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SECURITIES AND EXCHANGE COMMISSION

Headquarters Office

425 Second Street NW.

Washington 25, D.C.

COMMISSIONERS

January 8, 1963

WILLIAM L. CARY, Chairman
BYRON D. WOODSIDE
J. ALLEN FREAR, JR.
MANUEL F. COHEN
JACK M. WHITNEY II

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

Page

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..

19 19 20

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.--
Exemption from registration of small issues

Exempt offerings under Regulation A....
Suspension of exemption..
Exempt offerings under Regulation B.
Exempt offerings under Regulation E
Exempt offerings under Regulation F.

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
1934.--
Regulation of exchanges and exchange trading --

Registration and exemption of exchanges

Disciplinary action....
Registration of securities on exchanges -

Statistics relating to registration of securities on exchanges.
Market value of securities traded on exchanges...

Fiscal year share values and volumes..
Foreign stock on exchanges --
Comparative exchange statistics
Comparative over-the-counter statistics -

Reporting under Section 15(d)---
Delisting of securities from exchanges --

Delisting proceedings under Section 19(a)...
Unlisted trading privileges on exchanges.-

Applications for unlisted trading privileges.
Block distributions reported by exchanges -
Manipulation and stabilization..

Manipulation

Stabilization.
Insiders' security holdings and transactions...

Ownership reports.

Recovery of short-swing trading profits by issuer.
Regulation of proxies..

45 46 47 48 49 50 51 52 13 54 54 55 56 56 57 57

57

Scope of proxy regulation..--.
Statistics relating to proxy statements..
Stockholders' proposals..

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