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201 to 300 of 851 records

Page:
April 30, 1963
Memo of conference at Bureau of Budget on the SEC's proposed legislative program
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
April 30, 1963
Release of SEC Special Market Study by Willian L. Cary
image pdf
May 6, 1963
Compilation of comments on SEC Special Study from New York Stock Exchange departments
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 6, 1963
Report #1 from Norman C. Miller, New York Stock Exchange on SEC data in Special Study Chapter I
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 14, 1963
Report #2 from Norman C. Miller, New York Stock Exchange on SEC data in Special Study Chapter I
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 15, 1963
Division of Trading and Exchanges to the Commission recommending proceedings against General Securities Company, Incorporated
document pdf (Courtesy of National Archives)
May 15, 1963
Memo from Edward C. Gray, New York Stock Exchange on SEC legislative proposals
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 16, 1963
Report #3 from Norman C. Miller, New York Stock Exchange on SEC data in Special Study Chapter I
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 16, 1963
The S.E.C. and Canadian Operations - Address by Andrew Barr, SEC Chief Accountant to 10th Annual Western Canada Conference on Financial Management and Petroleum Accounting
transcript pdf (AICPA Collection, University of Mississippi)
May 20, 1963
Memorandum on Proposed SEC Regulation as It Will Affect Foreign Securities
image pdf
May 27, 1963
Report #4 from Norman C. Miller, New York Stock Exchange on SEC data in Special Study Chapter I
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 28, 1963
James M. Landis to Manuel F. Cohen questioning prospective legislative changes
document pdf (Courtesy of National Archives)
May 29, 1963
Memo from Phillip S. Hughes to Mr. Feldman on the administration program on SEC legislation
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
May 31, 1963
Memo from A. James Meigs to G. Keith Funston, New York Stock Exchange on review of SEC Special Study Chapter I
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 1963
NASD News
image pdf (Courtesy FINRA)
June 3, 1963
Letter from Harry Heller to SEC Commissioner Manuel F. Cohen on the SEC's legislative proposals
image pdf (Government Records)
June 5, 1963
Letter from Donald I. Rogers, New York Herald Tribune, to SEC Chairman William Cary
image pdf (Government Records)
June 7, 1963
Memo from Walter W. Heller to President Kennedy on possible discussions with top business leaders
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
June 10, 1963
Washington Report of the Association of Stock Exchange Firms
image pdf (Government Records)
June 15, 1963
Memo from Walter W. Heller on milestones in the Kennedy expansion
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
June 18, 1963
Accounting Treatment of Investment Tax Credit on Corporate Financial Statements - By Andrew Barr, SEC Chief Accountant; Presented by Sydney Orbach, Chief Accountant, SEC Division of Corporation Finance
transcript pdf (AICPA Collection, University of Mississippi)
June 24, 1963
Some Common Deficiencies in First Filings and Preparation for Conferences with SEC Staff - Prepared by Sydney Orbach, Chief Accountant, SEC Division of Corporation Finance
transcript pdf (AICPA Collection, University of Mississippi)
June 25, 1963
Financial Reporting Requirements in Regulation A Offerings - Lecture by Edward Epstein, Senior Financial Analyst, SEC New York Regional Office
transcript pdf (AICPA Collection, University of Mississippi)
June 26, 1963
Letter from James M. Landis to U.S. Senator Harrison A. Williams, Jr. in support of SEC legislative proposals
image pdf (Government Records)
June 27, 1963
Courses taken by Pierce Butler, 1884-1888, from Office of Registrar, Carleton College
transcript pdf (With permission of the Pierce Butler Family Papers, Minnesota Historical Society)
June 30, 1963
29th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1963
Disclosure in Summaries of Earnings - Donald J. Hayes, The Arthur Young Journal
image pdf (Courtesy of Donald J. Hayes)
July 1, 1963
Legal Method and the Securities Laws Guide to Securities Law Research (Prepared by Martin Goldman)
document pdf (Courtesy of Roberta Karmel)
July 1, 1963
Legal Method and the Securities Laws Guide to Securities Law Research (Prepared by Martin Goldman)
document pdf (Courtesy of Roberta Karmel)
July 17, 1963
Robert Block to The Rough Notes Company, Inc. regarding completion of forms
document pdf (Courtesy of National Archives)
July 22, 1963
Memo from Ralph Saul, Special Study of Securities Markets to the SEC Chairman on the organization of the Division of Trading and Exchanges
image pdf (Courtesy of the National Archives and Records Administration)
July 26, 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)
July 30, 1963
Memo from G. Keith Funston to New York Stock Exchange Department Heads on "Operation S.E.C."
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
August 5, 1963
Orval DuBois to Senator Maureen Neuberger regarding complaints against the SEC
document pdf (Courtesy of National Archives)
August 10, 1963
Letter from Carl W. Stern to Milton Cohen on the Special Study
image pdf (Government Records)
September 4, 1963
Memo from Ruddick C. Lawrence to G. Keith Funston, New York Stock Exchange on SEC reactions to standards for advertising and market letters
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 5, 1963
Memo from Robert Block to Ralph Saul regarding proposal to adopt a new confirmation rule under 10(b)
transcript 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)
September 17, 1963
Memo from Ruddick C. Lawrence, New York Stock Exchange on preliminary findings of public reaction to SEC Study Report
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 18, 1963
Letter to U.S. Senator Kenneth Keating from George O'Connell, City of Buffalo Comptroller on tax-exempt status of municipal bonds
image pdf (Courtesy of National Archives and Records Administration)
September 20, 1963
Memo from Walter P. North, SEC to Roy R. Coffin, Bureau of the Budget on Part 5 of Special Study Report
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
October 8, 1963
Excerpts from Speech by SEC Chairman William L. Cary before the Financial Executives Institute
image pdf (Courtesy of Stephen A. Zeff)
October 8, 1963
Memo from A.L. Meentemeier, New York Stock Exchange on NYSE visit to the SEC concerning the Special Study
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 8, 1963
Memo from Willard K. Vanderbeck, New York Stock Exchange on NYSE visit to the SEC concerning the Special Study
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 11, 1963
Comments of Certain Wholesale Dealers on Chapter VII of the Report of the Special Study of Securities Markets
image pdf (Courtesy of Milton P. Kroll and Family)
October 14, 1963
Letter from Philip A. Loomis, Jr. to Joe Matters, Legal and Monetary Subcommittee, House Committee on Government Operations
transcript pdf (Courtesy of the National Archives and Records Administration)
October 18, 1963
New York Stock Exchange Memo to Members on review of SEC Special Study
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 18, 1963
The Influence of Government Agencies on Accounting Principles with Particular Reference to the Securities and Exchange Commission - Address by Andrew Barr, SEC Chief Accountant to 37th Annual Michigan Accounting Conference
transcript pdf (AICPA Collection, University of Mississippi)
October 23, 1963
American Institute of Certified Public Accountants Interview of SEC Commissioner William Cary
image pdf (Courtesy of the American Institute of Certified Public Accountants)
November 1, 1963
Letter to U.S. Representative Oren Harris from Eugene Habas, Mutual Investment Fund, Inc. opposing exemption of bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
November 1963
NASD News
image pdf (Courtesy FINRA)
November 1963
New York Stock Exchange Survey of Public Awareness and Reaction to SEC Special Study of Securities Markets
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 6, 1963
Letter from SEC Chairman William L. Cary to G. Keith Funston, New York Stock Exchange on upcoming testimony on floor trading
image pdf (Courtesy of New York Stock Exchange Archives)
November 7, 1963
Memo from James B. Halpern to Charles E. Rickershauser, Jr. regarding suggested 7(f) of the proxy rules
transcript pdf (Courtesy of the National Archives and Records Administration)
November 12, 1963
Memo from Willard K. Vanderbeck, New York Stock Exchange on meeting with SEC concerning the Special Study Report
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 13, 1963
Letter to U.S. Representative Oren Harris from Harry Wade, Advisers Fund, Inc. on proposed exemption of bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
November 13, 1963
Letter to U.S. Representative Oren Harris from Stanford Hyman, Investors Associates, Inc. opposing exemption of bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
November 15, 1963
Letter from G. Keith Funston, New York Stock Exchange to U.S. Representative Oren Harris on analysis of Exchange rules
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 15, 1963
Letter from Senator B. Everett Jordan to SEC Chairman William L. Cary requesting SEC assistance in Bobby Baker investigation
image pdf (Courtesy of the National Archives and Records Administration)
November 20, 1963
Statement of G. Keith Funston, New York Stock Exchange, before the Subcommittee on Commerce and Finance of the House Interstate and Foreign Commerce Committee on HR. 6789, 6793 and S.1642
image pdf (Government Records)
November 21, 1963
Letter from SEC Chairman William L. Cary to Senator B. Everett Jordan
transcript pdf (Courtesy of the National Archives and Records Administration)
November 25, 1963
Memo from Walter W. Heller to President Johnson on the impact of Presidents on stock prices
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
November 26, 1963
Memo from Walter W. Heller to President Johnson suggesting call to Keith Funston
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
November 29, 1963
Letter to U.S. Representative Oren Harris from Jesse Wolcott, Federal Deposit Insurance Corporation on bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
December 1963
R.A. Holman & Co., Inc. v. Securities and Exchange Commission: Statement of the Defendants
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
December 2, 1963
Memorandum on Selling Practices of the American Securities Industry
image pdf
December 3, 1963
Orval DuBois to Senator Kenneth Keating regarding a constituent complaint to the Houston Branch Office
document pdf (Courtesy of National Archives)
December 10, 1963
Letter from U.S. Representative Oren Harris to SEC Chairman William L. Cary asking the scope of the SEC's audit of registered broker-dealers
transcript pdf (Government Records)
December 11, 1963
William Cary to Donald Pearce commending him on retirement as a state regulator
document pdf (Courtesy of National Archives)
December 19, 1963
Report to SEC on study of structure of investment company industry: summary of conclusions and recommendations
image pdf (Courtesy of National Archives and Records Administration)
January 1, 1964
Memo on the SEC’s “Administration of the Securities Act of 1933 and the Securities and Exchange Act of 1934”
document pdf (Courtesy of National Archives)
1964
NASD Annual Report
image pdf (Courtesy FINRA)
1964
NASD Notices to Members
image pdf (Courtesy of FINRA)
1964
Texas Gulf Sulphur earnings graphs
image pdf (Courtesy of the National Archives and Records Administration)
January 16, 1964
Report of the Committee on Federal Employment: The President's Commission on the Status of Women (excerpt)
image pdf (Courtesy of Library of Congress)
January 17, 1964
Letter to U.S. Representative Harley Staggers from G. Keith Funston, New York Stock Exchange on members' connections with non-member business organizations
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
January 23, 1964
Letter from G. Keith Funston, New York Stock Exchange to President Johnson regarding capital gains and dividend taxation
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 1964
NASD News
image pdf (Courtesy FINRA)
February 1964
New York Stock Exchange Study of Floor Trading

(Courtesy of the National Archives and Records Administration)

February 12, 1964
Memorandum from Paul Welch to Marc White
image pdf
March 10, 1964
William Cary to Archibald Cox requesting SEC participation in oral argument in Case v Borak
document pdf (Courtesy of National Archives)
March 15, 1964
Letter from Warren S. Loud to SEC regarding "market riggers"
transcript pdf (Courtesy of the National Archives and Records Administration)
March 16, 1964
Extension of remarks of U.S. Representative Eugene J. Keogh to amend the Internal Revenue Code on municipal industrial development bonds
image pdf (Courtesy of National Archives and Records Administration)
March 16, 1964
Letter from Robert Wideman to SEC Chairman William L. Cary in support of the proposal to abolish floor trading
image pdf (Courtesy of the National Archives and Records Administration)
March 18, 1964
Letter from Arthur W. Gregory, Jr. to SEC, opposing the proposal to abolish floor trading
image pdf (Courtesy of the National Archives and Records Administration)
March 18, 1964
Letter from SEC Chairman William L. Cary to G. Keith Funston and Henry M. Watts, New York Stock Exchange on use of EDP equipment
image pdf (Courtesy of New York Stock Exchange Archives)
March 20, 1964
Letter from G. Keith Funston, New York Stock Exchange to Kenneth O'Donnell on upcoming meeting with President Johnson
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
March 24, 1964
Memo from David Silver to Ralph Saul, SEC Division of Trading and Markets, on New York Stock Exchange floor trading rules
transcript pdf (Courtesy of the National Archives and Records Administration)
March 26, 1964
Letter to U.S. Representative Oren Harris from William McChesney Martin, Jr., Federal Reserve on bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
March 26, 1964
Memo from Walter W. Heller to President Johnson on Secretary of the Treasury Dillon and stock prices
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
April 8, 1964
Letter from Robert H. Mundheim, Duke University, to Manuel F. Cohen
image pdf (Government Records)
April 13, 1964
William Cary to Keith Funston on automated surveillance of the NYSE
document pdf (Courtesy of National Archives)
April 16, 1964
Letter to Orval DuBois, SEC From G. Keith Funston, New York Stock Exchange in opposition to proposed changes to financial statements
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
April 21, 1964
Memo from Carl Schneider on Codification of Securities Laws
document pdf (Courtesy of Carl Schneider)
April 27, 1964
Report to the President of the United States from the Task Force on Promoting Increased Foreign Investment in U.S. Corporate Securities and Increased Foreign Financing for U.S. Corporations Operating Abroad
image pdf (Government Records)
May 1964
R.A. Holman & Co., Inc. v. Securities and Exchange Commission: Brief for Appellees
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
May 2, 1964
Allan F. Conwill to Senator Gordon Allott regarding a constituent complaint to the Denver Regional Office
document pdf (Courtesy of National Archives)
May 19, 1964
Memo from Stan West to Edward C. Gray, New York Stock Exchange on SEC statistical requests re specialists' activity
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 1964
Mutual Fund Retailing: Aspects of Market Structure and Dealer Operations, by Meyer Eisenberg and Dennis J. Lehr
document pdf (Courtesy of Paul Gonson)
June 9, 1964
Statement of Henry Harfield, First National City Bank of New York before the House Committee on Interstate and Foreign Commerce on bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)

201 to 300 of 851 records

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