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Commissioners and staff officers.
Regional and branch offices..
Biographies of Commissioners.-

XII

XIII

PART I
IMPORTANT DEVELOPMENTS DURING THE YEAR..

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

1 1 7 8

PART II

LEGISLATIVE ACTIVITIES.

10

PART III

11 12 12 12 13 13 13 14 15

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 3a12-3.-
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 300-1.---
Amendments to Rules 31a-1 and 31a-2; Adoption of Rule

31a-3---

15

16

16 17 18 18 19

19

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.

20 20 20 21 22 23 25

Page

ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF
1934-Continued
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...

67 68 69 71

PART VI

75 76

77 77 79

ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM-
PANY ACT OF 1935.----

Composition of registered holding company systems...-
Section 11 matters and other significant developments in active regis-
tered holding company systems..

Section 11 matters..

Other developments.--
Financing of registered public utility holding companies and their
subsidiaries.

Competitive bidding --
Protective provisions of first mortgage bonds and preferred stocks of

public utility companies. Other matters...

Request for declaratory order.-

80

82

82 86 86

Part VII

PARTICIPATION OF THE COMMISSION IN CORPORATE RE

ORGANIZATIONS UNDER CHAPTER XOF THE BANK-
RUPTCY ACT...

Summary of activities...
Procedural and administrative matters.
Trustee's investigation..
Advisory reports on plans of reorganization...
Activities with regard to allowances..
Intervention in Chapter XI proceedings..

87 88 88 90 91 92 94

Part VIII

ADMINISTRATION OF THE TRUST INDENTURE ACT OF 1939..

98

PART IX

ADMINISTRATION OF THE INVESTMENT COMPANY ACT OF
1940...
Companies registered under the Act....
Growth of investment company assets.
Inspection and investigation program...
Special staff study of investment companies.
Current information...
Applications and proceedings..

99 99 100 101 102 104 104

Part X

ADMINISTRATION OF THE INVESTMENT ADVISERS ACT OF 1940...

Administrative proceedings ..

108 110

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