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S. 1001 (H.R. 9419)

BILLS TO PROVIDE FOR THE REGULATION OF THE BUSI- .
NESS OF SELLING SECURITIES IN THE DISTRICT OF
COLUMBIA AND FOR THE LICENSING OF PERSONS EN-

GAGED THEREIN, AND FOR OTHER PURPOSES

MARCH 5, 19, AND APRIL 29, 1964

64-bitor

Printed for the use of the Committee on the District of Columbia

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 1964

32-278

COMMITTEE ON THE DISTRICT OF COLUMBIA

ALAN BIBLE, Nevada, Chairman WAYNE MORSE, Oregon

J. GLENN BEALL, Maryland VANCE HARTKE, Indiana

WINSTON L. PROUTY, Vermont THOMAS J. MCINTYRE, New Hampshire PETER H. DOMINICK, Colorado

CHESTER H. SMITH, Staff Director

JUDICIARY SUBCOMMITTEE

VANCE HARTKE, Indiana, Chairman THOMAS J. MCINTYRE, New Hampshire PETER H. DOMINICK, Colorado

II

His

GAR

CONTENTS

72

Statement of

Page

Acheson, David C., U.S. attorney, representing the Department of

Justice

40

Augenblick, Robert L., general counsel, Investment Company In-

stitute, accompanied by Franklin Johnson.

Bernstein, Edgar H., vice chairman, District of Columbia Public

Utilities Commission, accompanied by Joseph S. Greco, executive

secretary ---

62, 65

Bryan, Irving, Assistant Corporation Counsel, District of Columbia- 52

Calvert, Gordon L., municipal director and assistant general counsel,

Investment Bankers Association of America...

79

Cary, Hon. William L., Chairman, Securities and Exchange Com-

mission, accompanied by Philip A. Loomis, Jr., General Counsel, and

Alexander J. Brown Jr., regional administrator, Washington regional

office..--

24

Congleton, Richard J., general attorney, the Prudential Insurance

Co. of America -

110

Gilbertson, Larry D., vice president and general counsel, Variable

Annuity Life Insurance Co. of America --

101

Johnson, Franklin R., on behalf of Investment Company Institute..

Jordan, Albert F., Superintendent of Insurance, District of

Columbia..

69

Marsh, David M., manager, Washington office, Association of Casualty

& Surety Cos.

117

Nees, Bernard J., chairman, Washington Legislative Committee of

the Investment Bankers Association of America..

79

Schlaifer, Irving, Washington, D.C.---

59

Steere, Allen C., vice president, Lincoln National Life Insurance Co.,

Fort Wayne, Ind.

87

Von Schmertzing, Wolfgang, president, Service Investment Corp.,

Washington, D.C..

120

West, Millard F., Jr., governor, Association of Stock Exchange Firms. 93

Zahn, Hillman, vice president, the Chesapeake & Potomac Telephone

Co.

99

Communications-

Better Business Bureau of Metropolitan Washington, Leland S.

McCarthy, managing director: Letter, dated March 2, 1964, to
Hon. Vance Hartke...

96
Board of Commissioners, District of Columbia, F. P. Clarke, Acting

President: Letter, dated February 25, 1963, to Hon. Lyndon B.
Johnson, President, U.S. Senate, containing a draft of a bill (sub-
sequently S. 1001).

55

Board of Commissioners of the District of Columbia, President

Walter N. Tobriner: Letter, dated March 4, 1964, to Hon. Alan

Bible, chairman, Committee on District of Columbia, re Com-

missioners' report on H.R. 9419 and S. 1001..

52

Dawson, Griffin, Pickens & Riddell, Donald S. Dawson, member:

Letter, dated March 4, 1964, to Hon. Alan Bible, containing the
views of Variable Annuity Insurance Co. of America..

59
Department of Justice, Nicholas deB. Katzenberg, Deputy Attorney

General: Letter, dated April 16, 1963, to Hon. Alan Bible, containing
the Department views on S. 1001.

58
Gronouski, John A., Postmaster General of the United States: Letter,

dated March 5, 1964, to Hon. Alan Bible, containing the views of
the Department on H.R. 9419..

94

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