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SEC Historical Society Highlights of 2005

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SEC Historical Society Highlights of 2005 SECURITIES AND EXCHANGE COMMISSION HISTORICAL SOCIETY Highlights of 2005 WWW SECHISTORICAL OHG .. · .. Preserl'ing lnvestin,r's Past I · · I Exploring lnve.,tmg s Future -· b THE VIRTUAL MUSEUM OF SEC AND SE<TRITIES I\"Dl:STRY HISTORY Highlights of 2005 Report The Highlights of 4005 is the narrative section of the Securities and Exchange Commission Historical Society's 4005 Annual Report . The 4005 financial statement and list of donors Letter from the President will be published in the 4005 Annual Report later in 4006 . Dear Friends: Carla L. Rosati, CFRE, Editor On December 1st, our virtual museum and archive at www.sechistorical.org Donald Norwood Design, Design and Publication opened its first galleries - 431 Days, Joseph P. Kennedy and the Creation of Scavone Photography and the SEC (1934 -35); and William 0. Douglas and the Growing Power of the Rob Tannenbaum, Photography SEC (1936 -39) - a milestone in the mission of the Securities and Exchange (and images from the virtual museum and archive) Commission Historical Society to preserve and share SEC and securities · history for generations to come. Securitiesand ExchangeCommission Historical Society For those of you who helped to build the Society as a non -profit organiza ­ The Securities and Exchange Commission tion from our founding on September 15, 1999, and those of you who wit­ Historical Society, a 501 (c)(3) non-profit nessed the opening of the virtual museum and archive on June 1, 4004, this organization, independent of and separate was indeed a proud moment. from the U.S. Securities and Exchange When I met with SEC Chairman Christopher Cox in October, he informed Commission, preserves and shares SEC and me that the museum 's collections were used to prepare for his confirmation securities history through its virtual museum hearings. While I was delighted by the news, I am even more pleased that and archive at www.sechistorical.org. the virtual museum and archive now attracts over 4,500 visitors each month The virtual museum and archive makes broadly from the SEC, the financial and investor community, law and accounting available primary materials on the impact that firms, academia, the press and the general public. the SEC has had on the growth of U.S. and international capital markets since its inception. Before the virtual museum and archive opened, none of the materials in the collections - from galleries to timeline, from papers to links , from pho­ tos to oral histories and online programs - were easily accessible. All that Trustees you see at www.sechistorical.orgtoday, and all that will be added in the David M. Becker future, are made possible through the guidance of our Museum Committee , Donald L. Calvin chaired by Richard H. Rowe, and even more by the generous support of per ­ Margaret M. Foran sons such as you who contribute materials, memories and monies to help Sheldon I. Goldfarb, Vice President build the museum. JohnJ. Huber With your sustained support, we can do even more in the years to come . Richard G. Ketchum On behalf of my fellow trustees and volunteer leaders, thank you . Robert J. Kueppers, President Theodore A. Levine, Chairman Sincerely, David B.H. Martin, Jr. John M. Ramsay, Treasurer Thomas L. Riesenberg Richard H. Rowe, Vice President Mary L. Schapiro ~~7 Richard H. Walker President Elisse B. Walter, Secretary Administration Carla L. Rosati, CFRE, Executive Director Heidi J. Zimmerman, Office/ProgramManager ON THE COVER: Each of the 34 persons who moderatedor participated in one of the Society's (until November 2005) 12 online/live and onlineprograms during 2005 is shown on the cover,Linda Thomsen (10-20), Bany Melancon (11- 1), RichardBooth (9-20), Ralph Ferrara(10-20) , Gary 1101Pennsylvania Avenue NW Cohen (3-22), David Ellis (7-27) , Wayne Carlin (6-9), Nell Minow (2- 15), William Suite 600 McLucas(10 -20), DixieJohnson (6- 14), JamesJordan (7-27) . TheodoreLevine (10-20), Washington , D.C. 40oo4 John McGonigle(3-29) , Kathryn McGrath(4 -27), HarveyPitt (6-9), TheresaGabaldon 404-756-5015 (4-19) , James Riepe (4-27), Keny Moynihan (4 - 19), Thomas Morgan(11 - 1), Mary 404-756-5014 (fax) Schapiro(10 -20), Matthew Fink (3-8), StephaniePlancich (7 -27), RichardPhillips (3 -22), RobertPlaze (3-29), Annette Nazareth (6-9), MichaelBleier (3-8). LawrenceMitchell www.sechistorical.org (4- 19), David Silver (3-29), RobertPozen (4-27), Laura Unger(6 - 14), Martin Lybecker (3-8), Thomas Russo (6-9), Edward Kwalwasser(6 -9) and Louis Bevilacqua(9-20). Growth of the Virtual Museum and Archive at www.sechistorical.org r RAC710C AA M ~...,- ...... '~;-' ..,- ~ORL~ 'llM~ WIDE 'lli41!£11 g--- =-:;: WIRELESS ·-• R.c.A.COMMUNICATIONS. I NC. ···- =-~ .. RA.Dto COflPOMTION OP' AMKJIUCA 9UBSIDIAftY $oad d,o ........ Radiotram•iwllQ( Mjod .. - OD back bereJ, whichIR l,erel,7 ■ peed to ALJ.111DUIOOP UQ A88DT.l!IT CDERAL COIJIISIIL SJQllllTIES A1ll>UCIWIR ODIIIISSION IIASl!Illlm)II DC II IT PDnllllLI: HATE - Ill5CED TIW>IllO Ill lllOll'1'8 'l'O l'ORCIWIE SECmlJTT WCII IS DI l'IIOCD8 or IUXIIll'l'IIATIOIID' IIIORTSARI: 'l'O u JMIEDIATELT CllllYPTIILll ARI:~ 11£ Olftll HAT l!ID .All! llOT 'lO B& ISSIJ&D UIITIL ll!OISTIU• TIOII UIIIIIIILTillll SIGUllITT lfftCTnl S'TOPlIJIO COULDlll\Ot:J:IIS 111D ISSUID TIWIDII 'r!WISACITIOIISIll IIUCIIllIOIITS WI EXDfl'T Jr OONDfflONSISlCTIOII ,OUR TIO 11n ll'IOP PLUD TIUilllW'II UPLT COu.cT 'lO IICCttcllEII OLIIICT ll'Allll011 AllD - COPY THIS Ol"'ICE HO RD A JUDY 11£0IOIIAL.AlllilllISTIUTOI\ &tC\'llTirS AJIDJ:XCIWIGI caGIISSIOII Char&••IIIQat- ■ , OlaeJ,1-■ & CN- l!elteur lllllUiq - ,......_, Calltera1a -· 11 • ShartKBarneo/1 COllrIRIIATIOII ••• MoCutoh•a• 0lu1, llumon a Greeno -- I December5 , 1936 Telegramfrom HowardA. Judy to Allen Throop,SEC (courtesy of the National Archives) Just three years after its debut on June 1, 4004, the Securities the SEC (1936-39) - opened on December 1st. These gal­ and Exchange Commission Historical Society's virtual leries, and future galleries , are designed to facilitate visi­ museum and archive at www.sechistorical.orghad its tor access to key topics in SEC and securities history. most significant year of development and growth in 4005. Museum visitors now have two options to find materials: The highlight of the museum 's growth occurred at the 1) by using the search function located throughout the end of the year, when the inaugural galleries - 431 Days: museum to search by name , year or topic; or 4) by clicking Joseph P. Kennedy and the Creation of the SEC (1934- on the gallery of their choice , with the relevant materials 1935), and William 0. Douglas and the Growing Power of already identified for them. "Allowme to warn you STA!'}f?A~D STOCK EJC~HAOCiE .,........... - .._.,•Oi SPOKAnE. WAsHmtTOn &ll'llt~....,,.. ...-u~_.,...._~"==·= again that nothing 1,.r_.11112 done by the Government makes stock market ilr, Day !Can, fteg1on&l 11dministrato?' speculation safe." Secur1tiee and QOh'lllt• Cor:wisnton 81?1 sooonl1 ,;v. Seattle, lasllintt.?n From the June 15, 1935 letterfrom SEC Chairman Joseph P. Kennedy to Mr. R. Head 1'1nd enclosed htt•r ot Jearuary 11th reca1ved this lll0mil1t rroa Oanson Purcoll, Director ot (with pennission of the Tr~dirib ud uc~41.11geUivieion, tog~tn~r with bl.ea•• !lo. 1579 , John F. Kennedy Library Foundation) Tnese rcle&eea are co,ung so r~st thet we ire not •bl• to digest tlltlll. li.'111,YOU ".l.ndl1 a.t your eal'l1ost convenlence baYe ao~one ex;,la1n Lo us porliOl\Al.ly Just 1rhat the enclosed mo!!ns? 'lhe only place it ld:U apply to us 1 on wai­ n••• l.4t.ae,m V,wco ,ver Md b;,o:.ume, as r ~r os I ao a'ble to ll4Clll'ttUn . Sihccr1tl. • l\&l~Gr J. HiohoUa P r a a 1 d e n t February 15, 1938 letterfrom Standard Stock Exchange to Day Karr, SEC •,rr ..... (courtesy of the National Archives) Ft! l.l q<19 t , t T ... A t.,t;, I. "l Other significant additions to the virtual museum and complete, providing both a sturdy and flexible platform for archive in 4005 included: the continued growth of the collections. I the 1963 Special Study of the Securities Markets, made The museum's collections grew by nearly 50% in 4005, possible by a gift from the family of Milton H. Cohen, fueled primarily by the accession of nearly 450 materials - the director of the study. papers, photos, oral histories and audio and film clips - I oral histories interviews with Lawrence Greene, collected for the inaugural galleries. This year marked a Howard Hodges, Catherine McCoy, Neal McCoy, transition in the Society's accession practice to a more pro­ Bernard Meltzer, Theodore Sande and active approach in identifying and adding the materials Francis Trainor. needed to build the collections, coordinated by the Museum I speeches by John C. "Sandy" Burton. Committee in partnership with professional historians. I comment letters on Rule 10b-10 and Regulation D. What will be added to the collections in 4006? I SEC Annual Reports through 1958. I At least one new gallery, with the subject to be deter­ I a map and addresses of the SEC home offices from mined early in the year by the Museum Committee; 1934 to the present. I Oral histories interviews with the seven women SEC I links to SEC papers in presidential libraries . Commissioners - Cynthia Glassman, Barbara Thomas With the opening of the inaugural galleries on Judge, Roberta Karmel, Annette Nazareth, Aulana December 1st, the "footprint" of the virtual museum and Peters, Mary Schapiro and Laura Unger - and with for­ archive has been set. The organizational infrastructure of mer SEC Chief Accountants A Clarence Sampson, the museum - consisting of the Galleries, Online Programs, Michael Sutton and Lynn Turner; and Papers, Photos, Oral Histories and the Timeline - is now I Papers from SEC Commissioner John Evans.
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