Related Archives

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August 4, 1936

• Paper

Letter to New York Stock Exchange members and their partners requesting views on SEC Report on Segregation

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October 1937

• Paper

SEC memorandum on the problems of organization and administration of the New York Stock Exchange

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March 19, 1938

• Paper

Address by SEC Chairman William O. Douglas on the reorganization of the New York Stock Exchange

• PDF

June 16, 1938

• Paper

Memorandum of conference between representatives of the SEC and of the New York Stock Exchange

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August 25, 1938

• Paper

Memorandum of August 8, 1938 conference relative to proposals of the New York Stock Exchange and of the SEC for the safeguarding of customers’ funds and securities

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September 21, 1938

• Paper

Draft SEC report on New York Stock Exchange regulation following the failure of Richard Whitney & Company

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October 4, 1938

• Paper

New York Stock Exchange Program – SEC Draft

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October 15, 1938

• Paper

Confidential memo from Paul P. Gourrich to SEC Chairman William O. Douglas on the Whitney report

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November 1, 1938

• Paper

Letter from SEC Chairman William O. Douglas to William McC. Martin, New York Stock Exchange on the investigation of Richard Whitney & Company

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December 17, 1938

• Paper

Memorandum of conference at the New York Stock Exchange with SEC Chairman William O. Douglas and Ganson Purcell, SEC Trading and Exchange Division

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December 19, 1938

• Paper

Draft SEC statement on the decision of the New York Stock Exchange to take no action against members involved in the Whitney episode

• Video

April 12, 1938

• Film

“Sing Sing’s Gates Close on Richard Whitney,” Hearst Metrotone News Film

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June 20, 1936

• Paper

U.S. Securities and Exchange Commission Report on the Feasibility and Advisability of the Complete Segregation of the Functions of Dealer and Broker

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March 23, 1938

• Paper

Report of meeting of Nominating Committee, New York Stock Exchange with SEC Chairman William O. Douglas

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August 13, 1934

• Paper

Statement of the Purposes of the Securities and Exchange Commission, Accomplishments up to August 13, 1934, and Future Program

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December 21, 1934

• News Release

SEC Release on New Requirements for Permanent Registration

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January 25, 1935

• Paper

Report on the Government of Securities Exchanges

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March 21, 1935

• Paper

Letter and Memorandum from SEC Chairman Kennedy to Richard Whitney, New York Stock Exchange, on the SEC’s eleven recommendations

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July 11, 1936

• Paper

William O. Douglas, Margins and Markets, Response to Charles Gay, New York Stock Exchange

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January 16, 1937

• Paper

“Big Business, What Now?” – Joseph P. Kennedy, The Saturday Evening Post

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March 22, 1938

• Paper

Telegram from William O. Douglas to Thomas Dewey

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July 26, 1938

• Paper

Letter from Association of Stock Exchange Firms to SEC Chairman Douglas

• Photo

1932

Richard Whitney

• Photo

1935

Charles Gay