IMPORTANT DEVELOPMENTS DURING THE YEAR.. Special Study of Securities Markets.. Enforcement activity-... Registration of new security offerings.. PART II LEGISLATIVE ACTIVITIES. PART III Proposed Amendments to Rules 13a-15 and 15d-15 and Form 15 Adoption of Rule 15d-21 and Form 11-K; Amendment to Form 16 Amendments to Rules 31a-1 and 31a-2; Adoption of Rule 19 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) - - - Foreign stocks traded over the counter.. Delisting of securities from exchanges. Delisting proceedings under Section 19 (a). Unlisted trading privileges on exchanges......... Applications for unlisted trading privileges.... Recovery of short-swing trading profits by issuer.. Scope of proxy regulation----- Administrative proceedings- - - Revocation or denial of registration... ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF Supervision of activities of National Association of Securities Dealers, NASD disciplinary actions--- Commission review of NASD action on membership-- PART VI ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM- Composition of registered holding company systems.... Section 11 matters and other significant developments in active regis- Section 11 matters... Other developments___ Financing of registered public utility holding companies and their Competitive bidding---. Protective provisions of first mortgage bonds and preferred stocks of Other matters____ Request for declaratory order. PART VII PARTICIPATION OF THE COMMISSION IN CORPORATE RE- Complaints and investigations___ Enforcement problems with respect to foreign securities......- 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. Table 5. A summary of corporate securities publicly offered and privately placed in each year from 1934 through June 1963.... 171 Table 6. Brokers and dealers registered under the Securities Exchange Act 172 173 173 Part 2. Number of stock and bond issues on each exchange and number of issuers involved, as of June 30, 1963... 173 Table 8. Unlisted stocks on stock exchanges.. 174 Part 1. Number of stocks on the exchanges in the various unlisted categories as of June 30, 1963___. 174 174 Part 2. Unlisted share volume on the exchanges-calendar year 1962Table 9. Dollar volume and share volume of sales effected on securities exchanges in the calendar year 1962 and the 6-month period ended June 30, 1963---. 175 Part 1. 12 months ended December 31, 1962.. 175 175 Table 10. Comparative share sales and dollar volumes on exchanges. - 176 177 Table 13. Summary of criminal cases developed by the Commission which Table 15. Summary of cases instituted against the Commission, cases in 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 Federal statutes (where the Commission took part in the investigation and development of the case) which were pending during the 1963 fiscal year.. ----- Table 17. Injunctive proceedings brought by the Commission which were 177 179 180 180 181 194 210 |