ADMINISTRATION OF THE SECURITIES ACT OF 1933_ Description of the registration process--- ADMINISTRATION OF THE SECURITIES ACT OF 1933-Con. 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. Revision of rules, regulations and forms. Proposed amendment of Rule 485- Amendments to Forms S-1, S-8 and S-11.. Page 33 33 34 34 37 38 38 38 39 39 39 Exchange Exchange disciplinary action.- Number of issuers and securities. Foreign stocks on exchanges- Commission inspections of the exchanges Section 19(a) (1) proceedings against San Francisco Mining Registration of securities on exchanges. Statistics relating to securities on exchanges. Market value of securities available for trading.. Comparative exchange statistics. Delisting of securities from exchanges Delisting proceedings under Section 19 (a) (2). Unlisted trading privileges on exchanges__ Applications for unlisted trading privileges_ Manipulation; market surveillance. 41 41 42 42 44 44 45 45 46 47 48 49 49 50 50 51 51 51 52 Regulation of broker-dealers and over-the-counter markets. Suspension of registration pending final determination_-_-_ 66 ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF 1934 Continued Regulation of broker-dealers and over-the-counter markets-Con. 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___ Revision of rules, regulations and forms. Adoption of Rule 0-8- Amendments of Rules 10b-6 and 16b-3 Rescission of Rule 12f-5.---- Amendments to Rules 13a-15 and 15d-15_. Amendments and proposed amendments to the proxy rules_ Amendments of Rule 15b-2 and Form BD........... Amendments of Rule 15b-9 under the Exchange Act and Rule Rescission of Rule 15c2-2.. 9(b) under the Commission's Rules of Practice... 79 ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM- Composition of registered holding-company systems........ 85 Exempt holding companies... Financing of active registered public-utility holding companies and 84 86 88 90 |