PDF September 21, 1959 Paper Memo of Closed “SEC” Session at the Convention of the North American Securities Administrators
PDF September 4, 1963 Paper Memo from Ruddick C. Lawrence to G. Keith Funston, New York Stock Exchange on SEC reactions to standards for advertising and market letters
PDF June 30, 1966 Paper Letter from Irving M. Pollack, SEC Division of Trading and Markets, to John Birmingham, New York Stock Exchange
PDF August 8, 1966 Paper Letter from John Birmingham, New York Stock Exchange, to Irving M. Pollack, SEC Division of Trading and Markets
PDF January 20, 1967 Paper Letter from Robert W. Haack, National Association of Securities Dealers, to Irving M. Pollack, SEC Division of Trading and Markets
PDF February 24, 1967 Paper Letter from Irving M. Pollack, SEC Division of Trading and Markets to Robert W. Haack, National Association of Securities Dealers
PDF April 21, 1967 Paper Letter from J. William O’Reilly, New York Stock Exchange to Irving M. Pollack, SEC on automation of surveillance of floor trading activities
PDF May 19, 1967 Paper Letter from Irving M. Pollack, SEC Division of Trading and Markets to G. Keith Funston, New York Stock Exchange
PDF June 16, 1967 Paper Letter from G. Keith Funston, New York Stock Exchange, to Irving M. Pollack, SEC Division of Trading and Markets
PDF November 20, 1967 Paper Memorandum on Give-Ups: Alternative Courses of Action, from Irving M. Pollack, SEC Division of Trading and Markets, with Attachments: a) Practices and Procedures of Mutual Funds in Allocating Brokerage — a basis for enforcement proceedings, and b) Selection of an Appropriate Respondent
PDF August 21, 1968 Paper Letter from Irving M. Pollack, SEC to Robert W. Haack, New York Stock Exchange on off-floor trading
PDF May 2, 1978 Paper Letter from U.S. Ambassador Marvin L. Warner to SEC Chairman Harold M. Williams on visit of SEC Commissioner Irving Pollack to the American Embassy in Switzerland
PDF May 4, 1984 Paper Letter from Homer Kripke to Paul Gonson, Irving Pollack, Joel Seligman and A.A. Sommer, Jr. on the 1984 Major Issues Conference
PDF September 25, 2002 Paper A Brief History of the SEC’s Enforcement Program, 1934-1981, by Daniel Hawke.
