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138 records in this section.

1950
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
January 12, 1950
Memo from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investment to SEC Commission on proposed registration of Royal Dutch Petroleum Company
[image] (pdf) (Courtesy of the National Archives and Records Administration)
February 23, 1950
Letter from Baldwin B. Bane to Charles J. Odenweller, Jr. regarding David Colby v. Raymond Klune and 20th Century Fox Film Corporation
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 15, 1950
Outline of Remarks by Earle C. King before the Monthly Technical Meeting of the Pittsburgh Chapter of National Association of Cost Accountants
[transcript] (pdf) (Government Records)
March 24, 1950
Memo from Walter C. Louchheim, Jr., SEC Adviser on Foreign Investment to SEC Commission on Japanese dollar bonds
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 1950
NASD News
[image] (pdf) (Courtesy FINRA)
May 1, 1950
Letter from Richard B. McEntire, SEC Acting Chairman, to Senator Burnet R. Maybank regarding S.2765
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 22, 1950
"The Corporate Controller's Relations to the Securities and Exchange Commission," Address of Earle C. King, SEC Chief Accountant before the Midwestern Spring Conference of the Controllers Institute of America
[transcript] (pdf) (Government Records)
May 24, 1950
Inquiry from Gordon Gray, White House to SEC Chairman Harry A. McDonald on foreign securities offerings in the U.S.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 1950
NASD News
[image] (pdf) (Courtesy FINRA)
1951
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
January 15, 1951
Memo to the SEC Chairman on Canadian situation
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
February 27, 1951
Letter from Japanese Securities Mission to SEC Chairman Harry A. McDonald
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 5, 1951
Letter from Walter C. Louchheim, Jr., SEC Foreign Economic Adviser to Arthur S. Blaser, Jr., U.S. Treasury with re-draft of memo on February 6, 1951 meeting with Mr. Christelow and SEC officials re certain problems on the British holdings of U.S. corporate
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 30, 1951
Letter from Richard B. McEntire to John T. Callahan, with March 22, 1951 article from "The Northern Miner"
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 10, 1951
Memo from SEC Secretary Orval L. DuBois to Anthon Lund and Walter C. Louchheim, Jr. on British government holdings of securities of United States issuers
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 1951
NASD News
[image] (pdf) (Courtesy FINRA)
August 23-25, 1951
"What are Accounting Principles?," by Earle C. King, SEC Chief Accountant before the Graduate Study Conference, Stanford University
[transcript] (pdf) (Government Records)
September 1951
NASD News
[image] (pdf) (Courtesy FINRA)
September 21, 1951
SEC List of Securities of Canadian Issuers distributed in the U.S. in violation of the registration requirements of the Securities Act of 1933
[image] (pdf) (Government Records)
November 9, 1951
Supplement No. 1 to List of Canadian Issuers
[image] (pdf) (Government Records)
December 1951
NASD News
[image] (pdf) (Courtesy FINRA)
1952
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1952
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
January 15, 1952
Supplement No. 2 to List of Canadian Issuers
[image] (pdf) (Government Records)
May 1, 1952
Supplement No. 3 to List of Canadian Issuers
[image] (pdf) (Government Records)
July 1952
NASD News
[image] (pdf) (Courtesy FINRA)
July 10, 1952
Letter from SEC Chairman Donald C. Cook to Joseph P. McMurray, Senate Committee on Banking and Currency, regarding S.3427
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
October 8, 1952
"Professional Ethics as Viewed by the Securities and Exchange Commission," Address of Earle C. King, SEC Chief Accountant before the Annual Meeting of the American Institute of Accountants
[transcript] (pdf) (Government Records)
October 20, 1952
Supplement No. 4 to List of Canadian Issuers
[image] (pdf) (Government Records)
November 1952
NASD News
[image] (pdf) (Courtesy FINRA)
1953
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1953
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
March 1953
NASD News
[image] (pdf) (Courtesy FINRA)
March 11, 1953
"The Accounting Profession and the Investor," Address of Earle C. King, SEC Chief Accountant before the District of Columbia Chapter of the American Society of Women Accountants
[transcript] (pdf) (Government Records)
July 1953
NASD News
[image] (pdf) (Courtesy FINRA)
July 3, 1953
Report on Debt Agreements with the Federal Republic of Germany to the U.S. Senate
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 28, 1953
Memorandum to all SEC regional administrators from SEC Chairman Ralph H. Demmler on cooperation with state securities administrators
[image] (pdf) (Courtesy of Philip Feigin)
October 15, 1953
Memo from Walter C. Louchheim, Jr., Foreign Economic Adviser to SEC Chairman Ralph H. Demmler on unfinished business
[image] (pdf) (Courtesy of the National Archives and Records Administration)
December 1953
NASD News
[image] (pdf) (Courtesy FINRA)
1954
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
1954
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1954
Securities Acts, Amendments (Public Law No. 83-577); Sections 2(a)(30), 24 of ICA Amended
[document] (PDF) (Government Records)
1954 to present
U.S. Securities and Exchange Commission Executive Directors
[document] (pdf) (Government Records.)
January 11, 1954
SEC Release on trading in German securities and adoption of Rule X-15C2-3
[image] (pdf) (Courtesy of the National Archives and Records Administration)
February 18, 1954
Letter from Manuel Cohen, SEC to Judson C. Jones, State Department with translation of letter from Dr. Fechner to SEC Chairman Demmler
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 29, 1954
Memo from SEC Chairman Ralph H. Demmler to Byron D. Woodside, Corporation Finance and Anthon H. Lund, Trading and Exchanges on validation board for German dollar bonds
[image] (pdf) (Courtesy of the National Archives and Records Administration)
April 1954
NASD News
[image] (pdf) (Courtesy FINRA)
June 15, 1954
Letter from Praxedes Reina Hermosillo, Comision Nacional de Valores to SEC Chairman Ralph H. Demmler
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
July 1954
NASD News
[image] (pdf) (Courtesy FINRA)
August 31, 1954
Memo of SEC Conference in the Office of O.E. Lennox, Chairman, Ontario Securities Commission, in Toronto
[image] (pdf) (Courtesy of the National Archives and Records Administration)
September 7, 1954
Letter from O.E. Lennox, Ontario Securities Commission to SEC Chairman Ralph Demmler
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 7, 1954
Memo from SEC Commissioners Clarence H. Adams and J. Sinclair Armstrong to the Commission and the Division of Corporation Finance on Canadian securities
[image] (pdf) (Courtesy of the National Archives and Records Administration)
October 18, 1954
Memo to the SEC Commission from the Division of Corporate Regulation on Ampal-American Israel Corporation
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 2, 1954
Report to Robert A. McDowell from SEC Branch 3 of conference with Ampal-American Israel Corporation
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 12, 1954
Memo from Lawrence M. Greene to Robert A. McDowell on Ampal-American Israel Corporation
[image] (pdf) (Courtesy of the National Archives and Records Administration)
November 16, 1954
Release from the Ontario Securities Commission
[image] (pdf) (Courtesy of the National Archives and Records Administration)
November 17, 1954
Despatch from the Consulate General, Toronto to the Department of State on Ontario Securities Commission
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 24, 1954
Memo from W. Gomer Krise to SEC Commissioner Adams on Chairman Lennox's November 16, 1954 release
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 1954
NASD News
[image] (pdf) (Courtesy FINRA)
December 1954
NASD News - Special Insert
[image] (pdf) (Courtesy FINRA)
December 8, 1954
Memo from Ralph Demmler to Byron Woodside on Foreign Bondholders Protective Council, Inc.
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
1955
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
1955
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1955 (undated)
Statement of Securities and Exchange Commission Regarding Illegal Sales of Canadian Securities
[image] (pdf) (Government Records)
February 16, 1955
Letter from Francis J. Purcell, SEC New York Regional Administrator, to Edward T. Tait, Executive Assistant to the Chairman, on Canadian securities
[image] (pdf) (Courtesy of the National Archives and Records Administration)
February 21, 1955
Memo from the SEC Staff to Chairman Demmler on new proposed Quebec Securities Act
[image] (pdf) (Courtesy of the National Archives and Records Administration)
February 21, 1955
S.Res. 59 - Resolution to make a study of the issuance of uranium mining stocks, by Mr. Chavez, to the U.S. Senate, 84th Congress, 1st Session
[image] (pdf) (Courtesy of the National Archives and Records Administration)
February 23, 1955
Memo from SEC Chairman Ralph H. Demmler to SEC Commission on the Canadian Study and New Proposed Quebec Securities Act
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
March 1955
NASD News
[image] (pdf) (Courtesy FINRA)
March 30, 1955
Draft Confidential SEC Staff report on The Canadian Problem, Illegal Securities Offerings, 1933 -1955
[document] (pdf) (Courtesy of the National Archives and Records Administration)
April 26, 1955
Letter from Senator Dennis Chavez to SEC Chairman Ralph Demmler for information for Senate Resolution 59
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 10, 1955
Memo from Jacob K. Javits on United States-Canadian cooperation on securities fraud in the State of New York
[image] (pdf) (Courtesy of the National Archives and Records Administration)
May 20, 1955
Letter from SEC Chairman Ralph H. Demmler to U.S. Senator Alexander Wiley on illegal and fradulent offerings of securities from Canada into the United States
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 25, 1955
Memo from Ralph H. Demmler to J. Sinclair Armstrong updating response to Canadian situation
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
June 30, 1955
Confidential Letter from Lewis H. Kimmel, The Brookings Institution, to the SEC Division of Corporation Finance on criteria for study of share ownership
[image] (pdf) (Government Records)
November 21, 1955
Supreme Court of the State of New York - The People of the State of New York against West Hooker, Film Network, Inc. and Master Television Corporation
[transcript] (pdf) (Courtesy of Orestes Mihaly)
December 1955
NASD News
[image] (pdf) (Courtesy FINRA)
December 1955
NASD News - Special Insert
[image] (pdf) (Courtesy FINRA)
1956
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
1956
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
March 26, 1956
Letter from Lewis L. Baxter to SEC regarding solicitation of proxies by corporation management
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
May 17, 1956
"Corporate Accounting Standards Under Federal Securities Laws" - Address by SEC Chairman J. Sinclair Armstrong at the 18th Annual Institute on Accounting of the Ohio State University
[transcript] (pdf) (Courtesy of the AICPA Library Collection, University of Mississippi)
June 1956
NASD News
[image] (pdf) (Courtesy FINRA)
October 25, 1956
"America Embraces a People's Capitalism" - Remarks by G. Keith Funston before the American Chamber of Commerce in London
[transcript] (pdf) (All rights are owned exclusively by NYSE Euronext (copyright) 2010 NYSE Euronext. All Rights Reserved, courtesy New York Stock Exchange Archives. All worldwide intellectual property rights including without limitation moral rights vest in NYSE Euronext and/or its affiliates.)
November 16, 1956
Supreme Court of the State of New York - The People of the State of New York against Albert Wallace Benson, doing business as Benson & Co., and Pioneer Mortgage and Development Corporation
[transcript] (pdf) (Courtesy of Orestes Mihaly)
1957
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
1957
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
January 21, 1957
Release from New York Attorney General Louis J. Lefkowitz on court order regarding Adirondack Uranium and Minerals Corporation
[image] (pdf) (Courtesy of Orestes Mihaly)
February 28, 1957
Statement of SEC Chairman J. Sinclair Armstrong on Lawrence M. Greene, Division of Corporation Finance, receiving Rockefeller Public Service Award
[document] (pdf) (Courtesy of Lawrence Greene)
April 23, 1957
New York State Attorney General Release on plot by Iron Curtain firms to seize control of corporations producing defense material
[image] (pdf) (Courtesy of Orestes Mihaly)
May 28, 1957
Release from New York Attorney General Louis J. Lefkowitz on court order regarding Lynn Robert Akers
[image] (pdf) (Courtesy of Orestes Mihaly)
June 5, 1957
Letter from Thorsten V. Kalijarvi, U.S. Department of State, to Acting SEC Chairman Andrew Downey Orrick on Lawrence M. Greene
[document] (pdf) (Courtesy of Lawrence Greene)
June 6, 1957
"Highlights in Current Financial Reporting" - Address by Former SEC Chairman J. Sinclair Armstrong before the Illinois Society of CPAs
[transcript] (pdf) (Courtesy of the AICPA Library Collection, University of Mississippi)
June 14, 1957
Remarks by New York Attorney General Louis J. Lefkowitz before Senate Internal Security Subcommittee
[image] (pdf) (Courtesy of Orestes Mihaly)
July 1957
NASD News
[image] (pdf) (Courtesy FINRA)
July 12, 1957
Letter from Mollie Zion to Charles Shreve, Acting Chief Counsel, SEC Division of Corporation Finance
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
October 7, 1957
New York State Attorney General Release on Swiss trust stock fraud
[image] (pdf) (Courtesy of Orestes Mihaly)
November 1957
NASD News
[image] (pdf) (Courtesy FINRA)
November 27, 1957
Supreme Court of the State of New York - In the Matter of Brandel Trust, Paul Hagenbach, Lavan Trust and Sun Investment Establishment
[transcript] (pdf) (Courtesy of Orestes Mihaly)
December 19, 1957
Letter from Philip E. Kendrick to Philip A. Loomis, Jr. regarding Rule 10b-6
[image] (pdf) (Courtesy of the National Archives and Records Administration)
1958
Administrative Agency Proceedings (Public Law No. 85-791); Section 213(a) of IAA Amended
[document] (pdf) (Government Records)
1958
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1958
Small Business Investment Act of 1958 (Public Law No. 85-699); Section 18 of ICA Amended
[document] (PDF) (Government Records)
1958
U.S. Securities and Exchange Commission Annual Report
[document] (pdf) (Government Records)
January 3, 1958
Letter from Philip A. Loomis, Jr. to Philip E. Kendrick
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
February 5, 1958
Exhibits in New York v. J.C. Graye Co. [1) Atlas Gypsum Corp. Ltd. - Special Situation Report by J.C. Graye Co. 2) August 21, 1957 Market Trends in Atlas Gypsum Ltd. 3) September 12, 1957 Market Trends - Why We Like Atlas Gypsum 4) October 7, 1957 Market T
[image] (pdf) (Courtesy of Orestes Mihaly)
February 5, 1958
Supreme Court of the State of New York: The People of the State of New York against James Carlton Graye, a/k/a James Webb, doing business under the firm name and style of J.C. Graye Co. and Edward T. Moss
[image] (pdf) (Courtesy of Orestes Mihaly)
February 11, 1958
Release from New York Attorney General Louis J. Lefkowitz on temporary bar of J.C. Graye Company
[image] (pdf) (Courtesy of Orestes Mihaly)
February 28, 1958
Release from New York Attorney General Louis J. Lefkowitz thanking Canadian provincial securities administrators for actions against J.C. Graye Company
[image] (pdf) (Courtesy of Orestes Mihaly)
March 24, 1958
New York State Attorney General Release on bar of Liechtenstein investment trusts
[image] (pdf) (Courtesy of Orestes Mihaly)
April 1958
NASD News
[image] (pdf) (Courtesy FINRA)
May 29, 1958
Agreement between The Wharton School and the SEC for a study on investment companies
[image] (pdf) (Government Records)
June 1958
SEC Manual on Trust Indenture Act of 1939, Annotations under Section 310 through 318
[image] (pdf) (Anonymous)
June 2, 1958
Findings and Opinion of the Commission in the Matter of Bellanca Corporation
[document] (pdf) (Courtesy of Paul Gonson)
July 1958
NASD News
[image] (pdf) (Courtesy FINRA)
September 5, 1958
Memo from Manuel Cohen to Sharon Clay Risk, Division of Corporation Finance on merit cash award for Mollie Zion
[transcript] (pdf) (Courtesy of the estate of Mollie B. Zion)
October 15, 1958
Memo from Thomas Meeker to SEC Chairman Edward Gadsby on Commission endorsement of the Uniform Securities Act
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
November 30, 1958
History of NASD
[image] (pdf) (Courtesy FINRA)
December 3, 1958
New York State Attorney General Release on bar of Lincoln Securities Corporation in sale of stock of Shoreland Mines, Ltd.
[image] (pdf) (Courtesy of Orestes Mihaly)
1959
Alaska Omnibus Act (Public Law No. 86-70); Section 202(a) of IAA amended; Sections 2(a)(37), 6(a)(1) of ICA amended
[document] (pdf) (Government Records)
Late 1950s
Draft letter from U.S. Senator J. Allen Frear, Jr. on SEC wish to amend existing U.S.-Canada extradition treaty to cover modern securities fraud techniques
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
1959
NASD Annual Report
[image] (pdf) (Courtesy FINRA)
1959
SEC Silver Anniversary Celebration Program
[document] (pdf) (Courtesy of Francis Trainor)
1959
U.S. Securities and Exchange Commission Annual Report, with 25th Anniversary Summary
[document] (pdf) (Government Records)
1959
Memo from Frederick Moss and Eugene Rotberg to Byron Woodside
[document] (pdf) (Courtesy of Paul Gonson)
February 13, 1959
New York State Attorney General Release on "get rich quick scheme" of Lowell Messer
[image] (pdf) (Courtesy of Orestes Mihaly)
March 18, 1959
Letter from Henry H. Pierce, Jr., Connecticut Bank Commissioner, to Paul Windels, Jr. regarding Connecticut Bill No. 2715
[image] (pdf) (Courtesy of the National Archives and Records Administration)
March 19, 1959
New York State Attorney General Release on ban on Alaska Building Supply & Equipment Rental Corporation
[image] (pdf) (Courtesy of Orestes Mihaly)
March 28, 1959
Letter from Thomas Meeker to Henry H. Pierce, Jr., Connecticut Bank Commissioner
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
April 1959
NASD News
[image] (pdf) (Courtesy FINRA)
April 1959
NASD News - Special Insert
[image] (pdf) (Courtesy FINRA)
June 3, 1959
New York State Attorney General Release on charges against Frank Canizio and Viola Kelly
[image] (pdf) (Courtesy of Orestes Mihaly)
July 1959
NASD News
[image] (pdf) (Courtesy FINRA)
July 2, 1959
New York State Attorney General Release on extradition request by Ontario Securities Commission
[image] (pdf) (Courtesy of Orestes Mihaly)
July 24, 1959
New York State Attorney General Release on charges against Jack Kissel and K. Medann & Company, Inc.
[image] (pdf) (Courtesy of Orestes Mihaly)
September 21, 1959
Memo of Closed "SEC" Session at the Convention of the North American Securities Administrators
[transcript] (pdf) (Courtesy of the National Archives and Records Administration)
December 1959
NASD News
[image] (pdf) (Courtesy FINRA)

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