SECURITIES AND EXCHANGE COMMISSION Office: 1778 Pennsylvania Avenue NW. COMMISSIONERS WILLIAM O. DOUGLAS, Chairman GEORGE C. MATHEWS ROBERT E. HEALY JEROME N. Frank JOHN W. HANES1 FRANCIS P. BRASSOR, Secretary Address All Communications SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 1 Resigned June 30, 1938. TED STATES OF AMERICA FEB 20 39 LETTER OF TRANSMITTAL SECURITIES AND EXCHANGE COMMISSION, SIR: I have the honor to transmit to you the Fourth 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. CONTENTS Page Introduction... 1 Registration of Public Utility Holding Companies___ Orders Granting Exemptions from Registration under the Public Utility 6 8 Reorganization, Simplification, and Integration of Registered Public Utility Holding Companies and Subsidiaries _ _ Rules, Regulations, and Forms under the Public Utility Holding Company 13 Issuance of Securities by Registered Holding Companies and Their Subsidiaries.... 16 Acquisition of Securities or Utility Assets and Other Interests by Registered Holding Companies or Their Subsidiaries... 17 Uniform System of Accounts for Public Utility Holding Companies- Statements Required Pursuant to Section 12 (i) of the Public Utility Hold- National Securities Exchanges.. Exchange Reorganization. 17 18 19 20 20 Statistics of Securities Registered or Exempt from Registration on 26 Applications for the Withdrawal or Striking from Listing and Regis- 30 Applications for the Granting, Extension, and Termination of Un Examination of Securities Act Registration Statements.. of 1934. 35 35 40 43 45 46 50 59 60 60 Securities Act of 1933, as Amended.......... 60 61 63 66 |