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Headquarters Office

500 North Capitol Street Washington, D. C. 20549

COMMISSIONERS

WILLIAM J. CASEY, Chairman*
HUGH F. OWENS

A. SYDNEY HERLONG, JR.

PHILIP A. LOOMIS, JR.

RONALD F. HUNT, Secretary

*On November 30, 1972, President Nixon announced the nomination of Chairman Casey as Under Secretary of State for Economic Affairs.

SECURITIES AND EXCHANGE COMMISSION
Washington, D. C.

Sirs: On behalf of the Securities and Exchange Commission,

I have the honor to transmit to you the Thirty-Eighth Annual
Report of the Commission covering the fiscal year July 1, 1971
to June 30, 1972, in accordance with the provisions of
Section 23(b) of the Securities Exchange Act of 1934, as amended;
Section 23 of the Public Utility Holding Company Act of 1935;
Section 46(a) of the Investment Company Act of 1940; Section 216
of the Investment Advisers Act of 1940; Section 3 of the Act of
June 29, 1949, amending the Bretton Woods Agreement Act;
Section 11(b) of the Inter-American Development Bank Act; and
Section 11(b) of the Asian Development Bank Act.
Respectfully,

HUGH F. OWENS,
Commissioner

THE PRESIDENT OF THE SENATE

THE SPEAKER OF THE HOUSE OF REPRESENTATIVES,

Washington, D. C.

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Executive Assistant to the Chairman: CHARLES S. WHITMAN, III

PRINCIPAL STAFF OFFICERS

A. JONES YORKE, Executive Director

C. KING MALLORY, III, Special Assistant

ALAN B. LEVENSON, Director, Division of Corporation Finance
THOMAS N. HOLLOWAY, Associate Director

RALPH C. HOCKER, Associate Director
RICHARD H. ROWE, Associate Director

IRVING M. POLLACK, Director, Division of Enforcement

STANLEY SPORKIN, Deputy Director

G. BRADFORD COOK, JR., Director, Division of Market Regulation JOHN M. LIFTIN, Associate Director

LEE A. PICKARD, Associate Director

SHELDON RAPPAPORT, Associate Director

MICHAEL SAPERSTEIN, Associate Director

ALLAN S. MOSTOFF, Director of Investment Company
Regulation

ANNE P. JONES, Associate Director

AARON LEVY, Director, Division of Corporate Regulation
WALTER P. NORTH, Acting General Counsel

DAVID FERBER, Solicitor

PHILIP J. KEUPER, Director, Office of Public Information
JOHN C. BURTON, Chief Accountant

A. CLARENCE SAMPSON, JR., Associate Chief Accountant GENE L. FINN, Chief Economist, Office of Policy Research LEONARD HELFENSTEIN, Director, Office of Opinions and Review W. VICTOR RODIN, Associate Director

ALFRED LETZLER, Associate Director

WARREN E. BLAIR, Chief Administrative Law Judge
WILLIAM E. BECKER, Chief Management Analyst

FRANK J. DONATY, Comptroller

ERNEST L. DESSECKER, Records and Service Officer

HARRY POLLACK, Director of Personnel
RALPH L. BELL, EDP Manager

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