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INVESTOR PROTECTION

HEARINGS

BEFORE A

SUBCOMMITTEE OF THE
.S. Congress. House. COMMITTEE ON
INTERSTATE AND FOREIGN COMMERCE.

HOUSE OF REPRESENTATIVES

EIGHTY-EIGHTH CONGRESS

FIRST SESSION

ON

H.R. 6789, H.R. 6793, S. 1642
BILLS TO AMEND THE SECURITIES ACT OF 1933, AS AMENDED,
AND THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED,
TO EXTEND DISCLOSURE REQUIREMENTS TO THE ISSUERS
OF ADDITIONAL PUBLICLY TRADED SECURITIES, TO PROVIDE
FOR IMPROVED QUALIFICATION AND DISCIPLINARY PROCE-
DURES FOR REGISTERED BROKERS AND DEALERS, AND FOR

OTHER PURPOSES

APRIL 3; NOVEMBER 19, 20, 21, 1963

I

Printed for the use of the
Committee on Interstate and Foreign Commerce

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 1964

29-738

455

COMMITTEE ON INTERSTATE AND FOREIGN COMMERCE

OREN HARRIS, Arkansas, Chairman JOHN BELL WILLIAMS, Mississippi

JOHN B. BENNETT, Michigan KENNETH A. ROBERTS, Alabama

WILLIAM L. SPRINGER, Illinois HARLEY 0. STAGGERS, West Virginia PAUL F. SCHENCK, Ohio WALTER ROGERS, Texas

J. ARTHUR YOUNGER, California SAMUEL N. FRIEDEL, Maryland

MILTON W. GLENN, New Jersey TORBERT H. MACDONALD, Massachusetts SAMUEL L. DEVINE, Ohio GEORGE M. RHODES, Pennsylvania

ANCHER NELSEN, Minnesota JOHN JARMAN, Oklaboma

HASTINGS KEITH, Massachusetts LEO W. O'BRIEN, New York

WILLARD S. CURTIN, Pennsylvania JOHN E. MOSS, California

ABNER W. SIBAL, Connecticut JOHN D. DINGELL, Michigan

GLENN CUNNINGHAM, Nebraska PAUL G. ROGERS, Florida

JAMES T. BROYHILL, North Carolina
ROBERT W. HEMPHILL, South Carolina DONALD G. BROTZMAN, Colorado
DAN ROSTENKOWSKI, Illinois
JAMES C. HEALEY, New York
HORACE R. KORNEGAY, North Carolina
W. R. HULL, JR., Missouri
GILLIS W. LONG, Louisiana
LIONEL VAN DEERLIN, California

W. E. WILLIAMSON, Clerk
KENNETH J, PAINTER, Assistant Clerk

Professional Staff
ANDREW STEVENSON

GEORGE W. PERRY
KURT BORCHARDT

JAMES M. MENGER, JR.

SUBCOMMITTEE ON COMMERCE AND FINANCE

HARLEY O. STAGGERS, West Virginia, Chairman JOHN D, DINGELL, Michigan

MILTON W. GLENN, New Jersey JAMES C. HEALEY, New York

HASTINGS KEITH, Massachusetts GILLIS W. LONG, Louisiana

WILLARD S. CURTIN, Pennsylvania LIONEL VAN DEERLIN, California

Hearings held on-

Page

April 3, 1963.

1

November 19, 1963.

25

November 20, 1963-

249

November 21, 1963-

391

Text of—

H.R. 6789

43

H.R. 6793.

43

S. 1642..

54

Public Law 87-196.

25

Reports of—

Budget Bureau.

64

Board of Governors of the Federal Reserve System-

June 21, 1963.

65

August 23, 1963.

66

Justice Department...

67

Post Office Department..

67

Securities and Exchange Commission

July 26, 1963...

67

August 26, 1963.

68

Federal Deposit Insurance Corporation.

Statement of -

Barr, Andrew, Chief Accountant, Securities and Exchange Com-

mission..

70, 249

Cary, Hon. William L., Chairman, Securities and Exchange Com-

mission..

2, 70, 131, 249, 287

Cohen, Manuel F., Commissioner, Securities and Exchange Com-

mission...

70, 249

Cohen, Milton H., Director, Special Study of Securities Markets,

Securities and Exchange Commission..

2

Connell, Karl, staff, American Stock Exchange.

417

Con will, Allan F., Director, Division of Corporate Regulation,

Securities and Exchange Commission..

70, 249

Day, James E., president, Midwest Stock Exchange-

391

Etherington, Edwin D., president, American Stock Exchange-

417

Fleischer, Arthur, Jr., Executive Assistant to the Chairman, Securities

and Exchange Commission..-

70, 249

Fulton, Wallace H., executive director, National Association of

Securities Dealers, Inc...

612

Funston, G. Keith, president, New York Stock Exchange--

337

Goodwin, A. Jackson, Jr., member, board of governors, and chairman,

legislative committee, National Association of Securities Dealers,

Inc.

612

Gray, Edward C., executive vice president, New York Stock Exchange- 337

Haack, Robert W., chairman, national business conduct committee

and chairman-elect of board of governors for 1964, National Asso-

ciation of Securities Dealers, Inc.

612

Hodges, John, staff member, National Association of Securities

Dealers, Inc...

612

Keena, Martin J., staff, American Stock Exchange..

417

Lernkau, Hudson B., vice chairman of the board of governors, National

Association of Securities Dealers, Inc...

612

Loomis, Philip S., Jr., General Counsel, Securities and Exchange Com-

mission...

70, 249

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