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OSONATA 2319A980

HOUSE COMMITTEE ON THE DISTRICT OF COLUMBIA

JOHN L. MCMILLAN, South Carolina, Chairman
THOMAS G. ABERNETHY, Mississippi JOEL T. BROYHILL, Virginia
HOWARD W. SMITH, Virginia

JAMES C. AUCHINCLOSS, New Jersey
WILLIAM L. DAWSON, Illinois

WILLIAM L. SPRINGER, Illinois
JOHN BELL WILLIAMS, Mississippi ANCHER NELSEN, Minnesota
ABRAHAM J. MULTER, New York

ALVIN E. O'KONSKI, Wisconsin
JOHN DOWDY, Texas

WILLIAM H. HARSHA, Ohio
GEORGE HUDDLESTON, JR., Alabama CHARLES MCC. MATHIAS, JR., Maryland
BASIL L. WHITENER, North Carolina FRED SCHWENGEL, Iowa
JEFFERY COHELAN, California

FRANK J. HORTON, New York
FERNAND J. ST GERMAIN, Rhode Island KICHARD L. ROUDEBUSH, Indiana
JAMES W. TRIMBLE, Arkansas
B. F. SISK, California
CHARLES C. DIGGS, JR., Michigan
G. ELLIOTT HAGAN, Georgia

JAMES T. CLARK, Clerk
CLAYTON GASQUE, Staff Director

HAYDEN S. GARBER, Counsel

SUBCOMMITTEE No. 2

THOMAS G. ABERNETHY, Mississippi, Chairman
JOHN DOWDY, Texas

WILLIAM L. SPRINGER, Illinois
FERNAND J. ST GERMAIN, Rhode Island CHARLES MCC. MATHIAS, JR., Maryland
JAMES W. TRIMBLE, Arkansas

WILLIAM H. HARSHA, Ohio
B. F. SISK, California

ALVIN E. O'KONSKI, Wisconsin
G. ELLIOTT HAGAN, Georgia

II

CONTENTS

61
61

86

62
63

36
153
29

37

160

Association of Casualty & Surety Companies : Marsh, David M., assistant

counsel, letter dated March 27, 1963, to Chairman McMillan.

Better Business Bureau of Metropolitan Washington :

McCarthy, Leland S., managing director, letter dated May 2, 1963, to

Chairman Abernathy-

Resolution of March 27, 1961.
Department of Justice :
Acheson, David C., U.S. attorney for the District of Columbia :

Letter dated May 17, 1963, to Chairman Abernethy-
Letter dated June 21, 1963, to Chairman Abernethy (appendix) -

Complete statement submitted for the record-
Katzenbach, Nicholas deB., Deputy Attorney General: Letter dated

May 2, 1963, to Chairman McMillan.
District of Columbia government:

Bryan, Irving, Assistant Corporation Counsel : Separate statement,

dated July 15, 1963 (appendix).
Clarke, E. J., Acting President, Board of Commissioners : Letter dated

February 25, 1963, to Hon. John W. McCormack, Speaker, U.S.

House of Representatives, enclosing draft of proposed legislation---
Tobriner, Walter N., President, Board of Commissioners : Letter dated

July 22, 1963, to Chairman Abernethy (appendix) --

Department of Insurance Rates and Regulations re variable annuity

contracts.

Gilbertson, Larry D., vice president and general counsel, Variable Annuity

Life Insurance Co. of America.

Commerce Clearing House, Inc., General Guide:

Excerpt from, re securities regulation --

Letter dated May 7, 1963, to James T. Clark, clerk, enclosing rules

under the Maryland Securities Act--

Senate Report 2109, 82d Congress, 2d session, “Constructive Sale

Price for Purposes of Certain Manufacturers Excise Tax”----

Statement of Larry D. Gilbertson --

45

159

148

134

132

142
86

89

146

144

149

Investment Bankers Association of America : Statement of re H.R. 4200__
Investment Company Institute: Augenblick, Robert L., general counsel :

Letter dated May 1, 1963, to Chairman McMillan -
Johnson, George E. : Letter dated April 22, 1963, to Chairman McMillan---

Reprint from Georgetown Law Journal, summer 1960, entitled “The

Variable Annuity-Insurance, Investment, or Both?".
Maryland Securities Act, rules under..
Midwest Securities Commissioners Association : Statement of policy, dated

February 22, 1963, regarding variable companies and trusts
National Association of Securities Dealers, Inc.: Goodwin, A. Jackson,

Jr., chairman, Legislation Committee: Letter dated June 4, 1963, to

Chairman McMillan__
Oulahan, Courts, Esq.: Letter dated May 1, 1963, to Chairman McMillan,

and memorandum re proposed Securities Act.

"The Washington Star, Ottenberg, Miriam, staff writer, articles entitled

"Investors Beware".

U.S. Court of Appeals (3d circuit), opinion dated January 20, 1964, in

The Prudential Insurance Co. of America v. S.E.C. et al. (326 F. 2d 383)

(appendix)---

Vieth, G. Duane, Esq., of Arnold, Fortas & Porter: Letters dated June 20,

21, 1963, to Chairmen McMillan and Abernethy together with suggested

amendments----

Wellington Management Co., Joseph E. Welch, president: Letter dated

May 24, 1963, to James T. Clark, clerk.--

81

148

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