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201 to 300 of 1588 records

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April 6, 1972
SEC Release: Proposal to Adopt Rule 205-1
image pdf (Courtesy of Richard Wendt)
April 7, 1972
Letter to David Francis, The Christian Science Monitor from "a saleman" on mutual fund industry
transcript pdf (Courtesy of National Archives and Records Administration)
April 10, 1972
Letter from John W. Dean III to Senator James O. Eastland invoking executive privilege for Peter Flanigan
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
April 10, 1972
Protest to SEC from John J. Carroll on captive mutual fund sales
transcript pdf (Courtesy of National Archives and Records Administration)
April 17, 1972
SEC Release: Survey of Investment Company Incentive Fee Arrangements
image pdf (Courtesy of Richard Wendt)
April 19, 1972
Democratic Policy Council Release: Democratic Planning Group Releases Report on Ethnic America
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
April 19, 1972
Memo from John Dean to Peter Flanigan in response to letter from Senator Eastland
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
April 20, 1972
Special New York Stock Exchange Membership Bulletin on Institutional Membership Constitution and Rule Amendments
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
April 21, 1972
Reply to John J. Carroll from Alan Rosenblat, SEC Chief Counsel
transcript pdf (Courtesy of National Archives and Records Administration)
April 23, 1972
Democratic Policy Council Release: Nixonomics - A Record of Economic Policy Misjudgment and Mismanagement
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
April 25, 1972
Letter from Haack to Williams re Subcommittee Staff Document
document pdf (Courtesy of the National Archives and Records Administration)
April 28, 1972
Remarks by Bryce N. Harlow before the California Business Administration Alumni Association
transcript pdf (Courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
May 5, 1972
Letter from Casey to Sparkman with Amendments to Sparkman-Bennett Bill
document pdf (Courtesy of the National Archives and Records Administration)
May 16, 1972
A Look at the Private Offering Exemption as It Approaches its Fortieth Birthday - Address by SEC Commissioner Hugh Owens before Annual Meeting of District No. 4, National Association of Securities Dealers
image pdf (Courtesy of David B.H. Martin)
May 17, 1972
Letter from Casey to Sparkman with SEC Policy Statement on Future Structure of Securities Markets
document pdf (Courtesy of the National Archives and Records Administration)
May 18, 1972
Letter to A. Clarence Sampson from Donald Schneeman, American Institute of Certified Public Accountants with edits on independence of certifying accountants
image pdf (Courtesy of David S. Ruder)
May 19, 1972
"Towards Common Accounting Standards" - Address by SEC Chairman William J. Casey to the Conference on Financial Reporting
image pdf (Courtesy of Stephen A. Zeff)
May 21, 1972
Protest to SEC Chairman William Casey from Tolman Everett on misuse of proxy rules
image pdf (Courtesy of National Archives)
May 24, 1972
Letter from Casey to Sparkman re Proposed Legislation re Investment Advisor Sale of Business
document pdf (Courtesy of the National Archives and Records Administration)
May 24, 1972
New York State Attorney General Release on arrest of Steven Telsey on stock fraud
image pdf (Courtesy of Orestes Mihaly)
June 1, 1972
Memo to Max Friedersdorf from Richard Erb concerning the SEC
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
June 1, 1972
Report of the SEC Advisory Committee on Enforcement Policies and Practices (Wells Committee Report)

(Courtesy of Robert Knuts)

June 2, 1972
Letter from Sparkman to Moss re Pending Legislation
document pdf (Courtesy of the National Archives and Records Administration)
June 6, 1972
U.S. Securities and Exchange Commission Release on Great Southwest Corporation Offer of Settlement
document pdf (Courtesy of Richard Rowe)
June 13, 1972
Reply to Tolman Everett from Peter Romeo, SEC
image pdf (Courtesy of National Archives)
June 16, 1972
Further protest to SEC Chairman William Casey from Tolman Everett on SEC response
image pdf (Courtesy of National Archives)
June 16, 1972
Letter to SEC Chairman from James Jeffery with concerns on corporation management
transcript pdf (Courtesy of National Archives and Records Administration)
June 16, 1972
Memo from J.J. Donohue, New York Stock Exchange on visit from Alton B. Harris, Securities Industry Study
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 19-23, 1972
Manual for SEC Enforcement Training Program

(Courtesy of Gregory G. Faragasso)

June 20, 1972
NASD News - Special Report
image pdf (Courtesy FINRA)
June 30, 1972
38th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
June 30, 1972
Reply to James Jeffery from James Clarkson, SEC Attorney Adviser on proxy rules
transcript pdf (Courtesy of National Archives and Records Administration)
July 1972
Answering Brief of the U.S. Securities and Exchange Commission, SEC v. Computer Statistics, Inc.
document pdf (Courtesy of Richard Rowe)
July 7, 1972
Findings, Opinion and Stop Order in the Matter of Brian - Lloyd Co., Inc.
document pdf (Courtesy of Richard Rowe)
July 13, 1972
SEC Release: Proposal to Adopt Rule 205-2
image pdf (Courtesy of Richard Wendt)
July 24, 1972
Proposed Findings of Fact and Conclusions of Law and Brief in Support Thereof in the Matter of Lake Ontario Cement Ltd.
document pdf (Courtesy of Richard Rowe)
July 31, 1972
Memo from Caspar Weinberger to President Nixon on Troika Plus meeting
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
August 1, 1972
Department of Treasury News: Treasury Adopts Rules for Taxing Interest on Industrial Development Bonds
image pdf (Courtesy of National Archives and Records Administration)
August 3, 1972
The Financial Collapse of the Penn Central Company: Staff Report of the Securities and Exchange Commission to the Special Subcommittee on Investigations

(Courtesy of David S. Ruder)

August 26, 1972
Memo from John Ehrlichman to Alexander Haig on Robert Vesco
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
August 31, 1972
Findings and Stop Order in the Matter of U.S. Stock Transfer Corporation
document pdf (Courtesy of Richard Rowe)
September 6, 1972
Findings and Opinion of the Commission in the Matter of Levitz Furniture Corporation
document pdf (Courtesy of Richard Rowe)
September 13, 1972
Memo from Charles Colson to Fred Fielding on SEC handling of ITT investigation
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
September 18, 1972
Letter from Sparkman to Casey re Pyramid Schemes
document pdf (Courtesy of the National Archives and Records Administration)
October 2, 1972
"The Partnership between the Accounting Profession and the SEC" - Address by SEC Chairman William J. Casey to AICPA
image pdf (Courtesy of Stephen A. Zeff)
October 2, 1972
Memo from Charles Colson to Fred Fielding on upcoming SEC release of ITT files to Judiciary Committee
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
October 3, 1972
"Investor Relations and Corporate Credibility" - Address by SEC Chairman William J. Casey to National Investor Relations Institute
image pdf (Courtesy of Stephen A. Zeff)
October 6, 1972
Letter from SEC Chairman William J. Casey to U.S. Representative Harley O. Staggers explaining release of ITT materials to Department of Justice
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
October 10, 1972
Memo to Peter Flanigan from Richard Erb on proposed SEC legislation
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
October 10, 1972
Speech by John C. Burton to the Los Angeles Chapter of the California Society of Certified Public Accountants
document pdf (Government Records)
October 13, 1972
Letter from Sparkman to Burns re Legislation Regulating Depositories, Clearing Agencies and Transfer Agents
document pdf (Courtesy of the National Archives and Records Administration)
October 13, 1972
Letter of protest from U.S. Representative Harley O. Staggers to SEC Chairman William J. Casey on release of ITT files to Department of Justice
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
October 13, 1972
Letter of protest from U.S. Representative John E. Moss to SEC Chairman William J. Casey on release of ITT files to Department of Justice
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
October 18, 1972
"Financial Disclosure, Investor Confidence and Corporate Credibility" - Address by SEC Chairman William J. Casey to Financial Executives Institute
image pdf (Courtesy of Stephen A. Zeff)
October 19, 1972
Memo from Lew Engman to John Ehrlichman on SEC Vesco investigation
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
October 25, 1972
Letter from SEC Chairman William J. Casey to U.S. Representative Harley O. Staggers on ITT investigation
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
October 26, 1972
Letter from Ralph E. Erickson, Deputy Attorney General to U.S. Representative Harley O. Staggers on SEC transfer of ITT files to Department of Justice
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
November 1972
Brief of the Securities and Exchange Commission in the matter of TMT Trailer Ferry, Inc., Debtor; and Protective Committee for Independent Stockholders of TMT Trailer Ferry, Inc.
image pdf (Malcolm Mason Papers, with permission of Jan Freundschuh)
November 1, 1972
Letter from U.S. Representative Harley O. Staggers to SEC Chairman William J. Casey ordering examination of SEC handling of ITT materials
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
November 1972
NASD News
image pdf (Courtesy FINRA)
November 6, 1972
Letter from SEC Chairman William J. Casey to John Dean, with draft response letter to Harley Staggers
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
November 10, 1972
SEC Division of Investment Company Regulation - In the Matter of Pacific Scholarship Trust: Proposed Findings and Brief
image pdf (Courtesy of Richard Wendt)
November 10, 1972
SEC Release: Adoption of Rule 205-2
image pdf (Courtesy of Richard Wendt)
November 14, 1972
Letter from Williams to Casey re Automation Program
document pdf (Courtesy of the National Archives and Records Administration)
November 15, 1972
Letter and Press Release from New York Stock Exchange to Herbert Stein on NYSE invitation to Soviet Government Bank of Foreign Trade
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
November 27, 1972
Letter from Casey to Sparkman re Rule 146 Public Offerings
document pdf (Courtesy of the National Archives and Records Administration)
December 1, 1972
"A Blueprint for Securities Markets of the Future" - Address by James J. Needham, Chairman, New York Stock Exchange, Inc. at an annual meeting of the Securities Industry Association
image 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.)
December 19, 1972
Brad Cook to Roy Mouer on a broker-dealer inspector training program in Los Angeles
image pdf (Courtesy of the National Archives and Records Administration)
December 21, 1972
Letter from Sparkman to Needham re NASDAQ advertising as electronic stock market
document pdf (Courtesy of the National Archives and Records Administration)
December 22, 1972
Report of the Industrial Issuers Advisory Committee to the SEC
image pdf (Courtesy of Richard Rowe)
1973
Chicago Board of Trade: Summary of Proposed Options Exchange Bylaws & Rules Regarding Membership Qualifications and Requirements for Various Forms of Participation
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
1973
Comments of the Securities and Exchange Commission on S.2058 to the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs, 93rd Congress, 1st Session
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
1973
NASD Annual Report
image pdf (Courtesy FINRA)
1973
NASD Notices to Members

(Courtesy of FINRA)

January 1973
SEC Summary: Variable Life Insurance and the Petition for the Issuance and Amendment of Exemptive Rules
image pdf (Courtesy of Richard Wendt)
1973
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
1973
Comments of the Securities and Exchange Commission on Title IV of H.R. 5050 to the Subcommittee on Commerce and Finance of the House Committee on Interstate and Foreign Commerce, 93rd Congress, 1st Session
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 5, 1973
Memo from JT Ball to Marshall Armstrong, Financial Accounting Standards Board with notes on January 5th meeting with SEC
image pdf (JT Ball Collection, University of Mississippi)
January 18, 1973
Small Account Investment Management Services - SEC Recommendations for Clearer Guidelines and Policies
image pdf (Courtesy of Kathryn McGrath)
January 22, 1973
Memo from Jana Hruska for file of Don Nixon, Jr. on delivery of files on SEC case on Robert Vesco and IOC to White House
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
February 2, 1973
SEC News Digest
image pdf (Government Records)
February 14, 1973
Brad Cook to Paul Kolton summarizing broker-dealer examiner training sessions
image pdf (Courtesy of the National Archives and Records Administration)
February 21, 1973
Nominations of G. Bradford Cook, Philip A. Loomis, Jr. and John R. Evans - Hearing before the U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (Courtesy of the Library of Congress)
February 23, 1973
Keynote for "The SEC Speaks Again" - Address by SEC Chairman-Designate G. Bradford Cook to PLI
transcript pdf (Courtesy of G. Bradford Cook)
March 1973
NASD News
image pdf (Courtesy FINRA)
March 12, 1973
Mac Herbst et al. v. Charles R. Able et al.: Memorandum of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
March 14, 1973
Memo to John Ehrlichman from William Simon with analysis of positions on the Williams bill
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
March 15, 1973
"The Central Market System: Putting the Markets to Work for the Investor" - Address by SEC Chairman G. Bradford Cook to the New York Financial Writers' Association
transcript pdf (Courtesy of G. Bradford Cook)
March 21, 1973
Memo to Ken Dam from Richard Erb on securities industry
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
March 27, 1973
"The Role of the Analyst in the Evolving Market System" - Address by G. Bradford Cook to the New York Society of Security Analystst
transcript pdf (Courtesy of G. Bradford Cook)
March 29, 1973
"Managing Today's Capital Market System: An Overview" - Address by SEC Chairman G. Bradford Cook to Stanford and MIT Sloan Program
transcript pdf (Courtesy of G. Bradford Cook)
April 2, 1973
John C. Burton, "Forecasts: A Changing View from the Securities and Exchange Commission," to the Northwestern University Conference on Public Reporting of Corporate Financial Forecasts
document pdf (Government Records)
April 3, 1973
Letter from Cook to Sparkman_Long re Foreign Portfolio Sales Corporations (FPSC)
document pdf (Courtesy of the National Archives and Records Administration)
April 6, 1973
"The Director's Dilemma" - Address by SEC Chairman G. Bradford Cook to SMU School of Business Administration
transcript pdf (Courtesy of G. Bradford Cook)
April 19, 1973
"Disclosure and the Changing Business Environment" - Address by SEC Chairman G. Bradford Cook to the American Society of Corporate Secretaries
transcript pdf (Courtesy of G. Bradford Cook)
April 25, 1973
"Democracy in the Markets" - Address by SEC Chairman G. Bradford Cook to the Economic Club of Chicago
transcript pdf (Courtesy of G. Bradford Cook)
May 2, 1973
Remarks by SEC Chairman G. Bradford Cook to Fordham Law Review Alumni Association Annual Meeting
transcript pdf (Courtesy of G. Bradford Cook)
May 7, 1973
John C. Burton, "General Thoughts on the Accounting Environment and Specific Thoughts on Accounting for Lease Financing," for the AGA-EEI Accounting Conference
document pdf (Government Records)
May 7, 1973
Letter to Speaker of the House Carl Albert from Joanne Passaro on Watergate
transcript pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
May 9, 1973
"The Big Enforcement Cases: Their Impact on Investor Confidence" - Address by SEC Chairman G. Bradford Cook to the Society of American Business Writers
transcript pdf (Courtesy of G. Bradford Cook)

201 to 300 of 1588 records

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