PDF March 15, 1935 Paper Report from Wallace H. Fulton, Director of Compliance, to Rollin A. Wilbur, Managing Director, The Investment Bankers Code, on his visits to the Regional Code Committees
PDF April 10, 1935 Paper Report of meeting of the Committee on General Policy, Investment Bankers Code Committee, appointed to deal with the SEC
PDF March 30, 1936 Paper Memo to the SEC Commission from David Saperstein, Trading and Exchange Division, with report on the feasibility and advisability of the complete segregation of the functions of dealer and broker
PDF May 6, 1937 Paper Report of George W. Davis, Chairman of District #2 of Investment Bankers Conference, Inc., before the Governing Committee at Chicago
PDF October 20, 1937 Paper Report of B. Howell Griswold, Jr., Chairman, Investment Bankers Conference, Inc. on talk with SEC Chairman William O. Douglas
PDF January 18, 1938 Paper Copy of Maloney Bill distributed to members of the Investment Bankers Conference, Inc.
PDF April 19, 1934 Paper Code of Fair Competition for Investment Bankers, with a descriptive analysis of its fair practice provisions and history of preparation – Investment Bankers Code Committee
PDF October 12, 1935 Paper Memo from Investment Bankers Conference Committee, with exchange of letters with SEC Chairmen Joseph P. Kennedy and James M. Landis
PDF June 29, 1936 Paper Letter from B. Howell Griswold, Jr., Investment Bankers Conference Committee to SEC Chairman James M. Landis
PDF June 29, 1936 Paper Letter from SEC Chairman James M. Landis to B. Howell Griswold, Jr., Investment Bankers Conference Committee
PDF June 29, 1936 Paper Statement of SEC Chairman to Members of Special Committee for Permanent Plan of the Investment Bankers Conference Committee
PDF August 31, 1936 Paper Memo on formation of self-regulatory organization from Investment Bankers Conference Committee
PDF September 3, 1936 Paper Memo on application to self-regulatory organization from Investment Bankers Conference Committee
PDF September 3, 1936 Paper Plan of the Investment Bankers Conference Committee to incorporate as the Investment Bankers Conference, Inc.
PDF January 26, 1937 Paper Minutes of meeting of the Governing Committee, Investment Bankers Conference, Inc.
PDF February 1, 2, 8 and 9, 1938 Paper Regulation of Over-the-Counter Markets – Hearings before the U.S. Senate Committee on Banking and Currency on S.3255
PDF June 25, 1938 Paper An Act to provide for the establishment of a mechanism of regulation among over-the-counter brokers and dealers (Maloney Act)
