Acerca de este libro
Mi biblioteca
Libros en Google Play
CURRENT PROBLEMS BEFORE THE COMMISSION.
Foreword..
Special Study of securities markets....
The Wharton School study of investment companies.
Registration of new security offerings..
Enforcement activity..
Delegation of functions..
PART II
LEGISLATIVE ACTIVITIES.
PART III
REVISION OF RULES, REGULATIONS AND FORMS.
The Securities Act of 1933.
Adoption of Rule 152A.
Adoption of Rule 155.
Adoption of Rule 236..
Amendment of Rule 458
Adoption of Rules 462 and 263.
Adoption of Revised Form S-8..
Adoption of Form S-11...
The Securities Exchange Act of 1934
Adoption of Rules 13a-15 and 15d-15 and Form 7-K..
Adoption of Rule 15d-21 and Form 11-K; Amendment to Form
10-K..
Proposed Rule 19a2-1--
Proposed Amendments to Form 8-K..
Adoption of Rule 15c2-4..
Adoption of Rule 15c2-5-
Amendment of Rule 15c3-1..
Amendment of Rules 17a-3 and 17a-4_
Amendment of Rule 15ag-1..
The Trust Indenture Act of 1939.
Amendment of Form T-3.
The Investment Company Act of 1940..
1123 456
7
9
10
11
12
13
14
15
16
17
18
19
Amendments to Rules 31a-1 and 31a-2; adoption of Rule 31a-3
Adoption of exemptive rules applicable to licensed small business
investment companies...
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..
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..
PART V
ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF
1934-Continued
Regulation of proxies-Continued
Ratio of soliciting to nonsoliciting companies____
Proxy contests..
Investigations...............
Regulation of broker-dealers and over-the-counter markets..
Registrative
Administrative proceedings---
Revocation and denial proceedings.
Suspension proceedings___
Other sanctions___
Net capital rule..
Financial statements...
Broker-dealer inspections. --
Supervision of activities of National Association of Securities Dealers,
Inc...
NASD disciplinary actions..
Commission review of NASD action on membership_
Commission review of NASD disciplinary action....
PART VI
ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM-
PANY ACT OF 1935...
Composition of registered holding company systems---
81
82
Section 11 matters and other significant developments in active regis-
tered holding company systems..
84
Section 11 matters.
Other developments.---.
86
Financing of active registered public utility holding companies and
their subsidiaries _ _
87
Competitive bidding.
88
Protective provisions of first mortgage bonds and preferred stocks of
public utility companies. - .
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 –
Issues registered under the Securities Act of 1933..
New securities offerings.
143
144
146
147
148
155
156
157
Table 1. A 28-year record of registrations fully effective under the Securi-
ties Act of 1933..
171
Table 2. Registrations fully effective under the Securities Act of 1933, fiscal
year ended June 30, 1962...
172
Part 1. Distribution by months.
Table 2-Continued
Part 2. Purpose of registration and type of security-.
Part 3. Purpose of registration and industry of registrant--
Part 4. Use of proceeds and industry of registrant----
Part 1. Type of offering--
Page
173
174
Table 3. New securities offered for cash sale in the United States--
175
Table 4. Proposed uses of net proceeds from the sale of new corporate
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
185
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
186
187
trading on exchanges and the number of issuers involved,
as of June 30, 1962 - - .
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 -
188
Part 1. Number of stocks on the exchanges in the various unlisted
categories as of June 30, 1962__
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 - -
Table 12. Reorganization proceedings under Chapter X of the Bank-
ruptcy Act in which the Commission participated during the
fiscal year 1962----
189
190
191
Table 13. Summary of criminal cases developed by the Commission which
were pending at June 30, 1962 - - -
193
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 1910 - -
194