SECURITIES EXCHANGE ACT OF 1934-Continued Description Pursuant to section Information by a foreign issuer temporarily exempt from 12(g) (3). section 12(g). Certification of exchange approving securities for listing 12(d). registration. Periodic reports (annual, semiannual, quarterly, and current) to keep current the information in above application for registration of securities. Notices of suspension of trading-. 13(a). 12(d). 12(d). Application to withdraw or strike a security from list- Definitive proxy soliciting material filed under Regula- 14(a). Distribution of information to security holders from 14(c). Initial statement of beneficial ownership of equity se- 16(a). Application for permission to extend unlisted trading 12(f). privileges, notification of changes, and notification of termination or suspension. Application for registration as a broker and dealer, and amendments or supplements to such application. Reports of financial condition of registered brokers and dealers. 15(b). 17. Irrevocable appointment of agent for service of process, 23(a). pleadings, and other papers. Notice by nonresident broker or dealer specifying ad- 17. dress of place in United States where copies of books and records are located and undertaking to furnish to Commission, upon demand, copies of books and records he is required to maintain. Subordination agreements___. Annual assessment and information for registered brokers and dealers not members of a registered national securities association. 15(b) (8). 15(b) (8). Assessment and information form for registered brokers tional securities association. 6(e). Application by an exchange for registration or exemption 6(a). Periodic reports to keep reasonably current the informa- 17. 12(b). 13. Certification of exempted exchange approving securities 12(d). for listing. 15A. Application for registration as a national securities as- 15A. SECURITIES EXCHANGE ACT OF 1934-Continued Description Application by a national securities association or a broker or dealer for admission or continuance of broker or dealer as member of a national securities association, notwithstanding a disqualification under section 15A (b) (4). Pursuant to section 15A(b) (4). 15A(g). 17. Application for review of disciplinary action or denial of PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Notification of registration and registration statement by public utility holding companies providing financial and other information concerning the issue and sale of securities. 5(a), 5(b). Annual reports by registered holding companies to keep 14. reasonably current information in the registration statement. 12(1). Application for an order of the Commission declaring 5(d). Application for exemption from provisions of the Act 12-month statement by bank claiming general exemption under the Act. 2(a) (3), 2(a) (4), 2(a) (7) (B), 2 (a) (8) (B), 3 (a), (b). 3 (a), (d). 13(b). Application for approval of mutual service company or Application by interested persons for approval of reor- 17(a). 13. 11(f). Application by or on behalf of persons requesting approval 11(f). 11(e). PUBLIC UTILITY HOLDING COMPANY ACT OF 1935-Continued Description Report by an affiliate service company or by a person Annual statement claiming exemption for a holding com- Notices of intention regarding proposed sales of securities Statements in justification of fees and expenses proposed 6(b), 7, 9, 10, 12(d). to be paid. Reports to stockholders by registered holding company or subsidiary thereof and annual reports submitted by registered holding company or subsidiary thereof to a State commission covering operations not reported to Federal Power Commission. TRUST INDENTURE ACT OF 1939 14, 15. Statement of eligibility and qualification of corporations 305, 307. Application for exemption from provisions of the Act in Application re conflict of interest of trustees Reports by indenture trustee to indenture security holders with respect to eligibility and qualification under section 310. Application relative to affiliations between trustees and underwriters. 307. 304 (c), (d). 310(b)(1). 310(b) (3), 310 (b) (6). INVESTMENT ADVISORS ACT OF 1940 Application for registration as investment advisor or to Application by person who does not deem himself to be an INVESTMENT COMPANY ACT OF Notification of registration of investment company, and registration statement covering an offering of securities of investment company evidencing an interest in a portfolio of securities in which the investment company invests. 203 (c) or 203 (f), 204. 202 (a) (11) (F). 1940 Periodic reports (annual, semiannual, and quarterly) to 30(a), 30(b)(1). keep reasonably current the information in above registration statement. 2 Regulation 14 under the Securities Exchange Act of 1934 applicable (17 CFR 240.14a-1 et seq.). INVESTMENT COMPANY ACT OF 1940-Continued Description Pursuant to section Annual, semiannual, and other periodic reports to security 30 (b)(2). Waiver of indemnification of officer and directors of in- Report of independent auditors examining records of investment companies. 17(g). 17(h), 17(i). 17(f). Application for exemption from provisions of the Act and 2(a) (9), 3(b)(2), 6 (b), (c), other relief. (d), 7(d), 10 (e), (f), 11 (a), (c), 12 (d) (1), (d) (2), 14(a), 15(a), 16(a), 17 (a), (b), (d), (e), 18(1), 22(d), 23 (b)(5), (c) (3), 24(d), 26(a)(2) (C), 28(c), 35(d), and others. Statement of transaction-exemption from provisions of 10(f). section 10(f). Application for an ineligible person to serve as officer, 9(b). Request for advisory report of the Commission relating 25(b). Sales literature regarding securities of certain investment 24(b). Statement of the Federal Savings and Loan Corporation 6(a)(4). relating to the exemption of certain issuers. Reports submitted pursuant to an order of the Commission. MISCELLANEOUS Requests or petitions that a change in the Commission's rules, regulations or forms be made; comments on proposed rules, regulations or forms; issuance, amendment or repeal of rules, regulations or forms promulgated under various Acts administered by the Commission. Transcripts of proceedings in public hearings including testimony, exhibits received in evidence, intermediate decisions, oral argument, motions, briefs, exceptions. Commission findings, opinions, orders, rulings, and notices issued for public release. Hearings and comments on proposed rules or statements of policy, etc., except where the writer requests that his comments not be made public. Periodic reports filed by the International Bank for Reconstruction and Development under Regulation BW-Rules 1 to 4, section 15(a) of the Bretton Woods Agreement Act [17 CFR Part 285]. Periodic reports filed by Inter-American Development Bank, pursuant to Regulation IA [17 CFR Part 286] adopted pursuant to section 11(a) of the Inter-American Bank Act. Copies of papers filed in court, and papers and documents received from courts, are primarily for the use of the Commission attorneys and other members of the staff. 3 Section 851 (e) (1) of the Internal Revenue Code of 1954 is applicable. * Regulation 14 under the Securities Exchange Act of 1934 is applicable (17 CFR 240.14a-1 et seq.). These may not always be complete and accurate and may contain nonpublic staff notations. However, in appropriate situations, with the approval of the Office of the General Counsel, examination of such material may be made or copies obtained as a matter of courtesy. Reports by the Commission to the Congress as a whole. § 200.80b Appendix B-Classification of releases available. Mailing lists are maintained in the following classifications only: 1. Rule Proposals: A special classification for those who wish to receive all proposals (except those referred to in item 8 below) for adoption of new rules of forms or amendments of existing rules or forms (under any of the SEC laws) in order to have an opportunity to submit views and comments thereon. Registrants affected by any such proposal will receive copies thereof whether or not they are on this list. For new amended rules or forms, if and when adopted, see other release classifications. or 2. All Rules Under Securities Act of 1933 (including those with respect to oil and gas royalties, securities and dealers) and under the Trust Indenture Act of 1939: This classification is only for new or amended rules as finally adopted. See classification 2 for proposed new or amended rules or forms. 3. All Rules Under Securities Exchange Act of 1934: This classification is only for new or amended rules, as finally adopted. See classification 2 for proposed new or amended rules or forms. 4. Holding Company Act Opinions and Rules: Special classification for those interested in Commission decisions and rules adopted under this Act (frequently, a summary of a decision is distributed in lieu of the full text thereof). See classification 2 for proposed new or amended rules or forms. 5. All Rules Under Investment Company Act of 1940: This classification is only for new or amended rules, as finally adopted. See classification 2 for proposed new amended rules or forms. or 6. All Rules Under Investment Advisers Act of 1940: This classification is only for new or amended rules, as finally adopted. See classification 2 for proposed new or amended rules or forms. 7. Accounting: A paperbound book containing Accounting Series Releases Nos. 1 to 77, inclusive, amended to March 10, 1956, may be purchased from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402, for $1. Proposed new or amended accounting rules will be distributed to persons whose names appear on the accounting list. When any such revision in the accounting rules or other accounting release is adopted, one copy thereof will generally to distributed to each person on this list. However, where the new rule or release is lengthy or may not be of wide, general interest, a special "summary" briefly describing the rule or release will be distributed to this list. In such event, one copy of such newly adopted rule or release may be obtained by request from our Publications and Distribution Unit. 8. Corporate Reorganizations: Announcements relating to the Commission's activities under Chapter X of the Bankruptcy Act, as amended, and advisory reports (or summaries thereof filed with Courts pursuant thereto. 9. Securities Traded on Exchanges: Annual directory and quarterly supplements of securities traded on national securities exchanges. 10. Individuals' Saving: Releases issued quarterly presenting data on the volume and composition of individuals' saving. (Information is also included in the SEC monthly Statistical Bulletin.) 11. Weekly Trading Data on New York Exchanges: SEC stock price indexes and daily round-lot and odd-lot transactions effected on the New York and American Stock Exchanges. (Information is also included in the SEC monthly Statistical Bulletin.) 12. Plant and Equipment Expenditures: Releases issued quarterly presenting data on plan and equipment expenditures of U.S. business, both actual and anticipated. Joint study of SEC and Department of Commerce. (Information is also included in the SEC monthly Statistical Bulletin.) 13. Net Working Capital: Releases issued quarterly presenting data on current assets and liabilities of all U.S. corporations. (Information is also included in the SEC monthly Statistical Bulletin.) 14. Quarterly Financial Reports: Releases issued quarterly summarizing balance sheet and income data for U.S. manufacturing corporations reflected in reports of joint SEC and FTC study. (Copies of reports available at GPO at cost of $1 per year.) 15. New Securities Offerings: Releases issued quarterly presenting data on all new securities offerings by corporations in the United States. (More detailed data is available in the SEC monthly Statistical Bulletin.) Funds: Releases 16. Corporate Pension issued annually presenting estimates of corporate pension fund assets and their composition and data on receipts and expenditures. 17. Litigation Releases: Releases announcing actions to enjoin violations of SEC laws and rules and developments in such actions, as well as developments in criminal prosecutions for securities violations. § 200.80c Appendix C-Other publications available from the Commission. Limited amounts of the following material are available, free of charge, upon request to the Commission's Publications and Distribution Units: Work of the Securities and Exchange Commission. (This pamphlet describes briefly the duties and activities of the Commission.) |