UNITED STATES OF AMERICA 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, Registration of exchanges as national securities exchanges. Formulation of rules for the regulation of pegging, fixing, or stabilizing 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... 11 9123 14 15 16 16 16 17 Supervision and study of matters relating to unlisted trading privileges in securities on exchanges.. 17 Formulation of rules relating to the registration of unissued warrants and 18 18 19 Temporary and provisional registration of securities on exchanges.. Statistics of securities registered or exempt from registration on 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....... 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... |