Securities and Exchange Commission Historical Society

Explore our exhibits and delve into our archives of papers, conversations, photos, oral histories and more.

26th Annual A.A. Sommer Lecture features David Woodcock, SEC Director of Enforcement

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Featured Exhibition

The SEC Experience of the September 11 Attacks

FINRA donates primary sources on the creation of NASD

Digital Archives

Oral Histories

Learn from interviews with SEC leaders, staff and other regulatory professionals about issues and rules their organizations grappled with starting in the 1930s.

Conversations

Conversations involve two or more people focused on historical SEC or regulatory topics. Check out their perspectives and experiences.

Historic Papers

Take a deep dive into our collection of nearly 10,000 letters, speeches, reports, notes and other materials about U.S. financial regulation.

This month in 1946...

This week in 1946 a New Jersey District Court issued a warrant for the arrest of Constantine Vincent Riccardi. Riccardi peddled fraudulent mining stocks, leading Arizona official and future SEC Commissioner Earl Hastings to write the first modern state securities law, adopted in 1951.

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