Securities and Exchange Commission Historical Society

Papers

1 to 100 of 405 records

Page:
1940s
document pdf (Courtesy of the estate of Nathan Sameth)
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
image pdf (Courtesy FINRA)
February 1, 1940
transcript pdf (Charles Evans Hughes Papers, courtesy Library of Congress)
February 6, 1940
image pdf (Courtesy of the National Archives and Records Administration)
March 1, 1940
transcript pdf (Courtesy of the National Archives and Records Administration)
March 1940
image pdf (Courtesy of National Archives and Records Administration)
March 13, 1940
transcript pdf (Courtesy of the National Archives and Records Administration)
March 14, 1940
image pdf (Courtesy of the National Archives and Records Administration)
March 14, 1940
image pdf (Courtesy of the William O. Douglas Papers, Library of Congress)
March 14, 1940
image pdf (Courtesy of the National Archives and Records Administration)
March 14, 1940
image pdf (Courtesy of the William O. Douglas Papers, Library of Congress)
March 15, 1940
transcript pdf (Courtesy of the Library of Congress)
March 15, 1940
image pdf (Courtesy of the Investment Company Institute)
March 26, 1940
image pdf (Government Records)
March 28, 1940
image pdf (Courtesy of National Archives and Records Administration)
March 28, 1940
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
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)

April 22, 1940
image pdf (Courtesy of the National Archives and Records Administration)
April 26, 1940
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
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)

April 29, 1940
image pdf (Courtesy of the National Archives and Records Administration)
May 1940
image pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 1940
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
May 14, 1940
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
May 16, 1940
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 16, 1940
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 16, 1940
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 18, 1940
image pdf (Courtesy FINRA)
May 20, 1940
transcript pdf (Courtesy of the National Archives and Records Administration)
May 20, 1940
transcript pdf (Courtesy of the National Archives and Records Administration)
May 24, 1940
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
May 24, 1940
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
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 6, 1940
image pdf (Government Records)
June 7, 1940
transcript pdf (AICPA Collection, University of Mississippi)
June 7, 1940
image pdf (Courtesy of the National Archives and Records Administration)
June 11, 1940
image pdf (Courtesy of the National Archives and Records Administration)
June 13, 1940
transcript pdf (AICPA Collection, University of Mississippi)
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 18, 1940
image pdf (Government Records)
June 21, 1940
transcript pdf (Courtesy of National Archives and Records Administration)
June 22, 1940
image pdf (Courtesy FINRA)
1927-1940
document pdf (Courtesy of U.S. Department of Commerce, Survey of Current Business)
June 30, 1940
Sixth Annual Report of the Securities and Exchange Commission

(Government Records)

August 2, 1940
transcript pdf (Courtesy of the National Archives and Records Administration)
August 19, 1940
transcript pdf (Hugo Black Papers, courtesy Library of Congress)
August 22, 1940
image pdf (Government Records)
August 28, 1940
image pdf (Courtesy FINRA)
September 16, 1940
transcript pdf (AICPA Collection, University of Mississippi)
September 25, 1940
image pdf (Courtesy FINRA)
October 1, 1940
image pdf (Courtesy of the Investment Company Institute)
October 1940
The Distribution of Ownership in the 200 Largest Non-Financial Corporations

(Courtesy of National Archives)

October 6, 1940
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.)
October 17, 1940
transcript pdf (Courtesy of the American Institute of Certified Pubilc Accountants)
October 18, 1940
transcript pdf (AICPA Collection, University of Mississippi)
November 9, 1940
image pdf (Courtesy FINRA)
November 12, 1940
transcript pdf (Courtesy of the National Archives and Records Administration)
December 5, 1940
image pdf (Courtesy of James H. Perry)
December 30, 1940
image pdf (Courtesy FINRA)
1941 (Undated)
image pdf (Government Records)
1941
image pdf (Courtesy of the Investment Company Institute)
1941 (Undated)
image pdf (Government Records)
January 3, 1941
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
January 7, 1941
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
January 10, 1941
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
January 14, 1941
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
January 15, 1941
transcript pdf (Courtesy of the National Archives and Records Administration)
January 16, 1941
image pdf (Courtesy of FINRA)
January 27, 1941
Official Report of Proceedings before the Securities and Exchange Commission: In the Matter of The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries

(Courtesy of FINRA)

January 28, 1941
Official Report of Proceedings before the Securities and Exchange Commission: In the Matter of The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries

(Courtesy of FINRA)

January 29, 1941
Official Report of Proceedings before the Securities and Exchange Commission: In the Matter of The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries

(Courtesy of FINRA)

January 30, 1941
image pdf (Courtesy of the Investment Company Institute)
February 5, 1941
Official Report of Proceedings before the Securities and Exchange Commission: In the Matter of The Problem of Maintaining Arm's Length Bargaining and Competitive Conditions in the Sale and Distribution of Securities of Registered Public Utility Holding Companies and Their Subsidiaries

(Courtesy of FINRA)

February 6, 1941
image pdf (Courtesy of FINRA)
February 17, 1941
transcript pdf (Courtesy FINRA)
March 14, 1941
transcript pdf (Courtesy of the National Archives and Records Administration)
March 14, 1941
image pdf (Courtesy FINRA)
March 21, 1941
document pdf (Courtesy of Milton Kroll)
March 28, 1941
image pdf (Courtesy of FINRA)
April 3, 1941
image pdf (Government Records)
April 30, 1941
document pdf (Courtesy of the estate of Nathan Sameth)
May 8, 1941
image pdf (Courtesy FINRA)
May 16, 1941
transcript pdf (Courtesy of the National Archives and Records Administration)
May 16, 1941
transcript pdf (Courtesy of the National Archives and Records Administration)
May 21, 1941
transcript pdf (Courtesy of the National Archives and Records Administration)
June 7, 1941
transcript pdf (AICPA Collection, University of Mississippi)
June 23, 1941
image pdf (William O. Douglas Papers, courtesy Library of Congress)
June 24, 1941
transcript pdf (Courtesy of the National Archives and Records Administration)
June 27, 1941
image pdf (Courtesy of the National Archives and Records Administration)
June 30, 1941
Seventh Annual Report of the Securities and Exchange Commission

(Government Records)

July 10, 1941
transcript pdf (Courtesy of National Archives and Records Administration)
August 7, 1941
image pdf (Courtesy of the National Archives and Records Administration)
September 2, 1941
transcript pdf (Courtesy of the National Archives and Records Administration)
September 15, 1941
image pdf (Courtesy of FINRA)
September 16, 1941
transcript pdf (AICPA Collection, University of Mississippi)
October 1, 1941
image pdf (Courtesy FINRA)
October 6, 1941
image pdf (Courtesy of the National Archives and Records Administration)

1 to 100 of 405 records

Page:

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