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1501 to 1578 of 1578 records

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July 1979
Women Appointed by President Carter and Confirmed by the Senate
image pdf (Courtesy of Jimmy Carter Presidential Library)
July 2, 1979
Letter from George P. Stamas to SEC Commissioner John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
July 3, 1979
Memo from the Division of Enforcement to the Commission Regarding the Delinquent Reports Program
document pdf (Courtesy of Roberta Karmel)
July 3, 1979
Memo from the Division of Enforcement to the Commission Regarding the Delinquent Reports Program
document pdf (Courtesy of Roberta Karmel)
July 12, 1979
Letter from Andrew Klein, SEC to William M. Batten, New York Stock Exchange, Inc. on implementation of Options Study recommendations
transcript pdf (Courtesy of the National Archives and Records Administration)
July 12, 1979
Letter from James Schropp, SEC to Howard Phillips re SEC v. Haswell
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
July 17, 1979
"Regulatory Reform: Government Renewal or Rout?" - Remarks by SEC Commissioner Roberta S. Karmel to American Assembly of Collegiate Schools of Business
image pdf (Government Records)
July 26, 1979
"National Market System Developments: Change at the Exchange" - Remarks by William M. Batten, Chairman, New York Stock Exchange, Inc. at the 12th Annual Investment Workshop, Financial Analysts Federation
transcript 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.)
August 7, 1979
Letter from Kenneth Rosenblum, Midwest Stock Exchange, to Andrew Klein, SEC Division of Market Regulation, reporting progress in meeting SEC Act Release 15575 recommendations
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 10, 1979
Brief for the United States on Writ of Certiorari to the U.S. Court of Appeals, Vincent F. Chiarella v. United States of America

(Courtesy of the Library of Congress)

August 10, 1979
Chiarella Government Brief Supreme Court
document pdf (Courtesy of Donna Nagy)
August 10, 1979
Letter from John J. Phelan, Jr., New York Stock Exchange to Gordon Macklin, NASD on NASD participation in Intermarket Trading System (ITS)
image pdf (Courtesy of the National Archives and Records Administration)
August 14, 1979
"Implementation of the Foreign Corrupt Practices Act: An Intersection of Law and Management" - Address by SEC Chairman Harold M. Williams to Section of Business, Banking and Corporation Law, American Bar Association
transcript pdf (Courtesy of the estate of John R. Evans)
August 23, 1979
Letter to U.S. Representative Mickey Edwards from E. Paul Bowerman in support of dividends reinvestment bill
transcript pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
September 1979
Peter E. Aaron v. Securities and Exchange Commission: On Petition for Writ of Certiorari
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
September 12, 1979
Memo from the Office of General Counsel and Division of Enforcement to the Commission on the American Law Institute (ALI) Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
September 12, 1979
Memo from the Office of General Counsel and Division of Enforcement to the Commission on the American Law Institute (ALI) Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
September 13, 1979
Letter from SEC Commissioner John Evans to Senator William Proxmire on the SEC's relationship with the bank regulatory agencies
document pdf (Courtesy of the estate of John Evans)
September 14, 1979
"The Tension Between the First Amendment and the Federal Securities Laws" - Remarks by SEC Commissioner Roberta S. Karmel to the Greater New York Lawyers Division, American Friends of the Hebrew University
image pdf (Government Records)
September 18, 1979
"Auditors' Responsibilities and the Public Interest" - Address by SEC Chairman Harold M. Williams to the Texas Society of Certified Public Accountants
image pdf (Government Records)
September 19, 1979
Improvements Needed in the SEC's Efforts to Establish a National Securities Market - Report by the U.S. Comptroller General
image pdf (Courtesy of the Library of Congress)
September 19, 1979
Memo from Beverly to Phil Loomis Regarding American Law Institute (ALI) Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
September 19, 1979
Memo from Beverly to Phil Loomis Regarding American Law Institute (ALI) Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
September 25, 1979
"The Vital Role of State Boards of Accountancy," Remarks by SEC Commissioner John R. Evans to National Association of State Boards of Accountancy 72nd Annual Meeting
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
September 26, 1979
Letter from President Carter to SEC Chairman Harold Williams asking that the SEC improve its consumer affairs activities
image pdf (Courtesy of the Jimmy Carter Library and Museum)
September 26, 1979
Statement of Harold Williams Regarding American Law Institute (ALI) Proposed Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
September 26, 1979
Statement of Harold Williams Regarding American Law Institute (ALI) Proposed Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
September 30, 1979
45th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
October 1979
Industrial Development Bond Proposals
image pdf (Courtesy of National Archives and Records Administration)
October 4, 1979
"The Role of Inside Counsel in Corporate Responsibility" - Address by SEC Chairman Harold M. Williams to Corporate Counsel Institute
image pdf (Government Records)
October 4, 1979
Letter to Thomas Wagenhoffer, Bonneville Power Administration from Jerome Katzin, Lehman Brothers Kuhn Loeb with memorandum on pricing of WPPSS direct obligation bonds
image pdf (Courtesy Washington State Archives)
October 9, 1979
"Current Problems in Financial Reporting and Internal Controls" - Address by SEC Chairman Harold M. Williams to Financial Executives Institute 1978 International Convention
transcript pdf (Courtesy of the estate of John R. Evans)
October 12, 1979
"Critique of Current Regulatory Approaches to the Separation of Commercial and Investment Banking" - Keynote Address by SEC Commissioner Roberta S. Karmel to Conference on Regulating the Securities Activities of Commercial Banks
image pdf (Government Records)
October 12, 1979
"The Regulatory Framework for Public Accounting," Address by SEC Commissioner John R. Evans to 3rd Annual Intermountain Accounting Seminar and 1979 Update
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 14, 1979
"Your Role in the Future of America" - Address by SEC Chairman Harold M. Williams to the National Securities Traders Association
image pdf (Government Records)
October 19, 1979
"Communication of Corporate Information: An Update" - Address by SEC Chairman Harold M. Williams to the National Investor Relations Institute National Conference
image pdf (Government Records)
October 19, 1979
Letter from James Scheuer and Bob Eckhardt, U.S. House of Representatives, to SEC Chairman Harold M. Williams requesting comments following Congressional hearings on the progress towards the development of a national market system
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 22, 1979
Appointment Affadavit of John R. Evans to the Securities and Exchange Commission
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 22, 1979
Department of Treasury News: Statement of Donald Lubick, Under Secretary before the Senate Subcommittee on Taxation and Debt Management
image pdf (Courtesy of National Archives and Records Administration)
October 22, 1979
Memo from William C. Wood to SEC Commissioner John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 24, 1979
"Corporate Accountability and Corporate Power" - Paper presented by SEC Chairman Harold M. Williams at Carnegie-Mellon University
image pdf (Government Records)
October 24, 1979
Congratulatory Letter from Donald L. Calvin, The New York Stock Exchange, to John R. Evans
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 25, 1979
Letter to E. Paul Bowerman from U.S. Representative Mickey Edwards in support of dividends reinvestment bill
transcript pdf (Mickey Edwards Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
October 31, 1979
"The SEC Disclosure Process in a Changing Environment" - Remarks by SEC Commissioner Roberta S. Karmel to the Treasurer's Club
image pdf (Government Records)
October 31, 1979
Chiarella Reply Brief Supreme Court
document pdf (Courtesy of Donna Nagy)
October 31, 1979
Petitioner's Reply Brief, Vincent F. Chiarella against United States of America
image pdf (Courtesy of the Library of Congress)
November 1979
NASD Newsletter
image pdf (Courtesy FINRA)
November 1, 1979
Statement of the Honorable John R. Evans, Commissioner, United States Securities and Exchange Commission, on S.1411
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 4, 1979
Memo to SEC Chairman Williams with the Staff's legislative proposal to restructure the Williams Act
image pdf (Courtesy of David B.H. Martin)
November 5, 1979
Chiarella Oral Argument Supreme Court
document pdf (Courtesy of Donna Nagy)
November 6, 1979
Action memo to SEC Commission from Division of Corporation Finance on re-examination of rules relating to shareholder communications
image pdf (Courtesy of National Archives)
November 7, 1979
"Regulatory Reform - Reality or Illusion?" - Address by SEC Chairman Harold M. Williams at the National Press Club
image pdf (Government Records)
November 7 and 8, 1979
Small Business Investment Incentive Act - Hearings before the U.S. House of Representatives Subcommittee on Consumer Protection and Finance

(Courtesy of Kathryn McGrath)

November 19, 1979
"Current Developments Affecting Small Business and Small and Medium-Sized Accounting Firms," Remarks of SEC Commissioner Philip A. Loomis, Jr. to the Foundation for Accounting Education, New York State Society of CPAs Annual SEC Accounting Conference
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 19, 1979
"The Audit Committee and the Internal Auditor: Strengthening Corporate Accountability," Address by SEC Commissioner John R. Evans to The National Association of Corporate Directors and The Institute of Internal Auditors
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 19, 1979
Letter from Mark J. Riedy, Mortgage Bankers Association of America to SEC Chairman Harold M. Williams endorsing end of SEC moratorium on expanded options trading
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
November 20, 1979
Letter from Milton Cohen to Harold Williams Transmitting his Letter to Louis Loss Regarding American Law Institute (ALI) Proposed Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
November 20, 1979
Letter from Milton Cohen to Harold Williams Transmitting his Letter to Louis Loss Regarding American Law Institute (ALI) Proposed Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
November 21, 1979
1979 President's Award for Distinguished Federal Civilian Service to Stanley Sporkin
document pdf (Government Records)
November 29, 1979
"The Securities Industry Entering the Eighties: An Economic Overview" - Address by SEC Chairman Harold M. Williams to the Securities Industry Association
image pdf (Government Records)
November 30, 1979
"The National Market System: An Update" - Address by SEC Chairman Harold M. Williams to ALI/ABA Conference on Broker Dealer Regulation
image pdf (Government Records)
December 1979
Significant Achievements in the [New York] Bureau of Investor Protection and Securities since January 1, 1979
image pdf (Courtesy of Orestes Mihaly)
December 3, 1979
"Disclosure and the SEC" - Remarks by SEC Commissioner Roberta S. Karmel to Financial Relations Executive Briefing
image pdf (Government Records)
December 3, 1979
Memo from Harold Williams to the Commission Regarding American Law Institute's (ALI) Proposed Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
December 3, 1979
Memo from Harold Williams to the Commission Regarding American Law Institute's (ALI) Proposed Federal Securities Code
document pdf (Courtesy of Roberta Karmel)
December 6, 1979
"Selected Current Issues in Securities Regulation," Address by SEC Commissioner John R. Evans to Conference on Securities Regulation
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 11, 1979
Draft Position Paper on Economy, prepared by Kevin Hopkins and Doug Bandow
transcript pdf (Courtesy of Ronald Reagan Presidential Foundation & Library)
December 11, 1979
Memo from the Division of Market Regulation to the Commission Regarding Proposed Rule 19c-3
document pdf (Courtesy of Roberta Karmel)
December 11, 1979
Memo from the Division of Market Regulation to the Commission Regarding Proposed Rule 19c-3
document pdf (Courtesy of Roberta Karmel)
December 12, 1979
Report of the Advisory Committee on Corporate Governance appointed by U.S. Senator Howard Metzenbaum
transcript pdf (Courtesy of FINRA)
December 17, 1979
"Recent Developments Concerning Foreign Issuer Disclosure" - Address by SEC Commissioner Roberta S. Karmel to special meeting of Japanese business leaders sponsored by Keidanren
image pdf (Government Records)
December 18, 1979
Letter from SEC Chairman Harold Williams to Stuart Eizenstat on proposed SEC Rule 242
image pdf (Courtesy of the Jimmy Carter Library and Museum)
December 21, 1979
Letter from Arthur Levitt, Jr., American Stock Exchange, to SEC Chairman Harold Williams on audit committees
document pdf (Courtesy of the estate of John Evans)
December 26, 1979
New York State Attorney General Release announcing joint work with SEC to bar Petro Natural Resource Corporation
transcript pdf (Courtesy of Orestes Mihaly)
December 26, 1979
SEC New York Regional Office Litigation Release on SEC v. Petro Natural Resource Corporation and Eugene L. Colman
transcript pdf (Courtesy of Orestes Mihaly)
December 27, 1979
Letter from Jeffrey R. Liebman to SEC requesting an oral hearing on open Wells submission issues
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
December 28, 1979
Information memo to SEC Commission from Office of the Chief Accountant on reports by accountants on internal control
image pdf (Courtesy of National Archives)
Late 1970s
Rule 2a-4(d)
document pdf (Courtesy of David Silver)

1501 to 1578 of 1578 records

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