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INVESTOR PROTECTION

HEARINGS

BEFORE A

SUBCOMMITTEE OF THE

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 PROCEDURES FOR REGISTERED BROKERS AND DEALERS, AND FOR

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INVESTOR PROTECTION

HEARINGS

BEFORE A

SUBCOMMITTEE OF THE

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

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COMMITTEE ON INTERSTATE AND FOREIGN COMMERCE

OREN HARRIS, Arkansas, Chairman

JOHN BELL WILLIAMS, Mississippi
KENNETH A. ROBERTS, Alabama
HARLEY O. STAGGERS, West Virginia
WALTER ROGERS, Texas

SAMUEL N. FRIEDEL, Maryland

TORBERT H. MACDONALD, Massachusetts GEORGE M. RHODES, Pennsylvania

JOHN JARMAN, Oklahoma

LEO W. O'BRIEN, New York

JOHN E. MOSS, California
JOHN D. DINGELL, Michigan
PAUL G. ROGERS, Florida

ROBERT W. HEMPHILL, South Carolina
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

ANDREW STEVENSON KURT BORCHARDT

JOHN B. BENNETT, Michigan
WILLIAM L. SPRINGER, Illinois
PAUL F. SCHENCK, Ohio

J. ARTHUR YOUNGER, California
MILTON W. GLENN, New Jersey
SAMUEL L. DEVINE, Ohio

ANCHER NELSEN, Minnesota

HASTINGS KEITH, Massachusetts

WILLARD S. CURTIN, Pennsylvania
ABNER W. SIBAL, Connecticut
GLENN CUNNINGHAM, Nebraska
JAMES T. BROYHILL, North Carolina
DONALD G. BROTZMAN, Colorado

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

Professional Staff

GEORGE W. PERRY JAMES M. MENGER, JR.

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