95 ments, applications, declarations, and reports; public hearings; reports of security issuers, officers, directors, and principal stockholders; and other activities. The releases of the Commission are classified according to subject and made available through issuance to the press and the medium of a mailing list maintained for the convenience of those persons who desire to receive them as they are issued. Upon request, members of the public may have their names placed upon the mailing list to receive all or any classes of releases. During the year ended June 30, 1938, the Commission published 276 releases under the Securities Act of 1933, 493 releases under the Securities Exchange Act of 1934, and 419 releases under the Public Utility Holding Company Act of 1935. There were also published 301 releases pertaining to daily figures on odd-lot trading on the New York Stock Exchange, and 160 general releases. There is given below a classification, according to subject matter, of the total 1,649 information releases issued by the Commission during the past fiscal year: Orders of the Commission.. Filing of Registration Statements, Applications, and other Public Documents__ Statistical Data__- Reports of Court Actions.... Rules, Regulations, Interpretations Investment Trust Study--- Personnel Changes and Appointments. Accounting Opinions__ Unclassified.... Total releases issued... Registration Record, Securities Act of 1933 474 472 436 117 82 17 16 6 29 1, 649 In addition to the various classes of releases described above, the Commission publishes a daily report known as the Registration Record. This report, which was first made available for public distribution on May 10, 1937, and more fully described in the Third Annual Report of this Commission, contains information concerning events occurring each day in connection with each security issue with respect to which there is a registration statement under the Securities Act of 1933. Other Publications Other publications issued by the Commission during the year in dluded the following:39 Report to the Congress on the Study and Investigation of the Work, Activities, Report to the Congress on the Study of Investment Trusts and Investment Companies: Part I. Origin, Scope, and Conduct of the Study; Nature and Classification of Investment Trusts and Investment Companies; and Origins of the Investment Trust and Investment Company Movement in the United States. Decisions of the Commission, Volume 1, containing all decisions contained and printed in Volume 1, Nos. 1, 2, and 3. Twenty-four semi-monthly issues of the Official Summary of Stock Transactions and Holdings of Officers, Directors, and Principal Stockholders. List of Securities Traded on Exchanges under the Securities Exchange Act of 1934 as of June 30, 1938, together with supplements thereto. PERSONNEL At the close of the fiscal year ended June 30, 1938, the personnel of the Commission comprised 5 Commissioners and 1,209 employees. Of these 1,209 employees, 794 were men and 415 were women. During the fiscal year the Commission received $716,456.35 in revenue. The source and disposition of the amounts collected are Comparison of receipts for the fiscal year 1938 with those for the fiscal years 1935, 1936, and 1937, and the total receipts of the Commission since its creation "This sum is not available for expenditure by the Commission but is deposited into the U. S. Treasury as miscellaneous receipts. The Commission is at liberty to expend only such funds as the Congress appro priates for its use. APPENDIX I RULES OF PRACTICE AS AMENDED JUNE 25, 1938 EFFECTIVE JULY 1, 1938 RULE I BUSINESS HOURS-REGIONAL OFFICES The principal office of the Commission at Washington, D. C., is open on each business day, excepting Saturdays, from 9 a. m. to 4:30 p. m., and on Saturdays from 9 a. m. to 1 p. m. Regional offices are maintained at New York, Boston, Atlanta, Chicago, Fort Worth, Denver, San Francisco, and Seattle. RULE II APPEARANCE AND PRACTICE BEFORE THE COMMISSION (a) An individual may appear in his own behalf, a member of a partnership may represent the partnership, a bona-fide officer of a corporation, trust or association may represent the corporation, trust or association, and an officer or employee of a state commission or of a department or political subdivision of a state may represent the state commission or the department or political subdivision of the state, in any proceeding. (b) A person may be represented in any proceeding by an attorney at law admitted to practice before the Supreme Court of the United States, or the highest court of any State or Territory of the United States, or the Court of Appeals or the District Court of the United States for the District of Columbia. (c) A person shall not be represented at any hearing before the Commission or a trial examiner except as stated in paragraphs (a) and (b) of this rule. (d) Any person appearing before or transacting business with the Commission in a representative capacity may be required to file a power of attorney with the Commission showing his authority to act in such capacity. (e) The Commission may disqualify, and deny, temporarily or permanently, the privilege of appearing or practicing before it in any Hay to, any person who is found by the Commission after hearing |