PART IX ADMINISTRATION OF THE INVESTMENT COMPANY ACT OF 1940... Companies registered under the Act... Growth of investment company assets. Inspection program.... Study of size of investment companies. Applications and proceedings.. PART X ADMINISTRATION OF THE INVESTMENT ADVISERS ACT OF 1940____ Administrative proceedings.. PART XI OTHER ACTIVITIES OF THE COMMISSION. Page 107 107 108 109 110 112 113 117 119 Civil litigation _ _ _. Individuals' saving Issues registered under the Securities Act of 1933.. Criminal proceedings.. Complaints and investigations. Enforcement problems with respect to Canadian securities.. Canadian restricted list____ Section of securities violations__. Applications for nondisclosure of certain information__ Statistics and special studies... 120 120 135 140 143 144 146 147 148 155 156 157 157 157 Corporate pension funds.. 158 Plant and equipment expenditures_ Financial position of corporations__ Directory of registered companies. Stock market data............ Opinions of the Commission.. Dissemination of information. Information available for public inspection.. Publications. 158 158 158 159 159 159 160 161 Organization... Personnel and financial management.. PART XII APPENDIX-STATISTICAL TABLES 162 162 164 Table 1. A 28-year record of registrations fully effective under the Securi Table 2. Registrations fully effective under the Securities Act of 1933, fiscal 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 securities offered for cash in the United States 180 Table 5. A summary of corporate securities publicly offered and privately 184 185 of 1934-Effective registrations as of June 30, 1962, classified by types of organization and by location of principal office__ _ Table 7. Number of issuers and security issues on exchanges-Part 1. Unduplicated number of stock and bond issues admitted to trading on exchanges and the number of issuers involved, as of June 30, 1962_..._ 186 187 187 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 categories as of June 30, 1962.......... 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. 189 189 189 190 191 Table 12. Reorganization proceedings under Chapter X of the Bankruptcy Act in which the Commission participated during the fiscal year 1962....... 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 194 Page 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 Chapter X in which the Commission participated----- Table 16. Indictments returned for violation of the Acts administered by Table 17. Injunctive proceedings brought by the Commission which were 194 195 205 218 219 Table 20. Contempt proceedings pending during the fiscal year ended 220 221 Table 21. Petitions for review of orders of Commission pending in courts of appeals during the fiscal year ended June 30, 1962...... Table 22. Miscellaneous actions involving the Commission or employees of the Commission during the fiscal year ended June 30, 1962____ Table 23. Cases in which the Commission participated as intervenor or as amicus curiae, pending during the fiscal year ended June 30, 1962 Table 24. Reorganization cases under Chapter X of the Bankruptcy Act pending during the fiscal year ended June 30, 1962, in which the Commission participated when District Court orders were challenged in appellate courts. 223 224 226 Table 25. A 29-year summary of criminal cases developed by the Commission-fiscal years 1934–1962___ 227 developed by the Commission-1934 to June 30, 1962.......... Table 27. A 29-year summary of all injunction cases instituted by the Commission-1934 to June 30, 1962, by calendar year... Table 26. A 29-year summary classifying all defendants in criminal cases 227 228 EDMUND H. WORTHY, Director, Division of Corporation Finance. ALLAN F. CONWILL, Director, Division of Corporate Regulation. SOLOMON FREEDMAN, Associate Director. PHILIP A. LOOMIS, Jr., Director, Division of Trading and Exchanges. MILTON H. COHEN, Director, Special Study of Securities Markets. RICHARD H. PAUL, Chief Counsel. PETER A. DAMMANN, General Counsel. DAVID FERBER, Associate General Counsel. WALTER P. NORTH, Associate General Counsel. ANDREW BARR, Chief Accountant. LEONARD HELFENSTEIN, Director, Office of Opinion Writing. W. VICTOR RODIN, Associate Director. WILLIAM E. BECKER, Management Analyst. FRANK J. DONATY, Comptroller. ERNEST L. DESSECKER, Records and Service Officer. HARRY POLLACK, Director of Personnel. ARTHUR FLEISCHER, Jr., Executive Assistant to the Chairman. XI REGIONAL AND BRANCH OFFICES Regional Administrators Region 1. New York, New Jersey.-Llewellyn P. Young; John J. Devaney, Associate Regional Administrator, 225 Broadway, New York 7, N.Y. Region 2. Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire, Maine.-Philip E. Kendrick, Federal Building, Post Office Square, Boston 9, Mass. Region 3. Tennessee, North Carolina, South Carolina, Georgia, Alabama, Mississippi, Florida, and that part of Louisiana lying east of the Atchafalaya River.-William Green, Suite 138, 1371 Peachtree Street, NE., Atlanta 9, Ga. Region 4. Illinois, Indiana, Iowa, Kansas City (Kans.), Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin.-Thomas B. Hart, Bankers Building (Room 630), 105 West Adams Street, Chicago 3, Ill. Region 5. Oklahoma, Arkansas, Texas, and that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City).—Oran H. Allred, United States Courthouse (Room 301), 10th and Lamar Streets, Fort Worth 2, Tex. Region 6. Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South Dakota, Utah.-Donald J. Stocking, 802 Midland Savings Building, 444 17th Street, Denver 2, Colo. Region 7. California, Nevada, Arizona, Hawaii.-Arthur E. Pennekamp, Pacific Building, 821 Market Street, San Francisco 3, Calif. Region 8. Washington, Oregon, Idaho, Montana, Alaska.—James E. Newton, Hoge Building (9th floor), 705 Second Avenue, Seattle 4, Wash. Region 9. Pennsylvania, Maryland, Virginia, West Virginia, Delaware, District of Columbia.-Alexander J. Brown, Jr., Courts Building, 310 6th Street, N.W., Washington 25, D.C. Branch Offices Cleveland 13, Ohio. Detroit 26, Mich. Houston 2, Tex. Avenue. Standard Building (Room 1628), 1370 Ontario Street. Federal Building (Room 1074). Federal Office and Court Building (Room 226), 515 Rusk Los Angeles 28, Calif. Guaranty Building (Room 309), 6331 Hollywood Miami 32, Fla. Ainsley Building (Suite 1112), 14 Northeast First Avenue. St. Paul 1, Minn. Main Post Office and Customhouse (Room 1027), 180 East Salt Lake City, Utah. Newhouse Building (Room 1119), 10 Exchange Place. |