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1401 to 1500 of 1588 records

Page:
September 22, 1978
Memo to NASD Senior Management Group from Dennis Hensley with September 18th New York Stock Exchange comment letter to SEC on proxy rules
image pdf (Courtesy of FINRA)
September 24, 1978
"The SEC as a Developmental Agency" - Address by SEC Commissioner Roberta S. Karmel to the National Securities Traders Association
image pdf (Government Records)
September 26, 1978
"Egalitarianism and Market Systems" - Address by SEC Chairman Harold M. Williams, Columbia University/McGraw-Hill Lectures in Business and Society
image pdf (Government Records)
September 30, 1978
44th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
Fall 1978
Elliot Handler et al. v. Securities and Exchange Commission: Reply Brief for Appellants
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
October 2, 1978
Memo from James Frey to President Carter on HR 11567: SEC appropriations
image pdf (Courtesy of the Jimmy Carter Library and Museum)
October 5, 1978
Letter to Gordon Macklin, NASD from Professor Donald Schwartz with Judge Friendly's speech on corporate governance
transcript pdf (Courtesy of FINRA)
October 5, 1978
SEC Should Strengthen its Inspection Oversight of the National Association of Securities Dealers - Report by the U.S. Comptroller General
image pdf (Courtesy of the Library of Congress)
October 9, 1978
"Current Problems in Financial Reporting and Internal Controls" - Address by SEC Chairman Harold M. Williams to the Financial Executives Institute International Conference
image pdf (Government Records)
October 19, 1978
Remarks by Under Secretary of the Treasury Anthony Solomon to the Public Securities Association
image pdf (Courtesy of the Jimmy Carter Library and Museum)
October 20, 1978
"What Should Be the Role of the SEC in the Public Securities Markets?" - Address by SEC Commissioner Roberta S. Karmel to the Public Securities Association
image pdf (Government Records)
October 23, 1978
Letter from James Schropp, SEC Assistant General Counsel to Wallace Furstenau, U.S. District Court, Arizona re High Valley Investments, Inc. v. Securities and Exchange Commission
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
October 27, 1978
Joint Submission of Chicago Board Options Exchange and Midwest Stock Exchange to SEC Chairman Harold M. Williams on the proposed combination of Midwest's stock options program with that of CBOE
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 3, 1978
"Audit Committees - The American Experience," Address by SEC Commissioner Philip A. Loomis, Jr. to The Institute of Chartered Accountants in England and Wales
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 3, 1978
"SEC Corporate Governance Proposals: An Update," Address by SEC Commissioner John R. Evans to Santa Barbara Conference, American Society of Corporate Secretaries
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 7, 1978
Securities and Exchange Commission v. Hay Springs Corporation et al.: Official Transcript Ruling
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
November 10, 1978
Comment Letter from Milton Cohen to SEC Secretary George Fitzsimmons Regarding NYSE Options Trading
document pdf (Courtesy of Roberta Karmel)
November 10, 1978
Comment Letter from Milton Cohen to SEC Secretary George Fitzsimmons Regarding NYSE Options Trading
document pdf (Courtesy of Roberta Karmel)
November 10, 1978
Letter from Milton H. Cohen, Schiff Hardin & Waite, to the SEC in support of the Chicago Board Options Exchange's position on the New York Stock Exchange's creation of an options market
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 14, 1978
Transcript of exit interview with Jim Fallows, by Lee Johnson
image pdf (Courtesy of the Jimmy Carter Library and Museum)
November 20, 1978
Letter from Sarah Weddington to SEC Commissioner Roberta Karmel on appointment to Interdepartmental Task Force on Women
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
November 22, 1978
Thank-you letter from Sarah Weddington to SEC Chairman Harold Williams on nominations of Roberta Karmel and Amy Goodman to Interdepartmental Task Force on Women
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
November 30, 1978
Memo from the Division of Market Regulation to the Commission Regarding the Effect of the Bankruptcy Act Amendment on SIPC
document pdf (Courtesy of Roberta Karmel)
November 30, 1978
Memo from the Division of Market Regulation to the Commission Regarding the Effect of the Bankruptcy Act Amendment on SIPC
document pdf (Courtesy of Roberta Karmel)
December 1978
NASD Newsletter
image pdf (Courtesy FINRA)
December 1978
The New York Stock Exchange & The National Market System
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
December 5, 1978
Securities and Exchange Commission v. Andrew J. Haswell, Jr.: Brief of Andrew J. Haswell, Jr.
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
December 8, 1978
"Improving the Accounting Profession: A Shared Responsibility," Address by SEC Commissioner John R. Evans to 8th Annual SEC Conference, Florida Institute of Certified Public Accountants
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 19, 1978
Securities and Exchange Commission v. Andrew J. Haswell, Jr.: Reply Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
December 22, 1978
Report of the SEC's Special Study of the Options Market

(Courtesy of Stuart Kaswell)

December 28, 1978
Letter from Stephen Friedman, Department of the Treasury to Arnold Miller concerning upcoming meeting with Bill Greenough for SEC Commission
image pdf (Courtesy of the Jimmy Carter Library and Museum)
January 1979
Corporate Governance: Survey of Corporate Boards, Structure and Composition - New York Stock Exchange
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
1979
NASD Annual Report
image pdf (Courtesy FINRA)
1979
NASD Notices to Members

(Courtesy of FINRA)

1979
National Securities Clearing Corporation Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1979
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
Winter, 1979
The Impending Raid on Your Private Life
image pdf
1979
Welcome to the Securities and Exchange Commission, for prospective staff
image pdf (Courtesy of Stuart Kaswell)
January 4, 1979
Letter from James Buck, New York Stock Exchange, to George Fitzimmons, SEC Secretary on the NYSE proposal to enter the options trading market
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 9, 1979
"The Accounting Profession: Responses to an Environment of Change" - Address by SEC Chairman Harold M. Williams to the AICPA
image pdf (Government Records)
January 12, 1979
Statement of Meeting of the Municipal Securities Rulemaking Board with the SEC
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 15, 1979
Letter from SEC Chairman Harold Williams to Gary Seevers, Commodity Futures Trading Commission, on registration of futures associations
transcript pdf (Courtesy of the National Archives and Records Administration)
January 17, 1979
"Disclosure Policy and the Public Interest" - Remarks by SEC Commissioner Roberta Karmel to the New York Regional Group, American Society of Corporate Secretaries
image pdf (Government Records)
January 17, 1979
Letter from Gabriel Danihel, SEC to President Carter
image pdf (Courtesy of the Jimmy Carter Library and Museum)
January 18, 1979
"Corporate Accountability - One Year Later" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute
image pdf (Government Records)
January 26, 1979
"Emerging Isues Concerning Administrative Procedures" - Address by SEC Commissioner Roberta S. Karmel in San Francisco
image pdf (Government Records)
January 31, 1979
Application to SEC from Options Price Reporting Authority as securities information processor
image pdf (Courtesy of FINRA)
February 2, 1979
Chiarella Cert Petition Supreme Court
document pdf (Courtesy of Donna Nagy)
February 2, 1979
Memo from the Division of Market Regulation to the Commission on Options Study and Options Moratorium
document pdf (Courtesy of Roberta Karmel)
February 2, 1979
Memo from the Division of Market Regulation to the Commission on Options Study and Options Moratorium
document pdf (Courtesy of Roberta Karmel)
February 5, 1979
SEC Final Report in the Matter of Transactions in the Securities of the City of New York to the U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (Courtesy of Kathryn McGrath)
February 14, 1979
Letter from Scott Lager, Chicago Board Options Exchange, to Michael Maloney, Assistant Director, SEC Division of Market Regulation on options trading closing
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 21, 1979
Letter from Elkins Wetherill, Philadelphia Stock Exchange, to George Fitzsimmons, SEC Secretary on standardized options trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 23, 1979
"Jurisdictional Concerns in Securities Law Enforcement" - Remarks by SEC Commissioner Roberta S. Karmel to Federal Bar Council
image pdf (Government Records)
February 27, 1979
Memorandum prepared by Janet R. Zimmer, Special Counsel, SEC Division of Market Regulation on options closing hours and closing rotations
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 28, 1979
"The SEC, the Accounting Profession, and Self-Regulation," Address by SEC Commissioner John R. Evans as part of the Distinguished Speaker Series, Department of Accounting, University of Kentucky
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 2, 1979
Letter from Gerald E. Boltz 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)
March 2, 1979
Letter from Walter D. Vinyard, Jr. to Peggy Rainwater, Presidential Personnel Office, in support of the re-appointment of John Evans to the SEC Commission
document pdf (Courtesy of the estate of John Evans)
March 2, 1979
Williams, SEC Chairman Harold M., "The State of the Securities and Exchange Commission," to The SEC Speaks, Practising Law Institute
document pdf (Courtesy of Theodore A. Levine)
March 3, 1979
Presidential Personnel Plum File - Affirmative Action Profile
image pdf (Courtesy of Jimmy Carter Presidential Library)
March 9, 1979
Scope of Services by CPA Firms - Public Oversight Board Report
image pdf (Anonymous)
March 9, 1979
Women Appointed to Top Positions by President Carter
image pdf (Courtesy of Jimmy Carter Presidential Library)
March 29, 1979
Chiarella Opp Cert Supreme Court
document pdf (Courtesy of Donna Nagy)
March 30, 1979
Letter from SEC Chairman Harold M. Williams to Bernard Martin, Office of Management and Budget, on the draft "Paperwork Reduction" bill
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 3, 1979
New York State Attorney General Release endorsing SEC proposed rules on tender offers
image pdf (Courtesy of Orestes Mihaly)
April 5, 1979
"The Securities and Exchange Commission's Response to the Problems of Small Business" - Address by SEC Chairman Harold M. Williams at White House Conference on Small Business
image pdf (Government Records)
April 20, 1979
Letter from Stanley R. Greenfield to SEC Commissioner John R. Evans describing a prospective magazine for corporate directors
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 23, 1979
"Is the Securities Industry Ready for Regulatory Reform?" - Address by SEC Commissioner Roberta S. Karmel to the Compliance and Legal Seminar, Securities Industry Association
image pdf (Government Records)
April 23, 1979
"The Role of Law in Society" - Address by SEC Chairman Harold M. Williams to the Legal Aid Society
image pdf (Government Records)
April 26, 1979
"Regulatory Reform to Assist Small Business" - Remarks by SEC Commissioner Roberta S. Karmel to the Hennepin County Bar Association
image pdf (Government Records)
April 27, 1979
Memo from Irving Shapiro and John deButts on federal corporate governance legislation
transcript pdf (Courtesy of FINRA)
April 30, 1979
Letter from the Audit Committee, Standard Oil of California to SEC Chairman Harold M. Williams on reserve recognition accounting
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 2, 1979
Letter from U.S. Senator William Proxmire to SEC Chairman Harold Williams on the SEC's disclosure of questionable corporate payment cases
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 3, 1979
Protest letter from U.S. Representative Ronald Mottl to President Carter on closure of SEC Cleveland Branch Office
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
May 16, 1979
Letter from President Carter to SEC Chairman Harold Williams asking that the SEC establish a public participation funding program
image pdf (Courtesy of the Jimmy Carter Library and Museum)
May 18, 1979
Memo to SEC Commission from Division of Enforcement on proposed Accounting Series Release: Scope of Services of CPA Firms
image pdf (Courtesy of National Archives)
May 24, 1979
Memo from Roberta Karmel to Harold Williams Regarding American Law Institute (ALI) Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
May 24, 1979
Memo from Roberta Karmel to Harold Williams Regarding American Law Institute (ALI) Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
May 31, 1979
"Financial Reporting in a Changing Economic Environment" - Address by SEC Chairman Harold M. Williams at FASB Conference on Financial Reporting
image pdf (Government Records)
May 31, 1979
Letter from Aaron Levy, SEC Division of Corporate Regulation to C. Merritt Pumphrey, Circuit Court for Howard County, Maryland requesting that James L. Akers, Jr., Chief of the Branch of Public Utility Regulation, be excused from jury duty
image pdf (Courtesy of James L. Akers, Jr.)
June 1, 1979
Chiarella SIA Brief Supreme Court
document pdf (Courtesy of Donna Nagy)
June 1, 1979
Letter from Robert J. Birnbaum, American Stock Exchange, to SEC Chairman Harold M. Williams, protesting SEC approval of the expansion of the Chicago Board Options Exchange
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 5, 1979
"Corporate Governance Issues and Small Business" - Remarks by SEC Commissioner Roberta S. Karmel to American Stock Exchange-Wharton School Conference on Mid-Range Companies
image pdf (Government Records)
June 7, 1979
Congratulatory Letter from Barbara L. Leventhal, Municipal Securities Rulemaking Board, to John R. Evans
document pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from Alan Rosenblat to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from Joan M. Fleming, SEC, to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from John S.R. Schoenfeld, International Management and Development Institute, to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from Martin E. Lybecker, SEC, to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1979
Congratulatory Letter from Richard B. Smith to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 11, 1979
Congratulatory Letter from Daniel J. McCauley, Jr. to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 12, 1979
Congratulatory Letter from Hugh Owens, Securities Investor Protection Corporation, to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 12, 1979
Congratulatory Letter from retired Senator Wallace F. Bennett to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 12, 1979
Congratulatory Letter from Senator William Proxmire to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 12, 1979
Letter to President Carter from U.S Senator William Proxmire on Foreign Corrupt Practices Act
image pdf (Courtesy of the Ronald Reagan Library)
June 13, 1979
Congratulatory Letter from Gerald Boltz to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1979
Congratulatory Letter from Harvey L. Pitt to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1979
Congratulatory Letter from John C. "Sandy" Burton to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 13, 1979
Letter from R.C. Dikeman to SEC Commissioner John R. Evans on the National Association of Bond Dealers
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 15, 1979
Congratulatory Letter from A. A. Sommer, Jr. to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 18, 1979
Reply from Stuart Eizenstat to U.S. Representative Ronald Mottl on closure of SEC Cleveland Branch Office
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)

1401 to 1500 of 1588 records

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