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ADMINISTRATION OF THE SECURITIES ACT OF 1933—Con.

Stop order proceedings-
Examinations and investigations.-
Exemption from registration of small issues.
Exempt offerings under Regulation A..

Reports of sales.---

Suspension of exemption.----
Exempt offerings under Regulation B..

Reports of sales.-
Exempt offerings under Regulation E.

Exempt offerings under Regulation F.
Revision of rules, regulations and forms..

Amendments to Rule 416..--
Amendment of rules and forms relating to registration fees.-
Withdrawal of proposed amendments of Rule 485.---
Adoption of Form S-13..

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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
Review of exchange rules and procedures.
Commission inspections of the exchanges.
Proceedings against San Francisco Mining Exchange---

Exchange disciplinary action ---
Registration of securities on exchanges
Statistics relating to securities on exchanges.-

Number of issuers and securities ---
Market value of securities available for trading-
Share and dollar volume of stocks traded..
Foreign stocks on exchanges.---

Comparative exchange statistics.
Delisting of securities from exchanges.
Unlisted trading privileges on exchanges.-

Applications for unlisted trading privileges.
Block distributions reported by exchanges ---
Over-the-counter trading in common stocks traded on national

securities exchanges.--Manipulation and stabilization --

Manipulation; market surveillance...

Stabilization..--
Registration of over-the-counter securities -
Periodic reports. ----
Regulation of proxies..

Scope of proxy regulation ---
Statistics relating to proxy and stockholder information state-

ments.--
Stockholders' proposals.
Ratio of soliciting to non-soliciting companies.
Proxy contests

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ADMINISTRATION OF THE SECURITIES EXCHANGE ACT
OF 1934—Continued
Insiders' security holdings and transactions.-

Ownership reports..

Recovery of short-swing trading profits by issuer.
Investigations with respect to reporting provisions.---
Regulation of broker-dealers and over-the-counter markets.-

Registration
Administrative proceedings.---

Decisions of particular interest..

Suspension of registration pending final determination.-
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-

Commission inspections of the NASD.
Revision of rules, regulations and forms.

Amendment of Rule 3a 12-3..--
Amendments to the proxy rules. -
Amendment of Rule 15b6-1 and adoption of related Form BDW..
Renumbering of rules under Sections 15(b) and 15A and amend-

ment of Rules 15A12–1, 17a-5 and 1923–1 to conform..
Amendment of Rule 168-2-
Proposed amendment of Rule 16a-6..
Amendment of Rule 16b-3..
Amendment of Rule 16b-6...
Amendment of Rules 16b-8 and 16b-9.
Proposed amendments to Forms 3 and 4.
Proposed amendments to Form 8-K..
Amendments to Forms 10, 12, 10-K and 12–K..
Amendments to Forms 16 and 16-K.--
Proposed revision of Form X-17A-5 and minimum audit require-

ments...

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PART VI

ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM-
PANY ACT OF 1935.---

Composition of registered holding-company systems.-
Section 11 matters in registered holding company systems...
Proceedings with respect to acquisitions, sales nd other matters..
Financing of active registered public-utility holding companies and
their subsidiaries..

Competitive bidding-
Policy as to refundability of bonds.

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PART VII

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PARTICIPATION OF THE COMMISSION IN CORPORATE REOR

GANIZATIONS UNDER CHAPTER X OF THE BANKRUPTCY
ACT.---

Summary of activities...
Jurisdictional, procedural and administrative matters.
Trustee's investigation....
Reports on plans of reorganization.--
Activitfes with regard to allowances..
Intervention in Chapter XI proceedings..

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Part VIII
ADMINISTRATION OF THE TRUST INDENTURE ACT OF 1939...
Revision of rules, regulations and forms.

Adoption of Rule 7a-9-----
Amendments to Forms T-1 and T-2..

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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.--.
Annual reporting by management investment companies.
Filings reviewed...
Applications and proceedings...
Revision of rules, regulations and forms.

Proposed Rule 17a-7---

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PART X

ADMINISTRATION OF THE INVESTMENT ADVISERS ACT OF
1940----

Registration statistics.-
Inspection program..
Administrative proceedings--
Revision of rules, regulations and forms.

Amendment of Rule 204-2(a)---

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PART XI

OTHER ACTIVITIES OF THE COMMISSION.

Civil litigation...
Criminal proceedings.-
Complaints and investigations..
Enforcement problems with respect to foreign securities..

Foreign restricted list..
Section of securities violations..
Applications for nondisclosure of information ----
Activities of the Commission in accounting and auditing-
International Bank for Reconstruction and Development.
Inter-American Development Bank...
Asian Development Bank.

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OTHER ACTIVITIES OF THE COMMISSION_Continued
Statistics and special studies.---

Issues registered under the Securities Act of 1933.
New securities offerings..
Individuals' savings----
Private pension funds.-
Stock trading of financial institutions..
Financial position of corporations.--
Plant and equipment expenditures.-
Directory of registered companies.

Stock market data.--
Opinions of the Commission..

Procedures for publishing hearing examiners' initial decisions..
Dissemination of information...

Information available for public inspection..--
Publications.
Organization --
Personnel and financial management.--

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Part XII

APPENDIX-STATISTICAL TABLES

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Table 1. A 32-year record of registrations effective under the Securities

Act of 1933—fiscal years 1935-1966...
Table 2. Registrations effective under the Securities Act of 1933, fiscal

year ended June 30, 1966..--.
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. Brokers and dealers registered under the Securities Exchange

Act of 1934-effective registrations as of June 30, 1966, classi

fied by type of organization and by location of principal office--
Table 4. Number of security issues and issuers on exchanges.
Part 1. Unduplicated count as of June 30, 1966 of number of stock

and bond issues admitted to trading on exchanges under
Section 12 of Securities Exchange Act of 1934, and number

of issuers involved..
Part 2. Number of stock and bond issues on each exchange as of

June 30, 1966, classified by trading status, and number of

issuers involved.. Table 5. Value of stocks on exchanges, in billions of dollars.Table 6. Dollar volume and share volume of sales effected on securities

exchanges in the calendar year 1965 and the 6-month period

ended June 30, 1966---
Part 1. 12 months ended December 31, 1965.-

Part 2. 6 months ended June 30, 1966...
Table 7. Comparative share sales and dollar volumes on exchanges.
Table 8. Block distributions of stocks reported by exchanges..
Table 9. Unlisted stocks on exchanges.--.

Part 1. Number of stocks on the exchanges as of June 30, 1966.--
Part 2. Unlisted share volume on the exchanges—calendar year 1965.-

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