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201 to 300 of 413 records

Page:
June 1943
NASD News
image pdf (Courtesy FINRA)
June 14, 1943
Report to Stewart Hawes from Paul Frum on proxy hearings
transcript pdf (Courtesy of FINRA)
June 16, 1943
Letter from SEC Chairman Ganson Purcell to Justice William O. Douglas on House committee hearings on proxy rules
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
June 30, 1943
Ninth Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 29, 1943
Letter from SEC Chairman Ganson Purcell to Leo T. Crowley, Foreign Economic Administration requesting allotment to SEC for work performed
transcript pdf (Courtesy of the National Archives and Records Administration)
August 1943
NASD News
image pdf (Courtesy FINRA)
August 3, 1943
Letter from New York Curb Exchange to Paul Frum
image pdf (Courtesy FINRA)
August 23, 1943
Letter from SEC Chairman Ganson Purcell to Private Milton Kroll
document pdf (Courtesy of Milton Kroll)
September 17, 1943
Air mail letter from SEC Chairman Ganson Purcell to Justice William O. Douglas on proposed appointment of Max Radin to SEC
image pdf (William O. Douglas Papers, courtesy Library of Congress)
November 3, 1943
Letter from Chief Justice Harlan F. Stone to Justice Robert H. Jackson on SEC v. Joiner
image pdf (Robert H. Jackson Papers, courtesy Library of Congress)
November 4, 1943
Note from Justice Frank Murphy to Justice Robert Jackson on SEC v. Joiner
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
November 4, 1943
Note from Justice Hugo Black to Justice Robert Jackson on SEC v. Joiner
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
December 20, 1943
Letter from Francis Maloney to Wallace Fulton, with copy of unsigned letter to Francis Maloney
image pdf
1944 to 1988
U.S. Securities and Exchange Commission Opinions and Review Office, Office Directors
document pdf (Government Records.)
January 12, 1944
Letter from SEC Chairman Ganson Purcell to Secretary of State Cordell Hull on SEC v. Minas de Artemisa S.A.
transcript pdf (Courtesy of the National Archives and Records Administration)
January 12, 1944
Letter from Stephen Thayer to Wallace Fulton, NASD on Public Service Company of Indiana
transcript pdf (Courtesy FINRA)
January 29, 1944
SEC Release on Public Service Company of Indiana
transcript pdf (Courtesy FINRA)
January 29, 1944
SEC Release: Discliplinary action taken by National Association of Securities Dealers, Inc.
image pdf (Courtesy of FINRA)
February 1944
NASD News
image pdf (Courtesy FINRA)
March 7, 1944
Request for information from Justice Felix Frankfurter to Justice Wiley Rutledge on Oklahoma liquor case
image pdf (Wiley Rutledge Papers, courtesy Library of Congress)
March 22, 1944
Memoranda for meeting with NASD Executive Committee on Public Service Company of Indiana
transcript pdf (Courtesy FINRA)
March 27, 1944
Note from Chief Justice Harlan F. Stone to Justice Wiley Rutledge on holding company cases
image pdf (Wiley Rutledge Papers, courtesy Library of Congress)
April 26, 1944
Memo from Walter C. Louchheim, Jr. to SEC Commission on proposal for United Nations Bank for Reconstruction and Development
transcript pdf (Courtesy of the National Archives and Records Administration)
April 27, 1944
Letter to General Edwin Watson from SEC Chairman Ganson Purcell regarding meeting with President Roosevelt
image pdf (Courtesy of Franklin Delano Roosevelt Presidential Library)
May 1944
NASD News
image pdf (Courtesy FINRA)
May 2, 1944
Note from Justice Felix Frankfurter to Justice Wiley Rutledge on Commerce Clause
image pdf (Wiley Rutledge Papers, courtesy Library of Congress)
May 12, 1944
Brief of U.S. Securities and Exchange Commission as Amicus Curiae re Rawson G. Lizars v. Bror Dalhberg et al.
document pdf (Courtesy of the estate of Nathan Sameth)
May 16, 1944
Report from Walter C. Louchheim, Jr. on May 10, 1944 meeting of SEC committee on international securities transactions and foreign investment
image pdf (Courtesy of the National Archives and Records Administration)
May 19, 1944
Memo from Walter C. Louchheim, Jr. to SEC Commission on recommendation on current reports on foreign loans and investments of registered corporations
transcript pdf (Courtesy of the National Archives and Records Administration)
May 26, 1944
Proposed letter from SEC Chairman Ganson Purcell, drafted by Walter C. Louchheim, Jr., to send to corporations requesting information on foreign loans and investments
transcript pdf (Courtesy of the National Archives and Records Administration)
June 1944
Memorandum prepared by the Clerk of the Chief Justice on practices of judges in disqualifying themselves from cases involving former clients
transcript pdf (Hugo Black Papers, courtesy Library of Congress)
June 1944
NASD News
image pdf (Courtesy FINRA)
June 29, 1944
Letter from Justice Wiley Rutledge to Justice Felix Frankfurter on language of precision
transcript pdf (Wiley Rutledge Papers, courtesy Library of Congress)
June 30, 1944
Tenth Annual Report of the Securities and Exchange Commission

(Government Records)

July 1944
Memorandum from U.S. Securities and Exchange Commission Corporation Finance Division, Office of the General Counsel to Attorneys on the Staff re Commonwealth of Pennsylvania v. Edward H. Green and D.S. Faulkner
document pdf (Courtesy of the estate of Nathan Sameth)
July 4, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell on United Nations Monetary and Financial Conference
transcript pdf (Courtesy of the National Archives and Records Administration)
July 8, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell on the progress of the United Nations Monetary and Financial Conference
transcript pdf (Courtesy of the National Archives and Records Administration)
July 10, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell reporting on meetings during the United Nations Monetary and Financial Conference
transcript pdf (Courtesy of the National Archives and Records Administration)
July 13, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell with update on United Nations Monetary and Financial Conference
transcript pdf (Courtesy of the National Archives and Records Administration)
July 17, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell on extension of United Nations Monetary and Financial Conference
transcript pdf (Courtesy of the National Archives and Records Administration)
September 20, 1944
Letter from SEC Chairman Ganson Purcell to Leo T. Crowley, Foreign Economic Administration, on SEC work in report on Japanese intelligence targets in Germany
image pdf (Courtesy of the National Archives and Records Administration)
November 10, 1944
A Proposal to Prevent Realization by the Nazis of Looted Securities
transcript pdf (Courtesy of the National Archives and Records Administration)
November 21, 1944
Letter from Justice Felix Frankfurter to Justice Stanley Reed on Otis & Co. v. United Light Power Co.
transcript pdf (Stanley Forman Reed Collection, University of Kentucky)
December 1944
NASD News
image pdf (Courtesy FINRA)
December 21, 1944
Letter from Robert Hagenow Co. to Justice Stanley Reed on Otis & Co. v. United Light Power Co.
transcript pdf (Stanley Forman Reed Collection, University of Kentucky)
1945
Proposed Rule regarding fiduciary obligations of a broker dealer
image pdf (Courtesy of the National Archives and Records Administration)
January 11, 1945
Letter from Justice Robert Jackson to Justice Stanley Reed on Otis & Co. v. SEC
image pdf (Stanley Forman Reed Collections, courtesy University of Kentucky)
January 15, 1945
Stockholders and Management: Their Obligations to Each Other and to the Public - Remarks of Emil Schram, 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.)
January 31, 1945
Protection of Clients' Securities and Funds in Custody of Investment Advisers
image pdf (Courtesy of National Archives and Records Administration)
February 1945
NASD News
image pdf (Courtesy FINRA)
February 3, 1945
Memo from Walter C. Louchheim, Jr. to Sam Klaus, Foreign Economic Administration on Swiss non-cooperation
transcript pdf (Courtesy of the National Archives and Records Administration)
February 22, 1945
Notes on meeting at Bureau of Budget relative to proposed reports on transactions involving American investments abroad
transcript pdf (Courtesy of the National Archives and Records Administration)
March 13, 1945
Letter from SEC Chairman Ganson Purcell to Secretary of State Edward R. Stettinius, Jr. on Cuban investments
transcript pdf (Courtesy of the National Archives and Records Administration)
March 14, 1945
Release from the Triborough Bridge Authority on sale of revenue bonds to proceed with major improvements and deferred maintenance of bridges and approaches
transcript pdf (Courtesy of Robert Moses Papers, New York Public Library)
March 15, 1945
Letter from SEC Chairman Ganson Purcell to Secretary of State Edward R. Stettinius, Jr. on Canadian extradition treaty
transcript pdf (Courtesy of the National Archives and Records Administration)
March 16, 1945
Letter from William L. Clayton, Assistant Secretary of State to SEC Chairman Ganson Purcell with report on investment of United States public and private funds in Latin America
image pdf (Courtesy of the National Archives and Records Administration)
April 9, 1945
Brief for Securities and Exchange Commission in the United States Circuit Court of Appeals for the Ninth Circuit - Securities and Exchange Commission v. Minas de Artemisa, S.A. (a Mexican corporation)
image pdf (Government Records)
May 1945
NASD News
image pdf (Courtesy FINRA)
June 30, 1945
Eleventh Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 30, 1945
Employees of the Securities and Exchange Commission in the Armed Services of the United States
image pdf (Courtesy of Francis Trainor)
August 1, 1945
Bill of sale for household furnishings - Doris Farid es Sultaneh to C.V. Riccardi
transcript pdf (Courtesy of the National Archives and Records Administration)
August 1945
NASD News
image pdf (Courtesy FINRA)
August 2, 1945
Letter from Doris Farid es Sultaneh to C.V. Riccardi on transfer of assets
transcript pdf (Courtesy of the National Archives and Records Administration)
October 3, 1945
Bill of sale for truck - Doris Farid es Sultaneh to C.V. Riccardi
transcript pdf (Courtesy of the National Archives and Records Administration)
November 16, 1945
Statement of Ralph Murane regarding Doris Farid es Sultaneh and Constantino V. Riccardi
transcript pdf (Courtesy of the National Archives and Records Administration)
December 1945
NASD News
image pdf (Courtesy FINRA)
December 18, 1945
Letter from Chief Justice Harlan Stone to Associate Justice Wiley Rutledge on Oklahoma Press Publishing Co. v. Walling
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
1946
U.S. Government Softball League Score Card - Championship Playoff Games, Season 1946
image pdf (Courtesy of Francis Trainor)
February 1946
NASD News
image pdf (Courtesy FINRA)
February 27, 1946
Memo (partial) from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments to National Advisory Council Working Group on loan application of Italian government
transcript pdf (Courtesy of the National Archives and Records Administration)
March 7, 1946
Letter from Justice Wiley Rutledge to Justice Frank Murphy on North American Co. v. SEC
transcript pdf (Wiley Rutledge Papers, courtesy Library of Congress)
April 4, 1946
Notes from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments of Savannah conference
transcript pdf (Courtesy of the National Archives and Records Administration)
April 10, 1946
Final Report and Recommendations of the Sub-Committee on Marketing of International Bank Securities to Technical Committee of National Advisory Council [page 2 is missing]
transcript pdf (Courtesy of the National Archives and Records Administration)
April 18, 1946
Letter from Doris Farid es Sultaneh to C.V. Riccardi requesting immediate return of property
transcript pdf (Courtesy of the National Archives and Records Administration)
April 18, 1946
Letter from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments to Baldwin B. Bane, Director, SEC Corporation Finance Division on Export-Import Bank
transcript pdf (Courtesy of the National Archives and Records Administration)
May 8, 1946
Letter from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments to SEC Chairman Ganson Purcell with May 3, 1946 draft of United States Foreign Investment Policy
image pdf (Courtesy of the National Archives and Records Administration)
May 10, 1946
Memo from Walter C. Louchheim, Jr., SEC to National Advisory Council Staff Committee on question of civil liabilities in distributing international bank bonds
transcript pdf (Courtesy of the National Archives and Records Administration)
May 16, 1946
Letter from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments to SEC Chairman Ganson Purcell with May 6, 1946 preliminary memo on questions in connection with securities to be issued or guaranteed by the International Bank for Reconstruction and
image pdf (Courtesy of the National Archives and Records Administration)
May 17, 1946
SEC v. Howey Co. - Notes from Associate Justices of U.S. Supreme Court
transcript pdf (Harold H. Burton Papers, courtesy Library of Congress)
June 30, 1946
Twelfth Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1946
NASD News
image pdf (Courtesy FINRA)
July 23, 1946
Letter from David Freeman, Yale Law School to Baker Hostetler & Patterson on research on the investment banking industry
transcript pdf (Courtesy FINRA)
July 25, 1946
Reply letter from Stephen Thayer to David Freeman
transcript pdf (Courtesy FINRA)
July 30, 1946
Arizona Corporation Commission permission to Southwestern Mines, Inc. to issue shares
transcript pdf (Courtesy of the National Archives and Records Administration)
September 1946
NASD News
image pdf (Courtesy FINRA)
September 9, 1946
On Petition for Reargument, U.S. Securities and Exchange Commission v. Transamerica Corporation
document pdf (Courtesy of the estate of Nathan Sameth)
September 16, 1946
Report to the SEC Commission from Walter C. Louchheim, Jr., Adviser on Foreign Investments on the SEC's participation in international economic and financial affairs
transcript pdf (Courtesy of the National Archives and Records Administration)
September 17, 1946
Letter from Walter C. Louchheim, Jr. to Orval L. DuBois, asking that the September 16, 1946 report be distributed to the SEC Commissioners
transcript pdf (Courtesy of the National Archives and Records Administration)
September 23, 1946
Letter from Daniel James to Chief Justice Fred Vinson with appeal in Electric Power & Light Corporation v. SEC
transcript pdf (Wiley Rutledge Papers, courtesy Library of Congress)
September 23, 1946
Proposition from C.V. Riccardi to Princess Farid es Sultaneh
transcript pdf (Courtesy of the National Archives and Records Administration)
October 22, 1946
Bench warrant for arrest of Constantino Vincent Riccardi
image pdf (Courtesy of the National Archives and Records Administration)
October 30, 1946
United States of America v. Constantino Vincent Riccardi - Plea
transcript pdf (Courtesy of the National Archives and Records Administration)
November 1946
NASD News
image pdf (Courtesy FINRA)
November 1946
Notes from Justice Wiley Rutledge on American Power & Light v. SEC
transcript pdf (Wiley Rutledge Papers, courtesy Library of Congress)
November 15, 1946
Review by Justice Wiley Rutledge of Justice Frank Murphy's opinion in American Power & Light v. SEC
transcript pdf (Wiley Rutledge Papers, courtesy Library of Congress)
November 23, 1946
Additions proposed by Justice Felix Frankfurter to Justice Frank Murphy in opinion in American Power & Light v. SEC
transcript pdf (Wiley Rutledge Papers, courtesy Library of Congress)
November 23, 1946
Letter from Justice Felix Frankfurter to Justice Frank Murphy on American Power & Light v. SEC and Electric Power & Light v. SEC
transcript pdf (Frederick Moore Vinson Collection, University of Kentucky)
November 23, 1946
Revisions by Justice Frank Murphy to opinion in American Power & Light v. SEC
transcript pdf (Wiley Rutledge Papers, courtesy Library of Congress)
December 1946
Brief of the U.S. Securities and Exchange Commission, Transamerica Corporation v. SEC, No. 9240; and SEC v. Transamerica Corporation, No. 9259
document pdf (Courtesy of the estate of Nathan Sameth)
December 20, 1946
Letter from Edward Wilcox, American Institute of Accountants to AIA members on review of accounting standards and procedures, with memorandum of examples of inadequate auditing
image pdf (Courtesy of the American Institute of Certified Public Accountants)

201 to 300 of 413 records

Page:

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