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Fraud in the sale of securities..
Manipulation in the securities markets..
Exemptions from registration and pre-filing publicity
Regulation of the exchanges - - -
Regulation of the over-the-counter markets..
Inspection of investment companies____
Other factors in the securities markets..
PART II
LEGISLATIVE ACTIVITIES..
Statutory amendments proposed by the Commission....
Other legislative proposals--.
Congressional hearings--
PART III
REVISION OF RULES, REGULATIONS AND FORMS..
The Securities Act of 1933..
1
Adoption of Rule 10f-3-Permitting acquisition of securities of
underwriting syndicates--
Adoption of Rule 22d-1-Relating to variations in sales load of re-
deemable securities--
Adoption of Form N-5-Registration form for small business in-
vestment companies---
20
22222
21
Market value of securities traded on exchanges...
Assets of domestic companies with common stocks on exchanges.
62
64
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,
Inc...
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_-_
requirements...
Proxy litigation.
Contempt proceedings.
Participation as amicus curiae____
PART VI
108
109
111
113
114
116
Litigation involving broker-dealer registration and reporting
117
118
119
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
ACT, AS AMENDED.
PART IV
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-
visions...
Litigation relating to stop order proceedings..
Participation as amicus curiae-----
PART V
26
27
28
31
32
35
43
44
45
46
49
50
56
57
Market value of securities traded on exchanges__--