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301 to 400 of 757 records

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July 14, 1965
Letter to SEC Chairman Manuel Cohen from G. Keith Funston, New York Stock Exchange with draft handbook for directors
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
August 1965
NASD News
image pdf (Courtesy FINRA)
August 12, 1965
Memo from Gardner Ackley to President Johnson on the Dow-Jones Index
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
August 26, 1965
Letter from David M. Satz, Jr. with death certificate of Constantino Vincent Riccardi
image pdf (Courtesy of the National Archives and Records Administration)
September 1965
John V. Holmes v. Jay Eddy, Securities and Exchange Commission: On Petition for a Writ of Certiorari, Memorandum for the Respondents
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
September 2, 1965
Acknowledgement to SEC Chairman Manuel Cohen from G. Keith Funston, New York Stock Exchange for comments on draft handbook for directors
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
September 27, 1965
Letter from U.S. Senator Harrison A. Williams, Jr. to SEC Chairman Manuel F. Cohen
image pdf (Government Records)
October 5, 1965
Memo to Irving Pollack, SEC Division of Trading and Markets, from Edmund Worthy on preliminary proxy statements
transcript pdf (Courtesy of National Archives and Records Administration)
October 20, 1965
Letter to SEC Chairman Manuel Cohen from G. Keith Funston, New York Stock Exchange with revised draft handbook for directors
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
October 21, 1965
Memo from Robert Haack to NASD members on questionnaire
image pdf (Courtesy FINRA)
November 1965
Securities and Exchange Commission v. Arthur Andersen & Co. and McGladrey, Hansen, Dunn, Flatley & Pressler: Brief of the SEC in Support of the Motion to Dismiss or Summarily Affirm the Above Appeals
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
November 1965
The Corporate Director and The Investing Public - New York Stock Exchange (Part I Exchange Viewpoints)
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
November 18, 1965
A Review of the Commission's Administrative Policies Relating to Financial Reporting under the Securities Acts - Address by SEC Commissioner Byron Woodside to 4th Annual Accounting Forum of Hayden, Stone, Inc.
transcript pdf (AICPA Collection, University of Mississippi)
November 19, 1965
The Changing Economy: Corporations Big and Small - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
November 23, 1965
Memo from Joe Califano to Henry Wilson and Mike Manatos on SEC Chairman Cohen's mutual funds legislative proposal
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
November 24, 1965
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
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
November 30, 1965
Memo from J. William O'Reilly of meeting with SEC staff concerning financing of specialist accounts
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
December 1965
A Preliminary Survey of the Brazilian Stock Markets, by Norman S. Poser and Allan R. Roth
image pdf (Courtesy of Norman S. Poser)
December 6, 1965
Notes on SEC v. New England Electric System et al.
image pdf (William O. Douglas Papers, courtesy Library of Congress)
December 17, 1965
Letter from Carl L. Shipley to SEC Chairman Manuel F. Cohen on S 2704
image pdf (Government Records)
December 30, 1965
Memorandum of Conference between Dorsey Richardson and Robert L. Augenblick, Investment Company Institute, and Manuel F. Cohen and Leonard M. Leiman, SEC
image pdf (Government Records)
1966
Bank Holding Company Act of 1956 Amendments (Public Law No. 89-485); Section 202 of IAA amended; Section 3(c) of ICA amended
document pdf (Government Records)
1966
NASD Annual Report
image pdf (Courtesy FINRA)
January 1966
NASD News
image pdf (Courtesy FINRA)
1966
NASD Notices to Members
image pdf (Courtesy of FINRA)
January 3, 1966
Letter from Louis Wolfson to Justice Abe Fortas on appointment as adviser to Wolfson Family Foundation
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
January 8, 1966
Letter from SEC Chairman Manuel Cohen to Richard Walbert, NASD on current "hot issue" period
transcript pdf (Courtesy FINRA)
January 10, 1966
Acceptance letter from Justice Abe Fortas to Wolfson Family Foundation
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
February 1, 1966
Letter from Wolfson Family Foundation to Justice Abe Fortas outlining role of adviser
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
February 14, 1966
Memo to SEC Commission from Division of Corporation Regulation on disclosure in proxy statements and prospectuses of practices followed by investment companies
transcript pdf (Courtesy of National Archives and Records Administration)
March 3, 1966
Memo from Rotberg to Commission re NYSE Rate Structure
image pdf (Courtesy of the National Archives and Records Administration)
March 12, 1966
Protest Letter from J.E. Hammers to the U.S. Congress
image pdf (Government Records)
April 1966
Suggestions to Justice William O. Douglas on SEC v. New England Electric System et al.
image pdf (William O. Douglas Papers, courtesy Library of Congress)
April 15, 1966
Notice to dissent from Justice John M. Harlan on SEC v. New England Electric System
image pdf (Earl Warren Papers, courtesy Library of Congress)
April 19, 1966
Note from Justice William Brennan to Justice William O. Douglas on SEC v. New England Electric System et al.
image pdf (William O. Douglas Papers, courtesy Library of Congress)
April 29, 1966
Securities and Exchange Commission, Plaintiff against Texas Gulf Sulphur Company, et al. - Trial Memorandum for defendant Francis G. Coates
image pdf (Courtesy of Donald Strauber)
April 1966
Memo to SEC Commission from Division of Corporation Regulation on different methods used by investment companies to compute fees
image pdf (Courtesy of National Archives and Records Administration)
May 1966
R.A. Holman & Co., Inc. against Securities and Exchange Commission: Brief of the Securities and Exchange Commission
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
May 2, 1966
Memo from Buck to Budge re “Commission’s position on give-ups and volume discount of brokerage commissions”
image pdf (Courtesy of the National Archives and Records Administration)
May 11, 1966
Memo from Mollie Zion to Manuel Cohen on the oversight of the library and file system assembled by Mr. Cohen
transcript pdf (Courtesy of the estate of Mollie B. Zion)
May 16, 1966
Memo from Harry Pollack to Chairman Cohen denying upgrade of Mollie Zion's position
transcript pdf (Courtesy of the estate of Mollie B. Zion)
May 17, 1966
Memo from Dorsey Richardson to ICI Board of Governors concerning New York Times articles
image pdf (Government Records)
May 19, 1966
Letter from Cohen to Funston re proposed changes in commission rate structure of the NYSE
image pdf (Courtesy of the National Archives and Records Administration)
May 19, 1966
Memo to James Dowd, SEC Boston Regional Ofice from Sydney Mendelsohn, Division of Corporate Regulation on speculative or "hedge" funds
transcript pdf (Courtesy of National Archives and Records Administration)
May 19, 1966
Memo to Llewellyn Young, SEC New York Regional Ofice from Sydney Mendelsohn, Division of Corporate Regulation on speculative or "hedge" funds
transcript pdf (Courtesy of National Archives and Records Administration)
May 19, 1966
Memo to Thomas Hart, SEC Chicago Regional Ofice from Sydney Mendelsohn, Division of Corporate Regulation on speculative or "hedge" funds
transcript pdf (Courtesy of National Archives and Records Administration)
June 21, 1966
Letter from G. Keith Funston, New York Stock Exchange to SEC Chairman Manuel Cohen
document pdf (Courtesy of Eugene Rotberg)
May 23, 1966
Memo from Pollack to Commission re Give-up rules
image pdf (Courtesy of the National Archives and Records Administration)
May 24, 1966
Address by SEC Chairman Manuel Cohen to 19th Annual Conference of Financial Analysts Federation
transcript pdf (AICPA Collection, University of Mississippi)
May 24, 1966
Address by SEC Chairman Manuel F. Cohen before the 19th Annual Conference of the Financial Analysts Federation
image pdf (Courtesy of Stephen A. Zeff)
June 1966
NASD News
image pdf (Courtesy FINRA)
June 22, 1966
Memo from Edward Gilleran on cooperative arrangements with New York Stock Exchange and other exchanges
image pdf (Courtesy FINRA)
June 28, 1966
Address by SEC Chairman Manuel F. Cohen before American Society of Corporate Secretaries
document pdf (Courtesy of William Joseph)
June 30, 1966
32nd Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
June 30, 1966
Letter from Irving M. Pollack, SEC Division of Trading and Markets, to John Birmingham, New York Stock Exchange
document pdf (Courtesy of Eugene Rotberg)
June 30, 1966
Memo from Gardner Ackley to President Johnson on the stock market decline
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
July 5, 1966
Securities and Exchange Commission, Plaintiff against Texas Gulf Sulphur Company, et al. - Post-Trial Memorandum for defendant Francis G. Coates
image pdf (Courtesy of Donald Strauber)
July 28, 1966
Letter from Phelan to Rotberg re Give-ups
image pdf (Courtesy of the National Archives and Records Administration)
August 8, 1966
Letter from John Birmingham, New York Stock Exchange, to Irving M. Pollack, SEC Division of Trading and Markets
document pdf (Courtesy of Eugene Rotberg)
August 8, 1966
Texas Gulf Sulphur Opinion (Judge Bonsal)
document pdf (Courtesy of Roberta Karmel)
August 22, 1966
Letter of Protest from C.H. Goppert to President Johnson on government spending
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
August 30, 1966
Office of General Counsel Memo re Texas Gulf Sulphur Opinion
document pdf (Courtesy of Roberta Karmel)
August 30, 1966
Office of General Counsel Memo re Texas Gulf Sulphur Opinion
document pdf (Courtesy of Roberta Karmel)
September 20, 1966
Letter from SEC Chairman Manuel Cohen to G. Keith Funston, New York Stock Exchange
document pdf (Courtesy of Eugene Rotberg)
October 5, 1966
Address by SEC Chairman Manuel F. Cohen before the 79th AICPA Annual Meeting
image pdf (Courtesy of Stephen A. Zeff)
October 17, 1966
Memo from William E. Becker on AID request for the SEC to receive S.U. Durrani of Pakistan
image pdf (Courtesy of the National Archives and Records Administration)
October 28, 1966
Memorandum from David L. Ratner to SEC Chairman Manuel Cohen on Takeover Bid Legislation
document pdf (Courtesy of David Ratner)
November 16, 1966
Institutional Investing and the Securities Markets - Remarks of 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.)
November 17, 1966
Statement of NASD to the SEC regarding "Public Policy Implications of Investment Company Growth"
image pdf (Government Records)
November 18, 1966
Letter from Robert L. Augenblick and Statement of Francis S. Williams, Investment Company Institute, to the SEC regarding draft of report on mutual funds
image pdf (Government Records)
November 29, 1966
Memo from Joe Califano to President Johnson on the upcoming release of the SEC report on mutual fund regulation
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
November 30, 1966
Letter to SEC from N.J. Kiraly, Ohio Deputy Commissioner of Securities on Investment Company Act of 1940
image pdf (Courtesy of National Archives and Records Administration)
December 1966
NASD News - Special Report
image pdf (Courtesy FINRA)
December 2, 1966
Report of the U.S. Securities and Exchange Commission on the Public Policy Implications of Investment Company Growth; Report of the Committee on Interstate and Foreign Commerce, Pursuant to Section 136 of the Legislative Reorganization Act of 1946, Public

(Government Records)

December 13, 1966
Memo from Doug Nobles to Marvin Watson on appointment of Ezra Weiss to SEC
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
December 15, 1966
Letter from Justice Abe Fortas returning payment to Wolfson Family Foundation
transcript pdf (Earl Warren Papers, courtesy Library of Congress)
December 20, 1966
Protest Letter from Jim Hammers to President Lyndon B. Johnson
image pdf (Government Records)
December 23, 1966
Letter to Daniel V. McNamee, Jr., First Albany Corporation from Philip Loomis, SEC General Counsel on mutual fund report
image pdf (Courtesy of National Archives and Records Administration)
1967
NASD Annual Report
image pdf (Courtesy FINRA)
1967
NASD Notices to Members
image pdf (Courtesy of FINRA)
1967-1999
Securities and Exchange Commission Fort Worth District Office
image pdf (Courtesy of James H. Perry)
1967-1999
Staff of the Fort Worth Regional Office 1967 – 1999
image PDF
January 4, 1967
Letter from Norman Poser, SEC Assistant Director, to Donald L. Calvin, New York Stock Exchange
document pdf (Courtesy of Eugene Rotberg)
January 4, 1967
Letter from SEC Chairman Manuel F. Cohen to Malcolm S. Forbes
image pdf (Government Records)
January 13, 1967
"Development of Accounting Principles in the United States" - Carman G. Blough, Berkeley Symposium on the Foundations of Financial Accounting
image pdf (Courtesy of George P. Fritz)
January 13, 1967
Letter from Louis Loss to SEC Chairman Manuel Cohen introducing H.U. Beg of Pakistan
image pdf (Courtesy of the National Archives and Records Administration)
January 18, 1967
Letter from Robert M. Bishop, New York Stock Exchange, to Norman Poser, SEC
document pdf (Courtesy of Eugene Rotberg)
January 19, 1967
Letter from Irving Pollack, SEC to Robert W. Haack, NASD on draft amendments
transcript pdf (Courtesy FINRA)
January 20, 1967
Letter from Robert W. Haack, National Association of Securities Dealers, to Irving M. Pollack, SEC Division of Trading and Markets
document pdf (Courtesy of Eugene Rotberg)
January 23, 1967
Letter from Lewis D. Gilbert to U.S. Senator John J. Sparkman
image pdf (Government Records)
January 24, 1967
Economic Power in the United States - Adolf Berle
transcript pdf (Adolf A. Berle, Jr. Papers, courtesy Franklin Delano Roosevelt Presidential Library)
January 26, 1967
The SEC and the Accounting Profession - Yesterday and Today - Address by Andrew Barr, SEC Chief Accountant to Banking, Corporation and Business Law Section of New York State Bar Association
transcript pdf (AICPA Collection, University of Mississippi)
January 31, 1967
"The S.E.C. Investment Company Report: An Emphatic Rebuttal," by Vance, Sanders & Company, Inc.
image pdf (Government Records)
February 1, 1967
Letter from Hart Wood, Hawaii Mutual Fund Association, to U.S. Representative Spark M. Matsunaga protesting "Public Policy Implications of Investment Company Growth"
image pdf (Government Records)
February 4, 1967
Protest Graphic from Jim Hammers to Mr. Cohen
image pdf (Government Records)
February 11, 1967
Memo from W.M. Blackburn. Jr. with list of Wall Street equity representatives invited to the White House on February 10th
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 16, 1967
"Business, Government and Regulation" - Address by SEC Chairman Manuel F. Cohen before the National Industrial Conference Board
image pdf (Courtesy of Stephen A. Zeff)
February 17, 1967
Letter from William Donaldson, Donaldson Lufkin & Jenrette, Inc. to Charles Ravenel, Office of the Secretary of the Treasury following February 10th White House meeting
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 17, 1967
Letter from William Rudd, Investment Planning Corporation, to President Johnson praising the White House for not backing the SEC report on mutual funds
transcript pdf (Courtesy of the Lyndon B. Johnson Library and Museum)
February 17, 1967
Letter to U.S. Senator Fred Harris from Charles Thompson, Westamerica Securities, Inc. on SEC investment companies report
image pdf (Courtesy of National Archives and Records Administration)

301 to 400 of 757 records

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