FAM 28 1938 LETTER OF TRANSMITTAL SECURITIES AND EXCHANGE COMMISSION, 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 Securities Act Forms, Rules and Regulations___ Statistics of Securities Registered under the Securities Act.. 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--- 16 17 Applications for the Granting, Extension and Termination of Un- 17 Registration of Brokers and Dealers Transacting Business in Over-The- Forms for the Registration of Securities on Exchanges.... 19 Rules, Regulations, and Forms Under the Public Utility Holding Company Act of 1935.. Uniform System of Accounts for Public Utility Holding Companies. Statements Required Pursuant to Section 12 (i) of the Public Utility Hold- Control of Service Companies- Voluntary Compliance With the Purposes of Section 11 of the Public panies and Subsidiaries... Transformation of Holding Companies Into Operating Companies Simplification of Corporate Structure of Holding Company Systems 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 Complaints, Informal and Formal Investigations.. Public Hearings__ Litigation Under the Securities Act of 1933 and the Securities Exchange 45 Formal Opinions.... Injunctions Against Violation of the Securities Act and the Securities Suits to Enforce Subpenas- Petitions for Review of Commission's Determination on Applications References to The Attorney General for Criminal Prosecution........ Petitions by Trustees of Holding Companies in Bankruptcy.... Validity of Section 30 of Public Utility Holding Company Act of 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.. Study of Investment Trusts and Investment Companies. Special Studies and Researches.... Study of Exchange Rules Governing Miscellaneous Exchange 72 72 Study of Over-the-Counter Practices and Problems. 73 223 740 74 Further Study of the Segregation of the Functions of Broker and 74 Summary of All Rules Affecting Exchange Trading Promulgated by the A. Rules Regulating Trading Practices upon Exchanges Promul- B. Trading Rules Adopted by Exchanges at the Request of the (2) Interpretation of the Tenth of the Sixteen Rules.... APPENDIX III. Securities Act Registration Statements as to which stop 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- 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 Transactions in all stocks for account of members, New York 135 144 148 149 150 152 154 |