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COMMITTEE ON INTERSTATE AND FOREIGN COMMERCE

OREN HARRIS, Arkansas, Chairman JOHN BELL WILLIAMS, Mississippi

JOHN B. BENNETT, Michigan PETER F. MACK, JR., Ilinois

WILLIAM L. SPRINGER, Illinois KENNETH A. ROBERTS, Alabama

PAUL F. SCHENCK, Ohio MORGAN M. MOULDER, Missouri

J. ARTHUR YOUNGER, California HARLEY O. STAGGERS, West Virginia HAROLD R. COLLIER, Illinois WALTER ROGERS, Texas

MILTON W. GLENN, New Jersey SAMUEL N. FRIEDEL, Maryland

SAMUEL L. DEVINE, Ohio TORBERT H. MACDONALD, Massachusetts ANCHER NELSEN, Minnesota GEORGE M. RHODES, Pennsylvania

HASTINGS KEITH, Massachusetts JOHN JARMAN, Oklahoma

WILLARD S. CURTIN, Pennsylvania LEO W. O'BRIEN, New York

ABNER W. SIBAL, Connecticut JOHN E. MOSS, California

VERNON W. THOMSON, Wisconsin JOHN D. DINGELL, Michigan

PETER H. DOMINICK, Colorado
JOE M. KILGORE, Texas
PAUL G. ROGERS, Florida
ROBERT W. HEMPHILL, South Carolina
DAN ROSTENKOWSKI, Nlinois
JAMES C. HEALEY, New York
HORACE R. KORNEGAY, North Carolina

W. E. WILLIAMSON, Clerk
KENNETH J. PAINTER, Assistant Clerk

Professional Staff
ANDREW STEVENSON

SAM G. SPAL
KURT BORCHARDT

MARTIN W. CUNNINGHAM

SUBCOMMITTEE ON COMMERCE AND FINANCE

PETER F. MACK, JR., Illinois, Chairman JOHN D. DINGELL, Michigan

MILTON W. GLENN, New Jersey JOE M. KILGORE, Texas

HASTINGS KEITH, Massachusetts ROBERT W.HEMPHILL, South Carolina WILLARD S. CURTIN, Pennsylvania JAMES 0. HEALEY, New York

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CONTENTS

Statement of

Page

Brown, Alexander J., Jr., Acting Regional Administrator, Washington

regional office, Securities and Exchange Commission...

2

Bryan, Irving, Chief, Legislation and Opinions Division, Office of

Corporation Counsel, District of Columbia --

26

Cary, William L., Chairman, Securities and Exchange Commission.- 2

Cohen, Manuel F., Commissioner, Securities and Exchange Commis-

sion..

2

Fleischer, Arthur, legal assistant to the Chairman, Securities and

Exchange Commission.-

2

Fulton, Wallace H., executive director, National Association of

Securities Dealers, Inc..

20

Ilgenfritz, Joseph J., Director of Licenses and Inspections, District of

Columbia..

26

Kneipp, Robert F., Assistant Chief, Legislation and Opinions Division,

Office of Corporation Counsel, District of Columbia -

26

Korman, Milton D., Principal Assistant Corporation Counsel, District

of Columbia

26

Law, Stuart, attorney, Division of Trading and Exchanges, Securities

and Exchange Commission..-

2

Loomis, Philip A., Director, Division of Trading and Exchanges,

Securities and Exchange Commission.

2

Nottingham, C. T., Superintendent, License and Permit Division,

Department of Licenses and Inspections, District of Columbia--- 26

Peters, Richard, secretary, district No. 10, National Association of

Securities Dealers, Inc.-

20

White, Marc A., counsel, National Association of Securities Dealers,

Inc.-..

20

Additional information submitted for the record:

Gray, Chester H., Corporation Counsel, District of Columbia, letter

from, transmitting draft of proposed regulations, April 20, 1962.- 30

"Investors Beware," series of articles by Miriam Ottenberg--

49-59

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