www.sechistorical.org

Memo from Lee D. Arning, New York Stock Exchange on national securities market

[image] (pdf) (Courtesy FINRA)

September 27, 1971

September 27, 1971

SEC Release: Coordination of the Disclosure System: The Division of Corporation Finance's Practice of Deferring Processing 1933 Act Registration Statements Filed by Issuers Until They Comply with the Reporting Requirements of The Securities Exchange Act of

[document] (pdf) (Courtesy of Richard Rowe)

September 28, 1971

Memo from William C. Freund, New York Stock Exchange to Robert W. Haack on working committee on a national securities exchange

October 11, 1971

Memo from Paul F. McGuire, Special Securities Committee to the Board of Directors, Chicago Board of Trade on formation of an options exchange

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

October 13, 1971

Letter from Irving M. Pollack, SEC Division of Trading and Markets to Milton H. Cohen, Schiff Hardin Waite Dorschel & Britton concerning Chicago Board of Trade's proposed options exchange

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

October 13, 1971

Securities Regulation and Tax Report-Support for Composite Tape

[document] (pdf) (Courtesy of Milton Cohen)

October 14, 1971

Report from Owen H. Nichols, Executive Committee to the Board of Directors, Chicago Board of Trade on implementation of a securities options market

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

November 1971

NASD News - Special Report

[image] (pdf) (Courtesy FINRA)

November 4, 1971

Memo from John Evans to Chairman Sparkman on the Proposed National Credit Union Bank of 1971

[document] (pdf) (Courtesy of the estate of John Evans)

November 22, 1971

Memo from Dwight Chapin to George P. Schultz on call from Bernard (Bunny) Lasker

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

December 1971

Findings, Opinion and Order in the Matter of Performance Systems, Inc.

[image] (pdf) (Courtesy FINRA)

December 20, 1971

[document] (pdf) (Courtesy of Richard Rowe)

1972 to present

Division Directors, U.S. Securities and Exchange Commission Division of Enforcement

[document] (pdf) (Government Records.)

1972 to present

Division Directors, U.S. Securities and Exchange Commission Division of Investment Management

[document] (pdf) (Government Records.)

1972 (undated)

Key Facts in Confirmation of Richard Kleindienst as Attorney General

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

1972

Notion for Summary Judgment and Affadavit of Charles A. Pardee, U.S. Securities and Exchange Commission v. Acoustica Associates, Inc.

[image] (pdf) (Courtesy FINRA)

1972

NASD Notices to Members

(Courtesy of FINRA)

January - June [image] (pdf)
July - September [image] (pdf)
October - December [image] (pdf)

1972

[document] (pdf) (Courtesy of Richard Rowe)

1972

Small Business Investment Act Amendments of 1972 (Public Law No. 92-595); Section 18 of ICA Amended

[document] (PDF) (Government Records)

1972 (undated)

Statement of John N. Mitchell before the Committee on the Judiciary of the United States Senate on ITT

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

1972

U.S. Securities and Exchange Commission Annual Report

[document] (pdf) (Government Records)

January 17, 1972

Letter from Anthony A. Barnett to SEC Commissioner James Needham with report on NASDAQ

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

January 28, 1972

Memo from Tod R. Hullin on conversation with Mr. Kennon, State Department concerning Robert Vesco

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

February 3, 1972

Complaint for Injunctive and Other Relief, U.S. Securities and Exchange Commission v. National Student Marketing Corporation

[document] (pdf) (Courtesy of Richard Rowe)

February 3, 1972

SEC Release: The Division of Corporation Finance's Procedures Designed to Curtail Time in Registration Under the Securities Act of 1933

[document] (pdf) (Courtesy of Richard Rowe)

February 15, 1972

First Amended Complaint for Injunctive and Other Relief, U.S. Securities and Exchange Commission v. National Student Marketing Corporation

[document] (pdf) (Courtesy of Richard Rowe)

March 2, 1972

Request for Public Comment on SEC's Advisory Committee on Enforcement

[image] (pdf) (Government Records)

March 6, 1972

Joint Letter from Senators Hart, Burdick, Kennedy and Tunney to Senator James O. Eastland with questions concerning ITT

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

March 20, 1972

Findings, Opinions and Order in the Matter of Filtrol Corporation

[document] (pdf) (Courtesy of Richard Rowe)

April 1972

Memo from L. Higby to John Dean requesting analysis of contributors to 1972 Democratic candidates, particularly officers of ITT and subsidiaries

[image] (pdf) (Courtesy FINRA)

April 3, 1972

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

April 10, 1972

Letter from John W. Dean III to Senator James O. Eastland invoking executive privilege for Peter Flanigan

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

April 19, 1972

Memo from John Dean to Peter Flanigan in response to letter from Senator Eastland

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

April 20, 1972

Special New York Stock Exchange Membership Bulletin on Institutional Membership Constitution and Rule Amendments

May 19, 1972

"Towards Common Accounting Standards" - Address by SEC Chairman William J. Casey to the Conference on Financial Reporting

[image] (pdf) (Courtesy of Stephen A. Zeff)

May 24, 1972

New York State Attorney General Release on arrest of Steven Telsey on stock fraud

[image] (pdf) (Courtesy of Orestes Mihaly)

June 1, 1972

Report of the SEC Advisory Committee on Enforcement Policies and Practices (Wells Committee Report)

(Courtesy of Robert Knuts)

Part 1 [image] (pdf)
Part 2 [image] (pdf)
Part 3 [image] (pdf)

June 6, 1972

U.S. Securities and Exchange Commission Release on Great Southwest Corporation Offer of Settlement

[document] (pdf) (Courtesy of Richard Rowe)

June 16, 1972

Memo from J.J. Donohue, New York Stock Exchange on visit from Alton B. Harris, Securities Industry Study

June 19-23, 1972

Manual for SEC Enforcement Training Program

(Courtesy of Gregory G. Faragasso)

Pages 1 - 100 [image] (pdf)
Pages 101 - 200 [image] (pdf)
Pages 201 - 300 [image] (pdf)
Pages 301 - 400 [image] (pdf)
Pages 401 - 500 [image] (pdf)
Pages 501 - 600 [image] (pdf)
Pages 601 - 715 [image] (pdf)

June 20, 1972

NASD News - Special Report

[image] (pdf) (Courtesy FINRA)

July 1972

Answering Brief of the U.S. Securities and Exchange Commission, SEC v. Computer Statistics, Inc.

[document] (pdf) (Courtesy of Richard Rowe)

July 7, 1972

Findings, Opinion and Stop Order in the Matter of Brian - Lloyd Co., Inc.

[document] (pdf) (Courtesy of Richard Rowe)

July 24, 1972

Proposed Findings of Fact and Conclusions of Law and Brief in Support Thereof in the Matter of Lake Ontario Cement Ltd.

[document] (pdf) (Courtesy of Richard Rowe)

July 31, 1972

Memo from Caspar Weinberger to President Nixon on Troika Plus meeting

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

August 26, 1972

Memo from John Ehrlichman to Alexander Haig on Robert Vesco

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

August 31, 1972

Findings and Stop Order in the Matter of U.S. Stock Transfer Corporation

[document] (pdf) (Courtesy of Richard Rowe)

September 6, 1972

Findings and Opinion of the Commission in the Matter of Levitz Furniture Corporation

[document] (pdf) (Courtesy of Richard Rowe)

September 13, 1972

Memo from Charles Colson to Fred Fielding on SEC handling of ITT investigation

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

October 2, 1972

"The Partnership between the Accounting Profession and the SEC" - Address by SEC Chairman William J. Casey to AICPA

[image] (pdf) (Courtesy of Stephen A. Zeff)

October 2, 1972

Memo from Charles Colson to Fred Fielding on upcoming SEC release of ITT files to Judiciary Committee

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

October 3, 1972

"Investor Relations and Corporate Credibility" - Address by SEC Chairman William J. Casey to National Investor Relations Institute

[image] (pdf) (Courtesy of Stephen A. Zeff)

October 6, 1972

Letter from SEC Chairman William J. Casey to U.S. Representative Harley O. Staggers explaining release of ITT materials to Department of Justice

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

October 10, 1972

Speech by John C. Burton to the Los Angeles Chapter of the California Society of Certified Public Accountants

[document] (pdf) (Government Records)

October 13, 1972

Letter of protest from U.S. Representative Harley O. Staggers to SEC Chairman William J. Casey on release of ITT files to Department of Justice

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

October 13, 1972

Letter of protest from U.S. Representative John E. Moss to SEC Chairman William J. Casey on release of ITT files to Department of Justice

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

October 18, 1972

"Financial Disclosure, Investor Confidence and Corporate Credibility" - Address by SEC Chairman William J. Casey to Financial Executives Institute

[image] (pdf) (Courtesy of Stephen A. Zeff)

October 19, 1972

Memo from Lew Engman to John Ehrlichman on SEC Vesco investigation

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

October 25, 1972

Letter from SEC Chairman William J. Casey to U.S. Representative Harley O. Staggers on ITT investigation

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

October 26, 1972

Letter from Ralph E. Erickson, Deputy Attorney General to U.S. Representative Harley O. Staggers on SEC transfer of ITT files to Department of Justice

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

November 1, 1972

Letter from U.S. Representative Harley O. Staggers to SEC Chairman William J. Casey ordering examination of SEC handling of ITT materials

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

November 1972

Letter from SEC Chairman William J. Casey to John Dean, with draft response letter to Harley Staggers

[image] (pdf) (Courtesy FINRA)

November 6, 1972

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

November 15, 1972

Letter and Press Release from New York Stock Exchange to Herbert Stein on NYSE invitation to Soviet Government Bank of Foreign Trade

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

December 1, 1972

"A Blueprint for Securities Markets of the Future" - Address by James J. Needham, Chairman, New York Stock Exchange, Inc. at an annual meeting of the Securities Industry Association

1973

Chicago Board of Trade: Summary of Proposed Options Exchange Bylaws & Rules Regarding Membership Qualifications and Requirements for Various Forms of Participation

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

1973

Comments of the Securities and Exchange Commission on S.2058 to the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs, 93rd Congress, 1st Session

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

1973

U.S. Securities and Exchange Commission Annual Report

[image] (pdf) (Courtesy FINRA)

1973

NASD Notices to Members

(Courtesy of FINRA)

January - February [image] (pdf)
March - April [image] (pdf)
May - June [image] (pdf)
July [image] (pdf)
September; [image] (pdf)
October - December [image] (pdf)

1973

[transcript] (pdf) (Courtesy of Government Records)

1973

Comments of the Securities and Exchange Commission on Title IV of H.R. 5050 to the Subcommittee on Commerce and Finance of the House Committee on Interstate and Foreign Commerce, 93rd Congress, 1st Session

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 22, 1973

Memo from Jana Hruska for file of Don Nixon, Jr. on delivery of files on SEC case on Robert Vesco and IOC to White House

[transcript] (pdf) (Courtesy of the Nixon Presidential Library & Museum)

February 21, 1973

Nominations of G. Bradford Cook, Philip A. Loomis, Jr. and John R. Evans - Hearing before the U.S. Senate Committee on Banking, Housing and Urban Affairs

[image] (pdf) (Courtesy of the Library of Congress)

February 23, 1973

Keynote for "The SEC Speaks Again" - Address by SEC Chairman-Designate G. Bradford Cook to PLI

[transcript] (pdf) (Courtesy of G. Bradford Cook)

March 1973

"The Central Market System: Putting the Markets to Work for the Investor" - Address by SEC Chairman G. Bradford Cook to the New York Financial Writers' Association

[image] (pdf) (Courtesy FINRA)

March 15, 1973

[transcript] (pdf) (Courtesy of G. Bradford Cook)

March 27, 1973

"The Role of the Analyst in the Evolving Market System" - Address by G. Bradford Cook to the New York Society of Security Analystst

[transcript] (pdf) (Courtesy of G. Bradford Cook)

March 29, 1973

"Managing Today's Capital Market System: An Overview" - Address by SEC Chairman G. Bradford Cook to Stanford and MIT Sloan Program

[transcript] (pdf) (Courtesy of G. Bradford Cook)

April 2, 1973

John C. Burton, "Forecasts: A Changing View from the Securities and Exchange Commission," to the Northwestern University Conference on Public Reporting of Corporate Financial Forecasts

[document] (pdf) (Government Records)

April 6, 1973

"The Director's Dilemma" - Address by SEC Chairman G. Bradford Cook to SMU School of Business Administration

[transcript] (pdf) (Courtesy of G. Bradford Cook)

April 19, 1973

"Disclosure and the Changing Business Environment" - Address by SEC Chairman G. Bradford Cook to the American Society of Corporate Secretaries

[transcript] (pdf) (Courtesy of G. Bradford Cook)

April 25, 1973

"Democracy in the Markets" - Address by SEC Chairman G. Bradford Cook to the Economic Club of Chicago

[transcript] (pdf) (Courtesy of G. Bradford Cook)

May 2, 1973

Remarks by SEC Chairman G. Bradford Cook to Fordham Law Review Alumni Association Annual Meeting

[transcript] (pdf) (Courtesy of G. Bradford Cook)

May 7, 1973

John C. Burton, "General Thoughts on the Accounting Environment and Specific Thoughts on Accounting for Lease Financing," for the AGA-EEI Accounting Conference

[document] (pdf) (Government Records)

May 9, 1973

"The Big Enforcement Cases: Their Impact on Investor Confidence" - Address by SEC Chairman G. Bradford Cook to the Society of American Business Writers

[transcript] (pdf) (Courtesy of G. Bradford Cook)

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 10-11, 1973

The SEC and the Accounting Profession: Responsibility, Authority and Progress - Address by SEC Chief Accountant John C. Burton for the Accounting Colloquium III, University of Kansas

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

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 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

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 21, 1973

"Preserving the Auction Market - Core of the Central Market System Debate?" - Remarks by James J. Needham, Chairman, New York Stock Exchange, Inc.

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

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 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)

August 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 FINRA)

August 6, 1973

[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 27, 1973

New York Stock Exchange Board Summary Memorandum on recission of one year limitation on ownership of stock - Rule 317

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

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 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

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

September 19, 1973

New York Stock Exchange Board Summary Memorandum on commission rate increase

September 19, 1973

New York Stock Exchange Board Summary Memorandum on Nonmember access discount - managed institutional accounts

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

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 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

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 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 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

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

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

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 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

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

New York Stock Exchange repeal of Exchange Rule 360 - block automation system

[image] (pdf) (Courtesy FINRA)

December 4, 1973

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)

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)

Part 1 [image] (pdf)
Part 2 [image] (pdf)

1974

NASD Notices to Members

(Courtesy of FINRA)

January - February [image] (pdf)
March - July [image] (pdf)
August - December [image] (pdf)

1974

Response to the White Paper Questionnaire concerning "Recommendations and Comments on Financial Reporting to Shareholders and Related Matters"

1974

U.S. Securities and Exchange Commission Annual Report

[transcript] (pdf) (Courtesy of Government Records)

1974

Upward Mobility, SEC

[image] (pdf) (Government Records)

January 2, 1974

New York Stock Exchange Board Summary Memorandum on consolidated tape

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)

January 15, 1974

"The Consolidated Tape: A Perspective," Speech by SEC Chairman Ray Garrett, Jr. to the National Association of Securities Dealers

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

January 16, 1974

"Continuity and New Challenges," Speech by SEC Chairman Ray Garrett, Jr. to the Securities Regulation Institute

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

January 16, 1974

"It Was the Best of Times," Address by SEC Commissioner John R. Evans to Financial Management Division, Securities Industry Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 17, 1974

John C. Burton, "The SEC and the Changing World of Accounting," for The Dean's Forum

[document] (pdf) (Government Records)

January 21, 1974

"The SEC and the FASB: Their Roles" - Address by SEC Commissioner A.A. Sommer, Jr. at Accounting Day, University of Washington

[image] (pdf) (Government Records)

January 24, 1974

"The Emerging Responsibilities of the Securities Lawyer" - Address by SEC Commissioner A.A. Sommer, Jr. to the New York State Bar Association

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

February 1974

New York Stock Exchange Board Summary Memorandum on listing standards for long-term warrants

February 5, 1974

New York Stock Exchange Board Summary Memorandum on amendments to Rules 417 and 418 - elimination of surprise audits and conforming Exchange audit rules with those of the SEC

February 6, 1974

"The SEC's Concern with Bank Trust Activities," Speech by SEC Chairman Ray Garrett, Jr. to the 55th National Trust Conference

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

February 6, 1974

Statement by James J. Needham, New York Stock Exchange, Inc. before the Financial Markets Subcommittee of the Senate Finance Committee on S.2842 - The Stockholders Investment Act

February 7, 1974

"Foreign Investment in U.S. and U.S. Securities Laws," Speech by SEC Chairman Ray Garrett, Jr. to the Chamber of Commerce

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

February 12, 1974

"A Look Ahead at the World of Competitive Commission Rates," Speech by SEC Chairman Ray Garrett, Jr. to the Midwest Stock Exchange Conference

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

February 12, 1974

Remarks by John C. Burton before the Memphis Chapter of the Tennessee Society of CPAs

[document] (pdf) (Government Records)

February 18, 1974

"SEC Approach to Municipal Securities Regulation," Address by SEC Commissioner John R. Evans to 2nd Annual Bank Investments Conference, American Bankers Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 20, 1974

Notes for SEC Chairman Ray Garrett, Jr. for Exchequer Club

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

February 21, 1974

"Efficiency in Transferring Securities," Speech by SEC Chairman Ray Garrett, Jr. to the New York Regional Group, American Society of Corporate Secretaries

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

February 28, 1974

John C. Burton, "The Need for Professional Accounting Education," for The University of Texas at Austin College of Business Administration

[document] (pdf) (Government Records)

March 1974

"The Internationalization of the Securities Markets" - Carl T. Bodolus, Chief of the SEC Office of International Corporate Finance

[image] (pdf) (Published in Business Lawyer, Volume 29, 1974. Copyright 1974 by the American Bar Association. Permission limited to the virtual museum and archive at www.sechistorical.org; cannot be copied or otherwise reproduced.)

March 1, 1974

"The State of the SEC," Speech by SEC Chairman Ray Garrett, Jr. to the Practising Law Institute Conference

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 1974

New York Stock Exchange Board Summary Memorandum on Commission amendments for March 1974

March 1974

Taking Stock, U.S. Securities and Exchange Commission

[document] (pdf) (Courtesy of Richard Rowe)

March 7, 1974

Statement by SEC Chairman Ray Garrett, Jr. before the Subcommittee on Foreign Commerce and Tourism of the Senate Committee on Commerce on S.2840, 93rd Congress, 1st Session

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 12, 1974

"Confidence and Liquidity," Speech by SEC Chairman Ray Garrett, Jr. to the Philadelphia-Baltimore-Washington Stock Exchange Membership Conference

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 13, 1974

"Applying Securities Laws to Banking Activities," Comments by SEC Commissioner John R. Evans for the Mutual Funds and Investment Management Conference

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 13, 1974

"Improving Disclosures to Investors," Speech by SEC Chairman Ray Garrett, Jr. to the Chicago Chapter, American Society of Corporate Secretaries

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 13, 1974

Role of Financial Public Relations, presentation by Chairman Ray Garrett, Jr. before the Publicity Club of Chicago

[document] (pdf) (Courtesy of Milton Cohen)

March 14, 1974

"A Look Ahead," Speech by SEC Chairman Ray Garrett, Jr. to the Mutual Funds and Investment Management Conference

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 15, 1974

"The Role of Professionals," Speech by SEC Chairman Ray Garrett, Jr. to the San Diego County Bar Association

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 19, 1974

Testimony of SEC Chairman Ray Garrett, Jr. before the Subcommittee on HUD-Space-Science-Veterans of the House Committee on Appropriations, on the SEC's Fiscal 1975 Budget Estimate

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 20, 1974

"Professional Responsibility: The Public Client" - Address by SEC Commissioner A.A. Sommer, Jr. to the Columbus (Ohio) Chapter of Certified Public Accountants and Bar Association

[image] (pdf) (Government Records)

March 22, 1974

"Capital Markets Today and Tomorrow," Speech by SEC Chairman Ray Garrett, Jr. to the Executives Club of Chicago

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 27 and 28, 1974

SEC Authority Over Third Market Trading - Hearings before the Subcommittee on Securities of the U.S. Senate Committee on Banking, Housing and Urban Affairs

[image] (pdf) (Courtesy of the Library of Congress)

March 27, 1974

Statement by SEC Chairman Ray Garrett, Jr. before the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs, on S.3126, 93rd Congress, 2nd Session

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 29, 1974

"Forecasting: A Look at the Future," Address by SEC Commissioner A.A. Sommer, Jr. to the Corporate Financial Forecast and Disclosure Conference, Drexel University

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 2, 1974

"Disclosure by Foreign Companies in U.S. Markets," Speech by SEC Chairman Ray Garrett, Jr. to the Conference on the Re-opening of U.S. Capital Markets

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

April 2, 1974

"Fail-Safe or Fail-Certain: The Final Push to Securities Regulation" - Remarks by James J. Needham, New York Stock Exchange, Inc. at a luncheon of The Financial Executives Institute

April 23, 1974

"Effective Regulation Requires Cooperation and Coordination," Address by SEC Commissioner John R. Evans to North American Securities Administrators Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 23, 1974

Letter from U.S. Senators Harrison A. Williams and William Proxmire to SEC Chairman Ray Garrett, Jr. on options trading

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 23, 1974

Memorandum from Stanley Sporkin, Director of the Division of Enforcement, U.S. Securities and Exchange Commission, on the Reorganization of the Division of Enforcement

[document] (pdf) (Courtesy of Theodore Levine)

April 23, 1974

U.S. Securities and Exchange Commission Release on the Reorganization of the Division of Enforcement

[document] (pdf) (Courtesy of Theodore Levine)

April 24, 1974

U.S. Securities and Exchange Commission News Digest

[document] (pdf) (Courtesy of Richard Rowe)

April 25, 1974

"A Look at the SEC's Administrative Practices," Speech by SEC Chairman Ray Garrett, Jr. to the Southwestern Legal Foundation

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

April 30, 1974

"Improved Exemptions and Improved Disclosure," Speech by SEC Chairman Ray Garrett, Jr. to the Colorado Bar Assocation

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 1974

"Regulation of Bank Securities Activities," Address by SEC Commissioner John R. Evans to the Ninth Annual Banking Law Institute

[image] (pdf) (Courtesy FINRA)

May 2, 1974

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 2, 1974

"The Individual Investor and the Stock Markets," Speech by SEC Chairman Ray Garrett, Jr. to Women Investment Brokers

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 3, 1974

"Euro-Capital Markets after the Removal of American Restrictions," Address by SEC Commissioner A. A. Sommer, Jr. to the 1974 Annual General Meeting of The Association of International Bond Dealers

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 3, 1974

"The Analysts and the SEC," Speech by SEC Chairman Ray Garrett, Jr. to the New York Society of Security Analysts

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 6, 1974

Testimony of Commissioner John R. Evans, Securities and Exchange Commission before the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs on S.2474 and S.1933

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 8, 1974

"Improvements in Corporate Disclosure," Address by SEC Chairman Ray Garrett, Jr. to the San Francisco Chapter, American Society of Corporate Secretaries

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 8, 1974

"Our Changing Capital Matters," Address by SEC Chairman Ray Garrett, Jr. to the Commonwealth Club of California

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 9 and 10, 1974

John C. Burton "The Case for Continuation of Mandatory Independent Audits for Publicly Held Companies"

[document] (pdf) (Government Records)

May 13, 1974

Testimony of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Subcommittee on HUD-Space-Science-Veterans, Committee on Appropriations, United States Senate, on the Securities and Exchange Commission's Fiscal 1975 Bud

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 15, 1974

"Mutual Funds: Fifty Years and Beyond," Address by SEC Chairman Ray Garrett, Jr. to the Investment Company Institute

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 16, 1974

Remarks of SEC Chairman Ray Garrett, Jr. at Retirement Dinner for Donald J. Stocking

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 16, 1974

Testimony of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Senate Committee on Commerce, on S.3356, 93rd Congress, 2nd Session

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 21, 1974

Memo to SEC Commissioner John R. Evans from the SEC Division of Enforcement concerning abusive practices in dealer banks

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 22, 1974

"The Future is Now," Address by SEC Commissioner John R. Evans to Joint Conference co-sponsored by Boston Stock Exchange and Independent Broker Dealers Trade Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 29, 1974

The Need for Fixed Floor Brokerage Rates - A Report Submitted to the SEC by New York Stock Exchange, Inc.

May 30, 1974

"Accountants: A Flexible Standard" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA National Institute on Professional Liability

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 30, 1974

"Problems of Professional Responsibility," Address by SEC Chairman Ray Garrett, Jr. to the American Bar Association National Institute

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 30, 1974

John C. Burton, "Financial Reporting in an Age of Inflation"

[document] (pdf) (Government Records)

June 4, 1974

"A Fence on the Cliff - Or An Ambulance in the Valley," Address by SEC Commissioner John R. Evans to 68th Annual Municipal Finance Officers Association Conference

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 10, 1974

"Is the SEC a Barrier to New York's Role in International Finance?," Address by SEC Chairman Ray Garrett, Jr. to The Financial Times

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

June 10, 1974

"The SEC in the Midst of Revolution" - Address by SEC Commissioner A.A. Sommer, Jr. to the New York Stock Exchange Marketing Conference

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

June 10-11, 1974

The Securities Industrial Revolution - Third Bi-Annual Conference sponsored by the New York Stock Exchange and its Marketing Advisory Committee

June 11, 1974

"Commission Rates - The World Ahead," Address by SEC Chairman Ray Garrett, Jr. to the New York Stock Exchange Third Bi-Annual Conference

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

June 14, 1974

Address by SEC Chairman Ray Garrett, Jr. before the 28th National Conference of the American Society of Corporate Secretaries

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

June 17, 1974

"Ending Uncertainty" - Address by SEC Commissioner A.A. Sommer, Jr. to the 6th National Institutional Trader Conference

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 1974

New York Stock Exchange Board Summary Memorandum on proposed amendment to Rule 325(a) - debt/equity capital requirements for member corporations

July 2, 1974

Address by SEC Chairman Ray Garrett, Jr. before the San Diego Mortgage Bankers Association

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

July 2, 1974

Letter from George W. Mitchell, Federal Reserve to SEC Chairman Ray Garrett, Jr. on Citicorp

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

July 4, 1974

"Professional Responsibility and the Securities Laws," Address by SEC Chairman Ray Garrett, Jr. to the State Bar of Texas

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

July 9, 1974

"Savings and Loan Associations and the SEC," Address by SEC Chairman Ray Garrett, Jr. to the United States League of Savings Associations

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

August 1974

The NASD - Origins, Recent Developments and Future Goals

[transcript] (pdf) (Courtesy FINRA)

August 7, 1974

New York Stock Exchange research report on member firm foreign activity

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

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 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 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)

September 1974

The Capital Needs and Savings Potential of the U.S. Economy, Projections through 1985 - New York Stock Exchange, Inc.

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 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

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 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

Statement by Dr. William C. Freund, New York Stock Exchange, Inc. before the SEC on impact of inflation on the securities industry

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 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 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 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

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)

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

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

[image] (pdf) (Courtesy FINRA)

1975

NASD Notices to Members

(Courtesy of FINRA)

January [image] (pdf)
February [image] (pdf)
March [image] (pdf)
April - June [image] (pdf)
July [image] (pdf)
August [image] (pdf)
September - December [image] (pdf)

1975

[document] (pdf) (Government Records)

1975

Testimony of Walter N. Frank on SEC proposed rules and New York Stock Exchange proposed "Market Responsibility Rule"

1975

U.S. Securities and Exchange Commission Annual Report

[transcript] (pdf) (Government Records)

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

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 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)

February 24, 1975

Letter from F. Lynn May, Domestic Council to Martin B.C. Simpson on elimination of fixed commission rates

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

March 5, 1975

Statement by SEC Chairman Ray Garrett, Jr. before the Subcommittee on Securities of the U.S. Senate Committee on Banking, Housing and Urban Affairs on S.425

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 11, 1975

Letter from Philip W. Buchen to U.S. Representative Lionel Van Deerlin on securities reform legislation

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

March 11, 1975

Letter from SEC Chairman Ray Garrett, Jr. to Hugh F. Owens, Securities Investor Protection Corporation, on amendments to Securities Investor Protection Act of 1970

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

March 11, 1975

Letter from SEC Chairman Ray Garrett, Jr. to James J. Needham, New York Stock Exchange, on a central market system

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

March 14, 1975

"Further Thoughts on 'Going Private'" - Address by SEC Commissioner A.A. Sommer, Jr. to Detroit Institute for Continuing Legal Education, Second Annual Securities Seminar

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 14, 1975

"To Create a Fair Field of Competition," Address by SEC Commissioner John R. Evans to Midwest Stock Exchange

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 17, 1975

Letter from Lee Pickard, SEC to James J. Needham, New York Stock Exchange, on negotiated commission rates

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

March 17, 1975

Letter from SEC Chairman Ray Garrett, Jr. to Kenneth R. Cole, Jr. on the Civil Rights Commission report

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

March 18, 1975

"Keep Your Eye on the Donut" - Address by SEC Commissioner A.A. Sommer, Jr. to the National Association of Accountants

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 18, 1975

Statement of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Subcommittee on Consumer Protection and Finance of the House Committee on Interstate and Foreign Commerce on H.R. 4457 - Creating a National Market Board

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

March 20, 1975

"Approaching May Day," Address by Lee A. Pickard, Director, SEC Division of Market Regulation, to The Bond Club of Buffalo

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 20, 1975

"The Markets: Nationalization or Centralization?" - Address by SEC Chairman Ray Garrett, Jr. to the New York Chamber of Commerce

[image] (pdf) (Government Records)

April 1975

"Where Are We Now - U.S. Law" - Outline of Talk by SEC Chairman Ray Garrett, Jr. to the Second International Securities Law Conference

[image] (pdf) (Courtesy FINRA)

April 3-4, 1975

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

April 11, 1975

Letter from Arthur F. Burns, Federal Reserve to SEC Chairman Ray Garrett, Jr. on bank disclosure

[transcript] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

April 14, 1975

"Disclosure and Corporate Management" - Address by SEC Chairman Ray Garrett, Jr. to the Wharton Graduate Business School Club and the Harvard Business School Club, New York

[image] (pdf) (Government Records)

April 15, 1975

"Zero Minus Sixteen and Counting," Address by SEC Commissioner John R. Evans to Security Traders Association of Connecticut

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 17, 1975

"Another Look at Insider Trading" - Address by SEC Commissioner A.A. Sommer, Jr. to the Southwestern Legal Foundation Symposium on Securities Regulation

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 18, 1975

Testimony of SEC Commissioner John R. Evans before the Subcommittee on Consumer Protection and Finance of the House of Representatives Committee on Interstate and Foreign Commerce Concerning H.R. 4570

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 24, 1975

Letter from Donald I. Baker, U.S. Department of Justice, to SEC Chairman Ray Garrett, Jr. on the New York Stock Exchange's proposed amendments to Rule 394

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 26, 1975

John C. Burton - "Payments Outside the Corporate Accountability System: A Problem for Management, Auditors and Society"

[document] (pdf) (Government Records)

April 28, 1975

Memo from Theodore C. Barreaux, SEC to Philip Buchen on Presidential bill signing ceremony for the Securities Reform Act of 1975

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

April 29, 1975

Memo from Philip Buchen to Warren Rustand on proposed May 3 bill signing ceremony

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

May 5, 1975

Letter from Arthur F. Burns, Federal Reserve to U.S. Senator Thomas J. McIntyre on bank disclosure

[transcript] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

May 7, 1975

Letter from James E. Smith, Comptroller of the Currency, to SEC Chairman Ray Garrett, Jr. on bank disclosure

[transcript] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

May 14, 1975

"Have We Learned Anything?" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Investment Company Institute

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 15, 1975

"Can the SEC Help Capital Markets?" - Remarks 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)

May 15, 1975

"The New Breath of Competition" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Seminar on the Analysis of Securities Prices

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 15, 1975

"Truth or Consequences," Address by SEC Commissioner John R. Evans to the Securities Cooperative Enforcement Conference

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 16, 1975

Letter from Carl L. Shipley to SEC Commissioner John R. Evans on "Truth and Consequences"

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 19, 1975

Letter from U.S. Senator Harrison A. Williams, Jr. to SEC Chairman Ray Garrett, Jr. decrying SEC actions on Rule 394

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 20, 1975

Reply Letter from SEC Chairman Ray Garrett, Jr. to U.S. Senator Harrison A. Williams, Jr. defending SEC actions on Rule 394

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 20, 1975

Statement of Ray Garrett, Jr., Chairman, before the Subcommittee on State, Justice and Commerce, the Judiciary and Related Agencies, House Committee on Appropriations, for SEC activities and financial requirements

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

May 22, 1975

"The Stepchild" - Speech by SEC Commissioner A.A. Sommer, Jr. to PLI

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 22, 1975

Letter from SEC Commissioner John R. Evans to U.S. Senator Harrison A. Williams, Jr. defending his comments on Rule 394

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 22, 1975

Letter from U.S. Senator Harrison A. Williams, Jr. to SEC Chairman Ray Garrett, Jr. reiterating his concerns on SEC actions on Rule 394

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 23, 1975

Letter from SEC Chairman Ray Garrett, Jr. to President Ford on reducing agency costs

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

May 27, 1975

"Interim Reflections on Mayday" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Maryland Securities Bar Club

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 28, 1975

"Negotiated Rates: The Initial Experience" - Address by SEC Chairman Ray Garrett, Jr. to the New York Society of Security Analysts

[image] (pdf) (Government Records)

May 28, 1975

"Proper Regulation Requires Understanding and Communication," Address by SEC Commissioner John R. Evans to Western Stock Transfer Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 28, 1975

Memo for the President from James M. Frey, Office of Management and Budget, on Securities Act Amendments of 1975

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

May 29, 1975

"Should Bank Investors Know," Address by SEC Commissioner John R. Evans to Cooperative Securities Conference

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 30, 1975

Memo from Jim Cannon to President Ford on Securities Act Amendments of 1975

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

June 3, 1975

Memo from William Baroody to Philip Buchen on conversation with SEC Chairman Garrett

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

June 4, 1975

Public Law 94-29, 94th Congress - Securities Acts Amendments of 1975

[image] (pdf) (Courtesy of the Library of Congress)

June 5, 1975

"Financial Reporting in a Troubled Industry" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the National Association of Real Estate Investment Trust's Annual Accounting and Tax Conference

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 10, 1975

Issue paper on SEC/bank dispute concerning required disclosure in bank holding company registration statements

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

June 11, 1975

Letter from SEC Commissioner John Evans to Jack Bookey, SEC Seattle Regional Administrator

[document] (pdf) (Courtesy of the estate of John Evans)

June 12, 1975

Memorandum from the SEC Office of Economic Research to the Commission regarding Distribution of Volume Among Exchanges during the month of May (1975)

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 13, 1975

"A Keynote Address - Of Sorts" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA Federal Regulation of Securities Committee Symposium

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 13, 1975

Letter from Bruce Alan Mann to Quinton F. Seamons on SEC Commissioner John R. Evans's comments on disclosure

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 17, 1975

Testimony of Commisssioner Philip A. Loomis, Jr., SEC, before the Subcommittee on International Economic Policy of the House Committee on International Relations

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 23, 1975

John C. Burton - Speech for the California Society of CPAs

[document] (pdf) (Government Records)

June 24, 1975

"The Limits of Disclosure" - Remarks by SEC Commissioner A.A. Sommer, Jr. to the Wharton-AICPA Advanced Management Program for CPA Firm Partners

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 27, 1975

"Homily on the Glories of Right Conduct and the Wages of Sin" - Address by SEC Chairman Ray Garrett, Jr. to the American Society of Corporate Secretaries

[image] (pdf) (Government Records)

June 27, 1975

Invitation letter from President Ford to SEC Chairman Ray Garrett, Jr. to attend July 9th meeting of independent regulatory agencies

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

June 27, 1975

Invitation letter from Roderick M. Hills, White House to Laurence E. Nerheim, SEC to attend July 3rd meeting of General Counsels of independent regulatory agencies

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

July 7, 1975

Letter from Richard H. Rowe, SEC Division of Corporation Finance, to Morris D. Crawford, Jr., The Bowery Savings Bank, on First Mortgage Investors

[transcript] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

July 16, 1975

Statement of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Senate Committee on Banking, Housing and Urban Affairs, on the matter of disclosure by banks and bank holding companies in connection with the public dist

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

July 17, 1975

Letter from SEC Chairman Ray Garrett, Jr. to Charles A. Cooper, Committee on Foreign Investments in the United States, Department of the Treasury, on accounting practices

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

July 21, 1975

"Crisis and the Corporate Community" - Address by SEC Commissioner A.A. Sommer, Jr. to the Midwest Securities Commissioners Association Conference

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 21, 1975

Memo from Harvey L. Pitt, SEC to Roderick M. Hills, White House on application of Federal securities laws to the Arab boycott

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

July 22, 1975

Statement of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Subcommittee on International Finance of the Senate Committee on Banking, Housing and Urban Affairs on S.425 - Foreign Investment Act of 1975

[transcript] (pdf) (Courtesy of Harvey L. Pitt)

July 25, 1975

Memo from Paul Gonson to the SEC Commission on suspension of former SEC Chairman Cook from practice of law by the Nebraska Supreme Court

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 31, 1975

Letter from John R. McMillan, Reserve Oil and Gas Company, to the SEC on Rule 394

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 1, 1975

Letter from Harry J. Volk, Union Bancorp, to SEC Commissioner John R. Evans on Rule 394

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 5, 1975

Letter from SEC Chairman Ray Garrett, Jr. to President Ford on Securities Investor Protection Corporation

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

August 7, 1975

Invitation from the Northern Chapter of the Virginia Society of Certified Public Accountants to SEC Commissioner John R. Evans to speak at the chapter's September 9th meeting

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 8, 1975

Telegram from William T. Ylvisaker, Chairman and CEO, Gould, Inc. to SEC Commissioner John R. Evans to endorse the maintenance of Rule 394 of the New York Stock Exchange

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 12, 1975

"Disclosure Through a Glass Darkly," Address by SEC Commissioner John R. Evans to American Bar Association Annual Meeting

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 14, 1975

Letter from Donald E. Weeden, Weeden & Co., to SEC on Rule 394

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 19, 1975

Letter from Charles F. Rogers, Jr. to Theodore Barreaux seeking employment at the SEC

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

August 20, 1975

Letter from Theodore Barreaux to Richard L. Still, U.S. House of Representatives on employment request from Charles F. Rogers, Jr.

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

August 21, 1975

SEC notice of proposed amendments to Regulation S-X to require disclosure of certain replacement cost data in notes to financial statements

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

August 22, 1975

Letter from Theodore Barreaux to Charles F. Rogers, Jr.

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

August 25, 1975

Letter from John Burton, SEC to L. William Seidman on proposed amendments to Regulation S-X

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

September 3, 1975

Letter from SEC Commissioner John Evans to George W. Mitchell, Vice Chairman, Board of Governors of the Federal Reserve System

[document] (pdf) (Courtesy of the estate of John Evans)

September 5, 1975

Letter from U.S. Representative John E. Moss to SEC Chairman Ray Garrett, Jr. on the SEC's implementation of the Securities Acts Amendments of 1975

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 8, 1975

"Future Securities Markets - Reform, Not Revolution" - Address by SEC Chairman Ray Garrett, Jr. to the North American Securities Administrators Association

[image] (pdf) (Government Records)

September 8, 1975

"The Delicate Balance of Regulation and Competition" - Address by SEC Commissioner A.A. Sommer, Jr. to the North American Securities Administrators Association, Inc. 58th Annual Conference

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 12, 1975

"Is the SEC Anti-Business?" - Address by SEC Chairman Ray Garrett, Jr. to the Public Relations Society of America (Wisconsin Chapter) and the Milwaukee Bar Association

[image] (pdf) (Government Records)

September 15, 1975

Letter from SEC Chairman Ray Garrett, Jr. to U.S. Representative Wright Patman on the proposed revisions to Regulation F of the Federal Reserve System

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 17, 1975

Resignation letter from SEC Chairman Ray Garrett, Jr. to President Ford

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

September 19, 1975

Letter from A.A. Sommer, Jr. to Wayne Valis

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

September 19, 1975

Letter from President Ford accepting resignation of SEC Chairman Ray Garrett, Jr.

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

September 22, 1975

Letter from Allan MacDougall, Jr. to L. William Seidman with suggested criteria for new SEC Chairman

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

September 24, 1975

Letter from Wayne H. Valis to SEC Commissioner A.A. Sommer, Jr.

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

September 29, 1975

"Can the SEC Help the Capital Crunch?" - Address by SEC Commissioner A.A. Sommer, Jr. to the National Investor Relations Institute

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 1, 1975

Memo for the White House Press Office on the appointment of Roderick M. Hills to SEC

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

October 2, 1975

White House press release on appointment of Roderick M. Hills to the SEC

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

October 3, 1975

"The Accounting Profession and Accounting Principles" - Address by SEC Chairman Ray Garrett, Jr., Second Annual Robert M. Trueblood Memorial Conference

[image] (pdf) (Government Records)

October 3, 1975

New York State Attorney General News Release on ban on promoters of lost Inca emerald mine

[transcript] (pdf) (Courtesy of Orestes Mihaly)

October 3, 1975

U.S. Senate meeting schedule for Roderick Hills

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

October 6, 1975

Congratulatory letter from Merle Zellerbach, San Francisco Chronicle to SEC Chairman Roderick M. Hills

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

October 9, 1975

"Transfer Agents Meet the SEC," Address by SEC Commissioner John R. Evans to Southern Chapter, Western Stock Transfer Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 10, 1975

"Rule 394: Standing in the Threshold," Address by SEC Commissioner A. A. Sommer, Jr. to the 42nd Annual Convention of the National Security Traders Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 14, 1975

John C. Burton - "The Changing Face of Financial Reporting"

[document] (pdf) (Government Records)

October 28, 1975

Memorandum from John C. Burton to SEC Commissioner John R. Evans with responses to questions on Guide 61

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 29 and 30, 1975

John C. Burton - "Legal Problems of Bank Regulators"

[document] (pdf) (Government Records)

October 31, 1975

Letter from James Buck, New York Stock Exchange to Lee Pickard, SEC on consolidated tape

[image] (pdf) (Courtesy of the National Archives and Records Administration)

November 1975

Protest letter from George C. Dinsmore to George L. Hinman on lack of Republican Party support for the New York Stock Exchange

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

November 3, 1975

John C. Burton - "Credit Analysis and Credit Losses: The Role of Financial Information"

[document] (pdf) (Government Records)

November 4, 1975

"Two Problems for Lawyers," Address by SEC Commissioner A.A. Sommer, Jr. to the Dallas Bar Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 5, 1975

Letter from James Buck, New York Stock Exchange to Lee Pickard, SEC on floor trading activities of newly-approved members

[image] (pdf) (Courtesy of the National Archives and Records Administration)

November 7, 1975

Protest letter from Walter W. Stokes, Jr. to George L. Hinman on lack of Republican Party support for the New York Stock Exchange

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

November 11, 1975

John C. Burton - "Inflation and Financial Disclosures: Fallacy in Numberland," for the Institute of Internal Auditors

[document] (pdf) (Government Records)

November 13, 1975

Letter from SEC Chairman Roderick M. Hills to William T. Bagley, Commodity Futures Trading Commission, on trading of GNMA certificates

[transcript] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

November 14, 1975

Letter from Karl R. Bendetsen, Champion International to SEC Chairman Roderick M. Hills on Rule 394

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

November 14, 1975

Memo from Andrew Steffan, SEC Office of Policy Planning, to Burton Malkiel

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

November 17, 1975

"Tell It Like It Is," Address by SEC Commissioner John R. Evans to the Association of Registered Bank Holding Companies

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 18, 1975

Letter from John E. Petersen, Municipal Finance Officers Association, to SEC Commissioner John R. Evans on suggested guidelines for municipal bond official statements

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 21, 1975

Letter from SEC Chairman Roderick M. Hills to Karl R. Bendetsen, Champion International

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

November 24, 1975

Letter from SEC Chairman Roderick M. Hills to Arthur F. Burns, Federal Reserve, on November 25th meeting

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

November 26, 1975

"Rule 394: 120-Hour Countdown" - Address by Francis J. Palamara, Executive Vice President, New York Stock Exchange, Inc. to Cleveland Society of Security Analysts

December 1, 1975

SEC Report to Congress on the Effect of the Absence of Fixed Rates of Commissions

[image] (pdf) (Courtesy of the Library of Congress)

December 4, 1975

Letter from SEC Chairman Roderick M. Hills to James J. Needham, New York Stock Exchange, on foreign-owned or affiliated exchange members

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

December 5, 1975

A Report from the SEC - Address by SEC Chairman Roderick M. Hills to the Securities Industry Association Annual Convention

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 8, 1975

"The Slippery Slope of Materiality," Address by SEC Commissioner A.A. Sommer, Jr. to the Practising Law Institute

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 11, 1975

Letter from Richard W. Lisle to SEC Chairman Roderick M. Hills

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

December 17, 1975

Letter from James Buck, New York Stock Exchange to Martin Moskowitz, SEC approving extension of time for Commision action on Rule 345

[image] (pdf) (Courtesy of the National Archives and Records Administration)

1976

Letter from SEC Chairman Roderick M. Hills to Jimmy Carter on "revolving door" employment between government and industry

[transcript] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

1976

Railroad Revitalization and Regulatory Reform Act of 1976 (Public Law No. 94-210); Section 3(c)(7) of ICA amended

[image] (pdf) (Courtesy FINRA)

1976

NASD Notices to Members

(Courtesy of FINRA)

January [image] (pdf)
February [image] (pdf)
March I [image] (pdf)
March II [image] (pdf)
April - August [image] (pdf)
September I [image] (pdf)
September II [image] (pdf)
October - December [image] (pdf)

1976

[document] (PDF) (Government Records)

1976

Report of the Board of Governors of the Federal Reserve System on the proposal of the Securities and Exchange Commission to amend Article 3 of Regulation S-X

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

1976

SEC Release on interpretive statement by the Commission on disclosure by registrants of holdings of securities of New York City

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

1976

SEC release on notice of proposed amendment to Article 3 of Regulation S-X

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

1976

U.S. Securities and Exchange Commission Annual Report

[transcript] (pdf) (Courtesy of Government Records)

1976 to present

U.S. Securities and Exchange Commission Staff Award - Distinguished Service Award

[document] (pdf) (Government Records.)

January 3, 1976

Letter from Arthur F. Burns, Federal Reserve to SEC Chairman Roderick M. Hills on SEC interpretive statement on New York City securities

[transcript] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

January 7, 1976

Address by SEC Chairman Roderick M. Hills to the American Institute of Certified Public Accountants

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 7, 1976

Invitation letter, with proposed agenda, to Alan Greenspan, Council of Economic Advisors from SEC Chairman Roderick M. Hills to attend January 9th meeting with economists

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

January 14, 1976

"Studies - Not Partisan Rhetoric - For Glass-Steagall Decisions," Address by SEC Commissioner John R. Evans to 3rd Annual Securities Regulation Institute

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 29, 1976

John C. Burton - Address to the New York State Bar Association

[document] (pdf) (Government Records)

January 29, 1976

Letter from Lee Pickard, SEC to James E. Buck, New York Stock Exchange, Inc. on NYSE rules

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

January 29, 1976

Memo from the SEC Directorate of Economic and Policy Research to the SEC Commission on the monitoring of changes in NYSE memberships

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

February 1976

The Central Market System: A Progress Report from the New York Stock Exchange

February 5, 1976

"Some Reflections on Competition and the National Market System" - Address by SEC Commissioner Philip A. Loomis, Jr. at the Denver Institutional Securities Conference

[image] (pdf) (Government Records)

February 10, 1976

"Securities Market Reform: A Time to Pause" - Remarks by James J. Needham, New York Stock Exchange, Inc. at the 10th Annual Executive Update

February 10, 1976

Letter from SEC Chairman Roderick M. Hills to President Ford in support of government initiative against unlawful foreign payments

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

February 13, 1976

Letter from Arthur F. Burns, Federal Reserve to SEC Commission on interpretive statement for transfers or exchanges in non-arm's length transactions

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

February 16, 1976

"Business Ethics and the Free Enterprise System," Remarks by SEC Commissioner A. A. Sommer, Jr. to the National Association of Truck Stop Operators Seminar

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 17, 1976

"The Disclosure Study: What Is It?," Remarks by SEC Commissioner A.A. Sommer, Jr. to the Midwest Securities Administrators

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 17, 1976

Democracy and the Planned Economy - Friends or Foes? Address by SEC Chairman Roderick M. Hills to Pitzer College National Issues Forum Dinner

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 20, 1976

"Disclosure - A Most Effective Regulator," Address by SEC Commissioner John R. Evans to Florida Atlantic University Bank Holding Company Seminar

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 23, 1976

"Good Municipal Markets Require Full Disclosure," Address by SEC Commissioner John R. Evans to National Governors Conference Seminar on State and Local Financial Emergencies

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 24, 1976

Memo for the President from Edward Schmults on questionable foreign payments by U.S. companies

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

March 1976

Letter from Harvey Pitt, SEC General Counsel to Legal Ethics Committee, District of Columbia Bar opposing restrictions on future employment of Federal government attorneys

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

March 2, 1976

Minutes of Meeting of the Chicago Board Options Exchange Facilities and Systems Committee

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

March 11, 1976

Letter from President Ford to Japanese Prime Minister Takeo Miki on investigation of Lockheed activities

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

March 15, 1976

Address by SEC Chairman Roderick M. Hills to the Association of the Bar, New York, New York

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 15, 1976

Resignation letter from SEC Commissioner A.A. Sommer, Jr. to President Ford

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

March 16, 1976

John C. Burton - "The Current Accounting Agenda of the SEC," for the New York Society of Security Analysts, The Junior Committee

[document] (pdf) (Government Records)

March 16, 1976

Memo for Brent Scowcroft from Robert Hormats on meeting with President Ford on questionable foreign payments by U.S. companies

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

March 17, 1976

"Basic Questions: When Are We Going to Answer Them?," Remarks by SEC Commissioner A. A. Sommer, Jr. to the Financial Executives Institute

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 17, 1976

Invitation letter from Angela Burn, WALL $TREET WEEK to SEC Chairman Roderick M. Hills

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

March 18, 1976

Letter from SEC Chairman Roderick M. Hills to Senator William Proxmire on questionable foreign payments by U.S. companies

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

March 18, 1976

Memo from S. James Rosenthal to SEC Chairman Hills on April 23rd appearance on WALL $TREET WEEK

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

March 23, 1976

Letter from Antonin Scalia, Assistant Attorney General, to Legal Ethics Committee, District of Columbia Bar, on disqualification of a law firm to serve a government agency because of former government employment of firm partner

[transcript] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

March 23, 1976

U.S. Government Agency actions regarding illicit foreign payments

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

March 25, 1976

"SEC - Catalyst for Competitive Free Enterprise," Address by SEC Commissioner John R. Evans to Brookings Institution Seminar on International Trade and Finance

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 25 through 27, 1976

Case Studies for Trueblood Seminar for Professors

[document] (pdf) (Government Records)

March 31, 1976

John C. Burton - "Setting Accounting Standards in the 1980s," for the Arthur Young Professionals' Roundtable at the University of Illinois

[document] (pdf) (Government Records)

March 31, 1976

Memo from President Ford on formation of Task Force on Questionable Corporate Payments Abroad

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

April 2, 1976

"A Parting Look at Foreign Payments," Address by SEC Commissioner A. A. Sommer, Jr. to the Ohio Legal Center Institute - Securities Law Seminar

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 2, 1976

Letter from A.A. Sommer, Jr. to Richard H. Rowe

[document] (tml) (Courtesy of Richard Rowe)

April 2, 1976

Letter from Arthur F. Burns, Federal Reserve to SEC Chairman Roderick M. Hills on Regulation S-X

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

April 2, 1976

Letter from Richard H. Rowe to A.A. Sommer, Jr. re Renee Hill

[document] (pdf) (Courtesy of Richard Rowe)

April 9, 1976

Letter and memo from Walter E. Hanson, Peat Marwick Mitchell & Co., to SEC Chairman Roderick M. Hills on improper payments

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

April 13, 1976

Corporate Morality - Whose Business Is It? - Address by SEC Chairman Roderick M. Hills to Town Hall, Los Angeles, California

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 16, 1976

Letter from SEC Chairman Roderick M. Hills to Federal Reserve Chairman Arthur F. Burns on SEC proposed amendment to Regulation S-X

[transcript] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

April 20, 1976

President's Task Force on Foreign Payments - Outline for Roderick Hills

[transcript] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

April 23, 1976

Wall $treet Week Broadcast #539: Conversations with the SEC, hosted by Louis Rukeyser; with panelists Frank Cappiello, William Waters and Martin Zweig; and special guest SEC Chairman Roderick Hills

[image] (pdf) (With permission of Maryland Center for Public Broadcasting)

April 29, 1976

Money Maker Report on the Issue of Tape Racing, submitted to the Board of Directors of the Chicago Board Options Exchange by the CBOE Market Maker Association

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

April 29, 1976

Statement and Letter from William M. Batten on becoming Chairman and CEO of The New York Stock Exchange

[document] (pdf) (Courtesy of the estate of John Evans)

May 1, 1976

Address by SEC Chairman Roderick M. Hills to Yale Law School

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 1976

John C. Burton - "Conflicts and Compromises in Financial Reporting"

[document] (pdf) (Government Records)

May 6, 1976

"Some Reflections on Rule 10b-5 and Market Information," Remarks by SEC Commissioner Philip A. Loomis, Jr. at the Second Annual ALI-ABA Course of Study

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 11, 1976

Letter from SEC Chairman Roderick Hills to William M. Batten, New York Stock Exchange

[document] (pdf) (Courtesy of Roderick Hills)

May 12, 1976

Report of the Securities and Exchange Commission on Questionable and Illegal Corporate Payments and Practices to the Senate Banking, Housing and Urban Affairs Committee

[image] (pdf) (Reproduced with permission from Securities Regulation and Law Report, Number 353 May 19, 1976, Special Supplement, p. 1-45. Copyright 1975 by The Bureau of National Affairs, Inc. 800-372-1033; http://www.bna.com)

May 13, 1976

"Turning the Tide," Address by SEC Commissioner John R. Evans to Northwest State-Federal-Provincial Securities Conference

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 13, 1976

Letter from SEC Chairman Roderick M. Hills to James E. Connor, requesting meeting with President Ford to discuss Commission vacancy

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

May 21, 1976

Letter from SEC Chairman Roderick M. Hills to U.S. Representative John E. Moss on the House study on voluntary corporate disclosure of foreign payments and practices

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 26, 1976

Address by SEC Chairman Roderick M. Hills to the Investment Company Institute

[image] (pdf) (Government Records)

June 1976

"Disclosure - The Name of the Game," Address by SEC Commissioner John R. Evans to 30th Western Regional Conference Bank Administration Institute

[image] (pdf) (Courtesy FINRA)

June 7-8, 1976

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 7, 1976

Letter from SEC Chairman Roderick M. Hills to President Ford with the 1975 Securities Investor Protection Corporation report

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

June 16, 1976

Letter from SEC Chairman Roderick M. Hills to Elliott L. Richardson, Secretary of Commerce, questioning White House criticism of SEC on questionable corporate payments

[transcript] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

June 21, 1976

Address by SEC Chairman Roderick M. Hills to the American Enterprise Institute

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 21, 1976

Letter from SEC Chairman Roderick M. Hills to Robert E. Hampton, U.S. Civil Service Commission, requesting GS-16 classification for James Foster

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

June 24, 1976

Letter from SEC Chairman Roderick M. Hills to President Ford on "classification creep" at the SEC

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

June 29, 1976

Letter from SEC Chairman Roderick M. Hills to U.S. Representative John E. Moss requesting House-SEC cooperation in assessing voluntary corporate disclosure of foreign payments and practices

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 30, 1976

Address by SEC Chairman Roderick M. Hills to the New York Law Journal

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 1, 1976

Letter from Senator Harrison A. Williams, Jr. to SEC Chairman Roderick M. Hills on SEC support for legislation of enforcement of activities of foreign investors

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

July 8, 1976

Letter from I.W. Burnham II, Securities Industry Association, to SEC Chairman Roderick Hills on multiple cycle trading of options

[document] (pdf) (Courtesy of the estate of John Evans)

August 2, 1976

Memo from Andy Rothman to SEC Chairman Hills with status report on nomination of Mr. Delaney and Mr. Shirk

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

August 3, 1976

Letter from William M. Batten, Chairman and Chief Executive Officer, New York Stock Exchange to SEC Chairman Roderick Hills

[document] (pdf) (Courtesy of Roderick Hills)

August 9, 1976

Memo from Stanley J. Sigel to Federal Reserve Govenor Partee on issues to be raised in SEC meeting

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

August 10, 1976

Letter from Edward W. Wedbush, Wedbush Noble Cooke, Inc. to SEC Chairman Roderick M. Hills on options trading

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 10, 1976

Report from David B. Humphrey to Federal Reserve Governor Partee on studies bearing on the usefulness of disclosing bank "nonperforming" loan data

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

August 23, 1976

Letter from A.A. Sommer, Jr., Chairman of the Advisory Committee on Corporate Disclosure, to SEC Chairman Roderick M. Hills

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

August 23, 1976

Letter from SEC Chairman Roderick M. Hills to James T. Lynn, Office of Management and Budget, on SEC supplemental budget request

[transcript] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

August 27, 1976

Financial Accounting Foundation and Financial Accounting Standards Board Statement of Position to the SEC

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

August 31, 1976

Statement of Richard Kezer, President of The Dealer Bank Association, before the Subcommittee on Consumer Protection and Finance of the House Committee on Interstate and Foreign Commerce, on H.R. 15205 - the Municipal Securities Full Disclosure Act of 1976

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 31, 1976

Statement of The Honorable Robert A. Gerard, Assistant Secretary of the Treasury, before the Subcommittee on Consumer Protection and Finance, House Committee on Interstate and Foreign Commerce, on H.R. 15205 - the Municipal Securities Full Disclosure Act o

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 3, 1976

Letter from William F. Batten, New York Stock Exchange, to Chief Executive Officers seeking comments on proposal for audit committees

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

September 10, 1976

Letter from SEC Chairman Roderick M. Hills to William M. Batten, New York Stock Exchange on proposal for audit committees

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

September 16, 1976

Memo from SEC Office of Public Affairs to the Commission on Proxmire Foreign Payments Bill

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

September 20, 1976

Address by SEC Chairman Roderick M. Hills to the North American Securities Administrators Association Annual Convention

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 21, 1976

Statement of the Honorable Roderick M. Hills, SEC Chairman, before the Subcommittee on Consumer Protection and Finance of the House of Representatives Committee on Interstate and Foreign Commerce

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 22, 1976

Testimony of the American Institute of Certified Public Accountants on H.R. 15481 before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, U.S. House of Representatives

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 24, 1976

Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re In House Agency Cross Transactions in Listed Securities by Exchange Members

[document] (pdf) (Courtesy of George Simon)

September 30, 1976

Address by SEC Chairman Roderick M. Hills to the Investment Association of New York

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 30, 1976

Letter from Milton V. Freeman to SEC Chairman Roderick M. Hills on ethics

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

October 5, 1976

"Of Boycotts and Bribery, and Corporate Responsibility," Address by SEC Commissioner John R. Evans to Seminar on Regulation of U.S. International Companies, International Management and Development Institute

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 5, 1976

Memo from SEC Commissioner John R. Evans to Harvey Pitt, Andy Klein and Tony Snodgrass on presentations on municipal securities underwriters liability

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 7, 1976

Telegram from Richard B. Sellars, Chairman of the Board, Johnson & Johnson, to William M. Batten, Chairman and CEO, New York Stock Exchange, opposing requirement of Audit Committees composed entirely of non-employee directors

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 12, 1976

Letter from Gerald Tellefsen, Booz Allen & Hamilton to Facilities and Systems Committee, Chicago Board Options Exchange with draft overview of systems trends in the securities industry

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

October 12, 1976

Press release from Senator William Proxmire on failure of SEC to reduce paperwork burden on small business firms

[transcript] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

October 14, 1976

Letter from SEC Chairman Roderick M. Hills to President Ford on consumer representation guidelines

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

October 14, 1976

Letter from SEC Chairman Roderick M. Hills to Senator William Proxmire on paperwork reduction

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

October 14, 1976

Memo from Robert Craft to SEC Chairman Roderick M. Hills on Saudi Arabian request for assistance

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

October 14, 1976

SEC release urging joint SEC-Congressional initiative to reduce paperwork burden

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

October 27, 1976

Letter from Securities Law Committee, Federal Bar Association to SEC Chairman Roderick M. Hills protesting the proposed abolishment of the SEC Office of Opinions and Review

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 29, 1976

"Responsibilities and Liabilities for Municipal Offerings," Remarks by SEC Commissioner John R. Evans to Public Finance Conference, Securities Industry Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 8, 1976

Letter from SEC Chairman Roderick M. Hills to Lewis H. Young, Business Week, protesting article on SEC enforcement

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

November 15, 1976

Letter from SEC Chairman Roderick M. Hills to U.S. Representative John Moss on study of Federal regulation and regulatory reform

[image] (pdf) (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)

November 16, 1976

Letter from Joseph Sullivan, Chicago Board Options Exchange to Robert Plotkin, Federal Reserve requesting intepretation or adoption of an amendment to the specialist's account provisions of Regulations T and U

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

November 19, 1976

Letter from SEC Chairman Roderick M. Hills to President Ford on energy conservation

[image] (pdf) (Courtesy of the Gerald R. Ford Library)

November 23, 1976

"An Optimist's View of the New York Stock Exchange" - Remarks by William M. Batten, New York Stock Exchange at a joint luncheon of the Deadline Club and the Financial Writers Association

November 23, 1976

Mailgram of Text of Letter from Richard B. Sellars, Chairman of Finance Committee, Johnson & Johnson, to William M. Batten, Chairman, New York Stock Exchange, on Audit Committee requirements

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 3, 1976

"SEC's Role in Municipal Fiscal Crises," Address by SEC Commissioner John R. Evans to the National Institute: Freedom from Fiscal Fiasco, American Bar Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 3, 1976

Memo from Lee Ponton to Bob Barr with functional description of CBOE Trading Procedure Department

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

December 3, 1976

Thomas B. ("Bert") Lance Information Concerning - U.S. Department of Justice, Federal Bureau of Investigation

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

December 22, 1976

Draft letter from Chicago Board Options Exchange to SEC Commission on CBOE's preparation for put trading

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

December 23, 1976

Letter from Robert Milne, Boyd Patterson & Co. to Hamilton Jordan recommending Marilyn V. Brown for SEC Chairman

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

December 27, 1976

Draft statement of Joseph Sullivan, Chicago Board Options Exchange regarding Federal Reserve Board margin proposal

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

December 28, 1976

Memorandum and Letter regarding address by SEC Commissioner John R. Evans to be given to the American Bankers Association Trust Division Conference

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 28, 1976

Postcript letter from Robert Milne, Boyd Patterson & Co. to Hamilton Jordan concerning Marilyn V. Brown for SEC Chairman

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

December 30, 1976

Letter from Gerald White, The Financial Analysts Federation to Hamilton Jordan supporting Marilyn V. Brown for SEC

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

December 31, 1976

Letter from Robert Wade to Hamilton Jordan supporting Marilyn Brown for SEC

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

December 31, 1976

Report from the National Market Advisory Board to Congress The Possible Need for Modifications of the Scheme of Self Regulation in the Securities Industry so as to Adapt it to a National Market System

[document] (pdf) (Courtesy of George Simon)

January 1977

Final Report of the U.S. Securities and Exchange Commission's Major Issues Conference

[document] (pdf) (Courtesy of Paul Gonson)

1977

U.S. Securities and Exchange Commission Annual Report

[image] (pdf) (Courtesy FINRA)

1977

NASD Notices to Members

(Courtesy of FINRA)

January I [image] (pdf)
January II [image] (pdf)
February - April [image] (pdf)
June I [image] (pdf)
June II [image] (pdf)
July - August [image] (pdf)
September [image] (pdf)
October - November [image] (pdf)
December [image] (pdf)

1977

[transcript] (pdf) (Courtesy of Government Records)

January 4, 1977

Letter from the Chicago Board Options Exchange to Lee Pickard, requesting SEC approval of its request for expansion of options classes

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

January 5, 1977

Letter from Joseph W. Sullivan, Chicago Board Options Exchange to the SEC Commission on put trading

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 7, 1977

Memo to the SEC Commission from the Division of Enforcement concerning the voluntary disclosure program

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 13-15 1977

SEC Major Issues Conference

[transcript] (pdf)

January 17, 1977

Memo from Edward Schmults and Brent Scowcroft to James Connor regarding letter from Dr. Mohammed Khashoggi to President Ford

[transcript] (pdf) (Courtesy of the Gerald R. Ford Library)

January 28, 1977

Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Establishment of a Composite Limit Order Book

[document] (pdf) (Courtesy of George Simon)

February 4, 1977

Invitation from Sheldon Rappaport, SEC to Gordon Macklin, NASD to attend hearing on trading in standardized options

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

February 7, 1977

"An SEC Perspective on Bank Trust Departments," Address by SEC Commissioner John R. Evans to the National Trust Conference, American Bankers Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 9, 1977

Letter from Morton Lapides, Alleghany Beverage Corporation to President Carter with recommendations for selection of next SEC Chairman

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

February 17, 1977

Note from President Carter to Hamilton Jordan: "Check out Irving Pollack for SEC Chairman"

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

February 18, 1977

Protest letter from A. Emmet Stephenson to President Carter on burden of SEC rules

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

February 21, 1977

"Challenges and Cooperative Regulatory Efforts," Address by SEC Commissioner John R. Evans to 1977 Winter Conference, Midwest Securities Commissioners Association

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 23, 1977

Resignation letter from SEC Chairman Roderick Hills to President Carter

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

February 25, 1977

Letter from U.S. Senator Charles Mathias to President Carter in support of Morton Lapides

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

March 1, 1977

President Carter meeting schedule: "Thursday, 5:30 - Harold Williams (possibility for SEC)"

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

March 4, 1977

Address by SEC Chairman Roderick M. Hills at "SEC Speaks"

[image] (pdf) (Government Records)

March 11, 1977

Letter from Frank Moore to Willis Dobbs on appointment of Harold Williams as SEC Chairman

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

March 16, 1977

Summary of White House mini conference on economic aspects of energy crisis

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

March 17, 1977

Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission, with Letter to Edward O'Brien, President, Securities Industry Association

[document] (pdf) (Courtesy of George Simon)

March 18, 1977

Farewell letter from SEC Chairman Roderick M. Hills to Arthur F. Burns, Federal Reserve

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

March 22, 1977

Reply letter from Valerie Giannini to A. Emmet Stephenson concerning proposed SEC rules

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

March 29, 1977

Memo to President Carter with nomination of Harold Williams as SEC Chairman

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 1, 1977

Letter from SEC Chairman Roderick Hills to President Carter on advisory committees

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 2, 1977

Letter from President Carter accepting resignation of SEC Chairman Roderick Hills

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 4, 1977

Nomination by SEC Chairman Roderick Hills of Richard H. Rowe for the Tom C. Clark Award

[document] (pdf) (Courtesy of Richard Rowe)

April 6, 1977

Letter from R.E. Skogsberg with complaint against Chase Manhattan Bank

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 8, 1977

Memo from James Frey to President Carter on proposed increase in SEC appropriation

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 12, 1977

"The Accounting Profession and the SEC: A Partnership Under Attack," Address by SEC Commissioner John R. Evans to Cincinnati Chapter, Ohio Society of Certified Public Accountants

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 14, 1977

Invitation from Heidi Fiske, Institutional Investor Institute to Anthony Solomon, Under Secretary for Monetary Affairs to speak at the Institute's Washington Roundtable

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 15, 1977

Memo from James King to Hamilton Jordan on interest of Linda Wertheimer in SEC

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 16, 1977

"Corporate Ethics" - Address by SEC Chairman Harold M. Williams to the American Assembly, Columbia University

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 20, 1977

Letter from Klaus Heiss, ECON Inc. to Stuart Eizenstat on indexing of all depreciation costs

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 22, 1977

Letter from SEC Chairman Harold M. Williams to Arthur F. Burns, Federal Reserve on Regulation S-X

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

May 9, 1977

Letter from Frieda K. Wallison, Municipal Securities Rulemaking Board, to SEC Commissioner John R. Evans concerning new members of the MSRB Board

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 13, 1977

Letter from Arthur F. Burns, Federal Reserve to SEC Chairman Harold M. Williams on SEC proposal for revised financial statement requirements for banks

[transcript] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

May 19, 1977

Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Off-Board Trading by Members of National Securities Exchanges

[document] (pdf) (Courtesy of George Simon)

June 2, 1977

Letter from Senator Lee Metcalf, Chairman of the U.S. Senate Subcommittee on Reports, Accounting and Management, Committee on Governmental Affairs, to SEC Commissioner John R. Evans requesting Mr. Evans testify at hearings on accounting practices and sugge

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 6, 1977

Keynote Address by SEC Chairman Ray Garrett, Jr., "Disclosure and 'Corp Fin' Branch Chiefs - The SEC Review Process"

[document] (pdf) (Courtesy of Richard Rowe)

June 16, 1977

Memo from Robert Rewald to Federal Reserve Board of Governors on Rule 390

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

June 20, 1977

The Force of the Public Utility Holding Act has been Greatly Reduced by Changes in the SEC's Enforcement Policies - Report by the U.S. Comptroller General

[image] (pdf) (Courtesy of the Library of Congress)

June 30, 1977

Request for President Carter meeting with Roberta Karmel

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

July 1977

Complaint letter from Gaston Shumate to SEC Chairman Harold Williams regarding NASD

[image] (pdf) (Courtesy FINRA)

July 14, 1977

[image] (pdf) (Courtesy of the National Archives and Records Administration)

July 14, 1977

Memo from Division of Market Regulation to SEC Commission concerning New York power failure and exchange trading

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 14, 1977

SEC Release on New York City blackout

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 28, 1977

Statement of the Securities and Exchange Commission before the Subcommittee on Oversight and Investigations and the Subcommittee on Consumer Protection and Finance, Committee on Interstate and Foreign Commerce of the House of Representatives, at Joint Over

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 29, 1977

Memo to President Carter with nomination of Roberta Karmel as SEC Commissioner

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

August 1, 1977

Letter from Arthur F. Burns, Federal Reserve to SEC Chairman Harold M. Williams on proposed revision of Article 9 of Regulation S-X

[transcript] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

August 1, 1977

Letter from Joseph Sullivan, Chicago Board Options Exchange to George Fitzsimmons, SEC Secretary on SEC release revising rules governing the dissemination of quotations for securities

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

August 1977

SEC Employee News

[image] (pdf) (Courtesy of the estate of Mollie B. Zion)

August 5, 1977

Letter from Senator Lawton Chiles to SEC Chairman Harold Williams on the Sunshine Act

[document] (pdf) (Courtesy of the estate of John Evans)

August 10, 1977

Letter from Joseph Sullivan, Chicago Board Options Exchange to George Fitzsimmons, SEC Secretary responding to SEC release on proposed rules dealing with securities transactions by members of national securities exchanges

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

August 11, 1977

Letter from Michael E. Tobin, Midwest Stock Exchange to Andrew Klein, 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)

August 15, 1977

Memorandum from the SEC Directorate of Economic and Research Policy to the SEC Division of Market Regulation on the economic analysis of Net Capital and Market Credit Requirements governing Options Market Makers

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 16, 1977

Memo from Michael Cardozo and Doug Huron to Robert Lipshutz on Bert Lance's campaign overdrafts

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

August 18, 1977

Memo from Robert Lipshutz to President Carter concerning Bert Lance investigation

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

August 24, 1977

Memo from A. Gary Klesch to Lyle Gramley on SEC Rule 390

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

August 26, 1977

SEC staff report on transactions in securities of the City of New York

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

August 30, 1977

Letter from Thomas D. Gleason, Wolverine World Wide, Inc. to William Batten, New York Stock Exchange in opposition to future expansion of options trading

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 6, 1977

Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Regulation of Specialists and Market Makers in Light of the Proposed Removal of Off-Board Trading Restrictions

[document] (pdf) (Courtesy of George Simon)

September 8, 1977

Memo from Robert Lipshutz to Jody Powell with facts relating to Bert Lance affairs prior to nomination and confirmation proceedings

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

September 12, 1977

Memo from Robert Lipshutz to President Carter on Bert Lance

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

September 12, 1977

Supplementary memo from Robert Lipshutz to President Carter concerning Bert Lance

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

September 13, 1977

Letter from Howard Coughlin, Office & Professional Employees International Union to George Meany, AFL-CIO opposing repeal of Rule 390

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

September 13, 1977

Memo from the SEC Office of the General Counsel to the Commission in response to Senator Lawton Chiles's Letter on the Sunshine Act

[document] (pdf) (Courtesy of the estate of John Evans)

September 13, 1977

Memorandum from Peter Kiernan, SEC Office of Public Affairs, to Richard H. Rowe, Director, SEC Division of Corporation Finance, requesting draft testimony for SEC Commissioner Evans for Congressional hearings on banking practices

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 15, 1977

"Investor Protection - A Shared Responsibility," Address by SEC Commissioner John R. Evans to Banks and the Securities Laws in 1977, Practising Law Institute

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 22, 1977

Letter from John Bowles to Charles Schultze on Rule 390

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

September 26, 1977

New York State Attorney General News Release proposing new rules to protect investors in dealing with investment advisory services

[transcript] (pdf) (Courtesy of Orestes Mihaly)

September 27, 1977

Letter from George Fitzsimmons, SEC to William Batten, New York Stock Exchange, Inc. on compliance with Securities Act Amendments of 1975

[image] (pdf) (Courtesy of the National Archives and Records Administration)

September 28, 1977

Statement of John R. Evans, Commissioner, Securities and Exchange Commission before the Senate Committee on Banking, Housing and Urban Affairs in Connection with Hearings on Certain Banking Practices

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 5, 1977

Letter from Laurence Farrell, National Investor Relations Institute to Stephen Selig inviting President Carter to meet with the Institute's Board

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

October 6, 1977

Letter from Michael E. Tobin, Midwest Stock Exchange to SEC Chairman Harold M. Williams requesting proposed rule change on options trading

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 11, 1977

Letter from the National Market Advisory Board to Andrew Klein, Director, SEC's Division of Market Regulation

[document] (pdf) (Courtesy of George Simon)

October 17, 1977

Letter from Fran Voorde to Laurence Farrell, National Investor Relations Institute declining invitation to President Carter

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

October 18, 1977

"Who Owns the New York Stock Exchange?" - Remarks by William M. Batten, Chairman, New York Stock Exchange, Inc. to Financial Women's Association

[transcript] (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 20, 1977

Memo from Joseph Sullivan to Board of Directors, Chicago Board Options Exchange with set of SEC options releases of October 18, 1977

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

October 21, 1977

Letter from Michael E. Tobin, Midwest Stock Exchange to George A. Fitzsimmons, SEC Secretary in response to SEC release to investigate options trading

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 27, 1977

Draft memo to the Chicago Board Options Exchange membership on SEC options proceedings

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

November 3, 1977

Report of the Advisory Committee on Corporate Disclosure to the SEC

[image] (pdf) (Courtesy of the Library of Congress)

November 4, 1977

"The MFOA and Municipal Disclosure," Address by SEC Commissioner John R. Evans to Municipal Finance Officers Association, Disclosure and Current Reporting Colloquium

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 7, 1977

Postcard from Robert L. Aronoff to SEC Commissioner John R. Evans favoring Independent Audit of Municipalities

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 8, 1977

"Electronic Linkage: A Transcontinental Handshake," Remarks by William M. Batten, Chairman, New York Stock Exchange, Inc., at a dinner of the Commercial Club of Boston

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 9, 1977

"The FASB Conceptual Framework Project: A Silent Revolution" - Address by SEC Chairman Harold M. Williams to the Seaview Symposium

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 11, 1977

"A View from the SEC," Address by SEC Commissioner John R. Evans to NASD

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 21, 1977

Letter from SEC General Counsel Harvey Pitt to Janet Studley, Counsel, Subcommittee on Federal Spending, Practices and Open Government of the Committee on Governmental Affairs, U.S. Senate, on the Sunshine Act

[document] (pdf) (Courtesy of the estate of John Evans)

November 22, 1977

The ABCs of the ABS [Automated Bond System of the New York Stock Exchange]

November 29, 1977

Statement of the Honorable John R. Evans, Commissioner, United States Securities and Exchange Commission, before the Subcommittee on Federal Spending Practices and Open Government of the Senate Committee on Government Operations, on the Impact of the Gover

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 1, 1977

"The National Market System in Perspective" - Address by SEC Chairman Harold M. Williams to the Securities Industry Association

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 6, 1977

Letter and Report from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Next Steps to be Taken to Facilitate the Establishment of a National Market System

[document] (pdf) (Courtesy of George Simon)

December 8, 1977

Statement of Barbara M. Rothenberg, Member of the Securities Industry Conference on Arbitration, before the SEC concerning the proposals of the conference for handling small claims

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 12, 1977

"The SEC's Evolving Role in Bank Regulation," Address by SEC Commissioner John R. Evans to the AICPA National Conference on Banking

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 12, 1977

U.S. Securities and Exchange Commission News Digest

[document] (pdf) (Courtesy of Richard Rowe)

December 13, 1977

"Inflation, Corporate Financial Reporting and Economic Reality" - Address by SEC Chairman Harold M. Williams to The Conference Board

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 23, 1977

Letter from Senator William Proxmire to Daniel Schatz on SEC's Report on Transactions in New York City Securities

[document] (pdf) (Courtesy of Daniel Schatz)

1978

Bankruptcy Reform Act of 1978 (Public Law No. 95-598); Section 202 of IAA amended; Sections 2(a)(8), 6(a)(2), 25(d) of ICA amended

[document] (PDF) (Government Records)

1978

The Cornerstone of the National Market System, ITS - Intermarket Trading System

[image] (pdf) (Courtesy FINRA)

1978

NASD Notices to Members

(Courtesy of FINRA)

January - February [image] (pdf)
March I [image] (pdf)
March II [image] (pdf)
April - May [image] (pdf)
June - July [image] (pdf)
August - October [image] (pdf)
November [image] (pdf)
December [image] (pdf)

1978

1978

U.S. Securities and Exchange Commission Annual Report

[transcript] (pdf) (Government Records)

1978 to present

U.S. Securities and Exchange Commission Staff Award - Manuel F. Cohen Award

[document] (pdf) (Government Records.)

January 4, 1978

"Professional Self-Governance: An Interim Report" - Address by SEC Chairman Harold M. Williams to AICPA

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 5, 1978

Memo from SEC Commissioner Loomis to SEC Commissioner Evans concerning applicants for the position of legal assistant to Commissioner Loomis

[document] (pdf) (Courtesy of the estate of John Evans)

January 6, 1978

Letter from Endicott Peabody to Stuart Eizenstat on Investment Policy Act of 1977

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

January 11, 1978

"Corporate Checks and Balances," Address by SEC Commissioner John R. Evans to Middle Atlantic Regional Group, American Society of Corporate Secretaries

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 11, 1978

"Politics of Change in the Composition and Structure of Corporate Boards" - Address by SEC Commissioner Roberta S. Karmel to the American Society of Corporate Secretaries

[image] (pdf) (Government Records)

January 18, 1978

"Corporate Accountability" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 19, 1978

"A Conservative Approach to Radical Change" - Remarks by William M. Batten, New York Stock Exchange to a meeting of the Section of Banking, Corporation and Business Law of the New York State Bar Association

January 24, 1978

Letter from Arthur F. Burns, Federal Reserve to SEC Chairman Harold M. Williams on Regulation S-X

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

January 28, 1978

"The Future of the Securities Industry" - Address by SEC Chairman Harold M. Williams, Gustave L. Levy Memorial Lecture, Twelfth Annual Conference on Wall Street and the Economy

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 30, 1978

Letter from U.S. Representative John Jenrette to Stuart Eizenstat on Financial World article on securities industry and SEC

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

February 13, 1978

Letter from SEC Commissioner John Evans to Kevin Kenny, J.J. Kenny Co., Inc.

[document] (pdf) (Courtesy of the estate of John Evans)

February 16, 1978

Request from U.S. Representative John E. Moss to SEC Commissioner John R. Evans to testify as part of the House investigation into the organization and reform measures of 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)

February 23, 1978

"Economic Priorities for Business" - Address by SEC Chairman Harold M. Williams to the Economic Club of Chicago

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 3, 1978

"The State of the Securities and Exchange Commission - 1978" - Address by SEC Chairman Harold M. Williams to The SEC Speaks in 1978

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 18, 1978

"The Limitations of Government Regulation" - Address by SEC Commissioner Roberta S. Karmel to the 20th U.S. Air Force Academy Assembly

[image] (pdf) (Government Records)

March 20, 1978

"The Resolution of Broker-Dealer Conflicts of Interest in Market Executions" - Address by SEC Commissioner Roberta S. Karmel to the Securities Industry Association Compliance and Legal Seminar

[image] (pdf) (Government Records)

March 23, 1978

Letter from President Carter to SEC Chairman Harold Williams on new Executive Order to improve government regulations

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

March 28, 1978

Letter from Robert Hall, New York Stock Exchange to Andrew Klein, SEC on electronic communication system

[image] (pdf) (Courtesy of the National Archives and Records Administration)

April 1978

SEC Release: SEC and Comptroller of the Currency v. The National Bank of Georgia, The Calhoun First National Bank and T. Bertram Lance

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 12, 1978

Letter from SEC Chairman Harold Williams to President Carter on new Executive Order to improve government regulations

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 18, 1978

Letter from Robert W. Doty to Jack Watson on AICPA non-support for proposed SEC regulatory authority over securities transactions by state and local governments

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

April 20, 1978

Letter from Lloyd Feller, SEC to Robert Hall, New York Stock Exchange on Intermarket Trading System (ITS)

[image] (pdf) (Courtesy of the National Archives and Records Administration)

May 1, 1978

"The Role of the Director in Corporate Accountability" - Address by SEC Chairman Harold M. Williams to the Economic Club of Detroit

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 2, 1978

Letter from U.S. Ambassador Marvin L. Warner to SEC Chairman Harold Williams on visit of SEC Commissioner Irving Pollack to the American Embassy in Switzerland

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 8, 1978

"Progress Toward Professional Self-Governance: An Update" - Address by SEC Chairman Harold M. Williams to the AICPA Council

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 9, 1978

Florida House of Representatives: Staff Report PCB 39 - Chapter 517 - The Florida Securities Act

[image] (pdf) (Courtesy of Donald Rett, former Director, Florida Division of Securities; and former SEC Trial Attorney)

May 15, 1978

Letter from Milton H. Cohen to Andrew M. Klein, Director, SEC Division of Market Regulation with suggestions for improving Rule 19b-4

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 17, 1978

"A Challenge to Mutual Funds" - Address by SEC Chairman Harold M. Williams to the Investment Company Institute

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 17, 1978

Statement of the Honorable Harold M. Williams, Chairman of the Securities and Exchange Commission, before the Subcommittee on Financial Institutions of the Committee on Banking, Housing and Urban Affairs, U .S. Senate

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 19, 1978

Memo from James Frey to President Carter on Securities Investor Protection Act Amendments

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

May 20, 1978

Memo from Stuart Eizenstat to President Carter on Securities Investor Protect Act Amendments

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

May 24, 1978

"Judicial Dialogues on the Securities Laws" - Address by SEC Commissioner Roberta S. Karmel to the Northwest State-Federal-Provincial Cooperative Securities Conference

[image] (pdf) (Government Records)

May 24, 1978

Letter from Kenneth I. Rosenblum, Midwest Stock Exchange, to Harvey Pitt, SEC General Counsel on complaint filed by options market makers against the exchange and Michael Tobin

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 30, 1978

Letter from U.S. Representative James Collins to President Carter on selection of new SEC Commissioner

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

June 1, 1978

"The Role of the Corporate Secretary in Promoting Corporate Accountability" - Address by SEC Chairman Harold M. Williams to the American Society of Corporate Secretaries

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 6, 1978

Letter from Senator Herman Talmadge to Frank B. Moore in support of re-appointment of John R. Evans as SEC Commissioner

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 9, 1978

"SEC Influence on Corporate Ethics and Governance," Address by SEC Commissioner John R. Evans to Southwest Assembly on Corporate Ethics and Governance, Southern Methodist University

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 12, 1978

Letter from William Batten, New York Stock Exchange to Ralph Gerson, Office of Ambassador Strauss with NYSE "Public Attitudes Toward Investing" report

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

June 13, 1978

Letter from Wallace F. Bennett to President Carter in support of the re-appointment of John Evans to the SEC Commission

[document] (pdf) (Courtesy of the estate of John Evans)

June 14, 1978

Letter from John E. Horne to President Carter in support of the re-appointment of John Evans to the SEC Commission

[document] (pdf) (Courtesy of the estate of John Evans)

June 14, 1978

Letter from SEC Commissioner Philip A. Loomis, Jr. to President Carter in support of re-appointment of John R. Evans as SEC Commissioner

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 15, 1978

"The National Market System: A Status Report" - Address by SEC Chairman Harold M. Williams to the FBA/CCH National Market System Conference

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 16, 1978

"Reflections on the Revolving Door" - Speech by SEC Commissioner Roberta S. Karmel before the Federal Bar Association - Securities Law Committee

[image] (pdf) (Government Records)

June 19, 1978

"The Emerging Responsibilities of the Internal Auditor" - Address by SEC Chairman Harold M. Williams to the Institute of Internal Auditors

[image] (pdf) (Government Records)

June 20, 1978

Letter from Joseph L. Grant, SEC Atlanta Assistant Regional Administrator, to SEC Commissioner John Evans in support of Mr. Evans's re-appointment to the SEC Commission

[document] (pdf) (Courtesy of the estate of John Evans)

June 21, 1978

Letter from David G. Taylor, Continental Bank, to Tim Kraft, Special Assistant to the President, in support of the re-appointment of John Evans to the SEC Commission

[document] (pdf) (Courtesy of the estate of John Evans)

June 21, 1978

Memo from James Gammill to Stuart Eizenstat on meeting with SEC Chairman Harold Williams

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

June 22, 1978

Letter from SEC Chairman Harold Williams to Joseph Sullivan, Chicago Board Options Exchange on standardized options trading

[image] (pdf) (Courtesy of the National Archives and Records Administration)

June 23, 1978

Letter from SEC Chairman Harold Williams to William Batten, New York Stock Exchange on Intermarket Trading Systems (ITS)

[image] (pdf) (Courtesy of the National Archives and Records Administration)

June 28, 1978

Letter from Sterling D. Colton to President Carter in support of the re-appointment of John Evans to the SEC Commission

[document] (pdf) (Courtesy of the estate of John Evans)

July 1, 1978

SEC Report to Congress on the Accounting Profession and the Commission's Oversight Role

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July to August 1978

U.S. Securities and Exchange Commission Employee News

[document] (pdf) (Courtesy of Theodore Levine)

July 10, 1978

Morgan Stanley Technical Market Comment, by John A. Mendelson

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

July 11, 1978

Letter from William D. Moran to President Carter in support of the re-appointment of John Evans to the SEC Commission

[document] (pdf) (Courtesy of the estate of John Evans)

July 14, 1978

Letter from Philip J. Lo Bue, Pacific Stock Exchange, to Andrew M. Klein, Director, SEC Division of Market Regulation with comments on guidelines for replacement of involuntarily delisted options classes

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 17, 1978

Letter from ICC Commissioner Charles L. Clapp to SEC Commissioner John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 19, 1978

List of attendees for meeting between Ambassador Robert Strauss's office and members of the securities industry

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

August 1, 1978

Letter from S. Lee Kling to Stephen Anbinder, Dillon Read & Co. requesting anti-inflation measures

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

August 8, 1978

"Corporate Accountability and the Lawyer's Role" - Address by SEC Chairman Harold M. Williams to the American Bar Association

[image] (pdf) (Government Records)

August 21, 1978

Letter from Roger Smith, General Motors to S. Lee Kling supporting deceleration of inflation

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

August 22, 1978

"The Changing World of the Accountant: Where the Next Steps Should Lead" - Address by SEC Chairman Harold M. Williams to the American Accounting Association

[image] (pdf) (Government Records)

August 23, 1978

Letter from Harvey L. Pitt to SEC Commissioner John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 1978

Report of the Special Governance Committee to the Board of Directors, Chicago Board Options Exchange

[image] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

September 12, 1978

Letter from Senator William Proxmire to President Carter in support of re-appointment of John R. Evans as SEC Commissioner

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 24, 1978

"The SEC as a Developmental Agency" - Address by SEC Commissioner Roberta S. Karmel to the National Securities Traders Association

[image] (pdf) (Government Records)

September 26, 1978

"Egalitarianism and Market Systems" - Address by SEC Chairman Harold M. Williams, Columbia University/McGraw-Hill Lectures in Business and Society

[image] (pdf) (Government Records)

October 2, 1978

Memo from James Frey to President Carter on HR 11567: SEC appropriations

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

October 5, 1978

SEC Should Strengthen its Inspection Oversight of the National Association of Securities Dealers - Report by the U.S. Comptroller General

[image] (pdf) (Courtesy of the Library of Congress)

October 9, 1978

"Current Problems in Financial Reporting and Internal Controls" - Address by SEC Chairman Harold M. Williams to the Financial Executives Institute International Conference

[image] (pdf) (Government Records)

October 19, 1978

Remarks by Under Secretary of the Treasury Anthony Solomon to the Public Securities Association

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

October 20, 1978

"What Should Be the Role of the SEC in the Public Securities Markets?" - Address by SEC Commissioner Roberta S. Karmel to the Public Securities Association

[image] (pdf) (Government Records)

October 27, 1978

Joint Submission of Chicago Board Options Exchange and Midwest Stock Exchange to SEC Chairman Harold M. Williams on the proposed combination of Midwest's stock options program with that of CBOE

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 3, 1978

"Audit Committees - The American Experience," Address by SEC Commissioner Philip A. Loomis, Jr. to The Institute of Chartered Accountants in England and Wales

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 3, 1978

"SEC Corporate Governance Proposals: An Update," Address by SEC Commissioner John R. Evans to Santa Barbara Conference, American Society of Corporate Secretaries

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 10, 1978

Letter from Milton H. Cohen, Schiff Hardin & Waite, to the SEC in support of the Chicago Board Options Exchange's position on the New York Stock Exchange's creation of an options market

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

November 14, 1978

Transcript of exit interview with Jim Fallows, by Lee Johnson

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

November 20, 1978

Letter from Sarah Weddington to SEC Commissioner Roberta Karmel on appointment to Interdepartmental Task Force on Women

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

November 22, 1978

Thank-you letter from Sarah Weddington to SEC Chairman Harold Williams on nominations of Roberta Karmel and Amy Goodman to Interdepartmental Task Force on Women

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

December 1978

The New York Stock Exchange & The National Market System

[image] (pdf) (Courtesy FINRA)

December 1978

December 8, 1978

"Improving the Accounting Profession: A Shared Responsibility," Address by SEC Commissioner John R. Evans to 8th Annual SEC Conference, Florida Institute of Certified Public Accountants

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 22, 1978

Report of the SEC's Special Study of the Options Market

(Courtesy of Stuart Kaswell)

Letter of Transmittal, Acknowledgements and Staff Listing [image] (pdf)
Glossary of Terms [image] (pdf)
Table of Contents [image] (pdf)
Chapter I - Introduction - Part 1 [image] (pdf)
Chapter I - Introduction - Part 2 [image] (pdf)
Chapter I - Introduction - Part 3 [image] (pdf)
Chapter II - Fundamentals of Exchange Traded Options - Part 1 [image] (pdf)
Chapter II - Fundamentals of Exchange Traded Options - Part 2 [image] (pdf)
Chapter II - Fundamentals of Exchange Traded Options - Part 3 [image] (pdf)
Chapter III - The Use of Options by Professional Traders - Part 1 [image] (pdf)
Chapter III - The Use of Options by Professional Traders - Part 2 [image] (pdf)
Chapter III - The Use of Options by Professional Traders - Part 3 [image] (pdf)
Chapter IV - Self-Regulatory Organization Surveillance of the Standardized Options Markets - Part 1 [image] (pdf)
Chapter IV - Self-Regulatory Organization Surveillance of the Standardized Options Markets - Part 2 [image] (pdf)
Chapter IV - Self-Regulatory Organization Surveillance of the Standardized Options Markets - Part 3 [image] (pdf)
Chapter IV - Self-Regulatory Organization Surveillance of the Standardized Options Markets - Part 4 [image] (pdf)
Chapter V - Options Selling Practices - Part 1 [image] (pdf)
Chapter V - Options Selling Practices - Part 2 [image] (pdf)
Chapter V - Options Selling Practices - Part 3 [image] (pdf)
Chapter V - Options Selling Practices - Part 4 [image] (pdf)
Chapter V - Options Selling Practices - Part 5 [image] (pdf)
Chapter V - Options Selling Practices - Part 6 [image] (pdf)
Chapter V - Options Selling Practices - Part 7 [image] (pdf)
Chapter V - Options Selling Practices - Part 8 [image] (pdf)
Chapter VI - Self-Regulatory Organization Oversight of Retail Firms and Their Associated Persons - Part 1 [image] (pdf)
Chapter VI - Self-Regulatory Organization Oversight of Retail Firms and Their Associated Persons - Part 2 [image] (pdf)
Chapter VI - Self-Regulatory Organization Oversight of Retail Firms and Their Associated Persons - Part 3 [image] (pdf)
Chapter VI - Self-Regulatory Organization Oversight of Retail Firms and Their Associated Persons - Part 4 [image] (pdf)
Chapter VI - Self-Regulatory Organization Oversight of Retail Firms and Their Associated Persons - Part 5 [image] (pdf)
Chapter VI - Self-Regulatory Organization Oversight of Retail Firms and Their Associated Persons - Part 6 [image] (pdf)
Chapter VII - Financial Regulation in the Options Markets - Part 1 [image] (pdf)
Chapter VII - Financial Regulation in the Options Markets - Part 2 [image] (pdf)
Chapter VII - Financial Regulation in the Options Markets - Part 3 [image] (pdf)
Chapter VII - Financial Regulation in the Options Markets - Part 4 [image] (pdf)
Chapter VII - Financial Regulation in the Options Markets - Part 5 [image] (pdf)
Chapter VII - Financial Regulation in the Options Markets - Part 6 [image] (pdf)
Chapter VII - Financial Regulation in the Options Markets - Part 7 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 1 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 2 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 3 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 4 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 5 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 6 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 7 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 8 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 9 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 10 [image] (pdf)
Chapter VIII - Issue of Structure in the Standardized Option Markets - Part 11 [image] (pdf)
Chapter VIII - Tables and Graphs [image] (pdf)

December 28, 1978

Letter from Stephen Friedman, Department of the Treasury to Arnold Miller concerning upcoming meeting with Bill Greenough for SEC Commission

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

1979

U.S. Securities and Exchange Commission Annual Report

[image] (pdf) (Courtesy FINRA)

1979

NASD Notices to Members

(Courtesy of FINRA)

January - February [image] (pdf)
March - May [image] (pdf)
June - July [image] (pdf)
August [image] (pdf)
September - December [image] (pdf)

1979

[transcript] (pdf) (Government Records)

January 4, 1979

Letter from James Buck, New York Stock Exchange, to George Fitzimmons, SEC Secretary on the NYSE proposal to enter the options trading market

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 9, 1979

"The Accounting Profession: Responses to an Environment of Change" - Address by SEC Chairman Harold M. Williams to the AICPA

[image] (pdf) (Government Records)

January 12, 1979

Statement of Meeting of the Municipal Securities Rulemaking Board with the SEC

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

January 15, 1979

Letter from SEC Chairman Harold Williams to Gary Seevers, Commodity Futures Trading Commission, on registration of futures associations

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

January 17, 1979

"Disclosure Policy and the Public Interest" - Remarks by SEC Commissioner Roberta Karmel to the New York Regional Group, American Society of Corporate Secretaries

[image] (pdf) (Government Records)

January 17, 1979

Letter from Gabriel Danihel, SEC to President Carter

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

January 18, 1979

"Corporate Accountability - One Year Later" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute

[image] (pdf) (Government Records)

January 26, 1979

"Emerging Isues Concerning Administrative Procedures" - Address by SEC Commissioner Roberta S. Karmel in San Francisco

[image] (pdf) (Government Records)

February 2, 1979

Letter from Scott Lager, Chicago Board Options Exchange, to Michael Maloney, Assistant Director, SEC Division of Market Regulation on options trading closing

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 21, 1979

Letter from Elkins Wetherill, Philadelphia Stock Exchange, to George Fitzsimmons, SEC Secretary on standardized options trading

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 23, 1979

"Jurisdictional Concerns in Securities Law Enforcement" - Remarks by SEC Commissioner Roberta S. Karmel to Federal Bar Council

[image] (pdf) (Government Records)

February 27, 1979

Memorandum prepared by Janet R. Zimmer, Special Counsel, SEC Division of Market Regulation on options closing hours and closing rotations

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

February 28, 1979

"The SEC, the Accounting Profession, and Self-Regulation," Address by SEC Commissioner John R. Evans as part of the Distinguished Speaker Series, Department of Accounting, University of Kentucky

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

March 2, 1979

Letter from Gerald E. Boltz to President Carter in support of the re-appointment of John Evans to the SEC Commission

[document] (pdf) (Courtesy of the estate of John Evans)

March 2, 1979

Letter from Walter D. Vinyard, Jr. to Peggy Rainwater, Presidential Personnel Office, in support of the re-appointment of John Evans to the SEC Commission

[document] (pdf) (Courtesy of the estate of John Evans)

March 2, 1979

Williams, SEC Chairman Harold M., "The State of the Securities and Exchange Commission," to The SEC Speaks, Practising Law Institute

[document] (pdf) (Courtesy of Theodore A. Levine)

March 30, 1979

Letter from SEC Chairman Harold M. Williams to Bernard Martin, Office of Management and Budget, on the draft "Paperwork Reduction" bill

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 3, 1979

New York State Attorney General Release endorsing SEC proposed rules on tender offers

[image] (pdf) (Courtesy of Orestes Mihaly)

April 5, 1979

"The Securities and Exchange Commission's Response to the Problems of Small Business" - Address by SEC Chairman Harold M. Williams at White House Conference on Small Business

[image] (pdf) (Government Records)

April 20, 1979

Letter from Stanley R. Greenfield to SEC Commissioner John R. Evans describing a prospective magazine for corporate directors

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

April 23, 1979

"Is the Securities Industry Ready for Regulatory Reform?" - Address by SEC Commissioner Roberta S. Karmel to the Compliance and Legal Seminar, Securities Industry Association

[image] (pdf) (Government Records)

April 23, 1979

"The Role of Law in Society" - Address by SEC Chairman Harold M. Williams to the Legal Aid Society

[image] (pdf) (Government Records)

April 26, 1979

"Regulatory Reform to Assist Small Business" - Remarks by SEC Commissioner Roberta S. Karmel to the Hennepin County Bar Association

[image] (pdf) (Government Records)

April 30, 1979

Letter from the Audit Committee, Standard Oil of California to SEC Chairman Harold M. Williams on reserve recognition accounting

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 2, 1979

Letter from U.S. Senator William Proxmire to SEC Chairman Harold Williams on the SEC's disclosure of questionable corporate payment cases

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

May 3, 1979

Protest letter from U.S. Representative Ronald Mottl to President Carter on closure of SEC Cleveland Branch Office

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

May 16, 1979

Letter from President Carter to SEC Chairman Harold Williams asking that the SEC establish a public participation funding program

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

May 31, 1979

"Financial Reporting in a Changing Economic Environment" - Address by SEC Chairman Harold M. Williams at FASB Conference on Financial Reporting

[image] (pdf) (Government Records)

June 1, 1979

Letter from Robert J. Birnbaum, American Stock Exchange, to SEC Chairman Harold M. Williams, protesting SEC approval of the expansion of the Chicago Board Options Exchange

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 5, 1979

"Corporate Governance Issues and Small Business" - Remarks by SEC Commissioner Roberta S. Karmel to American Stock Exchange-Wharton School Conference on Mid-Range Companies

[image] (pdf) (Government Records)

June 7, 1979

Congratulatory Letter from Barbara L. Leventhal, Municipal Securities Rulemaking Board, to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 7, 1979

Congratulatory Letter from Barbara L. Leventhal, Municipal Securities Rulemaking Board, to John R. Evans

[document] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 8, 1979

Congratulatory Letter from Alan Rosenblat to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 8, 1979

Congratulatory Letter from Joan M. Fleming, SEC, to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 8, 1979

Congratulatory Letter from John S.R. Schoenfeld, International Management and Development Institute, to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 8, 1979

Congratulatory Letter from Martin E. Lybecker, SEC, to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 8, 1979

Congratulatory Letter from Richard B. Smith to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 11, 1979

Congratulatory Letter from Daniel J. McCauley, Jr. to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 12, 1979

Congratulatory Letter from Hugh Owens, Securities Investor Protection Corporation, to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 12, 1979

Congratulatory Letter from retired Senator Wallace F. Bennett to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 12, 1979

Congratulatory Letter from Senator William Proxmire to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 13, 1979

Congratulatory Letter from Gerald Boltz to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 13, 1979

Congratulatory Letter from Harvey L. Pitt to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 13, 1979

Congratulatory Letter from John C. "Sandy" Burton to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 13, 1979

Letter from R.C. Dikeman to SEC Commissioner John R. Evans on the National Association of Bond Dealers

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 15, 1979

Congratulatory Letter from A. A. Sommer, Jr. to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 18, 1979

Reply from Stuart Eizenstat to U.S. Representative Ronald Mottl on closure of SEC Cleveland Branch Office

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

June 18, 1979

The Internal Auditing Profession: Challenges and Opportunities - Address by SEC Chief Accountant A. Clarence Sampson to the 1979 International Conference of The Institute of Internal Auditors

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 19, 1979

"Foreign Investment in the United States" - Address by SEC Chairman Harold M. Williams, Financial Times Limited

[image] (pdf) (Government Records)

June 19, 1979

Congratulatory Letter from Frederic T. Spindel to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 22, 1979

"Tender Offers: An SEC Perspective," Address by SEC Commissioner John R. Evans to National Association of Corporate Directors Briefing

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 28, 1979

"Competition and Technology: A Happy Marriage at the NYSE" - Remarks by William M. Batten, New York Stock Exchange at the National Conference of the American Society of Corporate Secretaries

June 28, 1979

"Current Developments in Disclosure Policy," Remarks by SEC Commissioner Philip A. Loomis, Jr. to the American Society of Corporate Secretaries Annual Conference

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

June 28, 1979

Brief for the Petitioner Vincent F. Chiarella on Writ of Certiorari to the U.S. Court of Appeals, Vincent F. Chiarella against United States of America

(Courtesy of the Library of Congress)

Part 1 [image] (pdf)
Part 2 [image] (pdf)
Part 3 [image] (pdf)
Part 4 [image] (pdf)
Part 5 [image] (pdf)

June 29, 1979

Letter from Stuart Eizenstat to James Solem, Minnesota Housing Finance Agency on proposed legislation placing limitations on tax-exempt housing bonds

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

July 2, 1979

Letter from George P. Stamas to SEC Commissioner John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

July 12, 1979

Letter from Andrew Klein, SEC to William M. Batten, New York Stock Exchange, Inc. on implementation of Options Study recommendations

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

July 17, 1979

"Regulatory Reform: Government Renewal or Rout?" - Remarks by SEC Commissioner Roberta S. Karmel to American Assembly of Collegiate Schools of Business

[image] (pdf) (Government Records)

July 26, 1979

"National Market System Developments: Change at the Exchange" - Remarks by William M. Batten, Chairman, New York Stock Exchange, Inc. at the 12th Annual Investment Workshop, Financial Analysts Federation

August 7, 1979

Letter from Kenneth Rosenblum, Midwest Stock Exchange, to Andrew Klein, SEC Division of Market Regulation, reporting progress in meeting SEC Act Release 15575 recommendations

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

August 10, 1979

Brief for the United States on Writ of Certiorari to the U.S. Court of Appeals, Vincent F. Chiarella v. United States of America

(Courtesy of the Library of Congress)

Part 1 [image] (pdf)
Part 2 [image] (pdf)
Part 3 [image] (pdf)
Part 4 [image] (pdf)
Part 5 [image] (pdf)

August 10, 1979

Letter from John J. Phelan, Jr., New York Stock Exchange to Gordon Macklin, NASD on NASD participation in Intermarket Trading System (ITS)

[image] (pdf) (Courtesy of the National Archives and Records Administration)

August 14, 1979

"Implementation of the Foreign Corrupt Practices Act: An Intersection of Law and Management" - Address by SEC Chairman Harold M. Williams to Section of Business, Banking and Corporation Law, American Bar Association

[transcript] (pdf) (Courtesy of the estate of John R. Evans)

September 13, 1979

Letter from SEC Commissioner John Evans to Senator William Proxmire on the SEC's relationship with the bank regulatory agencies

[document] (pdf) (Courtesy of the estate of John Evans)

September 14, 1979

"The Tension Between the First Amendment and the Federal Securities Laws" - Remarks by SEC Commissioner Roberta S. Karmel to the Greater New York Lawyers Division, American Friends of the Hebrew University

[image] (pdf) (Government Records)

September 18, 1979

"Auditors' Responsibilities and the Public Interest" - Address by SEC Chairman Harold M. Williams to the Texas Society of Certified Public Accountants

[image] (pdf) (Government Records)

September 19, 1979

Improvements Needed in the SEC's Efforts to Establish a National Securities Market - Report by the U.S. Comptroller General

[image] (pdf) (Courtesy of the Library of Congress)

September 25, 1979

"The Vital Role of State Boards of Accountancy," Remarks by SEC Commissioner John R. Evans to National Association of State Boards of Accountancy 72nd Annual Meeting

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

September 26, 1979

Letter from President Carter to SEC Chairman Harold Williams asking that the SEC improve its consumer affairs activities

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

October 4, 1979

"The Role of Inside Counsel in Corporate Responsibility" - Address by SEC Chairman Harold M. Williams to Corporate Counsel Institute

[image] (pdf) (Government Records)

October 9, 1979

"Current Problems in Financial Reporting and Internal Controls" - Address by SEC Chairman Harold M. Williams to Financial Executives Institute 1978 International Convention

[transcript] (pdf) (Courtesy of the estate of John R. Evans)

October 12, 1979

"Critique of Current Regulatory Approaches to the Separation of Commercial and Investment Banking" - Keynote Address by SEC Commissioner Roberta S. Karmel to Conference on Regulating the Securities Activities of Commercial Banks

[image] (pdf) (Government Records)

October 12, 1979

"The Regulatory Framework for Public Accounting," Address by SEC Commissioner John R. Evans to 3rd Annual Intermountain Accounting Seminar and 1979 Update

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 14, 1979

"Your Role in the Future of America" - Address by SEC Chairman Harold M. Williams to the National Securities Traders Association

[image] (pdf) (Government Records)

October 19, 1979

"Communication of Corporate Information: An Update" - Address by SEC Chairman Harold M. Williams to the National Investor Relations Institute National Conference

[image] (pdf) (Government Records)

October 19, 1979

Letter from James Scheuer and Bob Eckhardt, U.S. House of Representatives, to SEC Chairman Harold M. Williams requesting comments following Congressional hearings on the progress towards the development of a national market system

[transcript] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 22, 1979

Appointment Affadavit of John R. Evans to the Securities and Exchange Commission

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 22, 1979

Memo from William C. Wood to SEC Commissioner John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 24, 1979

"Corporate Accountability and Corporate Power" - Paper presented by SEC Chairman Harold M. Williams at Carnegie-Mellon University

[image] (pdf) (Government Records)

October 24, 1979

Congratulatory Letter from Donald L. Calvin, The New York Stock Exchange, to John R. Evans

[image] (pdf) (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

October 31, 1979

"The SEC Disclosure Process in a Changing Environment" - Remarks by SEC Commissioner Roberta S. Karmel to the Treasurer's Club

[image] (pdf) (Government Records)

October 31, 1979

Petitioner's Reply Brief, Vincent F. Chiarella against United States of America

[image] (pdf) (Courtesy of the Library of Congress)

November 1979