SECURITIES AND EXCHANGE COMMISSION Headquarters Office 425 Second Street NW. Washington 25, D.C. COMMISSIONERS January 8, 1963 WILLIAM L. CARY, Chairman ORVAL L. DUBOIS, Secretary LETTER OF TRANSMITTAL SECURITIES AND EXCHANGE COMMISSION, Washington 25, D.C. Sir: On behalf of the Securities and Exchange Commission, I have the honor to transmit to you the Twenty-Eighth Annual Report of the Commission covering the fiscal year July 1, 1961, to June 30, 1962, in accordance with the provisions of Section 23(b) of the Securities Exchange Act of 1934, approved June 6, 1934; Section 23 of the Public Utility Holding Company Act of 1935, approved August 26, 1935; Section 46(a) of the Investment Company Act of 1940, approved August 22, 1940; Section 216 of the Investment Advisers Act of 1940, approved August 22, 1940; Section 3 of the Act of June 29, 1949, amending the Bretton Woods Agreement Act; and Section 11(b) of the Inter-American Development Bank Act. Respectfully, WILLIAM L. CARY, Chairman. THE PRESIDENT OF THE SENATE, THE SPEAKER OF THE HOUSE OF REPRESENTATIVES, Washington, D.C. III CURRENT PROBLEMS BEFORE THE COMMISSION.. Special Study of securities markets.. The Wharton School study of investment companies. REVISION OF RULES, REGULATIONS AND FORMS.- Adoption of Rules 462 and 263. The Securities Exchange Act of 1934. Adoption of Rules 13a-15 and 15d-15 and Form 7-K.. Adoption of Rule 150–21 and Form 11-K; Amendment to Form Proposed Amendments to Form 8-K.. Amendment of Rules 17a-3 and 17a-4. The Trust Indenture Act of 1939.. The Investment Company Act of 1940.. Amendments to Rules 31a-1 and 31a-2; adoption of Rule 31a-3. Adoption of exemptive rules applicable to licensed small business Page REVISION OF RULES, REGULATIONS AND FORMS-Continued Adoption of Rules 206(4)-1 and 206(4)-2. 19 19 20 PART IV ADMINISTRATION OF THE SECURITIES ACT OF 1933. Registration statement and prospectus - Time required to complete registration. Exempt offerings under Regulation A.... 22 22 22 23 23 25 27 28 33 34 35 36 38 39 39 PART V 40 40 40 41 41 42 +3 ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF Registration and exemption of exchanges Disciplinary action.... Statistics relating to registration of securities on exchanges. Fiscal year share values and volumes.. Reporting under Section 15(d)--- Delisting proceedings under Section 19(a)... Applications for unlisted trading privileges. Manipulation Stabilization. Ownership reports. Recovery of short-swing trading profits by issuer. 45 46 47 48 49 50 51 52 13 54 54 55 56 56 57 57 57 Scope of proxy regulation..--. 58 |
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