OPERATION OF THE SECURITIES ACTS AMENDMENTS OF 1964- Extension of disclosure requirements to over-the-counter securities___ Regulation of broker-dealers who are not members of registered ADMINISTRATION OF THE SECURITIES ACT OF 1933... Description of the registration process_- 27 Page ADMINISTRATION OF THE SECURITIES ACT OF 1933-Con. Amendment of rules and forms relating to registration fees.- 35 36 36 Statistics relating to securities on exchanges.. Proceedings against San Francisco Mining Exchange. Registration of securities on exchanges. Number of issuers and securities____. Market value of securities available for trading.. Foreign stocks on exchanges – . Delisting of securities from exchanges. 39 39 40 40 40 41 42 43 43 44 Over-the-counter trading in common stocks traded on national Decisions of particular interest.. 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__ Page 53 53 54 54 Regulation of broker-dealers and over-the-counter markets. 55 Registration____ 55 Administrative proceedings.. 55 58 60 70 Suspension of registration pending final determination___ Broker-dealer inspections. Supervision of activities of National Association of Securities Dealers, Commission review of NASD disciplinary action............ Revision of rules, regulations and forms. Amendments to the proxy rules... Amendment of Rule 15b6-1 and adoption of related Form BDW.. Proposed revision of Form X-17A-5 and minimum audit require ments... 75 PART VI ADMINISTRATION OF THE PUBLIC UTILITY HOLDING COM- Composition of registered holding-company systems_-_- PART VII PARTICIPATION OF THE COMMISSION IN CORPORATE REOR- АСТ.. Page Summary of activities... Jurisdictional, procedural and administrative matters. Trustee's investigation___ Reports on plans of reorganization. Activities with regard to allowances.. Intervention in Chapter XI proceedings.. PART VIII 85 86 86 90 90 93 94 ADMINISTRATION OF THE TRUST INDENTURE ACT OF 1939___ 96 Revision of rules, regulations and forms. Adoption of Rule 7a-9- Amendments to Forms T-1 and T-2.. 97 97 97 Annual reporting by management investment companies. Activities of the Commission in accounting and auditing- 131 136 138 139 Procedures for publishing hearing examiners' initial decisions....... 142 Table 1. A 32-year record of registrations effective under the Securities 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.. Table 3. Brokers and dealers registered under the Securities Exchange Table 4. Number of security issues and issuers on exchanges. Part 2. Number of stock and bond issues on each exchange as of Table 5. Value of stocks on exchanges, in billions of dollars_--- 155 155 155 156 157 158 159 160 160 160 161 Part 1. 12 months ended December 31, 1965_. Table 7. Comparative share sales and dollar volumes on exchanges- Part 1. Number of stocks on the exchanges as of June 30, 1966....... 162 162 162 163 164 164 164 165 |