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501 to 600 of 1588 records

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August 9, 1974
Letter to Edward Fleischman from Kenneth Bialkin re SIPC Task Force Report
document pdf (Courtesy of Roberta Karmel)
August 9, 1974
Letter to Edward Fleischman from Kenneth Bialkin re SIPC Task Force Report
document pdf (Courtesy of Roberta Karmel)
August 12, 1974
Memo from Don Webster to William Baroody with proposed language from SEC for President Ford speech
image pdf (Courtesy of the Gerald R. Ford Library)
August 14, 1974
"The Commission and the Bar: Forty Good Years" - Address by SEC Commissioner A.A. Sommer, Jr. to the Annual Luncheon, Section of Corporation, Banking and Business Law, ABA 97th Annual Meeting
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 14, 1974
"Thoughts for the Insurance Company Director" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA 97th Annual Meeting
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 20, 1974
Letter from Irwin Langbein to Irma Mason on TMT Trailer Ferry, Inc. stockholder list
image pdf (Malcolm Mason Papers, with permission of Jan Freundschuh)
August 22, 1974
Letter from SEC Chairman Ray Garrett, Jr. to Senator Howard Metzenbaum on foreign ownership legislation
image pdf (Courtesy of the Gerald R. Ford Library)
August 22, 1974
WPPSS News Release: WPPSS Sells $15 Million in Revenue Notes
image pdf (Courtesy of Washington State Archives)
August 27, 1974
John C. Burton, "The Organization of the Public Accounting Profession," for the National Society of Public Accountants 29th Annual Convention
document pdf (Government Records)
August 30, 1974
Memo to Democratic Whip on summit conference on economics
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 1974
The Capital Needs and Savings Potential of the U.S. Economy, Projections through 1985 - New York Stock Exchange, Inc.
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
September 6, 1974
"The Central Market System and Commission Rates," Address by SEC Chairman Ray Garrett, Jr. to the Pacific Northwest District, Securities Industry Association
transcript pdf (Courtesy of Harvey L. Pitt)
September 11, 1974
"Our Attitude Toward the Accounting Profession," Address by SEC Chairman Ray Garrett, Jr. to Arthur Andersen & Co. Annual Partners Meeting
transcript pdf (Courtesy of Harvey L. Pitt)
September 11, 1974
"When the Individual Investor Returns, Will He Get A Fair Shake?" - Address by SEC Commissioner A.A. Sommer, Jr. to the Milwaukee Investment Analysts Society
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 11, 1974
Letter from Theodore Barreaux, SEC to William J. Baroody on Newsweek cover article
image pdf (Courtesy of the Gerald R. Ford Library)
September 11, 1974
SEC letter to Yale School of Law on appointment of Mauri Osheroff
transcript pdf (Courtesy of Mauri Osheroff)
September 12, 1974
"How Good is the End of the Chain? A Look at Financial Reporting" - Address by SEC Commissioner A.A. Sommer, Jr. to Practising Law Institute
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 16, 1974
"The SEC and the Press: Partners in Ferreting Out Fraud" - Address by SEC Commissioner A.A. Sommer, Jr. to the Gerald Loeb Awards
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 18, 1974
"The Securities and Exchange Commission and Foreign Issues in the United States," Address by SEC Chairman Ray Garrett, Jr. to the Keidanren Kaikan, Otemachi
transcript pdf (Courtesy of Harvey L. Pitt)
September 20, 1974
"Brokerage Rates: Competition or Regulation as the Protector of the Public Interest?" - Address by Irwin M. Stelzer, National Research Associates, Inc. before the Securities Industry Association Management Conference
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
September 20, 1974
Letter from David L. Ratner, Stanford Law School, to SEC Commissioner John R. Evans on presentation to Professor Ratner's class on current problems in the securities markets
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 20, 1974
Letter from Newton Minow for the Public Review Board, Arthur Andersen & Co. to President Ford
image pdf (Courtesy of the Gerald R. Ford Library)
September 20, 1974
Memo to SEC Commission from Division of Investment Management Regulation on portrayal of performance for mutual funds and variable annuities
transcript pdf (Courtesy of National Archives and Records Administration)
September 24, 1974
"A Fool and His Gold Are Soon Parted: Do They Have to Be?" - Address by SEC Commissioner A.A. Sommer, Jr. to the North American Securities Administrators
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 24, 1974
Letter from SEC Chairman Ray Garrett, Jr. to Newton Minow on the effects of inflation on financial statements
transcript pdf (Courtesy of the Gerald R. Ford Library)
September 24, 1974
Letter to Speaker of the House Carl Albert from Embree Easterly, Independent Bankers Association of America on concentration of economic power among banks
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 24, 1974
Statement by Dr. William C. Freund, New York Stock Exchange, Inc. before the SEC on impact of inflation on the securities industry
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
September 27, 1974
Letter from Paul A. Miltich, White House, to James Rosenthal, SEC on placing Op-Ed pieces
transcript pdf (Courtesy of the Gerald R. Ford Library)
October 1974
SEC Discussion Paper on Some Aspects of the Capital Markets and the Securities Industry, prepaerd for review by The Advisory Committee on the Implementation of a Central Market System
image pdf (Courtesy of the Library of Congress)
October 1974
SEC Telephone Directory
image pdf (Courtesy of Morton Koeppel)
October 3, 1974
"Bank Securities Activities - Economic Evolution or Governmental Resolution," 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 3, 1974
"Changing Concepts of Business Ethics and the Responsibilities of Business Advisors," Address by SEC Chairman Ray Garrett, Jr. to the ABA National Institute
transcript pdf (Courtesy of Harvey L. Pitt)
October 3, 1974
"Corporate Directors and the Federal Securities Laws" - Address by SEC Chairman Ray Garrett, Jr. to the 13th Annual Corporate Counsel Institute
transcript pdf (Courtesy of Harvey L. Pitt)
October 4, 1974
"Professional Responsibility: How Did We Get Here?" - Address by SEC Commissioner A.A. Sommer, Jr. to ABA National Institute
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 6, 1974
"The Year Ahead: Coping With Our Common Problems" - Address by SEC Chairman Ray Garrett, Jr. to the National Security Traders Association
transcript pdf (Courtesy of Harvey L. Pitt)
October 8, 1974
Memo to SEC Commissioner John R. Evans from Quinton Seamons regarding disclosure of auditor-client relationships
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 9, 1974
Letter from Christopher R. Sheppard to Philip W. Buchen responding to President Ford's economic address
image pdf (Courtesy of the Gerald R. Ford Library)
October 11, 1974
Remarks of Bryce N. Harlow to The Business Council
transcript pdf (Courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
October 14, 1974
Memo from Dean Burch on meeting with Ray Garrett, Jr.
image pdf (Courtesy of the Gerald R. Ford Library)
October 14, 1974
Memo from SEC Chairman Ray Garrett, Jr. to Dean Burch with possible topics for meeting with President Ford
image pdf (Courtesy of the Gerald R. Ford Library)
October 15, 1974
Testimony of SEC Chairman Ray Garrett, Jr. before the Senate Committee on Government Operations on S.260
transcript pdf (Courtesy of Harvey L. Pitt)
October 16, 1974
Agreement between the American Stock Exchange and the Chicago Board Options Exchange on plan for reporting of option last sale price information
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
October 21, 1974
Letter from Theodore Barreaux, SEC to Wayne Valis requesting bill signing ceremony
image pdf (Courtesy of the Gerald R. Ford Library)
October 22, 1974
"Will Wall Street Come Tumbling Down?," Address by SEC Commissioner John R. Evans to "Money Marketeers"
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 22, 1974
Letter from Paul A. Miltich, White House, to Philip Geyelin, Washington Post, suggesting inclusion of speech by SEC Commissioner A.A. Sommer, Jr. in Op-Ed page
transcript pdf (Courtesy of the Gerald R. Ford Library)
October 23, 1974
Letter from David J. Barry, Manufacturers Hanover Trust Company, to SEC Commissioner John R. Evans on "The Future of Wall Street"
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 24, 1974
Remarks of SEC Chairman Ray Garrett, Jr. at the SEC 40th Anniversary Dinner
transcript pdf (Courtesy of Harvey L. Pitt)
October 24, 1974
SEC 40th Anniversary Dinner Program
image pdf (Courtesy of Morton Koeppel)
October 25, 1974
John C. Burton and A. Clarence Sampson, "Future Needs for Auditing Research," for the University of Illinois Conference on Auditing Research
document pdf (Government Records)
October 25, 1974
Letter from Philip W. Buchen to Christopher Sheppard on fixed commission rates
transcript pdf (Courtesy of the Gerald R. Ford Library)
October 25, 1974
WPPSS News Release: WPPSS Board Approves $2.1 Billion Nuclear Power Development
image pdf (Courtesy of Washington State Archives)
October 26, 1974
"Life Begins at Forty" - Address by SEC Chairman Ray Garrett, Jr. at New York University
transcript pdf (Courtesy of Harvey L. Pitt)
October 28, 1974
Letter from Roberta Karmel to William Golub to transmit comments on the SIPC Task Force Report
document pdf (Courtesy of Roberta Karmel)
October 28, 1974
Letter from Roberta Karmel to William Golub to transmit comments on the SIPC Task Force Report
document pdf (Courtesy of Roberta Karmel)
October 29, 1974
Statement by John C. Bogle before the SEC Public Conference on Relationships between Institutional Money Managers and the Securities Industry
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 31, 1974
"Securities Markets Should Not Be 'Trick or Treat'", Address by SEC Commissioner John R. Evans to Municipal Finance Officers Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 1, 1974
"The Implementation of the Central Market System," Address by SEC Commissioner Philip A. Loomis, Jr. to the Florida Security Dealers Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 1, 1974
John C. Burton, "Leases: An Accounting View," for the Association of Equipment Lessors
document pdf (Government Records)
November 6, 1974
"American Capital Markets: Roses or Thorns in Their Future?" - Address by SEC Commissioner A.A. Sommer, Jr. to Cleveland Committee of the Ohio Foundation of Independent Colleges
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 6, 1974
Memo from Gordon Calvert to Robert M. Bishop on New York Stock Exchange meeting at SEC on special offerings
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, 1974
"Current Problems of Disclosure" - Address by SEC Commissioner A.A. Sommer, Jr. to National Association of Securities Dealers, Inc.
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 13, 1974
Opening Remarks of SEC Chairman Ray Garrett, Jr. at the Public, Fact-Finding Investigation in the matter of Beneficial Ownership, Takeovers and Acquisitions by Foreign and Domestic Persons
transcript pdf (Courtesy of Harvey L. Pitt)
November 14, 1974
"Going Private: A Lesson in Corporate Responsibility" - Law Advisory Council Lecture by SEC Commissioner A.A. Sommer, Jr. to Notre Dame Law School
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 15, 1974
Letter from Donald E. Weeden, Weeden & Co., to Lee A. Pickard, Director of SEC Division of Market Regulation
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 19, 1974
Opening Statement of SEC Chairman Ray Garrett, Jr. at the Oral Hearings to Consider Proposed Securities Exchange Act Rules 19b-3 and 10b-22
transcript pdf (Courtesy of Harvey L. Pitt)
November 26, 1974
Remarks by Bryce N. Harlow at Semi-Annual Meeting, Manufacturing Chemists Association
transcript pdf (Courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
December 4, 1974
"Reform of the Securities Markets: The Need for Cooperation" - Address by SEC Chairman Ray Garrett, Jr. to the Securities Industry Association
transcript pdf (Courtesy of Harvey L. Pitt)
December 11, 1974
"The American Experience with Accounting Principles" - Address by SEC Commissioner A.A. Sommer, Jr. to International Businesses: Finance, Tax and Accounting Problems
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 12, 1974
"Improving Disclosure for Investors" - Address by SEC Chairman Ray Garrett, Jr. to the Financial Executives Institute, Rocky Mountain Chapter
transcript pdf (Courtesy of Harvey L. Pitt)
December 17, 1974
"What the SEC Expects of Corporate Directors" - Address by SEC Chairman Ray Garrett, Jr. to the Arthur D. Little, Inc. Corporate Directors Conference
transcript pdf (Courtesy of Harvey L. Pitt)
December 18, 1974
Letter from James C. Sargent to SEC Commissioner A.A. Sommer, Jr. on G. Bradford Cook's invitation to participate in SEC Speaks 1975
document pdf (Courtesy of the estate of John Evans)
1975
History of the SEC by Bernard Wexler
document pdf (Courtesy of David Butowsky)
1975
NASD Annual Report
image pdf (Courtesy FINRA)
1975
NASD Notices to Members

(Courtesy of FINRA)

1975
Report of the AICPA Special Committee on Equity Funding: The Adequacy of Auditing Standards and Procedures Currently Applied in the Examination of Financial Statements
image pdf (AICPA Collection, University of Mississippi)
1975
Securities Acts Amendments of 1975 (Public Law No. 94-29); Sections 203, 204, 217 of IAA amended; Sections 9, 10(e), 13(b), 15, 16, 18(i), 32(a), 36, 49 of ICA amended
document pdf (Government Records)
January 1975
Summary of Principal Provisions of Securities Acts Amendments of 1975
image pdf (Courtesy of National Archives and Records Administration)
1975
Testimony of Walter N. Frank on SEC proposed rules and New York Stock Exchange proposed "Market Responsibility Rule"
document pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
January 2, 1975
Letter to Speaker of the House Carl Albert from U.S. Representative Jim Wright with draft: To Revive the Economy: A Congressional Program of Action
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
January 3, 1975
Letter from Robert Ryan, SEC to Thomas McBride, Department of Justice requesting access to information on misuse of Ashland Oil funds
transcript pdf (Courtesy of the National Archives and Records Administration)
January 6, 1975
"The Need for Change in Accounting Policies" - Address by SEC Chairman Ray Garrett, Jr. to the American Institute of Certified Public Accountants
transcript pdf (Courtesy of Harvey L. Pitt)
January 9, 1975
"Thoughts on Approaching 'Mayday'" - Address by SEC Commissioner A.A. Sommer, Jr. to the Securities Regulation Institute
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 15, 1975
Petition from the American Institute Counselors, Inc. to the U.S. Congress against the U.S. Securities and Exchange Commission
image pdf (Courtesy of the Gerald R. Ford Library)
January 16, 1975
"Disclosure Rules and New Concerns" - Address by SEC Chairman Ray Garrett, Jr. to the American Society of Corporate Secretaries, Inc., Southeastern Regional Group
transcript pdf (Courtesy of Harvey L. Pitt)
January 21, 1975
Oral Statement of SEC Chairman Ray Garrett, Jr. to Labor and IRS Hearing
transcript pdf (Courtesy of Harvey L. Pitt)
January 21, 1975
Written Statement of SEC Chairman Ray Garrett, Jr. in support of proposed exemptions from prohibitions on transactions between employee benefit plans and certain broker-dealers
transcript pdf (Courtesy of Harvey L. Pitt)
January 22, 1975
"Capital Markets at the Crossroads" - Address by SEC Chairman Ray Garrett, Jr. to the Economic Club of New York
transcript pdf (Courtesy of Harvey L. Pitt)
January 28, 1975
"Assuring the Economic Viability of the Securities Industry" - Address by SEC Chairman Ray Garrett, Jr. to the ABA 56th National Trust Conference
transcript pdf (Courtesy of Harvey L. Pitt)
January 31, 1975
John C. Burton, "Pension Accounting and Disclosure Under the New Pension Reform Act," for the Conference on the Pension Reform Law, University of Virginia
document pdf (Government Records)
February 4, 1975
"Biting the Bullet" - Address by SEC Commissioner A.A. Sommer, Jr. to the Cleveland Chartered Financial Analysts Group
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 5, 1975
Memo from Andrew Steffan, SEC to Milton Friedman with notes for President Ford's speech to the New York Society of Security Analysts
image pdf (Courtesy of the Gerald R. Ford Library)
February 6, 1975
Memorandum from SEC Commissioner A.A. Sommer, Jr. with assessment checklist for Mayday 1975
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 7, 1975
Memo from Geoff Shepard to Philip Buchen advising against SEC request to include Securities Act Amendments in State of the Union message
transcript pdf (Courtesy of the Gerald R. Ford Library)
February 10, 1975
"The State of the Street" - Remarks by James J. Needham, New York Stock Exchange, Inc. before the Young Presidents' Organization
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
February 10, 1975
Memo from Ken Lazarus to Philip Buchen on Securities Exchange Act Amendments
image pdf (Courtesy of the Gerald R. Ford Library)
February 11, 1975
Letter to David Reich, U.S. Civil Service Commission from Paul Gonson, SEC Associate General Counsel on participation by a SEC Commissioner in securities transactions
transcript pdf (Courtesy of George Bush Presidential Library and Museum)
February 18, 1975
John C. Burton, "Fair Presentation: Another View," for the Emanuel Saxe Distinguished Accounting Lecture at The Baruch College of The City University of New York
document pdf (Government Records)
February 19, 1975
John C. Burton, "The Evolution of Reporting and Auditing: From Periodic to Continuous," for the Robert Morris Associates and Massachusetts Society of CPAs
document pdf (Government Records)
February 19, 1975
Testimony of SEC Chairman Ray Garrett, Jr. before the Subcommittee on Securities of the U.S. Senate Committee on Banking, Housing and Urban Affairs on S.249
transcript pdf (Courtesy of Harvey L. Pitt)
February 20, 1975
"The Disclosure Philosophy" - Address by SEC Chairman Ray Garrett, Jr. to the Union League Club
transcript pdf (Courtesy of Harvey L. Pitt)

501 to 600 of 1588 records

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