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1960
Hawaii Omnibus Act (Public Law No. 86-624); Section 202 of IAA amended; Sections 2(a)(37), 6(a)(1) of ICA amended
document pdf (Government Records)
1960
Investment Advisers Act of 1940 Amendment (Public Law No. 86-750); Sections 202, 203, 204, 205, 206, 208, 209, 210(b), 211, 217 of IAA amended
document pdf (Government Records)
1960s (undated)
Letter from SEC Commissioner Jack M. Whitney II to Edwin Darby, Chicago Sun-Times
transcript pdf (Government Records)
1960
NASD Annual Report
image pdf (Courtesy FINRA)
1960
Postal Service (Public Law No. 86-507); Section 211 of IAA amended; Sections 8(e), 40(a) of ICA amended
document pdf (Government Records)
1960s
Rule 394 by Eugene Rotberg
document pdf (Courtesy of Eugene Rotberg)
1960 to 1964
Summary of Interpretations for Staff Use Only, U.S. Securities and Exchange Commission Division of Corporation Finance
document pdf (Courtesy of Richard Rowe)
March 1960
NASD News
image pdf (Courtesy FINRA)
March 9, 1960
Introduction by Joseph C. Woodle, Division of Corporation Finance, at Farewell Luncheon for Lawrence M. Greene
document pdf (Courtesy of Lawrence Greene)
April 19, 1960
Legal Implications of Economic Power - Gardiner C. Means
image pdf (Gardiner Means Papers, courtesy of the Franklin Delano Roosevelt Presidential Library)
May 3, 1960
New York State Attorney General Release on charges against Gervin Barrett for selling non-existent oil leases
image pdf (Courtesy of Orestes Mihaly)
May 19, 1960
New York State Attorney General Release on charge against Fred F. Hesse for forging signatures on Manufacturers Hanover Trust Company certificates
image pdf (Courtesy of Orestes Mihaly)
June 8, 1960
New York State Attorney General Release on charges against Robert Winterberger for stock fraud
image pdf (Courtesy of Orestes Mihaly)
June 30, 1960
26th Annual Report of the Securities and Exchange Commission

(Government Records)

July 15, 1960
SEC Release on Byron D. Woodside becoming SEC Commissioner
image pdf (Courtesy of the estate of Mollie B. Zion)
August 11, 1960
New York State Attorney General Release on charges against O.T.C. Enterprises, Inc. for "flying saucer" stock fraud (Note: The release is mis-dated 1970.)
image pdf (Courtesy of Orestes Mihaly)
August 25, 1960
New York State Attorney General Release on longer prison sentences and increased fines for "boiler room" operators
image pdf (Courtesy of Orestes Mihaly)
August 30, 1960
Accounting Research - Panel Discussion by Andrew Barr, SEC Chief Accountant at American Accounting Association
transcript pdf (AICPA Collection, University of Mississippi)
October 13, 1960
New York State Attorney General Release on bar against Albert Harris
image pdf (Courtesy of Orestes Mihaly)
October 13, 1960
The Key Man in Broadening Shareownership - Remarks by G. Keith Funston, President, New York Stock Exchange
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
October 25, 1960
Accounting and Auditing Problems with Particular Reference to New Registrants with the Securities and Exchange Commission - Address by Andrew Barr, SEC Chief Accountant
transcript pdf (AICPA Collection, University of Mississippi)
November 16, 1960
Memo from Mollie Zion to Mildred Hartley on the library of Manuel Cohen
transcript pdf (Courtesy of the estate of Mollie B. Zion)
December 1960
NASD News
image pdf (Courtesy FINRA)
December 1960
Report on Regulatory Agencies to the President-Elect by James M. Landis
document pdf (Courtesy of Justin Feldman)
December 8, 1960
New York State Attorney General Release charging fraud against author of "How I Made $2,000,000 in the Stock Market"
image pdf (Courtesy of Orestes Mihaly)
December 23, 1960
Memo from Walter P. North to SEC Chairman Edward N. Gadsby on establishing a quorum as less than a majority of the Commission
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
1961
NASD Annual Report
image pdf (Courtesy FINRA)
February 5, 1961
Letter from Senator J. Allen Frear, Jr. to President Kennedy on his nomination to the SEC Commission
image jpg (Courtesy of the John F. Kennedy Presidential Library)
February 10, 1961
Letter from Chief Judge Harvey Johnsen to Judge Martin Van Oosterhout and Judge Harry Blackmun on Dyer v. SEC
transcript pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
February 13, 1961
Letter from Judge Martin Van Oosterhout to Chief Judge Harvey Johnsen in concurrence of opinion in Dyer v. SEC
transcript pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
February 17, 1961
Question from Judge Harry Blackmun to Chief Judge Harvey Johnsen on Dyer v. SEC
transcript pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
February 20, 1961
Letter from Chief Judge Harvey Johnsen, U.S. Court of Appeals to Judge Harry Blackmun on Dyer v. Securities and Exchange Commission
image pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
February 24, 1961
Memo from Walter W. Heller to President Kennedy on "Blue-Ribbon" Committee on Full Recovery
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
March 12, 1961
SEC Release on Manuel Cohen receiving National Civil Service League Career Service Award
image pdf (Courtesy of the estate of Mollie B. Zion)
March 14, 1961
Letter from J. Truman Bidwell, New York Stock Exchange to President Kennedy in thanks for March 13th meeting
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
March 17, 1961
Letter from G. Keith Funston, New York Stock Exchange to President Kennedy on investing advertisements
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
March 17, 1961
Memo from Walter W. Heller to President Kennedy on the economics of the second-stage recovery program
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
March 21, 1961
Memo from Edward H. Emerson to Philip A. Loomis, Jr. on "our speculative market"
image pdf (Courtesy of the National Archives and Records Administration)
April 1961
NASD News
image pdf (Courtesy FINRA)
April 25, 1961
Letter from President Kennedy appointing Manuel F. Cohen, Director, SEC Division of Corporation Finance to the Council for the Administrative Conference of the U.S.
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
April 27, 1961
Message from the White House to Congress on reorganization of the Securities and Exchange Commission
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
April 28, 1961
Letter from SEC Chairman William L. Cary to David E. Bell, Bureau of the Budget on SEC reorganization
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
May 4, 1961
Oral Argument in the Matter of Re, Re and Sagarese
document pdf (Courtesy of David Silver)
May 16, 1961
Letter from R.J. Reynolds to SEC asking for investigation of rigged markets in new issues of over-counter stocks
transcript pdf (Courtesy of the National Archives and Records Administration)
May 18, 1961
Memo from Ezra Weiss to William D. Moran on May 16, 1961 Letter from R.J. Reynolds
transcript pdf (Courtesy of the National Archives and Records Administration)
June 2, 1961
Statement of SEC Chairman William L. Cary before the Securities Subcommittee of the Senate Committee on Banking and Currency on Reorganization Plan No. 1 of 1961
image pdf (Government Records)
June 15, 1961
Letter from Chief Judge Harvey Johnsen on determination in Dyer v. SEC
transcript pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
June 19, 1961
Letter from Judge Harvey Blackmun to Chief Judge Harvey Johnsen with opinion in Dyer v. SEC
transcript pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
June 27, 1961
Letter from William A. Ader, Ader's Dress Shoppe, to the SEC regarding insider trading
image pdf (Courtesy of the National Archives and Records Administration)
June 28, 1961
Official Report of Proceedings before the Securities and Exchange Commission in the matter of the Japanese American Depository Conference
image pdf (Courtesy of Michael Mann)
June 28, 1961
Statement of William H. Claflin III, National Association of Securities Dealers, Inc. before U.S. House Commerce and Finance Subcommittee on proposed SEC study of national securities exchanges and associations
image pdf (Courtesy of National Archives and Records Administration)
June 30, 1961
27th Annual Report of the Securities and Exchange Commission

(Government Records)

July 3, 1961
Letter from Philip A. Loomis, Jr. to Wiliam A. Ader, Ader's Dress Shoppe
transcript pdf (Courtesy of the National Archives and Records Administration)
July 5, 1961
Letter from William A. Ader, Ader's Dress Shoppe, to Philip A. Loomis, Jr. regarding insider trading
image pdf (Courtesy of the National Archives and Records Administration)
July 6, 1961
Memo from SEC Chairman William L. Cary to the White House, asking that Manuel F. Cohen be appointed SEC Commissioner
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
August 1961
NASD News
image pdf (Courtesy FINRA)
August 2, 1961
Statement of SEC Chairman William L. Cary before Subcommittee No. 2 of the House Committee on Banking and Currency on HR 6672
image pdf (Government Records)
August 4, 1961
Memo from Walter W. Heller to President Kennedy on the current spurt in the stock market
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
August 9, 1961
Letter from SEC Chairman William L. Cary to Phillip S. Hughes, Bureau of the Budget on S.2135
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
August 11, 1961
Letter from SEC Chairman William L. Cary to Ralph Dungan, White House on proposed investigation of the over-the-counter market and exchange practices
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
August 15, 1961
Letter from SEC Chairman William L. Cary to James M. Landis, Bureau of the Budget on S.2135
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
September 14, 1961
Memo to Philip Loomis from Philip Kendrick, SEC Boston Regional Administrator on investigation of securities markets
transcript pdf (Courtesy of National Archives and Records Administration)
September 18, 1961
Memo to Philip Loomis from W.J. Crow, Washington Regional Administrator on investigation of securities markets
image pdf (Courtesy of National Archives and Records Administration)
September 20, 1961
Memo to Thomas Hart from J. Edwin Corbett on investigation of securities markets
transcript pdf (Courtesy of National Archives and Records Administration)
September 21, 1961
Memo to Philip Loomis from Llewellyn Young, New York Regional Administrator on investigation of securities markets
image pdf (Courtesy of National Archives and Records Administration)
September 21, 1961
Top Secret Security Clearance for Mollie B. Zion, Secretary, SEC Division of Corporation Finance
image pdf (Courtesy of the estate of Mollie B. Zion)
September 30, 1961
Twenty Years of Service - National Association of Investment Companies/Investment Company Institute Annual Report
image pdf (Courtesy of the Investment Company Institute)
October 30, 1961
Memo from Frederick Moss and Eugene Rotberg to U.S. Securities and Exchange Commission Staff Attorneys
document pdf (Courtesy of Paul Gonson)
November 8, 1961
In the Matter of Cady, Roberts & Co., U.S. Securities and Exchange Commission
image pdf (Courtesy of the Library of Congress)
November 17, 1961
"Policing the Securities Industry: More Regulation - Or More Responsibility?" - Remarks by G. Keith Funston, President, New York Stock Exchange before the New England Council
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.)
December 6, 1961
Letter from G. Keith Funston, New York Stock Exchange to SEC Chairman William L. Cary about upcoming investigations for the Special Study
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 14, 1961
Memo from Willard K. Vanderbeck, New York Stock Exchange on visit by David Silver and Otto Lowe, Jr.
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 21, 1961
The Administration of the Investment Company Act
image pdf (Courtesy of National Archives and Records Administration)
December 27, 1961
Memo from J. William O'Reilly, New York Stock Exchange on call from Bob Bretz, SEC
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 27, 1961
Memo from Willard K. Vanderbeck, New York Stock Exchange on visit of Milton Cohen
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
Early 1960s
Instructional Manual, The Securities Act of 1933, prepared by Irene Duffy, Newton Feldman and George Parlin, New York Regional Office, U.S. Securities and Exchange Commission
document pdf (Government Records)
1962
NASD Annual Report
image pdf (Courtesy FINRA)
January 9, 1962
Letter from U.S. Senator J. Glenn Beall to SEC Chairman William L. Cary requesting information on fraudulent activities of savings and loans associations
transcript pdf (Government Records)
January 15, 1962
Letter from Everett Reese, The City National Bank & Trust Company of Columbus, to SEC Chairman William L. Cary regarding directorship
image pdf (Courtesy of the National Archives and Records Administration)
January 18, 1962
Business Combinations and Other Financial Reporting Problems - Address by Andrew Barr, SEC Chief Accountant
transcript pdf (AICPA Collection, University of Mississippi)
February 6, 1962
Memo from SEC Chairman William L. Cary to President Kennedy on the January 6th Staff Report on the investigation of the American Stock Exchange
transcript pdf (Courtesy of the John F. Kennedy Presidential Library)
February 8, 1962
Memo from SEC Chairman William L. Cary to Philip A. Loomis, Jr., SEC Division of Trading and Exchanges, on NASD listing requirements
transcript pdf (Courtesy of the National Archives and Records Administration)
February 13, 1962
Reply from Everett Reese, The City National Bank & Trust Company of Columbus, to SEC Chairman William L. Cary regarding denial of directorship
image pdf (Courtesy of the National Archives and Records Administration)
February 16, 1962
Cover letter for questionnaire from Milton Cohen to New York Stock Exchange specialists
image pdf
March 6, 1962
Accounting Problems of First-Time Registration Statements - Address by Sydney Orbach, Chief Accountant, SEC Division of Corporation Finance to Georgia Society of CPAs
transcript pdf (AICPA Collection, University of Mississippi)
March 6, 1962
Letter from David Ferber, U.S. Securities and Exchange Commission to Judges, U.S. Court of Appeals for the Second Circuit on SEC v. Capital Gains Research Bureau, Inc. and Harry P. Schwarzmann
image pdf (Thurgood Marshall Papers, courtesy Library of Congress)
March 6, 1962
Letter from Milton H. Cohen, Director, Special Study of Securities Markets, to Broker-Dealers requesting information
transcript pdf (Government Records)
March 12, 1962
Memo from Mollie Zion to Manuel Cohen on turnover among attorneys in the Division of Corporation Finance
transcript pdf (Courtesy of the estate of Mollie B. Zion)
April 9, 1962
A New Look at Management Responsibility - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
April 16, 1962
Letter from Milton H. Cohen, Director of the Special Study of Securities Markets, introducing questionnaire to firms on selection, training and supervision of salesmen
image pdf (Government Records)
April 23, 1962
Staff orientation to the SEC's work, presented by Mollie Zion
transcript pdf (Courtesy of the estate of Mollie B. Zion)
April 25, 1962
Report on Conference on the Wharton School Study between the SEC and the Wharton School
transcript pdf (Government Records)
May 1962
"Our Securities Markets _ Some S.E.C. Problems and Techniques" - by Paul Windels, Jr., New York Law Forum
image pdf (Courtesy of Paul Windels, Jr., with permission of the New York Law School)
May 2, 1962
Official Report of Proceedings before the Securities and Exchange Commission in the matter of Special Study of Securities Markets
image pdf (Courtesy of National Archives and Records Administration)
May 3, 1962
Letter from Richard H. Paul to Wallace Fulton
image pdf
May 10, 1962
Memo from J. William O'Reilly, New York Stock Exchange on telephone meeting with Fred Siesel
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
May 14, 1962
Memorandum from Donald L. Benson to Wallace Fulton
image pdf
May 17, 1962
Cover letter for questionnaire from Milton Cohen
image pdf
May 22, 1962
Opening Statement by Mr. Avery Rockefeller, Jr., Chairman of the Board of Governors, National Association of Securities Dealers, Inc.
image pdf
May 24, 1962
Follow-up letter from Wallace Fulton regarding SEC questionnaire
image pdf

1 to 100 of 757 records

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