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...

120

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

Page

157

157

158

159

160

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

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----

217

Part 2. Purpose of registration and type of security-..

217

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

Page

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

236

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..

244

244

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----

245

245

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..

Page

250

250

251

251

252

253

253

254

254

255

256

257

Table 29. Petitions for review of orders of the Commission under the

Securities Act of 1933, the Securities Exchange Act of 1934,

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____

Page

274

276

276

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_____

287

288