Securities and Exchange Commission Historical Society
Thanks to our donors
- DONORS AND GIFTS -
New Gallery
Home > Papers > 1970s | Page 2

Papers

101 to 200 of 1578 records

Page:
April 8, 1971
Reply to Texas Lieutenant Governor Ben Barnes from Secretary of the Treasury John Connolly on industrial revenue bonds
transcript pdf (Courtesy of National Archives and Records Administration)
April 21, 1971
Memo to Peter Flanigan from George Crawford on securities industry antitrust legislation
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
April 28, 1971
Institutional Investor Study Response, Securities Regulation and Tax Report
document pdf (Courtesy of Milton Cohen)
May 1971
Haight & Co., Inc. et al. v. Securities and Exchange Commission: Memorandum of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
May 1971
NASD News
image pdf (Courtesy FINRA)
May 5, 1971
"Evolution in the Capital Markets" - Address by SEC Chairman William Casey to the Society of American Business Writers
image pdf (Courtesy of Stephen A. Zeff)
May 12, 1971
Letter from Casey to Sparkman re Stock Surcharge
document pdf (Courtesy of the National Archives and Records Administration)
May 12, 1971
Statement of Points and Authorities in Opposition to Defendant's Motion to Dismiss for Improper Venue, U.S. Securities and Exchange Commission v. Computer Statistics, Inc.
document pdf (Courtesy of Richard Rowe)
May 27, 1971
Letter from Gordon Macklin, NASD to SEC Chairman William J. Casey on unsafe and unsound practices of broker/dealers
image pdf (Courtesy of the National Archives and Records Administration)
June 1, 1971
Letter from Robert W. Haack, New York Stock Exchange to SEC Chairman William J. Casey
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
June 4, 1971
Department of Treasury News: Treasury Announces Revised Proposed Rules for Taxing the Interest on Industrial Development Bonds
image pdf (Courtesy of National Archives and Records Administration)
June 8, 1971
The Financial Condition of Broker-Dealers: A Question of the Adequacy of Capital and Regulatory Safeguards, by Le Mahn Tri and Terry M. Chuppe, SEC Office of Policy Research
image pdf (Courtesy of the Library of Congress)
June 28, 1971
Protest to U.S. Representative Frank Horton from Patrick Badamy, M.D. on inadequacy of mutual fund reinvestment under Keogh plan
transcript pdf (Courtesy of National Archives and Records Administration)
June 30, 1971
37th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1971
NASD News
image pdf (Courtesy FINRA)
July 1971
Report from David Clurman to New York Attorney General Louis J. Lefkowitz on the auditors of Wall Street
image pdf (Courtesy of Orestes Mihaly)
July 1971
Review of SEC Records of the Demise of Selected Broker-Dealers

(Courtesy of Kathryn McGrath)

July 2, 1971
SEC Release: Adoption of Rules 27d-1, 27d-2, 27e-1, 27f-1, 27g-1, 27h-1 and Forms N-27D-1, N27E-1 and N27F-1
image pdf (Courtesy of Richard Wendt)
July 9, 1971
Memo from Arnold Kotler, New York Stock Exchange on meeting of NYSE special committee on specialists' performance
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
July 18, 1971
Reply to Carl Shipley concerning Investment Company Act from Solomon Freedman, Director, SEC Division of Corporate Regulation
image pdf (With permission of Edward Bennett Williams Law Library, Georgetown University)
July 20, 1971
Preamble and Rules adopted by the Democratic Caucus, U.S. House of Representatives
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 30, 1971
"Crisis in the Securities Industry, A Chronology: 1967-1970" - Prepared for the Subcommittee on Commerce and Finance, Committee on Interstate and Foreign Commerce, U.S. House of Representatives by the New York Stock Exchange, Inc.
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.)
August 4, 1971
Memo from Peter Flanigan to President Nixon recommending a cadre of economic spokesmen
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
August 5, 1971
Memo from John Ehrlichman to Peter Flanigan with President Nixon's request that, in meeting with business groups, "you spend time on the economy"
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
August 5, 1971
Special New York Stock Exchange Membership Bulletin on report conducted by William McChesney Martin, Jr.
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
August 6, 1971
The Securities Markets - A Report, with Recommendations, by William McChesney Martin, Jr.
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
August 9, 1971
Report to SEC Commission from Division of Corporate Regulation on suggested safeguards to protect investors
image pdf (Courtesy of National Archives and Records Administration)
August 12, 1971
Letter from Milton Cohen to The New York Times on Policy for Securities Market
document pdf (Courtesy of Milton Cohen)
August 30, 1971
Memo from Charles Colson to George Schultz reflecting Chamber of Commerce anger about the Cost of Living Council
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
September 1971
Letter to Samuel Stone, Tulsa Assistant City Attorney from John Chapoton on the Department of the Treasury's opposition to expansion of use of municipal industrial development bonds
transcript pdf (Courtesy of National Archives and Records Administration)
September 1971
NASD News
image pdf (Courtesy FINRA)
September 2, 1971
Letter to Peter Flanigan from Charles Morin in support of the Martin report
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
September 27, 1971
Memo from Lee D. Arning, New York Stock Exchange on national securities market
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
September 27, 1971
SEC Release: Coordination of the Disclosure System: The Division of Corporation Finance's Practice of Deferring Processing 1933 Act Registration Statements Filed by Issuers Until They Comply with the Reporting Requirements of The Securities Exchange Act of
document pdf (Courtesy of Richard Rowe)
September 28, 1971
Memo from William C. Freund, New York Stock Exchange to Robert W. Haack on working committee on a national securities exchange
image pdf (All rights are owned exclusively by NYSE Euronext copyright 2007 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
October 7, 1971
Congressional letter in support of Consumer Protection Agency
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
October 11, 1971
Memo from Paul F. McGuire, Special Securities Committee to the Board of Directors, Chicago Board of Trade on formation of an options exchange
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
October 13, 1971
Letter from Irving M. Pollack, SEC Division of Trading and Markets to Milton H. Cohen, Schiff Hardin Waite Dorschel & Britton concerning Chicago Board of Trade's proposed options exchange
transcript pdf (Courtesy of the Chicago Board Options Exchange Archives)
October 13, 1971
Securities Regulation and Tax Report-Support for Composite Tape
document pdf (Courtesy of Milton Cohen)
October 14, 1971
Memo to SEC Commission from Division of Corporate Regulation on Institutional Investors Study Implementation Memo No. 7 - Offshore Funds
transcript pdf (Courtesy of National Archives and Records Administration)
October 14, 1971
Report from Owen H. Nichols, Executive Committee to the Board of Directors, Chicago Board of Trade on implementation of a securities options market
image pdf (Courtesy of the Chicago Board Options Exchange Archives)
November 1971
NASD News - Special Report
image pdf (Courtesy FINRA)
November 4, 1971
Memo from John Evans to Chairman Sparkman on the Proposed National Credit Union Bank of 1971
document pdf (Courtesy of the estate of John Evans)
November 5, 1971
Memo to SEC Commission from Division of Corporation Finance suggesting alternative courses of action for shareholder proposals
image pdf (Courtesy of National Archives)
November 10, 1971
Memo for SEC v. Medical Committee for Human Rights
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
November 12, 1971
Telegram to President Nixon from L. Burton Hunt, Jr. seeking correction action to stock market
transcript pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
November 15, 1971
Norman L. Harwell et al. v. Growth Programs, Inc. et al.: Statement of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
November 16, 1971
Letter from E. Robert Seaver to Roberts Owen on SEC v. Medical Committee for Human Rights
transcript pdf (William O. Douglas Papers, courtesy Library of Congress)
November 22, 1971
Memo from Dwight Chapin to George P. Schultz on call from Bernard (Bunny) Lasker
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
November 22, 1971
Protest to SEC Chairman William Casey from Philip Roy on no load fund concept
image pdf (Courtesy of National Archives and Records Administration)
November 26, 1971
Letter to Robert Kagan from Solomon Freedman on investment adviser fees
transcript pdf (Courtesy of National Archives and Records Administration)
November 28, 1971
Letter to SEC Chairman William Casey from Ed Tilton in support of no load mutual funds
image pdf (Courtesy of National Archives and Records Administration)
November 29, 1971
Protest to SEC Chairman William Casey from Nicholas Peterson on mutual funds
image pdf (Courtesy of National Archives and Records Administration)
November 30, 1971
SEC Release: Applicability of the Securities Laws to Multi-Level Distributorship and Pyramid Sales Plans
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
December 1971
NASD News
image pdf (Courtesy FINRA)
December 1971
Study of Unsafe and Unsound Practices of Brokers and Dealers - SEC Report and Recommendations

(Courtesy of Kathryn McGrath)

December 20, 1971
Findings, Opinion and Order in the Matter of Performance Systems, Inc.
document pdf (Courtesy of Richard Rowe)
December 21, 1971
Note from Justice Potter Stewart to Justice Thurgood Marshall on SEC v. Medical Committee for Human Rights
image pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
December 22, 1971
Note from Justice Harry Blackmun to Justice Thurgood Marshall on SEC v. Medical Committee for Human Rights
image pdf (William J. Brennan, Jr. Papers, courtesy Library of Congress)
December 29, 1971
Memo to Peter Flanigan from George Crawford on SEC study on unsafe and unsound practices
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
1971
Bill requiring President to notify Congress on impoundment of funds
transcript pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
December 31, 1971
Memo to SEC Commission from Division of Corporation Finance on multiple proposal submissions during 1971 proxy season
image pdf (Courtesy of National Archives)
1972 (undated)
Key Facts in Confirmation of Richard Kleindienst as Attorney General
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
1972
NASD Annual Report
image pdf (Courtesy FINRA)
1972
NASD Notices to Members

(Courtesy of FINRA)

January 1972
Notes from Justice Harry Blackmun in SEC v. Medical Committee for Human Rights
image pdf (Harry A. Blackmun Papers, courtesy Library of Congress)
1972
Notion for Summary Judgment and Affadavit of Charles A. Pardee, U.S. Securities and Exchange Commission v. Acoustica Associates, Inc.
document pdf (Courtesy of Richard Rowe)
1972
Small Business Investment Act Amendments of 1972 (Public Law No. 92-595); Section 18 of ICA Amended
document pdf (Government Records)
1972 (undated)
Statement of John N. Mitchell before the Committee on the Judiciary of the United States Senate on ITT
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
January 6, 1972
Letter from Casey to Sparkman re Rule 144
document pdf (Courtesy of the National Archives and Records Administration)
January 7, 1972
Letter to Speaker of the House Carl Albert with complaint on World Market Centers fraud
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
January 15, 1972
Memo to SEC Commission from Division of Corporation Finance regarding proxy rule 14a-8 release
transcript pdf (Courtesy of National Archives and Records Administration)
January 17, 1972
Letter from Anthony A. Barnett, Bunker Ramo to SEC Commissioner James Needham with report on NASDAQ
transcript pdf (Courtesy of the National Archives and Records Administration)
January 18, 1972
Memo to Peter Flanigan from Richard Erb with summary of SEC statement on The Future Structure of the Securities Market
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
January 24, 1972
Federal Reserve Press Release: Amendment to regulations permitting bank holding companies to act as investment advisers
transcript pdf (Courtesy of National Archives and Records Administration)
January 24, 1972
Remarks by Bryce N. Harlow on Consumer Protection Agency legislation
transcript pdf (Courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
January 25, 1972
Investment Company Institute memo on Federal Reserve System regulation concerning bank holding company complex acting as adviser to investment company
image pdf (Courtesy of National Archives and Records Administration)
January 28, 1972
Memo from Tod R. Hullin on conversation with Mr. Kennon, State Department concerning Robert Vesco
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
January 1972
Memo from SEC Division of Corporate Regulation on letter from U.S. Representative Frank Horton
image pdf (Courtesy of National Archives and Records Administration)
February 1972
Letter to U.S. Representative Carl Albert from Wilma Deyette on securities fraud
transcript pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
February 3, 1972
Complaint for Injunctive and Other Relief, U.S. Securities and Exchange Commission v. National Student Marketing Corporation
document pdf (Courtesy of Richard Rowe)
February 3, 1972
SEC Release: The Division of Corporation Finance's Procedures Designed to Curtail Time in Registration Under the Securities Act of 1933
document pdf (Courtesy of Richard Rowe)
February 7, 1972
Memo from Peter Flanigan on securities industry regulation and legislation
transcript pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
February 15, 1972
First Amended Complaint for Injunctive and Other Relief, U.S. Securities and Exchange Commission v. National Student Marketing Corporation
document pdf (Courtesy of Richard Rowe)
February 15, 1972
Letter From Sparkman to Haack re Subcommittee Report
document pdf (Courtesy of the National Archives and Records Administration)
February 16, 1972
Letter to Speaker of the House Carl Albert from Esta Malone on World Market Centers fraud
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
February 25, 1972
Letter to Speaker of the House Carl Albert from SEC Chairman William Casey in response to complaint from Wilma Deyette
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
March 1, 1972
Memo from Peter Flanigan on SEC proposals
image pdf (Courtesy of the Richard M. Nixon Presidential Library and Museum)
March 2, 1972
Request for Public Comment on SEC's Advisory Committee on Enforcement
image pdf (Government Records)
March 6, 1972
Joint Letter from Senators Hart, Burdick, Kennedy and Tunney to Senator James O. Eastland with questions concerning ITT
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
March 7, 1972
Reply to Roger Hartz from Alan Rosenblat, SEC Chief Counsel on regulation of mutual funds
transcript pdf (Courtesy of National Archives and Records Administration)
March 8, 1972
Securities and Exchange Commission and Securities Investor Protection Corporation against Alan F. Hughes, Inc. and Alan F. Hughes: Brief of the Securities and Exchange Commission
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
March 20, 1972
Findings, Opinions and Order in the Matter of Filtrol Corporation
document pdf (Courtesy of Richard Rowe)
March 29, 1972
Establishing Financial Accounting Standards - Report of the Study on Establishment of Accounting Principles (Wheat Report - Establishing Financial Accounting Standards)
image pdf (AICPA Collection, University of Mississippi)
March 31, 1972
Letter to A. Clarence Sampson from Donald Schneeman, American Institute of Certified Public Accountants with memo of March 22nd Committee on Independence meeting
image pdf (Courtesy of David S. Ruder)
April 1972
Hagen Investments, Inc. and Edward J. Hagen v. Securities and Exchange Commission: On Petition for Review of an Order of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
April 1972
NASD News
image pdf (Courtesy FINRA)
April 3, 1972
Memo from L. Higby to John Dean requesting analysis of contributors to 1972 Democratic candidates, particularly officers of ITT and subsidiaries
transcript pdf (Courtesy of the Nixon Presidential Library & Museum)
April 6, 1972
SEC Release: Proposal to Adopt Rule 205-1
image pdf (Courtesy of Richard Wendt)
April 7, 1972
Letter to David Francis, The Christian Science Monitor from "a saleman" on mutual fund industry
transcript pdf (Courtesy of National Archives and Records Administration)

101 to 200 of 1578 records

Page:

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.