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1201 to 1300 of 1588 records

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October 11, 1977
Letter from the National Market Advisory Board to Andrew Klein, Director, SEC's Division of Market Regulation
document pdf (Courtesy of George Simon)
October 17, 1977
Letter from Fran Voorde to Laurence Farrell, National Investor Relations Institute declining invitation to President Carter
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
October 18, 1977
"Who Owns the New York Stock Exchange?" - Remarks by William M. Batten, Chairman, New York Stock Exchange, Inc. to Financial Women's Association
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.)
October 20, 1977
Memo from Joseph Sullivan to Board of Directors, Chicago Board Options Exchange with set of SEC options releases of October 18, 1977
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
October 21, 1977
Letter from Michael E. Tobin, Midwest Stock Exchange to George A. Fitzsimmons, SEC Secretary in response to SEC release to investigate options trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 25, 1977
Securities and Exchange Commission v. Andrew J. Haswell, Jr.: Response to the Order to Show Cause
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
October 27, 1977
Draft memo to the Chicago Board Options Exchange membership on SEC options proceedings
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
October 28, 1977
Report to Commission on Concentration in the Securities Industry by Richard Zecher of SEC's Directorate of Economic and Policy Research
document pdf (Courtesy of Roberta Karmel)
October 28, 1977
Report to Commission on Concentration in the Securities Industry by Richard Zecher of SEC's Directorate of Economic and Policy Research
document pdf (Courtesy of Roberta Karmel)
October 28, 1977
WPPSS News Release: WPPSS Presents Preliminary Updated Construction Budgets
image pdf (Courtesy of Washington State Archives)
November 1977
Improving the Accountability of Publicy Owned Corporations and Their Auditors - Report of the Subcommittee on Reports, Accounting and Management, U.S. Senate Committee on Governmental Affairs (Metcalf Report)
image pdf (AICPA Collection, University of Mississippi)
November 3, 1977
Report of the Advisory Committee on Corporate Disclosure to the SEC
image pdf (Courtesy of the Library of Congress)
November 4, 1977
"The MFOA and Municipal Disclosure," Address by SEC Commissioner John R. Evans to Municipal Finance Officers Association, Disclosure and Current Reporting Colloquium
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 7, 1977
Postcard from Robert L. Aronoff to SEC Commissioner John R. Evans favoring Independent Audit of Municipalities
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 8, 1977
"Electronic Linkage: A Transcontinental Handshake," Remarks by William M. Batten, Chairman, New York Stock Exchange, Inc., at a dinner of the Commercial Club of Boston
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 9, 1977
"The FASB Conceptual Framework Project: A Silent Revolution" - Address by SEC Chairman Harold M. Williams to the Seaview Symposium
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 9, 1977
Letter from Donald Alexander to SEC Chairman Harold Williams on disclosure of illegal payments and corporate perquisites
image pdf (Courtesy of the National Archives and Records Administration)
November 11, 1977
"A View from the SEC," Address by SEC Commissioner John R. Evans to NASD
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 21, 1977
Letter from SEC General Counsel Harvey Pitt to Janet Studley, Counsel, Subcommittee on Federal Spending, Practices and Open Government of the Committee on Governmental Affairs, U.S. Senate, on the Sunshine Act
document pdf (Courtesy of the estate of John Evans)
November 21, 1977
Speech by Gordon Macklin on NASDAQ Trends and National Market System
document pdf (Courtesy of Roberta Karmel)
November 21, 1977
Speech by Gordon Macklin on NASDAQ Trends and National Market System
document pdf (Courtesy of Roberta Karmel)
November 22, 1977
Memo from Harold Williams to Richard Zecher Reacting to Concentration Study
document pdf (Courtesy of Roberta Karmel)
November 22, 1977
Memo from Harold Williams to Richard Zecher Reacting to Concentration Study
document pdf (Courtesy of Roberta Karmel)
November 22, 1977
The ABCs of the ABS [Automated Bond System of the New York Stock Exchange]
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
November 25, 1977
Release by NYSE Announcing Aggregate Profit of Member Firms
document pdf (Courtesy of Roberta Karmel)
November 25, 1977
Release by NYSE Announcing Aggregate Profit of Member Firms
document pdf (Courtesy of Roberta Karmel)
November 28, 1977
Hogan & Hartson v. David M. Butowsky: Memorandum of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
November 28, 1977
Letter from Kenneth Bialkin to Harold Williams After Meeting With ABA Securities Committee
document pdf (Courtesy of Roberta Karmel)
November 28, 1977
Letter from Kenneth Bialkin to Harold Williams After Meeting With ABA Securities Committee
document pdf (Courtesy of Roberta Karmel)
November 28, 1977
Memo from Moshe Levitin, Financial Accounting Standards Board on final report of Advisory Committee on Corporate Disclosure
image pdf (JT Ball Collection, University of Mississippi)
November 28, 1977
Remarks of Junius Peak Post-390
document pdf (Courtesy of Roberta Karmel)
November 28, 1977
Remarks of Junius Peak Post-390
document pdf (Courtesy of Roberta Karmel)
November 29, 1977
Statement of the Honorable John R. Evans, Commissioner, United States Securities and Exchange Commission, before the Subcommittee on Federal Spending Practices and Open Government of the Senate Committee on Government Operations, on the Impact of the Gover
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 30, 1977
Release by NYSE Announcing Demonstration of the Intermarket Trading System (ITS)
document pdf (Courtesy of Roberta Karmel)
November 30, 1977
Release by NYSE Announcing Demonstration of the Intermarket Trading System (ITS)
document pdf (Courtesy of Roberta Karmel)
December 1, 1977
"The National Market System in Perspective" - Address by SEC Chairman Harold M. Williams to the Securities Industry Association
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 6, 1977
Letter and Report from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Next Steps to be Taken to Facilitate the Establishment of a National Market System
document pdf (Courtesy of George Simon)
December 7, 1977
WPPSS News Release: Syndicate Declines to Accept Bond Issue
image pdf (Courtesy of Washington State Archives)
December 8, 1977
Statement of Barbara M. Rothenberg, Member of the Securities Industry Conference on Arbitration, before the SEC concerning the proposals of the conference for handling small claims
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 12, 1977
"The SEC's Evolving Role in Bank Regulation," Address by SEC Commissioner John R. Evans to the AICPA National Conference on Banking
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 12, 1977
U.S. Securities and Exchange Commission News Digest
document pdf (Courtesy of Richard Rowe)
December 13, 1977
"Inflation, Corporate Financial Reporting and Economic Reality" - Address by SEC Chairman Harold M. Williams to The Conference Board
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 14, 1977
Department of Treasury News: Statement of W. Michael Blumenthal, Secretary of the Treasury before the Senate Committee on Banking, Housing and Urban Affairs on New York City's fiscal condition
transcript pdf (Courtesy of National Archives and Records Administration)
December 15, 1977
Reply letter from SEC Chairman Harold Williams to Donald Alexander on recommendations of the Advisory Committee on Corporate Disclosure
transcript pdf (Courtesy of the National Archives and Records Administration)
December 19, 1977
Securities Exchange Act of 1934, Amendment - Foreign Corrupt Practices
image pdf (Courtesy of the National Archives and Records Administration)
December 23, 1977
Letter from Senator William Proxmire to Daniel Schatz on SEC's Report on Transactions in New York City Securities
document pdf (Courtesy of Daniel Schatz)
December 30, 1977
WPPSS News Release: WPPSS Plans Bond Sale
image pdf (Courtesy of Washington State Archives)
1978
Bankruptcy Reform Act of 1978 (Public Law No. 95-598); Section 202 of IAA amended; Sections 2(a)(8), 6(a)(2), 25(d) of ICA amended
document pdf (Government Records)
January 1,1978
Chiarella Indictment SDNY
document pdf (Courtesy of Donna Nagy)
1978
NASD Annual Report
image pdf (Courtesy FINRA)
1978
NASD Notices to Members

(Courtesy of FINRA)

1978
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 1978
Securities and Exchange Commission v. E.L. Aaron & Co et al and Peter E. Aaron: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
1978
The Commission on Auditors' Responsibilities: Report, Conclusions and Recommendations (Cohen Commission Report)
image pdf (Courtesy of the American Institute of Certified Public Accountants)
1978
The Cornerstone of the National Market System, ITS - Intermarket Trading System
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
1978
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 4, 1978
"Professional Self-Governance: An Interim Report" - Address by SEC Chairman Harold M. Williams to AICPA
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 5, 1978
Memo from SEC Commissioner Loomis to SEC Commissioner Evans concerning applicants for the position of legal assistant to Commissioner Loomis
document pdf (Courtesy of the estate of John Evans)
January 6, 1978
Letter from Endicott Peabody to Stuart Eizenstat on Investment Policy Act of 1977
image pdf (Courtesy of the Jimmy Carter Library and Museum)
January 11, 1978
"Corporate Checks and Balances," Address by SEC Commissioner John R. Evans to Middle Atlantic Regional Group, American Society of Corporate Secretaries
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 11, 1978
"Politics of Change in the Composition and Structure of Corporate Boards" - Address by SEC Commissioner Roberta S. Karmel to the American Society of Corporate Secretaries
image pdf (Government Records)
January 13, 1978
Invitation from NYSE's William Batten to Commission to Attend Intermarket Trading System (ITS) Demonstration
document pdf (Courtesy of Roberta Karmel)
January 13, 1978
Invitation from NYSE's William Batten to Commission to Attend Intermarket Trading System (ITS) Demonstration
document pdf (Courtesy of Roberta Karmel)
January 18, 1978
"Corporate Accountability" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 19, 1978
"A Conservative Approach to Radical Change" - Remarks by William M. Batten, New York Stock Exchange to a meeting of the Section of Banking, Corporation and Business Law of the New York State Bar Association
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
January 19, 1978
Release by NYSE on Benefits of Intermarket Trading System (ITS)
document pdf (Courtesy of Roberta Karmel)
January 19, 1978
Release by NYSE on Benefits of Intermarket Trading System (ITS)
document pdf (Courtesy of Roberta Karmel)
January 20, 1978
Memo to Susan Magee from Harvey Galper with briefing materials for Secretary of the Treasury's meeting with mayors
image pdf (Courtesy of National Archives and Records Administration)
January 23, 1978
WPPSS News Release: Auditors Complete Review of WPPSS Procedures
image pdf (Courtesy of Washington State Archives)
January 23, 1978
WPPSS News Release: Cost Estimates Revised for Nuclear Projects
image pdf (Courtesy of Washington State Archives)
January 24, 1978
Letter from Arthur F. Burns, Federal Reserve to SEC Chairman Harold M. Williams on Regulation S-X
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
January 24, 1978
Letter from David Silver (ICI) to Harold Williams Regarding Mutual Fund Advertising
document pdf (Courtesy of Roberta Karmel)
January 24, 1978
Letter from David Silver (ICI) to Harold Williams Regarding Mutual Fund Advertising
document pdf (Courtesy of Roberta Karmel)
January 27, 1978
Memo from Sydney Mendelsohn to Harold Williams Regarding the Investment Company Act
document pdf (Courtesy of Roberta Karmel)
January 27, 1978
Memo from Sydney Mendelsohn to Harold Williams Regarding the Investment Company Act
document pdf (Courtesy of Roberta Karmel)
January 28, 1978
"The Future of the Securities Industry" - Address by SEC Chairman Harold M. Williams, Gustave L. Levy Memorial Lecture, Twelfth Annual Conference on Wall Street and the Economy
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 30, 1978
Letter from U.S. Representative John Jenrette to Stuart Eizenstat on Financial World article on securities industry and SEC
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
January 30, 1978
Memo from Stanley Judd to Robert Pozen Regarding Mutual Fund Advertising
document pdf (Courtesy of Roberta Karmel)
January 30, 1978
Memo from Stanley Judd to Robert Pozen Regarding Mutual Fund Advertising
document pdf (Courtesy of Roberta Karmel)
January 31, 1978
WPPSS News Release: WPPSS Sells $150 Million Worth of Revenue Bonds
image pdf (Courtesy of Washington State Archives)
February 1, 1978
Letter from George Davis to Harold Williams Against Repealing 390
document pdf (Courtesy of Roberta Karmel)
February 1, 1978
Letter from George Davis to Harold Williams Against Repealing 390
document pdf (Courtesy of Roberta Karmel)
February 1, 1978
Letter from members of Congress in support of Office of Consumer Representation
image pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
February 1978
Securities and Exchange Commission v. Aminex Resources Corporation: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 2, 1978
Letter to Roger Blanc, SEC from Michael Meyer, Schiff Hardin & Waite on Options Price Reporting Authority
image pdf (Courtesy of FINRA)
February 3, 1978
Memo from Sydney Mendelsohn to Harold Williams Regarding Restructuring Role & Responsibilities of the Division of Investment Management
document pdf (Courtesy of Roberta Karmel)
February 3, 1978
Memo from Sydney Mendelsohn to Harold Williams Regarding Restructuring Role & Responsibilities of the Division of Investment Management
document pdf (Courtesy of Roberta Karmel)
February 7, 1978
Memo from Division of Investment Management to the Commission Regarding ICI Meeting on Advertising
document pdf (Courtesy of Roberta Karmel)
February 7, 1978
Memo from Division of Investment Management to the Commission Regarding ICI Meeting on Advertising
document pdf (Courtesy of Roberta Karmel)
February 13, 1978
Letter from SEC Commissioner John Evans to Kevin Kenny, J.J. Kenny Co., Inc.
document pdf (Courtesy of the estate of John Evans)
February 15, 1978
SEC Release - Preliminary Response of the Commission to the recommendations of the Advisory Committee on Corporate Disclosure
image pdf (JT Ball Collection, University of Mississippi)
February 16, 1978
Request from U.S. Representative John E. Moss to SEC Commissioner John R. Evans to testify as part of the House investigation into the organization and reform measures of the American Institute of Certified Public Accountants
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 22, 1978
Letter from Irwin Langbein to Malcolm and Irma Mason on next steps against TMT Trailer Ferry, Inc.
image pdf (Malcolm Mason Papers, with permission of Jan Freundschuh)
February 23, 1978
"Economic Priorities for Business" - Address by SEC Chairman Harold M. Williams to the Economic Club of Chicago
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 24, 1978
Financial Accounting and Reporting by Oil and Gas Companies - Financial Accounting Standards Board Filings with SEC and Department of Energy

(JT Ball Collection, University of Mississippi)

February 25, 1978
Remarks of John Moss on Problems in the Public Accounting and Auditing Profession
document pdf (Courtesy of Roberta Karmel)
February 25, 1978
Remarks of John Moss on Problems in the Public Accounting and Auditing Profession
document pdf (Courtesy of Roberta Karmel)
February 27, 1978
Accounting Practices: Oil and Gas Producers - Financial Accounting Standards, Comments of the U.S. Department of Justice
image pdf (JT Ball Collection, University of Mississippi)
March 1978
The Securities Acts and Independent Auditors: What Did Congress Intend? - Jeremy Wiesen
image pdf (Courtesy of the American Institute of Certified Public Accountants)
March 3, 1978
"The State of the Securities and Exchange Commission - 1978" - Address by SEC Chairman Harold M. Williams to The SEC Speaks in 1978
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

1201 to 1300 of 1588 records

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