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SECURITIES AND EXCHANGE COMMISSION

Headquarters Office 425 Second Street NW. Washington, D.C. 20549

COMMISSIONERS

January 4, 1965

MANUEL F. COHEN, Chairman
BYRON D. WOODSIDE
Hugh F. OWENS
HAMER H. BUDGE
FRANCIS M. WHEAT

ORVAL L. DUBOIS, Secretary

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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. Respectfully,

MANUEL F. COHEN,

Chairman. THE PRESIDENT OF THE SENATE, THE SPEAKER OF THE HOUSE OF REPRESENTATIVES,

Washington, D.C.

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UNITED STATES OF AMERICA

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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...

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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..

Adoption of Rule 156..

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-----
Adoption of Rule 11a-1.---
Amendment of Rule 14a-3..
Amendment to Rules 13a-15 and 15d-15 and Form 7-K...
Adoption of Rule 15c2-7..-
Adoption of Rule 15c3–2..
Adoption of Rule 16b-9..
Adoption of Rule 17a-8.
Proposed Rule 17a-9.-

Proposed Amendments to Form 8-K..--
The Investment Company Act of 1940.-

Amendment of Rule 3c-3..
Adoption of Rule 12d-1.---
Amendment of Rule 17a-6..
Amendment of Rule 178–1.--
Proposed Amendment of Rule 20a-2---

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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.--

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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.

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PART V

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ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF
1934.-
Regulation of exchanges and exchange trading-.

Registration and exemption of exchanges..
Exchange disciplinary action.---

Commission inspections of the exchanges.
Registration of securities on exchanges---
Statistics relating to securities on exchanges.-

Number of issuers and securities--
Market value of securities available for trading, by calendar

year...
Share and dollar volume and market value of stocks traded, by

fiscal year.---
Foreign stock on exchanges.

Comparative exchange statistics. Delisting of securities from exchanges--

Delisting and trading suspension proceedings under Section 19(a)Unlisted trading privileges on exchanges.

Applications for unlisted trading privilegesBlock distributions reported by exchanges.. Over-the-counter statistics.-

Reporting under Section 15(d)-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 nonsoliciting companies.

Proxy contests.
Investigations with respect to reporting provisions.-
Regulation of broker-dealers and over-the-counter markets.-

Registration ----
Administrative proceedings.

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