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8 SEC Docket 1 (1975-1976)

handle is hein.journals/secdoc8 and id is 1 raw text is: VOLUME . 1 OCTOBER 21, 1975 0 OL UM dOF e A EEKLY COMPILATION OF RELEASES FROM THE SECURITIES AND EXCHANGE COMMIqSSION RELEASES IN THIS ISSUE Securities Act 5623-5624 Securities Exchange Act 11706-11719 Public Utility Holding Company Act 19198-19202 Investment Company Act 8969-8978 Invtment Advisers Act 480 Litigation 7109-7113 Trust Indenture Act 411-412 This issue covers releases issued from 10/3/75 - 10/8/75. SIGNIFICANT ITEMS This listing does not affect the legal status of any document published in this issue. Announcements 34-11708 Commission requests interested persons to submit views, data and arguments on issues to be considered in connection with the Street Name Study (Comment Period f xpires October 31, 1975). Litigation LR-7109 SEC v. Saxon Securities Corp., et al. Robert W. Herko, president of Saxon and Bernard B. Herman, Secretary-Treasurer sentenced following convic- tion of Criminal Contempt of Court. LR-7112 State of Texas v. Robert L. Arata Robert L. Arata sentenced to five years imprisonment for his role in the sale of unregistered securities, sale of securities without being a registered dealer, and fraud in the offer and sale of secur- ities. Rules 34-11709 Notice of Proposed Amendment to Rules 14a-6 and 14c-5 under the Securities Exchange Act of 1934 (Comment Period Expires November 10, 1975). 34-11710 Notice of Filing of Proposed Rule Change by PBW Stock Exchange, Inc. and Order Approving Proposed Rule Change (SR-PBWSE-75-4) 34-11711 Notice of Filing of Proposed Rule Changes by the National Association of Securities Deal- ers, Inc. (NASD) (File No. NASD-1975-1) 34-11714 Notice of Filing of Proposed Rule Change Pursuant to Sec- tion 19(b)(1) of the Securities Exchange Act of 1934; Order Declaring Rule Change Effec- tive (SR-Amex-75-2) 34-11715 Notice of Filing of Proposed Rule Changes by Pacific Stock Exchange, Incorporated (SR-PSE-75-3) 34-11717 Notice of Filing of Proposed Rule Changes by The Boston Stock Exchange (SR-BSE-75-1) 34-11718 Notice of Filing of Proposed Rule Change Pursuant to Sec- tion 19(b)(1) of the Securities Exchange Act of 1934; Order Declaring Rule Change Effec- tive (SR-PBWSE-75-3) SECURITIES ACT SECURITIES ACT OF 1933 Release No. 5623/Q. lt* 1975 SEC DOCKET/1

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