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March 9, 1978: SEC News Release: Commission Approves NYSE Rule to Require Independent Audit Committees
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
March 10, 1978: Memo from James Fuller (NYSE) to NYSE Members on Intermarket Trading System Demonstrations
document pdf (Courtesy of Roberta Karmel)
March 10, 1978: Memo from James Fuller (NYSE) to NYSE Members on Intermarket Trading System Demonstrations
document pdf (Courtesy of Roberta Karmel)
March 18, 1978: "The Limitations of Government Regulation" - Address by SEC Commissioner Roberta S. Karmel to the 20th U.S. Air Force Academy Assembly
image pdf (Government Records)
March 20, 1978: "The Resolution of Broker-Dealer Conflicts of Interest in Market Executions" - Address by SEC Commissioner Roberta S. Karmel to the Securities Industry Association Compliance and Legal Seminar
image pdf (Government Records)
March 23, 1978: Letter from President Carter to SEC Chairman Harold Williams on new Executive Order to improve government regulations
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
March 24, 1978: Memo to Robert Mundheim from Daniel Halperin, Department of the Treasury on guarantee of New York City debt
image pdf (Courtesy of National Archives and Records Administration)
March 27, 1978: Note from Chief Justice Warren Burger to Justice William Brennan on SEC v. Sloan
image pdf (Thurgood Marshall Papers, courtesy Library of Congress)
March 27, 1978: Note from Justice William Brennan to Chief Justice Warren Burger on SEC v. Sloan
image pdf (Thurgood Marshall Papers, courtesy Library of Congress)
March 28, 1978: Letter from Robert Hall, New York Stock Exchange to Andrew Klein, SEC on electronic communication system
image pdf (Courtesy of the National Archives and Records Administration)
April 1, 1978: Chiarella Charging Conference Transcript
document pdf (Courtesy of Donna Nagy)
April 1978: SEC Release: SEC and Comptroller of the Currency v. The National Bank of Georgia, The Calhoun First National Bank and T. Bertram Lance
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
April 4, 1978: Letter from John McCloy to Harold Williams Regarding the AICPA's Public Oversight Board (POB)
document pdf (Courtesy of Roberta Karmel)
April 4, 1978: Letter from John McCloy to Harold Williams Regarding the AICPA's Public Oversight Board (POB)
document pdf (Courtesy of Roberta Karmel)
April 12, 1978: Letter from SEC Chairman Harold Williams to President Carter on new Executive Order to improve government regulations
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
April 12, 1978: WPPSS News Release: WPPSS Receives Construction Permit for WNP - 3/5
image pdf (Courtesy of Washington State Archives)
April 14, 1978: Letter from Elkins Wetherill (Philadelphia Stock Exchange) Regarding National Market System and Intermarket Order Routing System
document pdf (Courtesy of Roberta Karmel)
April 14, 1978: Letter from Elkins Wetherill (Philadelphia Stock Exchange) Regarding National Market System and Intermarket Order Routing System
document pdf (Courtesy of Roberta Karmel)
April 14, 1978: Letter from Richard Walbert (Midwest Stock Exchange) to Harold Williams Regarding National Market System and Intermarket Order Routing System
document pdf (Courtesy of Roberta Karmel)
April 14, 1978: Letter from Richard Walbert (Midwest Stock Exchange) to Harold Williams Regarding National Market System and Intermarket Order Routing System
document pdf (Courtesy of Roberta Karmel)
April 18, 1978: Letter from Robert W. Doty to Jack Watson on AICPA non-support for proposed SEC regulatory authority over securities transactions by state and local governments
image pdf (Courtesy of the Jimmy Carter Library and Museum)
April 19, 1978: Letter from John McCloy to Harold Williams Regarding the AICPA's Public Oversight Board (POB)
document pdf (Courtesy of Roberta Karmel)
April 19, 1978: Letter from John McCloy to Harold Williams Regarding the AICPA's Public Oversight Board (POB)
document pdf (Courtesy of Roberta Karmel)
April 19, 1978: Response of the Financial Accounting Standards Board and Financial Accounting Foundation to inquiry from Senator Thomas Eagleton
image pdf (JT Ball Collection, University of Mississippi)
April 20, 1978: Letter from Lloyd Feller, SEC to Robert Hall, New York Stock Exchange on Intermarket Trading System (ITS)
image pdf (Courtesy of the National Archives and Records Administration)
April 24, 1978: Financial Accounting Standards Board letter to SEC Chaiman Harold Williams with materials on improving accounting standards
image pdf (JT Ball Collection, University of Mississippi)
April 28, 1978: WPPSS News Release: WPPSS Board Acts on Change Orders
image pdf (Courtesy of Washington State Archives)
April 28, 1978: WPPSS News Release: WPPSS to Offer $150 Million Bond Issue
image pdf (Courtesy of Washington State Archives)
May 1, 1978: "The Role of the Director in Corporate Accountability" - Address by SEC Chairman Harold M. Williams to the Economic Club of Detroit
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 2, 1978: Letter from U.S. Ambassador Marvin L. Warner to SEC Chairman Harold Williams on visit of SEC Commissioner Irving Pollack to the American Embassy in Switzerland
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 5, 1978: Letter from Irwin Langbein to Malcolm and Irma Mason on review of SEC brief re TMT Trailer Ferry, Inc.
image pdf (Malcolm Mason Papers, with permission of Jan Freundschuh)
May 6, 1978: Note from Chief Justice Warren Burger to Justice William Rehnquist in support of SEC v. Sloan
image pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
May 8, 1978: "Progress Toward Professional Self-Governance: An Update" - Address by SEC Chairman Harold M. Williams to the AICPA Council
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 9, 1978: Florida House of Representatives: Staff Report PCB 39 - Chapter 517 - The Florida Securities Act
image pdf (Courtesy of Donald Rett, former Director, Florida Division of Securities; and former SEC Trial Attorney)
May 9, 1978: WPPSS News Release: Investors to Visit WPPSS Facilities
image pdf (Courtesy of Washington State Archives)
May 10, 1978: Memo from W. Randolph Thompson to Roberta Karmel Summarizing a Meeting with Investment Management Staff Regarding Mutual Fund Advertising
document pdf (Courtesy of Roberta Karmel)
May 10, 1978: Memo from W. Randolph Thompson to Roberta Karmel Summarizing a Meeting with Investment Management Staff Regarding Mutual Fund Advertising
document pdf (Courtesy of Roberta Karmel)
May 15, 1978: Letter from Milton H. Cohen to Andrew M. Klein, Director, SEC Division of Market Regulation with suggestions for improving Rule 19b-4
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 17, 1978: "A Challenge to Mutual Funds" - Address by SEC Chairman Harold M. Williams to the Investment Company Institute
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 17, 1978: Statement of the Honorable Harold M. Williams, Chairman of the Securities and Exchange Commission, before the Subcommittee on Financial Institutions of the Committee on Banking, Housing and Urban Affairs, U .S. Senate
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 19, 1978: Memo from James Frey to President Carter on Securities Investor Protection Act Amendments
image pdf (Courtesy of the Jimmy Carter Library and Museum)
May 20, 1978: Memo from Stuart Eizenstat to President Carter on Securities Investor Protect Act Amendments
image pdf (Courtesy of the Jimmy Carter Library and Museum)
May 23, 1978: WPPSS News Release: WPPSS Sells $150 Million Worth of Revenue Bonds
image pdf (Courtesy of Washington State Archives)
May 24, 1978: "Judicial Dialogues on the Securities Laws" - Address by SEC Commissioner Roberta S. Karmel to the Northwest State-Federal-Provincial Cooperative Securities Conference
image pdf (Government Records)
May 24, 1978: Letter from Kenneth I. Rosenblum, Midwest Stock Exchange, to Harvey Pitt, SEC General Counsel on complaint filed by options market makers against the exchange and Michael Tobin
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 25, 1978: Letter from Elisse Walter, SEC to George Fisher, U.S. Court of Appeals for the D.C. Circuit with answer of SEC in opposition to Aminex petition
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
May 30, 1978: Letter from U.S. Representative James Collins to President Carter on selection of new SEC Commissioner
image pdf (Courtesy of the Jimmy Carter Library and Museum)
May 30, 1978: WPPSS News Release: Audit Firm Finds WPPSS Systems "Adequate"
image pdf (Courtesy of Washington State Archives)
June 1, 1978: "The Role of the Corporate Secretary in Promoting Corporate Accountability" - Address by SEC Chairman Harold M. Williams to the American Society of Corporate Secretaries
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 3, 1978: Memo from Daniel Goelzer to the Commission Transmitting Copy of a Letter from Harold Williams to John McCloy Regarding the Public Oversight Board (POB)
document pdf (Courtesy of Roberta Karmel)
June 3, 1978: Memo from Daniel Goelzer to the Commission Transmitting Copy of a Letter from Harold Williams to John McCloy Regarding the Public Oversight Board (POB)
document pdf (Courtesy of Roberta Karmel)
June 6, 1978: Letter from Senator Herman Talmadge to Frank B. Moore in support of re-appointment of John R. Evans as SEC Commissioner
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 9, 1978: "SEC Influence on Corporate Ethics and Governance," Address by SEC Commissioner John R. Evans to Southwest Assembly on Corporate Ethics and Governance, Southern Methodist University
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 12, 1978: Letter from William Batten, New York Stock Exchange to Ralph Gerson, Office of Ambassador Strauss with NYSE "Public Attitudes Toward Investing" report
image pdf (Courtesy of the Jimmy Carter Library and Museum)
June 13, 1978: Letter from Wallace F. Bennett to President Carter in support of the re-appointment of John Evans to the SEC Commission
document pdf (Courtesy of the estate of John Evans)
June 13, 1978: Memo from Edwin Nordlinger to William Moran Regarding Suspension of Trading in a Security
document pdf (Courtesy of Roberta Karmel)
June 13, 1978: Memo from Edwin Nordlinger to William Moran Regarding Suspension of Trading in a Security
document pdf (Courtesy of Roberta Karmel)
June 14, 1978: Letter from John E. Horne to President Carter in support of the re-appointment of John Evans to the SEC Commission
document pdf (Courtesy of the estate of John Evans)
June 14, 1978: Letter from John McCloy to Harold Williams Regarding the AICPA's Public Oversight Board (POB)
document pdf (Courtesy of Roberta Karmel)
June 14, 1978: Letter from John McCloy to Harold Williams Regarding the AICPA's Public Oversight Board (POB)
document pdf (Courtesy of Roberta Karmel)
June 14, 1978: Letter from SEC Commissioner Philip A. Loomis, Jr. to President Carter in support of re-appointment of John R. Evans as SEC Commissioner
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 15, 1978: "The National Market System: A Status Report" - Address by SEC Chairman Harold M. Williams to the FBA/CCH National Market System Conference
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 16, 1978: "Reflections on the Revolving Door" - Speech by SEC Commissioner Roberta S. Karmel before the Federal Bar Association - Securities Law Committee
image pdf (Government Records)
June 19, 1978: "The Emerging Responsibilities of the Internal Auditor" - Address by SEC Chairman Harold M. Williams to the Institute of Internal Auditors
image pdf (Government Records)
June 19, 1978: Securities and Exchange Commission v. Heritage Trust Company, John R. Bromley and H.D. Williams, Jr.: Memorandum
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
June 20, 1978: In the Matter of Bunker Ramo Corporation, GTE Information Systems Incorporated and Options Price Reporting Authority: Statement of Bunker Ramo in opposition to levy of access fees by the Options Price Reporting Authority
image pdf (Courtesy of FINRA)
June 20, 1978: Letter from Joseph L. Grant, SEC Atlanta Assistant Regional Administrator, to SEC Commissioner John Evans in support of Mr. Evans's re-appointment to the SEC Commission
document pdf (Courtesy of the estate of John Evans)
June 20, 1978: SEC Hearing in the matter of Bunker Ramo Corporation, GTE Information Systems Incorporated and Options Price Reporting Authority
image pdf (Courtesy of FINRA)
June 21, 1978: Letter from David G. Taylor, Continental Bank, to Tim Kraft, Special Assistant to the President, in support of the re-appointment of John Evans to the SEC Commission
document pdf (Courtesy of the estate of John Evans)
June 21, 1978: Memo from James Gammill to Stuart Eizenstat on meeting with SEC Chairman Harold Williams
image pdf (Courtesy of the Jimmy Carter Library and Museum)
June 22, 1978: Letter from SEC Chairman Harold Williams to Joseph Sullivan, Chicago Board Options Exchange on standardized options trading
image pdf (Courtesy of the National Archives and Records Administration)
June 23, 1978: Letter from SEC Chairman Harold Williams to William Batten, New York Stock Exchange on Intermarket Trading Systems (ITS)
image pdf (Courtesy of the National Archives and Records Administration)
June 28, 1978: Letter from Sterling D. Colton to President Carter in support of the re-appointment of John Evans to the SEC Commission
document pdf (Courtesy of the estate of John Evans)
June 30, 1978: Memo to the Commission Requesting Expedited Decision on Division Letter to Exchanges Regarding Options Moratorium
document pdf (Courtesy of Roberta Karmel)
June 30, 1978: Memo to the Commission Requesting Expedited Decision on Division Letter to Exchanges Regarding Options Moratorium
document pdf (Courtesy of Roberta Karmel)
July 1, 1978: SEC Report to Congress on the Accounting Profession and the Commission's Oversight Role
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July to August 1978: U.S. Securities and Exchange Commission Employee News
document pdf (Courtesy of Theodore Levine)
July 10, 1978: Morgan Stanley Technical Market Comment, by John A. Mendelson
image pdf (Courtesy of the Jimmy Carter Library and Museum)
July 11, 1978: Letter from William D. Moran to President Carter in support of the re-appointment of John Evans to the SEC Commission
document pdf (Courtesy of the estate of John Evans)
July 14, 1978: In the Matter of Bunker Ramo Corporation, GTE Information Systems Incorporated and Options Price Reporting Authority: Statement of Associated Press in opposition to levy of access fees by the Options Price Reporting Authority
image pdf (Courtesy of FINRA)
July 14, 1978: Letter from Philip J. Lo Bue, Pacific Stock Exchange, to Andrew M. Klein, Director, SEC Division of Market Regulation with comments on guidelines for replacement of involuntarily delisted options classes
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 17, 1978: Letter from ICC Commissioner Charles L. Clapp to SEC Commissioner John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 19, 1978: List of attendees for meeting between Ambassador Robert Strauss's office and members of the securities industry
image pdf (Courtesy of the Jimmy Carter Library and Museum)
July 19, 1978: Securities and Exchange Commission v. Andrew J. Haswell, Jr.: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
August 1, 1978: Letter from S. Lee Kling to Stephen Anbinder, Dillon Read & Co. requesting anti-inflation measures
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
August 3, 1978: United States of America v. Ruth Handler et al.: Order
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
August 8, 1978: "Corporate Accountability and the Lawyer's Role" - Address by SEC Chairman Harold M. Williams to the American Bar Association
image pdf (Government Records)
August 17, 1978: Letter from David Ferber, SEC to Gilbert Ganucheau, Court of Appeals for the Fifth Circuit, re TMT Trailer Ferry, Inc.
transcript pdf (Malcolm Mason Papers, with permission of Jan Freundschuh)
August 21, 1978: Letter from Roger Smith, General Motors to S. Lee Kling supporting deceleration of inflation
image pdf (Courtesy of the Jimmy Carter Library and Museum)
August 22, 1978: "The Changing World of the Accountant: Where the Next Steps Should Lead" - Address by SEC Chairman Harold M. Williams to the American Accounting Association
image pdf (Government Records)
August 23, 1978: Letter from Harvey L. Pitt to SEC Commissioner John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 1978: Agenda for IA/IC Examiner Seminar, September 11-15, 1978
image pdf (Courtesy of Dennis Gurtz)
September 1978: New York Regional Office paper on investment company custody arrangements
image pdf (Courtesy of Dennis Gurtz)
September 1978: Report of the Special Governance Committee to the Board of Directors, Chicago Board Options Exchange
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
September 12, 1978: Letter from Senator William Proxmire to President Carter in support of re-appointment of John R. Evans as SEC Commissioner
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 13, 1978: Letter to Theodore Urban, SEC from Michael Meyer, Schiff Hardin & Waite on status of SEC review of Options Price Reporting Authority
image pdf (Courtesy of FINRA)
September 15, 1978: Letter from David Silver (ICI) to Roberta Karmel Transmitting Letter from Gordon Macklin (NASD) Regarding Mutual Fund Advertising
document pdf (Courtesy of Roberta Karmel)
September 15, 1978: Letter from David Silver (ICI) to Roberta Karmel Transmitting Letter from Gordon Macklin (NASD) Regarding Mutual Fund Advertising
document pdf (Courtesy of Roberta Karmel)
September 15, 1978: Letter to U.S. Representative Tom Steed from Ivan Fugate, Independent Bankers Association of America recommending changes to Financial Institutions Regulatory Act of 1978
image pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 20, 1978: Letter to Ivan Fugate, Independent Bankers Association of America from U.S. Representative Tom Steed on Financial Institutions Regulatory Act of 1978
transcript pdf (Tom Steed Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)

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