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January 28, 1974: Letter from Williams and Brooks to Sparkman re Banking Practices Study
document pdf (Courtesy of the National Archives and Records Administration)
January 31, 1974: Supplemental memo to SEC Commission from Division of Corporation Finance regarding illegal campaign contribution disclosure requirements
transcript pdf (Courtesy of National Archives and Records Administration)
February 1974: New York Stock Exchange Board Summary Memorandum on listing standards for long-term warrants
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
February 5, 1974: New York Stock Exchange Board Summary Memorandum on amendments to Rules 417 and 418 - elimination of surprise audits and conforming Exchange audit rules with those of the SEC
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
February 6, 1974: "The SEC's Concern with Bank Trust Activities," Speech by SEC Chairman Ray Garrett, Jr. to the 55th National Trust Conference
transcript pdf (Courtesy of Harvey L. Pitt)
February 6, 1974: Statement by James J. Needham, New York Stock Exchange, Inc. before the Financial Markets Subcommittee of the Senate Finance Committee on S.2842 - The Stockholders Investment Act
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
February 7, 1974: "Foreign Investment in U.S. and U.S. Securities Laws," Speech by SEC Chairman Ray Garrett, Jr. to the Chamber of Commerce
transcript pdf (Courtesy of Harvey L. Pitt)
February 12, 1974: "A Look Ahead at the World of Competitive Commission Rates," Speech by SEC Chairman Ray Garrett, Jr. to the Midwest Stock Exchange Conference
transcript pdf (Courtesy of Harvey L. Pitt)
February 12, 1974: Remarks by John C. Burton before the Memphis Chapter of the Tennessee Society of CPAs
document pdf (Government Records)
February 18, 1974: "SEC Approach to Municipal Securities Regulation," Address by SEC Commissioner John R. Evans to 2nd Annual Bank Investments Conference, American Bankers Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 20, 1974: Notes for SEC Chairman Ray Garrett, Jr. for Exchequer Club
transcript pdf (Courtesy of Harvey L. Pitt)
February 21, 1974: "Efficiency in Transferring Securities," Speech by SEC Chairman Ray Garrett, Jr. to the New York Regional Group, American Society of Corporate Secretaries
transcript pdf (Courtesy of Harvey L. Pitt)
February 21, 1974: SEC staff appointment recommendation letter to Mauri Osheroff
transcript pdf (Courtesy of Mauri Osheroff)
February 28, 1974: John C. Burton, "The Need for Professional Accounting Education," for The University of Texas at Austin College of Business Administration
document pdf (Government Records)
March 1974: "The Internationalization of the Securities Markets" - Carl T. Bodolus, Chief of the SEC Office of International Corporate Finance
image pdf (Published in Business Lawyer, Volume 29, 1974. Copyright 1974 by the American Bar Association. Permission limited to the virtual museum and archive at www.sechistorical.org; cannot be copied or otherwise reproduced.)
March 1, 1974: "The State of the SEC," Speech by SEC Chairman Ray Garrett, Jr. to the Practising Law Institute Conference
transcript pdf (Courtesy of Harvey L. Pitt)
March 1974: New York Stock Exchange Board Summary Memorandum on Commission amendments for March 1974
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
March 1974: Planning for Competitive Commission Rates - Perspectives on Planning: New York Stock Exchange Economist's Office
image pdf (Courtesy of FINRA)
March 1974: Taking Stock, U.S. Securities and Exchange Commission
document pdf (Courtesy of Richard Rowe)
March 7, 1974: Statement by SEC Chairman Ray Garrett, Jr. before the Subcommittee on Foreign Commerce and Tourism of the Senate Committee on Commerce on S.2840, 93rd Congress, 1st Session
transcript pdf (Courtesy of Harvey L. Pitt)
March 12, 1974: "Confidence and Liquidity," Speech by SEC Chairman Ray Garrett, Jr. to the Philadelphia-Baltimore-Washington Stock Exchange Membership Conference
transcript pdf (Courtesy of Harvey L. Pitt)
March 13, 1974: "Applying Securities Laws to Banking Activities," Comments by SEC Commissioner John R. Evans for the Mutual Funds and Investment Management Conference
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 13, 1974: "Improving Disclosures to Investors," Speech by SEC Chairman Ray Garrett, Jr. to the Chicago Chapter, American Society of Corporate Secretaries
transcript pdf (Courtesy of Harvey L. Pitt)
March 13, 1974: Role of Financial Public Relations, presentation by Chairman Ray Garrett, Jr. before the Publicity Club of Chicago
document pdf (Courtesy of Milton Cohen)
March 14, 1974: "A Look Ahead," Speech by SEC Chairman Ray Garrett, Jr. to the Mutual Funds and Investment Management Conference
transcript pdf (Courtesy of Harvey L. Pitt)
March 15, 1974: "The Role of Professionals," Speech by SEC Chairman Ray Garrett, Jr. to the San Diego County Bar Association
transcript pdf (Courtesy of Harvey L. Pitt)
March 19, 1974: SEC staff appointment confirmation letter to Mauri Osheroff
transcript pdf (Courtesy of Mauri Osheroff)
March 19, 1974: Testimony of SEC Chairman Ray Garrett, Jr. before the Subcommittee on HUD-Space-Science-Veterans of the House Committee on Appropriations, on the SEC's Fiscal 1975 Budget Estimate
transcript pdf (Courtesy of Harvey L. Pitt)
March 20, 1974: "Professional Responsibility: The Public Client" - Address by SEC Commissioner A.A. Sommer, Jr. to the Columbus (Ohio) Chapter of Certified Public Accountants and Bar Association
image pdf (Government Records)
March 20, 1974: WPPSS News Release: $2.5 Million in Revenue Notes Sold by WPPSS
image pdf (Courtesy of Washington State Archives)
March 22, 1974: "Capital Markets Today and Tomorrow," Speech by SEC Chairman Ray Garrett, Jr. to the Executives Club of Chicago
transcript pdf (Courtesy of Harvey L. Pitt)
March 27 and 28, 1974: SEC Authority Over Third Market Trading - Hearings before the Subcommittee on Securities of the U.S. Senate Committee on Banking, Housing and Urban Affairs
image pdf (Courtesy of the Library of Congress)
March 27, 1974: Statement by SEC Chairman Ray Garrett, Jr. before the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs, on S.3126, 93rd Congress, 2nd Session
transcript pdf (Courtesy of Harvey L. Pitt)
March 29, 1974: "Forecasting: A Look at the Future," Address by SEC Commissioner A.A. Sommer, Jr. to the Corporate Financial Forecast and Disclosure Conference, Drexel University
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 1974: Warning from Howard Williams to oil industry of changes in Commodity Exchange Act
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
April 2, 1974: "Disclosure by Foreign Companies in U.S. Markets," Speech by SEC Chairman Ray Garrett, Jr. to the Conference on the Re-opening of U.S. Capital Markets
transcript pdf (Courtesy of Harvey L. Pitt)
April 2, 1974: "Fail-Safe or Fail-Certain: The Final Push to Securities Regulation" - Remarks by James J. Needham, New York Stock Exchange, Inc. at a luncheon of The Financial Executives Institute
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
April 21, 1974: Memo to Speaker of the House Carl Albert of Alan Boyd's support of Commodity Exchange Act
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
April 23, 1974: "Effective Regulation Requires Cooperation and Coordination," Address by SEC Commissioner John R. Evans to North American Securities Administrators Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 23, 1974: Letter from U.S. Senators Harrison A. Williams and William Proxmire to SEC Chairman Ray Garrett, Jr. on options trading
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 23, 1974: Memorandum from Stanley Sporkin, Director of the Division of Enforcement, U.S. Securities and Exchange Commission, on the Reorganization of the Division of Enforcement
document pdf (Courtesy of Theodore Levine)
April 23, 1974: U.S. Securities and Exchange Commission Release on the Reorganization of the Division of Enforcement
document pdf (Courtesy of Theodore Levine)
April 24, 1974: Letter to Speaker of the House Carl Albert from H.M. Nichols, Jr., Nichols Casing Crew in opposition to Commodity Exchange Act
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
April 24, 1974: U.S. Securities and Exchange Commission News Digest
document pdf (Courtesy of Richard Rowe)
April 25, 1974: "A Look at the SEC's Administrative Practices," Speech by SEC Chairman Ray Garrett, Jr. to the Southwestern Legal Foundation
transcript pdf (Courtesy of Harvey L. Pitt)
April 30, 1974: "Improved Exemptions and Improved Disclosure," Speech by SEC Chairman Ray Garrett, Jr. to the Colorado Bar Assocation
transcript pdf (Courtesy of Harvey L. Pitt)
April 1974: Recent and Coming Developments in Accounting and Auditing - Donald J. Hayes, European Partners Meeting
image pdf (Courtesy of Donald J. Hayes)
May 1974: NASD News
image pdf (Courtesy FINRA)
May 2, 1974: "Regulation of Bank Securities Activities," Address by SEC Commissioner John R. Evans to the Ninth Annual Banking Law Institute
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 2, 1974: "The Individual Investor and the Stock Markets," Speech by SEC Chairman Ray Garrett, Jr. to Women Investment Brokers
transcript pdf (Courtesy of Harvey L. Pitt)
May 3, 1974: "Euro-Capital Markets after the Removal of American Restrictions," Address by SEC Commissioner A. A. Sommer, Jr. to the 1974 Annual General Meeting of The Association of International Bond Dealers
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 3, 1974: "The Analysts and the SEC," Speech by SEC Chairman Ray Garrett, Jr. to the New York Society of Security Analysts
transcript pdf (Courtesy of Harvey L. Pitt)
May 6, 1974: Letter from Evans to Sparkman re NASD Rules of Fair Practice
document pdf (Courtesy of the National Archives and Records Administration)
May 6, 1974: Opening statement of U.S. Senator Harrison Williams at hearings on S.1933 (bank underwriting of revenue bonds) and S.2474 (municipal securities regulation)
transcript pdf (With permission of Harrison A. Williams Papers, Special Collections and University Archives, Rutgers University Libraries)
May 6, 1974: Testimony of Commissioner John R. Evans, Securities and Exchange Commission before the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs on S.2474 and S.1933
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 8, 1974: "Improvements in Corporate Disclosure," Address by SEC Chairman Ray Garrett, Jr. to the San Francisco Chapter, American Society of Corporate Secretaries
transcript pdf (Courtesy of Harvey L. Pitt)
May 8, 1974: "Our Changing Capital Matters," Address by SEC Chairman Ray Garrett, Jr. to the Commonwealth Club of California
transcript pdf (Courtesy of Harvey L. Pitt)
May 8, 1974: Recommendation to Secretary of the Treasury William Simon from Allan Benton, Blyth Eastman Dillon & Co. for use of tax-exempt bonds for desulfurization financing
image pdf (Courtesy of National Archives and Records Administration)
May 9 and 10, 1974: John C. Burton "The Case for Continuation of Mandatory Independent Audits for Publicly Held Companies"
document pdf (Government Records)
May 13, 1974: Testimony of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Subcommittee on HUD-Space-Science-Veterans, Committee on Appropriations, United States Senate, on the Securities and Exchange Commission's Fiscal 1975 Bud
transcript pdf (Courtesy of Harvey L. Pitt)
May 15, 1974: "Mutual Funds: Fifty Years and Beyond," Address by SEC Chairman Ray Garrett, Jr. to the Investment Company Institute
transcript pdf (Courtesy of Harvey L. Pitt)
May 16, 1974: Remarks of SEC Chairman Ray Garrett, Jr. at Retirement Dinner for Donald J. Stocking
transcript pdf (Courtesy of Harvey L. Pitt)
May 16, 1974: Testimony of the Honorable Ray Garrett, Jr., Chairman, Securities and Exchange Commission, before the Senate Committee on Commerce, on S.3356, 93rd Congress, 2nd Session
transcript pdf (Courtesy of Harvey L. Pitt)
May 21, 1974: Memo to SEC Commissioner John R. Evans from the SEC Division of Enforcement concerning abusive practices in dealer banks
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 22, 1974: "The Future is Now," Address by SEC Commissioner John R. Evans to Joint Conference co-sponsored by Boston Stock Exchange and Independent Broker Dealers Trade Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 23, 1974: Memo to Emil Sunley from Harvey Galper on tax-exempt financing for desulfurization
transcript pdf (Courtesy of National Archives and Records Administration)
May 29, 1974: The Central Market System - Address by SEC Commissioner Philip A. Loomis, Jr.
transcript pdf (Courtesy of FINRA)
May 29, 1974: The Need for Fixed Floor Brokerage Rates - A Report Submitted to the SEC by New York Stock Exchange, Inc.
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
May 30, 1974: "Accountants: A Flexible Standard" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA National Institute on Professional Liability
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 30, 1974: "Problems of Professional Responsibility," Address by SEC Chairman Ray Garrett, Jr. to the American Bar Association National Institute
transcript pdf (Courtesy of Harvey L. Pitt)
May 30, 1974: John C. Burton, "Financial Reporting in an Age of Inflation"
document pdf (Government Records)
June 4, 1974: "A Fence on the Cliff - Or An Ambulance in the Valley," Address by SEC Commissioner John R. Evans to 68th Annual Municipal Finance Officers Association Conference
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 10, 1974: "Is the SEC a Barrier to New York's Role in International Finance?," Address by SEC Chairman Ray Garrett, Jr. to The Financial Times
transcript pdf (Courtesy of Harvey L. Pitt)
June 10, 1974: "The SEC in the Midst of Revolution" - Address by SEC Commissioner A.A. Sommer, Jr. to the New York Stock Exchange Marketing Conference
image pdf (Courtesy of the Gerald R. Ford Library)
June 10, 1974: Competition and Progress in the New Securities World - Donald L. Baker, Deputy Assistant Attorney General
image pdf (Courtesy of FINRA)
June 10-11, 1974: The Securities Industrial Revolution - Third Bi-Annual Conference sponsored by the New York Stock Exchange and its Marketing Advisory Committee
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
June 11, 1974: "Commission Rates - The World Ahead," Address by SEC Chairman Ray Garrett, Jr. to the New York Stock Exchange Third Bi-Annual Conference
transcript pdf (Courtesy of Harvey L. Pitt)
June 11, 1974: Letter to SEC from Chapman and Cutler on proposed First Trust of Insured Municipal Bonds
transcript pdf (Courtesy of National Archives and Records Administration)
June 14, 1974: Address by SEC Chairman Ray Garrett, Jr. before the 28th National Conference of the American Society of Corporate Secretaries
transcript pdf (Courtesy of Harvey L. Pitt)
June 17, 1974: "Ending Uncertainty" - Address by SEC Commissioner A.A. Sommer, Jr. to the 6th National Institutional Trader Conference
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 30, 1974: 40th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
July 1974: New York Stock Exchange Board Summary Memorandum on proposed amendment to Rule 325(a) - debt/equity capital requirements for member corporations
transcript pdf (All rights are owned exclusively by NYSE Euronext copyright 2008 NYSE Euronext, All Rights Reserved, Courtesy New York Stock Exchange Archives)
July 1974: Telegram to Speaker of the House Carl Albert from Donald Thomas, Anchor Savings Bank opposing proposed Citicorp issue
transcript pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 2, 1974: Address by SEC Chairman Ray Garrett, Jr. before the San Diego Mortgage Bankers Association
transcript pdf (Courtesy of Harvey L. Pitt)
July 2, 1974: Letter from George W. Mitchell, Federal Reserve to SEC Chairman Ray Garrett, Jr. on Citicorp
image pdf (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)
July 3, 1974: Letter to Donald Thomas, Anchor Savings Bank from Speaker of the House Carl Albert on Citicorp
transcript pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 3, 1974: Memos to Speaker of the House Carl Albert on appeal from National Farmers Organization against SEC action
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 4, 1974: "Professional Responsibility and the Securities Laws," Address by SEC Chairman Ray Garrett, Jr. to the State Bar of Texas
transcript pdf (Courtesy of Harvey L. Pitt)
July 9, 1974: "Savings and Loan Associations and the SEC," Address by SEC Chairman Ray Garrett, Jr. to the United States League of Savings Associations
transcript pdf (Courtesy of Harvey L. Pitt)
July 11, 1974: Letter to Speaker of the House Carl Albert from Donald Thomas, Anchor Savings Bank in opposition to Citicorp
image pdf (Carl Albert Papers, courtesy of the Carl Albert Congressional Research and Studies Center, University of Oklahoma, Norman, Oklahoma)
July 16, 1974: Letter from Garrett to Sparkman re SEC Broker-Dealer Model Compliance
document pdf (Courtesy of the National Archives and Records Administration)
August 1974: The NASD - Origins, Recent Developments and Future Goals
transcript pdf (Courtesy FINRA)
August 7, 1974: New York Stock Exchange research report on member firm foreign activity
image pdf (Courtesy of the Gerald R. Ford Library)
August 9, 1974: Letter to Edward Fleischman from Kenneth Bialkin re SIPC Task Force Report
document pdf (Courtesy of Roberta Karmel)
August 9, 1974: Letter to Edward Fleischman from Kenneth Bialkin re SIPC Task Force Report
document pdf (Courtesy of Roberta Karmel)
August 12, 1974: Memo from Don Webster to William Baroody with proposed language from SEC for President Ford speech
image pdf (Courtesy of the Gerald R. Ford Library)
August 14, 1974: "The Commission and the Bar: Forty Good Years" - Address by SEC Commissioner A.A. Sommer, Jr. to the Annual Luncheon, Section of Corporation, Banking and Business Law, ABA 97th Annual Meeting
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 14, 1974: "Thoughts for the Insurance Company Director" - Address by SEC Commissioner A.A. Sommer, Jr. to the ABA 97th Annual Meeting
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
August 20, 1974: Letter from Irwin Langbein to Irma Mason on TMT Trailer Ferry, Inc. stockholder list
image pdf (Malcolm Mason Papers, with permission of Jan Freundschuh)
August 22, 1974: Letter from SEC Chairman Ray Garrett, Jr. to Senator Howard Metzenbaum on foreign ownership legislation
image pdf (Courtesy of the Gerald R. Ford Library)

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