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1979
A Professional Service for Investors - National Association of Investment Companies
image pdf (Courtesy of the Investment Company Institute)
1970s
Complaint for Injunction, U.S. Securities and Exchange Commission v. Acoustica Associates, Inc.
document pdf (Courtesy of Richard Rowe)
1970s
Complaint for Injunction, U.S. Securities and Exchange Commission v. Continental Dynamics, Inc. and Continental Dynamics, Ltd.
document pdf (Courtesy of Richard Rowe)
1970s
Complaint for Injunction, U.S. Securities and Exchange Commission v. Grimes Consolidated, Ltd.
document pdf (Courtesy of Richard Rowe)
1970s
Complaint for Injunction, U.S. Securities and Exchange Commission v. Gulf Continental, Ltd.
document pdf (Courtesy of Richard Rowe)
1970s
Complaint for Injunction, U.S. Securities and Exchange Commission v. National Tape Corporation
document pdf (Courtesy of Richard Rowe)
1970
Investment Company Amendments Act of 1970 (Public Law No. 91-547); Sections 202, 203, 205, 206A of IAA Amended; Sections 2(a), 3, 8(b), 9, 10, 11(b), 12(d), 13, 15, 17, 18(f), 19, 22, 24, 25, 26, 27, 28, 32, 33, 36, 43(a), 44 of ICA
document pdf (Government Records)
January 1970
Melvyn Hiller v. Securities and Exchange Commission: On Petition for Review of Orders of the SEC, Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
1970
NASD Annual Report
image pdf (Courtesy FINRA)
January 1970
NASD News
image pdf (Courtesy FINRA)
1970
NASD Notices to Members

(Courtesy of FINRA)

1970
Organized Crime Control Act of 1970 (Public Law No. 91-452); Section 209 of IAA Amended; Section 42(d) of ICA Amended
document pdf (Government Records)
1970s
Statement of Points and Authorities in Support of Plaintiff's Motion for Summary Judgment, U.S. Securities and Exchange Commission v. Acoustica Associates, Inc.
document pdf (Courtesy of Richard Rowe)
January 8, 1970
Concept of the Corporation - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
January 8, 1970
Workings of White House staff and Comments on Executive-Legislative relationship - Bryce N. Harlow
transcript pdf (Courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
January 12, 1970
Memo from Peter Flanigan to Dwight Chapin on appointment of Harold Boeschenstein to chair American Enterprise Institute
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
January 16, 1970
Letter from Budge to Rep. Moss re ICI proposal on Self-Regulation
image pdf (Courtesy of the National Archives and Records Administration)
January 19, 1970
Reply to Woodward Kingman, HUD Deputy Assistant Secretary from Meade Whitaker on HUD providing FHA mortgage insurance on arbitrage bonds
transcript pdf (Courtesy of National Archives and Records Administration)
January 23, 1970
Memo to members of the Policy Committee from Arthur Schwartz and Gary Fritzhand on arbitrage - HUD subsidy program
transcript pdf (Courtesy of National Archives and Records Administration)
February 13, 1970
Statement of Haack before the SEC on “The Urgency for an Immediate Commission Increase”
image pdf (Courtesy of the National Archives and Records Administration)
February 23, 1970
Memo to Bryce Harlow from Peter Flanigan on reappointment of Hugh Owens as SEC Commissioner
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
February 25, 1970
Memo from Dwight L. Chapin to President Nixon recommending meeting on economic policy, with handwritten notes from Hugh Sloan and H.R. Haldeman
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
March 1970
NASD News
image pdf (Courtesy FINRA)
March 11, 1970
Memo from Hugh Sloan to President Nixon proposing meeting with Association of Stock Exchanges, Investment Bankers Association and Investment Company Institute
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
March 25, 1970
Statement of Donald L. Calvin before the Subcommittee on Securities of the Senate Committee on Banking and Currency re S.3431
image pdf (Courtesy of the National Archives and Records Administration)
April 13, 1970
Memo for President Nixon from Peter Flanigan on reappointment of Hugh Owens as SEC Commissioner
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
April 21, 1970
Memo from Baruch to Chairman re Appearance of NYSE Officials before the Commission
image pdf (Courtesy of the National Archives and Records Administration)
May 1970
NASD News
image pdf (Courtesy FINRA)
May 21, 1970
Alexander Brown to Floyd Gilbert on revision of the Broker-Dealer Inspection Manual
image pdf (Courtesy of the National Archives and Records Administration)
May 25, 1970
Letter from Denny to Pollack re Stock Exchange Rules
image pdf (Courtesy of the National Archives and Records Administration)
June 10, 1970
Memo to All Staff Attorneys from the Office of the General Counsel re Hiller v. SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
June 11, 1970
Letter from Robert Bicks, Breed Abbott & Morgan, to Irving Pollack, SEC Division of Trading and Markets, with U.S. Department of Justice letter to Gordon Macklin, NASD on establishment of NASDAQ
transcript pdf (Courtesy of the National Archives and Records Administration)
June 16, 1970
Statement of Hamer H. Budge before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce on H.R. 13308, Self Regulatory Provisions
image pdf (Courtesy of the National Archives and Records Administration)
June 24, 1970
Memo from Peter Flanigan on contact with Hayden Stone
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
June 30, 1970
36th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1970
NASD News
image pdf (Courtesy FINRA)
July 3, 1970
Letter to Chairman Harold Williams from Senators Proxmire, Sarbanes and Williams re Tender Offers
document pdf (Courtesy of Roberta Karmel)
July 3, 1970
Letter to Chairman Harold Williams from Senators Proxmire, Sarbanes and Williams re Tender Offers
document pdf (Courtesy of Roberta Karmel)
July 6, 1970
Letter from Chief Justice Warren Burger to Harry Blackmun
image pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
July 6, 1970
Letter from Lloyd Derrickson, NASD to Irving Pollack, SEC with response to U.S. Department of Justice inquiry into NASDAQ
image pdf (Courtesy of the National Archives and Records Administration)
July 9, 1970
Letter of Inquiry from John R. Stark, Joint Economic Committee, U.S. Congress to Caspar Weinberger, Federal Trade Commission
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
August 11, 1970
Memo from H.R. Haldeman to President Nixon recommending "the ten best all-around chief executive officers in the country in the 45-60 year-old bracket"
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
August 14, 1970
Memo to Edward Gilleran and Bruce Simpson from Douglas Parrillo on broker/dealer insolvencies (revised)
image pdf (Courtesy of FINRA)
August 25, 1970
National Association of Securities Dealers, Inc. report on broker-dealer financial responsibility requirements
image pdf (Courtesy of FINRA)
August 31, 1970
Securities and Exchange Commission v. Harwyn Industries Corporation: Reply Memorandum
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
September 1970
NASD News
image pdf (Courtesy FINRA)
September 1970
U.S. Securities and Exchange Commission Employee Bulletin
document pdf (Courtesy of Richard Rowe)
September 10, 1970
Recommendations to SEC Chairman Hamer Budge from Professor Donald Schwartz on proxy rule amendments
image pdf (Courtesy of National Archives)
September 28, 1970
New York Stock Exchange Press Release: Test of Specialist Electronic Book
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 2, 1970
Memo to Peter Flanigan from Jim Loken on proposed Financial Advisors Act
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
October 12, 1970
Note from Chief Justice Warren Burger to Harry Blackmun
transcript pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
October 12, 1970
Statement of SEC Chairman Hamer Budge before the U.S. House of Representatives Subcommittee on Commerce and Finance
image pdf (Courtesy of David B.H. Martin)
October 20, 1970
Remarks by SEC Commissioner James J. Needham, Knoxville, Tennessee
image pdf (Courtesy of Stephen A. Zeff)
October 22, 1970
Letter from Gordon Macklin, NASD to SEC Chairman Hamer Budge on NASDAQ
image pdf (Courtesy of the National Archives and Records Administration)
October 27, 1970
Memo from John D. Stoffels to Federal Reserve Chairman Arthur Burns on SEC action on proposed NYSE commission rates
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
October 29, 1970
Memo from John D. Stoffels to Federal Reserve Chairman Arthur Burns on SEC action on composition of "capital" of brokerage firms
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
October 29, 1970
Memo from John D. Stoffels to Federal Reserve Chairman Arthur Burns on SEC action on subsequent contacts regarding revised commission rate schedule
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
October 30, 1970
Complaint letter from Donald Weeden, Weeden & Co. to the NASD Board of Governors on NASDAQ
image pdf (Courtesy of the National Archives and Records Administration)
October 30, 1970
Letter from SEC Chairman Hamer Budge to Gordon Macklin, NASD on NASDAQ
transcript pdf (Courtesy of the National Archives and Records Administration)
November 1970
NASD News
image pdf (Courtesy FINRA)
November 1970
NASD News - Special Report
image pdf (Courtesy FINRA)
November 5, 1970
Letter from Haack to Rep. Staggers re H.R. 17333, Exchange Regulation
image pdf (Courtesy of the National Archives and Records Administration)
November 9, 1970
Letter from Gordon Teach, NASD Board of Governors, to Donald Weeden, Weeden & Co., on exclusion of third market securities on NASDAQ
transcript pdf (Courtesy of the National Archives and Records Administration)
November 17, 1970
"Competition and the Future of the New York Stock Exchange" - Remarks of Robert W. Haack, New York Stock Exchange at the Economic Club of New York
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 20, 1970
Memo from Donald Rumsfeld to John Ehrlichman on economic indicators
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
November 20, 1970
Memo from Secretary of the Treasury David Kennedy to President Nixon on new dimension in economic policy
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
December 4, 1970
Memo from Paul W. McCracken to President Nixon with talking points on business conditions
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
December 8, 1970
Memo from Baruch to Commission re Net Capital Provisions
image pdf (Courtesy of the National Archives and Records Administration)
December 19, 1970
Norman L. Harwell et al. v. Growth Programs, Inc. et al.: Brief for the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
December 30, 1970
Letter to U.S. Representative Carl Albert from Cecil Martin on legislative process
transcript pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
December 30, 1970
Memo from John D. Ehrlichman to George Schultz recommending release of economic data at politically advantageous times
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
January 1971
Abbett, Sommer and Company, Inc., et al v. Securities and Exchange Commission: On Petition for a Writ of Certiorari
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
1971
Investment Company Act of 1940 Amendment (Public Law No. 92 - 165); Section 27(f) of ICA Amended
document pdf (Government Records)
January 1, 1971
List of “Problems Facing the Securities Industry”
image pdf (Courtesy of the National Archives and Records Administration)
January 1, 1971
Memo from Baruch to Commission re New York Stock Exchange Net Capital Rule
image pdf (Courtesy of the National Archives and Records Administration)
1971
NASD Annual Report
image pdf (Courtesy FINRA)
1971
NASD Notices to Members

(Courtesy of FINRA)

January 1, 1971
News Release of Williams Announcing Probe of Securities Industry
document pdf (Courtesy of the National Archives and Records Administration)
1971
Report on Major Changes in NYSE Constitution and Rules since 1967
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
January 6, 1971
Memo from J. William O'Reilly, New York Stock Exchange on meeting with SEC
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
January 8, 1971
Letter from Orval DuBois, SEC Secretary to Robert W. Haack, New York Stock Exchange on eligibility of listed securities on NASDAQ
transcript pdf (Courtesy of the National Archives and Records Administration)
January 22, 1971
Summary from U.S. Representative Benjamin Rosenthal on Consumer Protection Organization Act of 1971
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
February 1971
Basic (Banking and Securities Industry Committee) Year-End Report
image pdf (Courtesy of William F. Jaenike)
February 1971
NASD News
image pdf (Courtesy FINRA)
February 10, 1971
Letter to U.S. Senator John Sparkman from SEC General Counsel Philip A. Loomis, Jr. on Board of Directors of Securities Investor Protection Corporation
transcript pdf (Courtesy of George Bush Presidential Library and Museum)
February 12, 1971
Letter from Ralph Saul, American Stock Exchange to Orval DuBois, SEC on NASDAQ
image pdf (Courtesy of the National Archives and Records Administration)
February 16, 1971
Inquiry to Secretary of the Treasury John Connolly from Texas Lieutenant Governor Ben Barnes on industrial revenue bonds
image pdf (Courtesy National Archives and Records Administration)
February 17, 1971
Note from Justice Hugo Black to Justice Potter Stewart in support of opinion in National Association of Securities Dealers v. SEC, et al.
image pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
February 19, 1971
Letter from Morris A. Schapiro to U.S. Representative Emanuel Celler with complaint against NASD for NASDAQ exclusion
transcript pdf (Courtesy of the National Archives and Records Administration)
March 1, 1971
New York Stock Exchange News Bureau: Pension Holdings Up on Big Board
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
March 4, 1971
Request from Justice Byron White to Justice Potter Stewart to join in opinion in National Association of Securities Dealers v. SEC, et al.
image pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
March 8, 1971
Note from Justice Harry Blackmun to Justice Potter Stewart on Investment Company Institute v. Camp
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
March 10, 1971
Institutional Investor Study of the Securities and Exchange Commission

(Courtesy of Kathryn McGrath)

March 10, 1971
Letter from Justice John Harlan to Justice Potter Stewart on Investment Company Institute v. Camp
image pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
March 11, 1971
Letter from Justice Potter Stewart to Justice John Harlan on Investment Company Institute v. Camp
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
March 23, 1971
Department of Treasury News: Statement by Charls Walker, Under Secretary before the Senate Subcommittee on Air and Water Pollution in support of establishment of Environmental Financing Authority
image pdf (Courtesy of National Archives and Records Administration)
March 26, 1971
Invitation to Lewis Gilbert from Neal McCoy to meet with SEC Proxy Task Force
transcript pdf (Courtesy of National Archives and Records Administration)
April 1971
Notes from Justice Harry Blackmun in National Association of Securities Dealers v. SEC and in Investment Company Institute v. Camp
image pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
April 1, 1971
Remarks by SEC Commissioner James J. Needham before the Illinois Society of Certified Public Accountants
image pdf (Courtesy of Stephen A. Zeff)
April 7, 1971
Statement by George Meany, AFL-CIO on economic stabilization
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)

1 to 100 of 1588 records

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