Appendix I.-Increase in private placement problem.. 556-557 558-559 Purcell (continued): Chart, flotation costs per $100 of securities, American Water Works 576 Chart, flotation costs attributable to SEC per $1,000 publicly raised__ 582 Loudon: Bulletin, November 1, 1941, Securities Division, Department of 632-634 Reis: Table, ratios of costs 1939 attributable to registration as compared to 641 Table showing costs for a $500,000 issue.. 641-642 646-647 Purcell (continued) re small issue exemption: Letter from Clarence H. Adams, director of Securities Division, 667-668 Letter from Edwin M. Daugherty, Division of Corporations, California. 668 Letter from Robert J. Bauer, president, National Association of 670 Letter from J. L. Pritchett, manager, Fort Worth, Tex., Better Letter from T. F. Leahey, manager, Scranton, Pa., Better Business 670 670-671 Letter from Edward T. Wigg, Tulsa, Okla., Better Business Bureau.. 671 Table showing common stock issues, 1938-40, classified by amounts, showing amount offered, registration expense, compensation to underwriters, total cost of flotation. Stewart (Continued) 673-674 Report of the special committee on securities laws and regulations of American Bar Association on proposed amendments to acts. 704-719 Purcell (continued) re sub-underwriting: Letter from Salomon Bros. & Hutzler... Starkweather, public utility exemption: 733 757-759 759-764 Notice of and order for hearing by the Securities and Exchange Commission in the matter of Mississippi Power Co., the Commonwealth & Southern Corporation, declarants.. Findings, opinion and order of the Securities and Exchange Commis- Letter from H. C. Utley, president, Minnesota Society of Certified Public 769-771 823 841-842 List of prospectuses on exempt railroad and municipal issues.. Letter from George L. Harrison, President, New York Life Insurance Co.. 842 Speech, July 24, 1941, Hon. George A. Paddock, regarding definition of "security" under Securities Act of 1933; H. R. 5065; employees' pension plans. 975-977 Memorandum by Harold V. Amberg on legislative history of exemption to employees' securities companies under Investment Company Act of 1940... 989-991 1002 Resolutions relating to amendments to acts adopted by Congress of Letter from R. T. Allcutt, Los Angeles, California. 1009-1017 Letter from A. L. M. Wiggins, for American Bankers Association, relating to section 17 (c) amendment... 1017-1018 Letter from M. S. Eccles, Federal Reserve System, relating to section 17(c) amendment... 1366-1367 SECURITIES EXCHANGE ACT OF 1934 Fleek-Organization of Commission: Page Table showing length of service of appointees as members of Securities 1023 Extract from report of Attorney General's committee showing sample 1025 Margin requirements (sec. 7): Letter from A. L. M. Wiggins, for American Bankers Association. 1048-1049 New York Stock Exchange insolvencies, 1922-1941--- 1049-1051 1068 Proxy regulation (sec. 14): 1079 1161-1162 Letter from Hon. Lewis D. Thill, Member of Congress (Wisconsin) 1161 MISCELLANEOUS 1187-1200 Letter of September 25, 1941, from regional exchanges to House Commit- Letter of October 17, 1941, from Edward C. Eicher, Chairman, S. E. C., to (See also Table of Contents of pt. V of record.) 1325 1348-1350 SECTION 3 ALPHABETICAL INDEX A Page Acceleration of effective date. (See Effective statement under Registra- Accountants: Liabilities (see also Civil and criminal liabilities under Administrative procedure: 1308 1308 Attorney General's Office on Federal administrative agencies, report House Committee on the Judiciary. Senate Committee on the Judiciary. 531, 734–735, 1024–1025, 1532 Advertisement, "tombstone." (See under Offer, written.) 240 Asiel & Co.: Statement in connection with sections 4 and 5 of 1933 act, and 1396 1009-1017 1368 Cole, Hon. William P., Jr., questions Amberg. (See Cole.) 977-991 Wolverton, Hon. Charles A., questions Amberg. (See Wolverton.) American Bankers Association (A. B. A.): Amberg, Harold V., First National Bank of Chicago. (See Amberg.) 533 Brown, Edward E., First National Bank of Chicago. (See E. E. Brown.) Cobb, A. S., vice president, Bankers Trust Co., New York. (See Love, Edward L., Chase National Bank. (See Love.) Membership.. 523 Statistics on savings banks.. 459 Wiggins, A. L. M., chairman of committee on Federal legislation. Membership.. Rule, Gordon, counsel. (See Rule.) American Commercial Alcohol: Stock pool manipulation... Unfair use of proxy machinery to aid pool__ American District Telegraph Co.: Termination unlisted trading, New York Curb Exchange.. American Institute of Accountants: McLaren, Norman Loyall, president. (See McLaren.) American Investors Union, New York, N. Y.. Page 22, 25, 27 1212 820 251, 265-268 645-646 266-267 American Smelting & Refining Co.: $25,000,000 4-percent bonds, 1935. 418 419 198-199, 206, 232, 1529–1530, 1539-1540 American Water Works & Electric Co.: Financing 1936-41, private Annual and periodic reports. Antitrust laws, Federal: Legality of underwriting and selling group Appeals to court from Securities and Exchange Commission. Arbitration: 1361 (See Court 860, 862-863 Proceedings between customer and members of exchanges. (See Associated Gas & Electric System: Hopson, Howard C.... 890, 1392-1393 Securities and Exchange Commission v. Associated Gas & Electric Co., 844 Utilities Employees Securities Co. (UESCO) 4 S. E. C. reports, 806 888-892, 902, 973 16 Volume of bonds of, and selling methods (referred to by Purcell). 409 Association of Life Insurance Counsel.. Atlas Powder Co.: Pension plan. Attorney General, United States: Administrative procedure, committee on 531, |