For sale the Superintendent of Documents, U.S. Government Printing Office Washington, D.C., 20402-Price 45 cents PREFACE This compilation includes pertinent Commission releases dealing with certain matters arising frequently under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940. It does not purport to be exhaustive as to all matters arising under those Acts, or as to any matter referred to herein. In some instances, the provisions of the Act or the rules referred to in a release may have been subsequently amended. Therefore, any release in this compilation should be read in conjunction with pertinent sections of the above Acts and the rules and regulations thereunder, as amended, and pertinent opinions of the Commission reported in the Decisions and Reports of the Commission. (Current unbound opinions of the Commission are distributed to the public as releases under the Federal securities acts to which they relate. Also, opinions relating to accounting principles are contained in the Commission's Accounting Series Releases.) In addition, the Commission, through its staff, provides interpretative assistance to members of the public in connection with questions under the Federal securities laws. The Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the rules and regulations under those Acts, and the other documents referred to above, are available for purchase from the Superintendent of Documents, United States Government Printing Office, Washington, DC. 20402. iii lepis.ush 3056 Section 9(a)(2)_ 3505 Sections 9(a)(2), 10(b), 15(c)(1)....... 4593 Sections 10(b), 15(c)(1); Rules 6721 Section 10(b); Rule 10b-5-- 6726 Sections 7 (c)(2), 11(d) (1) - - . 6778 Sections 10(b), 15(c)(1); Rules Short Sales; Covering Purchases.. Hypothecation of Customers' Securities. Time of Execution-Recordkeeping.. Trading during Distribution... - Covering Syndicate Short Position....... |