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June 3, 1976
Memo from Secretary of Commerce Elliott Richardson to the President with recommended initiative on questionable payments abroad
transcript pdf (Elliott Richardson Papers, courtesy Library of Congress)
June 4, 1976
Memo from Ed Schmults to Bill Seidman on decision memorandum to the President on questionable corporate payments abroad
transcript pdf (Elliott Richardson Papers, courtesy Library of Congress)
June 7-8, 1976
"Disclosure - The Name of the Game," Address by SEC Commissioner John R. Evans to 30th Western Regional Conference Bank Administration Institute
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 7, 1976
Acknowledgement letter to U.S. Representative Patsy Mink from Charles Leppert, Jr. for Marilyn Brown recommendation
image pdf (Courtesy Gerald R. Ford Presidential Library)
June 7, 1976
Letter from SEC Chairman Roderick M. Hills to President Ford with the 1975 Securities Investor Protection Corporation report
image pdf (Courtesy of the Gerald R. Ford Library)
June 8, 1976
Letter to the Board of Directors, New York Stock Exchange from Edward A. Morris
image pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
June 8, 1976
Memo from Elliott Richardson to L. William Seidman and Brent Scowcroft on questionable corporate payments abroad
transcript pdf (Elliott Richardson Papers, courtesy Library of Congress)
June 11, 1976
Acknowledgement letter to Marilyn Brown from Jeanne Holm
image pdf (Courtesy Gerald R. Ford Presidential Library)
June 11, 1976
Letter from Secretary of Commerce Elliot Richardson to Senator William Proxmire on proposed legislation concerning questionable corporate payments abroad
image pdf (Elliot Richardson Papers, courtesy of the Library of Congress)
June 14, 1976
White House Release: Statement by the President on questionable corporate payments abroad
transcript pdf (Elliott Richardson Papers, courtesy Library of Congress)
June 15, 1976
Letter to President Ford from Lucille Shriver, The National Federation of Business and Professional Women's Clubs, Inc. in support of Marilyn Brown's SEC candidacy
image pdf (Courtesy Gerald R. Ford Presidential Library)
June 15, 1976
Petition of Arthur Andersen and Co. before the Securities and Exchange Commission
image pdf (Courtesy of Robert J. Sack and Darden School, University of Virginia)
June 16, 1976
Letter from SEC Chairman Roderick M. Hills to Elliott L. Richardson, Secretary of Commerce, questioning White House criticism of SEC on questionable corporate payments
transcript pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
June 17, 1976
Letter from Secretary of Commerce Elliot Richardson to SEC Chairman Roderick Hills on SEC enforcement in regards to questionable foreign payments
image pdf (Elliot Richardson Papers, courtesy of the Library of Congress)
June 21, 1976
Address by SEC Chairman Roderick M. Hills to the American Enterprise Institute
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 21, 1976
Letter from SEC Chairman Roderick M. Hills to Robert E. Hampton, U.S. Civil Service Commission, requesting GS-16 classification for James Foster
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
June 24, 1976
Letter from SEC Chairman Roderick M. Hills to President Ford on "classification creep" at the SEC
image pdf (Courtesy of the Gerald R. Ford Library)
June 29, 1976
Letter from SEC Chairman Roderick M. Hills to U.S. Representative John E. Moss requesting House-SEC cooperation in assessing voluntary corporate disclosure of foreign payments and practices
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 30, 1976
42nd Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
June 30, 1976
Address by SEC Chairman Roderick M. Hills to the New York Law Journal
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 1976
K. Jay Holdsworth and Dona S. Holdsworth v. Kline D. Strong: Brief of the SEC, Amicus Curiae
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 1, 1976
Letter from Senator Harrison A. Williams, Jr. to SEC Chairman Roderick M. Hills on SEC support for legislation of enforcement of activities of foreign investors
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
July 8, 1976
Letter from I.W. Burnham II, Securities Industry Association, to SEC Chairman Roderick Hills on multiple cycle trading of options
document pdf (Courtesy of the estate of John Evans)
July 9, 1976
Acknowledgement letter to Lucille Shriver from Douglas Bennett for Marilyn Brown recommendation
image pdf (Courtesy Gerald R. Ford Presidential Library)
July 16, 1976
Memo to SEC Commission from Division of Investment Management on public hearings concerning appropriateness of mutual fund assets used to finance distribution expenses
image pdf (Courtesy of National Archives and Records Administration)
July 19, 1976
Letter to Speaker of the House Carl Albert from A. Emmet Stephenson, Jr. in opposition to amendments to Investment Advisors Act
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 21, 1976
Memo to Douglas Bennett from Jeanne Holm on status of SEC and Consumer Product Safety Commission appointments
image pdf (Courtesy Gerald R. Ford Presidential Library)
July 23, 1976
WPPSS News Release: Financing Assured for Two WPPSS Nuclear Power Projects
image pdf (Courtesy of Washington State Archives)
July 26, 1976
Letter to A. Emmet Stephenson, Jr. from Speaker of the House Carl Albert regarding Investment Advisors Act Amendments
transcript pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
August 2, 1976
Memo from Andy Rothman to SEC Chairman Hills with status report on nomination of Mr. Delaney and Mr. Shirk
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
August 3, 1976
Letter from William M. Batten, Chairman and Chief Executive Officer, New York Stock Exchange to SEC Chairman Roderick Hills
document pdf (Courtesy of Roderick Hills)
August 9, 1976
Memo from Stanley J. Sigel to Federal Reserve Govenor Partee on issues to be raised in SEC meeting
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
August 10, 1976
Arthur Andersen & Co. v. SEC: Memorandum of the SEC in Opposition to Plaintiff's Motion
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
August 10, 1976
Letter from Edward W. Wedbush, Wedbush Noble Cooke, Inc. to SEC Chairman Roderick M. Hills on options trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 10, 1976
Report from David B. Humphrey to Federal Reserve Governor Partee on studies bearing on the usefulness of disclosing bank "nonperforming" loan data
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
August 16, 1976
Letter to U.S. Representative Al Ullman from Burton Berry favoring municipal bond legislation
image pdf (Courtesy of National Archives and Records Administration)
August 22, 1976
Letter to U.S. Representative Al Ullman from Donald Fry favoring municipal bond legislation
image pdf (Courtesy of National Archives and Records Administration)
August 23, 1976
Letter from A.A. Sommer, Jr., Chairman of the Advisory Committee on Corporate Disclosure, to SEC Chairman Roderick M. Hills
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
August 23, 1976
Letter from SEC Chairman Roderick M. Hills to James T. Lynn, Office of Management and Budget, on SEC supplemental budget request
transcript pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
August 24, 1976
Independent Audit Committees - New York Stock Exchange Research Report
transcript pdf (All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
August 25, 1976
WPPSS News Release: Cost Estimates Revised on Five Nuclear Power Plants
image pdf (Courtesy of Washington State Archives)
August 26, 1976
Letter to U.S. Representative John Martin from Bruce Mills on tax reform
image pdf (Courtesy of National Archives and Records Administration)
August 27, 1976
Financial Accounting Foundation and Financial Accounting Standards Board Statement of Position in Accounting Series Release No. 193 before SEC
image pdf (JT Ball Collection, University of Mississippi)
August 27, 1976
Letter from Alan Walls, Department of Treasury to Stanley Sporkin, SEC Director of Enforcement on disclosure of currency law violations
image pdf (Courtesy of the National Archives and Records Administration)
August 31, 1976
Statement of Richard Kezer, President of The Dealer Bank Association, before the Subcommittee on Consumer Protection and Finance of the House Committee on Interstate and Foreign Commerce, on H.R. 15205 - the Municipal Securities Full Disclosure Act of 1976
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 31, 1976
Statement of The Honorable Robert A. Gerard, Assistant Secretary of the Treasury, before the Subcommittee on Consumer Protection and Finance, House Committee on Interstate and Foreign Commerce, on H.R. 15205 - the Municipal Securities Full Disclosure Act o
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 2, 1976
Letter to U.S. Representative Al Ullman from Myrtle Brickman on capital gains tax reduction
transcript pdf (Courtesy of National Archives and Records Administration)
September 3, 1976
Letter from William F. Batten, New York Stock Exchange, to Chief Executive Officers seeking comments on proposal for audit committees
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
September 7, 1976
Letter to U.S. Representative Al Ullman from Reynolds Securities, Inc. favoring capital gains tax reform
image pdf (Courtesy of National Archives and Records Administration)
September 9, 1976
Letter to Donald Fry from U.S. Representative Al Ullman on tax-exempt interest
transcript pdf (Courtesy of National Archives and Records Administration)
September 9, 1976
Letter to U.S. Representative Al Ullman from David Atkinson on tax reform
image pdf (Courtesy of National Archives and Records Administration)
September 10, 1976
Letter from SEC Chairman Roderick M. Hills to William M. Batten, New York Stock Exchange on proposal for audit committees
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
September 13, 1976
Letter to U.S. Representative Al Ullman from Robert Mackie, Security Traders Association of New York opposing changes to capital gains tax
image pdf (Courtesy of National Archives and Records Administration)
September 14, 1976
Letter from Stanley Sporkin, SEC to Alan Walls, Department of the Treasury designating Stuart Allen as liaison on currency cases
transcript pdf (Courtesy of the National Archives and Records Administration)
September 16, 1976
Memo from SEC Office of Public Affairs to the Commission on Proxmire Foreign Payments Bill
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
September 20, 1976
Address by SEC Chairman Roderick M. Hills to the North American Securities Administrators Association Annual Convention
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 21, 1976
Statement of the Honorable Roderick M. Hills, SEC Chairman, before the Subcommittee on Consumer Protection and Finance of the House of Representatives Committee on Interstate and Foreign Commerce
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 22, 1976
Testimony of the American Institute of Certified Public Accountants on H.R. 15481 before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, U.S. House of Representatives
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 24, 1976
Letter from the National Market Advisory Board to the U.S. Securities and Exchange Commission re In House Agency Cross Transactions in Listed Securities by Exchange Members
document pdf (Courtesy of George Simon)
September 24, 1976
Letter to U.S. Representative Al Ullman from Robert Hutchins opposing changes to capital gains tax
image pdf (Courtesy of National Archives and Records Administration)
September 27, 1976
Memo to SEC Commission from Division of Corporation Finance on proposals to integrate disclosure about management
image pdf (Courtesy of National Archives)
September 30, 1976
Address by SEC Chairman Roderick M. Hills to the Investment Association of New York
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 30, 1976
Letter from Milton V. Freeman to SEC Chairman Roderick M. Hills on ethics
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
October 1976
Conclusions and Recommendations of Federal Regulation and Regulatory Reform - Report by the Subcommittee on Oversight and Investigations of the House Committee on Interstate and Foreign Commerce (Moss Subcommittee)
transcript pdf (AICPA Collection, University of Mississippi)
October 4, 1976
Arthur Andersen & Co. v. SEC: Memorandum of the SEC in Support of Its Motion for Summary Judgment or, alternatively, to Dismiss
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
October 5, 1976
"Of Boycotts and Bribery, and Corporate Responsibility," Address by SEC Commissioner John R. Evans to Seminar on Regulation of U.S. International Companies, International Management and Development Institute
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 5, 1976
Memo from SEC Commissioner John R. Evans to Harvey Pitt, Andy Klein and Tony Snodgrass on presentations on municipal securities underwriters liability
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 7, 1976
Telegram from Richard B. Sellars, Chairman of the Board, Johnson & Johnson, to William M. Batten, Chairman and CEO, New York Stock Exchange, opposing requirement of Audit Committees composed entirely of non-employee directors
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 12, 1976
Letter from Gerald Tellefsen, Booz Allen & Hamilton to Facilities and Systems Committee, Chicago Board Options Exchange with draft overview of systems trends in the securities industry
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
October 12, 1976
Press release from Senator William Proxmire on failure of SEC to reduce paperwork burden on small business firms
transcript pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
October 14, 1976
Letter from SEC Chairman Roderick M. Hills to President Ford on consumer representation guidelines
image pdf (Courtesy of the Gerald R. Ford Library)
October 14, 1976
Letter from SEC Chairman Roderick M. Hills to Senator William Proxmire on paperwork reduction
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
October 14, 1976
Memo from Robert Craft to SEC Chairman Roderick M. Hills on Saudi Arabian request for assistance
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
October 14, 1976
SEC release urging joint SEC-Congressional initiative to reduce paperwork burden
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
October 27, 1976
Letter from Securities Law Committee, Federal Bar Association to SEC Chairman Roderick M. Hills protesting the proposed abolishment of the SEC Office of Opinions and Review
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 29, 1976
"Responsibilities and Liabilities for Municipal Offerings," Remarks by SEC Commissioner John R. Evans to Public Finance Conference, Securities Industry Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 8, 1976
Letter from SEC Chairman Roderick M. Hills to Lewis H. Young, Business Week, protesting article on SEC enforcement
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
November 15, 1976
Letter from SEC Chairman Roderick M. Hills to U.S. Representative John Moss on study of Federal regulation and regulatory reform
image pdf (Roderick Hills Papers, Courtesy of the Gerald R. Ford Library)
November 16, 1976
Letter from Joseph Sullivan, Chicago Board Options Exchange to Robert Plotkin, Federal Reserve requesting intepretation or adoption of an amendment to the specialist's account provisions of Regulations T and U
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
November 18, 1976
Remarks by Bryce N. Harlow before the U.S. Independent Telephone Association
transcript pdf (Courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
November 19, 1976
Letter from SEC Chairman Roderick M. Hills to President Ford on energy conservation
image pdf (Courtesy of the Gerald R. Ford Library)
November 23, 1976
"An Optimist's View of the New York Stock Exchange" - Remarks by William M. Batten, New York Stock Exchange at a joint luncheon of the Deadline Club and the Financial Writers Association
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
November 23, 1976
Mailgram of Text of Letter from Richard B. Sellars, Chairman of Finance Committee, Johnson & Johnson, to William M. Batten, Chairman, New York Stock Exchange, on Audit Committee requirements
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 30, 1976
Democratic Study Group Special Report: Reform in the House of Representatives
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
December 1976
Summary of the Accounting Establishment - Subcommittee on Reports, Accounting and Management of Senate Committee on Government Operations (Metcalf Committee)
transcript pdf (AICPA Collection, University of Mississippi)
December 3, 1976
"SEC's Role in Municipal Fiscal Crises," Address by SEC Commissioner John R. Evans to the National Institute: Freedom from Fiscal Fiasco, American Bar Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 3, 1976
Memo from Lee Ponton to Bob Barr with functional description of CBOE Trading Procedure Department
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
December 3, 1976
Thomas B. ("Bert") Lance Information Concerning - U.S. Department of Justice, Federal Bureau of Investigation
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
December 22, 1976
Draft letter from Chicago Board Options Exchange to SEC Commission on CBOE's preparation for put trading
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
December 23, 1976
Letter from Robert Milne, Boyd Patterson & Co. to Hamilton Jordan recommending Marilyn V. Brown for SEC Chairman
image pdf (Courtesy of the Jimmy Carter Library and Museum)
December 27, 1976
Draft statement of Joseph Sullivan, Chicago Board Options Exchange regarding Federal Reserve Board margin proposal
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
December 28, 1976
Memorandum and Letter regarding address by SEC Commissioner John R. Evans to be given to the American Bankers Association Trust Division Conference
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 28, 1976
Postcript letter from Robert Milne, Boyd Patterson & Co. to Hamilton Jordan concerning Marilyn V. Brown for SEC Chairman
image pdf (Courtesy of the Jimmy Carter Library and Museum)
December 30, 1976
Letter from Gerald White, The Financial Analysts Federation to Hamilton Jordan supporting Marilyn V. Brown for SEC
image pdf (Courtesy of the Jimmy Carter Library and Museum)
December 31, 1976
Letter from Robert Wade to Hamilton Jordan supporting Marilyn Brown for SEC
image pdf (Courtesy of the Jimmy Carter Library and Museum)
December 31, 1976
Report from the National Market Advisory Board to Congress The Possible Need for Modifications of the Scheme of Self Regulation in the Securities Industry so as to Adapt it to a National Market System
document pdf (Courtesy of George Simon)
1976
Report on National Laws Penalizing Bribery
image pdf (Courtesy of the National Archives and Records Administration)
1976
Survey of Articles Relating to Corporate Bribery in Periodicals during 1976
image pdf (Courtesy of the National Archives and Records Administration)
1977
NASD Annual Report
image pdf (Courtesy FINRA)
1977
NASD Notices to Members

(Courtesy of FINRA)

901 to 1000 of 1578 records

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