Papers
Welcome to the Papers section of the virtual museum and archive. The materials in this section are organized chronologically.
290 Records Found
August 17, 1989
Memo from Daniel Goelzer to Staff of the SEC Office of the General Counsel on Eric Summergrad's recognition as Federal Bar Association 1989 Younger Federal Lawyer [Image] (courtesy of the Summergrad Family)
Memo from Daniel Goelzer to Staff of the SEC Office of the General Counsel on Eric Summergrad's recognition as Federal Bar Association 1989 Younger Federal Lawyer [Image] (courtesy of the Summergrad Family)
August 11, 1989
Letter from Alan H. Friedenthal to Eric Summergrad, notifying Mr. Summergrad that he will receive the 1989 Younger Federal Lawyer Award [Image] (courtesy of the Summergrad Family)
Letter from Alan H. Friedenthal to Eric Summergrad, notifying Mr. Summergrad that he will receive the 1989 Younger Federal Lawyer Award [Image] (courtesy of the Summergrad Family)
July 24, 1989
U.S. Securities and Exchange Commission in the Matter of Roundtable on Commission Dollar and Payment for Order Flow Practices [Image] (courtesy of Aleta Benjamin)
U.S. Securities and Exchange Commission in the Matter of Roundtable on Commission Dollar and Payment for Order Flow Practices [Image] (courtesy of Aleta Benjamin)
August 5, 1988
Nomination of Eric Summergrad for the Federal Bar Association's 1988 Younger Federal Lawyer Award [Image] (courtesy of the Summergrad Family)
Nomination of Eric Summergrad for the Federal Bar Association's 1988 Younger Federal Lawyer Award [Image] (courtesy of the Summergrad Family)
February 1988
The October 1987 Market Break: Report by SEC Division of Market Regulation [Image] (Courtesy of Alton Harvey)
The October 1987 Market Break: Report by SEC Division of Market Regulation [Image] (Courtesy of Alton Harvey)
1988
Insider Trading and Securities Fraud Enforcement Act of 1988 (Public Law No. 100-704); Section 204A of IAA Amended (Government Records)
Insider Trading and Securities Fraud Enforcement Act of 1988 (Public Law No. 100-704); Section 204A of IAA Amended (Government Records)
December 15, 1987
Response from James D. Cox to Written Questions from Senator Riegle [Transcription] (courtesy of the Library of Congress)
Response from James D. Cox to Written Questions from Senator Riegle [Transcription] (courtesy of the Library of Congress)
December 15, 1987
Statement of SEC Chairman David S. Ruder on The Insider Trading Proscriptions Act of 1987 in a Hearing before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 100th Congress, 1st Session, on S.1380 [Image] (courtesy of the Library of Congress)
Statement of SEC Chairman David S. Ruder on The Insider Trading Proscriptions Act of 1987 in a Hearing before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 100th Congress, 1st Session, on S.1380 [Image] (courtesy of the Library of Congress)
November 16, 1987
Supreme Court of the United States: David Carpenter, Kenneth P. Felis and R. Foster Winans, Petitioners v. United States [Image] (courtesy of the Library of Congress)
Supreme Court of the United States: David Carpenter, Kenneth P. Felis and R. Foster Winans, Petitioners v. United States [Image] (courtesy of the Library of Congress)
October 30, 1987
New York Stock Exchange Press Release: Return to Normal Trading Hours [Transcription] (Courtesy of John J. Phelan, Jr.)
New York Stock Exchange Press Release: Return to Normal Trading Hours [Transcription] (Courtesy of John J. Phelan, Jr.)
October 26, 1987
New York Stock Exchange Press Release: Early Closing Extended [Transcription] (Courtesy of John J. Phelan, Jr.)
New York Stock Exchange Press Release: Early Closing Extended [Transcription] (Courtesy of John J. Phelan, Jr.)
October 22, 1987
New York Stock Exchange Press Release: Early Closings [Transcription] (Courtesy of John J. Phelan, Jr.)
New York Stock Exchange Press Release: Early Closings [Transcription] (Courtesy of John J. Phelan, Jr.)
October 22, 1987
New York Stock Exchange Press Release: President Reagan Commends Exchange Members and Staff [Transcription] (Courtesy of John J. Phelan, Jr.)
New York Stock Exchange Press Release: President Reagan Commends Exchange Members and Staff [Transcription] (Courtesy of John J. Phelan, Jr.)
September 30, 1987
Reply Brief for Petitioners, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America [Image] (courtesy of the Library of Congress)
Reply Brief for Petitioners, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America [Image] (courtesy of the Library of Congress)
July 29, 1987
Supplemental Brief for the United States, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America [Image] (courtesy of the Library of Congress)
Supplemental Brief for the United States, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America [Image] (courtesy of the Library of Congress)
July 27, 1987
Internationalization of the Securities Markets, Report of the Staff of the SEC to the Senate Committee on Banking, Housing and Urban Affairs, and the House Committee on Energy and Commerce (courtesy of Stuart Kaswell)
Internationalization of the Securities Markets, Report of the Staff of the SEC to the Senate Committee on Banking, Housing and Urban Affairs, and the House Committee on Energy and Commerce (courtesy of Stuart Kaswell)
June 19, 1987
Selections from Definition of Insider Trading in Hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 100th Congress, 1st Session - Part II [Image] (courtesy of the Library of Congress)
Selections from Definition of Insider Trading in Hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 100th Congress, 1st Session - Part II [Image] (courtesy of the Library of Congress)
June 17, 1987
Selections from Definition of Insider Trading in Hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 100th Congress, 1st Session - Part I [Image] (courtesy of the Library of Congress)
Selections from Definition of Insider Trading in Hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 100th Congress, 1st Session - Part I [Image] (courtesy of the Library of Congress)
May 29, 1987
Brief for the United States, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America [Image] (courtesy of the Library of Congress)
Brief for the United States, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America [Image] (courtesy of the Library of Congress)
April 1987
North American Securities Administrators Association, Inc./U.S. Securities and Exchange Commission 1987 Conference on Federal-State Securities Regulation - Final Report [Image] (Courtesy of Orestes Mihaly)
North American Securities Administrators Association, Inc./U.S. Securities and Exchange Commission 1987 Conference on Federal-State Securities Regulation - Final Report [Image] (Courtesy of Orestes Mihaly)
March 6, 1987
Memo from Daniel Goelzer to Staff of the SEC Office of the General Counsel on the appointment of Eric Summergrad as Assistant General Counsel [Image] (courtesy of the Summergrad Family)
Memo from Daniel Goelzer to Staff of the SEC Office of the General Counsel on the appointment of Eric Summergrad as Assistant General Counsel [Image] (courtesy of the Summergrad Family)
February 28, 1987
Brief for Petitioners, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America [Image] (courtesy of the Library of Congress)
Brief for Petitioners, David Carpenter, Kenneth P. Felis and R. Foster Winans v. United States of America [Image] (courtesy of the Library of Congress)
December 12, 1986
U.S. Supreme Court Vote on Dissent from Denial of Certiorari, Carpenter v. United States [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
U.S. Supreme Court Vote on Dissent from Denial of Certiorari, Carpenter v. United States [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 11, 1986
Letter from Chief Justice William Rehnquist requesting Justice Lewis Powell join in dissent from denial of certiorari in Carpenter et al. v. United States [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
Letter from Chief Justice William Rehnquist requesting Justice Lewis Powell join in dissent from denial of certiorari in Carpenter et al. v. United States [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 11, 1986
Letter from Justice Sandra Day O'Connor requesting Justice Lewis Powell join in dissent from denial of certiorari in Carpenter, Felis & Winans v. United States (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
Letter from Justice Sandra Day O'Connor requesting Justice Lewis Powell join in dissent from denial of certiorari in Carpenter, Felis & Winans v. United States (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 11, 1986
Testimony of Gary Lynch and of Richard Ketchum in Hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, U.S. House of Representatives, 99th Congress, 2nd Session [Image] (courtesy of the Library of Congress)
Testimony of Gary Lynch and of Richard Ketchum in Hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, U.S. House of Representatives, 99th Congress, 2nd Session [Image] (courtesy of the Library of Congress)
December 10, 1986
First Draft - Carpenter v. United States, on Petiton for Writ of Certiorari; Justice Lewis Powell, dissenting from denial of certiorari, with Justice Powell's handwritten notes [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
First Draft - Carpenter v. United States, on Petiton for Writ of Certiorari; Justice Lewis Powell, dissenting from denial of certiorari, with Justice Powell's handwritten notes [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 10, 1986
Second Draft - Carpenter v. United States, on Petition for Writ of Certiorari; Justice Powell dissenting from denial of certiorari [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
Second Draft - Carpenter v. United States, on Petition for Writ of Certiorari; Justice Powell dissenting from denial of certiorari [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 9, 1986
Cover Memo and Draft on Carpenter v. United States, prepared by Ronald J. Mann for Justice Lewis Powell, with Justice Powell's handwritten notes [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
Cover Memo and Draft on Carpenter v. United States, prepared by Ronald J. Mann for Justice Lewis Powell, with Justice Powell's handwritten notes [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 5, 1986
Preliminary Memo on December 5, 1986 Conference List 1, Sheet 2, No. 86-422, Carpenter et al v. United States, with Justice Powell's handwritten notes [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
Preliminary Memo on December 5, 1986 Conference List 1, Sheet 2, No. 86-422, Carpenter et al v. United States, with Justice Powell's handwritten notes [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 5, 1986
U.S. Supreme Court Vote on Dissent from Denial of Certiorari, Carpenter v. United States [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
U.S. Supreme Court Vote on Dissent from Denial of Certiorari, Carpenter v. United States [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
December 2, 1986
Supplement to Pool Memo to Justice Lewis Powell from Ronald J. Mann, No. 86-422, Carpenter v. United States [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
Supplement to Pool Memo to Justice Lewis Powell from Ronald J. Mann, No. 86-422, Carpenter v. United States [Image] (with permission of the Lewis F. Powell, Jr. Archives, Washington and Lee University School of Law, Lexington, Virginia)
November 5, 1986
Release from New York Attorney General Robert Abrams on charges against First Meridian Planning Corporation [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on charges against First Meridian Planning Corporation [Image] (courtesy of Orestes Mihaly)
September 5, 1986
Letter from John J. Phelan, Jr., New York Stock Exchange, to A.A. Sommer, Jr. (courtesy of Mrs. Storrow Sommer)
Letter from John J. Phelan, Jr., New York Stock Exchange, to A.A. Sommer, Jr. (courtesy of Mrs. Storrow Sommer)
August 26, 1986
Statement by Orestes Mihaly, on behalf of Attorney General Robert Abrams, before the New York State Senate Committee on Banking [Image] (courtesy of Orestes Mihaly)
Statement by Orestes Mihaly, on behalf of Attorney General Robert Abrams, before the New York State Senate Committee on Banking [Image] (courtesy of Orestes Mihaly)
July 31, 1986
Release from New York Attorney General Robert Abrams on arrest of Jack Shulman [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on arrest of Jack Shulman [Image] (courtesy of Orestes Mihaly)
May 30, 1986
Release from New York Attorney General Robert Abrams on injunction on oil and gas lease boiler room [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on injunction on oil and gas lease boiler room [Image] (courtesy of Orestes Mihaly)
May 20, 1986
Release from New York Attorney General Robert Abrams announcing criminal prosecutions in tax shelter fraud [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams announcing criminal prosecutions in tax shelter fraud [Image] (courtesy of Orestes Mihaly)
January 14, 1986
Release from New York Attorney General Robert Abrams suing franchise business promoter [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams suing franchise business promoter [Image] (courtesy of Orestes Mihaly)
1986
Government Securities Act of 1986 (Public Law No. 99-571); Section 203 of IAA Amended; Section 9 of ICA Amended (Government Records)
Government Securities Act of 1986 (Public Law No. 99-571); Section 203 of IAA Amended; Section 9 of ICA Amended (Government Records)
1986
Nomination of Eric Summergrad for the Manuel F. Cohen Outstanding Securities and Exchange Commission Younger Lawyer Award [Image] (courtesy of the Summergrad Family)
Nomination of Eric Summergrad for the Manuel F. Cohen Outstanding Securities and Exchange Commission Younger Lawyer Award [Image] (courtesy of the Summergrad Family)
December 02, 1985
Letter from Lloyd N. Cutler, Wilmer Cutler & Pickering, to U.S. Senator Charles Mathias on the nomination of Stanley Sporkin to the U.S. District Court (courtesy of Theodore A. Levine)
Letter from Lloyd N. Cutler, Wilmer Cutler & Pickering, to U.S. Senator Charles Mathias on the nomination of Stanley Sporkin to the U.S. District Court (courtesy of Theodore A. Levine)
October 28, 1985
New York State Attorney General Release announcing E.F. Hutton agreement to alter payment policies [Image] (Courtesy of Orestes Mihaly)
New York State Attorney General Release announcing E.F. Hutton agreement to alter payment policies [Image] (Courtesy of Orestes Mihaly)
October 28, 1985
Supreme Court of the State of New York - State of New York against E.F. Hutton & Company, Inc. [Transcription] (Courtesy of Orestes Mihaly)
Supreme Court of the State of New York - State of New York against E.F. Hutton & Company, Inc. [Transcription] (Courtesy of Orestes Mihaly)
October 22, 1985
Letter from Orestes Mihaly for the North American Securities Administrators Association, Inc. to John Wheeler, SEC Secretary on the NASAA Tender Offer Committee comment letter on proposed SEC rules regarding tender offers [Image] (Courtesy of Orestes Mihaly)
Letter from Orestes Mihaly for the North American Securities Administrators Association, Inc. to John Wheeler, SEC Secretary on the NASAA Tender Offer Committee comment letter on proposed SEC rules regarding tender offers [Image] (Courtesy of Orestes Mihaly)
September 27, 1985
The National Market System: A Selective Outline of Significant Events, 1971-1985, by Robert L.D. Colby, Lloyd H. Feller, Mark D. Fitterman and George T. Simon (permission given by authors May 2003)
The National Market System: A Selective Outline of Significant Events, 1971-1985, by Robert L.D. Colby, Lloyd H. Feller, Mark D. Fitterman and George T. Simon (permission given by authors May 2003)
September 5 and 11, 1985
Background Materials for the SEC Roundtables on Major Issues (courtesy of Paul Gonson)
Background Materials for the SEC Roundtables on Major Issues (courtesy of Paul Gonson)
September 4, 1985
Letter from Griffin B. Bell, King & Spalding, to Orestes J. Mihaly on Hutton report [Image] (Courtesy of Orestes Mihaly)
Letter from Griffin B. Bell, King & Spalding, to Orestes J. Mihaly on Hutton report [Image] (Courtesy of Orestes Mihaly)
August 5, 1985
Memo from Orestes J. Mihaly and Harvey J. Golubock to Deborah Bachrach and Mary Ellen Burns, New York State Attorney General Office, on E.F. Hutton guilty plea [Image] (Courtesy of Orestes Mihaly)
Memo from Orestes J. Mihaly and Harvey J. Golubock to Deborah Bachrach and Mary Ellen Burns, New York State Attorney General Office, on E.F. Hutton guilty plea [Image] (Courtesy of Orestes Mihaly)
July 17, 1985
Memo from Orestes J. Mihaly and Daniel Bell to Wayne Howell, NASAA President, on E.F. Hutton [Image] (Courtesy of Orestes Mihaly)
Memo from Orestes J. Mihaly and Daniel Bell to Wayne Howell, NASAA President, on E.F. Hutton [Image] (Courtesy of Orestes Mihaly)
July 11, 1985
Release from New York Attorney General Robert Abrams barring "Balm in Gilead" producers [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams barring "Balm in Gilead" producers [Image] (courtesy of Orestes Mihaly)
July 10, 1985
Inscription to Dennis Levine from Ivan Boesky, within a copy of "Merger Mania" by Mr. Boesky, published in 1985 [Image] (courtesy of Government Records)
Inscription to Dennis Levine from Ivan Boesky, within a copy of "Merger Mania" by Mr. Boesky, published in 1985 [Image] (courtesy of Government Records)
March 14, 1985
Resignation Letter from SEC Commissioner James C. Treadway, Jr. (courtesy of David B.H. Martin, Jr.)
Resignation Letter from SEC Commissioner James C. Treadway, Jr. (courtesy of David B.H. Martin, Jr.)
March 6, 1985
Resignation Letter from SEC Commissioner Charles L. Marinaccio (courtesy of David B.H. Martin, Jr.)
Resignation Letter from SEC Commissioner Charles L. Marinaccio (courtesy of David B.H. Martin, Jr.)
March 4, 1985
Letter from John M. Fedders to the SEC Commission and Staff (courtesy of David B.H. Martin, Jr.)
Letter from John M. Fedders to the SEC Commission and Staff (courtesy of David B.H. Martin, Jr.)
February 7, 1985
New York State Attorney General Release in support of state attorney generals opposing settlement in Baldwin-United [Image] (Courtesy of Orestes Mihaly)
New York State Attorney General Release in support of state attorney generals opposing settlement in Baldwin-United [Image] (Courtesy of Orestes Mihaly)
January 30, 1985
Letter from Mark Tepper, New York Assistant Attorney General, on acceptance of guilty plea from James D. Alderdice on securities fraud [Image] (Courtesy of Orestes Mihaly)
Letter from Mark Tepper, New York Assistant Attorney General, on acceptance of guilty plea from James D. Alderdice on securities fraud [Image] (Courtesy of Orestes Mihaly)
December 5, 1984
Release from New York Attorney General Robert Abrams announcing arrest of Harold Sorkin [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams announcing arrest of Harold Sorkin [Image] (courtesy of Orestes Mihaly)
October 4, 1984
Release from New York Attorney General Robert Abrams halting sale of shoe repair franchises [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams halting sale of shoe repair franchises [Image] (courtesy of Orestes Mihaly)
September 20, 1984
Report of the North American Securities Administrators Association's Investment Companies Committee to the Fall 1984 Membership Meeting [Image] (Courtesy of Orestes Mihaly)
Report of the North American Securities Administrators Association's Investment Companies Committee to the Fall 1984 Membership Meeting [Image] (Courtesy of Orestes Mihaly)
September 10, 1984
"The Disenfranchisement of America," draft speech by SEC Chairman John S.R. Shad (courtesy of David B.H. Martin, Jr.)
"The Disenfranchisement of America," draft speech by SEC Chairman John S.R. Shad (courtesy of David B.H. Martin, Jr.)
August 31, 1984
Letter from SEC Chairman John S.R. Shad to Michael Unger, Massachusetts Securities Division (courtesy of David B.H. Martin, Jr.)
Letter from SEC Chairman John S.R. Shad to Michael Unger, Massachusetts Securities Division (courtesy of David B.H. Martin, Jr.)
August 21, 1984
Release from New York Attorney General Robert Abrams alerting investors to questionable penny stocks [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams alerting investors to questionable penny stocks [Image] (courtesy of Orestes Mihaly)
June 28 to 29 1984
Homer Kripke-Looking Backward and Forward at the SEC After Fifty Years, SEC Major Issues Conference (courtesy of Paul Gonson)
Homer Kripke-Looking Backward and Forward at the SEC After Fifty Years, SEC Major Issues Conference (courtesy of Paul Gonson)
May 30, 1984
Memorandum from Homer Kripke for the 1984 Major Issues Conference (courtesy of Paul Gonson)
Memorandum from Homer Kripke for the 1984 Major Issues Conference (courtesy of Paul Gonson)
May 17, 1984
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion (courtesy of Paul Gonson)
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion (courtesy of Paul Gonson)
May 15, 1984
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion (courtesy of Paul Gonson)
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion (courtesy of Paul Gonson)
May 4, 1984
Letter from Homer Kripke to Paul Gonson, Irving Pollack, Joel Seligman and A.A. Sommer, Jr. on the 1984 Major Issues Conference (courtesy of Paul Gonson)
Letter from Homer Kripke to Paul Gonson, Irving Pollack, Joel Seligman and A.A. Sommer, Jr. on the 1984 Major Issues Conference (courtesy of Paul Gonson)
April 28, 1984
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion (courtesy of Paul Gonson)
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion (courtesy of Paul Gonson)
April 24, 1984
Release from New York Attorney General Robert Abrams on raid on oil and gas lease boiler room [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on raid on oil and gas lease boiler room [Image] (courtesy of Orestes Mihaly)
April 13, 1984
Release from New York Attorney General Robert Abrams on halt of sale of fraudulent tax shelters [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on halt of sale of fraudulent tax shelters [Image] (courtesy of Orestes Mihaly)
April 11, 1984
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion (courtesy of Paul Gonson)
Letter from Homer Kripke to Daniel Goelzer, General Counsel, on General Counsel's Office reunion (courtesy of Paul Gonson)
April 4, 1984
Release from New York Attorney General Robert Abrams on arrest of Michael and Trudy Charrier [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on arrest of Michael and Trudy Charrier [Image] (courtesy of Orestes Mihaly)
April 3, 1984
Selections from Hearing before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 98th Congress, 2nd Session on H.R. 559 (Insider Trading Sanctions Act of 1983) [Image] (courtesy of the Library of Congress)
Selections from Hearing before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, U.S. Senate, 98th Congress, 2nd Session on H.R. 559 (Insider Trading Sanctions Act of 1983) [Image] (courtesy of the Library of Congress)
March 16, 1984
Release from New York Attorney General Robert Abrams announcing guilty plea by George Wilson Glass [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams announcing guilty plea by George Wilson Glass [Image] (courtesy of Orestes Mihaly)
1984
A.A. Sommer, Jr., Good People, Important Problems and Workable Laws, delivered to the U.S. Securities and Exchange Commission (courtesy of Mrs. Storrow Sommer)
A.A. Sommer, Jr., Good People, Important Problems and Workable Laws, delivered to the U.S. Securities and Exchange Commission (courtesy of Mrs. Storrow Sommer)
1984
A.A. Sommer, Jr.- The Challenges of Tomorrow for the SEC, 1984 Major Issues Conference (courtesy of Paul Gonson)
A.A. Sommer, Jr.- The Challenges of Tomorrow for the SEC, 1984 Major Issues Conference (courtesy of Paul Gonson)
1984
Charles C. Cox - Summary of Opening Remarks on Critique of the Commission on its 50th Anniversary (courtesy of Paul Gonson)
Charles C. Cox - Summary of Opening Remarks on Critique of the Commission on its 50th Anniversary (courtesy of Paul Gonson)
1984
Charles C. Cox and Paul Gonson - Discussion Outline of Critique of the Commission on its 50th Anniversary (courtesy of Paul Gonson)
Charles C. Cox and Paul Gonson - Discussion Outline of Critique of the Commission on its 50th Anniversary (courtesy of Paul Gonson)
1984
Irving Pollack - The SEC's First Fifty Years, 1984 Major Issues Conference (courtesy of Paul Gonson)
Irving Pollack - The SEC's First Fifty Years, 1984 Major Issues Conference (courtesy of Paul Gonson)
1984 to present
U.S. Securities and Exchange Commission Staff Award - Byron D. Woodside Award (Government Records.)
U.S. Securities and Exchange Commission Staff Award - Byron D. Woodside Award (Government Records.)
December 16, 1983
Letter from E.C. Mackey, Director, State of Michigan Corporation & Securities Bureau, to David B.H. Martin, Jr., SEC (courtesy of David B.H. Martin, Jr.)
Letter from E.C. Mackey, Director, State of Michigan Corporation & Securities Bureau, to David B.H. Martin, Jr., SEC (courtesy of David B.H. Martin, Jr.)
October 18, 1983
"Social and Ethical Objectives of Regulation - Can a Government be Neutral?" - Remarks by SEC Commissioner James C. Treadway, Jr., LeRoy Jeffers Memorial Lectures on Theology and Law [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Social and Ethical Objectives of Regulation - Can a Government be Neutral?" - Remarks by SEC Commissioner James C. Treadway, Jr., LeRoy Jeffers Memorial Lectures on Theology and Law [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 14, 1983
Letter from SEC Commissioner John R. Evans to Eugene I. Goldman on Mr. Goldman's resignation from the SEC Division of Enforcement [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Commissioner John R. Evans to Eugene I. Goldman on Mr. Goldman's resignation from the SEC Division of Enforcement [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 9, 1983
"Post-War Trends and Recent Developments in the Market and at the SEC," Address by SEC Chairman John S.R. Shad to the National Security Traders Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Post-War Trends and Recent Developments in the Market and at the SEC," Address by SEC Chairman John S.R. Shad to the National Security Traders Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 29, 1983
"A Seamless Web: Banks, New Activities and Disclosure," Keynote Speech by SEC Commissioner James C. Treadway, Jr. to Securities Activities of Banks Third Annual Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"A Seamless Web: Banks, New Activities and Disclosure," Keynote Speech by SEC Commissioner James C. Treadway, Jr. to Securities Activities of Banks Third Annual Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 21, 1983
"Federal Preemption of State Blue Sky Laws," Panel Presentation by SEC Commissioner John R. Evans to the 66th Annual Fall Conference, North American Securities Administrators Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Federal Preemption of State Blue Sky Laws," Panel Presentation by SEC Commissioner John R. Evans to the 66th Annual Fall Conference, North American Securities Administrators Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 3, 1983
Letter from Harry Pollack to Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Harry Pollack to Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 3, 1983
Letter from Harry Pollack to SEC Commissioner John R. Evans on the end of Mr. Evans's tenure at the SEC [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Harry Pollack to SEC Commissioner John R. Evans on the end of Mr. Evans's tenure at the SEC [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 27, 1983
Summary of Statement of John S.R. Shad, SEC Chairman, before the House Judiciary Subcommittee on Administrative Law and Governmental Relations, on H.R.2327 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Summary of Statement of John S.R. Shad, SEC Chairman, before the House Judiciary Subcommittee on Administrative Law and Governmental Relations, on H.R.2327 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 14, 1983
New York State Attorney General Release on arrest of Florida gold dealers [Transcription] (Courtesy of Orestes Mihaly)
New York State Attorney General Release on arrest of Florida gold dealers [Transcription] (Courtesy of Orestes Mihaly)
July 12, 1983
Statement of John M. Fedders, Director, SEC Division of Enforcement, before the Subcommittee on International Economic Policy and Trade Committee on Foreign Affairs, U.S. House of Representatives, on H.R. 2157, the Foreign Trade Practices Act of 1983 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of John M. Fedders, Director, SEC Division of Enforcement, before the Subcommittee on International Economic Policy and Trade Committee on Foreign Affairs, U.S. House of Representatives, on H.R. 2157, the Foreign Trade Practices Act of 1983 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 10, 1983
Letter from Joel Seligman to SEC Commissioner John R. Evans on Mr. Evans' retirement from the SEC Commission [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Joel Seligman to SEC Commissioner John R. Evans on Mr. Evans' retirement from the SEC Commission [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 1, 1983
Supreme Court of the United States: Raymond L. Dirks v. SEC on Writ of Certiorari to the U.S. Court of Appeals [Image] (courtesy of the Library of Congress)
Supreme Court of the United States: Raymond L. Dirks v. SEC on Writ of Certiorari to the U.S. Court of Appeals [Image] (courtesy of the Library of Congress)
June 28, 1983
"Glass-Steagall - Who Should Decide?," Address by SEC Commissioner John R. Evans to the Executive Committees of Bank Investments and Funds Management Divisions, American Bankers Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Glass-Steagall - Who Should Decide?," Address by SEC Commissioner John R. Evans to the Executive Committees of Bank Investments and Funds Management Divisions, American Bankers Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 27, 1983
SEC Office of the Chief Accountant Alumni Meeting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
SEC Office of the Chief Accountant Alumni Meeting [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 23, 1983
"Shareholder Proposal Rule," Remarks by SEC Commissioner James C. Treadway, Jr. to the Edison Electric Institute Seminar on Current SEC Developments [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Shareholder Proposal Rule," Remarks by SEC Commissioner James C. Treadway, Jr. to the Edison Electric Institute Seminar on Current SEC Developments [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 9, 1983
"Developments in the Regulation of Accounting and Financial Disclosure under the Federal Securities Acts," Address by SEC Commissioner John R. Evans to the Conference on New Trends in Accounting and Financial Reporting, Machinery and Allied Products Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Developments in the Regulation of Accounting and Financial Disclosure under the Federal Securities Acts," Address by SEC Commissioner John R. Evans to the Conference on New Trends in Accounting and Financial Reporting, Machinery and Allied Products Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 9, 1983
Letter from A.A. Sommer, Jr. to SEC Commissioner John R. Evans supporting Mr. Evans' re-appointment to the SEC Commission [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from A.A. Sommer, Jr. to SEC Commissioner John R. Evans supporting Mr. Evans' re-appointment to the SEC Commission [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 9-10, 1983
The Role of the SEC: Past and Future - Address by A. Clarence Sampson, SEC Chief Accountant, as part of "A Decade of Setting Financial Reporting Standards," New York University [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
The Role of the SEC: Past and Future - Address by A. Clarence Sampson, SEC Chief Accountant, as part of "A Decade of Setting Financial Reporting Standards," New York University [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 3, 1983
"Financial Frauds and Related Party Transactions - the SEC Response," by Theodore A. Levine, Frederick Wade, James B. Bragg and Thomas A. Ferrigno [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Financial Frauds and Related Party Transactions - the SEC Response," by Theodore A. Levine, Frederick Wade, James B. Bragg and Thomas A. Ferrigno [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 2, 1983
"Insider Trading and the Duty Analysis after Chiarella," Remarks by SEC Commissioner James C. Treadway, Jr. to ALA-ABA Securities Litigation Program [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Insider Trading and the Duty Analysis after Chiarella," Remarks by SEC Commissioner James C. Treadway, Jr. to ALA-ABA Securities Litigation Program [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 2, 1983
Remarks by Orestes Mihaly, Chairman, North American Securities Administrators Association Tender Offer Committee, before the SEC Advisory Panel on Takeovers [Image] (courtesy of Orestes Mihaly)
Remarks by Orestes Mihaly, Chairman, North American Securities Administrators Association Tender Offer Committee, before the SEC Advisory Panel on Takeovers [Image] (courtesy of Orestes Mihaly)
May 24, 1983
Letter from Senator Orrin Hatch to John Herrington, Director, Presidential Personnel, in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator Orrin Hatch to John Herrington, Director, Presidential Personnel, in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 10, 1983
Letter from Daniel J. McCauley, Jr. to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Daniel J. McCauley, Jr. to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 9, 1983
Joint Letter from Attorneys to James A. Baker III endorsing the re-appointment of John R. Evans to the SEC Commission [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Joint Letter from Attorneys to James A. Baker III endorsing the re-appointment of John R. Evans to the SEC Commission [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 1983
A.A. Sommer, Jr., The Regulation of Securities Markets in the United States, delivered in Lisbon, Portugal (courtesy of Mrs. Storrow Sommer)
A.A. Sommer, Jr., The Regulation of Securities Markets in the United States, delivered in Lisbon, Portugal (courtesy of Mrs. Storrow Sommer)
May 1983
A.A. Sommer, Jr., The Regulation of Securities Markets in Western Europe, delivered in Lisbon, Portugal (courtesy of Mrs. Storrow Sommer)
A.A. Sommer, Jr., The Regulation of Securities Markets in Western Europe, delivered in Lisbon, Portugal (courtesy of Mrs. Storrow Sommer)
April 29, 1983
Commissioner Barbara S. Thomas - "The Shelf Rule: An Interim Appraisal," Address to the Securities Industry Association (courtesy of Barbara Thomas Judge)
Commissioner Barbara S. Thomas - "The Shelf Rule: An Interim Appraisal," Address to the Securities Industry Association (courtesy of Barbara Thomas Judge)
April 28, 1983
Release from New York Attorney General Robert Abrams announcing public hearing on "boiler room" abuses [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams announcing public hearing on "boiler room" abuses [Image] (courtesy of Orestes Mihaly)
April 27, 1983
"The Work of the Securities and Exchange Commission," Remarks by SEC Commissioner John R. Evans to The Brookings Institution Conference for Business Executives on Federal Government Operations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Work of the Securities and Exchange Commission," Remarks by SEC Commissioner John R. Evans to The Brookings Institution Conference for Business Executives on Federal Government Operations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 13, 1983
Selections from Hearing before the Subcommittee on Telecommunications, Consumer Protection and Finance of the Committee on Energy and Commerce, U.S. House of Representatives, 98th Congress, 1st Session on H.R. 559 (SEC Enforcement Legislation) [Image] (courtesy of the Library of Congress)
Selections from Hearing before the Subcommittee on Telecommunications, Consumer Protection and Finance of the Committee on Energy and Commerce, U.S. House of Representatives, 98th Congress, 1st Session on H.R. 559 (SEC Enforcement Legislation) [Image] (courtesy of the Library of Congress)
April 13, 1983
Written Statement of the Honorable John S.R. Shad, Chairman, before the Subcommittee on Telecommunications, Consumer Protection and Finance of the House Energy and Commerce Committee, concerning the Insider Trading Sanctions Act [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Written Statement of the Honorable John S.R. Shad, Chairman, before the Subcommittee on Telecommunications, Consumer Protection and Finance of the House Energy and Commerce Committee, concerning the Insider Trading Sanctions Act [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 12, 1983
Remarks by John R. Evans, Commissioner, to the National Advisory Council, Senate Committee on Small Business [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Remarks by John R. Evans, Commissioner, to the National Advisory Council, Senate Committee on Small Business [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 8, 1983
Release from New York Attorney General Robert Abrams announcing fine for fictitious "ticker" reports [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams announcing fine for fictitious "ticker" reports [Image] (courtesy of Orestes Mihaly)
April 5, 1983
Memo on Departure of John B. "Jay" Manning, Jr. from SEC [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo on Departure of John B. "Jay" Manning, Jr. from SEC [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 25, 1983
Addendum to the Testimony of John S.R. Shad, SEC Chairman, before the Subcommittee on Banking, Housing and Urban Affairs [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Addendum to the Testimony of John S.R. Shad, SEC Chairman, before the Subcommittee on Banking, Housing and Urban Affairs [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 25, 1983
Statement of John S.R. Shad, SEC Chairman, to the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of John S.R. Shad, SEC Chairman, to the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 24, 1983
"Corporate Governance for Mutual Funds - Is It Ready for a Change," Panel Presentation by SEC Commissioner John R. Evans to 1983 Mutual Funds and Investment Management Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Corporate Governance for Mutual Funds - Is It Ready for a Change," Panel Presentation by SEC Commissioner John R. Evans to 1983 Mutual Funds and Investment Management Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 23, 1983
Letter from Richard D. Latham, Texas Securities Commissioner, to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Richard D. Latham, Texas Securities Commissioner, to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 11, 1983
"Cooked Books: Just Old, Unappetizing Recipes," Remarks by SEC Commissioner James C. Treadway, Jr. to the Institute for Corporate Counsel [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Cooked Books: Just Old, Unappetizing Recipes," Remarks by SEC Commissioner James C. Treadway, Jr. to the Institute for Corporate Counsel [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 11, 1983
Letter from Dan Marriott, U.S. House of Representatives, to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Dan Marriott, U.S. House of Representatives, to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 3, 1983
Reply Brief for Petitioner Raymond L. Dirks [Image] (courtesy of the Library of Congress)
Reply Brief for Petitioner Raymond L. Dirks [Image] (courtesy of the Library of Congress)
March 1, 1983
Letter from J. Willard Marriott to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from J. Willard Marriott to President Reagan in support of the re-appointment of John R. Evans to the SEC Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 22, 1983
Memo to the SEC Commission from Russell B. Stevenson, Jr. on proposed testimony on S.414 to amend the Foreign Corrupt Practices Act [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo to the SEC Commission from Russell B. Stevenson, Jr. on proposed testimony on S.414 to amend the Foreign Corrupt Practices Act [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 22, 1983
Report of the Tender Offer Committee regarding future role of NASAA in take-over regulation [Image] (Courtesy of Orestes Mihaly)
Report of the Tender Offer Committee regarding future role of NASAA in take-over regulation [Image] (Courtesy of Orestes Mihaly)
February 17, 1983
Letter from SEC Commissioner John R. Evans to Ron Mann, Associate Director, Presidental Personnel, re re-appointment to the Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Commissioner John R. Evans to Ron Mann, Associate Director, Presidental Personnel, re re-appointment to the Commission [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 16, 1983
Action Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D (courtesy of David B.H. Martin, Jr.)
Action Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D (courtesy of David B.H. Martin, Jr.)
January 31, 1983
Brief for the SEC on Writ of Certiorari to the U.S. Court of Appeals, Raymond L. Dirks v. SEC [Image] (courtesy of the Library of Congress)
Brief for the SEC on Writ of Certiorari to the U.S. Court of Appeals, Raymond L. Dirks v. SEC [Image] (courtesy of the Library of Congress)
January 24, 1983
"Changing Financial Services and Regulation," Address by SEC Commissioner John R. Evans to North American Securities Administrators Association Financial Institutions Forum [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Changing Financial Services and Regulation," Address by SEC Commissioner John R. Evans to North American Securities Administrators Association Financial Institutions Forum [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 20, 1983
Letter from David B.H. Martin, Jr., SEC, to Scott Green (courtesy of David B.H. Martin, Jr.)
Letter from David B.H. Martin, Jr., SEC, to Scott Green (courtesy of David B.H. Martin, Jr.)
1983 to present
U.S. Securities and Exchange Commission Staff Award - Philip A. Loomis, Jr. Award (Government Records.)
U.S. Securities and Exchange Commission Staff Award - Philip A. Loomis, Jr. Award (Government Records.)
December 30, 1982
Brief for Petitioner Raymond L. Dirks on Writ of Certiorari to the U.S. Court of Appeals [Image] (courtesy of the Library of Congress)
Brief for Petitioner Raymond L. Dirks on Writ of Certiorari to the U.S. Court of Appeals [Image] (courtesy of the Library of Congress)
December 3, 1982
"The Securities Industry and the SEC in the 1980s," Address by SEC Chairman John S.R. Shad to the Securities Industry Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Securities Industry and the SEC in the 1980s," Address by SEC Chairman John S.R. Shad to the Securities Industry Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 1982
Report of New York Bureau of Investor Protection and Securities of significant matters in 1982 [Image] (Courtesy of Orestes Mihaly)
Report of New York Bureau of Investor Protection and Securities of significant matters in 1982 [Image] (Courtesy of Orestes Mihaly)
December 1, 1982
Statement of Commissioner John R. Evans before a Joint Hearing of the House Subcommittee on Tax, Access to Equity Capital and Business Opportunities of the House Committee on Small Business and the Senate Small Business Committee [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of Commissioner John R. Evans before a Joint Hearing of the House Subcommittee on Tax, Access to Equity Capital and Business Opportunities of the House Committee on Small Business and the Senate Small Business Committee [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 23, 1982
Letter from Scott Green to David B.H. Martin, Jr., SEC (courtesy of David B.H. Martin, Jr.)
Letter from Scott Green to David B.H. Martin, Jr., SEC (courtesy of David B.H. Martin, Jr.)
November 8, 1982
Letter from David B.H. Martin, Jr., SEC, to Gail Erickson, W.R. Grace & Co. (courtesy of David B.H. Martin, Jr.)
Letter from David B.H. Martin, Jr., SEC, to Gail Erickson, W.R. Grace & Co. (courtesy of David B.H. Martin, Jr.)
October 21, 1982
Memo from SEC Executive Director George G. Kundahl to SEC Division Directors, Commissioners and Office Heads with two draft agendas for the SEC's 50th anniversary [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from SEC Executive Director George G. Kundahl to SEC Division Directors, Commissioners and Office Heads with two draft agendas for the SEC's 50th anniversary [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 3, 1982
Letter from Gail Erickson, W.R. Grace & Co., to the SEC re Form D (courtesy of David B.H. Martin, Jr.)
Letter from Gail Erickson, W.R. Grace & Co., to the SEC re Form D (courtesy of David B.H. Martin, Jr.)
August 13, 1982
Letter from SEC Commissioner John R. Evans to William P. Clark, Assistant to the President for National Security Affairs, re travel to Quito, Ecuador to plan the VIII Interamerican Conference of Securities Commissions [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Commissioner John R. Evans to William P. Clark, Assistant to the President for National Security Affairs, re travel to Quito, Ecuador to plan the VIII Interamerican Conference of Securities Commissions [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 12, 1982
Release from New York Attorney General Robert Abrams announcing indictments in fraudulent metal sale [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams announcing indictments in fraudulent metal sale [Image] (courtesy of Orestes Mihaly)
July 1, 1982
New York State Attorney General Release on arrests in sale of ads in fraudulent publications [Image] (Courtesy of Orestes Mihaly)
New York State Attorney General Release on arrests in sale of ads in fraudulent publications [Image] (Courtesy of Orestes Mihaly)
June 28, 1982
Memo from Robert J. Zutz, Office of Commissioner Evans, re June 16th meeting with Morton Weiss, National Security Traders Association [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from Robert J. Zutz, Office of Commissioner Evans, re June 16th meeting with Morton Weiss, National Security Traders Association [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 21, 1982
"Thoughts on Business Ethics in a Private Enterprise System," Address by SEC Commissioner John R. Evans to New York Chapter, Brigham Young University Management Society [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Thoughts on Business Ethics in a Private Enterprise System," Address by SEC Commissioner John R. Evans to New York Chapter, Brigham Young University Management Society [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 3, 1982
"Regulation D: More Progress in Reducing Government Regulation," Address by SEC Commissioner John R. Evans to "The New Rules for Private Placements [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Regulation D: More Progress in Reducing Government Regulation," Address by SEC Commissioner John R. Evans to "The New Rules for Private Placements [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 12, 1982
Letter from John M. Fedders, Director, SEC Division of Enforcement, to the Editor, Business Week [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from John M. Fedders, Director, SEC Division of Enforcement, to the Editor, Business Week [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 6, 1982
Testimony of John R. Evans, Commissioner, Securities and Exchange Commission, before the Subcommittee on Commerce, Consumer and Monetary Affairs of the House Committee on Government Operations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Testimony of John R. Evans, Commissioner, Securities and Exchange Commission, before the Subcommittee on Commerce, Consumer and Monetary Affairs of the House Committee on Government Operations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 25, 1982
Memorandum from SEC Chairman John S.R. Shad to all Commission employees (courtesy of David B.H. Martin, Jr.)
Memorandum from SEC Chairman John S.R. Shad to all Commission employees (courtesy of David B.H. Martin, Jr.)
March 24, 1982
Letter from David B.H. Martin, Jr., SEC, to Elliott H. Lutzker, Bachner Tally & Mantell (courtesy of David B.H. Martin, Jr.)
Letter from David B.H. Martin, Jr., SEC, to Elliott H. Lutzker, Bachner Tally & Mantell (courtesy of David B.H. Martin, Jr.)
March 16, 1982
Letter from Elliott H. Lutzker, Bachner Tally & Mantell, to the SEC re Securities Act of 1933: Section 4(2), Rule 506 - Rule 146 (courtesy of David B.H. Martin, Jr.)
Letter from Elliott H. Lutzker, Bachner Tally & Mantell, to the SEC re Securities Act of 1933: Section 4(2), Rule 506 - Rule 146 (courtesy of David B.H. Martin, Jr.)
March 15, 1982
Letter from Jean J. Rousseau, Chairman, Municipal Securities Rulemaking Board, to SEC Commissioner John R. Evans concerning MSRB's proposed changes to the Net Capital Rule [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Jean J. Rousseau, Chairman, Municipal Securities Rulemaking Board, to SEC Commissioner John R. Evans concerning MSRB's proposed changes to the Net Capital Rule [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 1, 1982
Supplemental Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D ( (courtesy of David B.H. Martin, Jr.)
Supplemental Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D ( (courtesy of David B.H. Martin, Jr.)
February 25, 1982
"Private Sector Resistance to Deregulation," Address by SEC Commissioner John R. Evans to Utah Securities Regulation Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Private Sector Resistance to Deregulation," Address by SEC Commissioner John R. Evans to Utah Securities Regulation Seminar [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 16, 1982
Action Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D (courtesy of David B.H. Martin, Jr.)
Action Memorandum from the SEC Division of Corporation Finance to the Commission re Regulation D (courtesy of David B.H. Martin, Jr.)
February 5, 1982
"Glass-Steagall in Transition," Address by SEC Commissioner John R. Evans to 2nd Annual Southern Securities Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Glass-Steagall in Transition," Address by SEC Commissioner John R. Evans to 2nd Annual Southern Securities Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 25, 1982
Memo to SEC Commissioner John R. Evans from Dianne E. O'Donnell, Special Counsel to the Director, Division of Investment Management, concerning new products [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo to SEC Commissioner John R. Evans from Dianne E. O'Donnell, Special Counsel to the Director, Division of Investment Management, concerning new products [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 24, 1982
Release from New York Attorney General Robert Abrams announcing hearings on illegal boiler room schemes [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams announcing hearings on illegal boiler room schemes [Image] (courtesy of Orestes Mihaly)
1982
Securities and Exchange Commission Jurisdiction Clarification (Public Law No. 97-303); Section 202 of IAA Amended; Section 2(a)(36) of ICA Amended (Government Records)
Securities and Exchange Commission Jurisdiction Clarification (Public Law No. 97-303); Section 202 of IAA Amended; Section 2(a)(36) of ICA Amended (Government Records)
December 30, 1981
Release from New York Attorney General Robert Abrams on raid against boiler room operation of tax-sheltered oil leases [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on raid against boiler room operation of tax-sheltered oil leases [Image] (courtesy of Orestes Mihaly)
December 9, 1981
Release from New York Attorney General Robert Abrams against Paul Curcio (aka Dominic Bellini) for "Ponzi" scheme [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams against Paul Curcio (aka Dominic Bellini) for "Ponzi" scheme [Image] (courtesy of Orestes Mihaly)
December 4, 1981
Letter from Senator Ted Stevens to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator Ted Stevens to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 2, 1981
"The SEC and the Securities Industry," Address by SEC Chairman John S.R. Shad to the Securities Industry Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The SEC and the Securities Industry," Address by SEC Chairman John S.R. Shad to the Securities Industry Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 23, 1981
Memo from SEC Executive Director George G. Kundahl to SEC Staff concerning Commission Operations during Period of the Absence of Appropriations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from SEC Executive Director George G. Kundahl to SEC Staff concerning Commission Operations during Period of the Absence of Appropriations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 20, 1981
Memo from SEC Executive Director George G. Kundahl to SEC Division Directors, Office Heads and Regional Administrators on Commission Activities during the Weekend of November 21-22, 1981 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from SEC Executive Director George G. Kundahl to SEC Division Directors, Office Heads and Regional Administrators on Commission Activities during the Weekend of November 21-22, 1981 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 16, 1981
Letter from Representative John D. Dingell to SEC Chairman John S.R. Shad, protesting the discontinuance of the News Digest and SEC Docket [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Representative John D. Dingell to SEC Chairman John S.R. Shad, protesting the discontinuance of the News Digest and SEC Docket [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 12, 1981
Report from Donald Malawsky, SEC Regional Administrator, to SEC Chairman John S. R. Shad on securities regulation symposium in Buffalo [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Report from Donald Malawsky, SEC Regional Administrator, to SEC Chairman John S. R. Shad on securities regulation symposium in Buffalo [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 10, 1981
Letter from Senator William Proxmire to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator William Proxmire to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 9, 1981
Letter from Senator John Heinz to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator John Heinz to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 6, 1981
Letter from Robert D. Strahota, Kirkland & Ellis, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Robert D. Strahota, Kirkland & Ellis, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
November 5, 1981
Letter from Senator Howard H. Baker, Jr. to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator Howard H. Baker, Jr. to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 4, 1981
Letter from A.A. Sommer, Jr., Morgan Lewis & Bockius, to David Stockman, opposing SEC budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from A.A. Sommer, Jr., Morgan Lewis & Bockius, to David Stockman, opposing SEC budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 4, 1981
Letter from Senator Christopher J. Dodd to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator Christopher J. Dodd to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 4, 1981
New York State Attorney General Release on arrest of boiler room operators preying on fears of new cold war [Image] (Courtesy of Orestes Mihaly)
New York State Attorney General Release on arrest of boiler room operators preying on fears of new cold war [Image] (Courtesy of Orestes Mihaly)
November 2, 1981
Letter from Senator Paul Laxalt to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Senator Paul Laxalt to John C. Whitehead [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 28, 1981
Letter from John H. Fitch, Jr., National Association of Wholesaler-Distributors, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from John H. Fitch, Jr., National Association of Wholesaler-Distributors, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 28, 1981
Letter from Ralph DeNunzio and Edward O'Brien, Securities Industry Association, to U.S. Representative Neal Smith, opposing SEC budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Ralph DeNunzio and Edward O'Brien, Securities Industry Association, to U.S. Representative Neal Smith, opposing SEC budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 27, 1981
Letter from John C. Whitehead, Goldman, Sachs & Co., to Senator E.J. Garn, opposing SEC budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from John C. Whitehead, Goldman, Sachs & Co., to Senator E.J. Garn, opposing SEC budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 27, 1981
Letter from U.S. Representative Geraldine A. Ferraro to SEC Chairman Harold Williams, seeking information on impact on SEC of budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from U.S. Representative Geraldine A. Ferraro to SEC Chairman Harold Williams, seeking information on impact on SEC of budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 21, 1981
Letter from Bruce H. Hahn, National Tooling & Machining Association, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Bruce H. Hahn, National Tooling & Machining Association, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 21, 1981
Letter from Frank J. Wilson, NASD, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Frank J. Wilson, NASD, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 20, 1981
Letter from Thomas M. Del Ricci to U.S. Representative R. Lawrence Coughlin, detailing impact of SEC budget cuts on Philadelphia Branch Office [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Thomas M. Del Ricci to U.S. Representative R. Lawrence Coughlin, detailing impact of SEC budget cuts on Philadelphia Branch Office [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 20, 1981
Testimony of John R. Evans, Commissioner, Securities and Exchange Commission, before the Subcommittee on Commerce, Consumer and Monetary Affairs of the House Committee on Government Operations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Testimony of John R. Evans, Commissioner, Securities and Exchange Commission, before the Subcommittee on Commerce, Consumer and Monetary Affairs of the House Committee on Government Operations [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 19, 1981
Letter from Kenneth J. Bialkin, American Bar Association, to David Stockman, Office of Management and Budget, opposing SEC budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Kenneth J. Bialkin, American Bar Association, to David Stockman, Office of Management and Budget, opposing SEC budget cuts [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 16, 1981
"Deregulation: A Sensitive Undertaking Requiring Adequate Resources," Address by SEC Commissioner John R. Evans to Symposium on Securities Regulation and the Capital Raising Process for Small Issuers [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Deregulation: A Sensitive Undertaking Requiring Adequate Resources," Address by SEC Commissioner John R. Evans to Symposium on Securities Regulation and the Capital Raising Process for Small Issuers [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 15, 1981
Letter from Richard H. Rowe, Proskauer Rose Goetz & Mendelsohn, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Richard H. Rowe, Proskauer Rose Goetz & Mendelsohn, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 14, 1981
Memo from SEC Chairman Shad to all Commission staff members concerning proposed Fiscal 1982 budget reductions [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from SEC Chairman Shad to all Commission staff members concerning proposed Fiscal 1982 budget reductions [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 13, 1981
Letter from Michael Gettelman, Farella Braun & Martel, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Michael Gettelman, Farella Braun & Martel, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 13, 1981
Letter from U.S. Representative Benjamin S. Rosenthal to SEC Chairman John S.R. Shad on Congressional hearings on the allegations of insider trading in Santa Fe International options [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from U.S. Representative Benjamin S. Rosenthal to SEC Chairman John S.R. Shad on Congressional hearings on the allegations of insider trading in Santa Fe International options [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 12, 1981
"A New Milestone," Address by SEC Commissioner John R. Evans to 64th Annual Conference, North American Securities Administrators Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"A New Milestone," Address by SEC Commissioner John R. Evans to 64th Annual Conference, North American Securities Administrators Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 12, 1981
Letter from Donald G. Calcaterra, First Equity Associates, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Donald G. Calcaterra, First Equity Associates, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 12, 1981
Letter from Thomas A. Kurkowski, INVST Financial Group, Inc., to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Thomas A. Kurkowski, INVST Financial Group, Inc., to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 12, 1981
Report of the Tender Offer Committee of the North American Securities Administrators Association, Inc. and Uniform Take-over Act [Image] (Courtesy of Orestes Mihaly)
Report of the Tender Offer Committee of the North American Securities Administrators Association, Inc. and Uniform Take-over Act [Image] (Courtesy of Orestes Mihaly)
October 11, 1981
"The Future is For Those Who are Prepared," Address by SEC Commissioner John R. Evans to 48th Annual Convention, National Security Traders Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Future is For Those Who are Prepared," Address by SEC Commissioner John R. Evans to 48th Annual Convention, National Security Traders Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 6, 1981
Letter from Jeremiah S. Buckley, Leighton Conklin Lemov Jacobs & Buckley, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Jeremiah S. Buckley, Leighton Conklin Lemov Jacobs & Buckley, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from David L. Ratner, University of San Francisco, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from David L. Ratner, University of San Francisco, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from Deloitte Haskins & Sells to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Deloitte Haskins & Sells to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from Edward A. Benjamin and Christopher A. Klem, Ropes & Gray, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Edward A. Benjamin and Christopher A. Klem, Ropes & Gray, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from Frank R. Goldstein, Piper & Marbury, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Frank R. Goldstein, Piper & Marbury, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 5, 1981
Letter from Zel E. Lipsen, Lipsen & Hamberger, and Stephen M. Feldman, Wyatt and Saltzstein, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Zel E. Lipsen, Lipsen & Hamberger, and Stephen M. Feldman, Wyatt and Saltzstein, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 2, 1981
Letter from Gary D. Bruhn, Hoops & Hudson, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Gary D. Bruhn, Hoops & Hudson, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 2, 1981
Letter from the Los Angeles County Bar Association to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from the Los Angeles County Bar Association to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 1, 1981
Letter from John D. Evans, Windels Marx Davies & Ives, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from John D. Evans, Windels Marx Davies & Ives, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
October 1981
Letter from SEC Chairman John S.R. Shad to David A. Stockman, Office of Management and Budget, concerning the impact of budget reductions on the SEC [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Chairman John S.R. Shad to David A. Stockman, Office of Management and Budget, concerning the impact of budget reductions on the SEC [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 30, 1981
Letter from Sullivan & Cromwell to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Sullivan & Cromwell to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 29, 1981
Letter from Arthur B. Hahn, Merchandise for Media, Inc., to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Arthur B. Hahn, Merchandise for Media, Inc., to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 29, 1981
Letter from Michael K. Hynes, Hynes Aviation Industries, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Michael K. Hynes, Hynes Aviation Industries, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 28, 1981
Letter from Anthony M. Lamport, Drexel Burnham Lambert, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Anthony M. Lamport, Drexel Burnham Lambert, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 28, 1981
Letter from Bernard L. Porter, The William K. Westley Co., to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Bernard L. Porter, The William K. Westley Co., to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 25, 1981
Letter from Francis J. Stifter, Electronic Specialist, Inc., to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Francis J. Stifter, Electronic Specialist, Inc., to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 25, 1981
Letter from Linda A. Wertheimer, Jackson Walker Winstead Cantwell & Miller, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Linda A. Wertheimer, Jackson Walker Winstead Cantwell & Miller, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 23, 1981
Letter from Richard D. Latham, Texas Securities Commissioner, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Richard D. Latham, Texas Securities Commissioner, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 23, 1981
Letter from Robert F. Kenny, Tennis Togs, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Robert F. Kenny, Tennis Togs, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 23, 1981
Letter from Stephen Glazier, Loeb and Loeb, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Stephen Glazier, Loeb and Loeb, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 14, 1981
Letter from Robert A. Kessler, Fordham University School of Law, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Robert A. Kessler, Fordham University School of Law, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 11, 1981
New York State Attorney General Release on Central Registration Depository (CRD) System [Image] (Courtesy of Orestes Mihaly)
New York State Attorney General Release on Central Registration Depository (CRD) System [Image] (Courtesy of Orestes Mihaly)
September 10, 1981
Letter from Carl W. Schneider, Wolf Block Schorr and Solis-Cohen, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Carl W. Schneider, Wolf Block Schorr and Solis-Cohen, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
September 10, 1981
Release from New York Attorney General Robert Abrams on pyramid scheme of Am-Pro Marketing, Inc. [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on pyramid scheme of Am-Pro Marketing, Inc. [Image] (courtesy of Orestes Mihaly)
September 4, 1981
Letter from Warren B. French, Jr., Shenandoah Telephone Company, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
Letter from Warren B. French, Jr., Shenandoah Telephone Company, to the SEC re Regulation D (courtesy of David B.H. Martin, Jr.)
August 31, 1981
Letter from Ralph R. Smith, Securities Administrator, State of Washington, to SEC Commissioner John Evans (courtesy of David B.H. Martin, Jr.)
Letter from Ralph R. Smith, Securities Administrator, State of Washington, to SEC Commissioner John Evans (courtesy of David B.H. Martin, Jr.)
August 4, 1981
Letter from Philip McBride Johnson, Chairman of the Commodity Futures Trading Commission, to New York Attorney General Robert Abrams, asking for the State of New York's support for CFTC's enforcement on commodities fraud [Image] (Courtesy of Orestes Mihaly)
Letter from Philip McBride Johnson, Chairman of the Commodity Futures Trading Commission, to New York Attorney General Robert Abrams, asking for the State of New York's support for CFTC's enforcement on commodities fraud [Image] (Courtesy of Orestes Mihaly)
July 31, 1981
Letter from SEC Commissioner John R. Evans to U.S. Senator Jake Garn responding to questions concerning money market funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from SEC Commissioner John R. Evans to U.S. Senator Jake Garn responding to questions concerning money market funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 29, 1981
"Money Market Funds: A Case Study of the Consequences of Competition," Address by Martin E. Lybecker before the National Association of State Legislatures [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Money Market Funds: A Case Study of the Consequences of Competition," Address by Martin E. Lybecker before the National Association of State Legislatures [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 13, 1981
Memorandum Opinion and Order: Nelson Bunker Hunt, et Al. vs. United States Securities and Exchange Commission; U.S. District Court - Northern District of Texas, Dallas Division (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memorandum Opinion and Order: Nelson Bunker Hunt, et Al. vs. United States Securities and Exchange Commission; U.S. District Court - Northern District of Texas, Dallas Division (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 13, 1981
Release from New York Attorney General Robert Abrams on raid against Mineral Resources, Inc. [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on raid against Mineral Resources, Inc. [Image] (courtesy of Orestes Mihaly)
July 13, 1981
Transcript of the Press Coffee with SEC Chairman John S.R. Shad [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Transcript of the Press Coffee with SEC Chairman John S.R. Shad [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 9, 1981
Letter from Lee Gunderson, American Bankers Association, to Joel Goldberg, Director, SEC Division of Investment Management on money market mutual funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Lee Gunderson, American Bankers Association, to Joel Goldberg, Director, SEC Division of Investment Management on money market mutual funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 29, 1981
Letter from Edmund H. Kerr, Association of the Bar of the City of New York, to SEC Chairman John S.R. Shad suggesting reconsideration of SEC current practices [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Edmund H. Kerr, Association of the Bar of the City of New York, to SEC Chairman John S.R. Shad suggesting reconsideration of SEC current practices [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 24, 1981
Release from New York Attorney General Robert Abrams on amended regulations governing theatrical financing [Image] (courtesy of Orestes Mihaly)
Release from New York Attorney General Robert Abrams on amended regulations governing theatrical financing [Image] (courtesy of Orestes Mihaly)
June 16, 1981
Written Statement of the Honorable John S.R. Shad, SEC, before Joint Hearings of the Subcommittee on Securities and the Subcommittee on International Finance and Monetary Policy of the Senate Committee on Banking, Housing and Urban Affairs concerning S.708 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Written Statement of the Honorable John S.R. Shad, SEC, before Joint Hearings of the Subcommittee on Securities and the Subcommittee on International Finance and Monetary Policy of the Senate Committee on Banking, Housing and Urban Affairs concerning S.708 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 3, 1981
Letter from Bernard H. Barnett, Barnett & Alagia, to Senator Paul Laxalt recommending consideration of John Fedders as SEC Director of Enforcement [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Bernard H. Barnett, Barnett & Alagia, to Senator Paul Laxalt recommending consideration of John Fedders as SEC Director of Enforcement [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 27, 1981
Letter from Ralph J. Bachenheimer, Corland Corporation, to SEC Chairman John S.R. Shad recommending consideration of John Fedders as Director of Enforcement [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Ralph J. Bachenheimer, Corland Corporation, to SEC Chairman John S.R. Shad recommending consideration of John Fedders as Director of Enforcement [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 20, 1981
Statement of Sherman E. Unger, General Counsel, U.S. Department of Commerce, on amending the Foreign Corrupt Practices Act, S. 708 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of Sherman E. Unger, General Counsel, U.S. Department of Commerce, on amending the Foreign Corrupt Practices Act, S. 708 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 20, 1981
Testimony of William E. Brock, U.S. Trade Representative, on amending the Foreign Corrupt Practices Act, S.708 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Testimony of William E. Brock, U.S. Trade Representative, on amending the Foreign Corrupt Practices Act, S.708 [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 16, 1981
Postcard from Joseph P. Mangine to SEC Commissioner John R. Evans in support of check writing privileges in money market funds. It begins "I hope you are real." [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Postcard from Joseph P. Mangine to SEC Commissioner John R. Evans in support of check writing privileges in money market funds. It begins "I hope you are real." [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 13, 1981
Statement of the Honorable John R. Evans, Commissioner of the Securities and Exchange Commission, before the United States Senate Committee on Banking, Housing and Urban Affairs, concerning the Regulation of Money Market Funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of the Honorable John R. Evans, Commissioner of the Securities and Exchange Commission, before the United States Senate Committee on Banking, Housing and Urban Affairs, concerning the Regulation of Money Market Funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 8, 1981
Amended Verified Complaint for Injunctive Relief: Nelson Bunker Hunt, et Al., Plaintiffs, v. United States Securities and Exchange Commission, Defendant; U.S. District Court - Northern District of Texas, Dallas Division (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Amended Verified Complaint for Injunctive Relief: Nelson Bunker Hunt, et Al., Plaintiffs, v. United States Securities and Exchange Commission, Defendant; U.S. District Court - Northern District of Texas, Dallas Division (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 28, 1981
"Responsible Deregulation," Remarks of SEC Commissioner Barbara S. Thomas to the Federal Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Responsible Deregulation," Remarks of SEC Commissioner Barbara S. Thomas to the Federal Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 27, 1981
"Blue Skies and New Horizons of Cooperation," Address by SEC Commissioner John R. Evans to North American Securities Administrators Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Blue Skies and New Horizons of Cooperation," Address by SEC Commissioner John R. Evans to North American Securities Administrators Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 24, 1981
"The Foreign Corrupt Practices Act: The Chafee Amendments" - Remarks by SEC Commissioner Stephen J. Friedman to the Annual Meeting of the Association of American Chambers of Commerce in Latin America [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Foreign Corrupt Practices Act: The Chafee Amendments" - Remarks by SEC Commissioner Stephen J. Friedman to the Annual Meeting of the Association of American Chambers of Commerce in Latin America [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 13, 1981
Letter from John S.R. Shad, E.F. Hutton & Co., to SEC Commissioner John R. Evans before Mr. Shad's swearing-in as SEC Chairman [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from John S.R. Shad, E.F. Hutton & Co., to SEC Commissioner John R. Evans before Mr. Shad's swearing-in as SEC Chairman [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 10, 1981
Letter from John K. Moore, The Beach Bank of Vero Beach, to U.S. Representative Bill McCollum on checking privileges through money market funds [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from John K. Moore, The Beach Bank of Vero Beach, to U.S. Representative Bill McCollum on checking privileges through money market funds [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 9, 1981
Letter from Frank Wiglusz to SEC Commissioner John R. Evans on money market funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Frank Wiglusz to SEC Commissioner John R. Evans on money market funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 8, 1981
Statement of the Honorable John R. Evans, Commissioner of the Securities and Exchange Commission, before the House of Representatives Subcommittee on Domestic Monetary Policy of the House Committee on Banking, Finance and Urban Affairs, concerning the Regulation of Money Market Funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Statement of the Honorable John R. Evans, Commissioner of the Securities and Exchange Commission, before the House of Representatives Subcommittee on Domestic Monetary Policy of the House Committee on Banking, Finance and Urban Affairs, concerning the Regulation of Money Market Funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 7, 1981
Letter from Michael Unger, Director, Massachusetts Securities Division, to SEC Secretary George A. Fitzsimmons on proposed Rule 17a-24: establishment of a customer complaint registry [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Michael Unger, Director, Massachusetts Securities Division, to SEC Secretary George A. Fitzsimmons on proposed Rule 17a-24: establishment of a customer complaint registry [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 6, 1981
Letter from Robert H. Davenport, SEC Regional Administrator - Denver, to Colorado Senator Ruth S. Stockton opposing cuts in funding for the Colorado Division of Securities [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from Robert H. Davenport, SEC Regional Administrator - Denver, to Colorado Senator Ruth S. Stockton opposing cuts in funding for the Colorado Division of Securities [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 19, 1981
Letter from A.A. Sommer, Jr. to SEC Commissioner John R. Evans thanking Mr. Evans for his participation in the Securities Regulation Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from A.A. Sommer, Jr. to SEC Commissioner John R. Evans thanking Mr. Evans for his participation in the Securities Regulation Institute [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 23, 1981
Letter from U.S. Representative John Dingell to SEC Chairman Harold M. Williams urging the SEC to require ITS and NASDAQ to implement automated interface [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from U.S. Representative John Dingell to SEC Chairman Harold M. Williams urging the SEC to require ITS and NASDAQ to implement automated interface [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 10, 1981
Telegram from Arnold Christensen, Utah State Senate, to SEC Commissioner John R. Evans requesting testimony on the regulation of money market funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Telegram from Arnold Christensen, Utah State Senate, to SEC Commissioner John R. Evans requesting testimony on the regulation of money market funds [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 9, 1981
Letter from Abraham J. Briloff, Baruch College, The City University of New York, to Barron's on "Sporkin's Swan Song?" 2-2-81 editorial (courtesy of Theodore A. Levine)
Letter from Abraham J. Briloff, Baruch College, The City University of New York, to Barron's on "Sporkin's Swan Song?" 2-2-81 editorial (courtesy of Theodore A. Levine)
February 4, 1981
Letter from U.S. Senator Donald W. Riegle, Jr. to SEC Chairman Harold M. Wililams on the Foreign Corrupt Practices Act [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from U.S. Senator Donald W. Riegle, Jr. to SEC Chairman Harold M. Wililams on the Foreign Corrupt Practices Act [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 30, 1981
High Noon' in Utah for Banking Law, Salt Lake Tribune Business [Image] (courtesy of David Silver)
High Noon' in Utah for Banking Law, Salt Lake Tribune Business [Image] (courtesy of David Silver)
January 29, 1981
Confidential Letter from A.A. Sommer, Jr. to Edwin Meese III concerning the SEC [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Confidential Letter from A.A. Sommer, Jr. to Edwin Meese III concerning the SEC [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 23, 1981
Memo to the SEC Commission from Paul Gonson and Frederick Wade on the GAO's Draft Report on the Foreign Corrupt Practices Act [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo to the SEC Commission from Paul Gonson and Frederick Wade on the GAO's Draft Report on the Foreign Corrupt Practices Act [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 22, 1981
Letter from James C. Strode, Director, Kentucky Division of Securities, to U.S. Senator Wendell H. Ford on proposed changes to the SEC Division of Enforcement [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Letter from James C. Strode, Director, Kentucky Division of Securities, to U.S. Senator Wendell H. Ford on proposed changes to the SEC Division of Enforcement [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 13, 1981
"The Accounting Provisions of the Foreign Corrupt Practices Act: An Analysis," Address by SEC Chairman Harold M. Williams to the SEC Developments Conference, AICPA [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"The Accounting Provisions of the Foreign Corrupt Practices Act: An Analysis," Address by SEC Chairman Harold M. Williams to the SEC Developments Conference, AICPA [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
1981 to present
U.S. Securities and Exchange Commission Staff Award - Irving M. Pollack Award (Government Records.)
U.S. Securities and Exchange Commission Staff Award - Irving M. Pollack Award (Government Records.)
December 31, 1980
Resignation Letter from SEC Chairman Harold M. Williams to President-Elect Ronald Reagan [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Resignation Letter from SEC Chairman Harold M. Williams to President-Elect Ronald Reagan [Transcription] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 22, 1980
Final Report on SEC by Reagan Administration Transition Team [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Final Report on SEC by Reagan Administration Transition Team [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 18, 1980
Memorandum to the SEC Division of Corporation Finance on Group Achievement Award (courtesy of David B.H. Martin, Jr.)
Memorandum to the SEC Division of Corporation Finance on Group Achievement Award (courtesy of David B.H. Martin, Jr.)
November 24, 1980
A.A. Sommer, Jr., The Myths of Corporate Governance (courtesy of Mrs. Storrow Sommer)
A.A. Sommer, Jr., The Myths of Corporate Governance (courtesy of Mrs. Storrow Sommer)
November 21, 1980
New York State Attorney General Release announcing injunction against M.J.K. Investors Corporation and Kevin O'Connell [Image] (Courtesy of Orestes Mihaly)
New York State Attorney General Release announcing injunction against M.J.K. Investors Corporation and Kevin O'Connell [Image] (Courtesy of Orestes Mihaly)
November 17, 1980
SEC Release: Steps Announced to Reduce Delays in Processing of Registration Statements (courtesy of Richard Rowe)
SEC Release: Steps Announced to Reduce Delays in Processing of Registration Statements (courtesy of Richard Rowe)
November 11, 1980
"Corporate Accountability: A Participatory Process," Address by SEC Commissioner John R. Evans to "Corporate Governance Issues and the Corporate Secretary," National Association of Corporate Directors [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Corporate Accountability: A Participatory Process," Address by SEC Commissioner John R. Evans to "Corporate Governance Issues and the Corporate Secretary," National Association of Corporate Directors [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 24, 1980
"Do We Measure Up?," Address by SEC Commissioner John R. Evans to the 13th Annual Rocky Mountain State-Federal Securities Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Do We Measure Up?," Address by SEC Commissioner John R. Evans to the 13th Annual Rocky Mountain State-Federal Securities Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 10, 1980
New York State Attorney General Release on surrender of Laurence Hecker [Transcription] (Courtesy of Orestes Mihaly)
New York State Attorney General Release on surrender of Laurence Hecker [Transcription] (Courtesy of Orestes Mihaly)
September 25, 1980
Panel Presentation by SEC Commissioner John R. Evans to the OTC Congress '80 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Panel Presentation by SEC Commissioner John R. Evans to the OTC Congress '80 [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 16, 1980
"Regulation and Expansion of Options Markets," Address by SEC Commissioner John R. Evans to The "New" Stock Options Market Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Regulation and Expansion of Options Markets," Address by SEC Commissioner John R. Evans to The "New" Stock Options Market Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 1980
"Delegation of Powers Between the Commission and the Self-Regulatory Organizations and Professional Organizations," Paper Submitted by SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Delegation of Powers Between the Commission and the Self-Regulatory Organizations and Professional Organizations," Paper Submitted by SEC Commissioner John R. Evans [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 18, 1980
Testimony of the Honorable Harold M. Williams, Chairman, Securities and Exchange Commission, before the Joint Economic Conference [Transcription] (Courtesy of the estate of John R. Evans)
Testimony of the Honorable Harold M. Williams, Chairman, Securities and Exchange Commission, before the Joint Economic Conference [Transcription] (Courtesy of the estate of John R. Evans)
June 5, 1980
Opening Statement of the Honorable Harold M. Williams, Chairman, Securities and Exchange Commission, at the occasion of the Commission's consideration of Rule 19c-3 [Transcription] (Courtesy of the estate of John R. Evans)
Opening Statement of the Honorable Harold M. Williams, Chairman, Securities and Exchange Commission, at the occasion of the Commission's consideration of Rule 19c-3 [Transcription] (Courtesy of the estate of John R. Evans)
May 28, 1980
Opening Statement of the Honorable Harold M. Williams, Chairman, Securities and Exchange Commission, at the Commission's consideration of proposed rules to require a management statement on internal accounting control [Transcription] (Courtesy of the estate of John R. Evans)
Opening Statement of the Honorable Harold M. Williams, Chairman, Securities and Exchange Commission, at the Commission's consideration of proposed rules to require a management statement on internal accounting control [Transcription] (Courtesy of the estate of John R. Evans)
May 15, 1980
"Investor Protection and the Securities Bar," Address by SEC Commissioner John R. Evans to Securities Law Committee, Chicago Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Investor Protection and the Securities Bar," Address by SEC Commissioner John R. Evans to Securities Law Committee, Chicago Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 27, 1980
"Deregulation Has Its Price," Address by SEC Commissioner John R. Evans to 1980 Mutual Funds & Investment Management Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"Deregulation Has Its Price," Address by SEC Commissioner John R. Evans to 1980 Mutual Funds & Investment Management Conference [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 18, 1980
Supreme Court of the United States: Vincent F. Chiarella v. United States on Writ of Certiorari to the U.S. Court of Appeals [Image] (courtesy of the Library of Congress)
Supreme Court of the United States: Vincent F. Chiarella v. United States on Writ of Certiorari to the U.S. Court of Appeals [Image] (courtesy of the Library of Congress)
March 7, 1980
Program for the SEC Memorial Service for Ray Garrett, Jr. [Image] (courtesy of Nancy Garrett Worcester)
Program for the SEC Memorial Service for Ray Garrett, Jr. [Image] (courtesy of Nancy Garrett Worcester)
March 6, 1980
Remarks by SEC Commissioner John R. Evans to Board of Directors, New York Stock Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Remarks by SEC Commissioner John R. Evans to Board of Directors, New York Stock Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 27, 1980
Memo from Jim Clarkson to SEC Commissioner John R. Evans on upcoming trip to New York Regional Office [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from Jim Clarkson to SEC Commissioner John R. Evans on upcoming trip to New York Regional Office [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 14, 1980
"An Inside View of the SEC Regulatory Process," Address by SEC Commissioner John R. Evans to the Utah State Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
"An Inside View of the SEC Regulatory Process," Address by SEC Commissioner John R. Evans to the Utah State Bar Association [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 12, 1980
Letter from U.S. Representative James H. Scheuer to Lewis H. Young, Business Week (courtesy of Theodore A. Levine)
Letter from U.S. Representative James H. Scheuer to Lewis H. Young, Business Week (courtesy of Theodore A. Levine)
February 1, 1980
Memo from Sheldon Rappaport to SEC Commissioner John R. Evans on subjects for use in a speech to the New York Stock Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
Memo from Sheldon Rappaport to SEC Commissioner John R. Evans on subjects for use in a speech to the New York Stock Exchange [Image] (courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 30, 1980
Letter from Lewis H. Young, Business Week, to U.S. Representative James H. Scheuer (courtesy of Theodore A. Levine)
Letter from Lewis H. Young, Business Week, to U.S. Representative James H. Scheuer (courtesy of Theodore A. Levine)
January 22, 1980
Letter from U.S. Representative James H. Scheuer to Business Week (courtesy of Theodore A. Levine)
Letter from U.S. Representative James H. Scheuer to Business Week (courtesy of Theodore A. Levine)