SECURITIES ACT REGISTRATION STATEMENTS AS TO WHICH STOP ORDERS, CONSENT REFUSAL ORDERS, AND WITHDRAWAL ORDERS WERE ISSUED JULY 1, 1937, TO JUNE 30, 1938-Continued LIST OF PUBLICATIONS AS OF DECEMBER 9, 1938 Copies of the material listed below may be procured from the Publications Unit, Securities and Exchange Commission, Washington, D. C. ACTS: Securities Act of 1933, as amended. Provisions of Federal Laws Relating to the Securities Act of 1933, as amended. Public Utility Holding Company Act of 1935. National Bankruptcy Act, as amended June 22, 1938 (Chandler Act). MISCELLANEOUS: Addresses by Commissioners and members of the staff of the Commission. Directory of Over-The-Counter Brokers and Dealers Registered with the Directory of Brokers and Dealers in Oil or Gas Interests Registered with the Securities Traded on Exchanges under the Securities Exchange Act of 1934. RELEASES: Releases are issued covering the Commission's official actions, orders, rulings, Compilation of Releases under the Securities Act of 1933, to and including Compilation of Releases under the Securities Exchange Act of 1934, to and Compilation of Releases under the Public Utility Holding Company Act of 1935, to and including December 31, 1936. REPORTS: Report on the Government of Securities Exchanges. (Published as House Document No. 85.) Report on the Feasibility and Advisability of the Complete Segregation of the Functions of Dealer and Broker. Preliminary Summary of the Progress of the Study of Investment Trusts and Investment Companies. Report on the Study of Investment Trusts and Investment Companies: Part One: Origin, Scope and Conduct of the Study; Nature and Classification of Investment Trusts and Investment Companies; Origins of the Investment Trust and Investment Company Movement in the United States. Part Two: The following chapters of the Statistical Survey of Investment Trusts and Investment Companies. Chapters I and II: Preface to Statistics Describing the Sources of Data and Methods of Analysis Used; Growth of Total Assets and Survey of Financial Statements for the Period 1927-1936. Chapters III and IV: Sales and Repurchases of Securities of Investment Trusts and Investment Companies; Trading in the Securities of Investment Trusts and Investment Companies. REPORTS-Continued. Chapter V: Ownership and Control of Investment Trusts and Investment Companies. Report on Trading in Unlisted Securities upon Exchanges. RULES, REGULATIONS, AND FORMS: General Rules and Regulations under the Securities Act of 1933. Guide to Forms Adopted under the Securities Act of 1933, as amended. General Rules and Regulations under the Public Utility Holding Company Rules of Practice. Regulation regarding the Sale of Copies of Registered Information. UNIFORM SYSTEMS OF ACCOUNTS: Uniform System of Accounts for Mutual Service Companies and Subsidiary Uniform System of Accounts for Public Utility Holding Companies. COPIES OF THE MATERIAL LISTED BELOW MAY BE PROCURED FROM THE SUPERINTENDENT OF DOCUMENTS, GOVERNMENT PRINTING OFFICE, WASHINGTON, D. C. Decisions of the Securities and Exchange Commission: Out of Print. Price 25 cents. Volume 1, No. 1 (July 2, 1934, to September 3, 1935). Price $1.75. Volume 2, Part 1 (January 1, 1937, to June 30, 1937). Price 50 cents. Official Summary of Holdings of Officers, Directors, and Principal Stockholders as of December 31, 1935. Price 35 cents. First Annual Report of the Securities and Exchange Commission, Fiscal year ended June 30, 1935. Price 10 cents. Second Annual Report of the Securities and Exchange Commission, Fiscal year ended June 30, 1936. Price 15 cents. Third Annual Report of the Securities and Exchange Commission, Fiscal year ended June 30, 1937. Price 25 cents. Report on the Study and Investigation of the Work, Activities, Personnel, and Part I. Strategy and Techniques of Protective and Reorganization Price II. Committees and Conflicts of Interest... III. Committees for the Holders of Real Estate Bonds_-- V. Protective Committees and Agencies for Holders of De faulted Foreign Governmental Bonds.. VI. Trustees under Indentures... VII. Management Plans Without Aid of Committees... Investigation in the matter of Richard Whitney et al: Volume 1. Report of the Commission.. 2. Transcript of Hearing. 3. Exhibits... $1.00 .60 .25 .15 1.00 .20 60 $0.20 1.00 .55 認 STATISTICAL TABLES TABLE 1.-Effective registrations of new securities-totals, from September 1934 to June 1988, by months [Dollar figures in thousands] New securities in this table, as well as in the following 6 tables, include all securities fully effective under the Securities Act of 1933 with the exception of reorganization and exchange securities, for which see tables 8 and 9. For nature of these other deductions, see table 4. TABLE 2.-Effective registrations of new securities, by types of securities, from July 1937 to June 1938, by months New securities in this table include all securities fully effective under the Securities Act of 1933 with the exception of reorganization and exchange securities, for which see tables 8 and 9. 2 For nature of these other deductions see table 4. 37 issues of short-term notes totaling $1,735,103 (of which all but $9,545,674 were intended to be offered for cash for the account of the registrants) were effectively registered during the fiscal year as follows November 1937, 1 issue for $1,000,000; December 1997, 5 issues for $11,635,163; February 1938, 1 issue for $100,000. NOTE.--For back figures see Third Annual Report p. 127, and Second Annual Report, pp. 98 and 99. |