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401 to 500 of 851 records

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1966
NASD Notices to Members
image pdf (Courtesy of FINRA)
January 3, 1966
Letter from Louis Wolfson to Justice Abe Fortas on appointment as adviser to Wolfson Family Foundation
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
January 8, 1966
Letter from SEC Chairman Manuel Cohen to Richard Walbert, NASD on current "hot issue" period
transcript pdf (Courtesy FINRA)
January 10, 1966
Acceptance letter from Justice Abe Fortas to Wolfson Family Foundation
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
February 1, 1966
Letter from Wolfson Family Foundation to Justice Abe Fortas outlining role of adviser
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
February 14, 1966
Memo to SEC Commission from Division of Corporation Regulation on disclosure in proxy statements and prospectuses of practices followed by investment companies
transcript pdf (Courtesy of National Archives and Records Administration)
March 3, 1966
Memo from Rotberg to Commission re NYSE Rate Structure
image pdf (Courtesy of the National Archives and Records Administration)
March 12, 1966
Protest Letter from J.E. Hammers to the U.S. Congress
image pdf (Government Records)
March 31, 1966
Manuel Cohen memo to Regional Administrators regarding cooperation with State Authorities
image pdf (Courtesy of the National Archives and Records Administration)
April 1966
Suggestions to Justice William O. Douglas on SEC v. New England Electric System et al.
image pdf (William O. Douglas Papers, courtesy Library of Congress)
April 15, 1966
Notice to dissent from Justice John M. Harlan on SEC v. New England Electric System
image pdf (Earl Warren Papers, courtesy Library of Congress)
April 19, 1966
Note from Justice William Brennan to Justice William O. Douglas on SEC v. New England Electric System et al.
image pdf (William O. Douglas Papers, courtesy Library of Congress)
April 29, 1966
Securities and Exchange Commission, Plaintiff against Texas Gulf Sulphur Company, et al. - Trial Memorandum for defendant Francis G. Coates
image pdf (Courtesy of Donald Strauber)
April 1966
Memo to SEC Commission from Division of Corporation Regulation on different methods used by investment companies to compute fees
image pdf (Courtesy of National Archives and Records Administration)
May 1966
R.A. Holman & Co., Inc. against Securities and Exchange Commission: Brief of the Securities and Exchange Commission
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
May 2, 1966
Memo from Buck to Budge re “Commission’s position on give-ups and volume discount of brokerage commissions”
image pdf (Courtesy of the National Archives and Records Administration)
May 3, 1966
Telegram regarding Texas Gulf Sulphur case
image pdf (Courtesy of the National Archives and Records Administration)
May 11, 1966
Memo from Mollie Zion to Manuel Cohen on the oversight of the library and file system assembled by Mr. Cohen
transcript pdf (Courtesy of the estate of Mollie B. Zion)
May 16, 1966
Memo from Harry Pollack to Chairman Cohen denying upgrade of Mollie Zion's position
transcript pdf (Courtesy of the estate of Mollie B. Zion)
May 17, 1966
Memo from Dorsey Richardson to ICI Board of Governors concerning New York Times articles
image pdf (Government Records)
May 19, 1966
Letter from Cohen to Funston re proposed changes in commission rate structure of the NYSE
image pdf (Courtesy of the National Archives and Records Administration)
May 19, 1966
Memo to James Dowd, SEC Boston Regional Ofice from Sydney Mendelsohn, Division of Corporate Regulation on speculative or "hedge" funds
transcript pdf (Courtesy of National Archives and Records Administration)
May 19, 1966
Memo to Llewellyn Young, SEC New York Regional Ofice from Sydney Mendelsohn, Division of Corporate Regulation on speculative or "hedge" funds
transcript pdf (Courtesy of National Archives and Records Administration)
May 19, 1966
Memo to Thomas Hart, SEC Chicago Regional Ofice from Sydney Mendelsohn, Division of Corporate Regulation on speculative or "hedge" funds
transcript pdf (Courtesy of National Archives and Records Administration)
June 21, 1966
Letter from G. Keith Funston, New York Stock Exchange to SEC Chairman Manuel Cohen
document pdf (Courtesy of Eugene Rotberg)
May 23, 1966
Memo from Pollack to Commission re Give-up rules
image pdf (Courtesy of the National Archives and Records Administration)
May 24, 1966
Address by SEC Chairman Manuel Cohen to 19th Annual Conference of Financial Analysts Federation
transcript pdf (AICPA Collection, University of Mississippi)
May 24, 1966
Address by SEC Chairman Manuel F. Cohen before the 19th Annual Conference of the Financial Analysts Federation
image pdf (Courtesy of Stephen A. Zeff)
June 1966
NASD News
image pdf (Courtesy FINRA)
June 13, 1966
Milton Cohen to Manuel Cohen on IOS and Fund of Funds, Ltd.
image pdf (Courtesy of the National Archives and Records Administration)
June 22, 1966
Memo from Edward Gilleran on cooperative arrangements with New York Stock Exchange and other exchanges
image pdf (Courtesy FINRA)
June 28, 1966
Address by SEC Chairman Manuel F. Cohen before American Society of Corporate Secretaries
document pdf (Courtesy of William Joseph)
June 30, 1966
32nd Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
June 30, 1966
Letter from Irving M. Pollack, SEC Division of Trading and Markets, to John Birmingham, New York Stock Exchange
document pdf (Courtesy of Eugene Rotberg)
June 30, 1966
Memo from Gardner Ackley to President Johnson on the stock market decline
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
July 5, 1966
Securities and Exchange Commission, Plaintiff against Texas Gulf Sulphur Company, et al. - Post-Trial Memorandum for defendant Francis G. Coates
image pdf (Courtesy of Donald Strauber)
July 28, 1966
Letter from Phelan to Rotberg re Give-ups
image pdf (Courtesy of the National Archives and Records Administration)
August 8, 1966
Letter from John Birmingham, New York Stock Exchange, to Irving M. Pollack, SEC Division of Trading and Markets
document pdf (Courtesy of Eugene Rotberg)
August 10, 1966
Division of Trading and Markets to the Commission on Investors Overseas Services
image pdf (Courtesy of the National Archives and Records Administration)
August 8, 1966
Texas Gulf Sulphur Opinion (Judge Bonsal)
document pdf (Courtesy of Roberta Karmel)
August 22, 1966
Letter of Protest from C.H. Goppert to President Johnson on government spending
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
August 30, 1966
Office of General Counsel Memo re Texas Gulf Sulphur Opinion
document pdf (Courtesy of Roberta Karmel)
August 30, 1966
Office of General Counsel Memo re Texas Gulf Sulphur Opinion
document pdf (Courtesy of Roberta Karmel)
September 20, 1966
Letter from SEC Chairman Manuel Cohen to G. Keith Funston, New York Stock Exchange
document pdf (Courtesy of Eugene Rotberg)
October 5, 1966
Address by SEC Chairman Manuel F. Cohen before the 79th AICPA Annual Meeting
image pdf (Courtesy of Stephen A. Zeff)
October 17, 1966
Memo from William E. Becker on AID request for the SEC to receive S.U. Durrani of Pakistan
image pdf (Courtesy of the National Archives and Records Administration)
October 28, 1966
Memorandum from David L. Ratner to SEC Chairman Manuel Cohen on Takeover Bid Legislation
document pdf (Courtesy of David Ratner)
November 16, 1966
Institutional Investing and the Securities Markets - Remarks of G. Keith Funston, 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.)
November 17, 1966
Statement of NASD to the SEC regarding "Public Policy Implications of Investment Company Growth"
image pdf (Government Records)
November 18, 1966
Letter from Robert L. Augenblick and Statement of Francis S. Williams, Investment Company Institute, to the SEC regarding draft of report on mutual funds
image pdf (Government Records)
November 29, 1966
Memo from Joe Califano to President Johnson on the upcoming release of the SEC report on mutual fund regulation
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
November 30, 1966
Letter to SEC from N.J. Kiraly, Ohio Deputy Commissioner of Securities on Investment Company Act of 1940
image pdf (Courtesy of National Archives and Records Administration)
December 1966
NASD News - Special Report
image pdf (Courtesy FINRA)
December 2, 1966
Report of the U.S. Securities and Exchange Commission on the Public Policy Implications of Investment Company Growth; Report of the Committee on Interstate and Foreign Commerce, Pursuant to Section 136 of the Legislative Reorganization Act of 1946, Public

(Government Records)

December 13, 1966
Memo from Doug Nobles to Marvin Watson on appointment of Ezra Weiss to SEC
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
December 15, 1966
Letter from Justice Abe Fortas returning payment to Wolfson Family Foundation
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
December 20, 1966
Protest Letter from Jim Hammers to President Lyndon B. Johnson
image pdf (Government Records)
December 23, 1966
Letter to Daniel V. McNamee, Jr., First Albany Corporation from Philip Loomis, SEC General Counsel on mutual fund report
image pdf (Courtesy of National Archives and Records Administration)
December 29, 1966
Press Release announcing the closing of the St. Paul Branch Office
image pdf (Courtesy of the National Archives and Records Administration)
1967
NASD Annual Report
image pdf (Courtesy FINRA)
1967
NASD Notices to Members
image pdf (Courtesy of FINRA)
1967-1999
Securities and Exchange Commission Fort Worth District Office
image pdf (Courtesy of James H. Perry)
1967-1999
Staff of the Fort Worth Regional Office 1967 – 1999
image PDF
January 4, 1967
Letter from Norman Poser, SEC Assistant Director, to Donald L. Calvin, New York Stock Exchange
document pdf (Courtesy of Eugene Rotberg)
January 4, 1967
Letter from SEC Chairman Manuel F. Cohen to Malcolm S. Forbes
image pdf (Government Records)
January 13, 1967
"Development of Accounting Principles in the United States" - Carman G. Blough, Berkeley Symposium on the Foundations of Financial Accounting
image pdf (Courtesy of George P. Fritz)
January 13, 1967
Letter from Louis Loss to SEC Chairman Manuel Cohen introducing H.U. Beg of Pakistan
image pdf (Courtesy of the National Archives and Records Administration)
January 18, 1967
Letter from Robert M. Bishop, New York Stock Exchange, to Norman Poser, SEC
document pdf (Courtesy of Eugene Rotberg)
January 19, 1967
Letter from Irving Pollack, SEC to Robert W. Haack, NASD on draft amendments
transcript pdf (Courtesy FINRA)
January 20, 1967
Letter from Robert W. Haack, National Association of Securities Dealers, to Irving M. Pollack, SEC Division of Trading and Markets
document pdf (Courtesy of Eugene Rotberg)
January 23, 1967
Letter from Lewis D. Gilbert to U.S. Senator John J. Sparkman
image pdf (Government Records)
January 24, 1967
Economic Power in the United States - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
January 26, 1967
The SEC and the Accounting Profession - Yesterday and Today - Address by Andrew Barr, SEC Chief Accountant to Banking, Corporation and Business Law Section of New York State Bar Association
transcript pdf (AICPA Collection, University of Mississippi)
January 31, 1967
"The S.E.C. Investment Company Report: An Emphatic Rebuttal," by Vance, Sanders & Company, Inc.
image pdf (Government Records)
February 1, 1967
Letter from Hart Wood, Hawaii Mutual Fund Association, to U.S. Representative Spark M. Matsunaga protesting "Public Policy Implications of Investment Company Growth"
image pdf (Government Records)
February 4, 1967
Protest Graphic from Jim Hammers to Mr. Cohen
image pdf (Government Records)
February 11, 1967
Memo from W.M. Blackburn. Jr. with list of Wall Street equity representatives invited to the White House on February 10th
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 16, 1967
"Business, Government and Regulation" - Address by SEC Chairman Manuel F. Cohen before the National Industrial Conference Board
image pdf (Courtesy of Stephen A. Zeff)
February 17, 1967
Letter from William Donaldson, Donaldson Lufkin & Jenrette, Inc. to Charles Ravenel, Office of the Secretary of the Treasury following February 10th White House meeting
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 17, 1967
Letter from William Rudd, Investment Planning Corporation, to President Johnson praising the White House for not backing the SEC report on mutual funds
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 17, 1967
Letter to U.S. Senator Fred Harris from Charles Thompson, Westamerica Securities, Inc. on SEC investment companies report
image pdf (Courtesy of National Archives and Records Administration)
February 21, 1967
Irv Pollack to Manuel Cohen on cost reduction in the Division of Trading and Markets
image pdf (Courtesy of the National Archives and Records Administration)
February 22, 1967
Reply letter to Charles Thompson, Westamerica Securities, Inc. from U.S. Senator Fred Harris
image pdf (Courtesy of National Archives and Records Administration)
February 24, 1967
Letter from Irving M. Pollack, SEC Division of Trading and Markets to Robert W. Haack, National Association of Securities Dealers
document pdf (Courtesy of Eugene Rotberg)
February 24, 1967
Protest Letter from John Y. Williamson to President Lyndon B. Johnson
image pdf (Government Records)
February 27, 1967
Letter from Edward C. Johnson 2nd, Fidelity to Arthur Okun, Council of Economic Advisors following February 10th White House meeting
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 27, 1967
Letter from Peter Vermilye, State Street Investment Corporation to Arthur Okun, Council of Economic Advisors following February 10th White House meeting
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 27, 1967
Resignation Letter from SEC Commissioner Byron D. Woodside to President Johnson
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 28, 1967
Memo from Doug Nobles to W. Marvin Watson recommending appointment of Richard B. Smith to SEC
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 28, 1967
Memo from John W. Macy, Jr. to President Johnson recommending appointment of Richard B. Smith as SEC Commissioner, with Mr. Smith's biographical data
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
March 1967
NASD News
image pdf (Courtesy FINRA)
March 1, 1967
Protest letter to SEC Chairman Manuel Cohen from J.E. Hammers, Hammers' Incorporated
image pdf (Courtesy of National Archives and Records Administration)
March 10, 1967
Letter from American Stock Exchange to Robert Block, SEC Division of Trading and Markets requesting preliminary review of proposed Rule 10b-10
transcript pdf (Government Records)
March 15, 1967
Protest letter to President Lyndon Johnson from J.E. Hammers, Hammers' Incorporated
image pdf (Courtesy of National Archives and Records Administration)
March 16, 1967
Protest letter to SEC from J.E. Hammers, Hammers' Incorporated on mutual funds report
image pdf (Courtesy of National Archives and Records Administration)
March 22, 1967
New York Stock Exchange Release backing Senate bill provding more information to stockholders during take-over bids
image pdf (Government Records)
March 30, 1967
Letter to U.S. Senator Fred Harris from Orval Dubois, SEC Secretary in response to Charles Thompson
transcript pdf (Courtesy of National Archives and Records Administration)
April 5, 1967
Reply letter to J.E. Hammers from Orval Dubois, SEC Secretary
image pdf (Courtesy of National Archives and Records Administration)
April 14, 1967
"Take-Over Bids" - Remarks by SEC Chairman Manuel F. Cohen before the Association of the Bar of the City of New York
image pdf (Government Records)
April 21, 1967
Letter from J. William O'Reilly, New York Stock Exchange to Irving M. Pollack, SEC on automation of surveillance of floor trading activities
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)

401 to 500 of 851 records

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