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1001 to 1100 of 1588 records

Page:
December 30, 1976
Letter from Gerald White, The Financial Analysts Federation to Hamilton Jordan supporting Marilyn V. Brown for SEC
image pdf (Courtesy of the Jimmy Carter Library and Museum)
December 31, 1976
Letter from Robert Wade to Hamilton Jordan supporting Marilyn Brown for SEC
image pdf (Courtesy of the Jimmy Carter Library and Museum)
December 31, 1976
Report from the National Market Advisory Board to Congress The Possible Need for Modifications of the Scheme of Self Regulation in the Securities Industry so as to Adapt it to a National Market System
document pdf (Courtesy of George Simon)
1976
Report on National Laws Penalizing Bribery
image pdf (Courtesy of the National Archives and Records Administration)
1976
Survey of Articles Relating to Corporate Bribery in Periodicals during 1976
image pdf (Courtesy of the National Archives and Records Administration)
1977
NASD Annual Report
image pdf (Courtesy FINRA)
1977
NASD Notices to Members

(Courtesy of FINRA)

1977
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1977
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 4, 1977
Letter from the Chicago Board Options Exchange to Lee Pickard, requesting SEC approval of its request for expansion of options classes
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
January 5, 1977
Letter from Joseph W. Sullivan, Chicago Board Options Exchange to the SEC Commission on put trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 5, 1977
Minutes of public meeting of the working group on illicit payments
transcript pdf (Courtesy of the National Archives and Records Administration)
January 7, 1977
Memo to the SEC Commission from the Division of Enforcement concerning the voluntary disclosure program
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 12, 1977
Letter from Alexander Gordon to Malcolm Mason and Irwin Langbein with review of transcript re TMT Trailer Ferry, Inc.
image pdf (Malcolm Mason Papers, with permission of Jan Freundschuh)
January 13, 1977
Final Report of the SEC Major Issues Conference
image pdf (Courtesy of Roderick M. Hills)
January 13-15 1977
SEC Major Issues Conference
transcript pdf
January 17, 1977
Letter from Richard Thornburgh, Department of Justice to SEC Chairman Roderick Hills requesting information of misuse of corporate funds by GTE, Northrop, Boeing Aircraft and Brad Ragen, Inc.
transcript pdf (Courtesy of the National Archives and Records Administration)
January 17, 1977
Memo from Edward Schmults and Brent Scowcroft to James Connor regarding letter from Dr. Mohammed Khashoggi to President Ford
transcript pdf (Courtesy of the Gerald R. Ford Library)
January 18, 1977
Letter to U.S. Representative Robert Lagomarsino from Arthur Burns, Federal Reserve in response to John Thorndike's question on day trading
transcript pdf (Courtesy of the Ronald Reagan Library)
January 19, 1977
Memo from Secretary of Commerce Elliot Richardson for the President on questionable corporate payments abroad
image pdf (Elliot Richardson Papers, courtesy of the Library of Congress)
January 21, 1977
Elliot Handler et al. v. Securities and Exchange Commission: Memorandum of Points
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
January 24, 1977
Elliot Handler et al. v. Securities and Exchange Commission: Motion of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
January 24, 1977
Elliot Handler et al. v. Securities and Exchange Commission: Motion to Dismiss Complaint
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
January 24, 1977
Elliot Handler et al. v. Securities and Exchange Commission: SEC Statement of Material Facts
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
January 25, 1977
Letter to Judge Edward Weinfeld from Harvey L. Pitt, SEC General Counsel re Applied Digital Data Systems, Inc. v. Milgo Electronic Corp.
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
January 27, 1977
Letter from Senator William Proxmire to Marshall Armstrong, Financial Accounting Standards Board on proposed loan write-downs
image pdf (JT Ball Collection, University of Mississippi)
January 28, 1977
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Establishment of a Composite Limit Order Book
document pdf (Courtesy of George Simon)
January 28, 1977
WPPSS News Release: WPPSS Plans Bond Sale
image pdf (Courtesy of Washington State Archives)
January 31, 1977
Form 19b-4A - Proposed Rule Change by New York Stock Exchange, Inc.
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
January 31, 1977
Letter to U.S Securities and Exchange Commission from James Buck, New York Stock Exchange
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
February 1, 1977
Reply letter from Stanley Sporkin, SEC to Richard Thornburgh, Department of Justice on investigations of misuse of corporate funds
transcript pdf (Courtesy of the National Archives and Records Administration)
February 4, 1977
Invitation from Sheldon Rappaport, SEC to Gordon Macklin, NASD to attend hearing on trading in standardized options
transcript pdf (Courtesy of the National Archives and Records Administration)
February 5, 1977
Remarks by U.S. Senator Harrison Williams before the Dealer Bank Association
transcript pdf (With permission of Harrison A. Williams Papers, Special Collections and University Archives, Rutgers University Libraries)
February 7, 1977
"An SEC Perspective on Bank Trust Departments," Address by SEC Commissioner John R. Evans to the National Trust Conference, American Bankers Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 9, 1977
Letter from Morton Lapides, Alleghany Beverage Corporation to President Carter with recommendations for selection of next SEC Chairman
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
February 14, 1977
Reply from Marshall Armstrong to William Proxmire
image pdf (JT Ball Collection, University of Mississippi)
February 15, 1977
Letter to U.S. Representative Al Ullman from Victor Cole opposing changes to capital gains tax
image pdf (Courtesy of National Archives and Records Administration)
February 17, 1977
Note from President Carter to Hamilton Jordan: "Check out Irving Pollack for SEC Chairman"
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
February 18, 1977
Protest letter from A. Emmet Stephenson to President Carter on burden of SEC rules
image pdf (Courtesy of the Jimmy Carter Library and Museum)
February 21, 1977
"Challenges and Cooperative Regulatory Efforts," Address by SEC Commissioner John R. Evans to 1977 Winter Conference, Midwest Securities Commissioners Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 23, 1977
Letter from A. von Schmeling, Embassy of the Federal Republic of Germany to Wallace Timmeny, SEC requesting list of foreign civil servants receiving bribes from Lockheed
image pdf (Courtesy of the National Archives and Records Administration)
February 23, 1977
Resignation letter from SEC Chairman Roderick Hills to President Carter
image pdf (Courtesy of the Jimmy Carter Library and Museum)
February 23, 1977
WPPSS News Release: WPPSS Sells $145 Million Worth of Revenue Bonds
image pdf (Courtesy of Washington State Archives)
February 24, 1977
Statement by the AFL-CIO Executive Council on international trade and investment
image pdf (Courtesy of the National Archives and Records Administration)
February 25, 1977
Arthur Andersen & Co. v. SEC: Reply Memorandum of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 25, 1977
Letter from U.S. Senator Charles Mathias to President Carter in support of Morton Lapides
image pdf (Courtesy of the Jimmy Carter Library and Museum)
February 28, 1977
Memo to the SEC Commission from the Division of Corporation Finance with recommendations from Advisory Committee on Corporate Disclosure
image pdf (Courtesy of the National Archives and Records Administration)
March 1977
"The Administration's Views and Status of U.S. Congressional Legislation" - Statement of Robert Mundheim, Department of Treasury, at Irregular Payments and Efforts Being Made to Control Them seminar
image pdf (Courtesy of the National Archives and Records Administration)
March 1977
Institutional Investor Holdings of NYSE-Listed Stocks - 1975
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
March 1, 1977
President Carter meeting schedule: "Thursday, 5:30 - Harold Williams (possibility for SEC)"
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
March 1977
Questions from Justice Harry Blackmun in E.I. DuPont de Nemours & Co. et al. v. Collins et al.
image pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
March 4, 1977
Address by SEC Chairman Roderick M. Hills at "SEC Speaks"
image pdf (Government Records)
March 8, 1977
Letter from Senators Edward Brooke and John Tower to Senator William Proxmire on hearings on S.305, bribery and corporate beneficial ownership disclosure
image pdf (Courtesy of the National Archives and Records Administration)
March 9, 1977
Internal Revenue Service memo on corporate slush funds and illegal foreign payments
image pdf (Courtesy of the National Archives and Records Administration)
March 10, 1977
Confidential discussion paper on questionable foreign payments
image pdf (Courtesy of the National Archives and Records Administration)
March 10, 1977
Statement of U.S. government position on illicit payments
image pdf (Courtesy of the National Archives and Records Administration)
March 11, 1977
Letter from Frank Moore to Willis Dobbs on appointment of Harold Williams as SEC Chairman
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
March 11, 1977
Letter from Peter Kiernan, SEC Legislative Counsel to Representative Harley Staggers with SEC comments on pending legislation on foreign payments
image pdf (Courtesy of the National Archives and Records Administration)
March 14, 1977
Elliot Handler et al. v. Securities and Exchange Commission: Memorandum of Decision
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
March 15, 1977
Letter from R. Heath Larry, National Association of Manufacturers to Senator William Proxmire opposing S.305, Foreign Corrupt Practices Act
image pdf (Courtesy of the National Archives and Records Administration)
March 16, 1977
Statement of the National Association of Manufacturers on S.305, Foreign Corrupt Practices Act
transcript pdf (Courtesy of the National Archives and Records Administration)
March 16, 1977
Summary of White House mini conference on economic aspects of energy crisis
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
March 17, 1977
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission, with Letter to Edward O'Brien, President, Securities Industry Association
document pdf (Courtesy of George Simon)
March 18, 1977
Farewell letter from SEC Chairman Roderick M. Hills to Arthur F. Burns, Federal Reserve
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
March 21, 1977
Letter from Lloyd Cutler to Roger Altman, Department of the Treasury with proposed amendment on disclosure of payments
transcript pdf (Courtesy of the National Archives and Records Administration)
March 21, 1977
Reply letter from Wallace Timmeny, SEC to A. von Schmeling, Embassy of the Federal Republic of Germany
transcript pdf (Courtesy of the National Archives and Records Administration)
March 22, 1977
Remarks by Bryce N. Harlow at NAM Field Staff Training Session
transcript pdf (Courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
March 22, 1977
Reply letter from Valerie Giannini to A. Emmet Stephenson concerning proposed SEC rules
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
March 23, 1977
U.S. Chamber of Commerce statement on Foreign Corrupt Practices Act of 1977
image pdf (Courtesy of the National Archives and Records Administration)
March 24, 1977
Letter from Robert Barnett, FDIC Chairman to Senator William Proxmire on S.305, Foreign Corrupt Practices Act
image pdf (Courtesy of the National Archives and Records Administration)
March 29, 1977
Letter from Robert Bloom, Acting Comptroller of the Currency to Senator William Proxmire on S.305, Foreign Corrupt Practices Act
image pdf (Courtesy of the National Archives and Records Administration)
March 29, 1977
Memo to President Carter with nomination of Harold Williams as SEC Chairman
image pdf (Courtesy of the Jimmy Carter Library and Museum)
March 31, 1977
Letter from Alexander Gordon to Gearold Knowles regarding files for Protective Committee for Independent Stockholders of TMT Trailer Ferry, Inc.
transcript pdf (Malcolm Mason Papers, with permission of Jan Freundschuh)
April 1, 1977
Letter from SEC Chairman Roderick Hills to President Carter on advisory committees
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
April 2, 1977
Letter from President Carter accepting resignation of SEC Chairman Roderick Hills
image pdf (Courtesy of the Jimmy Carter Library and Museum)
April 4, 1977
Nomination by SEC Chairman Roderick Hills of Richard H. Rowe for the Tom C. Clark Award
document pdf (Courtesy of Richard Rowe)
April 5, 1977
Letter from Edward O'Brien, Securities Industry Association to Senator Harrison A. Williams, Jr. on S.305, Foreign Corrupt Practices Act
image pdf (Courtesy of the National Archives and Records Administration)
April 5, 1977
Letter from Secretary of the Treasury W. Michael Blumenthal to Senator Harrison A. Williams, Jr. on S.305, Foreign Corrupt Practices Act
image pdf (Courtesy of the National Archives and Records Administration)
April 6, 1977
Letter from R.E. Skogsberg with complaint against Chase Manhattan Bank
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
April 6, 1977
Sections Explanation of S.305, Foreign Corrupt Practices Act of 1977
image pdf (Courtesy of the National Archives and Records Administration)
April 6, 1977
Senator Adlai Stevenson III Amendments to S.305, Foreign Corrupt Practices Act of 1977
image pdf (Courtesy of the National Archives and Records Administration)
April 6, 1977
Senator Harrison A. Williams, Jr. Amendments to S.305, Foreign Corrupt Practices Act of 1977
image pdf (Courtesy of the National Archives and Records Administration)
April 6, 1977
Senator John Tower Amendments to S.305, Foreign Corrupt Practices Act of 1977
image pdf (Courtesy of the National Archives and Records Administration)
April 6, 1977
Senator William Proxmire Amendments to S.305, Foreign Corrupt Practices Act of 1977
image pdf (Courtesy of the National Archives and Records Administration)
April 8, 1977
Memo from James Frey to President Carter on proposed increase in SEC appropriation
image pdf (Courtesy of the Jimmy Carter Library and Museum)
April 12, 1977
"The Accounting Profession and the SEC: A Partnership Under Attack," Address by SEC Commissioner John R. Evans to Cincinnati Chapter, Ohio Society of Certified Public Accountants
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 14, 1977
Financial Accounting Foundation and Financial Accounting Standards Board Statement of Position on "The Accounting Establishment"

(JT Ball Collection, University of Mississippi)

April 14, 1977
Invitation from Heidi Fiske, Institutional Investor Institute to Anthony Solomon, Under Secretary for Monetary Affairs to speak at the Institute's Washington Roundtable
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
April 15, 1977
Memo from James King to Hamilton Jordan on interest of Linda Wertheimer in SEC
image pdf (Courtesy of the Jimmy Carter Library and Museum)
April 16, 1977
"Corporate Ethics" - Address by SEC Chairman Harold M. Williams to the American Assembly, Columbia University
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 18, 1977
Letter from SEC Chairman Harold Williams to Senator William Proxmire on S.305, Foreign Corrupt Practices Act of 1977
image pdf (Courtesy of the National Archives and Records Administration)
April 19, 1977
Reply letter from Gearold Knowles to Alexander Gordon
transcript pdf (Malcolm Mason Papers, with permission of Jan Freundschuh)
April 20, 1977
Letter from Douglas J. Bennett, Jr., Department of State to Representative Harley Staggers in support of legislation on questionable foreign payments abroad
image pdf (Courtesy of the National Archives and Records Administration)
April 20, 1977
Letter from Klaus Heiss, ECON Inc. to Stuart Eizenstat on indexing of all depreciation costs
image pdf (Courtesy of the Jimmy Carter Library and Museum)
April 20, 1977
Letter from Patricia Wald, Department of Justice to Representative Harley Staggers in support of legislation on questionable foreign payments abroad
image pdf (Courtesy of the National Archives and Records Administration)
April 21, 1977
Letter from Lucien Shaw to Stanley Sporkin, SEC Director of Enforcement opposing the Foreign Corrupt Practices Act
image pdf (Courtesy of the National Archives and Records Administration)
April 21, 1977
Statement of Alva O. Way, Financial Accounting Foundation before Senate Hearings on Accounting and Auditing Practices and Procedures
image pdf (JT Ball Collection, University of Mississippi)
April 21, 1977
Statement of Marshall Armstrong, Financial Accounting Standards Board before Senate Hearings on Accounting and Auditing Practices and Procedures
image pdf (JT Ball Collection, University of Mississippi)
April 21, 1977
Testimony of SEC Chairman Harold Williams on H.R. 3815, Unlawful Corporate Payments Act of 1977
transcript pdf (Courtesy of the National Archives and Records Administration)
April 22, 1977
Letter from SEC Chairman Harold M. Williams to Arthur F. Burns, Federal Reserve on Regulation S-X
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

1001 to 1100 of 1588 records

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