Home > Papers > 1940s | Page 2

Papers

101 to 200 of 411 records

Page:

October 1, 1941: NASD News
image pdf (Courtesy FINRA)
October 6, 1941: Findings and Opinion of the SEC in the matter of the Rules of the New York Stock Exchange
image pdf (Courtesy of the National Archives and Records Administration)
October 16, 1941: Memo by Francis T. Greene of telephone call from Bruce Tuttle on Autocar Company Common Stock
transcript pdf (Courtesy of the National Archives and Records Administration)
October 27, 1941: SEC Release: Opinion of SEC General Counsel Chester Lane on circumstances of broker violation of anti-manipulation provisions of Securities Exchange Act
image pdf (Courtesy of FINRA)
November 1, 1941: Letter from Chief Justice Harlan F. Stone to Justice James Byrnes on practice of writing and circulating opinions among justices
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
November 13, 1941: Letter from SEC Chairman Edward Eicher to L.A. Moyer, U.S. Civil Service Commission requesting that the SEC be designated as a defense agency
transcript pdf (Courtesy of the National Archives and Records Administration)
November 13, 1941: Memo by Francis T. Greene of telephone conversation with Mr. Kramer
transcript pdf (Courtesy of the National Archives and Records Administration)
November 15, 1941: NASD News
image pdf (Courtesy FINRA)
December 4, 1941: Memo by Francis T. Greene of telephone call from Mr. Doolittle on short selling of Jacobs Aircraft Engine Common Stock
transcript pdf (Courtesy of the National Archives and Records Administration)
December 6, 1941: Memo from George S. Parlin to Francis T. Greene regarding secondary distribution of Jacobs Aircraft through Ritter and Company
transcript pdf (Courtesy of the National Archives and Records Administration)
December 31, 1941: The First Boston Corporation Report to Stockholders
image pdf (Courtesy of FINRA)
January 1, 1942: NASD News
image pdf (Courtesy FINRA)
February 13, 1942: Memo from Raymond Vernon to James A. Treanor, Jr. on summary of transactions in American Telephone and Telegraph Co. common stock in selected periods
transcript pdf (Courtesy of the National Archives and Records Administration)
February 15, 1942: NASD News
image pdf (Courtesy FINRA)
February 20, 1942: Memo to SEC Commission from John Hollands on program for periodic statistics and data regarding management investment companies
transcript pdf (Courtesy of National Archives and Records Administration)
February 24, 1942: Letter from Frank Scheffey, NASD to H.H. Dewar, Chairman, NASD Board of Governors on relationship between the District Committees and the National Board of Governors
transcript pdf (Courtesy FINRA)
February 25, 1942: Letter to Paul Frum from Francis Truslow with SEC report on investigation of J. Chester Cuppia and members of the New York Curb Exchange
image pdf (Courtesy of FINRA)
March 7, 1942: Letter from Murray Hanson, NASD to Orrin Wood, Estabrook & Company on proceeding against SEC on legality of underwriting and selling group agreements
transcript pdf (Courtesy FINRA)
April 15, 1942: NASD News
image pdf (Courtesy FINRA)
April 25, 1942: Letter from President Franklin D. Roosevelt to SEC Chairman Ganson Purcell
document pdf (Courtesy of Milton Kroll)
May 16, 1942: Minutes of the Meeting of the U.S. Securities and Exchange Commission
document pdf (Courtesy of Paul Gonson)
May 21, 1942: U.S. Securities and Exchange Commission Press Release on Adoption of Rule X-10B-5
document pdf (Courtesy of Paul Gonson)
May 25, 1942: Letter from Justice Robert H. Jackson to Chief Justice Harlan F. Stone on Wickard v. Filburn
image pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
May 26, 1942: Memo from Francis F. Lincoln to SEC Chairman on present position and activities of the Foreign Bondholders Protective Council, Inc.
transcript pdf (Courtesy of the National Archives and Records Administration)
June 15, 1942: NASD News
image pdf (Courtesy FINRA)
June 17, 1942: Memo to SEC Chairman Purcell and SEC Commissioner Healy from Harry Heller and Edward McCormick on stoppage of sales and payments
transcript pdf (Courtesy of National Archives and Records Administration)
June 30, 1942: Eighth Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1942: Supreme Court of the United States: Securities and Exchange Commission v. Chenery Corporation, et al. - Petition for Writ of Certiorari
image pdf (Courtesy of National Archives and Records Administration)
July 31, 1942: Letter from John L. Carey, American Institute of Accountants to AIA members and associates on demand for accountants in war agencies
image pdf (Courtesy of the American Institute of Certified Public Accountants)
August 1, 1942: NASD News
image pdf (Courtesy FINRA)
August 11, 1942: Memo from Woolvin Patten to James A. Treanor, Jr. on insider trades
transcript pdf (Courtesy of the National Archives and Records Administration)
August 14, 1942: Memo from Mr. Keenan to Mr. Treanor, Miss Stieg, Mr. Knudsen and Mr. Vernon on market disclosure rule
transcript pdf (Courtesy of the National Archives and Records Administration)
August 19, 1942: Reassignment of the Functions and Activities of Certain Divisions of the U.S. Securities and Exchange Commission
document pdf (Courtesy of Paul Gonson)
August 19, 1942: SEC Summary of Proposed Revision of Proxy Rules
transcript pdf (Courtesy of FINRA)
August 20, 1942: Letter from Treanor to Rep. Beiter on Proposed Rule to Prevent Dealers from buying/selling at prices bearing no reasonable relation to prevailing market prices
image pdf (Courtesy of the National Archives and Records Administration)
September 2, 1942: Letter from Henry R. Stern to SEC on proxy rules
transcript pdf (Courtesy of the National Archives and Records Administration)
September 9, 1942: Letter from M.J. Keena, New York Curb Exchange, to Milton V. Freeman, SEC, regarding suggested amendments to proxy rules (Regulation X-14)
image pdf (Courtesy of the National Archives and Records Administration)
September 12, 1942: Letter from Milton V. Freeman to M.J. Keena, New York Curb Exchange
transcript pdf (Courtesy of the National Archives and Records Administration)
September 12, 1942: Letter to Milton Freeman, SEC from General Electric Company on proposed amendments to proxy rules
image pdf (Courtesy of National Archives)
September 14, 1942: Letter from Edward A. LeRoy, Jr., Phoenix Securities Corporation, to Milton V. Freeman on proxy rules
transcript pdf (Courtesy of the National Archives and Records Administration)
September 14, 1942: Letter from Edward B. Twombly, Putney Twombly & Hall, to SEC General Counsel regarding amendments to proxy rules
image pdf (Courtesy of the National Archives and Records Administration)
September 14, 1942: Letter from Overseas Securities Co., Inc. to SEC, attention of Milton V. Freeman, regarding proposed draft of amendments to SEC proxy rules
image pdf (Courtesy of the National Archives and Records Administration)
September 14, 1942: Letter from Pullman Incorporated to Milton V. Freeman, SEC, regarding proposed draft of amendments to SEC proxy rules
image pdf (Courtesy of the National Archives and Records Administration)
September 17, 1942: Letter from P.L. West, New York Stock Exchange to Milton Freeman, SEC with comments on proposed revisions of proxy rules
transcript pdf (Courtesy FINRA)
September 21, 1942: Letter from Harry M. Wolfe to SEC, supporting amendments to SEC proxy rules
image pdf (Courtesy of the National Archives and Records Administration)
September 23, 1942: Letter from Calvin Philips, Jr. to SEC on proxy rules
transcript pdf (Courtesy of the National Archives and Records Administration)
September 23, 1942: Letter from U.S. Representative Lyle H. Boren to SEC Chairman Ganson Purcell on proposed Rule X-15C1-10
image pdf (Courtesy of the National Archives and Records Administration)
October 1942: Brief for the U.S. Securities and Exchange Commission, Samuel Okin v. SEC
document pdf (Courtesy of the estate of Nathan Sameth)
October 1, 1942: Letter from James A. Treanor, Jr. to Senator Tom Connolly
transcript pdf (Courtesy of the National Archives and Records Administration)
October Term 1942: Supplemental Portions of Transcript of Record, U.S Circuit Court of Appeals, American Power & Light Company and Electric Power & Light Corporation v. Securities and Exchange Commission (April 18, 1927 memo from Samuel W. Murphy to Frank A. Reid)
document pdf (Courtesy of Karl Smeltzer)
October 1942: Transcript of Record, U.S. Securities and Exchange Commission v. Samuel Okin
document pdf (Courtesy of the estate of Nathan Sameth)
October 2, 1942: Telegram from SEC Chairman Ganson Purcell to Emil Schram, New York Stock Exchange
image pdf (Courtesy of the National Archives and Records Administration)
October 5, 1942: Letter from Chief Justice Harlan F. Stone to Justice James Byrnes with recommendation of Milton Handler
transcript pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
October 10, 1942: Letter from Emil Schram, President, New York Stock Exchange, to SEC Chairman Ganson Purcell regarding proposed changes to proxy rules
image pdf (Courtesy of the National Archives and Records Administration)
October 12, 1942: Letter to SEC Chairman Ganson Purcell from Lewis Brown, Johns-Manville Corporation; Charles Garland, Alex. Brown & Sons; Edward Hopkinson, Drexel and Co.; Emil Schram, New York Stock Exchange; and Robert White, Union Carbide & Carbon Company with memorandum on proposed revision of proxy rules
image pdf (Courtesy of FINRA)
October 15, 1942: Letter from SEC Chairman Ganson Purcell to Emil Schram, New York Stock Exchange
transcript pdf (Courtesy of the National Archives and Records Administration)
November 1942: Complaint letter from farmer on contradictory government agricultural policies
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
November 1, 1942: NASD News
image pdf (Courtesy FINRA)
November 10, 1942: Letter from SEC Chairman Ganson Purcell to U.S. Representative Lyle Boren on SEC jurisdiction to regulate fraudulent trades
transcript pdf (Courtesy of the National Archives and Records Administration)
November 11, 1942: Letter to Frank Scheffey, NASD with report on SEC rebuttal testimony in Public Service Company of Indiana
transcript pdf (Courtesy FINRA)
November 16, 1942: Letter from L.J. Berry to Justice Robert Jackson on Supreme Court decision on wheat tax
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
November 17, 1942: Letter from Monroeville, Ohio farmer to Justice Robert Jackson asking for view on claim for reimbursement of penalty paid for excess wheat
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
November 17, 1942: Letter to Glore Forgan & Company on SEC review proceedings
transcript pdf (Courtesy FINRA)
November 18, 1942: Letter from Solicitor General Charles Fahy to Justice Robert Jackson requesting modifications in decision in Wickard v. Filburn
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
December 2, 1942: SEC Memo to all Regional Administrators and Division Directors on Board of Economic Warfare Projects
image pdf (Courtesy of the National Archives and Records Administration)
December 12, 1942: Letter from U.S. Representative Lyle H. Boren to SEC Chairman Ganson Purcell on proposed Rule X-15C1-10
image pdf (Courtesy of the National Archives and Records Administration)
December 17, 1942: Note from Justice Sherman Minton to Justice Robert Jackson on Wickard v. Filburn
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
December 18, 1942: Memorandum concerning Proxy Rules Promulgated by Securities and Exchange Commission
image pdf (Courtesy of FINRA)
December 18, 1942: SEC Release on Adoption of Revisions to Proxy Rules
image pdf (Courtesy of the National Archives and Records Administration)
December 18, 1942: SEC Release: Adoption of several revisions to proxy rules applicable to all solicitations after January 15, 1943
image pdf (Courtesy of FINRA)
December 21, 1942: CCH Dispatch Advance, Temporary Report: Rules Governing Solicitation of Proxies Revised
image pdf (Courtesy of FINRA)
December 21, 1942: Letter from Justice Robert Jackson to Justice Sherman Minton on Wickard v. Filburn
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
1943: Brief for the Plaintiff - Appellee, U.S. Securities and Exchange Commission v. Samuel Okin
document pdf (Courtesy of the estate of Nathan Sameth)
January 6, 1943: Letter from John Carey to American Institute of Accountants members and associates on occupation classification under Selective Service regulations
transcript pdf (Courtesy of the American Institute of Certified Public Accountants)
January 1, 1943: Letter from Purcell to Sen. Butler re Public Utility Holding Company Act, Section 11
image pdf (Courtesy of the National Archives and Records Administration)
January 16, 1943: Findings and Opinions of the SEC in the matter of The North American Company
image pdf (Harold H. Burton Papers, courtesy of Library of Congress)
January 23, 1943: Letter from Justice Felix Frankfurter to Chief Justice Harlan F. Stone on approval of Chenery opinion
image pdf (Harlan Fiske Stone Papers, courtesy Library of Congress)
January 23, 1943: Memo from Justice Harlan Stone to Justices Fred Vinson and Wiley Rutledge on American Gas and Electric Company v. SEC
transcript pdf (Frederick Moore Vinson Collection, University of Kentucky)
January 27, 1943: Note from Justice Robert Jackson to Justice Felix Frankfurter on SEC v. Chenery
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
January 27, 1943: Question from Justice Harlan Stone on history of Public Utility Holding Company Act of 1935 in regards to American Gas and Electric Company v. SEC
transcript pdf (Frederick Moore Vinson Collection, University of Kentucky)
January 28, 1943: Memorandum from Judge Harold M. Stephens, U.S. Court of Appeals on American Gas & Electric Co. v. SEC
image pdf (Wiley Rutledge Papers, courtesy Library of Congress)
January 29, 1943: Letter from Justice Felix Frankfurter to Justice Stanley Reed on SEC v. Chenery
transcript pdf (Stanley Forman Reed Collection, University of Kentucky)
January 29, 1943: Letter from Justice Stanley Reed to Justice Felix Frankfurter on SEC v. Chenery
transcript pdf (Stanley Forman Reed Collection, University of Kentucky)
January 30, 1943: Letter from Justice Robert Jackson to Justice Felix Frankfurter on SEC v. Chenery
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
February 1, 1943: Note from Justice Felix Frankfurter to Justice Stanley Reed on SEC v. Chenery
transcript pdf (Robert H. Jackson Papers, courtesy Library of Congress)
February 1943: Supreme Court of the United States: SEC vs. Chenery Corporation - Mr. Justice Black dissenting
image pdf (William O. Douglas Papers, courtesy Library of Congress)
February 1, 1943: Supreme Court of the United States: SEC vs. Chenery Corporation - Mr. Justice Frankfurter delivered the opinion of the Court
image pdf (William O. Douglas Papers, courtesy Library of Congress)
February 2, 1943: Memorandum from Justice Wiley Rutledge to Judge Harold M. Stephens on receipt of dissent in American Gas & Electric v. SEC
transcript pdf (Wiley Rutledge Papers, courtesy Library of Congress)
February 15, 1943: NASD News
image pdf (Courtesy FINRA)
March 1, 1943: Request to SEC Chairman Ganson Purcell from U.S. Representative John Taber for information on proxy regulation
transcript pdf (Courtesy of National Archives and Records Administration)
March 2, 1943: Letter from Sidney L. Schwartz, San Francisco Stock Exchange, to SEC Chairman Ganson Purcell regarding proxy regulation
image pdf (Courtesy of the National Archives and Records Administration)
March 10, 1943: Letter from SEC Chairman Ganson Purcell to Green Hackworth, Department of State on Canadian extradition treaty
transcript pdf (Courtesy of the National Archives and Records Administration)
March 13, 1943: Telegram to SEC Chairman Ganson Purcell
image pdf (Courtesy of the National Archives and Records Administration)
March 15, 1943: Reply to U.S. Representative John Taber from SEC Chairman Ganson Purcell on proxy rules
transcript pdf (Courtesy of National Archives and Records Administration)
March 18, 1943: Findings and Opinion of SEC in the matters of United Gas Improvement Company and Subsidiaries, and Philadelphia Electric Company
transcript pdf (Harold H. Burton Papers, courtesy Library of Congress)
May 10, 1943: "The Stock Exchange Today" - Remarks by Emil Schram, President, New York Stock Exchange, at a luncheon meeting of the Atlanta Rotary Club
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2010 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives. All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
May 13, 1943: Letter of Commendation from Major John R. Haas, Air Corps, on the work of Milton Kroll
document pdf (Courtesy of Milton Kroll)
May 19, 1943: Memorandum from U.S. Securities and Exchange Corporation Finance Division, Office of the General Counsel to Attorneys on the Staff re SEC v. Samuel Okin
document pdf (Courtesy of the estate of Nathan Sameth)
May 20, 1943: Letter from SEC Chairman Ganson Purcell to Green Hackworth, Department of State on objections to Canadian extradition treaty
transcript pdf (Courtesy of the National Archives and Records Administration)
June 1943: NASD News
image pdf (Courtesy FINRA)

101 to 200 of 411 records

Page:

Papers

Permission for Use