SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SIR: On behalf of the Securities and Exchange Commission, I have the honor to transmit to you the Thirtieth Annual Report of the Commission covering the fiscal year July 1, 1963 to June 30, 1964, in accordance with the provisions of Section 23 (b) of the Securities Exchange Act of 1934, approved June 6, 1934; Section 23 of the Public Utility Holding Company Act of 1935, approved August 26, 1935; Section 46(a) of the Investment Company Act of 1940, approved August 22, 1940; Section 216 of the Investment Advisers Act of 1940, approved August 22, 1940; Section 3 of the Act of June 29, 1949, amending the Bretton Woods Agreement Act; and Section 11(b) of the Inter-American Development Bank Act. UNITED STATES OF AMERICA IMPORTANT RECENT DEVELOPMENTS.. Special Study of Securities Markets and its implementation----Enforcement activity; proposed revision of annual report form for investment companies.---. Registration of new security offerings.- PART II 1 1 5 6 Amendments to Form S-1, Form S-8 and Form S-11. The Securities Exchange Act of 1934... Amendments of Rules 10b-6 and 16b-3 and Form 10.. Amendment of Rule 14a-3____ Amendment to Rules 13a-15 and 15d-15 and Form 7-K.. Adoption of Rule 15c2-7---- 12 13 13 13 15 16 16 ADMINISTRATION OF THE SECURITIES ACT OF 1933-Con. 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 Page 29 31 32 36 36 37 38 40 41 42 Share and dollar volume and market value of stocks traded, by Market value of securities available for trading, by calendar 46 48 49 Comparative exchange statistics.. 49 Delisting of securities from exchanges_-_ 50 Delisting and trading suspension proceedings under Section 19(a) – Investigations with respect to reporting provisions__. Regulation of broker-dealers and over-the-counter markets.. Administrative proceedings.. 62 62 |