PDF April 2, 1974 Paper “Fail-Safe or Fail-Certain: The Final Push to Securities Regulation” – Remarks by James J. Needham, New York Stock Exchange, Inc. at a luncheon of The Financial Executives Institute
PDF May 29, 1974 Paper The Need for Fixed Floor Brokerage Rates – A Report Submitted to the SEC by New York Stock Exchange, Inc.
PDF 1975 Paper Testimony of Walter N. Frank on SEC proposed rules and New York Stock Exchange proposed “Market Responsibility Rule”
PDF April 25, 1973 Paper “Democracy in the Markets” – Address by SEC Chairman G. Bradford Cook to the Economic Club of Chicago
PDF September 11, 1973 Paper Statement of John R. Evans, Commissioner, Securities and Exchange Commission before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce of the House of Representatives on Title IV of HR5050
PDF September 12, 1973 Speech “The Commission Rate Issue,” Speech by Ray Garrett, Jr. to Securities Industry Association
PDF September 19, 1973 Paper New York Stock Exchange Board Summary Memorandum on commission rate increase
PDF September 17, 1973 Paper Statement by Ray Garrett, Jr. before the House Committee on Banking and Currency
PDF September 19, 1973 Paper “The Impact on the Individual Investor of a Central Auction Market System for Listed Securities” – James J. Needham, New York Stock Exchange Chairman
PDF September 19, 1973 Paper New York Stock Exchange Board Summary Memorandum on Nonmember access discount – managed institutional accounts
PDF October 15, 1973 Paper Letter from James J. Needham, New York Stock Exchange Chairman and CEO, to SEC Chairman Ray Garrett, Jr. on proposed amendment to Exchange Rule 385 – non-member access discount
PDF November 2, 1973 Speech Draft Speech by C.S. Whitman for Ray Garrett, Jr. to Institutional Investor Institute Roundtable
PDF June 11, 1974 Paper “Commission Rates – The World Ahead,” Address by SEC Chairman Ray Garrett, Jr. to the New York Stock Exchange Third Bi-Annual Conference
PDF September 6, 1974 Paper “The Central Market System and Commission Rates,” Address by SEC Chairman Ray Garrett, Jr. to the Pacific Northwest District, Securities Industry Association
PDF October 25, 1974 Paper Letter from Philip W. Buchen to Christopher Sheppard on fixed commission rates
PDF November 19, 1974 Paper Opening Statement of SEC Chairman Ray Garrett, Jr. at the Oral Hearings to Consider Proposed Securities Exchange Act Rules 19b-3 and 10b-22
PDF December 4, 1974 Paper “Reform of the Securities Markets: The Need for Cooperation” – Address by SEC Chairman Ray Garrett, Jr. to the Securities Industry Association
PDF February 24, 1975 Paper Letter from F. Lynn May, Domestic Council to Martin B.C. Simpson on elimination of fixed commission rates
