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10 SEC Docket 1 (1976)

handle is hein.journals/secdoc10 and id is 1 raw text is: VOLUME 10, NO, 1 JULY 28, 1976 WEEKLY COMPILATION OF RELEASES FROM THE SECURITIES AND EXCHANGE COMMISSION 12607A, 12612 2630 .... 0002 ..... 0003 Company Act 19608 -19613 .... 0038 Investment Company Act 9337A 9338A, 9348 9355 .............. 0044 Investment Advisers Act 526 ........... 0054 Litigation 7486, 7489 ...... 0054 Accountirng Series 192 ........ 0055 This issue covers releases issued from 7/9/76 - 7/15/76. This listing does not affect the legal status of any docu- ment published in this issue. SEC DOCKET INDEX VOLUME I II IV V Vi VII VIII FOUND IN DOCKET Vol. V, No. 15 Vol. V, No. 16 Vol. VI, No. 3 Vol. VI, No. 15 Vol. VI, No, 20 Vol. VII, No. 8 Vol. VIII, No. 15 Vol. IX, No. 11 DA TED 12/3/74 12/10/74 1/8/75 4/22/75 5/28/75 7/22/75 1/28/76 5/18/76 SIGNIFICANT ITEMS RULES 34-12619 34-12624 Notice of Proposed Amend- ments to Rules 13a-1 1, 13a- 11, 13a-13, 15d-11 and 15d- 13; to Forms 8-K, 10-Q and to Schedule 14A of Regula- tion 14A (File No. S7-645) .. Adoption of Rule 31-1, ef- fective immediately, providing certain exemptions from the requirements of Section 31 of the Securities Exchange Act of 1934 with respect to Se- curities Transaction Fees 0015 0032 34-12630 A lI j, c, 3197l6 l Adoption of temporary Rule 1 5c2 -11 (f)(4)(T), effec- tive July 15, 1976, pursu- ant to Securities Exchange Actof 1934 ........ ..0036 The following releases relate to self-regulatory organi- zation rule proposals and/or adoptions: 34-12613 34-12618 34-12625 34-12617 34-12623 34-12626 OPINIONS 34-12614 34-12615 A. J. WHITE& CO. Where registered broker- dealer and its president ar- ranged financings in the form of bank loans for purchase of stock in connection with best efforts all or nothing registered offering in order to close the offering, without disclosing this aspect of the distribution; held, that such arrangements violated the antifraud, extension of credit, and prospectus delivery pro- visions of the securities sta- tutes. But allegations of im- proper books and records based on those arrangements, dismissed. Sanctions con- sisting of revocation of broker-dealer's registration and of an order barring its president from association with any broker or dealer, affirm ed . ............... JEROME H. SHAPIRO Where president of broker- dealer firm aided and abetted firm's violations of the Se- curities Exchange Act's rec- ordkeeping, net capital, re- porting, security-count and hypothecation provisions, held, president barred from associa- tion with any broker or dealer in a propriletary or supervisory capacity .. ............. 0007 0010 rF;rYj9,CKET/1 RELEASES IN THIS ISSUE PAGE Freedom of Information Act- Securities Exchange Act 1 Public Utility Holding

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