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568 records in this section.

May 1930: William Clark, William O. Douglas and Dorothy S. Thomas, The Business Failures Project: A Problem in Methodology.
[document] (pdf) (with permission of The Yale Law Journal Company and William S. Hein Company from The Yale Law Journal, Vol. 39, pages 1013-1024)
January 1932: William O. Douglas, Some Functional Aspects of Bankruptcy
[document] (pdf) (with permission of The Yale Law Journal Company and William S. Hein Company from The Yale Law Journal, Vol. 41, pages 329-364)
April 23, 1932: Testimony of Bernard Smith on Stock Exchange Practices (the Radio Pool) to the Committee on Banking and Currency, U.S. Senate
[document] (pdf) (Government Records)
May 1932: George E. Bates and William O. Douglas, Secondary Distribution of Securities: Problems Suggested by Kinney v. Glenny
[document] (pdf) (with permission of The Yale Law Journal Company and William S. Hein Company from The Yale Law Journal, Vol. 41, pages 949-1004)
February 21, 1933: Testimony of Charles Mitchell, First National City Bank President, to the Subcommittee of the Committee on Banking and Currency, U.S Senate (Pecora Committee)
[document] (pdf) (Government Records)
March 4, 1933: Inaugural Address of President Franklin D. Roosevelt
[document] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
May 5, 1933: Letter from Benjamin Cohen to James Landis
[transcript] (pdf) (Courtesy of the Library of Congress)
May 5, 1933: Letter from Benjamin Cohen to James Landis
[image] (pdf) (Courtesy of the Library of Congress)
May 8, 1933: Excerpt from Diary of Felix Frankfurter
[transcript] (pdf) (Courtesy of the Library of Congress)
May 8, 1933: Excerpt from Diary of Felix Frankfurter
[image] (pdf) (Courtesy of the Library of Congress)
May 27, 1933: The Securities Act of 1933
[document] (pdf) (Government Records)
June 7, 1933: Letter from Benjamin Cohen to James Landis
[transcript] (pdf) (Courtesy of the Library of Congress)
June 7, 1933: Letter from Benjamin Cohen to James Landis
[image] (pdf) (Courtesy of the Library of Congress)
June 10, 1933: "What Will Happen to the House of Morgan?," The Literary Digest
[document] (pdf) (Courtesy of the Library of Congress)
July 6, 1933: Rules and Regulations Under the Securities Act of 1933
[document] (pdf) (Courtesy of David Ratner)
August 31, 1933: Letter from J.C. Muirhead, Inc. to President Roosevelt protesting regulation
[transcript] (pdf) (Courtesy of the Library of Congress)
August 31, 1933: Letter from J.C. Muirhead, Inc. to President Roosevelt protesting regulation
[image] (pdf) (Courtesy of the Library of Congress)
September 15, 1933: Letter from E.G. Parsly, Parsly Bros. & Co., to Baldwin Bane
[transcript] (pdf) (Courtesy of the Library of Congress)
September 25, 1933: Telegrams to George Mathews from President Roosevelt on appointment to Federal Trade Commission Securities Division, along with acceptance of James Landis
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
September 25, 1933: Telegrams to George Mathews from President Roosevelt on appointment to Federal Trade Commission Securities Division, along with acceptance of James Landis
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
November 1933: George E. Bates and William O. Douglas, Stock "Brokers" as Agents and Dealers
[document] (pdf) (with permission of The Yale Law Journal Company and William S. Hein Company from The Yale Law Journal, Vol. 43, pages 46-62)
December 1933: George E. Bates and William O. Douglas, The Federal Securities Act of 1933
[document] (pdf) (with permission of The Yale Law Journal Company and William S. Hein Company from The Yale Law Journal, Vol. 43, pages 171-217)
1934: Parts I and II of Statement of Richard Whitney on H.R. 7852, National Securities Act of 1934
[image] (pdf) (Courtesy of the Library of Congress)
1934: Telegram from Lemuel C. Benedict to President Franklin Roosevelt
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
1934: Telegram from Lemuel C. Benedict to President Franklin Roosevelt
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
1934 to present: U.S. Securities and Exchange Commission Chairmen and Commissioners
[document] (tml) (Government Rercords)
1934 to present: U.S. Securities and Exchange Commission Home Offices Locations in Washington and Philadelphia
[document] (php)
1934: "Just 'A Little Red House' to Britten," Washington Herald - Representative Frederick Britten Accuses Benjamin Cohen and Thomas Corcoran of Foisting Communistic Legislation
[document] (pdf) (Courtesy of the Library of Congress)
January 17, 1934: Letter from George O. May, Price, Waterhouse & Co., to James Landis
[transcript] (pdf) (Courtesy of the National Archives)
January 17, 1934: Letter from George O. May, Price, Waterhouse & Co., to James Landis
[image] (pdf) (Courtesy of the National Archives)
February 1934: William O. Douglas - Protective Committees in Railroad Reorganizations
[document] (pdf) (with permission of the Harvard Law Review)
February 6, 1934: Message from President Roosevelt to U.S. Congress on Stock Exchange Practices
[document] (pdf) (Government Records)
February 11, 1934: Telegram from Thomas Corcoran to Felix Frankfurter
[transcript] (pdf) (Courtesy of the Library of Congress)
February 11, 1934: Telegram from Thomas Corcoran to Felix Frankfurter
[image] (pdf) (Courtesy of the Library of Congress)
February 24, 1934: Letter from Sam Untermyer to William O. Douglas
[document] (pdf) (Courtesy of the Library of Congress)
February 26, 1934: Excerpt of Testimony of Thomas Corcoran on the Securities Exchange Act before the Committee on Banking and Currency, U.S. Senate
[document] (pdf) (Government Records)
February 26, 1934: Excerpt of Testimony of Thomas Corcoran on the Securities Exchange Act before the Committee on Banking and Currency, U.S. Senate
[document] (pdf) (Government Records)
March 1, 1934: Private News Letter
[document] (pdf) (Courtesy of the Library of Congress)
March 1934: William O. Douglas, Protecting the Investor
[document] (pdf) (with permission of The Yale Law Journal)
March 22, 1934: Letter from Henry Morgenthau to President Roosevelt with Memorandum on the Stock Exchange Bill
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
March 22, 1934: Letter from Henry Morgenthau to President Roosevelt with Memorandum on the Stock Exchange Bill
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
March 22, 1934: Letter from Paul V. Shields to Postmaster General James A. Farley in protest of exchange reform
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
March 22, 1934: Letter from Paul V. Shields to Postmaster General James A. Farley in protest of exchange reform
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
March 25, 1934: Letter from Sarah Agrillo to President Roosevelt
[transcript] (pdf) (Courtesy of the Library of Congress)
March 25, 1934: Letter from Sarah Agrillo to President Roosevelt
[image] (pdf) (Courtesy of the National Archives)
April 12, 1934: Letter from Richard Whitney, New York Stock Exchange, to President Roosevelt requesting meeting on "unsound" securities legislation
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
April 13, 1934: Note from President Roosevelt to Col. Marvin H. McIntyre, his assistant personal secretary, on delaying meeting with Richard Whitney
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
April 13, 1934: Note from President Roosevelt to Col. Marvin H. McIntyre, his assistant personal secretary, on delaying meeting with Richard Whitney
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
April 19, 1934: Code of Fair Competition for Investment Bankers, with a descriptive analysis of its fair practice provisions and history of preparation - Investment Bankers Code Committee
[image] (pdf) (Courtesy FINRA)
April 24, 1934: Telegram from Milton Dammann, American Safety Razor Corporation, to Representative Sam Rayburn protesting the stock exchange bill
[transcript] (pdf) (Courtesy of the Library of Congress)
April 24, 1934: Telegram from Milton Dammann, American Safety Razor Corporation, to Representative Sam Rayburn protesting the stock exchange bill
[image] (pdf) (Courtesy of the Library of Congress)
May 1934: James M. Landis - "Should the Federal Securities Act of 1933 Be Modified?," Congressional Digest
[document] (pdf) (Courtesy of the Library of Congress)
May 11, 1934: Letter from Thomas Corcoran to Felix Frankfurter, reporting on conversations with Louis Brandeis (Isaiah) and Raymond Moley, and informing that "Joe K. in Boston" will be appointed to the SEC
[transcript] (pdf) (Courtesy of the Library of Congress)
May 23, 1934: Letter from Felix Frankfurter to President Roosevelt with advice on staffing the SEC
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
May 30, 1934: Letter from Richard Whitney to President Roosevelt expressing a desire to cooperate with the SEC
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
June 1934: William O. Douglas - Directors Who Do Not Direct
[document] (pdf) (with permission of the Harvard Law Review)
June 6, 1934: Stock Exchange Practices - Introduction to the Pecora Committee Report No. 1455
[document] (pdf) (Government Records)
June 6, 1934: The Securities Exchange Act
[document] (pdf) (Government Records)
June 14, 1934: Letter from James M. Landis to President Roosevelt
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
June 15, 1934: Working List of SEC Commission Membership, with President Roosevelt's Notes
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
June 15, 1934: Working List of SEC Commission Membership, with President Roosevelt's Notes
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
June 30, 1934: Handwritten Note from President Roosevelt to Raymond Moley
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
June 30, 1934: Handwritten Note from President Roosevelt to Raymond Moley
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
June 30, 1934: Securities Commission with Terms
[document] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
1934: SEC Commission and Staff List
[document] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 6, 1934: Letter from George E. Pimley to Joseph P. Kennedy supporting his appointment to the SEC
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 8, 1934: Notes of Felix Frankfurter Record of Conversation with James Landis
[transcript] (pdf) (Courtesy of the Library of Congress)
July 8, 1934: Notes of Felix Frankfurter Record of Conversation with James Landis [scanned image]
[document] (pdf) (Courtesy of the Library of Congress)
July 12, 1934: Telegram from Joseph P. Kennedy to Col. Marvin H. McIntyre for President Roosevelt in regards to Benjamin Cohen
[transcript] (pdf) (Courtesy of the National Archives)
July 12, 1934: Telegram from Joseph P. Kennedy to Col. Marvin H. McIntyre for President Roosevelt in regards to Benjamin Cohen
[image] (pdf) (Courtesy of the National Archives)
July 14, 1934: Letter from Joseph P. Kennedy to Bart A. Brickley
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 17, 1934: Telegram from Joseph P. Kennedy to Herbert B. Swope on appointment of John Burns as SEC General Counsel
[transcript] (pdf) (Courtesy of the National Archives)
July 17, 1934: Telegram from Joseph P. Kennedy to Herbert B. Swope on appointment of John Burns as SEC General Counsel
[image] (pdf) (Courtesy of the National Archives)
July 17, 1934: Telegram from Joseph P. Kennedy to Walter Stewart to organize a "division of economists"
[transcript] (pdf) (Courtesy of the National Archives)
July 17, 1934: Telegram from Joseph P. Kennedy to Walter Stewart to organize a "division of economists"
[image] (pdf) (Courtesy of the National Archives)
July 18, 1934: John T. Flynn - "Other People's Money," The New Republic
[transcript] (pdf) (with permission of The New Republic)
July 18, 1934: John T. Flynn - "Other People's Money," The New Republic
[image] (pdf) (with permission of The New Republic)
July 20, 1934: Letter from Ted Bulkeley, Spencer Trask & Co., to Joseph P. Kennedy
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 20, 1934: Letter from Ted Bulkeley, Spencer Trask & Co., to Joseph P. Kennedy
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 24, 1934: Letter from Herbert Bayard Swope to Joseph P. Kennedy on drafting, in consultation with Raymond Moley, the National Press Club speech
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 24, 1934: Letter from Herbert Bayard Swope to Joseph P. Kennedy on drafting, in consultation with Raymond Moley, the National Press Club speech
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 25, 1934: Telegram from Joseph P. Kennedy to Robert Fisher
[transcript] (pdf) (Courtesy of the National Archives)
July 25, 1934: Telegram from Joseph P. Kennedy to Robert Fisher
[image] (pdf) (Courtesy of the National Archives)
July 25, 1934: Telegram from Joseph P.Kennedy to John F. Forbes
[transcript] (pdf) (Courtesy of the National Archives)
July 25, 1934: Telegram from Joseph P.Kennedy to John F. Forbes
[image] (pdf) (Courtesy of the National Archives)
July 25, 1934: Telegram from Joseph P. Kennedy to Herbert B. Swope on the reception given the National Press Club speech
[transcript] (pdf) (Courtesy of the National Archives)
July 25, 1934: Telegram from Joseph P. Kennedy to Herbert B. Swope on the reception given the National Press Club speech
[image] (pdf) (Courtesy of the National Archives)
July 25, 1934: Address by the Honorable Joseph P. Kennedy, Chairman of the Securities and Exchange Commission, at National Press Club [transcription[
[document] (pdf) (Courtesy of the Library of Congress)
July 25, 1934: Telegram from Joseph P. Kennedy to John J. Burns to consider "Mr. Shea of Harvard Law School" for SEC Records and Filing
[transcript] (pdf) (Courtesy of the National Archives)
July 25, 1934: Telegram from Joseph P. Kennedy to John J. Burns to consider "Mr. Shea of Harvard Law School" for SEC Records and Filing
[image] (pdf) (Courtesy of the National Archives)
July 30, 1934: Letter from A.A. Berle, Jr. to Joseph P. Kennedy
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
August 1, 1934: Letter from Joseph P. Kennedy to A.A. Berle, Jr.
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
August 7, 1934: Telegram from Joseph P. Kennedy to Roger Babson
[transcript] (pdf) (Courtesy of the National Archives)
August 7, 1934: Telegram from Joseph P. Kennedy to Roger Babson
[image] (pdf) (Courtesy of the National Archives)
August 9, 1934: Telegram from SEC Chairman Kennedy to John Macomber, President, First Corporation
[transcript] (pdf) (Courtesy of the National Archives)
August 9, 1934: Telegram from SEC Chairman Kennedy to John Macomber, President, First Corporation
[image] (pdf) (Courtesy of the National Archives)
August 10, 1934: Letter from Joseph P. Kennedy to Postmaster General James Farley
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
August 13, 1934: Statement of the Purposes of the Securities and Exchange Commission, Accomplishments up to August 13, 1934, and Future Program
[transcript] (pdf) (Courtesy of the National Archives)
August 15, 1934: Letter from President Franklin D. Roosevelt to Adolf A. Berle, Jr.
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
September 8, 1934: Memorandum Preliminary to Hearings on Specialists, from SEC Trading and Exchange Division Director David Saperstein to the Commissioners
[transcript] (pdf) (Courtesy of the National Archives)
September 11, 1934: Telegram from Joseph P. Kennedy to C.B. Robbins on SEC temporary registration
[transcript] (pdf) (Courtesy of the National Archives)
September 11, 1934: Telegram from Joseph P. Kennedy to C.B. Robbins on SEC temporary registration
[image] (pdf) (Courtesy of the National Archives)
September 13, 1934: Memo on Restricting Specialists Activities, from J.A. Fayne to Chairman Kennedy
[transcript] (pdf) (Courtesy of the National Archives)
September 25, 1934: Urgent Memorandum from SEC Chairman Kennedy to Mr. Cohen and Mr. Davis
[transcript] (pdf) (Courtesy of the National Archives)
September 25, 1934: Urgent Memorandum from SEC Chairman Kennedy to Mr. Cohen and Mr. Davis
[image] (pdf) (Courtesy of the National Archives)
September 28, 1934: Letter from SEC Chairman Kennedy to George Breen re change in effective date of margin requirements to October 15
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
September 30, 1934: Excerpt from President Roosevelt Fireside Chat
[document] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
October 6, 1934: Letter from Joseph P. Kennedy to Joseph L. Merrill on the "humor of Wall Street"
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
October 9, 1934: Lettter from Joseph P. Kennedy to Senator Robert J. Bulkley on denial of temporary registration
[transcript] (pdf) (with permission of the John F. Kennedy Library)
October 10, 1934: Letter from Joseph P. Kennedy to Louis Howe on staff hiring
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
October 15, 1934: Letter from Joseph P. Kennedy to Richard Whitney, New York Stock Exchange, on specialist rules
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
October 19, 1934: Letter from Joseph P. Kennedy to the Comptroller General of the United States on SEC appropriations
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
October 25, 1934: Letter from Joseph P. Kennedy to C.B. Whitcomb, Cleveland Stock Exchange, in response to objections to the disclosure requirements for exchange registration
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 1, 1934: Memorandum from Judge Burns to SEC Chairman Kennedy re Investment Bankers' Code Discussion
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 5, 1934: Letter from Eddy Hanlon, Laidlaw & Co., to Joseph Kennedy on Mr. Kennedy's visit to the Boston Stock Exchange
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 5, 1934: Letter from Eddy Hanlon, Laidlaw & Co., to Joseph Kennedy on Mr. Kennedy's visit to the Boston Stock Exchange
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 5, 1934: Letter from Edson B. Smith, The Boston Herald and Boston Traveler, to Joseph Kennedy
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 5, 1934: Letter from Edson B. Smith, The Boston Herald and Boston Traveler, to Joseph Kennedy
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 6, 1934: Letter from Louis Wiley, The New York Times, to President Roosevelt on meeting with Joseph P. Kennedy
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
November 6, 1934: Letter from Louis Wiley, The New York Times, to President Roosevelt on meeting with Joseph P. Kennedy
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
November 9, 1934: Report from SEC Chairman Kennedy to the National Emergency Council
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 12, 1934: Address of James M. Landis before the National Association of State Security Commissioners at New Orleans, Louisiana
[transcript] (pdf) (Courtesy of the Library of Congress)
November 15, 1934: Address of Joseph P. Kennedy to the Boston Chamber of Commerce
[transcript] (pdf) (Courtesy of the Library of Congress)
November 15, 1934: SEC Release on SEC Chairman's Address to the Boston Chamber of Commerce
[transcript] (pdf) (Courtesy of the Library of Congress)
November 15, 1934: Telegram from "The Ten Fifteen Gang" (SEC Staff) to Joseph P. Kennedy
[transcript] (pdf) (Courtesy of the National Archives)
November 15, 1934: Telegram from "The Ten Fifteen Gang" (SEC Staff) to Joseph P. Kennedy
[image] (pdf) (Courtesy of the National Archives)
November 16, 1934: Telegram from J.A. Fayne to Joseph P. Kennedy on the costs of securities regulation
[transcript] (pdf) (Courtesy of the National Archives)
November 16, 1934: Telegram from J.A. Fayne to Joseph P. Kennedy on the costs of securities regulation
[image] (pdf) (Courtesy of the National Archives)
November 21, 1934: Letter from Joseph P. Kennedy to Secretary of the Interior Harold L. Ickes on proceedings against mining companies
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 21, 1934: Telegram from Joseph P. Kennedy to Felix Frankfurter
[transcript] (pdf) (Courtesy of the Library of Congress)
November 21, 1934: Telegram from Joseph P. Kennedy to Felix Frankfurter
[image] (pdf) (Courtesy of the Library of Congress)
November 22, 1934: Letter from Joseph P. Kennedy to Senator D.V. Fletcher on his financial arrangements while in government service
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 23, 1934: Letter from SEC Chairman Kennedy to the National Emergency Council
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 23, 1934: Telegram from Joseph P. Kennedy to James Landis with list of corporate executives consulted on registration revision
[transcript] (pdf) (Courtesy of the Library of Congress)
November 23, 1934: Telegram from Joseph P. Kennedy to James Landis with list of corporate executives consulted on registration revision
[image] (pdf) (Courtesy of the Library of Congress)
November 23, 1934: Telegram from Joseph P. Kennedy to W.S. Carpenter, Jr. , CEO, DuPont Corporation on registration revision
[transcript] (pdf) (Courtesy of the National Archives)
November 23, 1934: Telegram from Joseph P. Kennedy to W.S. Carpenter, Jr. , CEO, DuPont Corporation on registration revision
[image] (pdf) (Courtesy of the National Archives)
November 26, 1934: Telegram from W.S. Carpenter, Jr. to Joseph P. Kennedy
[transcript] (pdf) (Courtesy of the National Archives)
November 26, 1934: Telegram from W.S. Carpenter, Jr. to Joseph P. Kennedy
[image] (pdf) (Courtesy of the National Archives)
November 30, 1934: Telegram from Richard Whitney to Joseph P. Kennedy on his contacts with corporate executives
[transcript] (pdf) (Courtesy of the National Archives)
November 30, 1934: Telegram from Richard Whitney to Joseph P. Kennedy on his contacts with corporate executives
[image] (pdf) (Courtesy of the National Archives)
December 6, 1934: First Progress Report - Investment Bankers Code Committee
[image] (pdf) (Courtesy FINRA)
December 12, 1934: Letter from Edson B. Smith, The Boston Herald and Boston Traveler, to Joseph P. Kennedy
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
December 12, 1934: Letter from Edson B. Smith, The Boston Herald and Boston Traveler, to Joseph P. Kennedy
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
December 14, 1934: Letter from Joseph P. Kennedy to Edson B. Smith
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
December 17, 1934: Letter from Joseph P. Kennedy to Edward F. Heller on establishment of SEC office in San Francisco
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
December 17, 1934: Memorandum from Paul Gourrich to G.W. Goldschmidt on the 1933 Act
[transcript] (pdf) (Courtesy of the estate of Nathan Sameth)
December 18, 1934: Report from SEC Chairman Kennedy to the National Emergency Council
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
December 19, 1934: Letter from A.A. Berle, Jr. to Joseph P. Kennedy on registration revision
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
December 20, 1934: Memorandum from Felix Frankfurter to President Roosevelt, prepared by Marguerite La Hand
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
December 20, 1934: Memorandum from Felix Frankfurter to President Roosevelt, prepared by Marguerite La Hand
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
December 21, 1934: SEC Release on New Requirements for Permanent Registration
[transcript] (pdf) (Courtesy of the National Archives)
1935: U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
1935 to present: U.S. Securities and Exchange Commission Chiefs of Staff
[document] (pdf) (Government Rercords)
1935 to present: U.S. Securities and Exchange Commission Division of Corporation Finance, Division Directors
[document] (pdf) (Government Rercords)
1935 to present: U.S. Securities and Exchange Commission Division of Market Regulation, Division Directors
[document] (pdf) (Government Rercords)
1935 to present: U.S. Securities and Exchange Commission Office of the Chief Accountant, Chief Accountants
[document] (pdf) (Government Rercords and Robert J. Kueppers)
1935 to present: U.S. Securities and Exchange Commission Office of the General Counsel, General Counsels
[document] (pdf) (Government Rercords)
1935 to present: U.S. Securities and Exchange Commission Regional Administrators
[document] (pdf) (Government Records)
1935 to present: U.S. Securities and Exchange Commission Secretary
[document] (pdf) (Government Rercords)
1935: Undated (1935) Memo from William O. Douglas to President Roosevelt
[image] (pdf) (Courtesy of the Library of Congress)
1935: Undated (1935) Memo from William O. Douglas to President Roosevelt [transcript]
[document] (pdf) (Courtesy of the Library of Congress)
January 7, 1935: Letter from Joseph P. Kennedy to J.R. McCarl, Comptroller General of the U.S., on SEC funding (letter is mis-dated as 1934)
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
January 7, 1935: Letter from Joseph P. Kennedy to J.R. McCarl, Comptroller General of the U.S., on SEC funding (letter is mis-dated as 1934)
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
January 14, 1935: Letter from Joseph P. Kennedy to Representative James Buchanan on SEC attorney hirings
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
January 14, 1935: Letter from Joseph P. Kennedy to Representative James Buchanan on SEC staff and salary ranges (William O. Douglas, as Assistant Chief, Protective Committee Study, is a dollar-a-year man)
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
January 18, 1935: Address of SEC Commissioner George C. Mathews before the Illinois Society of Certified Public Accountants
[transcript] (pdf) (Courtesy of Stephen Zeff)
January 18, 1935: Resignation Letter from Ferdinand Pecora to President Roosevelt
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
January 19, 1935: Report from SEC Chairman Kennedy to the National Emergency Council
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
January 19, 1935: Telegram from E.J. Townsend to Felix Frankfurter
[transcript] (pdf) (Courtesy of the National Archives)
January 19, 1935: Telegram from E.J. Townsend to Felix Frankfurter
[image] (pdf) (Courtesy of the National Archives)
January 22, 1935: Telegram from Joseph P. Kennedy to Ferdinand Pecora
[transcript] (pdf) (Courtesy of the National Archives)
January 22, 1935: Telegram from Joseph P. Kennedy to Ferdinand Pecora
[image] (pdf) (Courtesy of the National Archives)
January 25, 1935: Report on the Government of Securities Exchanges
[document] (pdf) (Courtesy of the Government Documents Records)
January 28, 1935: Letter from Joseph P. Kennedy to Louis Howe on resignation of Ferdinand Pecora
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
January 28, 1935: Letter of Inquiry from George Evans to Mr. "John" Kennedy, Securities Exchange
[image] (pdf) (Courtesy of the National Archives)
January 28, 1935: Letter of Inquiry from George Evans to Mr. "John" Kennedy, Securities Exchange [transciption]
[document] (pdf) (Courtesy of the National Archives)
January 31, 1935: Letter from Joseph P. Kennedy to A.A. Berle, Jr.
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
February 1, 1935: Letter from James A. Fayne to Paul Shields, Shields & Company
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
February 2, 1935: Report from the SEC Chairman to the National Emergency Council
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
February 5, 1935: Letter from SEC General Counsel John J. Burns to D.H. Foote, Pacific Gas & Electric Company, on registration
[transcript] (pdf) (Courtesy of the National Archives)
February 7, 1935: Telegram from Joseph P. Kennedy to Richard Whitney on registration revision
[transcript] (pdf) (Courtesy of the National Archives)
February 7, 1935: Telegram from Joseph P. Kennedy to Richard Whitney on registration revision
[image] (pdf) (Courtesy of the National Archives)
February 8, 1935: Address by SEC Chairman Kennedy at Union League Club of Chicago, Illinois
[transcript] (pdf) (Courtesy of the Library of Congress)
February 14, 1935: Letter from Joseph P. Kennedy to Louis Howe on utilities holding company reform
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
March 7, 1935: Form A-2 Registration by Swift and Company
[document] (pdf) (Courtesy of the National Archives)
March 7, 1935: Letter from SEC Chairman Kennedy to Senator Duncan Fletcher
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
March 8, 1935: Letter from John J. Burns, SEC General Counsel, to Walter Lippmann
[transcript] (pdf) (Courtesy of the National Archives)
March 8, 1935: Telegram from Pacific Gas and Electric Company on SEC Filing
[transcript] (pdf) (Courtesy of the National Archives)
March 8, 1935: Telegram from Pacific Gas and Electric Company on SEC Filing
[image] (pdf) (Courtesy of the National Archives)
March 11, 1935: Letter from Joseph P. Kennedy to "Jack" Carey, Hayden Stone & Co.
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
March 15, 1935: Report from Wallace H. Fulton, Director of Compliance, to Rollin A. Wilbur, Managing Director, The Investment Bankers Code, on his visits to the Regional Code Committees
[transcript] (pdf) (Courtesy FINRA)
March 19, 1935: Address by SEC Chairman Kennedy before American Arbitration Association, New York City
[transcript] (pdf) (Courtesy of the Library of Congress)
March 19, 1935: SEC Release on American Arbitration Association Speech
[transcript] (pdf) (Courtesy of the Library of Congress)
March 19, 1935: Telegram from E.J. Townsend and all to Joseph P. Kennedy
[transcript] (pdf) (Courtesy of the National Archives)
March 19, 1935: Telegram from E.J. Townsend and all to Joseph P. Kennedy
[image] (pdf) (Courtesy of the National Archives)
March 21, 1935: Letter and Memorandum from SEC Chairman Kennedy to Richard Whitney, New York Stock Exchange, on the SEC's eleven recommendations
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
March 21, 1935: Memo from Mr. Fayne to SEC Chairman Kennedy re Anonymous Letter on Specialists and Odd-lot Houses of New York Stock Exchange
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
March 23, 1935: Letter from Joseph P. Kennedy to John C. Willever, Western Union Telegraph Co., on registration revision
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
March 26, 1935: Memo from E.J. Townsend to James Landis on staff overtime for corporate registration
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
March 27, 1935: Approval of Pacific Gas and Electric Company Filing of Amendments to Registration Statement
[document] (pdf) (Courtesy of the National Archives)
March 27, 1935: Approval of Swift and Company Filing of Amendments to Registration Statement
[document] (pdf) (Courtesy of the National Archives)
March 27, 1935: Traveling Expenses Authorization for J. Elmer Johnson
[document] (tml) (Government Records)
March 30, 1935: Letter from John M. Young, J.P. Morgan & Co., to David Saperstein, SEC Trading and Exchange Division, with critique of SEC draft regulations for the over-the-counter market
[transcript] (pdf) (Courtesy of the National Archives)
April 1, 1935: Letter from SEC Chairman Kennedy to George K. Weeks, Baker Weeks & Harden
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
April 9, 1935: Letter from The Bond Club of New Jersey to SEC
[document] (pdf) (Courtesy of the National Archives)
April 10, 1935: Report of meeting of the Committee on General Policy, Investment Bankers Code Committee, apopinted to deal with the SEC
[transcript] (pdf) (Courtesy FINRA)
April 11, 1935: Hiring Letter to J. Elmer Johnson
[document] (tml) (Government Records)
April 11, 1935: Letter from Joseph P. Kennedy to Senator Duncan V. Fletcher on registration
[transcript] (pdf) (Courtesy of the National Archives)
April 11, 1935: Letter of Authorization for J. Elmer Johnson
[document] (tml) (Government Records)
April 11, 1935: Memo from Thomas Gammack to Mr. Kennedy
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
April 12, 1935: Telegram from Joseph P. Kennedy to Felix Frankfurter, asking for assistance with "swan song" speech
[transcript] (pdf) (Courtesy of the National Archives)
April 12, 1935: Telegram from Joseph P. Kennedy to Felix Frankfurter, asking for assistance with "swan song" speech
[image] (pdf) (Courtesy of the National Archives)
April 16, 1935: Letter from Joseph P. Kennedy to The President, New York Stock Exchange, forwarding his recommended rules on trading
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
April 23, 1935: Address of the Hon. Joseph P. Kennedy at the Tercentenary Dinner (1635-1935) of the Boston Latin School
[transcript] (pdf) (Courtesy of the Library of Congress)
April 26, 1935: Letter from B. Hughes, Financial Editor, The Boston Post, to Joseph P. Kennedy
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
April 26, 1935: Letter from SEC Chairman Kennedy to Richard Whitney, New York Stock Exchange
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
April 26, 1935: Letter from SEC Chairman Kennedy to Richard Whitney, New York Stock Exchange
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
April 26, 1935: Memo from Abe Fortas to SEC Chairman Kennedy on Budget of Protective Committee Study
[document] (pdf) (Courtesy of the National Archives)
April 26, 1935: Memo from Abe Fortas to SEC Chairman Kennedy Re Senate Resolution 711
[document] (pdf) (Courtesy of the National Archives)
April 29, 1935: Letter from Joseph P. Kennedy to John J. Daly
[transcript] (pdf) (with permission of the John F. Kennedy Library)
May 1,1935: Memo from William O. Douglas to Mr. Neff re Form 14-K
[transcript] (pdf) (Courtesy of the Library of Congress)
May 8, 1935: Letter from SEC Chairman Kennedy to John J. Bennett, Attorney General of the State of New York, for information on securities law violators
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
May 10, 1935: Letter from Joseph P. Kennedy to Representative A.J. Sabath on appointments to the SEC Chicago office
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
May 23, 1935: Note from Joseph P. Kennedy to Felix Frankfurter stating "I am getting more and more sick of Washington"
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
May 23, 1935: Note from Joseph P. Kennedy to Felix Frankfurter stating "I am getting more and more sick of Washington"
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
May 29, 1935: Report on status of code - Investment Bankers Code Committee
[image] (pdf) (Courtesy FINRA)
June 4, 1935: Telegram from Joseph P. Kennedy to Roy Howard, The World Telegram, on meeting with accountants
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
June 4, 1935: Telegram from Joseph P. Kennedy to Roy Howard, The World Telegram, on meeting with accountants
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
June 5, 1935: Letter from Joseph P. Kennedy to Colonel Clarence Owens on William O. Douglas and the Protective Committee Study
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
June 6, 1935: Letter from Joseph P. Kennedy to President Roosevelt
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
June 8, 1935: Memo from Mr. Laufer to SEC Chairman Kennedy on "unusual stability" in market during the SEC's first year
[document] (pdf) (Courtesy of the National Archives)
June 10, 1935: Letter from Felix Frankfurter to Jerome Frank
[transcript] (pdf) (Courtesy of the Library of Congress)
June 15, 1935: Letter from SEC Chairman Kennedy to Mr. R. Head, concluding "Allow me to warn you again that nothing done by the Government makes stock market speculation safe."
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
June 19, 1935: Letter from SEC Chairman Kennedy to Jane Breed on the utilities bill
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
June 19, 1935: Letter from SEC Chairman Kennedy to Secretary of the Treasury Morgenthau on tax information to help detect over-the-counter traders
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
June 24, 1935: Letter from Thomas H. Gammack, Executive Assistant, to John De Witt on request for discussion with SEC Chairman Kennedy
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
June 28, 1935: Letter from Joseph P. Kennedy to Representative Sam Rayburn asking for postponement of effective date of PUHCA
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 1, 1935: Telephone Directory, Securities and Exchange Commission
[document] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 2, 1935: Letter from SEC Chairman Kennedy to Attorney General Homer Cummings on SEC enforcement of "bucket shops"
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 2, 1935: Letter from SEC Chairman Kennedy to President Roosevelt on the utilities bill
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 6, 1935: Letter from Joseph P. Kennedy to Haskins & Sells
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 8, 1935: Letter from SEC Chairman Kennedy to Senator Burton K. Wheeler on the Utility Bill
[transcript] (pdf) (Courtesy of the National Archives)
July 10, 1935: Letter from Representative Samuel B. Pettengill to SEC Chairman Kennedy on the Utility Bill
[document] (pdf) (Courtesy of the National Archives)
July 12, 1935: Letter from SEC Chairman Kennedy to Representative Samuel B. Pettengill on the Utility Bill
[transcript] (pdf) (Courtesy of the National Archives)
July 13, 1935: Letter from Joseph P. Kennedy to Herbert Bayard Swope on weekend spent working on the Utility Bill
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
July 15, 1935: Letter from Representative Samuel B. Pettengill to SEC Chairman Kennedy on the Utility Bill
[document] (pdf) (Courtesy of the National Archives)
July 22, 1935: Letter from Francis Brassor to William Douglas
[transcript] (pdf) (Courtesy of the National Archives)
July 22, 1935: Minutes of Code Committee Meeting
[image] (pdf) (Courtesy FINRA)
August 1, 1935: Letter from Nathan Sameth to Paul Gourrich on Disclosure
[transcript] (pdf) (Courtesy of the estate of Nathan Sameth)
1934-1935: New Securities Issued During the First Year of the Securities and Exchange Commission
[document] (pdf) (from the First and Second SEC Annual Reports)
September 1935: Enforcement Activities
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
September 6, 1935: Letter from Joseph P. Kennedy to George Steele, Assistant Headmaster, The Choate School, praising his son Jack (future President John F. Kennedy)
[transcript] (pdf) (Courtesy of the National Archives)
September 6, 1935: Letter from SEC Chairman Kennedy to Frank L. Grove, Editor, Alabama School Journal
[transcript] (pdf) (Courtesy of the National Archives)
September 6, 1935: Resignation Letter from SEC Chairman Joseph P. Kennedy to President Roosevelt
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
September 6, 1935: Resignation Letter from SEC Chairman Joseph P. Kennedy to President Roosevelt
[image] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
September 12, 1935: Letter from Joseph P. Kennedy to J.H. Tuttle, Standard Oil Company, on confidentiality of registration information
[transcript] (pdf) (Courtesy of the National Archives)
September 12, 1935: Telegram from Joseph P. Kennedy to Rosemary Kennedy
[transcript] (pdf) (Courtesy of the National Archives)
September 12, 1935: Telegram from Joseph P. Kennedy to Rosemary Kennedy
[image] (pdf) (Courtesy of the National Archives)
September 18, 1935: Letter from SEC Chairman Kennedy to William Chamberlain, Chairman, United Light & Power Company
[transcript] (pdf) (Courtesy of the National Archives)
September 18, 1935: Telegram from Joseph P. Kennedy to Frank W. Sullivan, Inland Steel Co.
[transcript] (pdf) (Courtesy of the National Archives)
September 18, 1935: Telegram from Joseph P. Kennedy to Frank W. Sullivan, Inland Steel Co.
[image] (pdf) (Courtesy of the National Archives)
September 20, 1935: Letter from President Roosevelt to Joseph P. Kennedy accepting his resignation from the SEC
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
September 21, 1935: Letter from Charles R. Gay, The New York Stock Exchange, to Joseph P. Kennedy on his resignation from the SEC
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
September 21, 1935: Letter from Charles R. Gay, The New York Stock Exchange, to Joseph P. Kennedy on his resignation from the SEC
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
September 23, 1935: Letter from Abe Fortas to Joseph P. Kennedy
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
September 23, 1935: Letter from Abe Fortas to Joseph P. Kennedy
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
September 23, 1935: Letter from Joseph P. Kennedy to Arthur Hays Sulzberger, The New York Times, stating "I am leaving public life today for good"
[transcript] (pdf) (Courtesy of the National Archives)
September 23, 1935: Letter from Kenneth Hogate, The Wall Street Journal, to Joseph P. Kennedy
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
September 23, 1935: Letter from Kenneth Hogate, The Wall Street Journal, to Joseph P. Kennedy
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
September 23, 1935: Letter of Farewell from Joseph P. Kennedy to Eugene Meyer, The Washington Post
[transcript] (pdf) (Courtesy of the National Archives)
September 24, 1935: Letter from David Saperstein, SEC Trading and Exchange Division, to Joseph P. Kennedy
[document] (pdf) (with permission of the John F. Kennedy Library Foundation)
September 28, 1935: Letter from SEC Chairman James Landis to Edward B. Raub, Jr.
[transcript] (pdf) (Courtesy of the National Archives)
September 28, 1935: SEC Release of Speech by Chairman James M. Landis on PUHCA
[transcript] (pdf) (Courtesy of the Library of Congress)
September 1935: Employees of the Commission
[transcript] (pdf) (with permission of the Franklin Delano Roosevelt Library and Museum)
October 9, 1935: John T. Flynn - "Other People's Money," The New Republic, citing Joseph P. Kennedy as "the most useful member of the Commission"
[transcript] (pdf) (with permission of The New Republic)
October 10, 1935: Memo on organization of Investment Bankers Conference Committee
[image] (pdf) (Courtesy FINRA)
October 12, 1935: Memo from Investment Bankers Conference Committee, with exchange of letters with SEC Chairmen Joseph P. Kennedy and James M. Landis
[image] (pdf) (Courtesy FINRA)
October 21, 1935: SEC Release
[document] (pdf) (Courtesy of the National Archives)
November 27, 1935: Letter from SEC Commissioner Robert Healy to Joseph P. Kennedy on the repercussions of the Utilities Act
[transcript] (pdf) (with permission of the John F. Kennedy Library Foundation)
November 27, 1935: Letter from SEC Commissioner Robert Healy to Joseph P. Kennedy on the repercussions of the Utilities Act
[image] (pdf) (with permission of the John F. Kennedy Library Foundation)
1936: SEC - Supreme Court Briefs, 1936 - Summer 2007, prepared by Michael Elliott
[image] (pdf)
1936: U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
1936 to 1983: U.S. Securities and Exchange Commission Division of Corporate Regulation, Division Directors
[document] (pdf) (Government Records.)
Undated (1936): Unsent Letter from William O. Douglas to President Roosevelt [transcript]
[document] (pdf) (Courtesy of Library of Congress)
1936: Undated Memo from Thomas Corcoran on Present and Proposed SEC Commissioners
[document] (pdf) (Courtesy of the Library of Congress)
1936: Undated Letter from William O. Douglas to Abe Fortas
[transcript] (pdf) (Courtesy of the Library of Congress)
1936: Undated Letter from William O. Douglas to Abe Fortas
[transcript] (pdf) (Courtesy of the Library of Congress)
January 18, 1936: "Shielding the Sheep" - Joseph P. Kennedy, as told to John B. Kennedy, The Saturday Evening Post
[image] (pdf) (Courtesy of the Library of Congress)
February 4, 1936: Letter from William O. Douglas to Abe Fortas
[transcript] (pdf) (Courtesy of the Library of Congress)
February 4, 1936: Letter from William O. Douglas to Chester C. Maxey, Whitman College
[transcript] (pdf) (Courtesy of the Library of Congress)
February 4, 1936: Letter from William O. Douglas to Joseph P. Kennedy
[transcript] (pdf) (Courtesy of the Library of Congress)
February 11, 1936: Letter from William O. Douglas to Arthur Kramer, Cook, Nathan, Lehman & Greenman
[transcript] (pdf) (Courtesy of the Library of Congress)
February 13, 1936: Letter from William O. Douglas to Abe Fortas
[transcript] (pdf) (Courtesy of the Library of Congress)
February 19, 1936: Letter from William O. Douglas to Judge Thomas W. Swan
[transcript] (pdf) (Courtesy of the Library of Congress)
February 19, 1936: Letter from William O. Douglas to Judge Thomas W. Swan
[image] (pdf) (Courtesy of the Library of Congress)
March 2, 1936: Letter from William O. Douglas to Professor George Bates, Harvard School of Business Administration
[transcript] (pdf) (Courtesy of the Library of Congress)
March 12, 1936: Letter from William O. Douglas to Abe Fortas on PUHCA
[transcript] (pdf) (Courtesy of the Library of Congress)
March 18, 1936: Letter from William O. Douglas to Anthony McCrann, Westheimer & Co.
[transcript] (pdf) (Courtesy of the Library of Congress)
March 18, 1936: Letter from William O. Douglas to Professor J.E. McDonough, Yale University
[transcript] (pdf) (Courtesy of the Library of Congress)
March 30, 1936: Memo to the SEC Commission from David Saperstein, Trading and Exchange Division, with report on the feasibility and advisability of the complete segregation of the functions of dealer and broker
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 1936: William O. Douglas, Education for the Law, Address to the American Association of Collegiate Schools of Business
[document] (pdf) (with permission of the Yale University Press)
April 6, 1936: Jones v. SEC, 298 US 1
[document] (pdf) (Courtesy of the National Archives)
April 14, 1936: Letter from William O. Douglas to Professor Glenn Paxon, Yale University
[transcript] (pdf) (Courtesy of the Library of Congress)
April 21, 1936: Memo from Paul P. Gourrich to SEC Chairman Landis on Treasury reports on international security transactions
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 28, 1936: Letter from SEC Chairman James M. Landis to Wertheim & Co. requesting daily information on volume of security transactions for foreign accounts in American markets
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 28, 1936: Letter from William O. Douglas to Dean Charles Clark, Yale Law School
[transcript] (pdf) (Courtesy of the Library of Congress)
April 29, 1936: Letter from William O. Douglas to Professor George Bates, Harvard Business School
[transcript] (pdf) (Courtesy of the Library of Congress)
May 5, 1936: Letter from Paul P. Gourrich to J.P. Morgan & Company on reports on sales of American stocks for foreign accounts
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 11, 1936: Memorandum from Nathan Sameth to Paul Gourrich on the Docket's Section Industrial Classification
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
May 14, 1936: Memo from William O. Douglas to Dean Charles Clark on Combined Law-Business Course
[transcript] (pdf) (Courtesy of the Library of Congress)
May 15, 1936: Letter from William O. Douglas to Virgil Langtry
[transcript] (pdf) (Courtesy of the Library of Congress)
May 19, 1936: Letter from SEC Chairman James M. Landis to Dominick & Dominick requesting information on volume and value of transactions in American stocks executed for foreign accounts
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 20, 1936: Letter from William O. Douglas to Justice Louis Brandeis
[transcript] (pdf) (Courtesy of the Library of Congress)
May 29, 1936: Letter from William O. Douglas to Senator Joseph C. O'Mahoney Re HR8940
[transcript] (pdf) (Courtesy of the Library of Congress)
June 9, 1936: Telegram from William O. Douglas to Abe Fortas
[transcript] (pdf) (Courtesy of the Library of Congress)
June 18, 1936: Letter from William O. Douglas to Edward D. Jones, Edward D. Jones & Co.
[transcript] (pdf) (Courtesy of the Library of Congress)
June 20, 1936: U.S. Securities and Exchange Commission Report on the Feasibility and Advisability of the Complete Segregation of the Functions of Dealer and Broker
[image] (pdf) (Anonymous)
June 22, 1936: Letter from William O. Douglas to John A. Carroll, South Side Savings Bank & Trust
[transcript] (pdf) (Courtesy of the Library of Congress)
June 23, 1936: Letter from William O. Douglas to Louis Wehle
[transcript] (pdf) (Courtesy of the Library of Congress)
June 23, 1936: Memo from William O. Douglas to Judge Burns
[transcript] (pdf) (Courtesy of the Library of Congress)
June 27, 1936: Letter from William O. Douglas to Institute of Public Affairs
[transcript] (pdf) (Courtesy of the Library of Congress)
June 29, 1936: Letter from B. Howell Griswold, Jr., Investment Bankers Conference Committee to SEC Chairman James M. Landis
[image] (pdf) (Courtesy FINRA)
June 29, 1936: Letter from SEC Chairman James M. Landis to B. Howell Griswold, Jr., Investment Bankers Conference Committee
[image] (pdf) (Courtesy FINRA)
June 29, 1936: Statement of SEC Chairman to Members of Special Committee for Permanent Plan of the Investment Bankers Conference Committee
[image] (pdf) (Courtesy FINRA)
July 7, 1936: Letter from William O. Douglas to President Roosevelt
[transcript] (pdf) (Courtesy of the Library of Congress)
July 8, 1936: Letter from William O. Douglas to James Landis
[transcript] (pdf) (Courtesy of the Library of Congress)
July 11, 1936: William O. Douglas, Margins and Markets, Response to Charles Gay, New York Stock Exchange
[document] (pdf) (with permission of the Yale University Press)
July 13, 1936: Letter from William O. Douglas to Harold Laski, London School of Economics
[transcript] (pdf) (Courtesy of the Library of Congress)
July 14, 1936: Letter from William O. Douglas to Professor Glenn Paxon
[transcript] (pdf) (Courtesy of the Library of Congress)
July 21, 1936: Letter from William O. Douglas to Charles Gay, New York Stock Exchange
[transcript] (pdf) (Courtesy of the Library of Congress)
July 22, 1936: Notes from SEC Meeting on Broker-Dealer Segregation
[transcript] (pdf) (Courtesy of the Library of Congress)
July 23, 1936: Letter from William O. Douglas to Robert Jackson, Assistant Attorney General
[transcript] (pdf) (Courtesy of the Library of Congress)
July 27, 1936: Telegram from William O. Douglas to Thomas Corcoran
[transcript] (pdf) (Courtesy of the Library of Congress)
July 27, 1936: Telegram from William O. Douglas to Thomas Corcoran
[image] (pdf) (Courtesy of the Library of Congress)
July 28, 1936: Letter from William O. Douglas to Justice Louis Brandeis
[transcript] (pdf) (Courtesy of the Library of Congress)
August 3, 1936: Memo from J.Q. Newton
[transcript] (pdf) (Courtesy of the Library of Congress)
August 4, 1936: Letter to New York Stock Exchange members and their partners requesting views on SEC Report on Segregation
[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 5, 1936: Letter from Francis P. Brassor, SEC Secretary to Senator Hugo Black
[document] (pdf) (Courtesy of the National Archives)
August 22, 1936: Memo from SEC Research Division to Chairman Landis on August 21st transactions in American stocks for foreign accounts
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
August 31, 1936: Memo on formation of self-regulatory organization from Investment Bankers Conference Committee
[image] (pdf) (Courtesy FINRA)
September 3, 1936: Memo on application to self-regulatory organization from Investment Bankers Conference Committee
[image] (pdf) (Courtesy FINRA)
September 3, 1936: Plan of the Investment Bankers Conference Committee to incorporate as the Investment Bankers Conference, Inc.
[image] (pdf) (Courtesy FINRA)
October 27, 1936: William O. Douglas, The Forces of Disorder, Address at the University of Chicago
[document] (pdf) (with permission of the Y ale University Press)
October 28, 1936: Letter from Carl E. Parry, Federal Reserve, to SEC Chairman James Landis, with memo on comparative costs of trading in New York and London
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 30, 1936: Letter from Edith Waters to Abe Fortas
[transcript] (pdf) (Courtesy of the Library of Congress)
November 1936: William O. Douglas, Municipal Debt Readjustment, Paper read before the U.S. Conference of Mayors
[document] (pdf) (with permission of the Yale University Press)
November 2, 1936: Letter from William O. Douglas to Abe Fortas re Deposit Agreements v. Proxies
[transcript] (pdf) (Courtesy of the Library of Congress)
November 23, 1936: Memo from R.W. Goldschmidt to SEC Chairman Landis on foreign trading in American securities
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 27, 1936: Letter from O.H. Allred, SEC Regional Administrator, to C. Roy Smith, Chief of SEC Oil and Gas Unit
[image] (pdf) (Courtesy of the National Archives and Records Administration)
November 30, 1936: Memo from SEC Research Division to Chairman Landis on comparison between reports on foreign transactions in American securities made to the Treasury and to the SEC
[image] (pdf) (Courtesy of the National Archives and Records Administration)
December 5, 1936: Telegram from Howard Judy, SEC Regional Administrator, to Allen Throop, SEC Assistant General Counsel
[transcript] (pdf) (Courtesy of the National Archives)
December 5, 1936: Telegram from Howard Judy, SEC Regional Administrator, to Allen Throop, SEC Assistant General Counsel
[image] (pdf) (Courtesy of the National Archives)
December 9, 1936: Memo from Paul P. Gourrich to SEC Chairman Landis with excerpts on foreign funds in U.S.A. markets
[transcript] (pdf) (Courtesy of the Library of Congress)
December 11, 1936: Confidential memo by Paul P. Gourrich on foreign buying
[transcript] (pdf) (Courtesy of the Library of Congress)
1937: U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
January 11, 1937: "Some Accounting Problems of the Securities and Exchange Commission" - Address by Carman G. Blough before the New York State Society of CPAs
[transcript] (pdf) (Courtesy of the AICPA Library Collection, University of Mississippi)
January 16, 1937: "Big Business, What Now?" - Joseph P. Kennedy, The Saturday Evening Post
[transcript] (pdf) (Courtesy of the Library of Congress)
January 19, 1937: SEC Release
[transcript] (pdf) (Courtesy of the National Archives)
January 25, 1937: Letter from William O. Douglas to Abe Fortas
[document] (pdf) (Courtesy of the Library of Congress)
January 26, 1937: Minutes of meeting of the Governing Committee, Investment Bankers Conference, Inc.
[image] (pdf) (Courtesy FINRA)
January 28, 1937: Letter from R.E. McDonnell to Senator George Norris
[document] (pdf) (Courtesy of the National Archives)
February 1, 1937: Memo from Allen E. Throop to SEC Chairman James Landis, accompanying memorandum from Alexander Hawes on registration statement for Konversionskasse
[image] (pdf) (Courtesy of the National Archives and Records Administration)
February 15, 1937: Letter from Edith Waters to Abe Fortas
[transcript] (pdf) (Courtesy of the Library of Congress)
February 26, 1937: Memo from Paul P. Gourrich and R.W. Goldschmidt to Roswell McGill, Undersecretary of the Treasury on proposed transfer tax on foreign investments
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 1, 1937: Letter from William O. Douglas to Abe Fortas
[transcript] (pdf) (Courtesy of the Library of Congress)
March 2, 1937: Letter from the American Accounting Association to Carman Blough, SEC Chief Accountant
[document] (pdf) (Courtesy of the National Archives)
March 5, 1937: Letter from Arthur Young & Co. to Carman Blough, SEC Chief Accountant
[document] (pdf) (Courtesy of the National Archives)
March 10, 1937: Foreign Bond Report - Conclusions and Recommendations
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 20, 1937: William O. Douglas, Lawyers and Conflicts of Interest, Talk before the Eastern Law Students Conference
[document] (pdf) (with permission of the Yale University Press)
March 23, 1937: Letter from William O. Douglas to Felix Frankfurter
[transcript] (pdf) (Courtesy of the Library of Congress)
March 24, 1937: William O. Douglas, Investment Banking, Speech to The Bond Club of New York
[document] (pdf) (with permission of the Yale University Press)
March 31, 1937: Text of telegram from Henry Mann to Stewart C. Pratt, National City Bank on Konversionskasse
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 1937 (undated): Text of telegram from Stewart C. Pratt, National City Bank on issuance of dollar bonds in Germany
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 1, 1937: Text of telegram from Stewart C. Pratt, National City Bank to Henry Mann advising against suggested procedure of issuing funding bonds
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 5, 1937: Letter from William O. Douglas to Representative Walter Chandler
[transcript] (pdf) (Courtesy of the Library of Congress)
April 8, 1937: Memo from Milton Katz to SEC Chairman James Landis with draft letter to "The Economist" on Konversionskasse 3% dollar bonds
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 24, 1937: Letter from William O. Douglas to E.M. Moore
[transcript] (pdf) (Courtesy of the Library of Congress)
April 29, 1937: Text of telegram from Henry Mann to Stewart C. Pratt, National City Bank on Konversionskasse
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 6, 1937: Report of George W. Davis, Chairman of District #2 of Investment Bankers Conference, Inc., before the Governing Committee at Chicago
[transcript] (pdf) (Courtesy FINRA)
May 10, 1937: SEC Report on the Study and Investigation of the Work, Activities, Personnel and Functions of Protective Committees and Reorganization Committees, US Government Printing Office (introduction and excerpts)
[document] (pdf) (Courtesy of the National Archives)
May 11, 1937: Letter from William O. Douglas to Justice Louis Brandeis
[transcript] (pdf) (Courtesy of the Library of Congress)
May 14, 1937: Letter from William O. Douglas to John L. Lewis
[transcript] (pdf) (Courtesy of the Library of Congress)
May 14, 1937: SEC Report on the Study and Investigation of the Work, Activities, Personnel and Functions of Protective and Reorganization Committees - Part V: Protective Committees and Agencies for Holders of Defaulted Foreign Government Bonds
[image] (pdf) (Government Records)
May 15, 1937: Letter from William O. Douglas to Walter Lippmann
[transcript] (pdf) (Courtesy of the Library of Congress)
May 20, 1937: Letter from Stewart C. Pratt, National City Bank to SEC Chairman James Landis on German bonds
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 20, 1937: Transcript of Telephone Conversation between Stewart C. Pratt, City Bank-Farmers Trust Company and James Landis
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 24, 1937: Memo from Allen E. Throop to SEC Chairman James Landis, responding to May 20th letter from Stewart Pratt
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 29, 1937: Letter from SEC Chairman James M. Landis to Stewart C. Pratt, National City Bank on filing requirements for German bonds
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 1937: William O. Douglas, The Need For Reform in Corporate Reorganizations, Address to the National Association of Credit Men
[document] (pdf) (with permission of the Yale University Press)
June 8, 1937: William O. Douglas, Protective Committees, Statement before Interstate and Foreign Commerce Committee of the U.S. House of Representatives
[document] (pdf) (with permission of the Yale University Press)
June 30, 1937: Letter from William O. Douglas to Felix Frankfurter
[transcript] (pdf) (Courtesy of the Library of Congress)
July 16, 1937: Memo from Samuel O. Clark, Jr. to the SEC Commission with July 13, 1937 letter and report from J. Reuben Clark, Jr., Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 21, 1937: Letter from SEC Chairman James M. Landis to Francis White, Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 22, 1937: Joint Release by the Department of State and the Securities and Exchange Commission - Establishment of a Board of Visitors for the Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 29, 1937: Letter from William O. Douglas to J. Maynard Keynes
[transcript] (pdf) (Courtesy of the Library of Congress)
August 7, 1937: Letter from Utilities Holding Corporation to W.C. Gilman, SEC Public Utilities Division
[document] (pdf) (Courtesy of the National Archives)
August 12, 1937: Letter from Edmund Burke, Jr. to Representative Walter Chandler
[transcript] (pdf) (Courtesy of the Library of Congress)
August 13, 1937: Securities Exchange Act of 1934, Release No. 1350 concerning the Alleghany Corporation and the Chesapeake Corporation
[document] (pdf) (Courtesy of Richard Rowe)
August 20, 1937: Letter from William O. Douglas to F.J. Bailey, Bureau of the Budget
[transcript] (pdf) (Courtesy of the National Archives)
August 31, 1937: Address of SEC Commissioner Robert E. Healy at the Annual Meeting of the National Association of Railroad and Utilities Commissioners
[transcript] (pdf) (Courtesy of Stephen Zeff)
September 20, 1937: Letter from Association of American Railroads to SEC Chairman Douglas
[document] (pdf) (Courtesy of the National Archives)
October 1937: SEC memorandum on the problems of organization and administration of the New York Stock Exchange
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 2, 1937: Memo from David Saperstein to the SEC Commmission on the status of foreign selling survey
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 5, 1937: "Some Problems in Presentation of Financial Information to Investors" - Address by Carman G. Blough before the Controllers Institute of America
[transcript] (pdf) (Courtesy of the AICPA Library Collection, University of Mississippi)
October 8, 1937: Memorandum from Paul Gourrich to SEC Chairman William Douglas
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
October 12, 1937: Memo from Paul P. Gourrich to SEC Chairman Douglas on foreign stock transactions on October 11
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 18, 1937: Memorandums from Nathan Sameth to Paul Gourrich on the 1933 Act as well as on Replacement of Bearer Bonds by Registered Bonds
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
October 20, 1937: Report of B. Howell Griswold, Jr., Chairman, Investment Bankers Conference, Inc. on talk with SEC Chairman William O. Douglas
[transcript] (pdf) (Courtesy FINRA)
October 25, 1937: Memo from Chester Lane re Conference with Dorothy Kenyon
[document] (pdf) (Courtesy of the National Archives)
December 31, 1937: Letter from Chester T. Lane, SEC Assistant General Counsel, to Gaylord D. Adsit, Esq. on Rule MC4
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 31, 1937: Report to the Secretary of State from SEC Chairman William O. Douglas and Herbert Feis, Adviser on International Economic Affairs - Department of State, of the visit of the Board of Visitors for the Foreign Bondholders Protective Council, Inc. to the Counc
[document] (pdf) (Courtesy of the National Archives and Records Administration)
1938: U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
1938: Undated Memo from William O. Douglas on Chapter X of National Bankruptcy Act
[transcript] (pdf) (Courtesy of the National Archives)
January 6, 1938: Letter from William O. Douglas to John T. Flynn
[transcript] (pdf) (Courtesy of the Library of Congress)
January 6, 1938: Letter from William O. Douglas to Morris Gutman, Lehman Brothers
[transcript] (pdf) (Courtesy of the Library of Congress)
January 7, 1938: Letter from William O. Douglas to Representative Jerry Voorhis
[transcript] (pdf) (Courtesy of the Library of Congress)
January 10, 1938: Letter from William O. Douglas to Edward H. Collins, The New York Herald Tribune
[transcript] (pdf) (Courtesy of the Library of Congress)
January 12, 1938: Letter from William O. Douglas to Ernest Angell, SEC Regional Administrator
[transcript] (pdf) (Courtesy of the Library of Congress)
January 14, 1938: Letter from William O. Douglas to Felix Frankfurter
[transcript] (pdf) (Courtesy of the Library of Congress)
January 18, 1938: Copy of Maloney Bill distributed to members of the Investment Bankers Conference, Inc.
[transcript] (pdf) (Courtesy FINRA)
January 22, 1938: Letter from the Chicago Stock Exchange to Harold Neff, SEC Forms and Regulation Division
[document] (pdf) (Courtesy of the National Archives)
January 24, 1938: Letter from Goldman, Sachs & Co. to Ganson Purcell, SEC Trading and Exchange Division
[document] (pdf) (Courtesy of the National Archives)
January 26, 1938: Letter from William O. Douglas to David Lilienthal, Tennessee Valley Authority
[transcript] (pdf) (Courtesy of the Library of Congress)
January 28, 1938: Memo from William O. Douglas to President Roosevelt re Over-the-Counter Brokers and Dealers
[transcript] (pdf) (Courtesy of the Library of Congress)
January 29, 1938: Letter from William O. Douglas to Dr. Herbert Feis, State Department
[transcript] (pdf) (Courtesy of the Library of Congress)
January 29, 1938: Letter from William O. Douglas to Representative Harry L. Englebright
[transcript] (pdf) (Courtesy of the Library of Congress)
January 29, 1938: Memo from William O. Douglas to President Roosevelt re Financial Problems of Small Businesses
[transcript] (pdf) (Courtesy of the Library of Congress)
February 1, 2, 8 and 9, 1938: Regulation of Over-the-Counter Markets - Hearings before the U.S. Senate Committee on Banking and Currency on S.3255
[image] (pdf) (Courtesy FINRA)
February 2, 1938: SEC Letter re Short Selling
[transcript] (pdf) (Courtesy of the National Archives)
February 4, 1938: Letter from William O. Douglas to Justice Hugo Black
[transcript] (pdf) (Courtesy of the Library of Congress)
February 4, 1938: Letter from William O. Douglas to Senator Francis T. Maloney
[transcript] (pdf) (Courtesy of the Library of Congress)
February 5, 1938: Letter from William O. Douglas to Walter Breslav
[transcript] (pdf) (Courtesy of the Library of Congress)
February 5, 1938: SEC Release
[document] (pdf) (Courtesy of the National Archives)
February 8, 1938: Telegram from William Bacon, San Francisco Stock Exchange, to Ganson Purcell, SEC
[document] (pdf) (Courtesy of the National Archives)
February 10, 1938: Letter from New York Stock Exchange to Ganson Purcell, SEC Trading and Exchange Division
[document] (pdf) (Courtesy of the National Archives)
February 10, 1938: Letter from William O. Douglas to Howard Buffett
[transcript] (pdf) (Courtesy of the Library of Congress)
February 10, 1938: Telegram from Lew Hahn, National Retail Dry Goods Association, to Harold Neff, SEC Division of Forms & Regulation
[transcript] (pdf) (Courtesy of the National Archives)
February 10, 1938: Telegram from Lew Hahn, National Retail Dry Goods Association, to Harold Neff, SEC Division of Forms & Regulation
[image] (pdf) (Courtesy of the National Archives)
February 11, 1938: Letter from William O. Douglas to Charles Gay, New York Stock Exchange
[transcript] (pdf) (Courtesy of the Library of Congress)
February 11, 1938: Letter from William O. Douglas to Wesley W. Stout, The Saturday Evening Post
[transcript] (pdf) (Courtesy of the Library of Congress)
February 12, 1938: Letter from David Ginsburg to Felix Frankfurter
[document] (pdf) (Courtesy of David Ginsburg)
February 12, 1938: Letter from Marriner S. Eccles, Federal Reserve to SEC Chairman William O. Douglas, with Mr. Eccles's letter to Herbert Feis, Adviser on International Economic Affairs, State Department
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
February 14, 1938: Letter from William O. Douglas to James Roosevelt
[transcript] (pdf) (Courtesy of the Library of Congress)
February 15, 1938: Letter from Standard Stock Exchange to Day Karr, SEC
[document] (pdf) (Courtesy of the National Archives)
February 17, 1938: Letter from Representative Boileau to SEC Chairman Douglas
[document] (pdf) (Courtesy of the National Archives)
February 17, 1938: Memo from Paul Gourrich to SEC Chairman Douglas on material on foreign transactions in American securities
[transcript] (pdf) (Courtesy of the Library of Congress)
February 18, 1938: Memo from William O. Douglas to President Roosevelt re Federal Licensing Act for Corporations
[transcript] (pdf) (Courtesy of the Library of Congress)
February 21, 1938: Memo from Samuel Clark, Jr. to William O. Douglas re release of Protective Committee Study Report to press
[transcript] (pdf) (Courtesy of the National Archives)
February 24, 1938: Letter from William O. Douglas to Representative Gerald J. Boileau
[document] (pdf) (Courtesy of the National Archives)
February 24, 1938: Mark-up of SEC Release on Regulation Z
[document] (pdf) (Courtesy of the National Archives)
February 25, 1938: SEC Release
[document] (pdf) (Courtesy of the National Archives)
February 28, 1938: Letter from Charlton Ogburn to SEC Chairman Douglas
[document] (pdf) (Courtesy of the National Archives)
February 28, 1938: Memo from William O. Douglas to President Roosevelt re Financial Problems of Small Businesses
[transcript] (pdf) (Courtesy of the Library of Congress)
March 1, 1938: Memo from William O. Douglas to President Roosevelt re Capital Markets
[transcript] (pdf) (Courtesy of the Library of Congress)
March 3, 1938: Letter from SEC Chairman William O. Douglas to J. Reuben Clark, Jr., Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 9, 1938: Memo from SEC Commissioner Hanes to Chairman Douglas on Lunsford "Jack" Yandell
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 19, 1938: Address by SEC Chairman William O. Douglas on the reorganization of the New York Stock Exchange
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 22, 1938: Telegram from William O. Douglas to Thomas Dewey
[transcript] (pdf) (Courtesy of the Library of Congress)
March 22, 1938: Telegram from William O. Douglas to Thomas Dewey
[image] (pdf) (Courtesy of the Library of Congress)
March 23, 1938: Report of meeting of Nominating Committee, New York Stock Exchange with SEC Chairman William O. Douglas
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 25, 1938: Letter from William O. Douglas to Howland S. Davis, New York Stock Exchange
[transcript] (pdf) (Courtesy of the Library of Congress)
March 25, 1938: Partial letter from SEC Chairman William O. Douglas to J. Reuben Clark, Jr., Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 26, 1938: Letter from William O. Douglas to President Roosevelt
[transcript] (pdf) (Courtesy of the Library of Congress)
March 28, 1938: Electric Bond & Share v. SEC, No. 636
[document] (pdf) (Courtesy of the National Archives)
April 1, 1938: Letter from William O. Douglas to Charles Gay, New York Stock Exchange
[transcript] (pdf) (Courtesy of the Library of Congress)
April 1938: U.S. Securities and Exchange Commission Enforcement Manual
[document] (pdf) (Government Records)
April 2, 1938: Letter from William O. Douglas to Joseph P. Kennedy
[transcript] (pdf) (Courtesy of the Library of Congress)
April 2, 1938: Letter from William O. Douglas to the Secretary of State
[transcript] (pdf) (Courtesy of the Library of Congress)
April 7, 1938: Letter from Secretary of State Cordell Hull to SEC Chairman William O. Douglas on sending Lunsford P. Yandell to London
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 11, 1938: Letter from SEC Chairman William O. Douglas to Francis White, Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 11, 1938: Regulation of Over-the-Counter Markets - Hearing before a Subcommittee of the U.S. House of Representatives Committee on Interstate and Foreign Commerce on H.R.9634
[image] (pdf) (Courtesy FINRA)
April 19, 1938: Memo from SEC Chairman William O. Douglas on Cuban Government Debt Plan
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 26, 1938: Letter from Frederic Delano, National Resources Committee, to SEC Chairman Douglas
[document] (pdf) (Courtesy of the National Archives)
April 26, 1938: Memo from SEC Chairman Douglas to Judge Healy on PUHCA
[document] (pdf) (Courtesy of the Library of Congress)
April 27, 1938: Letter from Felix Frankfurter to William O. Douglas
[document] (pdf) (Courtesy of the Library of Congress)
April 28, 1938: Letter from Ambassador Joseph P. Kennedy to SEC Chairman Douglas on Lunsford "Jack" Yandell's work in London
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 28, 1938: Letter from William O. Douglas to Felix Frankfurter
[transcript] (pdf) (Courtesy of the Library of Congress)
April 28, 1938: Letter from William O. Douglas to Representative Clarence Lea
[document] (pdf) (Courtesy of the National Archives)
May 5, 1938: Letter from Charles Gay, New York Stock Exchange, to Ganson Purcell, SEC Trading and Exchange Division
[document] (pdf) (Courtesy of the National Archives)
May 6, 1938: Letter from Felix Frankfurter to William O. Douglas
[document] (pdf) (Courtesy of the Library of Congress)
May 6, 1938: Report from Mr. Eicher to accompany S.3255
[image] (pdf) (Courtesy FINRA)
May 8, 1938: Letter from William O. Douglas to President Roosevelt, with letter to the Bureau of the Budget
[transcript] (pdf) (Courtesy of the Library of Congress)
May 9, 1938: Letter from William O. Douglas to President Roosevelt re SEC Commissioner George C. Mathews
[transcript] (pdf) (Courtesy of the Library of Congress)
May 10, 1938: Letter from William O. Douglas to Roswell Magill, Under Secretary of the Treasury
[transcript] (pdf) (Courtesy of the National Archives)
May 16, 1938: Memo from William O. Douglas re Willkie inquiry
[transcript] (pdf) (Courtesy of the Library of Congress)
May 18, 1938: Memo from Chester Lane on conference with William Mondell on Konversionskasse
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 18, 1938: Telegram from William O. Douglas to John G. Forrest for Charles Gay
[transcript] (pdf) (Courtesy of the Library of Congress)
May 18, 1938: Telegram from William O. Douglas to John G. Forrest for Charles Gay
[image] (pdf) (Courtesy of the Library of Congress)
May 26, 1938: Letter from William O. Douglas to Henry Morgenthau, Jr., Secretary of the Treasury
[transcript] (pdf) (Courtesy of the Library of Congress)
May 27, 1938: Letter from William O. Douglas to Julius Berens, Berens Financial News Bureau, Inc.
[transcript] (pdf) (Courtesy of the Library of Congress)
June 9, 1938: Memo from William O. Douglas to SEC Commissioner Jerome Frank
[transcript] (pdf) (Courtesy of the Library of Congress)
June 16, 1938: Memorandum of conference between representatives of the SEC and of the New York Stock Exchange
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 17, 1938: Memorandum re Self-Regulation and the Maloney Bill
[image] (pdf) (Courtesy FINRA)
June 18, 1938: Letter from Cincinnati Stock Exchange to Ganson Purcell, SEC Trading and Exchange Division
[document] (pdf) (Courtesy of the National Archives)
June 23, 1938: Letter from Francis P. Brassor to Representative Robert L. Bacon
[transcript] (pdf) (Courtesy of the National Archives)
June 25, 1938: An Act to provide for the establishment of a mechanism of regulation among over-the-counter brokers and dealers (Maloney Act)
[image] (pdf) (Courtesy FINRA)
June 28, 1938: Letter from William O. Douglas to Marriner E. Eccles, Chairman, Board of Governors of Federal Reserve System
[transcript] (pdf) (Courtesy of the Library of Congress)
July 1938: United States of America before the SEC in the Matter of Richard Whitney et al
[document] (pdf) (Courtesy of the National Archives)
July 8, 1938: Telegram from William O. Douglas to Francis E. Frothingham, Investment Bankers Association of America
[transcript] (pdf) (Courtesy of the Library of Congress)
July 23, 1938: Letter from Charles Eliot, National Resources Committee, to SEC Chairman Douglas
[document] (pdf) (Courtesy of the National Archives)
July 25, 1938: Letter from William O. Douglas to Joseph C. O'Mahoney
[transcript] (pdf) (Courtesy of the Library of Congress)
July 26, 1938: Letter from Association of Stock Exchange Firms to SEC Chairman Douglas
[document] (pdf) (Courtesy of the National Archives)
July 27, 1938: Letter from William O. Douglas to Representative Walter Chandler
[transcript] (pdf) (Courtesy of the Library of Congress)
July 28, 1938: Letter from William O. Douglas to Charles W. Eliot 2nd, National Resources Committee
[document] (pdf) (Courtesy of the National Archives)
July 29, 1938: Letter from William O. Douglas to SEC Commissioner Robert Healy on the Whitney Report
[transcript] (pdf) (Courtesy of the Library of Congress)
July 30, 1938: Memo from William O. Douglas to SEC Commissioner Robert Healy on United Light and Power, and Electric Bond and Share
[transcript] (pdf) (Courtesy of the Library of Congress)
August 2, 1938: Memo from William O. Douglas to William Werntz on accounting practices
[transcript] (pdf) (Courtesy of the Library of Congress)
August 25, 1938: Memorandum of August 8, 1938 conference relative to proposals of the New York Stock Exchange and of the SEC for the safeguarding of customers' funds and securities
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 9, 1938: Letter from National Association of Accredited Publicity Directors, Inc. to William O. Douglas
[document] (pdf) (Courtesy of the Library of Congress)
September 15, 1938: Letter from George Mathews to William Bacon, San Francisco Stock Exchange
[transcript] (pdf) (Courtesy of the Library of Congress)
September 21, 1938: Draft SEC report on New York Stock Exchange regulation following the failure of Richard Whitney & Company
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 23, 1938: Telegram from William O. Douglas to Robert M. Hutchins, University of Chicago
[transcript] (pdf) (Courtesy of the Library of Congress)
September 28, 1938: Telegram from William O. Douglas to William McC. Martin, New York Stock Exchange
[transcript] (pdf) (Courtesy of the Library of Congress)
September 30, 1938: Letter from Consumers Power Co. to Harold Neff, SEC Forms and Regulation
[document] (pdf) (Courtesy of the National Archives)
October 1938: William O. Douglas, Virtues of the Administrative Process, Talk before Eighth Annual Forum on Current Problems
[document] (pdf) (with permission of the Yale University Press)
October 4, 1938: New York Stock Exchange Program - SEC Draft
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 10, 1938: Memo from SEC Chairman Douglas re Associated Gas and Electric
[document] (pdf) (Courtesy of the Library of Congress)
October 13, 1938: Memo from SEC Commissioner Frank to SEC Chairman Douglas with comments on Yandell's report
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 14, 1938: Letter from William O. Douglas to James Roosevelt re Electric Bond and Share
[transcript] (pdf) (Courtesy of the Library of Congress)
October 15, 1938: Confidential memo from Paul P. Gourrich to SEC Chairman William O. Douglas on the Whitney report
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 24, 1938: Memo from William O. Douglas to Thomas Blaisdell
[transcript] (pdf) (Courtesy of the Library of Congress)
October 26, 1938: "Government Regulation and the New York Stock Exchange" - Remarks by William McC. Martin, Jr., President, New York Stock Exchange before The New York Herald Tribune Forum
[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.)
November 1, 1938: Letter from SEC Chairman William O. Douglas to William McC. Martin, New York Stock Exchange on the investigation of Richard Whitney & Company
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 1938: William O. Douglas, Administrative Government in Action, Speech to Lotos Club
[document] (pdf) (with permission of the Yale University Press)
November 1938: William O. Douglas, Conservative Finance and the Holding Company Act, Talk to Harvard Club of Boston
[document] (pdf) (with permission of the Yale University Press)
November 8, 1938: Letter from William O. Douglas to the Attorney General
[transcript] (pdf) (Courtesy of the National Archives)
November 8, 1938: Memo from Samuel O. Clark, Jr., Director, Reorganization Division, to William O. Douglas
[transcript] (pdf) (Courtesy of the National Archives)
November 12, 1938: Letter from William O. Douglas to Thomas Reed Powell, Harvard Law School
[transcript] (pdf) (Courtesy of the Library of Congress)
November 22, 1938: Report on Foreign Dealings in American Securities - By Lunsford P. Yandell
[image] (pdf) (Courtesy of the Library of Congress)
November 23, 1938: Letter from Representative A.J. Sabath to Thomas Corcoran re Joseph L. Tupy
[document] (pdf) (Courtesy of the Library of Congress)
November 30, 1938: Memo from Walter C. Louchheim, Jr. to Ganson Purcell on Yandell Report on Foreign Dealings in American Securities by Lunsford P. Yandell
[transcript] (pdf) (Courtesy of the Library of Congress)
December 02, 1938: Letter from Senator Theodore Bilbo to SEC
[document] (pdf) (Courtesy of the National Archives)
December 6, 1938: Letter from William O. Douglas to C.E. Groesbeck, Electric Bond and Share Company
[transcript] (pdf) (Courtesy of the Library of Congress)
December 17, 1938: Memorandum of conference at the New York Stock Exchange with SEC Chairman William O. Douglas and Ganson Purcell, SEC Trading and Exchange Division
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 19, 1938: Draft SEC statement on the decision of the New York Stock Exchange to take no action against members involved in the Whitney episode
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 22, 1938: Memo from William O. Douglas to Chester Lane
[transcript] (pdf) (Courtesy of the Library of Congress)
December 27, 1938: Letter from Francis White, Foreign Bondholders Protective Council, Inc. to SEC Chairman William O. Douglas re Colombia
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
1939: 1939 SEC Organizational Chart
[document] (pdf) (Courtesy of National Archives)
1939: SEC Commissioner Robert Healy's comments on material relating to interstate commerce and restraint of trade aspects of the NYSE rule
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
1939: SEC Commissioner Robert Healy's suggestions on multiple trading hearing
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
1939: SEC Memorandum of Law regarding multiple trading rule
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
1939: U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
January 3, 1939: Letter from SEC Chairman William O. Douglas to Francis White, Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
1939: Undated Thomas Corcoran Memo on SEC Commission Succession
[document] (pdf) (Courtesy of the Library of Congress)
January 6, 1939: Letter from Francis White, Foreign Bondholders Protective Council, Inc. to SEC Chairman William O. Douglas re Colombia
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
January 9, 1939: Letter from Counsellor, Canadian Legation, to SEC Chairman William O. Douglas on regulation of Canadian securities
[image] (pdf) (Courtesy of the National Archives and Records Administration)
January 10, 1939: Letter from William McC. Martin, New York Stock Exchange to SEC Chairman William O. Douglas on disposition of Whitney case
[image] (pdf) (Courtesy of the National Archives and Records Administration)
January 26, 1939: Memo from Raoul Berger to Milton Freeman
[document] (pdf) (Courtesy of the National Archives)
February 21, 1939: Review by Members of the Staff of the Trading and Exchange Division of "Report on the London Stock Exchange" and "Report on Foreign Dealings in American Securities"
[transcript] (pdf) (Courtesy of the Library of Congress)
February 23, 1939: Memo from Edwin A. Sheridan, Executive Assistant to SEC Chairman William O. Douglas, with comments on statement from New York Stock Exchange
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 15, 1939: Final Report from M.L. Ramsay to the SEC Commissioners on the Collection and Dissemination of Information
[document] (pdf) (Courtesy of the Library of Congress)
March 15, 1939: On Amending the Law, SEC Statement to Stock Exchange Committee Report
[document] (pdf) (with permission of the Yale University Press)
March 20, 1939: Report on English Underwriting and Distribution, Methods and Practices - By Lunsford P. Yandell
[transcript] (pdf) (Courtesy of the Library of Congress)
April 11, 1939: Letter from William O. Douglas to Abe Fortas, SEC Public Utilities Division
[transcript] (pdf) (Courtesy of the Library of Congress)
April 24, 1939: Letter from William O. Douglas to George E. Bates, Harvard University
[transcript] (pdf) (Courtesy of the Library of Congress)
April 27, 1939: Memo from Jerome Frank to Thomas Corcoran with draft
[document] (pdf) (Courtesy of the Library of Congress)
April 27, 1939: Memo from Jerome Frank to Thomas Corcoran with draft Wall Street Journal article
[document] (pdf) (Courtesy of the Library of Congress)
April 28, 1939: Letter from William O. Douglas to Hector J. Dowd, SEC
[transcript] (pdf) (Courtesy of the Library of Congress)
May 31, 1939: Letter from Jerome Frank to William O. Douglas
[transcript] (pdf) (Courtesy of the Library of Congress)
May 31, 1939: Letter from Jerome Frank to William O. Douglas
[image] (pdf) (Courtesy of the Library of Congress)
May 31, 1939: Letter from Jerome Frank to William O. Douglas
[image] (pdf) (Courtesy of the Library of Congress)
June 16, 1939: Address of SEC Commissioner Robert E. Healy before the Harvard Business School Alumni Association
[transcript] (pdf) (Courtesy of Stephen Zeff)
August 2, 1939: Letter from Jerome Frank to William O. Douglas
[document] (pdf) (Courtesy of the National Archives)
August 7, 1939: Memorandum from Martin Riger, Assistant Director, Reorganization Division, to Chester Lane, General Counsel, on Chapters X and XI of the Bankruptcy Act
[document] (pdf) (Courtesy of the estate of Nathan Sameth)
August 26, 1939: Letter from SEC Chairman Jerome Frank to Secretary of State Cordell Hull on sale of bonds of the Republic of China in the United States
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
September 6, 1939: Letter from SEC Chairman Jerome Frank to the Secretary of State on hearing on Konversionskasse
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 31, 1939: Notes of Herbert Feis, Adviser on International Economic Affairs, Department of State of meeting with the Department of the Treasury on foreign securities
[image] (pdf) (Courtesy of the Library of Congress)

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