PDF May 19, 1964 Paper Memo from Stan West to Edward C. Gray, New York Stock Exchange on SEC statistical requests re specialists’ activity
PDF November 30, 1965 Paper Memo from J. William O’Reilly of meeting with SEC staff concerning financing of specialist accounts
PDF November 24, 1965 Paper Memo to John Lesniewski from R.F. Burke, New York Stock Exchange requesting information for J. William O’Reilly’s presentation at the SEC and the Federal Reserve Board
PDF March 10, 1967 Paper Letter from American Stock Exchange to Robert Block, SEC Division of Trading and Markets requesting preliminary review of proposed Rule 10b-10
PDF May 19, 1967 Paper Letter from Irving M. Pollack, SEC Division of Trading and Markets to G. Keith Funston, New York Stock Exchange
PDF May 12 ,1967 Paper Letter from J. William O’Reilly, New York Stock Exchange to Eugene Rotberg, SEC on speed of sales
PDF April 21, 1967 Paper Letter from J. William O’Reilly, New York Stock Exchange to Irving M. Pollack, SEC on automation of surveillance of floor trading activities
PDF November 20, 1967 Paper Memorandum on Give-Ups: Alternative Courses of Action, from Irving M. Pollack, SEC Division of Trading and Markets, with Attachments: a) Practices and Procedures of Mutual Funds in Allocating Brokerage — a basis for enforcement proceedings, and b) Selection of an Appropriate Respondent
PDF February 19, 1968 Paper Ad Hoc Committee of the Western Pennsylvania Investment Industry Letter to SEC re Proposed Rule 10b-10
