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1940s
Brief, U.S. Securities and Exchange Commission v. Samuel Okin
document pdf (Courtesy of the estate of Nathan Sameth)
1940
United States of America before the Securities and Exchange Commission in the Matter of McKesson & Robbins, Inc., pursuant to Section 21(a) of the Securities Exchange Act of 1934, Report on Investigation

(Courtesy of Daniel Goelzer, Simon Lorne and the Public Company Accounting Oversight Board)

January 23, 1940
NASD News - The Bulletin
image pdf (Courtesy FINRA)
February 1, 1940
Remarks of Chief Justice Charles Evans Hughes in recognition of 150th anniversary of first session of Supreme Court
transcript pdf (Charles Evans Hughes Papers, courtesy Library of Congress)
February 6, 1940
Statement of SEC Chairman Jerome N. Frank before the Foreign Relations Committee of the U.S. Senate on securities offerings of the Republic of Finland
image pdf (Courtesy of the National Archives and Records Administration)
March 1, 1940
Report on the trading in American securities in the British market, by Harold H. Neff, Foreign Expert, SEC
transcript pdf (Courtesy of the National Archives and Records Administration)
March 1940
Supreme Court of the United States: Securities and Exchange Commission v. United States Realty and Improvement Company - Petition for Writ of Certiorari
image pdf (Courtesy of National Archives and Records Administration)
March 13, 1940
Letter from SEC Chairman Jerome Frank to the Secretary of the Treasury requesting information on British transactions in American securities
transcript pdf (Courtesy of the National Archives and Records Administration)
March 14, 1940
Open-End Trust Leaders Attack Investment Trust Bill
image pdf (Courtesy of the National Archives and Records Administration)
March 14, 1940
Release - Senator Wagner Introduces Investment Trust Legislation
image pdf (Courtesy of the William O. Douglas Papers, Library of Congress)
March 14, 1940
Release - Statement of Congressman Clarence F. Lea, Chairman of the Committee on Interstate and Foreign Commerce of the House of Representatives, in reference to the Investment Company Bill introduced today
image pdf (Courtesy of the National Archives and Records Administration)
March 14, 1940
Summary of the Investment Company Bill
image pdf (Courtesy of the William O. Douglas Papers, Library of Congress)
March 15, 1940
Confidential Report from Harold H. Neff to SEC Chairman Frank on the trading in American securities on the British market
transcript pdf (Courtesy of the Library of Congress)
March 15, 1940
Letter to Elton Layton from Henry Vance on Investment Trust Bill
image pdf (Courtesy of the Investment Company Institute)
March 26, 1940
Letter from President Franklin D. Roosevelt to SEC Commissioner George Mathews
image pdf (Government Records)
March 28, 1940
Letter from Francis Biddle, Solicitor General to Charles Cropley, Clerk, Supreme Court of the United States requesting expedition of decision in SEC v. United States Realty
image pdf (Courtesy of National Archives and Records Administration)
March 28, 1940
Memo from Ganson Purcell to SEC Chairman Frank on daily figures on sales of dollar securities effected on behalf of the British Government
image pdf (Courtesy of the National Archives and Records Administration)
April 2, 3, 4, 5, 8, 9 and 10, 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part I

(Government Records)

April 11, 1940
Letter from Harold Neff to U.S. Supreme Court Justice William O. Douglas on report on foreign trading
transcript pdf (Courtesy of the Library of Congress)
April 12 to 26, 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part II

(Government Records)

April 22, 1940
Statement by Richard Wagner before Subcommittee of Senate Banking and Currency Committee concerning Investment Company Bill
image pdf (Courtesy of the National Archives and Records Administration)
April 26, 1940
Responsibility to Investors on the Part of the Public Accountant and His Client - Address by John M. Hancock, Chairman, New York Stock Exchange Committee on Stock List
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
Spring 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part III - Exhibits

(Government Records)

April 29, 1940
Letter to U.S. Representative Clarence Lea from H.A. Behrens on Investment Company Bill
image pdf (Courtesy of the National Archives and Records Administration)
May 1940
Draft of SEC v. United States Realty and Improvement Company, with notes from Justice Harlan F. Stone
image pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 1940
Notes from Justice William O. Douglas on SEC v. United States Realty
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
May 14, 1940
American Institute of Accountants Report of the Special Committee on Cooperation with Securities and Exchange Commission
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
May 16, 1940
Note from Justice Felix Frankfurter to Justice Harlan F. Stone in support of opinion in SEC v. United States Realty
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 16, 1940
Note from Justice Hugo Black to Justice Harlan F. Stone in support of opinion in SEC v. United States Realty
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 16, 1940
Note from Justice William O. Douglas to Justice Harlan F. Stone on SEC v. United States Realty
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 18, 1940
NASD News
image pdf (Courtesy FINRA)
May 20, 1940
Draft of letter from the President to SEC Chairman Jerome Frank requesting SEC restrictions on trading
transcript pdf (Courtesy of the National Archives and Records Administration)
May 20, 1940
SEC order suspending trading until May 31, 1940
transcript pdf (Courtesy of the National Archives and Records Administration)
May 24, 1940
Additional notes from Justice William O. Douglas on SEC v. United States Realty
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
May 24, 1940
Letter from Associate Justice Harlan Stone to Associate Justice Owen Roberts on SEC v. U.S. Realty and Improvement Company
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 31 and June 4, 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part IV

(Government Records)

June 6, 1940
Report from Mr. Wagner, U.S. Senate Committee on Banking and Currency, on Investment Company Act
image pdf (Government Records)
June 7, 1940
Independence and Cooperation - Address of William Werntz, SEC Chief Accountant to Controllers Institute of America
transcript pdf (AICPA Collection, University of Mississippi)
June 7, 1940
Letter to U.S. Representative Clarence Lea from David Schenker, U.S. Securities and Exchange Commission on Investment Company Bill
image pdf (Courtesy of the National Archives and Records Administration)
June 11, 1940
Memo from Elton Layton on appointment of U.S. House of Representatives Subcommittee to consider Investment Company Bill
image pdf (Courtesy of the National Archives and Records Administration)
June 13, 1940
Accounting Requirements of the Securities and Exchange Commission - Address of William Werntz, SEC Chief Accountant to Texas Society of CPAs
transcript pdf (AICPA Collection, University of Mississippi)
June 13 to 14, 1940
Hearings before a Subcommittee of the Committee on Interstate and Foreign Commerce, U.S. House of Representatives on H.R. 10065, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers

(Government Records)

June 18, 1940
Report from Mr. Cole of Maryland, U.S. House of Representatives Committee on Interstate and Foreign Commerce, on Investment Company Act
image pdf (Government Records)
June 21, 1940
Letter to U.S. Representative Lyle Boren for Chester Lane, SEC Office of General Counsel on proxy rules
transcript pdf (Courtesy of National Archives and Records Administration)
June 22, 1940
NASD News
image pdf (Courtesy FINRA)
1927-1940
Monthly Average Value of New Securities Issued
document pdf (Courtesy of U.S. Department of Commerce, Survey of Current Business)
June 30, 1940
Sixth Annual Report of the Securities and Exchange Commission

(Government Records)

August 2, 1940
Letter from Arnold Barker to Jerome Frank on revision of Section 16-B
transcript pdf (Courtesy of the National Archives and Records Administration)
August 19, 1940
Letter from SEC Chairman Jerome Frank to Harry Hopkins questioning President Roosevelt for not appointing Frank to New York Court of Appeals
transcript pdf (Hugo Black Papers, courtesy Library of Congress)
August 22, 1940
Investment Company Act
image pdf (Government Records)
August 28, 1940
NASD News
image pdf (Courtesy FINRA)
September 16, 1940
The Government's Responsibility for the Regulation of Accounting Reports - Address of William Werntz to Accounting Symposium Bicentennial Conference
transcript pdf (AICPA Collection, University of Mississippi)
September 25, 1940
NASD News
image pdf (Courtesy FINRA)
October 1, 1940
First Meeting of the Executive Committee of the National Committee of Investment Companies
image pdf (Courtesy of the Investment Company Institute)
October 1940
The Distribution of Ownership in the 200 Largest Non-Financial Corporations

(Courtesy of National Archives)

October 6, 1940
SEC Release No. 3033 - In the Matter of the Rules of the New York Stock Exchange, Findings and Opinions of the Commission
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2010 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives. All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
October 17, 1940
Proceedings of the Fifty-Third Annual Meeting of the American Institute of Accountants: Experiences with Extensions of Auditing Procedure
transcript pdf (Courtesy of the American Institute of Certified Pubilc Accountants)
October 18, 1940
The Sin of Perfectionism - Address of SEC Chairman Jerome Frank to American Institute of Accountants
transcript pdf (AICPA Collection, University of Mississippi)
November 9, 1940
NASD News
image pdf (Courtesy FINRA)
November 12, 1940
Report to the SEC on the trading in American securities on the British market, by Harold H. Neff, Foreign Expert
transcript pdf (Courtesy of the National Archives and Records Administration)
November 19, 1940
Revision of the Rules under Section 15(c)(1)
image pdf (Courtesy of the National Archives and Records Administration)
December 5, 1940
In the Matter of McKesson & Robbins, Inc., Accounting Series Release No. 19, Summary of Findings and Conclusions
image pdf (Courtesy of James H. Perry)
December 30, 1940
NASD News
image pdf (Courtesy FINRA)
1941 (Undated)
Brief for the Securities and Exchange Commission in the United States Circuit Court of Appeals for the Second Circuit - Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc.
image pdf (Government Records)
1941
Facts You Should Know About Investment Companies
image pdf (Courtesy of the Investment Company Institute)
1941 (Undated)
Reply Brief for the Securities and Exchange Commission in the United States Circuit Court of Appeals for the Second Circuit - Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc.
image pdf (Government Records)
January 3, 1941
Minutes of meeting of Special Committee on Cooperation with Securities and Exchange Commission
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
January 7, 1941
Memorandum for American Institute of Accountants: Rule 2-02 of Regulation S-X
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
January 10, 1941
Letter from H.A. Withey to John Carey on appropriate form of auditor's report
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
January 14, 1941
Minutes of meeting of Special Committee on Cooperation with Securities and Exchange Commission
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
January 15, 1941
SEC Release on Raymond Concrete File Company Common Stock
transcript pdf (Courtesy of the National Archives and Records Administration)
January 16, 1941
Letter to SEC Chairman Jerome Frank from Investment Bankers of America in response to The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries
image pdf (Courtesy of FINRA)
January 27, 1941
Official Report of Proceedings before the Securities and Exchange Commission: In the Matter of The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries

(Courtesy of FINRA)

January 28, 1941
Official Report of Proceedings before the Securities and Exchange Commission: In the Matter of The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries

(Courtesy of FINRA)

January 29, 1941
Official Report of Proceedings before the Securities and Exchange Commission: In the Matter of The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries

(Courtesy of FINRA)

January 30, 1941
National Committee of Investment Companies Memorandum No. 11 to Members re Membership List - Independent Auditors
image pdf (Courtesy of the Investment Company Institute)
February 5, 1941
Official Report of Proceedings before the Securities and Exchange Commission: In the Matter of The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries

(Courtesy of FINRA)

February 6, 1941
Official Report of Proceedings before the Securities and Exchange Commission: In the Matter of The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries
image pdf (Courtesy of FINRA)
February 17, 1941
Report on SEC investigation in the matter of the disciplinary proceedings of the New York Curb Exchange
transcript pdf (Courtesy FINRA)
March 10, 1941
Informal Discussion of Rule Proposed by the Investment Bankers Association and National Association of Securities Dealers
image pdf
March 14, 1941
Memo by Francis T. Greene of conference with Mr. Donovan regarding General Industries Company
transcript pdf (Courtesy of the National Archives and Records Administration)
March 14, 1941
NASD News
image pdf (Courtesy FINRA)
March 21, 1941
Letter from Dan T. Moore, SEC Regional Administrator, to Chester T. Lane, SEC General Counsel
document pdf (Courtesy of Milton Kroll)
March 28, 1941
Findings and Opinions of the Commission in the Matter of The Dayton Power and Light Company, Morgan Stanley & Co., Inc.
image pdf (Courtesy of FINRA)
April 3, 1941
Brief for Defendant, Chinese Consolidated Benevolent Association, Inc. in the United States Circuit Court of Appeals for the Second Circuit - Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc.
image pdf (Government Records)
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)
April 30, 1941
Memorandum from U.S. Securities and Exchange Commission Legal Division to All Attorneys re Levy et al. v. Feinberg et al.
document pdf (Courtesy of the estate of Nathan Sameth)
May 8, 1941
NASD News
image pdf (Courtesy FINRA)
May 16, 1941
Letter from Francis T. Greene to William T. Gardiner, Incorporated Investors
transcript pdf (Courtesy of the National Archives and Records Administration)
May 16, 1941
Memo by Francis T. Greene of conference with William T. Gardiner
transcript pdf (Courtesy of the National Archives and Records Administration)
May 21, 1941
Memo to the SEC Commission from Ganson Purcell, Walter C. Louchheim, Jr. and Edwin A. Sheridan with review of Harold Neff's report on Yandell study
transcript pdf (Courtesy of the National Archives and Records Administration)
June 7, 1941
Standards of Disclosure in Financial Statements - Address of Andrew Cavanaugh, Assistant Director, SEC Registration Division to Middle Atlantic States Accounting Conference
transcript pdf (AICPA Collection, University of Mississippi)
June 23, 1941
Letter from SEC Chairman Ganson Purcell to Justice William O. Douglas on proposed amendment to Exchange Act
image pdf (William O. Douglas Papers, courtesy Library of Congress)
June 24, 1941
Memo by G .C. Poole of conference on Plough, Inc. Common Stock
transcript pdf (Courtesy of the National Archives and Records Administration)
June 27, 1941
Memo from Harold Neff to the SEC Commission on the study of the London Stock Exchange
image pdf (Courtesy of the National Archives and Records Administration)
June 30, 1941
Seventh Annual Report of the Securities and Exchange Commission

(Government Records)

July 10, 1941
Memo to SEC Commission from John Hollands on investment company taxation
transcript pdf (Courtesy of National Archives and Records Administration)
August 7, 1941
Selections from the Report of the SEC on Proposals for Amendments to the Securities Act of 1933 and the Securities Exchange Act of 1934 to the U.S. House of Representatives, 77th Congress, 1st Session (copy is inscribed "Homer Kripke")
image pdf (Courtesy of the National Archives and Records Administration)
September 2, 1941
Memo by Francis T. Greene of conference with Mr. Ward on National Cylinder Gas Company Common Stock
transcript pdf (Courtesy of the National Archives and Records Administration)
September 15, 1941
Corporate Securities Sold in Transactions Exempted from Securities Act Registration As Not Involving Any "Public Offering"
image pdf (Courtesy of FINRA)

1 to 100 of 413 records

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