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 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 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
