PDF April 26, 1965 Paper Memo from Office of General Counsel to Commission re “Mutual Fund Report to Congress: The Give-up Problem – Use of Give-ups to reduce Sales Loads”
PDF May 2, 1966 Paper Memo from Buck to Budge re “Commission’s position on give-ups and volume discount of brokerage commissions”
PDF January 1, 1943 Paper Letter from Purcell to Sen. Butler re Public Utility Holding Company Act, Section 11
PDF August 20, 1942 Paper Letter from Treanor to Rep. Beiter on Proposed Rule to Prevent Dealers from buying/selling at prices bearing no reasonable relation to prevailing market prices
PDF April 5, 1941 Paper Letter from Weiner to Rep. Andresen re Proposed Rule Requiring Competitive Bidding
PDF May 19, 1966 Paper Letter from Cohen to Funston re proposed changes in commission rate structure of the NYSE
PDF June 7, 1967 Paper Letter from Cohen to Stock Exchange Presidents re Give-ups and volume discounts
PDF January 28, 1969 Paper Minutes of meeting of SEC Commission re Moratorium on Institutional membership in Exchanges pending further study
PDF February 13, 1970 Paper Statement of Haack before the SEC on “The Urgency for an Immediate Commission Increase”
PDF March 25, 1970 Paper Statement of Donald L. Calvin before the Subcommittee on Securities of the Senate Committee on Banking and Currency re S.3431
