ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF 1934-Continued Decisions of particular interest... Suspension of registration__- 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 disciplinary action.... Commission review of NASD action on membership. PART VI Page 66 73 74 75 75 77 78 79 84 ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM- Composition of registered holding-company systems... Section 11 matters in active registered holding-company systems--. Financing of active 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.. PART VII PARTICIPATION OF THE COMMISSION IN CORPORATE RE ORGANIZATIONS UNDER CHAPTER X OF THE BANK Activities of the Commission in accounting and auditing------. 142 148 150 Table 1. A 30-year record of registrations effective under the Securities 165 Table 2. Registrations effective under the Securities Act of 1933, fiscal year ended June 30, 1964_.--. 166 Part 1. Distribution by months.. 166 Part 2. Purpose of registration and type of security---- 166 Part 3. Purpose of registration and industry of registrant....... 167 168 Table 3. New securities offered for cash sale in the United States____. Part 1. Type of offering- Page 169 169 Table 4. Proposed uses of net proceeds from the sale of new corporate securities offered for cash in the United States.... 174 179 Table 5. A summary of corporate securities publicly offered and privately 180 181 181 Part 2. Number of stock and bond issues on each exchange and number of issuers involved, as of June 30, 1964. 181 Table 8. Unlisted stocks on exchanges - - - 182 Part 1. Number of stocks on the exchanges in the various unlisted categories as of June 30, 1964---- 182 182 Part 2. Unlisted share volume on the exchanges-calendar year 1963.. Table 9. Dollar volume and share volume of sales effected on securities exchanges in the calendar year 1963 and the 6-month period ended June 30, 1964---. Part 1. 12 months ended December 31, 1963. Table 10. Comparative share sales and dollar volumes on exchanges--. 183 183 183 184 185 185 Table 13. Summary of criminal cases developed by the Commission which were pending at June 30, 1964----. 187 Table 14. Summary of cases instituted in the courts by the Commission under the Securities Act of 1933, the Securities Exchange Act 188 Table 15. Summary of cases instituted against the Commission, cases in which the Commission participated as intervenor or amicus curiae, and reorganization cases on appeal under Chapter X in which the Commission participated.-- Table 16. Indictments returned for violation of the Acts administered by Table 17. Injunctive proceedings brought by the Commission which were Table 19. Actions pending during fiscal year ended June 30, 1964, to Page 188 189 201 216 218 Table 20. Contempt proceedings pending during the fiscal year ended 219 Part 1. Civil Contempt Proceedings.. 219 219 220 222 Table 21. Petitions for review of orders of Commission pending in courts of appeals during the fiscal year ended June 30, 1964-----Table 22. Miscellaneous actions involving the Commission or employees of the Commission during the fiscal year ended June 30, 1964. Table 23. Cases in which the Commission participated as intervenor or as amicus curiae, pending during the fiscal year ended June 30, 1964__ Table 24. Proceedings under the Bankruptcy Act pending during the fiscal year ended June 30, 1964, in which the Commission participated when district court orders were challenged in appellate courts__. 224 226 Table 25. A 31-year summary of criminal cases developed by the Commission-fiscal years 1934-1964----. 227 Table 26. A 31-year summary classifying all defendants in criminal cases developed by the Commission-1934 to June 30, 1964------Table 27. A 31-year summary of all injunction cases instituted by the Commission-1934 to June 30, 1964, by calendar year___ 228 228 EDMUND H. WORTHY, Director, Division of Corporation Finance. SOLOMON FREEDMAN, Director, Division of Corporate Regulation. HAROLD V. LESE, Associate Director. WALTER WERNER, Director, Office of Program Planning. RALPH S. SAUL, Director, Division of Trading and Markets. IRVING M. POLLACK, Associate Director. PHILIP A. LOOMIS, JR., General Counsel. DAVID FERBER, Solicitor. WALTER P. NORTH, Associate General Counsel. ANDREW BARR, Chief Accountant. LEONARD HELFENSTEIN, Director, Office of Opinions and Review. W. VICTOR RODIN, Associate Director. WILLIAM E. BECKER, Chief Management Analyst. FRANK J. DONATY, Comptroller. ERNEST L. DESSECKER, Records and Service Officer. ΧΙ |