REVISION OF RULES, REGULATIONS AND FORMS-Continued The Investment Advisers Act of 1940__. Adoption of Rules 206(4)-1 and 206(4)−2.. Proposed amendment to Rule 204-2- 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... Stop order proceedings... Examinations and investigations....... Exempt offerings under Regulation B.. Exempt offerings under Regulation E. Exempt offerings under Regulation F. PART V Page 19 19 20 22 22 22 23 23 25 27 28 33 34 35 36 38 39 39 Insiders' security holdings and transactions.. Recovery of short-swing trading profits by issuer. Regulation of proxies.--. Scope of proxy regulation............. Statistics relating to proxy statements. 49 50 51 52 53 54 54 55 56 ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF 1934-Continued Regulation of proxies-Continued Ratio of soliciting to nonsoliciting companies.--. Proxy contests. Investigations...--- Regulation of broker-dealers and over-the-counter markets... Registrative. Administrative proceedings. Revocation and denial proceedings. Suspension proceedings___ Other sanctions____. Net capital rule___ Financial statements.. Broker-dealer inspections_ Supervision of activities of National Association of Securities Dealers, Commission review of NASD action on membership. - PART VI ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM- Composition of registered holding company systems.. Section 11 matters and other significant developments in active regis- Section 11 matters.. Other developments-- Financing of active registered public utility holding companies and Competitive bidding.. Protective provisions of first mortgage bonds and preferred stocks of Complaints and investigations.......... Enforcement problems with respect to Canadian securities.... Applications for nondisclosure of certain information.......... Activities of the Commission in accounting and auditing- International Bank for Reconstruction and Development - Inter-American Development Bank.. Statistics and special studies. Table 2-Continued Part 2. Purpose of registration and type of security. Page 172 Part 3. Purpose of registration and industry of registrant--- 173 174 Table 3. New securities offered for cash sale in the United States.. 175 Table 4. Proposed uses of net proceeds from the sale of new corporate Table 5. A summary of corporate securities publicly offered and privately 185 Table 7. of 1934-Effective registrations as of June 30, 1962, classified 186 187 trading on exchanges and the number of issuers involved, 187 Table 8. Part 2. Number of stock and bond issues on each exchange and 187 188 Part 1. Number of stocks on the exchanges in the various unlisted 188 188 Part 2. Unlisted share volume on the exchanges-calendar year 1961.. Table 9. Dollar volume and share volume of sales effected on securities exchanges in the calendar year 1961 and the 6-month period ended June 30, 1962--- Part 1. 12 months ended December 31, 1961-. Table 10. Comparative share sales and dollar volumes on exchanges Table 12. Reorganization proceedings under Chapter X of the Bank- 189 189 189 190 191 191 Table 13. Summary of criminal cases developed by the Commission which were pending at June 30, 1962. 193 Table 14. 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... 194 TABLE 14.-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 15.-Summary of cases instituted against the Commission, cases in which the Commission participated as intervenor or amicus curiae, and reorganization cases on appeal under ch. X in which the Commission participated |