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Twelfth Annual Report of the Securities and Exchange Commission

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Twelfth Annual Report of the Securities and Exchange Commission Twelfth Annual Report of the Securities and Exchange Commission .Fiscal Year Ended June 30, 1946 UNITED STATES GOVERNMENT PRINTING OFFICE WASHINGTON: 1947 For sale by the Superintendent of Documents. U. S. Government Printing Office. Washington 25, D. C. Price 45 cents SECURITIES AND EXCHANGE COMMISSION Central Office 18th and Locust Streets Philadelphia 3, Pa. \. COMMISSIONERS Ganson Purcell, Chairman Rohert E. Healy Rohert K. McConnaughey James J. Caffrey Richard B. McEntire Orval L. DuBois, Secretary II LETTER OF TRANSMITTAL SECURITIES AND EXCHANGE COMMISSION. Philadelphia 3, Pa., Ja:n1lary §?7, 1947. SIR: I have the honor to t.ransmit to vou the Twelfth Annual Re­ port of the Securities and Exchange Commission, in accordance with the provisions of Section 23 (b) of the Securities Exchange Act of 1934, approved June 6, 1934, Section 23 of the Public Utility Holding Company Act of 1935, approved August 26, 1935, Section :'1=6 (a) of the Investment Company Act of 1940, approved August 22, 1940, and Section 216 of the Investment Advisers Act. of H)40, approved August 22,1940. Respectfully, JA~IES oJ. CAFFREY, Oluti1'ln(J;n. THE PRESIDENT OF THE SENATE, THE SPEAKER OF THE HOUSE OF REPRESENTATIVES, Wa.shington, D. O. III ROBERT E. HEALY 1883-1946 o Robert. E. Healy was appointed by the President as one of the original members of the Securities and Exehange Commission, and aSSllmed the duties of that oftiee on July 2, 1934. By virtue of t.hree successive reappointments he held·that office uutil his death on November 16, 1946. To his duties he brought a wealth of knowledge and wisdom, a staun.ch integrity, an impeccable sense of fairness, and a boundless, untiring devotion. These qualities made him, inevitably, a powerful influence in t.he shaping and administration of the laws administered by the Commission. .' . His forceful expression of the principles that guided his decisions established a tradition deeply respected by all who knew him. He leaves more than one man's burden to be borne by those who remain. It wOllld have been his will that we calTy on, in spite of his loss, the tasks which still lie before us. His was a spirit that recognized no limit to friendship. To the young people, whom he espeeiaUy loved, he was particularly anxious to give help and encouragement. In all who knew him he inspired a deep and lasti ng affection. 'Ve have resolved to memorialize herein Ollr sorrow at his passing and to record Ollr deep sympathy for the members of his family . •James J. Caffrey Robert K. McC~mnaughey Richard B. McEntire I Edmond M. Hanrahan TABLE OF CONTENTS Page Foreword_________________________________________________________ XIII Commissioners, Staff Officers and Regional Administrators_____ _ _ _ _ _ _ _ _ _ xv PART I ADMINISTRATION OF THE SECURITIES ACT OF 1933________ 1 Registration of Securities under the Act_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ 1 The Volume of Registered and Exempted Flotations_______________ 2 Total of registrations______ _ _ _ _ _____ _ _ ___ _______ __ _ __ __ _ _ _ __ 2 Volume of stocks and bonds _____________ .__________________ 3 Types of issuers _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3 Methods of sale __ -- ______ --- _________ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3 Cost of fiotation___________________________________________ 4 Unregistered issues _______ ' ______ -_ ___ _ _ __ __ _ _ ___________ ____ 4 New capitaL _________________________________________ c____ 5 Refinancing_______________________________________________ 5 Volume of all new issues____________________________ _______ 5 Statistics of Securities Registered under the AcL _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 5 Disposition of registration statements _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 6 Comparative number of registration statements filed_ _ _ _ _ _ _ _ _ _ _ 6 Exemption from Registrati,on under the Act_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 7 Exempt offerings under Regulation A_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 7 Exempt offerings under Regulation A-l\L _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 7 Exempt offerings under Regulation B_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 7 Confidential written reports under Regulation B____ _ _ _ _ _ _ _ _ _ _ _ 9 Oil and gas investigations _________________________________ ·__ 9 Disclosures Resulting from Examination of Registration Statements__ 10 Injunction Actions Instituted under the Act_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 13 PART II ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF 1934 ____________________________ ~ _________________________ _ 15 Regulation of Exchanges and Exchange Trading __________________ _ 15 Registration of exchanges __________________________________ _ 15 Value and volume of trading _______________________________ _ 15 16 ~I~~~li~~~e~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~==== 16 Special offering plans ______________________________________ _ 16 Regulation of the distribution of publicly offered securities _____ _ 17 Registration of Securities on Exchanges _________________________ _ 17 Purpose and motive of registration of securities on exchanges __ _ 17 Examination of applications and reports _____________________ _ 18 New Rules and amendments of Forms for registration under the Act ___________________ ~ _______________________________ _ 19 Rule X-13A-6B-Quarterly reports by certain companies __ 19 Rule X-12A-1-Temporary exemption from Section 12 (a) of certain securities of banks _________________________ _ 21, Amendments to Forms 10-I( and 1-MD ________________ _ 21 Amendments to Forms 12-K and 12A-K ________________ _ 22 Proceedings under Section 19 (a) (2) ______ ~ _________________ _ 22 Temporary suspensions of securities from trading pursuant to Section 19 (a) (4) and Rule X-15C2-2 ____________________ _ 22 Statistics of securities registered on exchanges ________________ _ 23 Security Transactions of Corporate Insiders ______________________ _ 23 Number of ownership reports filed during yeaL ______________ _ 25 Solicitations of Proxies, Consents, and Authorizations _____________ _ 26 VII VIII CONTENTS ADMINISTRATION OF THE SECURITIES EXCHANGE ACT OF 1934-Continued, Page Unlisted Trading Privileges _________________ ___________________ 27 On registered exchanges _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ c_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 27 On exempted exchanges_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 28 Applications for unlisted trading privileges__ __ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ 28 Changes in securities admitted to unlisted trading privileges_ _ _ _ 28 Delisting of Securities from Exchanges ___________________________ • 29 Securities delisted by application _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 29 Securities delis ted by certification____________________________ 30 Securities removed from listing on exempted exchanges___ _ _ _ _ _ _ 30 Securities Exempted from Registration_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 30 Exempted securities removed from exchange trading ________,_ _ _ 30 Temporary exemption of substituted or additional securities_ _ _ _ 31 Stabilization and Manipulation__________________________________ 31 Manipulation __________________________________ c _ _ _ _ _ _ _ _ _ _ 31 !.rad!ng investigations _______ ~ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 32 StabIlIzatIOn _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 32 Regulation of Brokers and Dealers ______________________ ~ _ _ _ _ _ _ _ _ 33 R.egistration _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 33 Brok~r~Deal.er inspectiops_ ------------- -c _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 33 Adnlll1lstratlve proceedmgs __________________ :._ __ ___ _ __ _ _ _ _ _ .34 Superv.isi?n.of NASD aet~ivity----------------------------------- 36 Dlsclplmary proceedmgs _____________________________ ~ _ _ _ _ _ _ 36 Commission review of disciplinary action or denial of member- ship____________________________________________________ 36 Commission act.ion on petitions for approval of or continuation in membership_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 37 , Registered representative rule_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 38 Litigation under the Act_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 39 Civil actions instituted by the CommissioD.
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