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June 15, 1964: William Cary to Representative Compton White with a memo regarding Regulation A offerings from 1945 to 1963
document pdf (Courtesy of National Archives)
June 17, 1964: James E. Newton to William Cary reporting on a meeting with Hamer Budge
document pdf (Courtesy of National Archives)
June 22, 1964: Memo from Ralph A. Dungan to President Johnson on preparation of Hamer Budge for Senate confirmation hearing
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
June 23, 1964: Government - Industry Relations: Securities and Exchange Commission and Corporate Securities Regulation - Address by SEC Commissioner Byron Woodside to National Association of Accountants
transcript pdf (AICPA Collection, University of Mississippi)
June 29, 1964: Consolidated Financial Statements: Question of Valuation - Discussion prepared for Arbeitskreis der Wirtschaftsprufungs-Aktiengesellschaften by Andrew Barr, SEC Chief Accountant
transcript pdf (AICPA Collection, University of Mississippi)
June 30, 1964: 30th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 13 ,1964: Letter from G. Keith Funston, New York Stock Exchange to President Johnson on SEC appointments of Manuel Cohen and Francis Wheat
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
July 14, 1964: Letter from John S.R. Shad, E.F. Hutton & Co. to President Johnson on appointment of Manuel Cohen as SEC Chairman
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
July 16, 1964: Memo from Walter W. Heller to President Johnson on impact of candidacy of Barry Goldwater on the stock market
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
August 4, 1964: Memo from Walter W. Heller to President Johnson on Barry Goldwater's impact on the stock market
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
August 20, 1964: Amendments of the Securities Act of 1933
image pdf (Courtesy of the Library of Congress)
August 21, 1964: SEC Memorandum to Staff on President Johnson's Comments upon Signing S.1642 - Securities Acts Amendments of 1964
image pdf (Government Records)
August 26, 1964: Memo from Marc White to Robert Haack on arbitration
image pdf (Courtesy FINRA)
September 1, 1964: Current Developments at the SEC - Address by SEC Chairman Manuel Cohen to American Accounting Association
transcript pdf (AICPA Collection, University of Mississippi)
September 1964: NASD News
image pdf (Courtesy FINRA)
September 14, 1964: Memo from David Silver to SEC Chairman Cohen re Mr. Funston's Charges of Commission Staff Misconduct
image pdf (Courtesy of David Silver)
September 24, 1964: New York Stock Exchange Press Release: Specialist System
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 1964: NASD News - Special Report
image pdf (Courtesy FINRA)
October 1964: SEC Telephone Directory
image pdf (Courtesy of Morton Koeppel)
October 9, 1964: SEC 30th Anniversary Celebration Invitation
image pdf (Courtesy of the estate of Mollie B. Zion)
October 9, 1964: SEC 30th Anniversary Dinner Guest List
image pdf (Courtesy of Morton Koeppel)
November 27, 1964: Memo from William T. Dolan to Ralph S. Saul, SEC Division of Trading and Markets on purchase by a corporation of its own shares
transcript pdf (Courtesy of Fred Siesel)
December 1964: Memo for Justice William Brennan on SEC v. American Trailer Rentals Co.
image pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
December 1964: SEC Employee Bulletin
image pdf (Courtesy of the estate of Mollie B. Zion)
December 14, 1964: Memo from Jeffrey D. Bauman on legislative history of the problem of requiring issuers of foreign securities traded over-the-counter to comply with disclosure requirements of the Securities Exchange Act of 1934
image pdf (Courtesy of the National Archives and Records Administration)
1965: NASD Annual Report
image pdf (Courtesy FINRA)
1965: NASD Notices to Members
image pdf (Courtesy of FINRA)
January 1965: Regulation of the Indian Stock Markets: A Preliminary Survey, by Norman S. Poser and David Silver
image pdf (Courtesy of Norman S. Poser)
1965: Texas Gulf Sulphur - Teletype regarding Directors Stephens and Fogarty reactions to SEC investigation of insider dealings
image pdf (Courtesy of the National Archives and Records Administration)
1965: William Moran to Manuel Cohen rebutting the Task Force Report on the New York Regional Office
image pdf (Courtesy of the National Archives and Records Administration)
January 28, 1965: Letter from Edmund H. Worthy, SEC Division of Corporation Finance to Colonal B.F. Chadwick on Chicago Rock Island and Pacific Railroad Co.
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 5, 1965: Memo from Otto Eckstein to President Johnson: Is the Stock Market Too High?
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 8, 1965: Loring R. Hoover v. George E. Allen: Supplemental Memorandum of the Securities and Exchange Commission, Amicus Curiae
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 8, 1965: Memo to Mr. Stone from Mr. Javaras on advance refunding of state and local tax exempt obligations
transcript pdf (Courtesy of National Archives and Records Administration)
February 10, 1965: SEC staff poem to Manuel Cohen during his recuperation
image pdf (Courtesy of the estate of Mollie B. Zion)
February 25, 1965: Letter from Jack Valenti to Gaston Shumate on remarks made by Philip Loomis, Jr.
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 25, 1965: Protest to Secretary of the Treasury C. Douglas Dillon from Joseph Hamrick, Commonwealth of Virginia on statement on use of tax-exempt industrial bonds
image pdf (Courtesy of National Archives and Records Administration)
March 10, 1965: Letter to U.S. Representative Thomas Curtis from Secretary of the Treasury C. Douglas Dillon on municipal industrial development bonds
transcript pdf (Courtesy of National Archives and Records Administration)
March 12, 1965: Memo to SEC Commission from Office of the General Counsel with references in Congressional hearings pertinent to Investment Company Report
transcript pdf (Courtesy of National Archives and Records Administration)
March 16, 1965: Memo to SEC Commission from Philip Loomis with summary of report on mutual funds
transcript pdf (Courtesy of National Archives and Records Administration)
March 23, 1965: Reply to Joseph Hamrick, Commonwealth of Virginia from Stanley Surrey, Department of the Treasury
image pdf (Courtesy of National Archives and Records Administration)
March 24, 1965: Memo by Maxwell Kaufman on trends in financial disclosures of foreign companies
image pdf (Courtesy of the National Archives and Records Administration)
March 26, 1965: Memo from Edmund P. Shevlin to Abraham Zwerling on legislative and administrative history of the status of foreign securities under the reporting, registration, proxy and insider trading provisions of the Securities Exchange Act
image pdf (Courtesy of the National Archives and Records Administration)
March 31, 1965: Letter to U.S. Senator Mike Mansfield from Secretary of the Treasury C. Douglas Dillon on municipal industrial development bonds
transcript pdf (Courtesy of National Archives and Records Administration)
April 1965: The Constitution, the Courts, the Citizens - Draft article by Justice William O. Douglas for Think magazine
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
April 2, 1965: Rebuttal to Stanley Surrey, Department of the Treasury from Joseph Hamrick, Commonwealth of Virginia
image pdf (Courtesy of National Archives and Records Administration)
April 22, 1965: Telegrams regarding the SEC-Texas Gulf Sulphur suit
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 29, 1965: "Trends in Financial Reporting" - Address by SEC Chief Accountant Andrew Barr before the 19th Annual Conference of Accountants
image pdf (Courtesy of Stephen A. Zeff)
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)
May 1965: Heli-Coil Corporation v. Reginald Webster: Brief for the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
May 1965: NASD News
image pdf (Courtesy FINRA)
May 1965: Report of Special Committee on Opinions of the Accounting Principles Board (Seidman Committee)
image pdf (Courtesy of the American Institute of Certified Public Accountants)
May 4, 1965: Memo from Bill Moyers to Marvin Watson on upcoming New York Stock Exchange visit with President Johnson
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
May 19 1965: General Counsel to the Commission re: the Texas Gulf Sulphur Suit
image pdf (Courtesy of the National Archives and Records Administration)
May 28, 1965: Letter from Mollie Zion to Manuel Cohen, advising him to take care of his health
transcript pdf (Courtesy of the estate of Mollie B. Zion)
June 2, 1965: Letter and Statement from SEC Chairman Manuel F. Cohen to U.S. Representative Wright Patman on HR 7372
image pdf (Government Records)
June 10, 1965: Memo from David Silver, Special Counsel to Director, Division of Trading and Markets, to Solomon Freedman, Director, SEC Division of Corporate Regulation, re Proxy Statement of United Funds
image pdf (Courtesy of David Silver)
June 15, 1965: Memo from Gardner Ackley to President Johnson on the stock market
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
June 17, 1965: Letter to SEC Chairman Manuel Cohen from G. Keith Funston, New York Stock Exchange on response to rumor concerning President Johnson's health
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
April 19, 1965: Telegram announcing SEC civil action against Texas Gulf Sulphur
image pdf (Courtesy of the National Archives and Records Administration)
June 25, 1965: Letter from John O'Brien, Investor Diversified Services, Inc. to President Johnson asking him to address "Mr. Average Investor"
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
June 29, 1965: Letter to President Lyndon Johnson from G. Keith Funston, New York Stock Exchange on results of census of shareowners
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
June 30, 1965: 31st Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1965: John V. Holmes v. William L. Cary: Brief of Defendants - Appellees
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 1965: Securities and Exchange Commission v. Charles Y. Higashi: Brief of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 7, 1965: Manuel Cohen memo on the establishment of a task force to review the Commission’s operations
image pdf (Courtesy of the National Archives and Records Administration)
July 14, 1965: Letter to SEC Chairman Manuel Cohen from G. Keith Funston, New York Stock Exchange with draft handbook for directors
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
July 21, 1965: Llewellyn Young to Manuel Cohen on cost reduction in the New York Regional Office
image pdf (Courtesy of the National Archives and Records Administration)
July 23, 1965: Alexander Brown to Manuel Cohen on cost reduction in the Washington Regional Office
image pdf (Courtesy of the National Archives and Records Administration)
July 23, 1965: Arthur Pennekamp to Manuel Cohen on cost reduction in the San Francisco Regional Office
image pdf (Courtesy of the National Archives and Records Administration)
July 23, 1965: Memo on Boston Regional Office cost reduction program
image pdf (Courtesy of the National Archives and Records Administration)
July 26, 1965: Manuel Cohen to William Green accepting cost reduction report of the Atlanta Regional Office (attached)
image pdf (Courtesy of the National Archives and Records Administration)
August 1965: NASD News
image pdf (Courtesy FINRA)
August 12, 1965: Memo from Gardner Ackley to President Johnson on the Dow-Jones Index
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
August 26, 1965: Letter from David M. Satz, Jr. with death certificate of Constantino Vincent Riccardi
image pdf (Courtesy of the National Archives and Records Administration)
September 1965: John V. Holmes v. Jay Eddy, Securities and Exchange Commission: On Petition for a Writ of Certiorari, Memorandum for the Respondents
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
September 2, 1965: Acknowledgement to SEC Chairman Manuel Cohen from G. Keith Funston, New York Stock Exchange for comments on draft handbook for directors
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
September 3, 1965: Task Force Report on Cost Reduction Study of the New York Regional Office
image pdf (Courtesy of the Investment Company Institute)
September 27, 1965: Letter from U.S. Senator Harrison A. Williams, Jr. to SEC Chairman Manuel F. Cohen
image pdf (Government Records)
October 5, 1965: Memo to Irving Pollack, SEC Division of Trading and Markets, from Edmund Worthy on preliminary proxy statements
transcript pdf (Courtesy of National Archives and Records Administration)
October 20, 1965: Letter to SEC Chairman Manuel Cohen from G. Keith Funston, New York Stock Exchange with revised draft handbook for directors
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
October 21, 1965: Memo from Robert Haack to NASD members on questionnaire
image pdf (Courtesy FINRA)
November 1965: Securities and Exchange Commission v. Arthur Andersen & Co. and McGladrey, Hansen, Dunn, Flatley & Pressler: Brief of the SEC in Support of the Motion to Dismiss or Summarily Affirm the Above Appeals
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
November 1965: The Corporate Director and The Investing Public - New York Stock Exchange (Part I Exchange Viewpoints)
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
November 17, 1965: General Counsel to the Commission on Texas Gulf Sulphur suit
image pdf (Courtesy of the National Archives and Records Administration)
November 18, 1965: A Review of the Commission's Administrative Policies Relating to Financial Reporting under the Securities Acts - Address by SEC Commissioner Byron Woodside to 4th Annual Accounting Forum of Hayden, Stone, Inc.
transcript pdf (AICPA Collection, University of Mississippi)
November 19, 1965: The Changing Economy: Corporations Big and Small - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
November 22, 1965: General Counsel to the Commission on Texas Gulf Sulphur suit
image pdf (Courtesy of the National Archives and Records Administration)
November 23, 1965: Memo from Joe Califano to Henry Wilson and Mike Manatos on SEC Chairman Cohen's mutual funds legislative proposal
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
November 24, 1965: General Counsel to the Commission on Texas Gulf Sulphur suit
image pdf (Courtesy of the National Archives and Records Administration)
November 24, 1965: Memo to John Lesniewski from R.F. Burke, New York Stock Exchange requesting information for J. William O'Reilly's presentation at the SEC and the Federal Reserve Board
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 30, 1965: Memo from J. William O'Reilly of meeting with SEC staff concerning financing of specialist accounts
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 1965: A Preliminary Survey of the Brazilian Stock Markets, by Norman S. Poser and Allan R. Roth
image pdf (Courtesy of Norman S. Poser)
December 6, 1965: Notes on SEC v. New England Electric System et al.
image pdf (William O. Douglas Papers, courtesy Library of Congress)
December 17, 1965: Letter from Carl L. Shipley to SEC Chairman Manuel F. Cohen on S 2704
image pdf (Government Records)
December 30, 1965: Memorandum of Conference between Dorsey Richardson and Robert L. Augenblick, Investment Company Institute, and Manuel F. Cohen and Leonard M. Leiman, SEC
image pdf (Government Records)
1966: Bank Holding Company Act of 1956 Amendments (Public Law No. 89-485); Section 202 of IAA amended; Section 3(c) of ICA amended
document pdf (Government Records)
1966: NASD Annual Report
image pdf (Courtesy FINRA)
January 1966: NASD News
image pdf (Courtesy FINRA)

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