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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

31a-3---

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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...

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PART V

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)--

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.-

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...

Scope of proxy regulation....

Statistics relating to proxy statements..

Stockholders' proposals.---

Ratio of soliciting to non-soliciting companies...

Proxy contests.

Investigations.-

Regulation of broker-dealers and over-the-counter markets..

Registration.

Administrative proceedings---

Revocation or denial of registration..

Other sanctions.

Suspension of registration....

Net capital rule...

Financial statements.

Broker-dealer inspections -

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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...

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PART VI

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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.-

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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..

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Part VIII

ADMINISTRATION OF THE TRUST INDENTURE ACT OF 1939..

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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..

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Part X

ADMINISTRATION OF THE INVESTMENT ADVISERS ACT OF 1940...

Administrative proceedings ..

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fiscal year ended June 30, 1963.----

Part 1. Distribution by months -

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.--

Table 3. New securities offered for cash sale in the United States..

Part 1. Type of offering.

Part 2. Type of security.

Part 3. Type of issuer.

Part 4. Private placement of corporate securities -

Table 4. Proposed uses of net proceeds from the sale of new corporate

securities offered for cash in the United States.

Part 1. All corporate

Part 2. Manufacturing-

Part 3. Extractive...

Part 4. Electric, gas and water.

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