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701 to 800 of 812 records

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April 23, 1968
Corporate Decision-Making and Social Control - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
May 9, 1968
Memo from J. William O'Reilly, New York Stock Exchange on meeting with Eugene Rotberg on specialists' dealing
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 21, 1968
"Disclosure: The SEC and the Press," Address by SEC Chairman Manuel Cohen on the Occasion of the University of Connecticut's G.M. Loeb Awards Luncheon in New York City
document pdf (Courtesy of Paul Gonson)
May 28, 1968
Order for U.S. Securities and Exchange Commission Investigation and Public Investigatory Hearing on Commission Rate Structure
document pdf (Courtesy of Eugene Rotberg)
June 6, 1968
Memo from Arthur Okun to President Johnson on possible Federal Reserve action on margin requirements
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
June 13, 1968
Memo to Commissioners from Mahlon Frankhauser transmitting an American Stock Exchange re "Member Firm Efforts to Control Speculation"
document pdf (Courtesy of Roberta Karmel)
June 13, 1968
Memo to Commissioners from Mahlon Frankhauser transmitting an American Stock Exchange re "Member Firm Efforts to Control Speculation"
document pdf (Courtesy of Roberta Karmel)
June 26, 1968
Notes from Arthur Okun for President Johnson on upcoming meeting with equity managers
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
June 30, 1968
34th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1968
NASD News - Special Report
image pdf (Courtesy FINRA)
July 1, 1968
Opening Statement of Eugene H. Rotberg at Public Investigatory Hearing on Commission Rate Structure
document pdf (Courtesy of Eugene Rotberg)
July 1, 1968
Summary of Transcript of Proceedings in the Matter of Commission Rate Structures of Registered National Securities Exchanges
document pdf (Courtesy of Eugene Rotberg)
July 2, 1968
Letter from Irving Pollack, SEC to Richard Walbert, NASD recommending NASD set up a trust fund for customers
transcript pdf (Courtesy of the National Archives and Records Administration)
July 12, 1968
Letter to U.S. Senator Harrison Williams from Adolf Berle on pending bill limiting corporate control over stock voting rights
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
July 15, 1968
Memo by SEC Chairman Manuel Cohen to All Staff Attorneys on Voluntary Legal Service to the Poor
document pdf (Courtesy of Paul Gonson)
July 16, 1968
Letter from SEC Chairman Manuel F. Cohen to Al Altwegg, The Dallas Morning News
transcript pdf (Government Records)
July 25, 1968
Letter from Al Altwegg, The Dallas Morning News, to SEC Chairman Manuel F. Cohen, with memo on distribution of prospectuses to the financial press
image pdf (Government Records)
July 28, 1968
Public Law 90-438: To amend the Securities Exchange Act of 1934 to authorize an investigation of the effect on the securities markets of the operation of institutional investors
image pdf (Government Records)
August 1968
SEC Accounting Series Releases 1 to 112, Inclusive

(Courtesy of Gary J. Previts)

August 8, 1968
Letter from Robert W. Haack, New York Stock Exchange, to SEC Chairman Manuel Cohen
document pdf (Courtesy of Eugene Rotberg)
August 13, 1968
Letter from Richard S. Maynard to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 14, 1968
Letter from Raymond J. Fox to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 15, 1968
Letter from Josephthal & Co. to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 16, 1968
Letter from Investment Bankers Association of America to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 19, 1968
Howard James Hansen v. Securities and Exchange Commission: Brief for the SEC in Opposition
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
August 19, 1968
Letter and Memorandum from Edward T. McCormick, National Stock Exchange, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 19, 1968
Letter from Alex H. Calvert, Jr. to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 19, 1968
Letter from Robert L. Augenblick, Investment Company Institute, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 19, 1968
Statement of Robert W. Haack, New York Stock Exchange before the SEC on commission structure
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
August 20, 1968
Letter from Goldman & Co. to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 20, 1968
Letter from Herbert Schollenberger, Detroit Stock Exchange, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 20, 1968
Letter from Raymond W. Cocchi, Independent Broker Dealers' Trade Association, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 21, 1968
Letter from Irving M. Pollack, SEC to Robert W. Haack, New York Stock Exchange on off-floor trading
transcript pdf (Courtesy of New York Stock Exchange Archives)
August 21, 1968
Letter from Wilfred Godfrey, Keystone Custodian Funds, Inc., to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 22, 1968
Letter from American Life Convention and Life Insurance Association of America to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
August 23, 1968
Letter from James W. Davant, Association of Stock Exchange Firms, to SEC on New York Stock Exchange's Proposed Commission Rate Changes
document pdf (Courtesy of Eugene Rotberg)
September 1968
NASD News
image pdf (Courtesy FINRA)
September 9, 1968
Memorandum on Staff Director Prospects: A.A. (Al) Sommer, Jr., Merton Miller, Ezra Solomon and Charles Holt
transcript pdf (Government Records)
September 16, 1968
Letter and Press Release from Betty Furness, Special Assistant to the President for Consumer Affairs to SEC Chairman Manuel F. Cohen on defeat of Investment Company Amendments Act
transcript pdf (Government Records)
October 1, 1968
Letter from Robert M. Bishop, New York Stock Exchange, to SEC Chairman Manuel F. Cohen on tender offer provision
image pdf (Government Records)
October 9, 1968
Memo from Elliott F. Higgins, New York Stock Exchange to J. William O'Reilly on SEC inspection of specialists operations
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 9, 1968
Office of General Counsel Memo re Major Legal Issues in Texas Gulf Sulphur Decision
document pdf (Courtesy of Roberta Karmel)
October 22, 1968
Memo from Richard F. Burke, New York Stock Exchange on discussion with Sheldon Rappaport, SEC
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 26, 1968
Reporting for Diversified Companies - Address by SEC Chairman Manuel Cohen before the Financial Executives Institute
transcript pdf (AICPA Collection, University of Mississippi)
October 26, 1968
Some Viewpoints in Corporate Disclosure - Remarks by Robert W. Haack, President, New York Stock Exchange
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
November 19, 1968
Letter from Robert W. Haack, New York Stock Exchange to SEC Chairman Manuel F. Cohen
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 10, 1968
Memo from J. William O'Reilly, New York Stock Exchange on odd-lot dealers
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 10, 1968
Official Transcript: SEC Rate Structure Investigation of National Securities Exchanges
transcript pdf (Courtesy of Bernard E. Garil)
December 10,1968
Testimony of Bernard H. Garil before hearings on the Commission Rate Structure of National Securities Exchanges
image pdf (Courtesy of Bernard H. Garil)
December 12, 1968
Memo from Eugene Rotberg to SEC Chairman Manuel Cohen on Institutional Study Advisory Committee
document pdf (Courtesy of Eugene Rotberg)
December 16, 1968
Note from Justice William Douglas to Justice Thurgood Marshall in support of SEC v. National Securities
image pdf (Thurgood Marshall Papers, courtesy Library of Congress)
1968
The Tax Exemption of Interest on Industrial Development Bonds
transcript pdf (Courtesy of National Archives and Records Administration)
1969
NASD Annual Report
image pdf (Courtesy FINRA)
1969
NASD Notices to Members

(Courtesy of FINRA)

January 6, 1969
Note from Justice Potter Stewart to Justice Thurgood Marshall in support of opinion in SEC v. National Securities, Inc.
transcript pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
January 8, 1969
Note from Justice Hugo Black to Justice Thurgood Marshall on dissent in SEC v. National Securities, Inc.
transcript pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
January 8, 1969
Note from Justice John Harlan to Justice Thurgood Marshall on opinion in SEC v. National Securities, Inc.
transcript pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
January 21, 1969
Tally Sheet on Associate Justices Opinions in SEC v. National Securities, Inc.
image pdf (Earl Warren Papers, courtesy Library of Congress)
January 22, 1969
"The Securities Industry and the Realities of 1969" - Remarks of Robert W. Haack, New York Stock Exchange to the 2nd Annual Institutional Investor Conference
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
January 22, 1969
Note from Justice Potter Stewart to Justice Thurgood Marshall on SEC v. National Securities
image pdf (Thurgood Marshall Papers, courtesy Library of Congress)
January 23, 1969
Memo to H.R. Haldeman from Robert Ellsworth on SEC Commission appointments
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
January 28, 1969
Minutes of meeting of SEC Commission re Moratorium on Institutional membership in Exchanges pending further study
image pdf (Courtesy of the National Archives and Records Administration)
January 30, 1969
Letter from Justice Thurgood Marshall to Henry Putzel, Jr., Reporter of Decisions on SEC v. National Securities, Inc.
transcript pdf (Thurgood Marshall Papers, courtesy Library of Congress)
February 1969
Higher Education Loans Program, Inc. and Murray Bast v. Roger R. Gilbert, Walston & Company and the Securities and Exchange Commission: Memorandum of Law of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 1969
NASD News - Special Report
image pdf (Courtesy FINRA)
February 6, 1969
Mortimer N. Hanly v. Securities and Exchange Commission: Memorandum of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 7, 1969
Memo for Ken Cole from Paul McCracken on back office problem
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
February 14, 1969
Letter from SEC Chairman Manuel F. Cohen to U.S. Representative Hastings Keith supporting study into the effect of conglomerate activities in the securities markets
image pdf (Government Records)
February 19, 1969
Memo from John C. Whitehead, Chairman, Institutional Investor Study Advisory Committee, to committee members
image pdf (Government Records)
March 3, 1969
Findings and Stop Order in the Matter of Bally Manufacturing Corporation
document pdf (Courtesy of Richard Rowe)
March 6, 1969
Problems in the Securities Industry: Hearing before the Subcommittee on Securities of the U.S. Senate Committee on Banking and Currency
image pdf (Courtesy of the Library of Congress)
March 14, 1969
"The Commission Rate Structure and the Institutional Investor" - Remarks by Eugene Miller, Vice President, New York Stock Exchange at 1969 Mutual Funds Conference
transcript pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2010 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives. All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
March 14, 1969
Memo from Loomis to Commission re Legislative Matters
image pdf (Courtesy of the National Archives and Records Administration)
March 21, 1969
Farewell letter from Manuel Cohen to Albert Fontes, SEC Assistant Director of Personnel
transcript pdf (Courtesy of the estate of Mollie B. Zion)
March 27, 1969
Disclosures to Investors - A Reappraisal of Federal Administrative Policies Under the '33 and '34 Acts, by Francis M. Wheat (The Wheat Report - Disclosures to Investors)

(Courtesy of Richard Rowe)

March 31, 1969
Invitation to A Salute to "Manny"
image pdf (Courtesy of the estate of Mollie B. Zion)
May 6, 1969
Inquiry from Don Oberdorfer, Washington Post to Chief Justice Earl Warren
image pdf (Earl Warren Papers, courtesy Library of Congress)
May 6, 1969
Letter from Dan Oberdorfer, Washington Post to Banning Whittington, U.S. Supreme Court on inquiry into Justice Abe Fortas
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
May 6, 1969
Memo for President Nixon from Peter Flanigan on May 7th meeting with SEC members
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
May 10, 1969
Testimony of Louis Wolfson on actions with Justice Abe Fortas
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
May 14, 1969
Letter from Justice Abe Fortas to Chief Justice Earl Warren on association with Wolfson Family Foundation
image pdf (Earl Warren Papers, courtesy Library of Congress)
May 15, 1969
Statement of Chief Justice Earl Warren on resignation of Justice Abe Fortas
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
May 16, 1969
Letter from Chief Justice Earl Warren to President Lyndon Johnson on resignation of Justice Abe Fortas
image pdf (Earl Warren Papers, courtesy Library of Congress)
May 19, 1969
"An Agenda for the Securities Industry" - Remarks of Robert W. Haack, New York Stock Exchange to the Economic Club of Detroit
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 21, 1969
Memo for the White House staff on contacts with independent regulatory agencies
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
June 17, 1969
Takeovers and Tenders: A Stock Exchange Viewpoint - Remarks by Robert W. Haack, President, New York Stock Exchange
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
June 27, 1969
Norman L. Harwell et al. v. Growth Programs, Inc. et al.: Memorandum of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
June 30, 1969
35th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1969
Don D. Anderson & Co., Inc. v. Securities and Exchange Commission: Answering Brief of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 1969
NASD News
image pdf (Courtesy FINRA)
July 7, 1969
Memo from Paul W. McCracken to Harry Dent on "Wall Street Political Problems" article by Dick Garbett
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
July 9, 1969
Memo to Peter Flanigan from Dan Hofgren on inclusion of off shore funds in SEC study
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
July 9, 1969
Memorandum of the Securities and Exchange Commission on H.R. 11995 and S. 2224 to the Committee on Interstate and Foreign Commerce, House of Representatives: Pending Mutual Fund Legislation
image pdf (Courtesy of the National Archives and Records Administration)
September 1969
NASD News
image pdf (Courtesy FINRA)
September 1, 1969
Report to the Honorable Louis J. Lefkowitz, Attorney General of the State of New York, on new issues of securities
image pdf (Courtesy of Orestes Mihaly)
September 12, 1969
Letter from SEC Chairman Hamer H. Budge to Robert W. Haack, New York Stock Exchange requesting information on NYSE members in financial difficulty
image pdf (Courtesy of New York Stock Exchange Archives)
September 23, 1969
Securities and Exchange Commission, Plaintiff against Texas Gulf Sulphur Company, et al. - Stipulation regarding defendant Francis G. Coates
image pdf (Courtesy of Donald Strauber)
September 24, 1969
Industrial Development Bond Material - Treasury Statement for Insertion in the Record of the Secretary's Testimony before the Senate Finance Committee
transcript pdf (Courtesy of National Archives and Records Administration)
October 2, 1969
Securities and Exchange Commission, Plaintiff against Texas Gulf Sulphur Company, et al. - Judgment for defendant Francis G. Coates
image pdf (Courtesy of Donald Strauber)
October 10, 1969
A National System for Reporting, Clearing and Settling Over-the-Counter Securities Transactions - NASD
image pdf (Courtesy of the National Archives and Records Administration)

701 to 800 of 812 records

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