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SECURITIE

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JAM

GEO

ROB

J. I

A

SECURITIE

UNITED STATES OF AMERICA
JAN 2 7 '36

LETTER OF TRANSMITTAL

SECURITIES AND EXCHANGE COMMISSION,

Washington, January 3, 1936. SIR: I have the honor to transmit to you the First 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.

Respectfully,

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Registration of exchanges as national securities exchanges.
Exemption of exchanges from registration as national securities exchanges.
Formulation of rules for the regulation of trading on exchanges ____
Detection of excessive trading and manipulative and deceptive practices
on exchanges.

Formulation of rules for the regulation of pegging, fixing, or stabilizing
operations, both on exchanges and in the over-the-counter markets____
Formulation of rules for the regulation of puts, calls, straddles, and other
options

Formulation of rules for the regulation of short selling and stop-loss orders. Cooperation with the Federal Reserve Board in the supervision of its margin regulations__

Formulation of rules relating to borrowings and solvency of, and hypothecation of customers' securities by, exchange members, brokers, and dealers...

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Supervision and study of matters relating to unlisted trading privileges in securities on exchanges..

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Formulation of rules relating to the registration of unissued warrants and
unissued securities for "when, as, and if issued” trading on exchanges
Regulation of the over-the-counter markets_____.
Regulation of miscellaneous exchange and other practices----
Registration of securities on exchanges:

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Temporary and provisional registration of securities on exchanges..
Permanent registration of securities on exchanges__

Statistics of securities registered or exempt from registration on
exchanges...

Reports of officers, directors, and principal stockholders....

Withdrawal or striking from listing and registration of securities on a national securities exchange..

Registration of securities under the Securities Act of 1933:

Securities Act forms..

Examination of Securities Act registration statements.......

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Typical disclosures made as a result of examinations of Securities

Act registrations.............

Exemptions from registration requirements.

Statistics of securities registered under the Securities Act...

Registration fees...

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