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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.
Current information__.

Applications and proceedings..

PART X

ADMINISTRATION OF THE INVESTMENT ADVISERS ACT OF

1940____

Administrative proceedings..

PART XI

OTHER ACTIVITIES OF THE COMMISSION.

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Civil litigation _ _ _.

Individuals' saving

Issues registered under the Securities Act of 1933..
New securities offerings..

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__
Activities of the Commission in accounting and auditing.
International Bank for Reconstruction and Development.
Inter-American Development Bank.

Statistics and special studies...

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Corporate pension funds..

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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.

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Organization...

Personnel and financial management..

PART XII

APPENDIX-STATISTICAL TABLES

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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

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Table 2-Continued

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

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Part 3. Purpose of registration and industry of registrant---
Part 4. Use of proceeds and industry of registrant___

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Table 3. New securities offered for cash sale in the United States___.

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Table 4. Proposed uses of net proceeds from the sale of new corporate securities offered for cash in the United States

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Table 5. A summary of corporate securities publicly offered and privately
placed in each year from 1934 through June 1962...
Table 6. Brokers and dealers registered under the Securities Exchange Act

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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_..._

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Table 8.

Part 2. Number of stock and bond issues on each exchange and
number of issuers involved, as of June 30, 1962. -
Unlisted stocks on stock exchanges ____

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Part 1. Number of stocks on the exchanges in the various unlisted categories as of June 30, 1962..........

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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___
Part 2. 6 months ended June 30, 1962..

Table 10. Comparative share sales and dollar volumes on exchanges.
Table 11. Block distributions, 1942-1961 - - - - .

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Table 12. Reorganization proceedings under Chapter X of the Bankruptcy Act in which the Commission participated during the fiscal year 1962.......

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Table 13. Summary of criminal cases developed by the Commission which were pending at June 30, 1962..........

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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..

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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
the Commission, the Mail Fraud statute (Section 1341,
formerly Sec. 338, Title 18, U.S.C.) and other related Fed-
eral statutes (where the Commission took part in the investi-
gation and development of the case) which were pending
during the 1962 fiscal year.-

Table 17. Injunctive proceedings brought by the Commission which were
pending during the fiscal year ended June 30, 1962.
Table 18. Proceedings by the Commission to enforce subpoenas pend-
ing during the fiscal year ended June 30, 1962..........
Table 19. Actions pending during fiscal year ended June 30, 1962, to
enforce voluntary plans under Section 11(e) to comply with
Section 11(b) of the Public Utility Holding Company Act
of 1935...

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Table 20. Contempt proceedings pending during the fiscal year ended
June 30, 1962_____

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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.

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Table 25. A 29-year summary of criminal cases developed by the Commission-fiscal years 1934–1962___

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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

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EDMUND H. WORTHY, Director, Division of Corporation Finance.
WALTER WERNER, Associate Director.

ALLAN F. CONWILL, Director, Division of Corporate Regulation.

SOLOMON FREEDMAN, Associate Director.

PHILIP A. LOOMIS, Jr., Director, Division of Trading and Exchanges.
IRVING M. POLLACK, Associate Director.

MILTON H. COHEN, Director, Special Study of Securities Markets.
RALPH S. SAUL, Associate Director.

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
Boulevard.

Miami 32, Fla. Ainsley Building (Suite 1112), 14 Northeast First Avenue.
St. Louis, Mo. Federal Building (Room 4266A), 1520 Market Street.

St. Paul 1, Minn. Main Post Office and Customhouse (Room 1027), 180 East
Kellogg Boulevard.

Salt Lake City, Utah. Newhouse Building (Room 1119), 10 Exchange Place.

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