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6 SEC Docket 1 (1975)

handle is hein.journals/secdoc6 and id is 1 raw text is: VOLUME 6, NO. JANUARY 14,1975 WEEKLY COMlAT1ON OF RELEASES FROM THE SECURITIES AND EXCHANGE COMMISSION RELEASES IN THIS ISSUE Securities Investor Protection Act 21 Securities Act 5552 Securities Exchange Act 11156-64 Public Utility Holding Company Act 18735-55 8600A Investment Company Act 8624-32 Litigation 6653-64 This issue covers releases issued from 12/26/74-1/3/75. SIGNIFICANT ITEMS This listing does not affect the legal status of any document published in this issue. Announcement 33-5552 No-Action Position Relating to Certain Offerings of Gold Proposed arrangements for the sale of gold bullion. Enforcement 34-11161 Trio Securities, Inc., and Howard G. Michaelson Administrative proceedings ordered against Trio and its president, Howard G. Michael- son for violations of the anti- fraud, net capital, hypotheca- tion, and books and records provision of the securities laws. 34-11162 London Securities Ltd. Administrative proceedings ordered against London and Joseph C. Caggiano, president, treasurer, director and stock- holder, for violations of the net capital rule, bookkeeping rules, supplemental reporting requirements, broker-dealer registration requirements and the margin requirements under the Exchange Act and Regulation T thereunder. LR-6653 SEC v. R. J. Allen & Associates, Inc., et al. Injunction and disgorgement ordered in Industrial Develop- ment Revenue Bonds case. LR-6654 SEC v. Kalvex, Inc., et al. Complaint alleges fai'ure to disclose overstateme'nt of expenses resulting of payment to 2 defendants of expenses not properly chargeable to Kalvex. Accounting sought. LR-6657 US v. James E. Midkiff, et al. Twenty-three count indict- ment charges antifraud vio- lations in offer and sale of Gulf Investing Corporation stock. Rules 34-11158 Rule 15c3-5 (File No. S7-545) Financial Responsibility Requirements for Broker- Dealers With Respect To Transactions In Gold. 34-11159 Rule 15c3-1 (File No. S7-533) Comment period extended to January 31, 1975. SECURITIES INVESTOR PROTECTION ACT SECURITIES INVESTOR PROTECTION ACT OF 1970 Release No. 21/January 2, 1975 See Securities Exchange Act Release No. 11162/January 2, 1975. SEC DOCKET/1

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