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222 records in this section.

1940s
Brief, U.S. Securities and Exchange Commission v. Samuel Okin
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
1940
Investment Advisers Act of 1940 (Public Law No. 76-768) [Excerpt]
[document] (pdf) (Government Records)
1940
Investment Company Act of 1940 (Public Law No. 76-768) [Excerpt]; Enacted Sections 1-53 (accompanied by reports from the Senate Committee on Banking and Currency and the House Committee on Interstate and Foreign Commerce)
[document] (PDF) (Government Records)
1940
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
1940
United States of America before the Securities and Exchange Commission in the Matter of McKesson & Robbins, Inc., pursuant to Section 21(a) of the Securities Exchange Act of 1934, Report on Investigation

(Courtesy of Daniel Goelzer, Simon Lorne and the Public Company Accounting Oversight Board)

January 23, 1940
NASD News - The Bulletin
[image] (pdf) (Courtesy FINRA)
February 6, 1940
Statement of SEC Chairman Jerome N. Frank before the Foreign Relations Committee of the U.S. Senate on securities offerings of the Republic of Finland
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 1, 1940
Report on the trading in American securities in the British market, by Harold H. Neff, Foreign Expert, SEC
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 13, 1940
Letter from SEC Chairman Jerome Frank to the Secretary of the Treasury requesting information on British transactions in American securities
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 15, 1940
Confidential Report from Harold H. Neff to SEC Chairman Frank on the trading in American securities on the British market
[transcript] (pdf) (Courtesy of the Library of Congress)
March 26, 1940
Letter from President Franklin D. Roosevelt to SEC Commissioner George Mathews
[document] (tml) (Government Records)
March 28, 1940
Memo from Ganson Purcell to SEC Chairman Frank on daily figures on sales of dollar securities effected on behalf of the British Government
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 2, 3, 4, 5, 8, 9 and 10, 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part I

(Government Records)

April 11, 1940
Letter from Harold Neff to U.S. Supreme Court Justice William O. Douglas on report on foreign trading
[transcript] (pdf) (Courtesy of the Library of Congress)
April 12 to 26, 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part II

(Government Records)

Spring 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part III - Exhibits

(Government Records)

May 18, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
May 20, 1940
Draft of letter from the President to SEC Chairman Jerome Frank requesting SEC restrictions on trading
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 20, 1940
SEC order suspending trading until May 31, 1940
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 31 and June 4, 1940
Hearings before a Subcommittee of the Committee on Banking and Currency, U.S. Senate on S.3580, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Part IV

(Government Records)

June 13 to 14, 1940
Hearings before a Subcommittee of the Committee on Interstate and Foreign Commerce, U.S. House of Representatives on H.R. 10065, A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers

(Government Records)

June 22, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
1927-1940
Monthly Average Value of New Securities Issued
[document] (pdf) (Courtesy of U.S. Department of Commerce, Survey of Current Business)
August 2, 1940
Letter from Arnold Barker to Jerome Frank on revision of Section 16-B
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 28, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
September 25, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
October 6, 1940
SEC Release No. 3033 - In the Matter of the Rules of the New York Stock Exchange, Findings and Opinions of the Commission
[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.)
November 9, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
November 12, 1940
Report to the SEC on the trading in American securities on the British market, by Harold H. Neff, Foreign Expert
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 5, 1940
In the Matter of McKesson & Robbins, Inc., Accounting Series Release No. 19, Summary of Findings and Conclusions
[image] (pdf) (Courtesy of James H. Perry)
December 30, 1940
NASD News
[image] (pdf) (Courtesy FINRA)
1941 (Undated)
Brief for the Securities and Exchange Commission in the United States Circuit Court of Appeals for the Second Circuit - Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc.
[image] (pdf) (Government Records)
1941 (Undated)
Reply Brief for the Securities and Exchange Commission in the United States Circuit Court of Appeals for the Second Circuit - Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc.
[image] (pdf) (Government Records)
1941
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
January 15, 1941
SEC Release on Raymond Concrete File Company Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
February 17, 1941
Report on SEC investigation in the matter of the disciplinary proceedings of the New York Curb Exchange
[transcript] (pdf) (Courtesy FINRA)
March 14, 1941
Memo by Francis T. Greene of conference with Mr. Donovan regarding General Industries Company
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 14, 1941
NASD News
[image] (pdf) (Courtesy FINRA)
March 21, 1941
Letter from Dan T. Moore, SEC Regional Administrator, to Chester T. Lane, SEC General Counsel
[document] (pdf) (Courtesy of Milton Kroll)
April 3, 1941
Brief for Defendant, Chinese Consolidated Benevolent Association, Inc. in the United States Circuit Court of Appeals for the Second Circuit - Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc.
[image] (pdf) (Government Records)
April 30, 1941
Memorandum from U.S. Securities and Exchange Commission Legal Division to All Attorneys re Levy et al. v. Feinberg et al.
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
May 8, 1941
NASD News
[image] (pdf) (Courtesy FINRA)
May 16, 1941
Letter from Francis T. Greene to William T. Gardiner, Incorporated Investors
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 16, 1941
Memo by Francis T. Greene of conference with William T. Gardiner
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 21, 1941
Memo to the SEC Commission from Ganson Purcell, Walter C. Louchheim, Jr. and Edwin A. Sheridan with review of Harold Neff's report on Yandell study
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 24, 1941
Memo by G .C. Poole of conference on Plough, Inc. Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 27, 1941
Memo from Harold Neff to the SEC Commission on the study of the London Stock Exchange
[image] (pdf) (Courtesy of the National Archives and Records Administration)
August 7, 1941
Selections from the Report of the SEC on Proposals for Amendments to the Securities Act of 1933 and the Securities Exchange Act of 1934 to the U.S. House of Representatives, 77th Congress, 1st Session (copy is inscribed "Homer Kripke")
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 2, 1941
Memo by Francis T. Greene of conference with Mr. Ward on National Cylinder Gas Company Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 1, 1941
NASD News
[image] (pdf) (Courtesy FINRA)
October 6, 1941
Findings and Opinion of the SEC in the matter of the Rules of the New York Stock Exchange
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 16, 1941
Memo by Francis T. Greene of telephone call from Bruce Tuttle on Autocar Company Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 13, 1941
Letter from SEC Chairman Edward Eicher to L.A. Moyer, U.S. Civil Service Commission requesting that the SEC be designated as a defense agency
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 13, 1941
Memo by Francis T. Greene of telephone conversation with Mr. Kramer
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 15, 1941
NASD News
[image] (pdf) (Courtesy FINRA)
December 4, 1941
Memo by Francis T. Greene of telephone call from Mr. Doolittle on short selling of Jacobs Aircraft Engine Common Stock
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 6, 1941
Memo from George S. Parlin to Francis T. Greene regarding secondary distribution of Jacobs Aircraft through Ritter and Company
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
January 1, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
1942
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
February 13, 1942
Memo from Raymond Vernon to James A. Treanor, Jr. on summary of transactions in American Telephone and Telegraph Co. common stock in selected periods
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
February 15, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
February 24, 1942
Letter from Frank Scheffey, NASD to H.H. Dewar, Chairman, NASD Board of Governors on relationship between the District Committees and the National Board of Governors
[transcript] (pdf) (Courtesy FINRA)
March 7, 1942
Letter from Murray Hanson, NASD to Orrin Wood, Estabrook & Company on proceeding against SEC on legality of underwriting and selling group agreements
[transcript] (pdf) (Courtesy FINRA)
April 15, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
April 25, 1942
Letter from President Franklin D. Roosevelt to SEC Chairman Ganson Purcell
[document] (pdf) (Courtesy of Milton Kroll)
May 16, 1942
Minutes of the Meeting of the U.S. Securities and Exchange Commission
[document] (pdf) (Courtesy of Paul Gonson)
May 21, 1942
U.S. Securities and Exchange Commission Press Release on Adoption of Rule X-10B-5
[document] (pdf) (Courtesy of Paul Gonson)
May 26, 1942
Memo from Francis F. Lincoln to SEC Chairman on present position and activities of the Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 15, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
August 1, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
August 11, 1942
Memo from Woolvin Patten to James A. Treanor, Jr. on insider trades
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 14, 1942
Memo from Mr. Keenan to Mr. Treanor, Miss Stieg, Mr. Knudsen and Mr. Vernon on market disclosure rule
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 19, 1942
Reassignment of the Functions and Activities of Certain Divisions of the U.S. Securities and Exchange Commission
[document] (pdf) (Courtesy of Paul Gonson)
September 2, 1942
Letter from Henry R. Stern to SEC on proxy rules
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 9, 1942
Letter from M.J. Keena, New York Curb Exchange, to Milton V. Freeman, SEC, regarding suggested amendments to proxy rules (Regulation X-14)
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 12, 1942
Letter from Milton V. Freeman to M.J. Keena, New York Curb Exchange
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 14, 1942
Letter from Edward A. LeRoy, Jr., Phoenix Securities Corporation, to Milton V. Freeman on proxy rules
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 14, 1942
Letter from Edward B. Twombly, Putney Twombly & Hall, to SEC General Counsel regarding amendments to proxy rules
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 14, 1942
Letter from Overseas Securities Co., Inc. to SEC, attention of Milton V. Freeman, regarding proposed draft of amendments to SEC proxy rules
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 14, 1942
Letter from Pullman Incorporated to Milton V. Freeman, SEC, regarding proposed draft of amendments to SEC proxy rules
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 17, 1942
Letter from P.L. West, New York Stock Exchange to Milton Freeman, SEC with comments on proposed revisions of proxy rules
[transcript] (pdf) (Courtesy FINRA)
September 21, 1942
Letter from Harry M. Wolfe to SEC, supporting amendments to SEC proxy rules
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 23, 1942
Handwritten letter from Calvin Philips, Jr. to SEC on proxy rules
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 23, 1942
Handwritten letter from Calvin Philips, Jr. to SEC on proxy rules
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 23, 1942
Letter from U.S. Representative Lyle H. Boren to SEC Chairman Ganson Purcell on proposed Rule X-15C1-10
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 1942
Brief for the U.S. Securities and Exchange Commission, Samuel Okin v. SEC
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
October 1, 1942
Letter from James A. Treanor, Jr. to Senator Tom Connolly
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October Term 1942
Supplemental Portions of Transcript of Record, U.S Circuit Court of Appeals, American Power & Light Company and Electric Power & Light Corporation v. Securities and Exchange Commission (April 18, 1927 memo from Samuel W. Murphy to Frank A. Reid)
[document] (pdf) (Courtesy of Karl Smeltzer)
October 1942
Transcript of Record, U.S. Securities and Exchange Commission v. Samuel Okin
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
October 2, 1942
Telegram from SEC Chairman Ganson Purcell to Emil Schram, New York Stock Exchange
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 2, 1942
Telegram from SEC Chairman Ganson Purcell to Emil Schram, New York Stock Exchange
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 10, 1942
Letter from Emil Schram, President, New York Stock Exchange, to SEC Chairman Ganson Purcell regarding proposed changes to proxy rules
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 15, 1942
Letter from SEC Chairman Ganson Purcell to Emil Schram, New York Stock Exchange
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 1, 1942
NASD News
[image] (pdf) (Courtesy FINRA)
November 10, 1942
Letter from SEC Chairman Ganson Purcell to U.S. Representative Lyle Boren on SEC jurisdiction to regulate fraudulent trades
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 11, 1942
Letter to Frank Scheffey, NASD with report on SEC rebuttal testimony in Public Service Company of Indiana
[transcript] (pdf) (Courtesy FINRA)
November 17, 1942
Letter to Glore Forgan & Company on SEC review proceedings
[transcript] (pdf) (Courtesy FINRA)
December 2, 1942
SEC Memo to all Regional Administrators and Division Directors on Board of Economic Warfare Projects
[image] (pdf) (Courtesy of the National Archives and Records Administration)
December 12, 1942
Letter from U.S. Representative Lyle H. Boren to SEC Chairman Ganson Purcell on proposed Rule X-15C1-10
[image] (pdf) (Courtesy of the National Archives and Records Administration)
December 18, 1942
SEC Release on Adoption of Revisions to Proxy Rules
[image] (pdf) (Courtesy of the National Archives and Records Administration)
1943
Brief for the Plaintiff - Appellee, U.S. Securities and Exchange Commission v. Samuel Okin
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
1943
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
February 15, 1943
NASD News
[image] (pdf) (Courtesy FINRA)
March 2, 1943
Letter from Sidney L. Schwartz, San Francisco Stock Exchange, to SEC Chairman Ganson Purcell regarding proxy regulation
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 10, 1943
Letter from SEC Chairman Ganson Purcell to Green Hackworth, Department of State on Canadian extradition treaty
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 13, 1943
Telegram to SEC Chairman Ganson Purcell
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 13, 1943
Telegram to SEC Chairman Ganson Purcell
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 10, 1943
"The Stock Exchange Today" - Remarks by Emil Schram, President, New York Stock Exchange, at a luncheon meeting of the Atlanta Rotary Club
[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.)
May 13, 1943
Letter of Commendation from Major John R. Haas, Air Corps, on the work of Milton Kroll
[document] (pdf) (Courtesy of Milton Kroll)
May 19, 1943
Memorandum from U.S. Securities and Exchange Corporation Finance Division, Office of the General Counsel to Attorneys on the Staff re SEC v. Samuel Okin
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
May 20, 1943
Letter from SEC Chairman Ganson Purcell to Green Hackworth, Department of State on objections to Canadian extradition treaty
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 1943
NASD News
[image] (pdf) (Courtesy FINRA)
July 29, 1943
Letter from SEC Chairman Ganson Purcell to Leo T. Crowley, Foreign Economic Administration requesting allotment to SEC for work performed
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 1943
NASD News
[image] (pdf) (Courtesy FINRA)
August 3, 1943
Letter from New York Curb Exchange to Paul Frum
[image] (pdf) (Courtesy FINRA)
August 23, 1943
Letter from SEC Chairman Ganson Purcell to Private Milton Kroll
[document] (pdf) (Courtesy of Milton Kroll)
1944
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
1944 to 1988
U.S. Securities and Exchange Commission Opinions and Review Office, Office Directors
[document] (pdf) (Government Records.)
January 12, 1944
Letter from SEC Chairman Ganson Purcell to Secretary of State Cordell Hull on SEC v. Minas de Artemisa S.A.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
January 12, 1944
Letter from Stephen Thayer to Wallace Fulton, NASD on Public Service Company of Indiana
[transcript] (pdf) (Courtesy FINRA)
January 29, 1944
SEC Release on Public Service Company of Indiana
[transcript] (pdf) (Courtesy FINRA)
February 1944
NASD News
[image] (pdf) (Courtesy FINRA)
March 22, 1944
Memoranda for meeting with NASD Executive Committee on Public Service Company of Indiana
[transcript] (pdf) (Courtesy FINRA)
April 26, 1944
Memo from Walter C. Louchheim, Jr. to SEC Commission on proposal for United Nations Bank for Reconstruction and Development
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 1944
NASD News
[image] (pdf) (Courtesy FINRA)
May 12, 1944
Brief of U.S. Securities and Exchange Commission as Amicus Curiae re Rawson G. Lizars v. Bror Dalhberg et al.
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
May 16, 1944
Report from Walter C. Louchheim, Jr. on May 10, 1944 meeting of SEC committee on international securities transactions and foreign investment
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 19, 1944
Memo from Walter C. Louchheim, Jr. to SEC Commission on recommendation on current reports on foreign loans and investments of registered corporations
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 26, 1944
Proposed letter from SEC Chairman Ganson Purcell, drafted by Walter C. Louchheim, Jr., to send to corporations requesting information on foreign loans and investments
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 1944
NASD News
[image] (pdf) (Courtesy FINRA)
July 1944
Memorandum from U.S. Securities and Exchange Commission Corporation Finance Division, Office of the General Counsel to Attorneys on the Staff re Commonwealth of Pennsylvania v. Edward H. Green and D.S. Faulkner
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
July 4, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell on United Nations Monetary and Financial Conference
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 8, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell on the progress of the United Nations Monetary and Financial Conference
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 10, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell reporting on meetings during the United Nations Monetary and Financial Conference
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 13, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell with update on United Nations Monetary and Financial Conference
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 17, 1944
Letter from Walter C. Louchheim, Jr. to SEC Chairman Ganson Purcell on extension of United Nations Monetary and Financial Conference
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 20, 1944
Letter from SEC Chairman Ganson Purcell to Leo T. Crowley, Foreign Economic Administration, on SEC work in report on Japanese intelligence targets in Germany
[image] (pdf) (Courtesy of the National Archives and Records Administration)
November 10, 1944
A Proposal to Prevent Realization by the Nazis of Looted Securities
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 1944
NASD News
[image] (pdf) (Courtesy FINRA)
January 1945
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
February 1945
NASD News
[image] (pdf) (Courtesy FINRA)
February 3, 1945
Memo from Walter C. Louchheim, Jr. to Sam Klaus, Foreign Economic Administration on Swiss non-cooperation
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
February 22, 1945
Notes on meeting at the Bureau of the Budget relative to proposed reports on transactions involving American investments abroad [spelled "abored" in original document]
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 13, 1945
Letter from SEC Chairman Ganson Purcell to Secretary of State Edward R. Stettinius, Jr. on Cuban investments
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 15, 1945
Letter from SEC Chairman Ganson Purcell to Secretary of State Edward R. Stettinius, Jr. on Canadian extradition treaty
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 16, 1945
Letter from William L. Clayton, Assistant Secretary of State to SEC Chairman Ganson Purcell with report on investment of United States public and private funds in Latin America
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 9, 1945
Brief for Securities and Exchange Commission in the United States Circuit Court of Appeals for the Ninth Circuit - Securities and Exchange Commission v. Minas de Artemisa, S.A. (a Mexican corporation)
[image] (pdf) (Government Records)
May 1945
NASD News
[image] (pdf) (Courtesy FINRA)
July 30, 1945
Employees of the Securities and Exchange Commission in the Armed Services of the United States
[image] (pdf) (Courtesy of Francis Trainor)
August 1945
NASD News
[image] (pdf) (Courtesy FINRA)
December 1945
NASD News
[image] (pdf) (Courtesy FINRA)
1946
U.S. Government Softball League Score Card - Championship Playoff Games, Season 1946
[image] (pdf) (Courtesy of Francis Trainor)
1946
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
February 1946
NASD News
[image] (pdf) (Courtesy FINRA)
February 27, 1946
Memo (partial) from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments to National Advisory Council Working Group on loan application of Italian government
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 4, 1946
Notes from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments of Savannah conference
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 10, 1946
Final Report and Recommendations of the Sub-Committee on Marketing of International Bank Securities to Technical Committee of National Advisory Council [page 2 is missing]
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 18, 1946
Letter from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments to Baldwin B. Bane, Director, SEC Corporation Finance Division on Export-Import Bank
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 8, 1946
Letter from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments to SEC Chairman Ganson Purcell with May 3, 1946 draft of United States Foreign Investment Policy
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 10, 1946
Memo from Walter C. Louchheim, Jr., SEC to National Advisory Council Staff Committee on question of civil liabilities in distributing international bank bonds
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 16, 1946
Letter from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments to SEC Chairman Ganson Purcell with May 6, 1946 preliminary memo on questions in connection with securities to be issued or guaranteed by the International Bank for Reconstruction and
[image] (pdf) (Courtesy of the National Archives and Records Administration)
July 1946
NASD News
[image] (pdf) (Courtesy FINRA)
July 23, 1946
Letter from David Freeman, Yale Law School to Baker Hostetler & Patterson on research on the investment banking industry
[transcript] (pdf) (Courtesy FINRA)
July 25, 1946
Reply letter from Stephen Thayer to David Freeman
[transcript] (pdf) (Courtesy FINRA)
September 1946
NASD News
[image] (pdf) (Courtesy FINRA)
September 9, 1946
On Petition for Reargument, U.S. Securities and Exchange Commission v. Transamerica Corporation
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
September 16, 1946
Report to the SEC Commission from Walter C. Louchheim, Jr., Adviser on Foreign Investments on the SEC's participation in international economic and financial affairs
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 17, 1946
Letter from Walter C. Louchheim, Jr. to Orval L. DuBois, asking that the September 16, 1946 report be distributed to the SEC Commissioners
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 1946
NASD News
[image] (pdf) (Courtesy FINRA)
December 1946
Brief of the U.S. Securities and Exchange Commission, Transamerica Corporation v. SEC, No. 9240; and SEC v. Transamerica Corporation, No. 9259
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
1947
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
February 1947
NASD News
[image] (pdf) (Courtesy FINRA)
February 7, 1947
Address by Edmond Hanrahan before the Colorado Mining Association, Denver, Colorado
[document] (pdf) (Courtesy of Hamer Budge)
April 24, 1947
Notes from Walter C. Louchheim, Jr., Adviser on Foreign Investments on conversation with John J. McCloy, President of the International Bank for Reconstruction and Development
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 20, 1947
Letter from SEC Chairman James J. Caffrey to Senator Charles W. Tobey on S.1099 revisions
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 18, 1947
Letter from John J. McCloy, International Bank for Reconstruction and Development to the SEC
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 24, 1947
"Meeting the Accounting Requirements of the Securities and Exchange Commission," Address of Earle C. King, SEC Chief Accoutant before the Annual Meeting of the Pennsylvania Institute of Certified Public Accountants
[transcript] (pdf) (Government Records)
June 30, 1947
Letter from Robert K. McConnaughey, SEC Acting Chairman to Herbert F. Boynton, National Association of Securities Dealers, Inc. on International Bank for Reconstruction and Development
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 1947
Memorandum of U.S. Securities and Exchange Commission Amicus Curiae re Randolph Phillips et al. v. The United Corporation et al.
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
July 1947
NASD Newsletter
[image] (pdf) (Courtesy FINRA)
July 7, 1947
Letter from U.S. Representative Fred L. Crawford to SEC Chairman James J. Caffrey on International Bank
[image] (pdf) (Courtesy of the National Archives and Records Administration)
July 9, 1947
Letter from John J. McCloy, International Bank for Reconstruction and Development to SEC Chairman James J. Caffrey on relations between the Bank and the SEC
[image] (pdf) (Courtesy of the National Archives and Records Administration)
August 11, 1947
Memo from John Haskell, New York Stock Exchange on British financial policy and regulations affecting private American investment in British industry and sterling shares
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 3, 1947
Letter from John Haskell, New York Stock Exchange to SEC Chairman James J. Caffrey with information for meetings with European exchanges
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 5, 1947
"Footnotes to Financial Statements," Address of Earle C. King, SEC Chief Accountant before the Annual Meeting of The Virginia Society of Public Accountants
[transcript] (pdf) (Government Records)
October 15, 1947
Memo from Kurt A. Solmesen to Walter C. Louchheim, Jr. on mobilization of dollar securities held in Western European countries
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 15, 1947
"Some Current Accounting Problems," Address by Earle C. King, SEC Chief Accountant, before the 22nd Michigan Annual Accounting Conference
[transcript] (pdf) (Government Records)
December 4, 1947
"The Importance of Accounting in the Work of the Securities and Exchange Commission," Address of Earle C. King, SEC Chief Accountant to the Intercollegiate Accounting Society, New York University
[transcript] (pdf) (Government Records)
December 16, 1947
"Some Comments Concerning the Presentation and Interpretation of Corporate Financial Statements," Address by Earle C. King, SEC Chief Accountant before the New Jersey Society of Certified Public Accountants
[transcript] (pdf) (Government Records)
1948
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
February 1948
NASD News
[image] (pdf) (Courtesy FINRA)
February 4, 1948
Memo from Gerald W. Siegel to Louis Loss regarding legislative history of subsection 17(b), Securities Act of 1933
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 10, 1948
Memo from Walter C. Louchheim, Jr., Adviser on Foreign Investment to SEC Commissioner Edmond M. Hanrahan on International Bank for Reconstruction and Development
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 4, 1948
"New Trends in Published Reports," Address of Earle C. King, SEC Chief Accountant before the Accounting Conference, Agricultural and Mechanical College of Texas
[transcript] (pdf) (Government Records)
May 10, 1948
"The Income Statement - Problem Child of Accountancy," Address of Earle C. King, SEC Chief Accountant before the Annual Meeting of the New York State Society of Certified Public Accountants
[transcript] (pdf) (Government Records)
July 1948
NASD News
[image] (pdf) (Courtesy FINRA)
October 5, 1948
Memo from Arden L. Andresen to Milton P. Kroll on the number of Commissioners necessary to make decisions for the SEC
[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 15, 1948
"Generally Accepted Accounting Principles," Address of Earle C. King, SEC Chief Accountant before the New Jersey Society of Certified Public Accountants and the Wisconsin Society of Certified Public Accountants
[transcript] (pdf) (Government Records)
October 20, 1948
Letter from Roger Foster, SEC General Counsel to Raymond Vernon, International Resources Division, Department of State on proposed corporation law for Republic of Liberia
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 28, 1948
Comments of Andrew Barr, SEC Assistant Chief Accountant, on a Symposium on "Are Current Depreciation Reserves Adequate?" before The Accounting Section, Milk Industry Foundation
[transcript] (pdf) (Government Records)
November 1948
NASD News
[image] (pdf) (Courtesy FINRA)
November 22, 1948
Memo from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investment to SEC Commission on conference at State Department on private foreign investment
[image] (pdf) (Courtesy of the National Archives and Records Administration)
November 22, 1948
Memo from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investment to SEC Commission with draft position paper for Inter-American Economic Conference
[image] (pdf) (Courtesy of the National Archives and Records Administration)
1940s
Memo from Edward H. Cashion to Charles Shreve on International Bank for Reconstruction and Development
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
1949
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
January 17, 1949
Ten Year History of NASD
[image] (pdf) (Courtesy FINRA)
February 11, 1949
Memo from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investment to SEC Commission on financial clauses of treaties on economic development
[image] (pdf) (Courtesy of the National Archives and Records Administration)
February 28, 1949
"Accounting Keeps Pace with the Times" - Address by Earle C. King before the Delaware State Society of CPAs
[transcript] (pdf) (Courtesy of the AICPA Library Collection, University of Mississippi)
March 1949
NASD News
[image] (pdf) (Courtesy FINRA)
April 25, 1949
Memo from Walter C. Louchheim, Jr., Adviser on Foreign Investment to SEC Chairman Edmond H. Hanrahan on letter from the Chairman of the National Advisory Council to the President of the Senate relative to legislative proposals on international bank securit
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 28, 1949
Memo from Walter C. Louchheim, Jr., Adviser on Foreign Investment to the SEC Commission on recommendation for a Brazilian SEC
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 6, 1949
Memo of conference on proposed resumption of trading in "Axis" securities
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 23, 1949
Hearing on International Bank for Reconstruction and Development (H.R. 4332) before the House Committee on Banking and Currency
[image] (pdf) (Government Records)
June 1949
NASD News
[image] (pdf) (Courtesy FINRA)
June 14, 1949
Memo of Conference on proposed resumption of trading in Japanese securities
[image] (pdf) (Courtesy of the National Archives and Records Administration)
July 1, 1949
Letter from the Department of State to SEC Chairman Edmond M. Hanrahan, thanking the SEC for the services of Alexander Lipkin
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 1, 1949
Letter of thanks from the Department of State to Alexander Lipkin, SEC for assistance in advising the President of Liberia
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 11, 1949
Acknowledgement letter from SEC Chairman Edmond M. Hanrahan to Willard L. Thorp, Department of State
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 8, 1949
"Current Accounting Problems," Address of Earle C. King, SEC Chief Accountant before the American Accounting Association
[transcript] (pdf) (Government Records)
September 21, 1949
Memo from Walter C. Louchheim, Jr., Adviser on Foreign Investment to SEC Commission on Japanese bonds
[image] (pdf) (Courtesy of the National Archives and Records Administration)
November 3, 1949
Memo from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investments to SEC Commission with October 10, 1949 Council of Economic Advisers report on public offerings of foreign securities
[image] (pdf) (Courtesy of the National Archives and Records Administration)
December 13, 1949
Outline of Remarks by Earle C. King before the Monthly Dinner Meeting of the Maryland Association of Certified Public Accountants
[transcript] (pdf) (Government Records)

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