Related Archives

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May 19, 1964

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Memo from Stan West to Edward C. Gray, New York Stock Exchange on SEC statistical requests re specialists’ activity

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September 24, 1964

• News Release

New York Stock Exchange Press Release: Specialist System

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November 30, 1965

• Paper

Memo from J. William O’Reilly of meeting with SEC staff concerning financing of specialist accounts

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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

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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

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May 19, 1967

• Paper

Letter from Irving M. Pollack, SEC Division of Trading and Markets to G. Keith Funston, New York Stock Exchange

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May 12 ,1967

• Paper

Letter from J. William O’Reilly, New York Stock Exchange to Eugene Rotberg, SEC on speed of sales

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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

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January 29, 1968

• Paper

R. Frazier Potts Letter to SEC re Proposed Rule 10b-10

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January 29, 1968

• Paper

William J. McCrann Letter to SEC re Proposed Rule 10b-10

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January 29, 1968

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Lion G. Mason Letter to SEC re Proposed Rule 10b-10

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November 20, 1967

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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

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February 3, 1968

• Paper

J.L. Trimble Letter to SEC re Proposed Rule 10b-10

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February 2, 1968

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Carroll H. Payne Letter re Proposed Rule 10b-10

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February 1, 1968

• Paper

Gaston A. Shumate Letter to SEC re Proposed Rule 10b-10

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February 1, 1968

• Paper

Eugene H. Killen Letter to SEC re Proposed Rule 10b-10

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February 1, 1968

• Paper

Ralph S. Heath Letter to SEC re Proposed Rule 10b-10

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February 1, 1968

• Paper

G. Shelby Friedrichs Letter to SEC re Proposed Rule 10b-10

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January 31, 1968

• Paper

Henry E. Lewis Letter to SEC re Proposed Rule 10b-10

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January 31, 1968

• Paper

Investors Research Fund, Inc. Letter to SEC re Proposed Rule 10b-10

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January 31, 1968

• Paper

Fred J. Chemidlin, Jr. Letter to SEC re Proposed Rule 10b-10

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January 30, 1968

• Paper

Marshall A. Lewis Letter to SEC re Proposed Rule 10b-10

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February 19, 1968

• Paper

Ronald Cramer Letter to SEC re Proposed Rule 10b-10

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February 19, 1968

• Paper

Ad Hoc Committee of the Western Pennsylvania Investment Industry Letter to SEC re Proposed Rule 10b-10