PDF July 21, 1967 Paper Letter from G. Keith Funston, New York Stock Exchange, to SEC Chairman Manuel Cohen
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 April 1, 1968 Paper U.S. Department of Justice Comments into Proposals to Modify the Commission Rate Structure of the New York Stock Exchange
PDF May 28, 1968 Paper Order for U.S. Securities and Exchange Commission Investigation and Public Investigatory Hearing on Commission Rate Structure
PDF July 1, 1968 Paper Opening Statement of Eugene H. Rotberg at Public Investigatory Hearing on Commission Rate Structure
PDF July 1, 1968 Paper Summary of Transcript of Proceedings in the Matter of Commission Rate Structures of Registered National Securities Exchanges
PDF August 16, 1968 Paper Letter from Investment Bankers Association of America to SEC on New York Stock Exchange’s Proposed Commission Rate Changes
PDF August 19, 1968 Paper Letter from Robert L. Augenblick, Investment Company Institute, to SEC on New York Stock Exchange’s Proposed Commission Rate Changes
PDF August 5, 1971 Paper Special New York Stock Exchange Membership Bulletin on report conducted by William McChesney Martin, Jr.
PDF August 6, 1971 Paper The Securities Markets – A Report, with Recommendations, by William McChesney Martin, Jr.
PDF August 12, 1971 Paper Letter from Milton Cohen to The New York Times on Policy for Securities Market
PDF September 27, 1971 Paper Memo from Lee D. Arning, New York Stock Exchange on national securities market
PDF February 21, 1974 Speech “Efficiency in Transferring Securities,” Speech by SEC Chairman Ray Garrett, Jr. to the New York Regional Group, American Society of Corporate Secretaries
PDF March 12, 1974 Speech “Confidence and Liquidity,” Speech by SEC Chairman Ray Garrett, Jr. to the Philadelphia-Baltimore-Washington Stock Exchange Membership Conference
PDF December 31, 1976 Paper Report from the National Market Advisory Board to Congress The Possible Need for Modifications of the Scheme of Self Regulation in the Securities Industry so as to Adapt it to a National Market System
PDF January 28, 1978 Paper “The Future of the Securities Industry” – Address by SEC Chairman Harold M. Williams, Gustave L. Levy Memorial Lecture, Twelfth Annual Conference on Wall Street and the Economy
PDF January 4, 1979 Paper Letter from James Buck, New York Stock Exchange, to George Fitzimmons, SEC Secretary on the NYSE proposal to enter the options trading market
PDF June 12, 1979 Paper Congratulatory Letter from Hugh Owens, Securities Investor Protection Corporation, to John R. Evans
PDF September 27, 1985 Paper 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
