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November 6, 1963
Letter from SEC Chairman William L. Cary to G. Keith Funston, New York Stock Exchange on upcoming testimony on floor trading
image pdf (Courtesy of New York Stock Exchange Archives)
November 7, 1963
Memo from James B. Halpern to Charles E. Rickershauser, Jr. regarding suggested 7(f) of the proxy rules
transcript pdf (Courtesy of the National Archives and Records Administration)
November 12, 1963
Memo from Willard K. Vanderbeck, New York Stock Exchange on meeting with SEC concerning the Special Study Report
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 13, 1963
Letter to U.S. Representative Oren Harris from Harry Wade, Advisers Fund, Inc. on proposed exemption of bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
November 13, 1963
Letter to U.S. Representative Oren Harris from Stanford Hyman, Investors Associates, Inc. opposing exemption of bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
November 15, 1963
Letter from G. Keith Funston, New York Stock Exchange to U.S. Representative Oren Harris on analysis of Exchange rules
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 15, 1963
Letter from Senator B. Everett Jordan to SEC Chairman William L. Cary requesting SEC assistance in Bobby Baker investigation
image pdf (Courtesy of the National Archives and Records Administration)
November 20, 1963
Statement of G. Keith Funston, New York Stock Exchange, before the Subcommittee on Commerce and Finance of the House Interstate and Foreign Commerce Committee on HR. 6789, 6793 and S.1642
image pdf (Government Records)
November 21, 1963
Letter from SEC Chairman William L. Cary to Senator B. Everett Jordan
transcript pdf (Courtesy of the National Archives and Records Administration)
November 25, 1963
Memo from Walter W. Heller to President Johnson on the impact of Presidents on stock prices
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
November 26, 1963
Memo from Walter W. Heller to President Johnson suggesting call to Keith Funston
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
November 29, 1963
Letter to U.S. Representative Oren Harris from Jesse Wolcott, Federal Deposit Insurance Corporation on bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
December 1963
R.A. Holman & Co., Inc. v. Securities and Exchange Commission: Statement of the Defendants
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
December 2, 1963
Memorandum on Selling Practices of the American Securities Industry
image pdf
December 10, 1963
Letter from U.S. Representative Oren Harris to SEC Chairman William L. Cary asking the scope of the SEC's audit of registered broker-dealers
transcript pdf (Government Records)
December 19, 1963
Report to SEC on study of structure of investment company industry: summary of conclusions and recommendations
image pdf (Courtesy of National Archives and Records Administration)
1964
NASD Annual Report
image pdf (Courtesy FINRA)
1964
NASD Notices to Members
image pdf (Courtesy of FINRA)
January 16, 1964
Report of the Committee on Federal Employment: The President's Commission on the Status of Women (excerpt)
image pdf (Courtesy of Library of Congress)
January 17, 1964
Letter to U.S. Representative Harley Staggers from G. Keith Funston, New York Stock Exchange on members' connections with non-member business organizations
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
January 23, 1964
Letter from G. Keith Funston, New York Stock Exchange to President Johnson regarding capital gains and dividend taxation
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 1964
NASD News
image pdf (Courtesy FINRA)
February 1964
New York Stock Exchange Study of Floor Trading

(Courtesy of the National Archives and Records Administration)

February 12, 1964
Memorandum from Paul Welch to Marc White
image pdf
March 15, 1964
Letter from Warren S. Loud to SEC regarding "market riggers"
transcript pdf (Courtesy of the National Archives and Records Administration)
March 16, 1964
Extension of remarks of U.S. Representative Eugene J. Keogh to amend the Internal Revenue Code on municipal industrial development bonds
image pdf (Courtesy of National Archives and Records Administration)
March 16, 1964
Letter from Robert Wideman to SEC Chairman William L. Cary in support of the proposal to abolish floor trading
image pdf (Courtesy of the National Archives and Records Administration)
March 18, 1964
Letter from Arthur W. Gregory, Jr. to SEC, opposing the proposal to abolish floor trading
image pdf (Courtesy of the National Archives and Records Administration)
March 18, 1964
Letter from SEC Chairman William L. Cary to G. Keith Funston and Henry M. Watts, New York Stock Exchange on use of EDP equipment
image pdf (Courtesy of New York Stock Exchange Archives)
March 20, 1964
Letter from G. Keith Funston, New York Stock Exchange to Kenneth O'Donnell on upcoming meeting with President Johnson
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
March 24, 1964
Memo from David Silver to Ralph Saul, SEC Division of Trading and Markets, on New York Stock Exchange floor trading rules
transcript pdf (Courtesy of the National Archives and Records Administration)
March 26, 1964
Letter to U.S. Representative Oren Harris from William McChesney Martin, Jr., Federal Reserve on bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
March 26, 1964
Memo from Walter W. Heller to President Johnson on Secretary of the Treasury Dillon and stock prices
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
April 8, 1964
Letter from Robert H. Mundheim, Duke University, to Manuel F. Cohen
image pdf (Government Records)
April 16, 1964
Letter to Orval DuBois, SEC From G. Keith Funston, New York Stock Exchange in opposition to proposed changes to financial statements
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
April 21, 1964
Memo from Carl Schneider on Codification of Securities Laws
document pdf (Courtesy of Carl Schneider)
April 27, 1964
Report to the President of the United States from the Task Force on Promoting Increased Foreign Investment in U.S. Corporate Securities and Increased Foreign Financing for U.S. Corporations Operating Abroad
image pdf (Government Records)
May 1964
R.A. Holman & Co., Inc. v. Securities and Exchange Commission: Brief for Appellees
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
May 19, 1964
Memo from Stan West to Edward C. Gray, New York Stock Exchange on SEC statistical requests re specialists' activity
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 1964
Mutual Fund Retailing: Aspects of Market Structure and Dealer Operations, by Meyer Eisenberg and Dennis J. Lehr
document pdf (Courtesy of Paul Gonson)
June 9, 1964
Statement of Henry Harfield, First National City Bank of New York before the House Committee on Interstate and Foreign Commerce on bank-sponsored mutual funds
image pdf (Courtesy of the National Archives and Records Administration)
June 22, 1964
Memo from Ralph A. Dungan to President Johnson on preparation of Hamer Budge for Senate confirmation hearing
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
June 23, 1964
Government - Industry Relations: Securities and Exchange Commission and Corporate Securities Regulation - Address by SEC Commissioner Byron Woodside to National Association of Accountants
transcript pdf (AICPA Collection, University of Mississippi)
June 29, 1964
Consolidated Financial Statements: Question of Valuation - Discussion prepared for Arbeitskreis der Wirtschaftsprufungs-Aktiengesellschaften by Andrew Barr, SEC Chief Accountant
transcript pdf (AICPA Collection, University of Mississippi)
June 30, 1964
30th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 13 ,1964
Letter from G. Keith Funston, New York Stock Exchange to President Johnson on SEC appointments of Manuel Cohen and Francis Wheat
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
July 14, 1964
Letter from John S.R. Shad, E.F. Hutton & Co. to President Johnson on appointment of Manuel Cohen as SEC Chairman
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
July 16, 1964
Memo from Walter W. Heller to President Johnson on impact of candidacy of Barry Goldwater on the stock market
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
August 4, 1964
Memo from Walter W. Heller to President Johnson on Barry Goldwater's impact on the stock market
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
August 20, 1964
Amendments of the Securities Act of 1933
image pdf (Courtesy of the Library of Congress)
August 21, 1964
SEC Memorandum to Staff on President Johnson's Comments upon Signing S.1642 - Securities Acts Amendments of 1964
image pdf (Government Records)
August 26, 1964
Memo from Marc White to Robert Haack on arbitration
image pdf (Courtesy FINRA)
September 1, 1964
Current Developments at the SEC - Address by SEC Chairman Manuel Cohen to American Accounting Association
transcript pdf (AICPA Collection, University of Mississippi)
September 1964
NASD News
image pdf (Courtesy FINRA)
September 14, 1964
Memo from David Silver to SEC Chairman Cohen re Mr. Funston's Charges of Commission Staff Misconduct
image pdf (Courtesy of David Silver)
September 24, 1964
New York Stock Exchange Press Release: Specialist System
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 1964
NASD News - Special Report
image pdf (Courtesy FINRA)
October 1964
SEC Telephone Directory
image pdf (Courtesy of Morton Koeppel)
October 9, 1964
SEC 30th Anniversary Celebration Invitation
image pdf (Courtesy of the estate of Mollie B. Zion)
October 9, 1964
SEC 30th Anniversary Dinner Guest List
image pdf (Courtesy of Morton Koeppel)
November 27, 1964
Memo from William T. Dolan to Ralph S. Saul, SEC Division of Trading and Markets on purchase by a corporation of its own shares
transcript pdf (Courtesy of Fred Siesel)
December 1964
Memo for Justice William Brennan on SEC v. American Trailer Rentals Co.
image pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
December 1964
SEC Employee Bulletin
image pdf (Courtesy of the estate of Mollie B. Zion)
December 14, 1964
Memo from Jeffrey D. Bauman on legislative history of the problem of requiring issuers of foreign securities traded over-the-counter to comply with disclosure requirements of the Securities Exchange Act of 1934
image pdf (Courtesy of the National Archives and Records Administration)
1965
NASD Annual Report
image pdf (Courtesy FINRA)
1965
NASD Notices to Members
image pdf (Courtesy of FINRA)
January 1965
Regulation of the Indian Stock Markets: A Preliminary Survey, by Norman S. Poser and David Silver
image pdf (Courtesy of Norman S. Poser)
January 28, 1965
Letter from Edmund H. Worthy, SEC Division of Corporation Finance to Colonal B.F. Chadwick on Chicago Rock Island and Pacific Railroad Co.
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 5, 1965
Memo from Otto Eckstein to President Johnson: Is the Stock Market Too High?
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 8, 1965
Loring R. Hoover v. George E. Allen: Supplemental Memorandum of the Securities and Exchange Commission, Amicus Curiae
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
February 8, 1965
Memo to Mr. Stone from Mr. Javaras on advance refunding of state and local tax exempt obligations
transcript pdf (Courtesy of National Archives and Records Administration)
February 10, 1965
SEC staff poem to Manuel Cohen during his recuperation
image pdf (Courtesy of the estate of Mollie B. Zion)
February 25, 1965
Letter from Jack Valenti to Gaston Shumate on remarks made by Philip Loomis, Jr.
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 25, 1965
Protest to Secretary of the Treasury C. Douglas Dillon from Joseph Hamrick, Commonwealth of Virginia on statement on use of tax-exempt industrial bonds
image pdf (Courtesy of National Archives and Records Administration)
March 10, 1965
Letter to U.S. Representative Thomas Curtis from Secretary of the Treasury C. Douglas Dillon on municipal industrial development bonds
transcript pdf (Courtesy of National Archives and Records Administration)
March 12, 1965
Memo to SEC Commission from Office of the General Counsel with references in Congressional hearings pertinent to Investment Company Report
transcript pdf (Courtesy of National Archives and Records Administration)
March 16, 1965
Memo to SEC Commission from Philip Loomis with summary of report on mutual funds
transcript pdf (Courtesy of National Archives and Records Administration)
March 23, 1965
Reply to Joseph Hamrick, Commonwealth of Virginia from Stanley Surrey, Department of the Treasury
image pdf (Courtesy of National Archives and Records Administration)
March 24, 1965
Memo by Maxwell Kaufman on trends in financial disclosures of foreign companies
image pdf (Courtesy of the National Archives and Records Administration)
March 26, 1965
Memo from Edmund P. Shevlin to Abraham Zwerling on legislative and administrative history of the status of foreign securities under the reporting, registration, proxy and insider trading provisions of the Securities Exchange Act
image pdf (Courtesy of the National Archives and Records Administration)
March 31, 1965
Letter to U.S. Senator Mike Mansfield from Secretary of the Treasury C. Douglas Dillon on municipal industrial development bonds
transcript pdf (Courtesy of National Archives and Records Administration)
April 1965
The Constitution, the Courts, the Citizens - Draft article by Justice William O. Douglas for Think magazine
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
April 2, 1965
Rebuttal to Stanley Surrey, Department of the Treasury from Joseph Hamrick, Commonwealth of Virginia
image pdf (Courtesy of National Archives and Records Administration)
April 26, 1965
Memo from Office of General Counsel to Commission re “Mutual Fund Report to Congress: The Give-up Problem – Use of Give-ups to reduce Sales Loads”
image pdf (Courtesy of the National Archives and Records Administration)
April 29, 1965
"Trends in Financial Reporting" - Address by SEC Chief Accountant Andrew Barr before the 19th Annual Conference of Accountants
image pdf (Courtesy of Stephen A. Zeff)
April 30, 1965
Memo from Silver to Budge attaching Excerpts of Testimony re Give-ups
image pdf (Courtesy of the National Archives and Records Administration)
May 1965
Heli-Coil Corporation v. Reginald Webster: Brief for the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
May 1965
NASD News
image pdf (Courtesy FINRA)
May 1965
Report of Special Committee on Opinions of the Accounting Principles Board (Seidman Committee)
image pdf (Courtesy of the American Institute of Certified Public Accountants)
May 4, 1965
Memo from Bill Moyers to Marvin Watson on upcoming New York Stock Exchange visit with President Johnson
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
May 28, 1965
Letter from Mollie Zion to Manuel Cohen, advising him to take care of his health
transcript pdf (Courtesy of the estate of Mollie B. Zion)
June 2, 1965
Letter and Statement from SEC Chairman Manuel F. Cohen to U.S. Representative Wright Patman on HR 7372
image pdf (Government Records)
June 10, 1965
Memo from David Silver, Special Counsel to Director, Division of Trading and Markets, to Solomon Freedman, Director, SEC Division of Corporate Regulation, re Proxy Statement of United Funds
image pdf (Courtesy of David Silver)
June 15, 1965
Memo from Gardner Ackley to President Johnson on the stock market
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
June 17, 1965
Letter to SEC Chairman Manuel Cohen from G. Keith Funston, New York Stock Exchange on response to rumor concerning President Johnson's health
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
June 25, 1965
Letter from John O'Brien, Investor Diversified Services, Inc. to President Johnson asking him to address "Mr. Average Investor"
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
June 29, 1965
Letter to President Lyndon Johnson from G. Keith Funston, New York Stock Exchange on results of census of shareowners
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
June 30, 1965
31st Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1965
John V. Holmes v. William L. Cary: Brief of Defendants - Appellees
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 1965
Securities and Exchange Commission v. Charles Y. Higashi: Brief of SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)

201 to 300 of 757 records

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