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801 to 851 of 851 records

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January 28, 1969
Minutes of meeting of SEC Commission re Moratorium on Institutional membership in Exchanges pending further study
image pdf (Courtesy of the National Archives and Records Administration)
January 30, 1969
Letter from Justice Thurgood Marshall to Henry Putzel, Jr., Reporter of Decisions on SEC v. National Securities, Inc.
transcript pdf (Thurgood Marshall Papers, courtesy Library of Congress)
February 1969
Higher Education Loans Program, Inc. and Murray Bast v. Roger R. Gilbert, Walston & Company and the Securities and Exchange Commission: Memorandum of Law of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 1969
NASD News - Special Report
image pdf (Courtesy FINRA)
February 6, 1969
Mortimer N. Hanly v. Securities and Exchange Commission: Memorandum of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 7, 1969
Memo for Ken Cole from Paul McCracken on back office problem
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
February 14, 1969
Letter from SEC Chairman Manuel F. Cohen to U.S. Representative Hastings Keith supporting study into the effect of conglomerate activities in the securities markets
image pdf (Government Records)
February 19, 1969
Memo from John C. Whitehead, Chairman, Institutional Investor Study Advisory Committee, to committee members
image pdf (Government Records)
March 3, 1969
Findings and Stop Order in the Matter of Bally Manufacturing Corporation
document pdf (Courtesy of Richard Rowe)
March 6, 1969
Problems in the Securities Industry: Hearing before the Subcommittee on Securities of the U.S. Senate Committee on Banking and Currency
image pdf (Courtesy of the Library of Congress)
March 14, 1969
"The Commission Rate Structure and the Institutional Investor" - Remarks by Eugene Miller, Vice President, New York Stock Exchange at 1969 Mutual Funds Conference
transcript pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2010 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives. All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
March 14, 1969
Memo from Loomis to Commission re Legislative Matters
image pdf (Courtesy of the National Archives and Records Administration)
March 21, 1969
Farewell letter from Manuel Cohen to Albert Fontes, SEC Assistant Director of Personnel
transcript pdf (Courtesy of the estate of Mollie B. Zion)
March 27, 1969
Disclosures to Investors - A Reappraisal of Federal Administrative Policies Under the '33 and '34 Acts, by Francis M. Wheat (The Wheat Report - Disclosures to Investors)

(Courtesy of Richard Rowe)

March 31, 1969
Invitation to A Salute to "Manny"
image pdf (Courtesy of the estate of Mollie B. Zion)
May 6, 1969
Inquiry from Don Oberdorfer, Washington Post to Chief Justice Earl Warren
image pdf (Earl Warren Papers, courtesy Library of Congress)
May 6, 1969
Letter from Dan Oberdorfer, Washington Post to Banning Whittington, U.S. Supreme Court on inquiry into Justice Abe Fortas
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
May 6, 1969
Memo for President Nixon from Peter Flanigan on May 7th meeting with SEC members
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
May 10, 1969
Testimony of Louis Wolfson on actions with Justice Abe Fortas
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
May 14, 1969
Letter from Justice Abe Fortas to Chief Justice Earl Warren on association with Wolfson Family Foundation
image pdf (Earl Warren Papers, courtesy Library of Congress)
May 15, 1969
Statement of Chief Justice Earl Warren on resignation of Justice Abe Fortas
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
May 16, 1969
Letter from Chief Justice Earl Warren to President Lyndon Johnson on resignation of Justice Abe Fortas
image pdf (Earl Warren Papers, courtesy Library of Congress)
May 19, 1969
"An Agenda for the Securities Industry" - Remarks of Robert W. Haack, New York Stock Exchange to the Economic Club of Detroit
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 21, 1969
Memo for the White House staff on contacts with independent regulatory agencies
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
June 17, 1969
Takeovers and Tenders: A Stock Exchange Viewpoint - Remarks by Robert W. Haack, 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.)
June 27, 1969
Norman L. Harwell et al. v. Growth Programs, Inc. et al.: Memorandum of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
June 30, 1969
35th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1969
Don D. Anderson & Co., Inc. v. Securities and Exchange Commission: Answering Brief of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 1969
NASD News
image pdf (Courtesy FINRA)
July 7, 1969
Memo from Paul W. McCracken to Harry Dent on "Wall Street Political Problems" article by Dick Garbett
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
July 9, 1969
Memo to Peter Flanigan from Dan Hofgren on inclusion of off shore funds in SEC study
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
July 9, 1969
Memorandum of the Securities and Exchange Commission on H.R. 11995 and S. 2224 to the Committee on Interstate and Foreign Commerce, House of Representatives: Pending Mutual Fund Legislation
image pdf (Courtesy of the National Archives and Records Administration)
September 1969
NASD News
image pdf (Courtesy FINRA)
September 1, 1969
Report to the Honorable Louis J. Lefkowitz, Attorney General of the State of New York, on new issues of securities
image pdf (Courtesy of Orestes Mihaly)
September 12, 1969
Letter from SEC Chairman Hamer H. Budge to Robert W. Haack, New York Stock Exchange requesting information on NYSE members in financial difficulty
image pdf (Courtesy of New York Stock Exchange Archives)
September 23, 1969
Securities and Exchange Commission, Plaintiff against Texas Gulf Sulphur Company, et al. - Stipulation regarding defendant Francis G. Coates
image pdf (Courtesy of Donald Strauber)
September 24, 1969
Industrial Development Bond Material - Treasury Statement for Insertion in the Record of the Secretary's Testimony before the Senate Finance Committee
transcript pdf (Courtesy of National Archives and Records Administration)
October 2, 1969
Securities and Exchange Commission, Plaintiff against Texas Gulf Sulphur Company, et al. - Judgment for defendant Francis G. Coates
image pdf (Courtesy of Donald Strauber)
October 10, 1969
A National System for Reporting, Clearing and Settling Over-the-Counter Securities Transactions - NASD
image pdf (Courtesy of the National Archives and Records Administration)
October 16, 1969
Memo from William Safire describing Jawboning vs. Backboning
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
October 22, 1969
Memorandum of the Securities and Exchange Commission on H.R. 13754 to the Committee on Interstate and Foreign Commerce, House of Representatives: Pending Mutual Fund Legislation
image pdf (Courtesy of the National Archives and Records Administration)
November 1969
NASD News
image pdf (Courtesy FINRA)
November 5, 1969
Memorandum of the Securities and Exchange Commission on H.R. 12867 to the Committee on Interstate and Foreign Commerce, House of Representatives: Amend Investment Company Act and Investment Advisers Act
image pdf (Courtesy of the National Archives and Records Administration)
November 12, 1969
Questions submitted by Rep. Stuckey re Mutual Fund legislation
image pdf (Courtesy of the National Archives and Records Administration)
November 13, 1969
Memo from Morris N. Simkin to SEC Division of Trading and Markets on meeting discussing an early warning system for liquidity
image pdf (Courtesy of the National Archives and Records Administration)
November 17, 1969
Memo to Peter Flanigan from Jonathan Rose on SEC exemption
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
November 21, 1969
New York State Attorney General Release announcing reimbursement of Woodstock tickets
image pdf (Courtesy of Orestes Mihaly)
November 25, 1969
Letter to U.S. Representative Harley Staggers from Richard Kleindienst, Deputy Attorney General on proposed amendments to Investment Company Act and Investment Advisers Act
image pdf (Courtesy of the National Archives and Records Administration)
December 10, 1969
Letter to U.S. Representative Harley Staggers from Paul Eggers, U.S. Treasury with views on proposed amendments to Investment Company Act and Investment Advisers Act
image pdf (Courtesy of the National Archives and Records Administration)
December 10, 1969
Letter to U.S. Representative Harley Staggers from SEC Chairman Hamer Budge with views on proposed amendments to Investment Company Act and Investment Advisers Act
image pdf (Courtesy of the National Archives and Records Administration)
December 10, 1969
Memorandum of the Securities and Exchange Commission on H.R. 1437 to the Committee on Interstate and Foreign Commerce, House of Representatives: Views on Stuckey Bill
image pdf (Courtesy of the National Archives and Records Administration)

801 to 851 of 851 records

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