Securities and Exchange Commission Historical Society
Thanks to our donors
- DONORS AND GIFTS -
Home > Galleries > Investment Company Regulation:... > Related Museum Resources

Investment Company Regulation: The Intricacies of an "Enlightened Partnership"

Related Museum Resources

Papers

January 25, 1936
Letter to Sen. Byrnes with Legislative Recommendations
image pdf (Courtesy of the National Archives and Records Administration)
October 30, 1936
Memo from Saperstein to Katz with Report to National Emergency Council
image pdf (Courtesy of the National Archives and Records Administration)
April 5, 1941
Letter from Weiner to Rep. Andresen re Proposed Rule Requiring Competitive Bidding
image pdf (Courtesy of the National Archives and Records Administration)
August 20, 1942
Letter from Treanor to Rep. Beiter on Proposed Rule to Prevent Dealers from buying/selling at prices bearing no reasonable relation to prevailing market prices
image pdf (Courtesy of the National Archives and Records Administration)
January 1, 1943
Letter from Purcell to Sen. Butler re Public Utility Holding Company Act, Section 11
image pdf (Courtesy of the National Archives and Records Administration)
August 9, 1949
Letter from Sen. Reed to McEntire re S. J. Res. 58
image pdf (Courtesy of the National Archives and Records Administration)
August 1, 1958
Letter from Loomis to Rep. Burns re Management Fees Paid by Mutual Funds
image pdf (Courtesy of the National Archives and Records Administration)
September 16, 1963
Paper by Rotberg, “Inter-Dealer Market”
image pdf (Courtesy of the National Archives and Records Administration)
April 26, 1965
Memo from Office of General Counsel to Commission re “Mutual Fund Report to Congress: The Give-up Problem – Use of Give-ups to reduce Sales Loads”
image pdf (Courtesy of the National Archives and Records Administration)
April 30, 1965
Memo from Silver to Budge attaching Excerpts of Testimony re Give-ups
image pdf (Courtesy of the National Archives and Records Administration)
March 3, 1966
Memo from Rotberg to Commission re NYSE Rate Structure
image pdf (Courtesy of the National Archives and Records Administration)
May 2, 1966
Memo from Buck to Budge re “Commission’s position on give-ups and volume discount of brokerage commissions”
image pdf (Courtesy of the National Archives and Records Administration)
May 19, 1966
Letter from Cohen to Funston re proposed changes in commission rate structure of the NYSE
image pdf (Courtesy of the National Archives and Records Administration)
May 23, 1966
Memo from Pollack to Commission re Give-up rules
image pdf (Courtesy of the National Archives and Records Administration)
July 28, 1966
Letter from Phelan to Rotberg re Give-ups
image pdf (Courtesy of the National Archives and Records Administration)
June 7, 1967
Letter from Cohen to Stock Exchange Presidents re Give-ups and volume discounts
image pdf (Courtesy of the National Archives and Records Administration)
July 27, 1967
Letter from Parcells to Cohen re Give-ups
image pdf (Courtesy of the National Archives and Records Administration)
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)
March 14, 1969
Memo from Loomis to Commission re Legislative Matters
image pdf (Courtesy of the National Archives and Records Administration)
November 12, 1969
Questions submitted by Rep. Stuckey re Mutual Fund legislation
image pdf (Courtesy of the National Archives and Records Administration)
January 16, 1970
Letter from Budge to Rep. Moss re ICI proposal on Self-Regulation
image pdf (Courtesy of the National Archives and Records Administration)
February 13, 1970
Statement of Haack before the SEC on “The Urgency for an Immediate Commission Increase”
image pdf (Courtesy of the National Archives and Records Administration)
March 25, 1970
Statement of Donald L. Calvin before the Subcommittee on Securities of the Senate Committee on Banking and Currency re S.3431
image pdf (Courtesy of the National Archives and Records Administration)
April 21, 1970
Memo from Baruch to Chairman re Appearance of NYSE Officials before the Commission
image pdf (Courtesy of the National Archives and Records Administration)
May 25, 1970
Letter from Denny to Pollack re Stock Exchange Rules
image pdf (Courtesy of the National Archives and Records Administration)
June 16, 1970
Statement of Hamer H. Budge before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce on H.R. 13308, Self Regulatory Provisions
image pdf (Courtesy of the National Archives and Records Administration)
November 5, 1970
Letter from Haack to Rep. Staggers re H.R. 17333, Exchange Regulation
image pdf (Courtesy of the National Archives and Records Administration)
December 8, 1970
Memo from Baruch to Commission re Net Capital Provisions
image pdf (Courtesy of the National Archives and Records Administration)
January 1, 1971
List of “Problems Facing the Securities Industry”
image pdf (Courtesy of the National Archives and Records Administration)
January 1, 1971
Memo from Baruch to Commission re New York Stock Exchange Net Capital Rule
image pdf (Courtesy of the National Archives and Records Administration)
October 16, 2003
Congressional Hearing: Reviewing Capital Market Structure - Exchanges
image pdf (U.S. Government Printing Office)
October 30, 2003
Congressional Hearing: Reviewing Capital Market Structure - Competition
image pdf (U.S. Government Printing Office)
February 20, 2004
Congressional Hearing: Capital Market Structure - Role of Specialist
image pdf (U.S. Government Printing Office)
May 5, 2004
Congressional Hearing: SEC Market Structure - Investors
image pdf (U.S. Government Printing Office)
February 2, 2005
Congressional Hearing: SEC Market Structure - Competition
image pdf (U.S. Government Printing Office)
October 6, 2009
Congressional Hearing: Capital Markets Regulatory Reform - Private Capital and National Insurance Office
image pdf (U.S. Government Printing Office)

Previous

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.