Study of the Securities Industry, Part 2: Hearings Before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-Second Congress, First Session, September 14, 16, and 27, 1971 [open pdf - 358MB]
This is the September 14, 16, and 27, 1971 hearings on "Study of the Securities Industry, Part 2," held before the Subcommittee on Commerce and Finance of the U.S. House Committee on Interstate and Foreign Commerce. From the opening statement of John E. Moss: "This morning the Subcommittee on Commerce and Finance of the House Committee on Interstate and Foreign Commerce opens the second in its series of hearings in its study of the securities industry. As you know, the subcommittee held hearings on August 2d and 3d of this year to explore problems of broker-dealers, the various self-regulatory organizations and the Securities and Exchange Commission during the period 1968 through 1970. That period was one of the most troublesome periods in the history of the securities markets in the United States. [...] This hearing will focus specifically on problems of broker-dealer financial stability and the safety of customers' funds and securities." Statements, letters, and materials submitted for the record include those of the following: Andrew Barr, Roger E. Birk, David Clurman, S. Leland Dill, Edwin P. Fisher, Edward R. Gilleran, Frederic W. Grannis, Harry V. Keefe, Jr., Solomon Litt, Irving M. Pollack, Leonard M. Savoie, and Fred J. Stock, Jr.
Serial No. 92-37a
U.S. Government Publishing Office: http://www.gpo.gov/