Annual Report of the Securities and Exchange Commission - United States. Securities and Exchange Commission - Google Libros

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ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF

1934—Continued

Regulation of broker-dealers and over-the-counter markets..---

Administrative proceedings-

Net capital rule.-

Financial statements.--

Broker-dealer inspections...

Supervision of activities of National Association of Securities Dealers,

NASD disciplinary actions..

Commission review of NASD disciplinary action..

Commission review of NASD action on membership---

Litigation under the Securities Exchange Act of 1934..

Anti-fraud litigation....

Cases under the net capital rule----

Litigation involving broker-dealer registration and reporting

requirements...

Proxy litigation...

Contempt proceedings..

Participation as amicus curiae...

ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM-

PANY ACT OF 1935.--

Composition of registered holding company systems-summary of

Developments in individual registered systems.-

Financing of active registered public utility holding companies and

their subsidiaries.----

Competitive bidding ---

Protective provisions of first mortgage bonds and preferred

stocks of public utility companies-----

PARTICIPATION OF THE COMMISSION IN CORPORATE RE-

ORGANIZATIONS UNDER CHAPTER X OF THE BANKRUPTCY

ACT, AS AMENDED..

Summary of activities...

The Commission as a party to proceedings.

Procedural matters.-

Problems in connection with the administration of estates..

Trustee's investigations---

Activities regarding protective committees.--

Activities with regard to allowances..

Advisory reports on plans of reorganization..

ADMINISTRATION OF THE TRUST INDENTURE ACT OF 1939..--

ADMINISTRATION OF THE SECURITIES ACT OF 1933...

Description of the registration process:

Registration statement and prospectus..

Examination procedure----

Time required to complete registration...

Volume of securities registered..

Registration statements filed....

Results obtained by the registration process.

Stop' order proceedings-----

Examinations and investigations...

Exemption from registration of small issues.

Exempt offerings under Regulation A...

Suspension of exemption..---

Exempt offerings under Regulation B..-

Litigation under the Securities Act of 1933.

Litigation involving violations of registration and antifraud pro-

Litigation relating to stop order proceedings--

Participation as amicus curiae-----

ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF

Regulation of exchanges and exchange trading.

Registration and exemption of exchanges

Disciplinary actions...

Commission rate study---

Activities of floor traders and specialists..

Registration of securities on exchanges.-

Statistics relating to registration --

Market value of securities traded on exchanges --

Assets of domestic companies with common stocks on exchanges.

Foreign stock on exchanges....

Comparative over-the-counter statistics.-

Delisting of securities from exchanges.---

Delisting proceedings under section 19(a)---

Unlisted trading privileges on exchanges...

Applications for unlisted trading privileges..

Block distributions reported by exchanges..

Manipulation and stabilization.--.

Insiders' security holdings and transactions.

Ownership reports---

Recovery of short swing trading profits by issuer.

Regulation of proxies.--

Scope of proxy regulation...

Statistics relating to proxy statements.--

Stockholder proposals----

Ratio of soliciting to non-soliciting companies.-

Proxy contests.

ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF

Regulation of broker-dealers and over-the-counter markets..

Registration.--

Administrative proceedings..

Net capital rule.

Financial statements.--.

Broker-dealer inspections.--

Supervision of activities of National Association of Securities Dealers,

NASD disciplinary actions..

Commission review of NASD disciplinary action..

Commission review of NASD action on membership-

Litigation under the Securities Exchange Act of 1934.

Anti-fraud litigation ---

Cases under the net capital rule.---

Litigation involving broker-dealer registration and reporting

Proxy litigation.

Contempt proceedings----

Participation as amicus curiae....

ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM-

PANY ACT OF 1935.--.

Composition of registered holding company systems-summary of

Developments in individual registered systems.

Financing of active registered public utility holding companies and

their subsidiaries.---

Competitive bidding-

Protective provisions of first mortgage bonds and preferred

stocks of public utility companies----

PARTICIPATION OF THE COMMISSION IN CORPORATE RE-

ORGANIZATIONS UNDER CHAPTER XOF THE BANKRUPTCY

ACT, AS AMENDED.

Summary of activities...

The Commission as a party to proceedings.

Procedural matters.

Problems in connection with the administration of estates.

Trustee's investigations.---

Activities regarding protective committees---

Activities with regard to allowances..

Advisory reports on plans of reorganization..

ADMINISTRATION OF THE TRUST INDENTURE ACT OF 1939.---

ADMINISTRATION OF THE INVESTMENT COMPANY ACT

Companies registered under the Act------

Growth of investment company assets.-

Program for inspection of investment companies--

Study of size of investment companies.

Current information...

Applications and proceedings---

Litigation under the Investment Company Act of 1940.-

ADMINISTRATION OF THE INVESTMENT ADVISERS ACT OF

OTHER ACTIVITIES OF THE COMMISSION...

Court proceedings.-

Civil proceedings.-

Criminal proceedings.

Disciplinary proceedings against persons practicing before the

Complaints and investigations.-

Enforcement problems with respect to Canadian securities----

Canadian restricted list.--.

Section of securities violations.--.

Applications for nondisclosure of certain information..-

Activities of the Commission in accounting and auditing--

International Bank for Reconstruction and Development and

Inter-American Development Bank.--

Opinions of the Commission.-

Statistics and special studies---

Public dissemination of information.---

Information available for public inspection.

Organization.--

Personnel, Budget and Finance.

Personnel program.--

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.--.

Table 2. Registrations fully effective under the Securities Act of 1933,

fiscal year ended June 30, 1959.--

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.--

217

217

217

218

219

Table 3. New securities offered for cash sale in the United States, 1934-58

and by months January 1958-June 1959...

Part 1. Type of offering--

Part 2. Type of security...

Part 3. Type of issuer.-

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.

Part 1. All corporate.

Part 2. Manufacturing-

Part 3. Extractive...

Part 4.. Electric, gas and water..

Part 5. Railroad..

Part 6. Transportation other than railroad.

Part 7. Communication --

Part 8. Financial and real estate.--

Part 9. Commercial and miscellaneous.

Table 5. A summary of corporate securities publicly offered and privately

placed in each year from 1934 through June 1959.---

Table 6. Notifications filed pursuant to Regulation A under the Securities

Act of 1933 for the fiscal years 1935–59.

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-----

Table 11. Number of issuers and security issues on exchanges, as of June

30, 1959.--

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..

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---

Table 14. Block distributions, 1942–58...

Table 15. Comparative share sales and dollar volume on exchanges, 1935–

58 and 6 months to June 30, 1959---

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.-

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