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ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF
1934 Continued
Page
Regulation of broker-dealers and over-the-counter markets----
84
Supervision of activities of National Association of Securities Dealers,
Cases under the net capital rule_-_
Litigation involving broker-dealer registration and reporting
116
ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM-
PANY ACT OF 1935...
120
Composition of registered holding company systems-summary of
changes...
Developments in individual registered systems__ _.
123
Financing of active registered public utility holding companies and
their subsidiaries....
134
Competitive bidding-
136
Protective provisions of first mortgage bonds and preferred
stocks of public utility companies_-_.
137
PART VII
PARTICIPATION OF THE COMMISSION IN CORPORATE RE-
ORGANIZATIONS UNDER CHAPTER X OF THE BANKRUPTCY
Applications and proceedings...
Litigation under the Investment Company Act of 1940----
PART X
ADMINISTRATION OF THE INVESTMENT ADVISERS ACT OF
1940_.
PART XI
157
158
159
160
161
164
167
APPENDIX-STATISTICAL TABLES
Table 1. A 25-year record of registrations under the Securities Act of 1933..
Part 1. Number and amount of registrations and amount registered
for cash sale for account of issuers, 1935-59------
Part 2. Purpose of registration and industry classification for each five
fiscal years from 1935 to 1959 and for each fiscal year from
1955 to 1959_____
215
216
Table 2. Registrations fully effective under the Securities Act of 1933,
fiscal year ended June 30, 1959---
217
Part 1. Distribution by months----
Part 2. Purpose of registration and type of security-..
Part 3. Purpose of registration and industry of registrant..
Part 4. Use of proceeds and industry of registrant.......
218
219
Table 3. New securities offered for cash sale in the United States, 1934-58
226
Part 4. Private placement of corporate securities.
Table 4. Proposed uses of net proceeds from the sale of new corporate secu-
rities offered for cash in the United States, 1934-58 and by
months January 1958-June 1959_..
228
Table 5. A summary of corporate securities publicly offered and privately
placed in each year from 1934 through June 1959-
235
Table 6. Notifications filed pursuant to Regulation A under the Securities
Act of 1933 for the fiscal years 1935-59..
236
Table 7. Suspension orders issued pursuant to Regulations A and D under
the Securities Act of 1933 during the fiscal year 1959__-
Table 8. Brokers and dealers registered under the Securities Exchange Act
of 1934- effective registrations as of June 30, 1959, classified by
type of organization and by location of principal office-------
Table 9. Number of stock and bond issues listed and registered on na-
tional securities exchanges and the number of issuers involved
as of the close of each fiscal year, 1936 through 1959--------
Table 10. Number of issuers listing and registering securities for the first
time on a national securities exchange and the number of issuers
as to which the registration of all securities was terminated
during the fiscal years 1936 through 1959----
241
242
243
Table 11. Number of issuers and security issues on exchanges, as of June 30, 1959_____
244
Part 1. Number of issuers and security issues on exchanges.
Part 2. Number of stock and bond issues..
Table 12. Unlisted stocks on securities exchanges..
245
Part 1. Number of stocks on the exchanges in the various categories
as of June 30, 1959----
Part 2. Unlisted share volume on the exchanges-calendar year 1958__
Table 13. Dollar volume and share volume of sales effected on securities
exchanges in the 12-month period ended December 31,1958
and the 6-month period ended June 30, 1959.
246
Table 14. Block distributions, 1942-58-
247
Table 15. Comparative share sales and dollar volume on exchanges, 1935–
58 and 6 months to June 30, 1959___
248
Table 16. Number of proxy statements filed under Regulation 14, the num-
ber that included stockholder proposals under Rule 14a-8, the
number of such proposals, and the net number of stockholders
whose proposals were included, fiscal years 1939-59----
249
Table 17. Number of original and amended reports filed by directors, offi-
cers, and principal stockholders under section 16 (a) of the
Securities Exchange Act of 1934, section 17(a) of the Public
Utility Holding Company Act of 1935, and section 30 (f) of the
Investment Company Act of 1940, showing their beneficial
ownership of, and their transactions in, equity securities of the
registrant, fiscal years 1935–59_--
Table 18. Number and principal types of periodic reports filed under sec-
tion 13 of the Securities Exchange Act of 1934 by issuers having
securities listed and registered on national securities exchanges
during the fiscal years 1939 through 1959, and the number of
such issuers as of the close of the fiscal year.......
Table 19. Number and principal types of periodic reports filed under sec-
tion 15(d) of the Securities Exchange Act of 1934 by issuers
having registered securities under the Securities Act of 1933,
fiscal years 1937-59---
Table 20. Reorganization proceedings under Chapter X of the Bankrupt-
cy Act in which the Commission participated, fiscal years 1939–
59..
Table 21. Reorganization proceedings under Chapter X of the Bankrupt-
cy Act in which the Commission participated during the fiscal
year 1959____.
Table 22. Number of indentures filed and qualified under the Trust Inden-
ture Act of 1939 and the dollar amount of debt securities in-
volved, fiscal years 1940-59---
Table 23. Number of investment companies registered under the Invest-
ment Company Act of 1940 and the approximate dollar
amount of gross assets at the end of each fiscal year, 1941-
1959___
Table 24. Number of annual and other periodic reports and sales litera-
ture filed by registered investment companies and other
persons under the Investment Company Act of 1940, fiscal
years 1941-59___.
Table 25. Summary of cases instituted in the courts by the Commission
under the Securities Act of 1933, the Securities Exchange
Act of 1934, the Public Utility Holding Company Act of 1935,
the Investment Company Act of 1940, and the Investment
Advisers Act of 1940_.
Table 26. Summary of cases instituted against the Commission, cases in
which the Commission participated as intervenor or amicus
curiae, and reorganization cases on appeal under Chapter X
in which the Commission participated_-----
Table 27. Injunctive proceedings brought by the Commission under the
Securities Act of 1933, the Securities Exchange Act of 1934,
the Public Utility Holding Company Act of 1935, the Invest-
ment Advisers Act of 1940, and the Investment Company
Act of 1940, which were pending during the fiscal year ended
June 30, 1959__
Table 28. Indictments returned for violation of the acts administered by
the Commission, the Mail Fraud Statute (sec. 1341, formerly
sec. 338, title 18, U.S.C.), and other related Federal statutes
(where the Commission took part in the investigation and
development of the case) which were pending during the
1959 fiscal year..
250
251
252
253
254
255
256
257
Table 29. Petitions for review of orders of the Commission under the
the Public Utility Holding Company Act of 1935, and the
Investment Company Act of 1940, pending in courts of ap-
peals during the fiscal year ended June 30, 1959-
Table 30. Contempt proceedings pending during the fiscal year ended
June 30, 1959___.
Part 1. Civil Contempt Proceedings..
Part 2. Criminal Contempt Proceedings-
Table 31. Cases in which the Commission participated as intervenor or
as amicus curiae, pending during the fiscal year ended June 30,
1959____
Table 32. Proceedings by the Commission to enforce subpoenas under the
Securities Act of 1933 and the Securities Exchange Act of
1934, pending during the fiscal year ended June 30, 1959__
Table 33. Miscellaneous actions involving the Commission or employees
of the Commission during the fiscal year ended June 30, 1959-
Table 34. Actions pending during fiscal year ended June 30, 1959, to en-
force voluntary plans under section 11(e) to comply with
section 11(b) of the Public Utility Holding Company Act of
1935...
Table 35. Actions under section 11(d) of the Public Utility Holding Com-
pany Act of 1935 pending during the fiscal year ended June
30, 1959, to enforce compliance with the Commission's order
issued under section 11(b) of that act..
Table 36. Reorganization cases under Chapter X of the Bankruptcy Act
pending during the fiscal year ended June 30, 1959, in which
the Commission participated when district court orders were
challenged in appellate courts____
274
276
277
279
280
281
283
284
Table 37. A 26-year summary of criminal cases developed by the Com-
mission, fiscal years 1934-59___
286
Table 38. Summary of criminal cases developed by the Commission which
were still pending at June 30, 1959---
Table 39. A 26-year summary classifying all defendants in criminal cases
287
developed by the Commission, 1934 to June 30, 1959-----
Table 40. A 26-year summary of all injunction cases instituted by the
Commission, 1934 to June 30, 1959, by calendar year_____
288