Imágenes de páginas
PDF
EPUB

FAM 28 1938

LETTER OF TRANSMITTAL

SECURITIES AND EXCHANGE COMMISSION,
Washington, January 3, 1938.

SIR: I have the honor to transmit to you the Third Annual Report of the Securities and Exchange Commission, in compliance with the provisions of Section 23 (b) of the Securities Exchange Act of 1934, approved June 6, 1934, and Section 23 of the Public Utility Holding Company Act of 1935, approved August 26, 1935.

Respectfully,

WILLIAM O. DOUGLAS,

Chairman.

The PRESIDENT OF THE SENATE,

The SPEAKER OF THE HOUSE OF REPRESENTATIVES,

Washington, D. C.

III

[blocks in formation]

Securities Act Forms, Rules and Regulations___

Statistics of Securities Registered under the Securities Act..
Statistics of Private Placings---

Exemption From Registration Requirements of Securities Act..

Exemptions of Fractional Undivided Interests in Oil or Gas Rights. Exemptions Other Than Those Relating to Oil and Gas Interests__ Registration of National Securities Exchanges..

Exchanges Registered___

Exchanges Exempted from Registration.

Registration of Securities on Exchanges- - - -

2

2

7

9

13

14

14

14

15

15

15.

16

Applications for the Registration of Securities on Exchanges---
Applications for the Withdrawal or Striking from Listing and
Registration of Securities on Exchanges..

16

17

Applications for the Granting, Extension and Termination of Un-
listed Trading Privileges on Exchanges--

17

Registration of Brokers and Dealers Transacting Business in Over-The-
Counter Markets...

Forms for the Registration of Securities on Exchanges....
Statistics of Securities Registered or Exempt from Registration on
Exchanges..

19

[ocr errors]
[blocks in formation]

Rules, Regulations, and Forms Under the Public Utility Holding Company

Act of 1935..

Uniform System of Accounts for Public Utility Holding Companies.
Issuance of Securities by Registered Holding Companies-----
Acquisition of Securities, Utility Assets and Other Interests by Registered
Holding Companies or Their Subsidiaries... - - -

Statements Required Pursuant to Section 12 (i) of the Public Utility Hold-
ing Company Act of 1935...

Control of Service Companies-

Voluntary Compliance With the Purposes of Section 11 of the Public
Utility Holding Company Act of 1935 by Registered Holding Com-

panies and Subsidiaries...

Transformation of Holding Companies Into Operating Companies
by Acquisition of the Utility Assets of Subsidiaries___
Exchange of Control of Properties for the Purpose of Creating Inte-
grated Public Utility Systems...

Simplification of Corporate Structure of Holding Company Systems
by Merger of Subsidiaries Operating in the Same Area....

Commission Reports on Reorganization Plans____

31

33

34

35

36.

36.

37

37

39

40

41

Page

General Policies With Respect to Administration of Public Utility Holding
Company Act_

Complaints, Informal and Formal Investigations..

Public Hearings__

[blocks in formation]

Litigation Under the Securities Act of 1933 and the Securities Exchange
Act of 1934...

45

Formal Opinions....

Injunctions Against Violation of the Securities Act and the Securities
Exchange Act....

Suits to Enforce Subpenas-

Petitions for Review of Commission's Determination on Applications
for Confidential Treatment..

References to The Attorney General for Criminal Prosecution........
Litigation Under the Public Utility Holding Company Act of 1935.......
Suits by Holding Companies to Enjoin Enforcement..

Petitions by Trustees of Holding Companies in Bankruptcy....
Stockholders' Suits..

Validity of Section 30 of Public Utility Holding Company Act of
1935...

Securities Violations Files..

Securities Act of 1933, As Amended..

Securities Exchange Act of 1934..

Public Utility Holding Company Act of 1935.

Advisory and Interpretative Assistance..

Reports of Officers, Directors, and Principal Stockholders--

46

48

48

48

49

49

51

51

52

52

52

52

54

55

59

60

Solicitation of Proxies, Consents, and Authorizations____

Confidential Treatment of Applications, Reports or Documents..

61

62

Admissions to Practice as Attorney or Agent Before the Commission..
Report on the Study and Investigation of Protective and Reorganization
Committees...

Study of Investment Trusts and Investment Companies.

[blocks in formation]

Special Studies and Researches....

Study of Exchange Rules Governing Miscellaneous Exchange
Practices...

72

72

Study of Over-the-Counter Practices and Problems.
Formulation of Rules to Define Manipulative, Deceptive and
Other Fraudulent Devices in the Over-the-Counter Markets..
Study of "When Issued" Trading Rules..

73

223

740

74

Further Study of the Segregation of the Functions of Broker and
Dealer...

74

Summary of All Rules Affecting Exchange Trading Promulgated by the
Commission or Adopted by Exchanges at Request of Commission

A. Rules Regulating Trading Practices upon Exchanges Promul-
gated by the Commission...

B. Trading Rules Adopted by Exchanges at the Request of the
Commission...

[blocks in formation]

(2) Interpretation of the Tenth of the Sixteen Rules....
(3) "When Issued" Margin Rules..

[blocks in formation]
[merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][ocr errors]

APPENDIX III. Securities Act Registration Statements as to which stop
orders, consent refusal orders, and withdrawal orders
were issued July 1, 1936 to June 30, 1937_--_.
APPENDIX IV. List of Publications available as of November 1, 1937...
APPENDIX V. Statistical tables:
Table 1. Statistics, by months, of new securities, included in regis-
tration statements fully effective September 1, 1934-June 30,
1937.

119

124

126

Table 2. Type classification, by months, of new securities, included in registration statements fully effective July 1, 1936June 30, 1937---

Table 3. Group classification, by months, of issuers of new secu-
rities fully effective July 1, 1936-June 30, 1937----
Table 4. Reduction of estimated gross proceeds to net proceeds, by
months, of new securities registered for account of issuers and
fully effective July 1, 1936-June 30, 1937..........

127

129

132

Table 5. Proposed uses of net proceeds, by months, of new securities registered for account of issuers and fully effective July 1, 1936-June 30, 1937---

133

Table 6. Statistics, by industries, of new securities fully effective under the Securities Act of 1933 from July 1, 1936 to June 30, 1937...

Table 7. Channels of distribution of new securities registered for
account of issuers and fully effective July 1, 1936-June 30, 1937__
Table 8. Type classification, by months, of securities included in
registration statements for reorganization and exchange issues
fully effective July 1, 1936-June 30, 1937...
Table 9. Industry group classification, by months, of securities
included in registration statements for reorganization and ex-
change issues fully effective July 1, 1936-June 30, 1937-----
Table 10. Private placings of securities July 1, 1934-June 30, 1937..
Table 11:

Transactions in all stocks for account of members, New York
Stock Exchange, by weeks, March 2, 1936-June 26, 1937---
Transactions in all stocks for account of members, New York
Curb Exchange, by weeks, March 16, 1936-June 26, 1937__
Table 12. Value and volume of sales on registered exchanges, by
months, July 1, 1936-June 30, 1937:

135

144

148

149

150

152

154

[blocks in formation]
« AnteriorContinuar »