PDF September 18, 1974 Paper “The Securities and Exchange Commission and Foreign Issues in the United States,” Address by SEC Chairman Ray Garrett, Jr. to the Keidanren Kaikan, Otemachi
PDF October 3, 1974 Paper “Bank Securities Activities – Economic Evolution or Governmental Resolution,” Address by SEC Commissioner John R. Evans to Practising Law Institute
PDF September 24, 1974 Paper “A Fool and His Gold Are Soon Parted: Do They Have to Be?” – Address by SEC Commissioner A.A. Sommer, Jr. to the North American Securities Administrators
PDF October 31, 1974 Paper “Securities Markets Should Not Be ‘Trick or Treat'”, Address by SEC Commissioner John R. Evans to Municipal Finance Officers Association
PDF November 6, 1974 Paper “American Capital Markets: Roses or Thorns in Their Future?” – Address by SEC Commissioner A.A. Sommer, Jr. to Cleveland Committee of the Ohio Foundation of Independent Colleges
PDF November 13, 1974 Paper Opening Remarks of SEC Chairman Ray Garrett, Jr. at the Public, Fact-Finding Investigation in the matter of Beneficial Ownership, Takeovers and Acquisitions by Foreign and Domestic Persons
PDF January 21, 1975 Paper Written Statement of SEC Chairman Ray Garrett, Jr. in support of proposed exemptions from prohibitions on transactions between employee benefit plans and certain broker-dealers
PDF March 14, 1975 Paper “To Create a Fair Field of Competition,” Address by SEC Commissioner John R. Evans to Midwest Stock Exchange
PDF November 17, 1975 Paper “Tell It Like It Is,” Address by SEC Commissioner John R. Evans to the Association of Registered Bank Holding Companies
PDF July 8, 1976 Paper Letter from I.W. Burnham II, Securities Industry Association, to SEC Chairman Roderick Hills on multiple cycle trading of options
PDF January 5, 1977 Paper Letter from Joseph W. Sullivan, Chicago Board Options Exchange to the SEC Commission on put trading
PDF August 11, 1977 Paper Letter from Michael E. Tobin, Midwest Stock Exchange to Andrew Klein, Director, SEC Division of Market Regulation on options trading
PDF August 15, 1977 Paper Memorandum from the SEC Directorate of Economic and Research Policy to the SEC Division of Market Regulation on the economic analysis of Net Capital and Market Credit Requirements governing Options Market Makers
PDF October 6, 1977 Paper Letter from Michael E. Tobin, Midwest Stock Exchange to SEC Chairman Harold M. Williams requesting proposed rule change on options trading
PDF August 30, 1977 Paper Letter from Thomas D. Gleason, Wolverine World Wide, Inc. to William Batten, New York Stock Exchange in opposition to future expansion of options trading
PDF October 21, 1977 Paper Letter from Michael E. Tobin, Midwest Stock Exchange to George A. Fitzsimmons, SEC Secretary in response to SEC release to investigate options trading
PDF May 24, 1978 Paper Letter from Kenneth I. Rosenblum, Midwest Stock Exchange, to Harvey Pitt, SEC General Counsel on complaint filed by options market makers against the exchange and Michael Tobin
PDF July 14, 1978 Paper Letter from Philip J. Lo Bue, Pacific Stock Exchange, to Andrew M. Klein, Director, SEC Division of Market Regulation with comments on guidelines for replacement of involuntarily delisted options classes
PDF October 27, 1978 Paper Joint Submission of Chicago Board Options Exchange and Midwest Stock Exchange to SEC Chairman Harold M. Williams on the proposed combination of Midwest’s stock options program with that of CBOE
PDF November 10, 1978 Paper Letter from Milton H. Cohen, Schiff Hardin & Waite, to the SEC in support of the Chicago Board Options Exchange’s position on the New York Stock Exchange’s creation of an options market
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 February 14, 1979 Paper Letter from Scott Lager, Chicago Board Options Exchange, to Michael Maloney, Assistant Director, SEC Division of Market Regulation on options trading closing
PDF February 21, 1979 Paper Letter from Elkins Wetherill, Philadelphia Stock Exchange, to George Fitzsimmons, SEC Secretary on standardized options trading
