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For sale by the Superintendent of Documents, U.S. Government Printing Office

Washington, D.C., 20402 - Price 60 cents

SECURITIES AND EXCHANGE COMMISSION

Headquarters Office 425 Second Street NW. Washington, D.C. 20549

COMMISSIONERS

January 6, 1964

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

ORVAL L. DuBois, Secretary

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LETTER OF TRANSMITTAL

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549 Sir: On behalf of the Securities and Exchange Commission, I have the honor to transmit to you the Twenty-Ninth Annual Report of the Commission covering the fiscal year July 1, 1962 to June 30, 1963, 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.

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IMPORTANT DEVELOPMENTS DURING THE YEAR.....

Special Study of Securities Markets....
Enforcement activity----
Registration of new security offerings.

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Part II

LEGISLATIVE ACTIVITIES..

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PART III

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REVISION OF RULES, REGULATIONS AND FORMS.
The Securities Act of 1933..

Proposed Rule 156..---
Proposed Rules 402A and 440..

Adoption of Revised Form S-8.
The Securities Exchange Act of 1934..

Proposed Amendment to Rule 3a 12-3.-
Adoption of Rule 10b-9..
Proposed Rule 10b-10..---
Proposed Amendments to Rules 13a-15 and 15d-15 and Form

7-K..
Adoption of Rule 150-21 and Form 11-K; Amendment to Form

10-K.--.
Proposed Rule 16b-9.

Proposed Amendments to Form 8-K...
The Investment Company Act of 1940.

Adoption of Rule 3c-3..
Amendment of Rule 30d-1.
Amendments to Rules 31a-1 and 31a-2; Adoption of Rule

318-3..

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PART IV

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ADMINISTRATION OF THE SECURITIES ACT OF 1933.
Description of the registration process.-

Registration statement and prospectus.
Examination procedure.--.

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Time required to complete registration.. Volume of securities registered... Registration statements filed..

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