Introduction.... CONTENTS PART I New Duties of the Commission With Respect to Corporate Commission Functions under Chapter X.. Proceedings in which the Commission Participated Statistics on Reorganizations under Chapter X.. The Commission as a Party to Proceedings- Insuring Adequate Notice of Hearings to Security Holders... Page 1 7 7 8 10 11 11 12 13 13 14 14 16 20 Administration of the Securities Act of 1933 Registration of Securities under the Securities Act of 1933. Nature and Effect of Registration..- Examination of Securities Act Registration Statements. - Statistics of Securities Registered.--. Exemption from Registration Requirements... PART III Administration of the Securities Exchange Act of 1934 National Securities Exchanges- Efforts to Improve the Disciplinary Procedure of the New York Stock Self-Policing by National Securities Exchanges-The Whitney Report_ Brokerage Banks............... Exchanges Registered and Exempted from Registration__ Regulations Promulgated under the Securities Exchange Act of 1934 Pri- marily Directed to National Securities Exchanges, Their Members or Non-member Brokers and Dealers Transacting a Business in Securities Proposals for the Registration of the Securities of "Unlisted Issuers" Formation of National and Affiliated Securities Associations Pursuant to Section 15 (a) of the Securities Exchange Act of 1934, as amended. 57 Registration of Brokers and Dealers. Solicitation of Proxies, Consents, and Authorizations under the Securities Alteration of Rights of an Outstanding Security__ Acquisitions of Securities, Utility Assets, and Other Interests... Integration and Corporate Simplification of Public Utility Holding Com- Enforcement Activities-Continued. Market Surveillance... Trading Investigations___ Record of Public Action Taken in Connection with Proceedings Page 90 91 92 Criminal Cases in which Certiorari was Denied by the United States 114 Rules and Regulations. -- 115 Activities of the Commission in the Field of Accounting and Auditing.. 117 121 Reports of Officers, Directors, and Principal Stockholders.. 127 Confidential Treatment of Applications, Reports, or Documents. 128 APPENDIX II. Guides to Forms.... APPENDIX III. Securities Act Registration Statements as to which stop orders, consent refusal orders, and withdrawal orders APPENDIX IV. List of Publications as of December 31, 1939.. 153 168 191 194 Table 1. Effective registrations of new securities-totals, from Septem- ber 1934 to June 1939, inclusive, by months- - - - Table 2. Effective registrations of new securities, by types of securities, from July 1938 to June 1939, inclusive, by months--- Table 3. Effective registrations of new securities, by major industrial groups, from July 1938 to June 1939, inclusive, by months________ Table 4. Effective registrations of new securities-reduction of gross amount of all effective securities to estimated net cash proceeds accruing to issuers, from July 1938 to June 1939, inclusive, by Table 5, part 1. Effective registrations of new securities-proposed uses of estimated net cash proceeds of new securities registered for account of issuers, from July 1938 to June 1939, inclusive, by Table 5, part 2. Effective registration of new securities-proposed uses of estimated net cash proceeds of new securities registered for account of issuers, from July 1938 to June 1939, inclusive, by Table 7. Effective registrations of new securities-channels of distri- bution of new securities intended for cash offering for account of Table 8. Effective registrations of reorganization and exchange securi- ties, by types of securities, from July 1938 to June 1939, inclusive, Table 9. Effective registrations of reorganization and exchange securi- ties, by major industrial groups, from July 1928 to June 1939, Table 10. New issues of securities offered for cash-by types of offering and type of security, yearly from July 1934 to June 1937, inclusive; monthly from July 1937 to June 1939, inclusive------ Table 11. New issues of securities offered for cash-by types of issuer, yearly from July 1934 to June 1937, inclusive; monthly from July Table 12. Brokers and Dealers Registered under Section 15 of the Securities Exchange Act of 1934-effective registrations, classified Table 13. Brokers and Dealers registered under Section 15 of the Securities Exchange Act of 1934-monthly changes in effective registrations during the fiscal year ended June 30, 1939, classified Table 14. Market value and volume of sales on registered exchanges. Grand totals, by exchanges, for the year ended June 30, 1939----- Table 15. Market value of all sales, monthly, by exchanges, from APPENDIX V. Statistical tables-Continued. Table 19. Principal amount of bond sales, monthly, by exchanges, from July 1938 to June 1939, inclusive____ Page 227 Table 20. Round-lot stock transactions on the New York Stock Exchange for account of members (excluding transactions for the odd-lot accounts of odd-lot dealers and specialists), by weeks, June 27, 1938-June 24, 1939____. 228 Table 21. Round-lot and odd-lot stock transactions on the New York 230 Table 22. Odd-lot and round-lot stock transactions on the New York Stock Exchange for the odd-lot accounts of odd-lot dealers and specialists, by weeks, June 27, 1938-June 24, 1939. 232 Table 23. Security transactions of 23 large management investment companies, by weeks, July 3, 1938-June 30, 1939... APPENDIX VI. Litigation Involving Statutes Administered by the Commission. 233 235 Table I. Injunctive proceedings brought by Commission under the 235 Table II. Indictments returned for violation of the Securities Act of 1933, the Securities Exchange Act of 1934, or the mail fraud statute (in the preparation of which the Commission took part) which were pending during the fiscal year ended June 30, 1939 240 Table III. Indictments returned for perjury committed in the course of investigations conducted by the Commission.. Table IV. Petitions for review of orders of Commission under the Securities Act of 1933, the Securities Exchange Act of 1934 (other than confidential treatment cases), and the Public Utility Holding Company Act of 1935 pending in circuit courts of appeals during the fiscal year ended June 30, 1939___ Table V. Petitions for review of orders denying confidential treatment Table VI. Cases involving constitutionality of Public Utility Holding 252 253 254 254 255 255 256 256 Table X. Contempt proceedings pending during the fiscal year ended Table XII. Miscellaneous injunctive proceedings brought by Commission during the fiscal year ended June 30, 1939........ Table XI. Suits against Commission to enjoin enforcement of the 257 258 |