Securities Commissioners Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 7, 1977
"An SEC Perspective on Bank Trust Departments," Address by SEC Commissioner John R. Evans to the National Trust Conference, American Bankers Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"An SEC Perspective on Bank Trust Departments," Address by SEC Commissioner John R. Evans to the National Trust Conference, American Bankers Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 28, 1977
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Establishment of a Composite Limit Order Book (courtesy of George Simon)
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Establishment of a Composite Limit Order Book (courtesy of George Simon)
January 7, 1977
Memo to the SEC Commission from the Division of Enforcement concerning the voluntary disclosure program [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo to the SEC Commission from the Division of Enforcement concerning the voluntary disclosure program [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 5, 1977
Letter from Joseph W. Sullivan, Chicago Board Options Exchange to the SEC Commission on put trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Joseph W. Sullivan, Chicago Board Options Exchange to the SEC Commission on put trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 1977
Final Report of the U.S. Securities and Exchange Commission's Major Issues Conference (courtesy of Paul Gonson)
Final Report of the U.S. Securities and Exchange Commission's Major Issues Conference (courtesy of Paul Gonson)
1977
U.S. Securities and Exchange Commission Annual Report [Transcription] (courtesy of Government Records)
U.S. Securities and Exchange Commission Annual Report [Transcription] (courtesy of Government Records)
December 31, 1976
Report from the National Market Advisory Board to Congress The Possible Need for Modifications of the Scheme of Self Regulation in the Securities Industry so as to Adapt it to a National Market System (courtesy of George Simon)
Report from the National Market Advisory Board to Congress The Possible Need for Modifications of the Scheme of Self Regulation in the Securities Industry so as to Adapt it to a National Market System (courtesy of George Simon)
December 28, 1976
Memorandum and Letter regarding address by SEC Commissioner John R. Evans to be given to the American Bankers Association Trust Division Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memorandum and Letter regarding address by SEC Commissioner John R. Evans to be given to the American Bankers Association Trust Division Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 3, 1976
"SEC's Role in Municipal Fiscal Crises," Address by SEC Commissioner John R. Evans to the National Institute: Freedom from Fiscal Fiasco, American Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"SEC's Role in Municipal Fiscal Crises," Address by SEC Commissioner John R. Evans to the National Institute: Freedom from Fiscal Fiasco, American Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 23, 1976
Mailgram of Text of Letter from Richard B. Sellars, Chairman of Finance Committee, Johnson & Johnson, to William M. Batten, Chairman, New York Stock Exchange, on Audit Committee requirements [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Mailgram of Text of Letter from Richard B. Sellars, Chairman of Finance Committee, Johnson & Johnson, to William M. Batten, Chairman, New York Stock Exchange, on Audit Committee requirements [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 29, 1976
"Responsibilities and Liabilities for Municipal Offerings," Remarks by SEC Commissioner John R. Evans to Public Finance Conference, Securities Industry Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Responsibilities and Liabilities for Municipal Offerings," Remarks by SEC Commissioner John R. Evans to Public Finance Conference, Securities Industry Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 27, 1976
Letter from Securities Law Committee, Federal Bar Association to SEC Chairman Roderick M. Hills protesting the proposed abolishment of the SEC Office of Opinions and Review [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Securities Law Committee, Federal Bar Association to SEC Chairman Roderick M. Hills protesting the proposed abolishment of the SEC Office of Opinions and Review [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 7, 1976
Telegram from Richard B. Sellars, Chairman of the Board, Johnson & Johnson, to William M. Batten, Chairman and CEO, New York Stock Exchange, opposing requirement of Audit Committees composed entirely of non-employee directors [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Telegram from Richard B. Sellars, Chairman of the Board, Johnson & Johnson, to William M. Batten, Chairman and CEO, New York Stock Exchange, opposing requirement of Audit Committees composed entirely of non-employee directors [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 5, 1976
"Of Boycotts and Bribery, and Corporate Responsibility," Address by SEC Commissioner John R. Evans to Seminar on Regulation of U.S. International Companies, International Management and Development Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Of Boycotts and Bribery, and Corporate Responsibility," Address by SEC Commissioner John R. Evans to Seminar on Regulation of U.S. International Companies, International Management and Development Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 5, 1976
Memo from SEC Commissioner John R. Evans to Harvey Pitt, Andy Klein and Tony Snodgrass on presentations on municipal securities underwriters liability [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from SEC Commissioner John R. Evans to Harvey Pitt, Andy Klein and Tony Snodgrass on presentations on municipal securities underwriters liability [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 30, 1976
Address by SEC Chairman Roderick M. Hills to the Investment Association of New York [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Address by SEC Chairman Roderick M. Hills to the Investment Association of New York [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 24, 1976
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re In House Agency Cross Transactions in Listed Securities by Exchange Members (courtesy of George Simon)
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re In House Agency Cross Transactions in Listed Securities by Exchange Members (courtesy of George Simon)
September 22, 1976
Testimony of the American Institute of Certified Public Accountants on H.R. 15481 before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, U.S. House of Representatives [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Testimony of the American Institute of Certified Public Accountants on H.R. 15481 before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, U.S. House of Representatives [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 21, 1976
Statement of the Honorable Roderick M. Hills, SEC Chairman, before the Subcommittee on Consumer Protection and Finance of the House of Representatives Committee on Interstate and Foreign Commerce [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of the Honorable Roderick M. Hills, SEC Chairman, before the Subcommittee on Consumer Protection and Finance of the House of Representatives Committee on Interstate and Foreign Commerce [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 20, 1976
Address by SEC Chairman Roderick M. Hills to the North American Securities Administrators Association Annual Convention [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Address by SEC Chairman Roderick M. Hills to the North American Securities Administrators Association Annual Convention [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 31, 1976
Statement of Richard Kezer, President of The Dealer Bank Association, before the Subcommittee on Consumer Protection and Finance of the House Committee on Interstate and Foreign Commerce, on H.R. 15205 - the Municipal Securities Full Disclosure Act of 1976 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of Richard Kezer, President of The Dealer Bank Association, before the Subcommittee on Consumer Protection and Finance of the House Committee on Interstate and Foreign Commerce, on H.R. 15205 - the Municipal Securities Full Disclosure Act of 1976 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 31, 1976
Statement of The Honorable Robert A. Gerard, Assistant Secretary of the Treasury, before the Subcommittee on Consumer Protection and Finance, House Committee on Interstate and Foreign Commerce, on H.R. 15205 - the Municipal Securities Full Disclosure Act of 1976 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of The Honorable Robert A. Gerard, Assistant Secretary of the Treasury, before the Subcommittee on Consumer Protection and Finance, House Committee on Interstate and Foreign Commerce, on H.R. 15205 - the Municipal Securities Full Disclosure Act of 1976 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 10, 1976
Letter from Edward W. Wedbush, Wedbush Noble Cooke, Inc. to SEC Chairman Roderick M. Hills on options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Edward W. Wedbush, Wedbush Noble Cooke, Inc. to SEC Chairman Roderick M. Hills on options trading [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 3, 1976
Letter from William M. Batten, Chairman and Chief Executive Officer, New York Stock Exchange to SEC Chairman Roderick Hills (courtesy of Roderick Hills)
Letter from William M. Batten, Chairman and Chief Executive Officer, New York Stock Exchange to SEC Chairman Roderick Hills (courtesy of Roderick Hills)
July 8, 1976
Letter from I.W. Burnham II, Securities Industry Association, to SEC Chairman Roderick Hills on multiple cycle trading of options (courtesy of the estate of John Evans)
Letter from I.W. Burnham II, Securities Industry Association, to SEC Chairman Roderick Hills on multiple cycle trading of options (courtesy of the estate of John Evans)
June 30, 1976
Address by SEC Chairman Roderick M. Hills to the New York Law Journal [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Address by SEC Chairman Roderick M. Hills to the New York Law Journal [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 29, 1976
Letter from SEC Chairman Roderick M. Hills to U.S. Representative John E. Moss requesting House-SEC cooperation in assessing voluntary corporate disclosure of foreign payments and practices [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Chairman Roderick M. Hills to U.S. Representative John E. Moss requesting House-SEC cooperation in assessing voluntary corporate disclosure of foreign payments and practices [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 21, 1976
Address by SEC Chairman Roderick M. Hills to the American Enterprise Institute [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Address by SEC Chairman Roderick M. Hills to the American Enterprise Institute [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 7-8, 1976
"Disclosure - The Name of the Game," Address by SEC Commissioner John R. Evans to 30th Western Regional Conference Bank Administration Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Disclosure - The Name of the Game," Address by SEC Commissioner John R. Evans to 30th Western Regional Conference Bank Administration Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 21, 1976
Letter from SEC Chairman Roderick M. Hills to U.S. Representative John E. Moss on the House study on voluntary corporate disclosure of foreign payments and practices [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Chairman Roderick M. Hills to U.S. Representative John E. Moss on the House study on voluntary corporate disclosure of foreign payments and practices [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 13, 1976
"Turning the Tide," Address by SEC Commissioner John R. Evans to Northwest State-Federal-Provincial Securities Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Turning the Tide," Address by SEC Commissioner John R. Evans to Northwest State-Federal-Provincial Securities Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 12, 1976
Report of the Securities and Exchange Commission on Questionable and Illegal Corporate Payments and Practices to the Senate Banking, Housing and Urban Affairs Committee [Image] Reproduced with permission from Securities Regulation and Law Report, Number 353 (May 19, 1976), Special Supplement, p. 1-45. Copyright 1975 by The Bureau of National Affairs, Inc. (800-372-1033; http://www.bna.com)
Report of the Securities and Exchange Commission on Questionable and Illegal Corporate Payments and Practices to the Senate Banking, Housing and Urban Affairs Committee [Image] Reproduced with permission from Securities Regulation and Law Report, Number 353 (May 19, 1976), Special Supplement, p. 1-45. Copyright 1975 by The Bureau of National Affairs, Inc. (800-372-1033; http://www.bna.com)
May 11, 1976
Letter from SEC Chairman Roderick Hills to William M. Batten, New York Stock Exchange (courtesy of Roderick Hills)
Letter from SEC Chairman Roderick Hills to William M. Batten, New York Stock Exchange (courtesy of Roderick Hills)
May 6, 1976
"Some Reflections on Rule 10b-5 and Market Information," Remarks by SEC Commissioner Philip A. Loomis, Jr. at the Second Annual ALI-ABA Course of Study [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Some Reflections on Rule 10b-5 and Market Information," Remarks by SEC Commissioner Philip A. Loomis, Jr. at the Second Annual ALI-ABA Course of Study [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 1, 1976
Address by SEC Chairman Roderick M. Hills to Yale Law School [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Address by SEC Chairman Roderick M. Hills to Yale Law School [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 29, 1976
Statement and Letter from William M. Batten on becoming Chairman and CEO of The New York Stock Exchange (courtesy of the estate of John Evans)
Statement and Letter from William M. Batten on becoming Chairman and CEO of The New York Stock Exchange (courtesy of the estate of John Evans)
April 13, 1976
Corporate Morality - Whose Business Is It? - Address by SEC Chairman Roderick M. Hills to Town Hall, Los Angeles, California [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Corporate Morality - Whose Business Is It? - Address by SEC Chairman Roderick M. Hills to Town Hall, Los Angeles, California [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 2, 1976
"A Parting Look at Foreign Payments," Address by SEC Commissioner A. A. Sommer, Jr. to the Ohio Legal Center Institute - Securities Law Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"A Parting Look at Foreign Payments," Address by SEC Commissioner A. A. Sommer, Jr. to the Ohio Legal Center Institute - Securities Law Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 2, 1976
Letter from Richard H. Rowe to A.A. Sommer, Jr. re Renee Hill (courtesy of Richard Rowe)
Letter from Richard H. Rowe to A.A. Sommer, Jr. re Renee Hill (courtesy of Richard Rowe)
March 31, 1976
John C. Burton - "Setting Accounting Standards in the 1980s," for the Arthur Young Professionals' Roundtable at the University of Illinois (courtesy of the SEC)
John C. Burton - "Setting Accounting Standards in the 1980s," for the Arthur Young Professionals' Roundtable at the University of Illinois (courtesy of the SEC)
March 25, 1976
"SEC - Catalyst for Competitive Free Enterprise," Address by SEC Commissioner John R. Evans to Brookings Institution Seminar on International Trade and Finance [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"SEC - Catalyst for Competitive Free Enterprise," Address by SEC Commissioner John R. Evans to Brookings Institution Seminar on International Trade and Finance [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 17, 1976
"Basic Questions: When Are We Going to Answer Them?," Remarks by SEC Commissioner A. A. Sommer, Jr. to the Financial Executives Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Basic Questions: When Are We Going to Answer Them?," Remarks by SEC Commissioner A. A. Sommer, Jr. to the Financial Executives Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 16, 1976
John C. Burton - "The Current Accounting Agenda of the SEC," for the New York Society of Security Analysts, The Junior Committee (courtesy of the SEC)
John C. Burton - "The Current Accounting Agenda of the SEC," for the New York Society of Security Analysts, The Junior Committee (courtesy of the SEC)
March 15, 1976
Address by SEC Chairman Roderick M. Hills to the Association of the Bar, New York, New York [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Address by SEC Chairman Roderick M. Hills to the Association of the Bar, New York, New York [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 23, 1976
"Good Municipal Markets Require Full Disclosure," Address by SEC Commissioner John R. Evans to National Governors Conference Seminar on State and Local Financial Emergencies [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Good Municipal Markets Require Full Disclosure," Address by SEC Commissioner John R. Evans to National Governors Conference Seminar on State and Local Financial Emergencies [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 20, 1976
"Disclosure - A Most Effective Regulator," Address by SEC Commissioner John R. Evans to Florida Atlantic University Bank Holding Company Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Disclosure - A Most Effective Regulator," Address by SEC Commissioner John R. Evans to Florida Atlantic University Bank Holding Company Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 17, 1976
"The Disclosure Study: What Is It?," Remarks by SEC Commissioner A.A. Sommer, Jr. to the Midwest Securities Administrators [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Disclosure Study: What Is It?," Remarks by SEC Commissioner A.A. Sommer, Jr. to the Midwest Securities Administrators [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 17, 1976
Democracy and the Planned Economy - Friends or Foes? Address by SEC Chairman Roderick M. Hills to Pitzer College National Issues Forum Dinner [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Democracy and the Planned Economy - Friends or Foes? Address by SEC Chairman Roderick M. Hills to Pitzer College National Issues Forum Dinner [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 16, 1976
"Business Ethics and the Free Enterprise System," Remarks by SEC Commissioner A. A. Sommer, Jr. to the National Association of Truck Stop Operators Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Business Ethics and the Free Enterprise System," Remarks by SEC Commissioner A. A. Sommer, Jr. to the National Association of Truck Stop Operators Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 29, 1976
John C. Burton - Address to the New York State Bar Association (courtesy of the SEC)
John C. Burton - Address to the New York State Bar Association (courtesy of the SEC)
January 14, 1976
"Studies - Not Partisan Rhetoric - For Glass-Steagall Decisions," Address by SEC Commissioner John R. Evans to 3rd Annual Securities Regulation Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Studies - Not Partisan Rhetoric - For Glass-Steagall Decisions," Address by SEC Commissioner John R. Evans to 3rd Annual Securities Regulation Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 7, 1976
Address by SEC Chairman Roderick M. Hills to the American Institute of Certified Public Accountants [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Address by SEC Chairman Roderick M. Hills to the American Institute of Certified Public Accountants [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
1976
Railroad Revitalization and Regulatory Reform Act of 1976 (Public Law No. 94-210); Section 3(c)(7) of ICA amended (Government Records)
Railroad Revitalization and Regulatory Reform Act of 1976 (Public Law No. 94-210); Section 3(c)(7) of ICA amended (Government Records)
1976
U.S. Securities and Exchange Commission Annual Report [Transcription] (courtesy of Government Records)
U.S. Securities and Exchange Commission Annual Report [Transcription] (courtesy of Government Records)
1976 to present
U.S. Securities and Exchange Commission Staff Award - Distinguished Service Award (Government Records.)
U.S. Securities and Exchange Commission Staff Award - Distinguished Service Award (Government Records.)
December 8, 1975
"The Slippery Slope of Materiality," Address by SEC Commissioner A.A. Sommer, Jr. to the Practising Law Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Slippery Slope of Materiality," Address by SEC Commissioner A.A. Sommer, Jr. to the Practising Law Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 5, 1975
A Report from the SEC - Address by SEC Chairman Roderick M. Hills to the Securities Industry Association Annual Convention [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
A Report from the SEC - Address by SEC Chairman Roderick M. Hills to the Securities Industry Association Annual Convention [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 18, 1975
Letter from John E. Petersen, Municipal Finance Officers Association, to SEC Commissioner John R. Evans on suggested guidelines for municipal bond official statements [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from John E. Petersen, Municipal Finance Officers Association, to SEC Commissioner John R. Evans on suggested guidelines for municipal bond official statements [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 17, 1975
"Tell It Like It Is," Address by SEC Commissioner John R. Evans to the Association of Registered Bank Holding Companies [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Tell It Like It Is," Address by SEC Commissioner John R. Evans to the Association of Registered Bank Holding Companies [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 11, 1975
John C. Burton - "Inflation and Financial Disclosures: Fallacy in Numberland," for the Institute of Internal Auditors (courtesy of the SEC)
John C. Burton - "Inflation and Financial Disclosures: Fallacy in Numberland," for the Institute of Internal Auditors (courtesy of the SEC)
November 4, 1975
"Two Problems for Lawyers," Address by SEC Commissioner A.A. Sommer, Jr. to the Dallas Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Two Problems for Lawyers," Address by SEC Commissioner A.A. Sommer, Jr. to the Dallas Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 3, 1975
John C. Burton - "Credit Analysis and Credit Losses: The Role of Financial Information" (courtesy of the SEC)
John C. Burton - "Credit Analysis and Credit Losses: The Role of Financial Information" (courtesy of the SEC)
October 28, 1975
Memorandum from John C. Burton to SEC Commissioner John R. Evans with responses to questions on Guide 61 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memorandum from John C. Burton to SEC Commissioner John R. Evans with responses to questions on Guide 61 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 10, 1975
"Rule 394: Standing in the Threshold," Address by SEC Commissioner A. A. Sommer, Jr. to the 42nd Annual Convention of the National Security Traders Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Rule 394: Standing in the Threshold," Address by SEC Commissioner A. A. Sommer, Jr. to the 42nd Annual Convention of the National Security Traders Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 9, 1975
"Transfer Agents Meet the SEC," Address by SEC Commissioner John R. Evans to Southern Chapter, Western Stock Transfer Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Transfer Agents Meet the SEC," Address by SEC Commissioner John R. Evans to Southern Chapter, Western Stock Transfer Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 3, 1975
New York State Attorney General News Release on ban on promoters of lost Inca emerald mine [Transcription] (Courtesy of Orestes Mihaly)
New York State Attorney General News Release on ban on promoters of lost Inca emerald mine [Transcription] (Courtesy of Orestes Mihaly)
September 29, 1975
"Can the SEC Help the Capital Crunch?" - Address by SEC Commissioner A.A. Sommer, Jr. to the National Investor Relations Institute [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Can the SEC Help the Capital Crunch?" - Address by SEC Commissioner A.A. Sommer, Jr. to the National Investor Relations Institute [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 15, 1975
Letter from SEC Chairman Ray Garrett, Jr. to U.S. Representative Wright Patman on the proposed revisions to Regulation F of the Federal Reserve System [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Chairman Ray Garrett, Jr. to U.S. Representative Wright Patman on the proposed revisions to Regulation F of the Federal Reserve System [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 8, 1975
"The Delicate Balance of Regulation and Competition" - Address by SEC Commissioner A.A. Sommer, Jr. to the North American Securities Administrators Association, Inc. 58th Annual Conference [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Delicate Balance of Regulation and Competition" - Address by SEC Commissioner A.A. Sommer, Jr. to the North American Securities Administrators Association, Inc. 58th Annual Conference [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 5, 1975
Letter from U.S. Representative John E. Moss to SEC Chairman Ray Garrett, Jr. on the SEC's implementation of the Securities Acts Amendments of 1975 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from U.S. Representative John E. Moss to SEC Chairman Ray Garrett, Jr. on the SEC's implementation of the Securities Acts Amendments of 1975 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 3, 1975
Letter from SEC Commissioner John Evans to George W. Mitchell, Vice Chairman, Board of Governors of the Federal Reserve System (courtesy of the estate of John Evans)
Letter from SEC Commissioner John Evans to George W. Mitchell, Vice Chairman, Board of Governors of the Federal Reserve System (courtesy of the estate of John Evans)
August 14, 1975
Letter from Donald E. Weeden, Weeden & Co., to SEC on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Donald E. Weeden, Weeden & Co., to SEC on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 12, 1975
"Disclosure Through a Glass Darkly," Address by SEC Commissioner John R. Evans to American Bar Association Annual Meeting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Disclosure Through a Glass Darkly," Address by SEC Commissioner John R. Evans to American Bar Association Annual Meeting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 8, 1975
Telegram from William T. Ylvisaker, Chairman and CEO, Gould, Inc. to SEC Commissioner John R. Evans to endorse the maintenance of Rule 394 of the New York Stock Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Telegram from William T. Ylvisaker, Chairman and CEO, Gould, Inc. to SEC Commissioner John R. Evans to endorse the maintenance of Rule 394 of the New York Stock Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 7, 1975
Invitation from the Northern Chapter of the Virginia Society of Certified Public Accountants to SEC Commissioner John R. Evans to speak at the chapter's September 9th meeting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Invitation from the Northern Chapter of the Virginia Society of Certified Public Accountants to SEC Commissioner John R. Evans to speak at the chapter's September 9th meeting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 1, 1975
Letter from Harry J. Volk, Union Bancorp, to SEC Commissioner John R. Evans on Rule 394 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Harry J. Volk, Union Bancorp, to SEC Commissioner John R. Evans on Rule 394 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 31, 1975
Letter from John R. McMillan, Reserve Oil and Gas Company, to the SEC on Rule 394 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from John R. McMillan, Reserve Oil and Gas Company, to the SEC on Rule 394 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 25, 1975
Memo from Paul Gonson to the SEC Commission on suspension of former SEC Chairman Cook from practice of law by the Nebraska Supreme Court [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from Paul Gonson to the SEC Commission on suspension of former SEC Chairman Cook from practice of law by the Nebraska Supreme Court [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 22, 1975
Statement of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Subcommittee on International Finance of the Senate Committee on Banking, Housing and Urban Affairs on S.425 - Foreign Investment Act of 1975 [Transcription] (Courtesy of Harvey L. Pitt)
Statement of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Subcommittee on International Finance of the Senate Committee on Banking, Housing and Urban Affairs on S.425 - Foreign Investment Act of 1975 [Transcription] (Courtesy of Harvey L. Pitt)
July 21, 1975
"Crisis and the Corporate Community" - Address by SEC Commissioner A.A. Sommer, Jr. to the Midwest Securities Commissioners Association Conference [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Crisis and the Corporate Community" - Address by SEC Commissioner A.A. Sommer, Jr. to the Midwest Securities Commissioners Association Conference [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 16, 1975
Statement of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Senate Committee on Banking, Housing and Urban Affairs, on the matter of disclosure by banks and bank holding companies in connection with the public distribution of their securities [Transcription] (Courtesy of Harvey L. Pitt)
Statement of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Senate Committee on Banking, Housing and Urban Affairs, on the matter of disclosure by banks and bank holding companies in connection with the public distribution of their securities [Transcription] (Courtesy of Harvey L. Pitt)
June 24, 1975
"The Limits of Disclosure" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Wharton-AICPA Advanced Management Program for CPA Firm Partners [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Limits of Disclosure" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Wharton-AICPA Advanced Management Program for CPA Firm Partners [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 17, 1975
Testimony of Commisssioner Philip A. Loomis, Jr., SEC, before the Subcommittee on International Economic Policy of the House Committee on International Relations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Testimony of Commisssioner Philip A. Loomis, Jr., SEC, before the Subcommittee on International Economic Policy of the House Committee on International Relations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1975
"A Keynote Address - Of Sorts" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA Federal Regulation of Securities Committee Symposium [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"A Keynote Address - Of Sorts" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA Federal Regulation of Securities Committee Symposium [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1975
Letter from Bruce Alan Mann to Quinton F. Seamons on SEC Commissioner John R. Evans's comments on disclosure [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Bruce Alan Mann to Quinton F. Seamons on SEC Commissioner John R. Evans's comments on disclosure [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 12, 1975
Memorandum from the SEC Office of Economic Research to the Commission regarding Distribution of Volume Among Exchanges during the month of May (1975) [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memorandum from the SEC Office of Economic Research to the Commission regarding Distribution of Volume Among Exchanges during the month of May (1975) [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 11, 1975
Letter from SEC Commissioner John Evans to Jack Bookey, SEC Seattle Regional Administrator (courtesy of the estate of John Evans)
Letter from SEC Commissioner John Evans to Jack Bookey, SEC Seattle Regional Administrator (courtesy of the estate of John Evans)
June 5, 1975
"Financial Reporting in a Troubled Industry" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the National Association of Real Estate Investment Trust's Annual Accounting and Tax Conference [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Financial Reporting in a Troubled Industry" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the National Association of Real Estate Investment Trust's Annual Accounting and Tax Conference [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 4, 1975
Public Law 94-29, 94th Congress - Securities Acts Amendments of 1975 [Image] (courtesy of the Library of Congress)
Public Law 94-29, 94th Congress - Securities Acts Amendments of 1975 [Image] (courtesy of the Library of Congress)
May 29, 1975
"Should Bank Investors Know," Address by SEC Commissioner John R. Evans to Cooperative Securities Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Should Bank Investors Know," Address by SEC Commissioner John R. Evans to Cooperative Securities Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 28, 1975
"Proper Regulation Requires Understanding and Communication," Address by SEC Commissioner John R. Evans to Western Stock Transfer Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Proper Regulation Requires Understanding and Communication," Address by SEC Commissioner John R. Evans to Western Stock Transfer Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 27, 1975
"Interim Reflections on Mayday" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Maryland Securities Bar Club [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Interim Reflections on Mayday" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Maryland Securities Bar Club [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 22, 1975
"The Stepchild" - Speech by SEC Commissioner A.A. Sommer, Jr. to PLI [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Stepchild" - Speech by SEC Commissioner A.A. Sommer, Jr. to PLI [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 22, 1975
Letter from SEC Commissioner John R. Evans to U.S. Senator Harrison A. Williams, Jr. defending his comments on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Commissioner John R. Evans to U.S. Senator Harrison A. Williams, Jr. defending his comments on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 22, 1975
Letter from U.S. Senator Harrison A. Williams, Jr. to SEC Chairman Ray Garrett, Jr. reiterating his concerns on SEC actions on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from U.S. Senator Harrison A. Williams, Jr. to SEC Chairman Ray Garrett, Jr. reiterating his concerns on SEC actions on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 20, 1975
Reply Letter from SEC Chairman Ray Garrett, Jr. to U.S. Senator Harrison A. Williams, Jr. defending SEC actions on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Reply Letter from SEC Chairman Ray Garrett, Jr. to U.S. Senator Harrison A. Williams, Jr. defending SEC actions on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 20, 1975
Statement of Ray Garrett, Jr., Chairman, before the Subcommittee on State, Justice and Commerce, the Judiciary and Related Agencies, House Committee on Appropriations, for SEC activities and financial requirements [Transcription] (Courtesy of Harvey L. Pitt)
Statement of Ray Garrett, Jr., Chairman, before the Subcommittee on State, Justice and Commerce, the Judiciary and Related Agencies, House Committee on Appropriations, for SEC activities and financial requirements [Transcription] (Courtesy of Harvey L. Pitt)
May 19, 1975
Letter from U.S. Senator Harrison A. Williams, Jr. to SEC Chairman Ray Garrett, Jr. decrying SEC actions on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from U.S. Senator Harrison A. Williams, Jr. to SEC Chairman Ray Garrett, Jr. decrying SEC actions on Rule 394 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 16, 1975
Letter from Carl L. Shipley to SEC Commissioner John R. Evans on "Truth and Consequences" [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Carl L. Shipley to SEC Commissioner John R. Evans on "Truth and Consequences" [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 15, 1975
"Can the SEC Help the Capital Markets?" - Remarks by SEC Commissioner A.A. Sommer, Jr. to The Conference Board [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Can the SEC Help the Capital Markets?" - Remarks by SEC Commissioner A.A. Sommer, Jr. to The Conference Board [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 15, 1975
"The New Breath of Competition" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Seminar on the Analysis of Securities Prices [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The New Breath of Competition" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Seminar on the Analysis of Securities Prices [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 15, 1975
"Truth or Consequences," Address by SEC Commissioner John R. Evans to the Securities Cooperative Enforcement Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Truth or Consequences," Address by SEC Commissioner John R. Evans to the Securities Cooperative Enforcement Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 14, 1975
"Have We Learned Anything" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Investment Company Institute [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Have We Learned Anything" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Investment Company Institute [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 26, 1975
John C. Burton - "Payments Outside the Corporate Accountability System: A Problem for Management, Auditors and Society" (courtesy of the SEC)
John C. Burton - "Payments Outside the Corporate Accountability System: A Problem for Management, Auditors and Society" (courtesy of the SEC)
April 24, 1975
Letter from Donald I. Baker, U.S. Department of Justice, to SEC Chairman Ray Garrett, Jr. on the New York Stock Exchange's proposed amendments to Rule 394 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Donald I. Baker, U.S. Department of Justice, to SEC Chairman Ray Garrett, Jr. on the New York Stock Exchange's proposed amendments to Rule 394 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 18, 1975
Testimony of SEC Commissioner John R. Evans before the Subcommittee on Consumer Protection and Finance of the House of Representatives Committee on Interstate and Foreign Commerce Concerning H.R. 4570 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Testimony of SEC Commissioner John R. Evans before the Subcommittee on Consumer Protection and Finance of the House of Representatives Committee on Interstate and Foreign Commerce Concerning H.R. 4570 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 17, 1975
"Another Look at Insider Trading" - Address by SEC Commissioner A.A. Sommer, Jr. to the Southwestern Legal Foundation Symposium on Securities Regulation [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Another Look at Insider Trading" - Address by SEC Commissioner A.A. Sommer, Jr. to the Southwestern Legal Foundation Symposium on Securities Regulation [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 15, 1975
"Zero Minus Sixteen and Counting," Address by SEC Commissioner John R. Evans to Security Traders Association of Connecticut [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Zero Minus Sixteen and Counting," Address by SEC Commissioner John R. Evans to Security Traders Association of Connecticut [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 3-4, 1975
"Where Are We Now - U.S. Law" - Outline of Talk by SEC Chairman Ray Garrett, Jr. to the Second International Securities Law Conference [Transcription] (Courtesy of Harvey L. Pitt)
"Where Are We Now - U.S. Law" - Outline of Talk by SEC Chairman Ray Garrett, Jr. to the Second International Securities Law Conference [Transcription] (Courtesy of Harvey L. Pitt)
March 20, 1975
"Approaching May Day," Address by Lee A. Pickard, Director, SEC Division of Market Regulation, to The Bond Club of Buffalo [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Approaching May Day," Address by Lee A. Pickard, Director, SEC Division of Market Regulation, to The Bond Club of Buffalo [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 18, 1975
"Keep Your Eye on the Donut" - Address by SEC Commissioner A.A. Sommer, Jr. to the National Association of Accountants [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Keep Your Eye on the Donut" - Address by SEC Commissioner A.A. Sommer, Jr. to the National Association of Accountants [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 18, 1975
Statement of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Subcommittee on Consumer Protection and Finance of the House Committee on Interstate and Foreign Commerce on H.R. 4457 - Creating a National Market Board [Transcription] (Courtesy of Harvey L. Pitt)
Statement of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Subcommittee on Consumer Protection and Finance of the House Committee on Interstate and Foreign Commerce on H.R. 4457 - Creating a National Market Board [Transcription] (Courtesy of Harvey L. Pitt)
March 14, 1975
"Further Thoughts on 'Going Private'" - Address by SEC Commissioner A.A. Sommer, Jr. to Detroit Institute for Continuing Legal Education, Second Annual Securities Seminar [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Further Thoughts on 'Going Private'" - Address by SEC Commissioner A.A. Sommer, Jr. to Detroit Institute for Continuing Legal Education, Second Annual Securities Seminar [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 14, 1975
"To Create a Fair Field of Competition," Address by SEC Commissioner John R. Evans to Midwest Stock Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"To Create a Fair Field of Competition," Address by SEC Commissioner John R. Evans to Midwest Stock Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 5, 1975
Statement by SEC Chairman Ray Garrett, Jr. before the Subcommittee on Securities of the U.S. Senate Committee on Banking, Housing and Urban Affairs on S.425 [Transcription] (Courtesy of Harvey L. Pitt)
Statement by SEC Chairman Ray Garrett, Jr. before the Subcommittee on Securities of the U.S. Senate Committee on Banking, Housing and Urban Affairs on S.425 [Transcription] (Courtesy of Harvey L. Pitt)
February 20, 1975
"The Disclosure Philosophy" - Address by SEC Chairman Ray Garrett, Jr. to the Union League Club [Transcription] (Courtesy of Harvey L. Pitt)
"The Disclosure Philosophy" - Address by SEC Chairman Ray Garrett, Jr. to the Union League Club [Transcription] (Courtesy of Harvey L. Pitt)
February 19, 1975
John C. Burton, "The Evolution of Reporting and Auditing: From Periodic to Continuous," for the Robert Morris Associates and Massachusetts Society of CPAs (courtesy of the SEC)
John C. Burton, "The Evolution of Reporting and Auditing: From Periodic to Continuous," for the Robert Morris Associates and Massachusetts Society of CPAs (courtesy of the SEC)
February 19, 1975
Testimony of SEC Chairman Ray Garrett, Jr. before the Subcommittee on Securities of the U.S. Senate Committee on Banking, Housing and Urban Affairs on S.249 [Transcription] (Courtesy of Harvey L. Pitt)
Testimony of SEC Chairman Ray Garrett, Jr. before the Subcommittee on Securities of the U.S. Senate Committee on Banking, Housing and Urban Affairs on S.249 [Transcription] (Courtesy of Harvey L. Pitt)
February 18, 1975
John C. Burton, "Fair Presentation: Another View," for the Emanuel Saxe Distinguished Accounting Lecture at The Baruch College of The City University of New York (courtesy of the SEC)
John C. Burton, "Fair Presentation: Another View," for the Emanuel Saxe Distinguished Accounting Lecture at The Baruch College of The City University of New York (courtesy of the SEC)
February 6, 1975
Memorandum from SEC Commissioner A.A. Sommer, Jr. with assessment checklist for Mayday 1975 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memorandum from SEC Commissioner A.A. Sommer, Jr. with assessment checklist for Mayday 1975 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 4, 1975
"Biting the Bullet" - Address by SEC Commissioner A.A. Sommer, Jr. to the Cleveland Chartered Financial Analysts Group [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Biting the Bullet" - Address by SEC Commissioner A.A. Sommer, Jr. to the Cleveland Chartered Financial Analysts Group [Image] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 31, 1975
John C. Burton, "Pension Accounting and Disclosure Under the New Pension Reform Act," for the Conference on the Pension Reform Law, University of Virginia (courtesy of the SEC)
John C. Burton, "Pension Accounting and Disclosure Under the New Pension Reform Act," for the Conference on the Pension Reform Law, University of Virginia (courtesy of the SEC)
January 28, 1975
"Assuring the Economic Viability of the Securities Industry" - Address by SEC Chairman Ray Garrett, Jr. to the ABA 56th National Trust Conference [Transcription] (Courtesy of Harvey L. Pitt)
"Assuring the Economic Viability of the Securities Industry" - Address by SEC Chairman Ray Garrett, Jr. to the ABA 56th National Trust Conference [Transcription] (Courtesy of Harvey L. Pitt)
January 22, 1975
"Capital Markets at the Crossroads" - Address by SEC Chairman Ray Garrett, Jr. to the Economic Club of New York [Transcription] (Courtesy of Harvey L. Pitt)
"Capital Markets at the Crossroads" - Address by SEC Chairman Ray Garrett, Jr. to the Economic Club of New York [Transcription] (Courtesy of Harvey L. Pitt)
January 21, 1975
Oral Statement of SEC Chairman Ray Garrett, Jr. to Labor and IRS Hearing [Transcription] (Courtesy of Harvey L. Pitt)
Oral Statement of SEC Chairman Ray Garrett, Jr. to Labor and IRS Hearing [Transcription] (Courtesy of Harvey L. Pitt)
January 21, 1975
Written Statement of SEC Chairman Ray Garrett, Jr. in support of proposed exemptions from prohibitions on transactions between employee benefit plans and certain broker-dealers [Transcription] (Courtesy of Harvey L. Pitt)
Written Statement of SEC Chairman Ray Garrett, Jr. in support of proposed exemptions from prohibitions on transactions between employee benefit plans and certain broker-dealers [Transcription] (Courtesy of Harvey L. Pitt)
January 16, 1975
"Disclosure Rules and New Concerns" - Address by SEC Chairman Ray Garrett, Jr. to the American Society of Corporate Secretaries, Inc., Southeastern Regional Group [Transcription] (Courtesy of Harvey L. Pitt)
"Disclosure Rules and New Concerns" - Address by SEC Chairman Ray Garrett, Jr. to the American Society of Corporate Secretaries, Inc., Southeastern Regional Group [Transcription] (Courtesy of Harvey L. Pitt)
January 9, 1975
"Thoughts on Approaching 'Mayday'" - Address by SEC Commissioner A.A. Sommer, Jr. to the Securities Regulation Institute [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Thoughts on Approaching 'Mayday'" - Address by SEC Commissioner A.A. Sommer, Jr. to the Securities Regulation Institute [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 6, 1975
"The Need for Change in Accounting Policies" - Address by SEC Chairman Ray Garrett, Jr. to the American Institute of Certified Public Accountants [Transcription] (Courtesy of Harvey L. Pitt)
"The Need for Change in Accounting Policies" - Address by SEC Chairman Ray Garrett, Jr. to the American Institute of Certified Public Accountants [Transcription] (Courtesy of Harvey L. Pitt)
1975
Securities Acts Amendments of 1975 (Public Law No. 94-29); Sections 203, 204, 217 of IAA amended; Sections 9, 10(e), 13(b), 15, 16, 18(i), 32(a), 36, 49 of ICA amended (Government Records)
Securities Acts Amendments of 1975 (Public Law No. 94-29); Sections 203, 204, 217 of IAA amended; Sections 9, 10(e), 13(b), 15, 16, 18(i), 32(a), 36, 49 of ICA amended (Government Records)
December 18, 1974
Letter from James C. Sargent to SEC Commissioner A.A. Sommer, Jr. on G. Bradford Cook's invitation to participate in SEC Speaks 1975 (courtesy of the estate of John Evans)
Letter from James C. Sargent to SEC Commissioner A.A. Sommer, Jr. on G. Bradford Cook's invitation to participate in SEC Speaks 1975 (courtesy of the estate of John Evans)
December 17, 1974
"What the SEC Expects of Corporate Directors" - Address by SEC Chairman Ray Garrett, Jr. to the Arthur D. Little, Inc. Corporate Directors Conference [Transcription] (Courtesy of Harvey L. Pitt)
"What the SEC Expects of Corporate Directors" - Address by SEC Chairman Ray Garrett, Jr. to the Arthur D. Little, Inc. Corporate Directors Conference [Transcription] (Courtesy of Harvey L. Pitt)
December 12, 1974
"Improving Disclosure for Investors" - Address by SEC Chairman Ray Garrett, Jr. to the Financial Executives Institute, Rocky Mountain Chapter [Transcription] (Courtesy of Harvey L. Pitt)
"Improving Disclosure for Investors" - Address by SEC Chairman Ray Garrett, Jr. to the Financial Executives Institute, Rocky Mountain Chapter [Transcription] (Courtesy of Harvey L. Pitt)
December 11, 1974
"The American Experience with Accounting Principles" - Address by SEC Commissioner A.A. Sommer, Jr. to International Businesses: Finance, Tax and Accounting Problems [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The American Experience with Accounting Principles" - Address by SEC Commissioner A.A. Sommer, Jr. to International Businesses: Finance, Tax and Accounting Problems [Transcription] (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 4, 1974
"Reform of the Securities Markets: The Need for Cooperation" - Address by SEC Chairman Ray Garrett, Jr. to the Securities Industry Association [Transcription] (Courtesy of Harvey L. Pitt)
"Reform of the Securities Markets: The Need for Cooperation" - Address by SEC Chairman Ray Garrett, Jr. to the Securities Industry Association [Transcription] (Courtesy of Harvey L. Pitt)
November 19, 1974
Opening Statement of SEC Chairman Ray Garrett, Jr. at the Oral Hearings to Consider Proposed Securities Exchange Act Rules 19b-3 and 10b-22 [Transcription] (Courtesy of Harvey L. Pitt)
Opening Statement of SEC Chairman Ray Garrett, Jr. at the Oral Hearings to Consider Proposed Securities Exchange Act Rules 19b-3 and 10b-22 [Transcription] (Courtesy of Harvey L. Pitt)
November 15, 1974
Letter from Donald E. Weeden, Weeden & Co., to Lee A. Pickard, Director of SEC Division of Market Regulation [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Donald E. Weeden, Weeden & Co., to Lee A. Pickard, Director of SEC Division of Market Regulation [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 14, 1974
"Going Private: A Lesson in Corporate Responsibility" - Law Advisory Council Lecture by SEC Commissioner A.A. Sommer, Jr. to Notre Dame Law School [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Going Private: A Lesson in Corporate Responsibility" - Law Advisory Council Lecture by SEC Commissioner A.A. Sommer, Jr. to Notre Dame Law School [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 13, 1974
Opening Remarks of SEC Chairman Ray Garrett, Jr. at the Public, Fact-Finding Investigation in the matter of Beneficial Ownership, Takeovers and Acquisitions by Foreign and Domestic Persons [Transcription] (Courtesy of Harvey L. Pitt)
Opening Remarks of SEC Chairman Ray Garrett, Jr. at the Public, Fact-Finding Investigation in the matter of Beneficial Ownership, Takeovers and Acquisitions by Foreign and Domestic Persons [Transcription] (Courtesy of Harvey L. Pitt)
November 12, 1974
"Current Problems of Disclosure" - Address by SEC Commissioner A.A. Sommer, Jr. to National Association of Securities Dealers, Inc. [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Current Problems of Disclosure" - Address by SEC Commissioner A.A. Sommer, Jr. to National Association of Securities Dealers, Inc. [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 6, 1974
"American Capital Markets: Roses or Thorns in Their Future?" - Address by SEC Commissioner A.A. Sommer, Jr. to Cleveland Committee of the Ohio Foundation of Independent Colleges [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"American Capital Markets: Roses or Thorns in Their Future?" - Address by SEC Commissioner A.A. Sommer, Jr. to Cleveland Committee of the Ohio Foundation of Independent Colleges [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 1, 1974
"The Implementation of the Central Market System," Address by SEC Commissioner Philip A. Loomis, Jr. to the Florida Security Dealers Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Implementation of the Central Market System," Address by SEC Commissioner Philip A. Loomis, Jr. to the Florida Security Dealers Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 1, 1974
John C. Burton, "Leases: An Accounting View," for the Association of Equipment Lessors (courtesy of the SEC)
John C. Burton, "Leases: An Accounting View," for the Association of Equipment Lessors (courtesy of the SEC)
October 31, 1974
"Securities Markets Should Not Be 'Trick or Treat'", Address by SEC Commissioner John R. Evans to Municipal Finance Officers Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Securities Markets Should Not Be 'Trick or Treat'", Address by SEC Commissioner John R. Evans to Municipal Finance Officers Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 29, 1974
Statement by John C. Bogle before the SEC Public Conference on Relationships between Institutional Money Managers and the Securities Industry [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement by John C. Bogle before the SEC Public Conference on Relationships between Institutional Money Managers and the Securities Industry [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 26, 1974
"Life Begins at Forty" - Address by SEC Chairman Ray Garrett, Jr. at New York University [Transcription] (Courtesy of Harvey L. Pitt)
"Life Begins at Forty" - Address by SEC Chairman Ray Garrett, Jr. at New York University [Transcription] (Courtesy of Harvey L. Pitt)
October 25, 1974
John C. Burton and A. Clarence Sampson, "Future Needs for Auditing Research," for the University of Illinois Conference on Auditing Research (courtesy of the SEC)
John C. Burton and A. Clarence Sampson, "Future Needs for Auditing Research," for the University of Illinois Conference on Auditing Research (courtesy of the SEC)
October 24, 1974
Remarks of SEC Chairman Ray Garrett, Jr. at the SEC 40th Anniversary Dinner [Transcription] (Courtesy of Harvey L. Pitt)
Remarks of SEC Chairman Ray Garrett, Jr. at the SEC 40th Anniversary Dinner [Transcription] (Courtesy of Harvey L. Pitt)
October 23, 1974
Letter from David J. Barry, Manufacturers Hanover Trust Company, to SEC Commissioner John R. Evans on "The Future of Wall Street" [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from David J. Barry, Manufacturers Hanover Trust Company, to SEC Commissioner John R. Evans on "The Future of Wall Street" [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 22, 1974
"Will Wall Street Come Tumbling Down?," Address by SEC Commissioner John R. Evans to "Money Marketeers" [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Will Wall Street Come Tumbling Down?," Address by SEC Commissioner John R. Evans to "Money Marketeers" [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 15, 1974
Testimony of SEC Chairman Ray Garrett, Jr. before the Senate Committee on Government Operations on S.260 [Transcription] (Courtesy of Harvey L. Pitt)
Testimony of SEC Chairman Ray Garrett, Jr. before the Senate Committee on Government Operations on S.260 [Transcription] (Courtesy of Harvey L. Pitt)
October 8, 1974
Memo to SEC Commissioner John R. Evans from Quinton Seamons regarding disclosure of auditor-client relationships [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo to SEC Commissioner John R. Evans from Quinton Seamons regarding disclosure of auditor-client relationships [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 6, 1974
"The Year Ahead: Coping With Our Common Problems" - Address by SEC Chairman Ray Garrett, Jr. to the National Security Traders Association [Transcription] (Courtesy of Harvey L. Pitt)
"The Year Ahead: Coping With Our Common Problems" - Address by SEC Chairman Ray Garrett, Jr. to the National Security Traders Association [Transcription] (Courtesy of Harvey L. Pitt)
October 4, 1974
"Professional Responsibility: How Did We Get Here?" - Address by SEC Commissioner A.A. Sommer, Jr. to ABA National Institute [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Professional Responsibility: How Did We Get Here?" - Address by SEC Commissioner A.A. Sommer, Jr. to ABA National Institute [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 3, 1974
"Bank Securities Activities - Economic Evolution or Governmental Resolution," Address by SEC Commissioner John R. Evans to Practising Law Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Bank Securities Activities - Economic Evolution or Governmental Resolution," Address by SEC Commissioner John R. Evans to Practising Law Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 3, 1974
"Changing Concepts of Business Ethics and the Responsibilities of Business Advisors," Address by SEC Chairman Ray Garrett, Jr. to the ABA National Institute [Transcription] (courtesy of Harvey L. Pitt)
"Changing Concepts of Business Ethics and the Responsibilities of Business Advisors," Address by SEC Chairman Ray Garrett, Jr. to the ABA National Institute [Transcription] (courtesy of Harvey L. Pitt)
October 3, 1974
"Corporate Directors and the Federal Securities Laws" - Address by SEC Chairman Ray Garrett, Jr. to the 13th Annual Corporate Counsel Institute [Transcription] (Courtesy of Harvey L. Pitt)
"Corporate Directors and the Federal Securities Laws" - Address by SEC Chairman Ray Garrett, Jr. to the 13th Annual Corporate Counsel Institute [Transcription] (Courtesy of Harvey L. Pitt)
September 24, 1974
"A Fool and His Gold Are Soon Parted: Do They Have to Be?" - Address by SEC Commissioner A.A. Sommer, Jr. to the North American Securities Administrators [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"A Fool and His Gold Are Soon Parted: Do They Have to Be?" - Address by SEC Commissioner A.A. Sommer, Jr. to the North American Securities Administrators [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 20, 1974
Letter from David L. Ratner, Stanford Law School, to SEC Commissioner John R. Evans on presentation to Professor Ratner's class on current problems in the securities markets [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from David L. Ratner, Stanford Law School, to SEC Commissioner John R. Evans on presentation to Professor Ratner's class on current problems in the securities markets [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 18, 1974
"The Securities and Exchange Commission and Foreign Issues in the United States," Address by SEC Chairman Ray Garrett, Jr. to the Keidanren Kaikan, Otemachi [Transcription] (courtesy of Harvey L. Pitt)
"The Securities and Exchange Commission and Foreign Issues in the United States," Address by SEC Chairman Ray Garrett, Jr. to the Keidanren Kaikan, Otemachi [Transcription] (courtesy of Harvey L. Pitt)
September 16, 1974
"The SEC and the Press: Partners in Ferreting Out Fraud" - Address by SEC Commissioner A.A. Sommer, Jr. to the Gerald Loeb Awards [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The SEC and the Press: Partners in Ferreting Out Fraud" - Address by SEC Commissioner A.A. Sommer, Jr. to the Gerald Loeb Awards [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 12, 1974
"How Good is the End of the Chain? A Look at Financial Reporting" - Address by SEC Commissioner A.A. Sommer, Jr. to Practising Law Institute [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"How Good is the End of the Chain? A Look at Financial Reporting" - Address by SEC Commissioner A.A. Sommer, Jr. to Practising Law Institute [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 11, 1974
"Our Attitude Toward the Accounting Profession," Address by SEC Chairman Ray Garrett, Jr. to Arthur Andersen & Co. Annual Partners Meeting [Transcription] (courtesy of Harvey L. Pitt)
"Our Attitude Toward the Accounting Profession," Address by SEC Chairman Ray Garrett, Jr. to Arthur Andersen & Co. Annual Partners Meeting [Transcription] (courtesy of Harvey L. Pitt)
September 11, 1974
"When the Individual Investor Returns, Will He Get A Fair Shake?" - Address by SEC Commissioner A.A. Sommer, Jr. to the Milwaukee Investment Analysts Society [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"When the Individual Investor Returns, Will He Get A Fair Shake?" - Address by SEC Commissioner A.A. Sommer, Jr. to the Milwaukee Investment Analysts Society [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 6, 1974
"The Central Market System and Commission Rates," Address by SEC Chairman Ray Garrett, Jr. to the Pacific Northwest District, Securities Industry Association [Transcription] (courtesy of Harvey L. Pitt)
"The Central Market System and Commission Rates," Address by SEC Chairman Ray Garrett, Jr. to the Pacific Northwest District, Securities Industry Association [Transcription] (courtesy of Harvey L. Pitt)
August 27, 1974
John C. Burton, "The Organization of the Public Accounting Profession," for the National Society of Public Accountants 29th Annual Convention (courtesy of the SEC)
John C. Burton, "The Organization of the Public Accounting Profession," for the National Society of Public Accountants 29th Annual Convention (courtesy of the SEC)
August 14, 1974
"The Commission and the Bar: Forty Good Years" - Address by SEC Commissioner A.A. Sommer, Jr. to the Annual Luncheon, Section of Corporation, Banking and Business Law, ABA 97th Annual Meeting [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Commission and the Bar: Forty Good Years" - Address by SEC Commissioner A.A. Sommer, Jr. to the Annual Luncheon, Section of Corporation, Banking and Business Law, ABA 97th Annual Meeting [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 14, 1974
"Thoughts for the Insurance Company Director" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA 97th Annual Meeting [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Thoughts for the Insurance Company Director" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA 97th Annual Meeting [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 9, 1974
"Savings and Loan Associations and the SEC," Address by SEC Chairman Ray Garrett, Jr. to the United States League of Savings Associations [Transcription] (courtesy of Harvey L. Pitt)
"Savings and Loan Associations and the SEC," Address by SEC Chairman Ray Garrett, Jr. to the United States League of Savings Associations [Transcription] (courtesy of Harvey L. Pitt)
July 4, 1974
"Professional Responsibility and the Securities Laws," Address by SEC Chairman Ray Garrett, Jr. to the State Bar of Texas [Transcription] (courtesy of Harvey L. Pitt)
"Professional Responsibility and the Securities Laws," Address by SEC Chairman Ray Garrett, Jr. to the State Bar of Texas [Transcription] (courtesy of Harvey L. Pitt)
July 2, 1974
Address by SEC Chairman Ray Garrett, Jr. before the San Diego Mortgage Bankers Association [Transcription] (courtesy of Harvey L. Pitt)
Address by SEC Chairman Ray Garrett, Jr. before the San Diego Mortgage Bankers Association [Transcription] (courtesy of Harvey L. Pitt)
June 17, 1974
"Ending Uncertainty" - Address by SEC Commissioner A.A. Sommer, Jr. to the 6th National Institutional Trader Conference [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Ending Uncertainty" - Address by SEC Commissioner A.A. Sommer, Jr. to the 6th National Institutional Trader Conference [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 14, 1974
Address by SEC Chairman Ray Garrett, Jr. before the 28th National Conference of the American Society of Corporate Secretaries [Transcription] (courtesy of Harvey L. Pitt)
Address by SEC Chairman Ray Garrett, Jr. before the 28th National Conference of the American Society of Corporate Secretaries [Transcription] (courtesy of Harvey L. Pitt)
June 11, 1974
"Commission Rates - The World Ahead," Address by SEC Chairman Ray Garrett, Jr. to the New York Stock Exchange Third Bi-Annual Conference [Transcription] (courtesy of Harvey L. Pitt)
"Commission Rates - The World Ahead," Address by SEC Chairman Ray Garrett, Jr. to the New York Stock Exchange Third Bi-Annual Conference [Transcription] (courtesy of Harvey L. Pitt)
June 10, 1974
"Is the SEC a Barrier to New York's Role in International Finance?," Address by SEC Chairman Ray Garrett, Jr. to The Financial Times [Transcription] (courtesy of Harvey L. Pitt)
"Is the SEC a Barrier to New York's Role in International Finance?," Address by SEC Chairman Ray Garrett, Jr. to The Financial Times [Transcription] (courtesy of Harvey L. Pitt)
June 4, 1974
"A Fence on the Cliff - Or An Ambulance in the Valley," Address by SEC Commissioner John R. Evans to 68th Annual Municipal Finance Officers Association Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"A Fence on the Cliff - Or An Ambulance in the Valley," Address by SEC Commissioner John R. Evans to 68th Annual Municipal Finance Officers Association Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 30, 1974
"Accountants: A Flexible Standard" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA National Institute on Professional Liability [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Accountants: A Flexible Standard" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA National Institute on Professional Liability [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 30, 1974
"Problems of Professional Responsibility," Address by SEC Chairman Ray Garrett, Jr. to the American Bar Association National Institute [Transcription] (courtesy of Harvey L. Pitt)
"Problems of Professional Responsibility," Address by SEC Chairman Ray Garrett, Jr. to the American Bar Association National Institute [Transcription] (courtesy of Harvey L. Pitt)
May 22, 1974
"The Future is Now," Address by SEC Commissioner John R. Evans to Joint Conference co-sponsored by Boston Stock Exchange and Independent Broker Dealers Trade Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Future is Now," Address by SEC Commissioner John R. Evans to Joint Conference co-sponsored by Boston Stock Exchange and Independent Broker Dealers Trade Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 21, 1974
Memo to SEC Commissioner John R. Evans from the SEC Division of Enforcement concerning abusive practices in dealer banks [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo to SEC Commissioner John R. Evans from the SEC Division of Enforcement concerning abusive practices in dealer banks [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 16, 1974
Remarks of SEC Chairman Ray Garrett, Jr. at Retirement Dinner for Donald J. Stocking [Transcription] (courtesy of Harvey L. Pitt)
Remarks of SEC Chairman Ray Garrett, Jr. at Retirement Dinner for Donald J. Stocking [Transcription] (courtesy of Harvey L. Pitt)
May 16, 1974
Testimony of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Senate Committee on Commerce, on S.3356, 93rd Congress, 2nd Session [Transcription] (courtesy of Harvey L. Pitt)
Testimony of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Senate Committee on Commerce, on S.3356, 93rd Congress, 2nd Session [Transcription] (courtesy of Harvey L. Pitt)
May 15, 1974