PDF August 4, 1936 Paper Letter to New York Stock Exchange members and their partners requesting views on SEC Report on Segregation
PDF October 1937 Paper SEC memorandum on the problems of organization and administration of the New York Stock Exchange
PDF 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
PDF 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
PDF September 21, 1938 Paper Draft SEC report on New York Stock Exchange regulation following the failure of Richard Whitney & Company
PDF October 15, 1938 Paper Confidential memo from Paul P. Gourrich to SEC Chairman William O. Douglas on the Whitney report
PDF 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
PDF 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
PDF 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
PDF 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
PDF March 23, 1938 Paper Report of meeting of Nominating Committee, New York Stock Exchange with SEC Chairman William O. Douglas
PDF August 13, 1934 Paper Statement of the Purposes of the Securities and Exchange Commission, Accomplishments up to August 13, 1934, and Future Program
PDF March 21, 1935 Paper Letter and Memorandum from SEC Chairman Kennedy to Richard Whitney, New York Stock Exchange, on the SEC’s eleven recommendations
PDF July 11, 1936 Paper William O. Douglas, Margins and Markets, Response to Charles Gay, New York Stock Exchange
