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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-
ing and registration on a national securities exchange.
Notification by an exchange of the admission to trading 12(a).
of a substituted or additional class of security.

Definitive proxy soliciting material filed under Regula- 14(a).
tion 14A [17 CFR 240.14a-1 et seq.].

Distribution of information to security holders from 14(c).
whom proxies are not solicited filed under Regulation
C [17 CFR 230.400 et seq.].

Initial statement of beneficial ownership of equity se-
curities by officers, directors, and principal stockholders
of issuers having listed equity securities; and changes
in such ownership.

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
and dealers not members of a registered national securi-
ties association (as of June 30, 1965).
Initial assessment and information form for registered 15(b) (8).
brokers and dealers not members of a registered na-

tional securities association.

6(e).

Application by an exchange for registration or exemption 6(a).
from registration as a national securities exchange.
Annual amendments and supplemental material filed to
keep reasonably current the information contained in
applications for registration or exemption.
Record disposal plans of national securities exchange----
Application for listing securities on an exempted
exchange.

Periodic reports to keep reasonably current the informa-
tion contained in application for listing securities on
exempted exchange.

17.

12(b).

13.

Certification of exempted exchange approving securities 12(d). for listing.

15A.

Application for registration as a national securities as-
sociation or affiliated securities association.
Annual supplement consolidated to keep reasonably cur-
rent the information in the above application.

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
membership by registered securities association.
Reports on stabilizing activities pertaining to a fixed
price offering of securities registered or to be registered
under the Securities Act of 1933, or offered or to be
offered pursuant to an exemption under Regulation A
[17 CFR 230.251 et seq.], or being or to be otherwise
offered if aggregate offering price exceeds $300,000.
Plans by exchanges authorizing payment of special com- 10.
mission in connection with a distribution of securities
on exchanges.

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).
registrant has ceased to be a holding company.
Statement by a person employed or retained by a reg-
istered holding company or subsidiary thereof, of sub-
ject matter in respect of which retained or employed;
and annual statement thereafter.

Application for exemption from provisions of the Act
and applications for declaratory orders regarding status
of company under Act by holding companies, subsid-
iaries, and other companies.

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
declaration with respect to organization and conduct
of business of subsidiary service company.
Statement executed by financial institution authorizing 17(c).
representative to serve as officer or director of holding
company or subsidiary, filed by representative.
Initial statement of beneficial ownership of securities
filed by officers and directors of registered public utility
holding companies, and changes in such ownership.
Annual reports by mutual and subsidiary service com-
panies.

Application by interested persons for approval of reor-
ganization plans required in court proceedings for
reorganization of registered holding companies and
subsidiaries.

17(a).

13.

11(f).

Application by or on behalf of persons requesting approval 11(f).
of payment of fees, expenses or remuneration for
services rendered in connection with a proceeding in
reorganization in a U.S. court involving registered hold-
ing companies or subsidiaries.
Application by registered holding companies and sub-
sidiaries for approval of voluntary plans of reorganiza-
tion to enable companies to conform with provision of
section 11(b), and applications or affidavits in support
of requests for fees and expenses by participants.

11(e).

PUBLIC UTILITY HOLDING COMPANY ACT OF 1935-Continued

Description

Report by an affiliate service company or by a person
principally engaged in performance of services for public
utilities proposing to take any step in performance of
service, construction or sale of goods.
Application by registered holding company for approval
of amount at which to enter investments pursuant to
Paragraph 8C of Uniform System of Accounts.
Declaration with respect to solicitation of proxies or con-
sents regarding reorganization and security trans-
actions of registered holding company or subsidiary.
Proxy soliciting material..

Annual statement claiming exemption for a holding com-
pany system which is intrastate or predominantly an
operating company.
Applications and declarations thereto regarding sale and
acquisition of assets and securities by registered hold-
ing companies, subsidiaries, and certain persons.
Certificate of notification for short-term borrowings not
requiring Commission approval.

Notices of intention regarding proposed sales of securities
and other assets not requiring filing of application or
declaration.

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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.
or individuals as trustees under qualified indenture
under which debt security has been or is to be issued.
Application for qualification of indenture under which
security (bonds, debentures, notes, and similar debt
securities) has been or is to be issued.

Application for exemption from provisions of the Act in
certain cases.

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).
313.

310(b) (3), 310 (b) (6).

INVESTMENT ADVISORS ACT OF 1940

Application for registration as investment advisor or to
amend or supplement such an application.
Irrevocable appointment of agent for service of process,
pleadings and other papers.

Application by person who does not deem himself to be an
investment adviser.

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.
211(a).

202 (a) (11) (F).

1940
8(a), 8(b).

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).
holders of registered investment companies.
Application for order of the Commission determining 8(f).
registrant has ceased to be an investment company.
Fidelity bond, resolution of board of directors notice of
cancellation or termination of bond for officers and
employees of investment companies who have access to
its securities or funds.

Waiver of indemnification of officer and directors of in-
vestment companies.

Report of independent auditors examining records of investment companies.

17(g).

17(h), 17(i).

17(f).

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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).
director, etc., of a registered investment company.

Request for advisory report of the Commission relating 25(b).
to the reorganization of registered investment company.
Report of repurchase of its own securities by a closed-end 23(c).
company.

Sales literature regarding securities of certain investment 24(b).
companies.

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.)

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