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101 to 200 of 851 records

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December 21, 1961
The Administration of the Investment Company Act
image pdf (Courtesy of National Archives and Records Administration)
December 27, 1961
Memo from J. William O'Reilly, New York Stock Exchange on call from Bob Bretz, SEC
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 27, 1961
Memo from Willard K. Vanderbeck, New York Stock Exchange on visit of Milton Cohen
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
Early 1960s
Instructional Manual, The Securities Act of 1933, prepared by Irene Duffy, Newton Feldman and George Parlin, New York Regional Office, U.S. Securities and Exchange Commission
document pdf (Government Records)
1962
NASD Annual Report
image pdf (Courtesy FINRA)
January 9, 1962
Letter from U.S. Senator J. Glenn Beall to SEC Chairman William L. Cary requesting information on fraudulent activities of savings and loans associations
transcript pdf (Government Records)
January 12, 1962
William Cary to Senator Karl Mundt regarding Robert Davenport commendation
document pdf (Courtesy of National Archives)
January 15, 1962
Letter from Everett Reese, The City National Bank & Trust Company of Columbus, to SEC Chairman William L. Cary regarding directorship
image pdf (Courtesy of the National Archives and Records Administration)
January 18, 1962
Business Combinations and Other Financial Reporting Problems - Address by Andrew Barr, SEC Chief Accountant
transcript pdf (AICPA Collection, University of Mississippi)
February 1, 1962
William Cary to Samuel Duryee regarding James Hallisey and the Special Study
document pdf (Courtesy of National Archives)
February 6, 1962
Memo from SEC Chairman William L. Cary to President Kennedy on the January 6th Staff Report on the investigation of the American Stock Exchange
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
February 8, 1962
Memo from SEC Chairman William L. Cary to Philip A. Loomis, Jr., SEC Division of Trading and Exchanges, on NASD listing requirements
transcript pdf (Courtesy of the National Archives and Records Administration)
February 13, 1962
Reply from Everett Reese, The City National Bank & Trust Company of Columbus, to SEC Chairman William L. Cary regarding denial of directorship
image pdf (Courtesy of the National Archives and Records Administration)
February 16, 1962
Cover letter for questionnaire from Milton Cohen to New York Stock Exchange specialists
image pdf
March 6, 1962
Accounting Problems of First-Time Registration Statements - Address by Sydney Orbach, Chief Accountant, SEC Division of Corporation Finance to Georgia Society of CPAs
transcript pdf (AICPA Collection, University of Mississippi)
March 6, 1962
Letter from David Ferber, U.S. Securities and Exchange Commission to Judges, U.S. Court of Appeals for the Second Circuit on SEC v. Capital Gains Research Bureau, Inc. and Harry P. Schwarzmann
image pdf (Thurgood Marshall Papers, courtesy Library of Congress)
March 6, 1962
Letter from Milton H. Cohen, Director, Special Study of Securities Markets, to Broker-Dealers requesting information
transcript pdf (Government Records)
March 12, 1962
Memo from Mollie Zion to Manuel Cohen on turnover among attorneys in the Division of Corporation Finance
transcript pdf (Courtesy of the estate of Mollie B. Zion)
April 1, 1962
April 1962 SEC Organization Chart
document pdf (Courtesy of National Archives)
April 9, 1962
A New Look at Management Responsibility - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
April 11, 1962
Memorandum from the Division of Trading and Exchanges regarding a Deming, New Mexico municipal bond issue
document pdf (Courtesy of National Archives)
April 16, 1962
Letter from Milton H. Cohen, Director of the Special Study of Securities Markets, introducing questionnaire to firms on selection, training and supervision of salesmen
image pdf (Government Records)
April 23, 1962
Staff orientation to the SEC's work, presented by Mollie Zion
transcript pdf (Courtesy of the estate of Mollie B. Zion)
April 25, 1962
Report on Conference on the Wharton School Study between the SEC and the Wharton School
transcript pdf (Government Records)
May 1962
"Our Securities Markets _ Some S.E.C. Problems and Techniques" - by Paul Windels, Jr., New York Law Forum
image pdf (Courtesy of Paul Windels, Jr., with permission of the New York Law School)
May 2, 1962
Official Report of Proceedings before the Securities and Exchange Commission in the matter of Special Study of Securities Markets
image pdf (Courtesy of National Archives and Records Administration)
May 3, 1962
Letter from Richard H. Paul to Wallace Fulton
image pdf
May 10, 1962
Memo from J. William O'Reilly, New York Stock Exchange on telephone meeting with Fred Siesel
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 14, 1962
Memorandum from Donald L. Benson to Wallace Fulton
image pdf
May 17, 1962
Cover letter for questionnaire from Milton Cohen
image pdf
May 22, 1962
Opening Statement by Mr. Avery Rockefeller, Jr., Chairman of the Board of Governors, National Association of Securities Dealers, Inc.
image pdf
May 24, 1962
Follow-up letter from Wallace Fulton regarding SEC questionnaire
image pdf
May 28, 1962
Letter from Mrs. Alfred E. Norris to President Kennedy expressing her concerns about the stock market
image pdf (Courtesy of the John F. Kennedy Presidential Library)
May 28, 1962
Memo from Walter W. Heller to President Kennedy on the market
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
May 29, 1962
Letter from SEC Chairman William L. Cary to Walter W. Heller recommending alternate language on the SEC market study in "The Present Decline in Perspective"
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
May 29, 1962
Memo from John Kenneth Galbraith to President Kennedy advising White House action on the stock market decline
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
May 29, 1962
Memo from McGeorge Bundy to President Kennedy advising White House action on the stock market decline
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
May 29, 1962
Postcard from George R. Brown to President Kennedy
transcript pdf (Courtesy of the National Archives and Records Administration)
May 29, 1962
Report from the Council of Economic Advisers: The Present Decline in Perspective
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
May 31, 1962
Telegram from G. Keith Funston, New York Stock Exchange to SEC Chairman William L. Cary protesting SEC statements
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 1962
NASD News
image pdf (Courtesy FINRA)
June 4, 1962
William Cary to Representative Elmer J. Holland with memorandum regarding complaint against Energetics, Inc.
document pdf (Courtesy of National Archives)
June 5, 1962
Letter from SEC Chairman William L. Cary to Timothy J. Reardon, Jr., The White House with report on securities regulation developments during May 1962
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
June 6, 1962
Memo from SEC Chairman William L. Cary to Walter W. Heller on the study of the market during the period of May 28, 1962
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
June 11, 1962
William Cary to Senator Paul Douglas with memo regarding Glory Hole, Inc. investigation
document pdf (Courtesy of National Archives)
June 12, 1962
Response Letter from Walter W. Heller to SEC Chairman William L. Cary on the study of the market during the period of May 29, 1962
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
June 14, 1962
Postcard from W.F. Callaway to President Kennedy
transcript pdf (Courtesy of the National Archives and Records Administration)
June 18, 1962
Letter from Walter W. Heller to SEC Chairman William L. Cary on the status of the stock market
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
June 30, 1962
28th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 5, 1962
Letter from Ralph A. Dungan, The White House to Mrs. Alfred E. Norris on the stock market decline
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
July 9, 1962
Letter from Irwin Friend, Securities Research Unit, The Wharton School to the SEC transmitting the mutual funds study
image pdf (Government Records)
July 11, 1962
Letter from Milton Cohen, SEC to G. Keith Funston, New York Stock Exchange requesting information for the Special Study
image pdf (Courtesy of New York Stock Exchange Archives)
July 24, 1962
Memo from J. William O'Reilly, New York Stock Exchange on Benjamin Einhorn's meeting with the Special Study group
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
July 25, 1962
Letter from Carl L. Shipley, Chairman of the Republican State Committee for the District of Columbia, to Timothy J. Reardon, Jr., The White House, in protest of the study of mutual funds
image pdf (Government Records)
August 1962
A Study of Mutual Funds, Prepared for the Securities and Exchange Commission by the Wharton School of Finance and Commerce (The Wharton Report)

(Government Records)

August 3, 1962
Llewellyn Young to William Carey on the reorganization of the New York Regional Office
image pdf (Courtesy of the National Archives and Records Administration)
August 8, 1962
Memo from J.J. Donohue, New York Stock Exchange on Charles H. Jewett's meeting with the SEC
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
August 28, 1962
Summary of Over-the-Counter Interviews by Eugene Rotberg to Milton H. Cohen, Ralph S. Saul, Richard H. Paul and Herbert G. Schick
document pdf (Courtesy of Eugene Rotberg)
September 1962
Donald Chumley to Thomas Rae on broker-dealer and investment adviser complaints
image pdf (Courtesy of the National Archives and Records Administration)
September 5, 1962
Memo from Willard K. Vanderbeck, New York Stock Exchange on visit of Fred Siesel, SEC Special Study Group
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 29, 1962
SEC Order directing investigation and study and designating officers to take testimony in the matter of investment companies registered under the Investment Company Act of 1940
image pdf (Government Records)
October 17, 1962
B.A. Monaghan to William Green invitation to talk on “The Function of the Regional Administrator”
document pdf (Courtesy of National Archives)
October 21-25, 1962
Business and the Federal Government - Remarks by Bryce N. Harlow
transcript pdf (Courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
October 29, 1962
William Cary to Senator John A. Carroll regarding recent changes in administrative rules
document pdf (Courtesy of National Archives)
October 30, 1962
Office of Tax Analysis, Treasury Department: Removal of the Tax Exemption Privilege for Interest on Municipal Industrial Bonds
transcript pdf (Courtesy of National Archives and Records Administration)
November 1, 1962
Archibald Cox to William Cary on SEC v Capital Gains Research Bureau, Inc.
document pdf (Courtesy of National Archives)
November 1962
NASD News
image pdf (Courtesy FINRA)
November 2, 1962
William Cary to Archibald Cox on SEC v Capital Gains Research Bureau, Inc.
document pdf (Courtesy of National Archives)
November 16, 1962
Letter from G. Keith Funston, New York Stock Exchange to Milton H. Cohen, SEC
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 16, 1962
Thomas B. Hart to Representative Roy Taylor regarding a constituent complaint against J.W. Russell & Co.
document pdf (Courtesy of National Archives)
December 10, 1962
Peter A. Dammann to Commission with memo regarding SBA official attempt to influence an SEC matter
document pdf (Courtesy of National Archives)
December 17, 1962
Memorandum of Telephone Call from Lewis Godwin to the White House, advising that the Soviet Union may be planning military maneuvers in Cuba, possibly for the purpose of affecting the New York Stock Exchange
image jpg (Courtesy of the John F. Kennedy Presidential Library)
December 18, 1962
Letter from James J. Saxon, Comptroller of the Currency, to SEC Chairman William L. Cary on statements made by Charles Shreve
transcript pdf (Government Records)
December 20, 1962
Letter from Thomas Graham to John Hess
image pdf
December 24, 1962
Reply letter to Hon. Oren Harris from Thomas Graham
image pdf
1963
NASD Annual Report
image pdf (Courtesy FINRA)
1963
Reflections by Milton Cohen on the Special Study of Securities Markets, presented at the Practising Law Institute, New York City
document pdf (Courtesy of Milton Cohen)
1963
SEC Special Study of the Securities Markets

(Courtesy of Stuart Kaswell; made possible through a gift from the family of Milton H. Cohen)

1963
Telegram from H.L. Froy to Wallace Fulton
image pdf
January 3, 1963
Ralph Saul to Representative Thomas P. Gill on requiring the Honolulu Stock Exchange to register as an SRO
document pdf (Courtesy of National Archives)
January 11, 1963
James J. Saxon to William Cary on banks and collective investment of fiduciary funds
image pdf (Courtesy of National Archives)
January 16, 1963
Memo to SEC Commission from Division of Corporation Regulation on exchange or swap funds
transcript pdf (Courtesy of National Archives and Records Administration)
January 18, 1963
Memorandum of a Conference with Senator Clinton P. Anderson regarding Deming, New Mexico municipal bonds
document pdf (Courtesy of National Archives)
January 23, 1963
William Cary to Bernard L. Boutin requesting additional space for the SEC
document pdf (Courtesy of National Archives)
February 5, 1963
Address of SEC Commissioner Jack M. Whitney II before the Washington Society of Investment Analysts
image pdf (Courtesy of Stephen A. Zeff)
February 7, 1963
Letter from SEC Chairman William L. Cary to the Secretary of the Treasury on statements made by James J. Saxon
transcript pdf (Government Records)
February 27, 1963
Green Shoe Company Public Offering
image pdf (Courtesy of Bruce S. Foerster)
March 1, 1963
March 1, 1961 SEC Organization Chart
document pdf (Courtesy of National Archives)
March 1, 1963
Press release announcing complaint enjoining General Securities Company, Incorporated
document pdf (Courtesy of National Archives)
March 8, 1963
Compromise and Democracy: Legislative Action - Bryce N. Harlow
transcript pdf (Courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
March 22, 1963
Recommendation from SEC Commissioner Manuel Cohen to Harry Pollack, Office of Personnel, for increase in pay grade for Mollie Zion
transcript pdf (Courtesy of the estate of Mollie B. Zion)
March 23, 1963
Financial Statements - How Reliable? - Address by Andrew Barr, SEC Chief Accountant
transcript pdf (AICPA Collection, University of Mississippi)
April 1963
NASD News
image pdf (Courtesy FINRA)
April 3, 1963
SEC Release No. 22 on the Special Market Study: Chapter III, Selling Practices
image pdf (Government Records)
April 5, 1963
Letter from U.S. Representative Oren Harris, Committee on Interstate and Foreign Commerce, to SEC Chairman William Cary
document pdf (Courtesy of Milton Cohen)
April 4, 1963
Memo of discussion between Joseph Reeve and Walter P. North on the SEC's legislative program
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
April 18 and 19, 1963
Memo of discussion between Joseph Reeve and Walter P. North on the SEC's legislative proposals
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
April 24, 1963
Memorandum of Conference with Industry Representatives regarding the Commission's Legislative Program
image pdf (Government Records)
April 25, 1963
Letter from Louis Loss to SEC Chairman William L. Cary on the SEC's legislative proposals
image pdf (Government Records)
April 25, 1963
Memo from G. Keith Funston to the New York Stock Exchange Board of Governors on SEC legislative program
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

101 to 200 of 851 records

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