Related Archives

• Audio

March 29, 2005

• Conversation

Developments in the Mutual Fund Industry – Money Market Funds

• Audio

March 22, 2005

• Conversation

Developments in the Mutual Fund Industry – Insurance Companies

• Audio

March 8, 2005

• Conversation

Developments in the Mutual Fund Industry – Banks

• Audio

September 7, 2003

• Oral History

Meyer Eisenberg

• Audio

June 12, 2007

• Oral History

Alan Rosenblat

• PDF

August 1962

• Paper

A Study of Mutual Funds, Prepared for the Securities and Exchange Commission by the Wharton School of Finance and Commerce (The Wharton Report)

• PDF

June 30, 1955

• Paper

Confidential Letter from Lewis H. Kimmel, The Brookings Institution, to the SEC Division of Corporation Finance on criteria for study of share ownership

• PDF

May 29, 1958

• Paper

Agreement between The Wharton School and the SEC for a study on investment companies

• PDF

April 25, 1962

• Paper

Report on Conference on the Wharton School Study between the SEC and the Wharton School

• PDF

July 9, 1962

• Paper

Letter from Irwin Friend, Securities Research Unit, The Wharton School to the SEC transmitting the mutual funds study

• PDF

July 25, 1962

• Paper

Letter from Carl L. Shipley, Chairman of the Republican State Committee for the District of Columbia, to Timothy J. Reardon, Jr., The White House, in protest of the study of mutual funds

• PDF

September 29, 1962

• Paper

SEC Order directing investigation and study and designating officers to take testimony in the matter of investment companies registered under the Investment Company Act of 1940

• PDF

April 8, 1964

• Paper

Letter from Robert H. Mundheim, Duke University, to Manuel F. Cohen

• PDF

June 1964

• Paper

Mutual Fund Retailing: Aspects of Market Structure and Dealer Operations, by Meyer Eisenberg and Dennis J. Lehr

• PDF

June 2, 1965

• Paper

Letter and Statement from SEC Chairman Manuel F. Cohen to U.S. Representative Wright Patman on HR 7372

• PDF

November 23, 1965

• Paper

Memo from Joe Califano to Henry Wilson and Mike Manatos on SEC Chairman Cohen’s mutual funds legislative proposal

• PDF

December 17, 1965

• Paper

Letter from Carl L. Shipley to SEC Chairman Manuel F. Cohen on S 2704

• PDF

December 30, 1965

• Paper

Memorandum of Conference between Dorsey Richardson and Robert L. Augenblick, Investment Company Institute, and Manuel F. Cohen and Leonard M. Leiman, SEC

• PDF

May 17, 1966

• Paper

Memo from Dorsey Richardson to ICI Board of Governors concerning New York Times articles

• PDF

November 17, 1966

• Paper

Statement of NASD to the SEC regarding “Public Policy Implications of Investment Company Growth”

• PDF

November 18, 1966

• Paper

Letter from Robert L. Augenblick and Statement of Francis S. Williams, Investment Company Institute, to the SEC regarding draft of report on mutual funds

• PDF

November 29, 1966

• Paper

Memo from Joe Califano to President Johnson on the upcoming release of the SEC report on mutual fund regulation

• PDF

December 2, 1966

• Paper

Report of the U.S. Securities and Exchange Commission on the Public Policy Implications of Investment Company Growth; Report of the Committee on Interstate and Foreign Commerce, Pursuant to Section 136 of the Legislative Reorganization Act of 1946, Public

• PDF

December 20, 1966

• Paper

Protest Letter from Jim Hammers to President Lyndon B. Johnson