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301 to 400 of 1588 records

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May 10, 1973
"1973 - A Challenge to Innovate" - Address by SEC Chairman G. Bradford Cook to Investment Company Institute
transcript pdf (Courtesy of G. Bradford Cook)
May 10 and 11, 1973
John C. Burton, "The SEC and the Accounting Profession: Responsibility, Authority and Progress," for the Accounting Colloquium III, University of Kansas
document pdf (Government Records)
May 11, 1973
"Commission Rates in the Securities Business" - Address by SEC Chairman G. Bradford Cook to the Securities Industry Association
transcript pdf (Courtesy of G. Bradford Cook)
May 16, 1973
Resignation Letter from SEC Chairman G. Bradford Cook to President Nixon
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 16, 1973
Statement by G. Bradford Cook in Announcing his Resignation as SEC Chairman
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 17, 1973
"The Commission and the Regulation of Public Utilities" - Address prepared for G. Bradford Cook and presented by Leonard Rossen to the American Gas Association
transcript pdf (Courtesy of G. Bradford Cook)
May 17, 1973
Letter from John Evans to G. Bradford Cook on Mr. Cook's resignation as SEC Chairman
document pdf (Courtesy of the estate of John Evans)
May 22, 1973
Lettter from Needham to Sparkman re NYSE Board Policy Statement
document pdf (Courtesy of the National Archives and Records Administration)
May 23, 1073
Letter from Pickard to Sparkman re Securities Investor Protection Act
document pdf (Courtesy of the National Archives and Records Administration)
May 24, 1973
Speech by SEC Commissioner John R. Evans in Salt Lake City
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 26, 1973
Memo from Herbert Stein to President Nixon on price freeze
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
May 29, 1973
Letter from Sparkman to Moss re SEC Chairmanship
document pdf (Courtesy of the National Archives and Records Administration)
May 29, 1973
Memo from Alexander Haig to President Nixon on upcoming economic meeting
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
May 31, 1973
Memo from Herbert Stein to George P. Schultz on new economic policy
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
June 1973
A Preliminary Report to the Ministry of Finance on the Spanish Securities Markets, by Allan S. Mostoff, Lewis J. Mendelson, Norman S. Poser and David Green
image pdf (Courtesy of Norman S. Poser)
June 1, 1973
Letter and Memorandum from SEC Commissioner Hugh F. Owens to U.S. Representative Harley O. Staggers regarding the appointment of Lawrence E. Nerheim as SEC General Counsel
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 2, 1973
Letter to Alan Rosenblat from Gerald McDonald on mutual fund regulation
image pdf (Courtesy of National Archives and Records Administration)
June 5, 1973
Letter from John Bitner to Financial Accounting Standards Board on restrictions on resales of stock issued in poolings of interest transactions
image pdf (JT Ball Collection, University of Mississippi)
June 14, 1973
Current Financial Reporting Issues - Remarks by James Needham, New York Stock Exchange
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
June 21, 1973
"Preserving the Auction Market - Core of the Central Market System Debate?" - Remarks by James J. Needham, Chairman, New York Stock Exchange, Inc.
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.)
June 25, 1973
"The Central Market System," Address by SEC Commissioner Philip A. Loomis, Jr. to the Securities Industry Association California District Conference
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 27, 1973
"The Need for Cooperation between the Banking and Securities Industries," Address by SEC Commissioner John R. Evans to Utah Bankers Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 28, 1973
Memo from William C. Freund to New York Stock Exchange Board of Directors on staff analysis of issues affecting a central exchange market for listed securities
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 28, 1973
Request from Arthur Andersen & Co. to Financial Accounting Standards Board to reconsider APB Opinions No. 16 and No. 17, Business Combinations
image pdf (JT Ball Collection, University of Mississippi)
June 30, 1973
39th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1973
A Staff Analysis of Issues Affecting the Structure of a Central Exchange Market for Listed Securities - New York Stock Exchange, Inc. Research Department
image pdf (Courtesy of FINRA)
July 2, 1973
Letter from Owens to Sparkman re NASD Proposed Amendments
document pdf (Courtesy of the National Archives and Records Administration)
July 3, 1973
Letter from James J. Needham, New York Stock Exchange to SEC Commissioner Hugh Owens on consolidated tape
image pdf (Courtesy of the National Archives and Records Administration)
July 6, 1973
Memo to Frederic Hickman from Emil Sunley and J. Huston McCulloch, Department of the Treasury on advance refunding proposal and interrelationship with proposal for optional taxable municipals
image pdf (Courtesy of National Archives and Records Administration)
July 11, 1973
Statement of John R. Evans, Commissioner, Securities and Exchange Commission before the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs on Senate Bill 2058
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 24, 1973
The Role of Institutional Investors in the Stock Market - Briefing Material Prepared for the U.S. Senate Subcommittee on Financial Markets
image pdf (Courtesy of Kathryn McGrath)
July 30, 1973
Syd Mendelsohn to Allen Mostoff on a proposed IA/IC training programs
image pdf (Courtesy of the National Archives and Records Administration)
August 1973
NASD News
image pdf (Courtesy FINRA)
August 6, 1973
Memorandum from Fred M. Haden, National Credit Union Administration, to SEC Commissioner John R. Evans on the impact of share insurance on the growth of insured credit unions
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 7, 1973
Draft Speech by Ray Garrett, Jr. to American Bar Association
document pdf (Courtesy of Harvey L. Pitt)
August 20, 1973
Speech by SEC Commissioner John R. Evans in honor of Senator Wallace F. Bennett
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 24, 1973
Lee Pickard to John Mayer on broker-dealer examinations by the Chicago Regional Office
image pdf (Courtesy of the National Archives and Records Administration)
August 27, 1973
New York Stock Exchange Board Summary Memorandum on recission of one year limitation on ownership of stock - Rule 317
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 6, 1973
Letter from Richard Lytle, AICPA to John Burton, SEC Chief Accountant on SEC Accounting Series Release No. 146, Effect of Treasury Stock Transactions on Accounting for Business Transactions
image pdf (JT Ball Collection, University of Mississippi)
September 10, 1973
Memo from Donald L. Calvin to New York Stock Exchange Board of Directors with letters to Comptroller of the Currency and SEC Chairman on sale of NYSE listed stocks by national banks
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 11, 1973
Arthur Andersen & Co. v. SEC - Complaint for Injunctive and Declaratory Relief re Accounting Series Release No. 146
image pdf (JT Ball Collection, University of Mississippi)
September 11, 1973
Statement of John R. Evans, Commissioner, Securities and Exchange Commission before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce of the House of Representatives on Title IV of HR5050
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 12, 1973
"The Commission Rate Issue," Speech by Ray Garrett, Jr. to Securities Industry Association
document pdf (Courtesy of Harvey L. Pitt)
September 17, 1973
Statement by Ray Garrett, Jr. before the House Committee on Banking and Currency
document pdf (Courtesy of Harvey L. Pitt)
September 18, 1973
Letter from Joseph J. Connolly, Watergate Special Prosecution Force, to Jonathan C. Rose, The White House requesting files from Peter Flanigan
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
September 18, 1973
Price Waterhouse & Co. petition to SEC for reconsideration and hearing on Accounting Series Release No. 146
image pdf (JT Ball Collection, University of Mississippi)
September 19, 1973
"The Impact on the Individual Investor of a Central Auction Market System for Listed Securities" - James J. Needham, New York Stock Exchange Chairman
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 19, 1973
Memo from Samuel A. Gray to New York Stock Exchange Executive Committee on Title IV H.R. 5050 - bill for integrated national system of processing of securities
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 19, 1973
New York Stock Exchange Board Summary Memorandum on commission rate increase
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 19, 1973
New York Stock Exchange Board Summary Memorandum on Nonmember access discount - managed institutional accounts
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 24, 1973
"The Legal Liability of the Accountant" - Address by SEC Commissioner A. A. Sommer, Jr. at the SEC Accounting and Financial Reporting Institute
transcript pdf (Courtesy of Stephen Zeff)
September 24, 1973
New York Stock Exchange Board Summary Memorandum on ticker tape delay procedures
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 25, 1973
"The Internationalization of Our Securities Markets," Speech by Ray Garrett, Jr. to Boston Stock Exchange
document pdf (Courtesy of Harvey L. Pitt)
September 25, 1973
Letter to Speaker of the House Carl Albert from Vice President Spiro Agnew requesting House inquiry
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 26, 1973
Letter from Jonathan C. Rose, The White House to Joseph J. Connolly, Watergate Special Prosecution Force on testimony of Peter Flanigan
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
September 26, 1973
New York Stock Exchange Board Summary Memorandum on news tickers on the floor
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 27, 1973
"Required Disclosure in the Stock Market: The Other Side," Address by SEC Commissioner A.A. Sommer, Jr. to The Conference Board
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 27, 1973
Letter from Paul Kolton, American Stock Exchange, Inc. to Lee Pickard, Director, SEC Division of Market Regulation on options trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 1, 1973
"Bank Participation in Securities Activities," Address by SEC Commissioner John R. Evans to Practising Law Institute.
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 1973
Objectives of Financial Statements - Report of the AICPA Study Group on the Objectives of Financial Statements (Trueblood Report)
image pdf (AICPA Collection, University of Mississippi)
October 3, 1973
"New Challenges for the Securities Industry," Speech by Ray Garrett, Jr. to The Investment Association
document pdf (Courtesy of Harvey L. Pitt)
October 10, 1973
Resignation letter from Vice President Spiro Agnew to Speaker of the House Carl Albert
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
October 10, 1973
Supreme Court memorandum with news of resignation of Vice President Spiro Agnew and of National League baseball game
image pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
October 11, 1973
"New Directions in Professional Responsibility," Speech by Ray Garrett, Jr. to American Bar Association
document pdf (Courtesy of Harvey L. Pitt)
October 11, 1973
Statement by Ray Garrett, Jr. before the Subcommittee on HUD-Space-Science - Veterans, Senate Committee on Appropriations
document pdf (Courtesy of Harvey L. Pitt)
October 15, 1973
Letter from James J. Needham, New York Stock Exchange Chairman and CEO, to SEC Chairman Ray Garrett, Jr. on proposed amendment to Exchange Rule 385 - non-member access discount
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 16, 1973
"Improving Financial Disclosure to Investors," Speech by Ray Garrett, Jr. to American Institute of Certified Public Accountants
document pdf (Courtesy of Harvey L. Pitt)
October 19, 1973
"Protecting Investors through Comparable Regulation," Speech by Ray Garrett, Jr. to The Bond Club
document pdf (Courtesy of Harvey L. Pitt)
October 19, 1973
New York Stock Exchange Board Summary Memorandum on National Securities Market System Act of 1973
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 21, 1973
"The Commission and The Traders: A Public Interest Partnership," Speech by Ray Garrett, Jr. to National Security Traders Association
document pdf (Courtesy of Harvey L. Pitt)
October 24, 1973
"Annual Reports: More than Pretty Pictures?," Address by SEC Commissioner A. A. Sommer, Jr. to the National Investor Relations Institute
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 31, 1973
Letter from Willkie Farr & Gallagher to SEC Division of Enforcement on Vetco Offshore Industries
document pdf (Courtesy of the estate of John Evans)
November 2, 1973
Draft Speech by C.S. Whitman for Ray Garrett, Jr. to Institutional Investor Institute Roundtable
document pdf (Courtesy of Harvey L. Pitt)
November 8, 1973
Comments by Ray Garrett, Jr. before the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs on S.2519, 93rd Congress, 1st Session
document pdf (Courtesy of Harvey L. Pitt)
November 12, 1973
"The SEC Goal - Investor Protection with Minimum Regulation," Address by SEC Commissioner John R. Evans to 15th Annual Meeting, National Association of Small Business Investment Companies
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 12, 1973
New York Stock Exchange Research Report on incentives to exchange membership in a central market system
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 12, 1973
Statement by Ray Garrett, Jr. before the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs on S.2519, 93rd Congress, 1st Session
document pdf (Courtesy of Harvey L. Pitt)
November 14, 1973
"A Neglected Dimension of Financial Reporting," Address by SEC Commissioner A.A. Sommer, Jr. to the Cleveland Treasurers Club
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 14, 1973
"Options: The New Game in Town?," Address by SEC Commissioner A. A. Sommer, Jr. to the Securities Regulation and Enforcement Cooperative Conference
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 14, 1973
Judicial Panel on Multidistrict Litigation in re Harmony Loan Company, Inc. Securities Litigation: Brief of the SEC in Opposition
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
November 14, 1973
Letter from John Whitehead, Securities Industry Association to John Burton, SEC Chief Accountant on Accounting Series Release No. 146
image pdf (JT Ball Collection, University of Mississippi)
November 15, 1973
Letter from Sullivan & Cromwell to SEC Chief Accountant on Accounting Series Release No. 146
image pdf (JT Ball Collection, University of Mississippi)
November 16, 1973
"The Challenge of New Investment Services," Speech by Ray Garrett, Jr. to FBA - BNA Briefing Conference
document pdf (Courtesy of Harvey L. Pitt)
November 27, 1973
Memo from Robert M. Bishop to James J. Needham on conversation with Nelson Kibler, SEC on market surveillance
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 29, 1973
"Fair Competition Requires Equal Regulation," Remarks by SEC Commissioner John R. Evans to Banking Law Committee, Federal Bar Association"
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 29, 1973
"The Securities Industry: A Look Ahead," Speech by Ray Garrett, Jr. to Securities Industry Association Annual Convention
document pdf (Courtesy of Harvey L. Pitt)
December 1973
NASD News
image pdf (Courtesy FINRA)
December 4, 1973
New York Stock Exchange repeal of Exchange Rule 360 - block automation system
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 7, 1973
Memo from SEC Commissioner John R. Evans on Telephone Call from Bernie Moss
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 20, 1973
SEC statement of policy on the establishment and improvement of accounting principles and standards
image pdf (Courtesy of the Gerald R. Ford Library)
December 28, 1973
Letter from Garrett to Sparkman re Broker-Dealers
document pdf (Courtesy of the National Archives and Records Administration)
1974
Everything You Always Wanted to Know About SEC Commissioners (But Were Afraid to Ask)
image pdf (Government Records)
1974
NASD Annual Report

(Courtesy of FINRA)

1974
NASD Notices to Members

(Courtesy of FINRA)

1974
Response to the White Paper Questionnaire concerning "Recommendations and Comments on Financial Reporting to Shareholders and Related Matters"
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
January 1974
Securities and Exchange Commission v. Haffenden-Rimar International, Inc. et al: Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
1974
Upward Mobility, SEC
image pdf (Government Records)
January 2, 1974
New York Stock Exchange Board Summary Memorandum on consolidated tape
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
January 3, 1974
SEC release on disclosure of inventory profits reflected in income in periods of rising prices
image pdf (Courtesy of the Gerald R. Ford Library)
January 8, 1974
"The Four Musts of Financial Reporting," Address by SEC Commissioner A. A. Sommer, Jr. to 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)

301 to 400 of 1588 records

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