Papers (1970s) | Papers | Virtual Museum and Archive of the History of Financial Regulation

[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.)

October 20, 1977

Memo from Joseph Sullivan to Board of Directors, Chicago Board Options Exchange with set of SEC options releases of October 18, 1977

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

October 21, 1977

Letter from Michael E. Tobin, Midwest Stock Exchange to George A. Fitzsimmons, SEC Secretary in response to SEC release to investigate options trading

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

October 27, 1977

Draft memo to the Chicago Board Options Exchange membership on SEC options proceedings

[transcript] (pdf) (Courtesy of the Chicago Board Options Exchange Archives)

November 1977

Improving the Accountability of Publicy Owned Corporations and Their Auditors - Report of the Subcommittee on Reports, Accounting and Management, U.S. Senate Committee on Governmental Affairs (Metcalf Report)

[image] (pdf) (AICPA Collection, University of Mississippi)

November 3, 1977

Report of the Advisory Committee on Corporate Disclosure to the SEC

[image] (pdf) (Courtesy of the Library of Congress)

November 4, 1977

"The MFOA and Municipal Disclosure," Address by SEC Commissioner John R. Evans to Municipal Finance Officers Association, Disclosure and Current Reporting Colloquium

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

November 7, 1977

Postcard from Robert L. Aronoff to SEC Commissioner John R. Evans favoring Independent Audit of Municipalities

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

November 8, 1977

"Electronic Linkage: A Transcontinental Handshake," Remarks by William M. Batten, Chairman, New York Stock Exchange, Inc., at a dinner of the Commercial Club of Boston

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

November 9, 1977

"The FASB Conceptual Framework Project: A Silent Revolution" - Address by SEC Chairman Harold M. Williams to the Seaview Symposium

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

November 9, 1977

Letter from Donald Alexander to SEC Chairman Harold Williams on disclosure of illegal payments and corporate perquisites

[image] (pdf) (Courtesy of the National Archives and Records Administration)

November 11, 1977

"A View from the SEC," Address by SEC Commissioner John R. Evans to NASD

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

November 21, 1977

Letter from SEC General Counsel Harvey Pitt to Janet Studley, Counsel, Subcommittee on Federal Spending, Practices and Open Government of the Committee on Governmental Affairs, U.S. Senate, on the Sunshine Act

[document] (pdf) (Courtesy of the estate of John Evans)

November 22, 1977

The ABCs of the ABS [Automated Bond System of the New York Stock Exchange]

November 28, 1977

Memo from Moshe Levitin, Financial Accounting Standards Board on final report of Advisory Committee on Corporate Disclosure

[image] (pdf) (JT Ball Collection, University of Mississippi)

November 29, 1977

Statement of the Honorable John R. Evans, Commissioner, United States Securities and Exchange Commission, before the Subcommittee on Federal Spending Practices and Open Government of the Senate Committee on Government Operations, on the Impact of the Gover

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

December 1, 1977

"The National Market System in Perspective" - Address by SEC Chairman Harold M. Williams to the Securities Industry Association

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

December 6, 1977

Letter and Report from the National Market Advisory Board to the U.S. Securities and Exchange Commission re Next Steps to be Taken to Facilitate the Establishment of a National Market System

[document] (pdf) (Courtesy of George Simon)

December 8, 1977

Statement of Barbara M. Rothenberg, Member of the Securities Industry Conference on Arbitration, before the SEC concerning the proposals of the conference for handling small claims

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

December 12, 1977

"The SEC's Evolving Role in Bank Regulation," Address by SEC Commissioner John R. Evans to the AICPA National Conference on Banking

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

December 12, 1977

U.S. Securities and Exchange Commission News Digest

[document] (pdf) (Courtesy of Richard Rowe)

December 13, 1977

"Inflation, Corporate Financial Reporting and Economic Reality" - Address by SEC Chairman Harold M. Williams to The Conference Board

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

December 15, 1977

Reply letter from SEC Chairman Harold Williams to Donald Alexander on recommendations of the Advisory Committee on Corporate Disclosure

[transcript] (pdf) (Courtesy of the National Archives and Records Administration)

December 19, 1977

Securities Exchange Act of 1934, Amendment - Foreign Corrupt Practices

[image] (pdf) (Courtesy of the National Archives and Records Administration)

December 23, 1977

Letter from Senator William Proxmire to Daniel Schatz on SEC's Report on Transactions in New York City Securities

[document] (pdf) (Courtesy of Daniel Schatz)

1978

Bankruptcy Reform Act of 1978 (Public Law No. 95-598); Section 202 of IAA amended; Sections 2(a)(8), 6(a)(2), 25(d) of ICA amended

[document] (PDF) (Government Records)

1978

NASD Annual Report

[image] (pdf) (Courtesy FINRA)

1978

NASD Notices to Members

(Courtesy of FINRA)

January - February [image] (pdf)
March I [image] (pdf)
March II [image] (pdf)
April - May [image] (pdf)
June - July [image] (pdf)
August - October [image] (pdf)
November [image] (pdf)
December [image] (pdf)

1978

National Securities Clearing Corporation Annual Report

[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

1978

The Commission on Auditors' Responsibilities: Report, Conclusions and Recommendations (Cohen Commission Report)

[image] (pdf) (Courtesy of the American Institute of Certified Public Accountants)

1978

The Cornerstone of the National Market System, ITS - Intermarket Trading System

1978

The Depository Trust Company Annual Report

[image] (pdf) (Courtesy of and made possible through the support of The Depository Trust & Clearing Corporation)

1978 to present

U.S. Securities and Exchange Commission Staff Award - Manuel F. Cohen Award

[document] (pdf) (Government Records.)

January 4, 1978

"Professional Self-Governance: An Interim Report" - Address by SEC Chairman Harold M. Williams to AICPA

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

January 5, 1978

Memo from SEC Commissioner Loomis to SEC Commissioner Evans concerning applicants for the position of legal assistant to Commissioner Loomis

[document] (pdf) (Courtesy of the estate of John Evans)

January 6, 1978

Letter from Endicott Peabody to Stuart Eizenstat on Investment Policy Act of 1977

[image] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

January 11, 1978

"Corporate Checks and Balances," Address by SEC Commissioner John R. Evans to Middle Atlantic Regional Group, American Society of Corporate Secretaries

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

January 11, 1978

"Politics of Change in the Composition and Structure of Corporate Boards" - Address by SEC Commissioner Roberta S. Karmel to the American Society of Corporate Secretaries

[image] (pdf) (Government Records)

January 18, 1978

"Corporate Accountability" - Address by SEC Chairman Harold M. Williams to Securities Regulation Institute

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

January 19, 1978

"A Conservative Approach to Radical Change" - Remarks by William M. Batten, New York Stock Exchange to a meeting of the Section of Banking, Corporation and Business Law of the New York State Bar Association

January 24, 1978

Letter from Arthur F. Burns, Federal Reserve to SEC Chairman Harold M. Williams on Regulation S-X

[image] (pdf) (Arthur F. Burns Papers, Courtesy of the Gerald R. Ford Library)

January 28, 1978

"The Future of the Securities Industry" - Address by SEC Chairman Harold M. Williams, Gustave L. Levy Memorial Lecture, Twelfth Annual Conference on Wall Street and the Economy

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

January 30, 1978

Letter from U.S. Representative John Jenrette to Stuart Eizenstat on Financial World article on securities industry and SEC

[transcript] (pdf) (Courtesy of the Jimmy Carter Library and Museum)

February 13, 1978

Letter from SEC Commissioner John Evans to Kevin Kenny, J.J. Kenny Co., Inc.

[document] (pdf) (Courtesy of the estate of John Evans)

February 15, 1978

SEC Release - Preliminary Response of the Commission to the recommendations of the Advisory Committee on Corporate Disclosure

[image] (pdf) (JT Ball Collection, University of Mississippi)

February 16, 1978

Request from U.S. Representative John E. Moss to SEC Commissioner John R. Evans to testify as part of the House investigation into the organization and reform measures of the American Institute of Certified Public Accountants

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

February 23, 1978

"Economic Priorities for Business" - Address by SEC Chairman Harold M. Williams to the Economic Club of Chicago

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

February 24, 1978

Financial Accounting and Reporting by Oil and Gas Companies - Financial Accounting Standards Board Filings with SEC and Department of Energy

(JT Ball Collection, University of Mississippi)

Part 1 [image] (pdf)
Part 2 [image] (pdf)

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