PDF November 9, 1970 Paper Letter from Gordon Teach, NASD Board of Governors, to Donald Weeden, Weeden & Co., on exclusion of third market securities on NASDAQ
PDF January 8, 1971 Paper Letter from Orval DuBois, SEC Secretary to Robert W. Haack, New York Stock Exchange on eligibility of listed securities on NASDAQ
PDF February 19, 1971 Paper Letter from Morris A. Schapiro to U.S. Representative Emanuel Celler with complaint against NASD for NASDAQ exclusion
PDF January 17, 1972 Paper Letter from Anthony A. Barnett, Bunker Ramo to SEC Commissioner James Needham with report on NASDAQ
PDF May 27, 1971 Paper Letter from Gordon Macklin, NASD to SEC Chairman William J. Casey on unsafe and unsound practices of broker/dealers
PDF February 12, 1971 Paper Letter from Ralph Saul, American Stock Exchange to Orval DuBois, SEC on NASDAQ
PDF July 14, 1977 Paper Complaint letter from Gaston Shumate to SEC Chairman Harold Williams regarding NASD
PDF August 10, 1979 Paper Letter from John J. Phelan, Jr., New York Stock Exchange to Gordon Macklin, NASD on NASD participation in Intermarket Trading System (ITS)
PDF January 20, 1981 Paper Letter from John J. Phelan, Jr., New York Stock Exchange to SEC Chairman Harold Williams on NASD request for linkage between its Computer Assisted Execution System (CAES) and Intermarket Trading System (ITS)
PDF February 23, 1981 Paper Letter from U.S. Representative John Dingell to SEC Chairman Harold M. Williams urging the SEC to require ITS and NASDAQ to implement automated interface
PDF March 28, 1988 Paper Memo from U.S. House Subcommittee on Telecommunications and Finance on hearing on fairness and effectiveness of current arbitration process in broker-dealer/client disputes
PDF March 31, 1988 Paper Testimony of Stephen Brobeck, Consumer Federation of America to U.S. House Subcommittee on Telecommunications and Finance hearing on arbitration of broker-dealer/client disputes
PDF June 9, 1988 Paper Written statement of Joan Hunt Smith testifying before the Subcommittee on Telecommunications and Finance in the matter of arbitration
