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101 to 200 of 1650 records

Page:
September 30, 1980
46th Annual Report of the Securities and Exchange Commission
image pdf (Government Records)
October 1980
Acquisition of Technology-Based Firms by Tender Offer: An Economic and Financial Analysis - SEC Capital Market Working Papers
image pdf (Courtesy of the Library of Congress)
October 3, 1980
"The Foreign Challenge" - Remarks by SEC Commissioner Stephen J. Friedman, Los Angeles
image pdf (Government Records)
October 5, 1980
"The National Market System: An Update" - Address by SEC Chairman Harold M. Williams to National Security Traders Association
image pdf (Government Records)
October 9, 1980
Financial Accounting Standards: Controversy, Concepts and Consensus - Dr. Robert T. Sprouse
transcript pdf (Courtesy of JT Ball)
October 10, 1980
New York State Attorney General Release on surrender of Laurence Hecker
transcript pdf (Courtesy of Orestes Mihaly)
October 17, 1980
"Transition to the 1980s - Political and Economic Evolution" - Remarks by SEC Commissioner Stephen J. Friedman to Congress of European Federation of Financial Analysts Societies
image pdf (Government Records)
October 24, 1980
"Do We Measure Up?," Address by SEC Commissioner John R. Evans to the 13th Annual Rocky Mountain State-Federal Securities Conference
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
October 31, 1980
"Perpetuating Private Enterprise: The Relevance of the American Experience" - Address by SEC Chairman Harold M. Williams to Institute of Advanced Legal Studies, London
image pdf (Government Records)
November 1980
Securities and Exchange Commission v. E.L. Aaron & Co et al and Peter E. Aaron: Supplemental Brief of the SEC
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
November 3, 1980
"Accounting and Financial Reporting - The Challenges of the 1980s" - Address by SEC Chairman Harold M. Williams to the New York State Society of Certified Public Accountants
image pdf (Government Records)
November 11, 1980
"Corporate Accountability: A Participatory Process," Address by SEC Commissioner John R. Evans to "Corporate Governance Issues and the Corporate Secretary," National Association of Corporate Directors
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
November 13, 1980
"Do Regulations Reinforce Ethical Postures?" - Address by SEC Chairman Harold M. Williams to Hebrew Union College
image pdf (Government Records)
November 13, 1980
"Investment Management and the Glass-Steagall Act - The Emperor's New Clothes" - Remarks by SEC Commissioner Stephen J. Friedman to the Association of Bank Holding Companies
image pdf (Government Records)
November 13, 1980
"The U.S. National Market System: Progress, Problems and Issues" - Remarks by William M. Batten, New York Stock Exchange at EEC Symposium - "Towards a European Stock Exchange"
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
November 15, 1980
"Financial Regulators and Financial Markets: The Tortoise and the Hare" - Remarks by SEC Commissioner Stephen J. Friedman to Public Securities Association
image pdf (Government Records)
November 17, 1980
SEC Release: Steps Announced to Reduce Delays in Processing of Registration Statements
document pdf (Courtesy of Richard Rowe)
November 18, 1980
Memo from Roger Spencer, Reagan Administration Transition Team to Daniel Goelzer, SEC
transcript pdf (Courtesy of the Jimmy Carter Library and Museum)
November 21, 1980
"The Economy and the Future - The Tyranny of the Short-Run" - Address by SEC Chairman Harold M. Williams to the Commonwealth Club
image pdf (Government Records)
November 21, 1980
New York State Attorney General Release announcing injunction against M.J.K. Investors Corporation and Kevin O'Connell
image pdf (Courtesy of Orestes Mihaly)
November 24, 1980
"The SEC and the Internal Auditor" - Address by SEC Commissioner Philip A. Loomis, Jr. to the Institute of Internal Auditors and the National Association of Corporate Directors
image pdf (Government Records)
November 24, 1980
A.A. Sommer, Jr., The Myths of Corporate Governance
document pdf (Courtesy of Mrs. Storrow Sommer)
December 1980
Report of the Joint Treasury-SEC-Federal Reserve Study of the Government-Related Securities Markets
image pdf (Courtesy of the Library of Congress)
December 4,1980
"The Securities Industry in the Years Ahead" - Address by SEC Chairman Harold M. Williams to the Securities Industry Association
image pdf (Government Records)
December 5, 1980
"The Conservative Regulator as Adventurer" - Remarks by SEC Commissioner Stephen J. Friedman to American Law Institute - American Bar Association Course of Study on Broker-Dealer Regulation
image pdf (Government Records)
December 5, 1980
Transcript of exit interview with Dr. Frank Press, by Dr. Thomas Soapes
image pdf (Courtesy of the Jimmy Carter Library and Museum)
December 10, 1980
"A Time of Opportunity, A Time of Danger" - Address by William M. Batten, New York Stock Exchange at The Economy of 1981 Conference
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
December 10, 1980
For the Washington State Senate Energy and Utilities Committee, WPPSS Inquiry - Interview of Micaela Brostrom and John Atwill
image pdf (Courtesy of Washington State Archives)
December 12, 1980
Article entitled "Securities and Exchange Commmission Approves the NASD "Papilsky" Rules" by Eric Roiter and Benjamin Vandegrift
document pdf (Courtesy of Roberta Karmel)
December 12, 1980
Article entitled "Securities and Exchange Commmission Approves the NASD "Papilsky" Rules" by Eric Roiter and Benjamin Vandegrift
document pdf (Courtesy of Roberta Karmel)
December 17, 1980
"Pension Funds and Social Responsibility" - Remarks by SEC Commissioner Stephen J. Friedman at the Exchequer Club
image pdf (Government Records)
December 18, 1980
Memorandum to the SEC Division of Corporation Finance on Group Achievement Award
document pdf (Courtesy of David B.H. Martin, Jr.)
December 22, 1980
Final Report on SEC by Reagan Administration Transition Team

(Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)

December 24, 1980
Request to SEC for interpretive ruling for Tokyu Building, Inc.
image pdf (Courtesy of John Huber)
December 31, 1980
Resignation Letter from SEC Chairman Harold M. Williams to President-Elect Ronald Reagan
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
1981
NASD Annual Report

(Courtesy of FINRA)

1981
NASD Notices to Members

(Courtesy of FINRA)

January 1,1981
Newman Indictment
document pdf (Courtesy of Donna Nagy)
1981
The Depository Trust Company Annual Report
image pdf (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)
January 2, 1981
Transcript of exit inteview with Sarah Weddington, by Emily Soapes
image pdf (Courtesy of the Jimmy Carter Library and Museum)
January 8, 1981
Transcript of exit interview with Tom Lambrix, by Emily Soapes
image pdf (Courtesy of the Jimmy Carter Library and Museum)
January 10, 1981
Transcript of exit interview with Stuart Eizenstat, by Emily Soapes
image pdf (Courtesy of the Jimmy Carter Library and Museum)
January 13, 1981
"The Accounting Provisions of the Foreign Corrupt Practices Act: An Analysis," Address by SEC Chairman Harold M. Williams to the SEC Developments Conference, AICPA
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 13, 1981
Letter to SEC Chief Accountant A. Clarence Sampson from J. Michael Cook, American Institute of Certified Public Accountants on independence
image pdf (Courtesy of National Archives)
January 20, 1981
Letter from John J. Phelan, Jr., New York Stock Exchange to SEC Chairman Harold Williams on NASD request for linkage between its Computer Assisted Execution System (CAES) and Intermarket Trading System (ITS)
image pdf (Courtesy of the National Archives and Records Administration)
January 22, 1981
"The Corporation as a Continuing Enterprise" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute
image pdf (Government Records)
January 22, 1981
Letter from James C. Strode, Director, Kentucky Division of Securities, to U.S. Senator Wendell H. Ford on proposed changes to the SEC Division of Enforcement
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 23, 1981
"The Real Issue: Accountability and Responsibility" - Remarks by William M. Batten, New York Stock Exchange at Securities Regulation Institute
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
January 23, 1981
Memo to the SEC Commission from Paul Gonson and Frederick Wade on the GAO's Draft Report on the Foreign Corrupt Practices Act
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 26, 1981
Letter to U.S. Senator Charles Percy from Donald Winn, Federal Reserve in response to John Thorndike's question on day trading
transcript pdf (Courtesy of the Ronald Reagan Library)
January 28, 1981
Letter to President Reagan from U.S. Senator William Proxmire on SEC Transition Team Final Report
transcript pdf (Courtesy of the Ronald Reagan Library)
January 29, 1981
Confidential Letter from A.A. Sommer, Jr. to Edwin Meese III concerning the SEC
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
January 30, 1981
'High Noon' in Utah for Banking Law, Salt Lake Tribune Business
image pdf (Courtesy of David Silver)
February 1981
Letter to John Salmon, House Ways and Means Committee from John Wilkins, Department of the Treasury on revenue losses resulting from issuance of industrial revenue bonds
image pdf (Courtesy of National Archives and Records Administration)
February 2, 1981
Transcript of exit interview with William Cable, by Emily Soapes
image pdf (Courtesy of the Jimmy Carter Library and Museum)
February 4, 1981
Letter from U.S. Senator Donald W. Riegle, Jr. to SEC Chairman Harold M. Wililams on the Foreign Corrupt Practices Act
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 9, 1981
Letter from Abraham J. Briloff, Baruch College, The City University of New York, to Barron's on "Sporkin's Swan Song?" 2-2-81 editorial
document pdf (Courtesy of Theodore A. Levine)
February 10, 1981
Telegram from Arnold Christensen, Utah State Senate, to SEC Commissioner John R. Evans requesting testimony on the regulation of money market funds
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 13, 1981
Report of SEC Division of Investment Management on regulation of money market funds before Utah State Senate
image pdf (Courtesy of National Archives and Records Administration)
February 23, 1981
Letter from U.S. Representative John Dingell to SEC Chairman Harold M. Williams urging the SEC to require ITS and NASDAQ to implement automated interface
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
February 26, 1981
Memo to Washington State Senate Energy and Utilities Committee from Curtis Eschels with background material on WPPSS financing
transcript pdf (Courtesy of National Archives and Records Administration)
February 27, 1981
Letter to U.S. Senator William Proxmire from Max Friedersdorf on SEC Transition Team Final Report
transcript pdf (Courtesy of the Ronald Reagan Library)
March 11, 1981
"The Eighties May be the Good New Days" - Address by John J. Phelan, Jr., New York Stock Exchange at the Yale Club
image pdf (All rights are owned exclusively by NYSE Euronext (copyright) 2009 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives)
March 19, 1981
Letter from A.A. Sommer, Jr. to SEC Commissioner John R. Evans thanking Mr. Evans for his participation in the Securities Regulation Institute
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
March 20, 1981
Action memo to SEC Commission from Office of Chief Accountant regarding interpretive release on independence
image pdf (Courtesy of National Archives)
March 24, 1981
Mailgram to President Reagan from John Prince Thorndike requesting meeting concerning the SEC
transcript pdf (Courtesy of the Ronald Reagan Library)
April 1981
Ralph E. Huddleston and Chester E. Bradley, Jr. v. Herman & MacLean: Memorandum of the Securities and Exchange Commission, Amicus Curiae
image pdf (Harvey L. Pitt SEC Brief Collection, courtesy of Fried Frank Harris Shriver & Jacobson LLP)
April-May 1981
SEC Employee News
image pdf (Courtesy of the estate of Mollie B. Zion)
April 1, 1981
SEC First Six-Month Report on Implementation of the Market Oversight and Surveillance System (MOSS)
image pdf (Courtesy of David Morf)
April 6, 1981
Letter from Robert H. Davenport, SEC Regional Administrator - Denver, to Colorado Senator Ruth S. Stockton opposing cuts in funding for the Colorado Division of Securities
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 7, 1981
Letter from Michael Unger, Director, Massachusetts Securities Division, to SEC Secretary George A. Fitzsimmons on proposed Rule 17a-24: establishment of a customer complaint registry
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 7, 1981
Letter to A.A. Sommer, Jr. from Edwin Meese concerning appointment of John Shad as SEC Chairman
transcript pdf (Courtesy of the Ronald Reagan Library)
April 8, 1981
Department of Treasury News: Statement of John Chapoton, Assistant Secretary before Ways and Means Committee on current use of exempt industrial revenue bonds
image pdf (Courtesy of National Archives and Records Administration)
April 8, 1981
Statement of the Honorable John R. Evans, Commissioner of the Securities and Exchange Commission, before the House of Representatives Subcommittee on Domestic Monetary Policy of the House Committee on Banking, Finance and Urban Affairs, concerning the Regu
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 9, 1981
Letter from Frank Wiglusz to SEC Commissioner John R. Evans on money market funds
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 10, 1981
Letter from John K. Moore, The Beach Bank of Vero Beach, to U.S. Representative Bill McCollum on checking privileges through money market funds
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 13, 1981
Letter from John S.R. Shad, E.F. Hutton & Co., to SEC Commissioner John R. Evans before Mr. Shad's swearing-in as SEC Chairman
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 24, 1981
"The Foreign Corrupt Practices Act: The Chafee Amendments" - Remarks by SEC Commissioner Stephen J. Friedman to the Annual Meeting of the Association of American Chambers of Commerce in Latin America
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 27, 1981
"Blue Skies and New Horizons of Cooperation," 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 28, 1981
"Responsible Deregulation," Remarks of SEC Commissioner Barbara S. Thomas to the Federal Bar Association
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
April 30, 1981
Rohm and Hass Company: Reporting of Environmental Proceedings and Future Environmental Expenses
image pdf (Courtesy of George Bush Presidential Library and Museum)
May 1981
Telegram from U.S. Department of State on Foreign Corrupt Practices Act
image pdf (Courtesy of the Ronald Reagan Library)
May 4, 1981
Protest to President Reagan from Dr. Keith Roberts on mutual funds legislation
image pdf (Courtesy of National Archives and Records Administration)
May 5, 1981
Letter to President Reagan from Roger Sternberg in support of mutual funds legislation
image pdf (Courtesy of National Archives and Records Administration)
May 8, 1981
Amended Verified Complaint for Injunctive Relief: Nelson Bunker Hunt, et Al., Plaintiffs, v. United States Securities and Exchange Commission, Defendant; U.S. District Court - Northern District of Texas, Dallas Division
document pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 8, 1981
Letter from Douglas Scarff to Frank Wilson Regarding Section 8 of Article III of NASD Rules of Fair Practice
document pdf (Courtesy of Roberta Karmel)
May 8, 1981
Letter from Douglas Scarff to Frank Wilson Regarding Section 8 of Article III of NASD Rules of Fair Practice
document pdf (Courtesy of Roberta Karmel)
May 13, 1981
Statement of the Honorable John R. Evans, Commissioner of the Securities and Exchange Commission, before the United States Senate Committee on Banking, Housing and Urban Affairs, concerning the Regulation of Money Market Funds
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 16, 1981
Postcard from Joseph Mangine to SEC Commissioner John Evans in support of check writing privileges in money market funds
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 20, 1981
Statement of Sherman E. Unger, General Counsel, U.S. Department of Commerce, on amending the Foreign Corrupt Practices Act, S. 708
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 20, 1981
Testimony of William E. Brock, U.S. Trade Representative, on amending the Foreign Corrupt Practices Act, S.708
transcript pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 27, 1981
Letter from Ralph J. Bachenheimer, Corland Corporation, to SEC Chairman John S.R. Shad recommending consideration of John Fedders as Director of Enforcement
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
May 29, 1981
Memo to Ralph Ferrara from Peter Romeo on Comptroller of the Currency news release on retail repurchase
image pdf (Courtesy of David B.H. Martin)
June 1981
Telegram from U.S. Embassy in Madrid to Secretary of State concerning Foreign Corrupt Practices Act
transcript pdf (Courtesy of the Ronald Reagan Library)
June 1981
Telegrams from U.S. embassies on Foreign Corrupt Practices Act
image pdf (Courtesy of the Ronald Reagan Library)
June 3, 1981
Letter from Bernard H. Barnett, Barnett & Alagia, to Senator Paul Laxalt recommending consideration of John Fedders as SEC Director of Enforcement
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 8, 1981
The Options Markets Come of Age: Their Past, Present and Future - Address by SEC Commissioner Barbara S. Thomas to the American Stock Exchange
image pdf (Government Records)
June 16, 1981
Written Statement of the Honorable John S.R. Shad, SEC, before Joint Hearings of the Subcommittee on Securities and the Subcommittee on International Finance and Monetary Policy of the Senate Committee on Banking, Housing and Urban Affairs concerning S.708
image pdf (Courtesy of the estate of John R. Evans; made possible through a gift from Quinton F. Seamons)
June 19, 1981
Protest to President Reagan from Warren Sibley on mutual funds legislation
image pdf (Courtesy of National Archives and Records Administration)
June 24, 1981
Release from New York Attorney General Robert Abrams on amended regulations governing theatrical financing
image pdf (Courtesy of Orestes Mihaly)

101 to 200 of 1650 records

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