Proxy soliciting material..

20(a).

Pursuant to section

(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(a), and obc 10(f).

6(a) (4).

mission.

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. These may not always be complete and accurate and may contain nonpublic stan 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.

[32 FR 9828, July 6, 1967]

§ 200.80b Appendix B—SEC releases.

(a) Companies and persons who are registered with the Commission under the various Acts will continue to receive copies of individual releases pertaining to rule pro posals and rule changes under the Acts for which they are registered.

(b) Other free mailing list distribution of releases has been discontinued by the Commission because of rising costs and staff limitations. However, the texts of all releases under the various Acts, the corporate reorganization releases, and the litigation releases are contained in the SEC Docket, which may be purchased through the Superintendent of Documents as described in $200.80c of this Part. The Statistical series

releases are contained in the Statistical Bulletin, which also can be obtained by purchase through the Superintendent of Documents. [40 FR 1009, Jan. 6, 1975]

200.80c

Appendix C-Statutes, rules and miscellaneous publications available from the Government Printing Office.

(a) The current rules of the Commission are not published by the Commission in pamphlet form. All SEC public rules and regulations, including its Rules, of Practice, are contained in Title 17 of the Code of Federal Regulations, which also is available for purchase from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402. New rules and rules changes, and other Commission releases, except statistical releases, also are published in the FEDERAL REGISTER as they are adopted.

(b) Copies of the following statutes and miscellaneous publications may be purchased from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402. Please address to him directly all inquiries, orders and payments concerning the following publications:

1. Act pamphlets.

Securities Act of 1933, as amended. Securities

amended.

Exchange Act of 1934, as

Public Utility Holding Company Act of 1935, as amended.

Trust Indenture Act of 1939, as amended. Investment Company Act of 1940, as amended.

Investment Advisers Act of 1940, as amended.

2. Reports and Compilations.

SEC Annual Report to the Congress. SEO Decisions and Reports. Accounting Services Releases (compiled, includes Nos. 1 through 112).

Compilation of Releases with Matters Arising Under the Securities Act of 1933. Compilation of Releases Dealing with Matters Arising Under the Securities Exchange Act of 1934 and Investment Advisers Act of 1940. Compilation of Releases, Commission Opinions, and Other Material Dealing with Matters Frequently Arising Under the Investment Company Act of 1940.

Study on Unsafe and Unsound Practices of Broker-Dealers, Hse. Doc. #231, 92nd Cong. Report of the Real Estate Advisory Committee to the SEC.

The Financial Collapse of the Penn Central Company. Staff Report of the SEC to the Special Subcommittee on Investigations, August, 1972.

Report of the SEC Special Study of Securities Markets (1963). Hse. Doc. #95, 88th Cong. Parts 1 through 6.

Institutional Investor Study Report. Hse. Doc. #92-64, Complete Set Summary Volume. Report of the SEC on the Public Policy Implications of Investment Company Growth. Hse. Report #2337, 89th Cong., 2nd Session. 3. Periodicals.

Official Summary. A monthly summary of securities transactions and holdings reported under the provisions of the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, and the Investment Company Act of 1940 by officers, directors, and certain other persons.

Statistical Bulletin. A monthly publication containing data on round-lot and odd-lot share volume in stock exchanges, OTC volume in selected securities, block distributions, securities registrations and offerings, net change in corporate securities outstanding, working capital of U.S. corporations, assets of non-insured pension funds, Rule 144 filings and 8K reports. SEC Docket. A weekly compilation of the full texts of SEC releases under the following Acts: Securities Act, Securities Exchange Act, Public Utility Holding Company Act, Trust Indenture Act, Investment Advisers Act, and Investment Company Act. Also included are the full texts of Accounting series releases, corporate reorganization releases, and litigation releases.

News Digest. A daily summary of orders, decisions, rules and rule proposals issued by the Commission under the various laws it administers, together with a resume of filnancing proposals contained in Securities Act registration statements and of other Commission announcements.

Directory of Companies Filing Annual Reports with the Securities and Exchange Commission under the Securities Exchange Act of 1934. Published annually. Lists companies alphabetically and classified by industry groups according to the Standard Industrial Classification Manual of the Bureau of the Budget.

[40 FR 1010, Jan. 6, 1975]

§ 200.80d Appendix D-other publications available from the Commission. (a) Limited amounts of the following materials are available free of charge upon request to the Commission's Publications Section:

Work of the Securities and Exchange Commission.

Uniform System of Accounts for Public Utility Holding Companies.

Uniform System of Accounts for Mutual Service Companies and Subsidiary Service Companies.

Sample copies of the more commonly used forms under each of the Acts.

(b) Facsimile copies of other SEC publications which are out of stock may be obtained through the Commission's Public Reference Section, at the cost of the copying service to be performed by the commercial copier em

ployed to do the copying. Purchasers of copies will be billed by the copier. An example of the publications which are available in this way is the List of Registered Investment Companies.

[40 FR 1010, Jan. 6, 1975]

§ 200.80e Appendix

E-Schedule of

Fees for Records Services. Searching and Attestation Services.-LOcating and making available records requested for inspection or copying (including overhead costs) [17 CFR 200.80 (e) (2)]: First one-half man-hour-No Fee; Each additional one-half hour or fraction thereof$2.50.

Attestation with Commission Seal (in addition to other fees, if any) [17 CFR 200.80 (e) (6)]: $2.00.

Payment for the above services must be made by check or money order payable to: "Treasury of the United States." Address mailed payments to:

Comptroller, Securities and Exchange Commission, Washington, D.C. 0549. Facsimile Copies of Documents [17 CFR 200.80 (e) (7) (1)].-Copies of public records filed with or retained by the Commission are provided by a commercial copier at rates established by a contract between the copier and the Commission. All requests for facsimile copies should be directed to the Public Reference Section, Securities and Exchange Commission, Washington, D.C. 20549. Cost estimates with respect to any copying Job will be supplied upon request by the Public Reference Section.

Coples, when authorized, will be sent directly to the purchaser by the contract copier unless attestation is requested. The purchaser will be billed by the copier for the cost of the copies plus postage or other delivery charges, if any. Payment of all copying charges must be made to the official copier, not to the SEC, in the manner specifiled on the company invoice. The purchaser will be billed separately by the Commission for searching and attestation services, if any, at the rates noted above.

All of the following facsimile copying services provide copies 81⁄2" x 14", in size, regardless of the size of the original. Material to be copied which cannot be copied onto one 81⁄2" x 14" page without reducing character images to less than 6-point type size will be copied on two pages which the purchaser may match and join.

The following types of facsimile copying services are available. The stated time for delivery in each case begins to run only after receipt of the material by the contractor; if files cannot immediately be made available by the Commission, the time of the shipment will be affected.

Regular service.-Photostatic copies of originals or of other hard copies will be

shipped within four working days after material is received by the Contractor-per page $0.15; Minimum charge per order for regular service-$2.00. (Delivery costs are additional.)

Priority service.-Photostatic copies of originals or of other hard copies received by the Contractor by the close of a business day will bea shipped by the close of business of the following day-per page--$0.30; Minimum charge per order for priority service$5.00. (Delivery costs are additional.)

Watching services.—(1) Photostatic copies of Form N-1Q filings may be ordered in advance on a "when-filed" basis. Subscriber to this service may designate companies the filings of which he wishes to receive. Copies shipped by the close of business of the working day following receipt of documents by Contractor-per page $0.40; Minimum charge per order $5.00. (Delivery costs are additional.)

(2) Photostatic copies of a type of filing (e.g., S-1, S-2, S-3, S-16, Proxy, 8K) on a "when-filed" basis. Subscriber to this service may request automatic receipt of a specified type of filing. This service made available only for the complete filing as submitted to the Commisison. Copies shipped by the close of business of the working day following receipt of documents by the Contractor-per page $0.40; Minimum charge per order$5.00. (Delivery costs are additional.)

(3) Any non-standard demands requested by the customer, such as selection criteria not specified above in connection with watch services, may include a special order handling charge to be negotiated between the Contractor and the customer depending on additional order handling requirements. Please address all requests for information to: Disclosure Inc., 1400 Spring Street, Silver Spring, Maryland 20910.

Self-Service Copying Facilities.—In addition to the copying services described above, the contract copier maintains customer operated machines in the public reference rooms of the Commission in Washington, D.C., New York, Los Angeles and Chicago. These machines can be used to make immediate copies of material available for inspection in those offices, at a cost of 12 cents per page (up to 81⁄2" x 15'' in size).

Microform Copies of Documents [17 CFR 200.80 (e) (7) (ii)].—The Contractor also offers certain microform copying services pursuant to the contract. Microfiche copies are offered in a variety of subscription and special order services. Arrangements also may be made to subscribe to reports of companies selected by the requester, or to obtain microfiche of individual documents. The cost of microfiche service varies according to the type of service and the volume.

The Contractor supplying these services will supply information and price lists upon request. Please address all requests for in

formation, and all orders for microform copies to: Disclosure, Inc., 1400 Spring Street, Silver Spring, Maryland 20910.

[40 FR 8803, Mar. 3, 1975]

$ 200.81

Publication of interpretative and no-action letters and other written communications.

(a) Except as provided in paragraphs (b) and (c) of this section, every letter or other written communication requesting the staff of the Commission to provide interpretative legal advice with respect to any statute administered by the Commission or any rule or regulation adopted thereunder, or requesting a statement that, on the basis of the facts stated in such letter or other communication, the staff would not recommend that the Commission take any enforcement action, together with any written response thereto, shall be made available upon request for inspection and copying by any person 30 days after the response has been sent or given to the person requesting it.

(b) Any person submitting such letter or other written communication may also submit therewith a request that it be accorded confidential treatment for a specified period of time, not exceeding 90 days after the expiration of such 30 days, together with a statement setting forth the considerations upon which the request for such treatment is based. If the staff determines that the request is reasonable and appropriate it will be granted and the letter or other communication will not be made available for public inspection or copying until the expiration of the specified period. If it appears to the staff that the request for confidential treatment should be denied, the staff shall so advise the person making the request and such person may withdraw the letter or other communication within 30 days thereafter. In such case, no response will be sent or given and the letter or other communication shall remain in the Commission's files but will not be made public. If such letter or other communication is not so withdrawn, it shall be deemed to be available for public inspection and copying together with any written response thereto.

NOTE: All letters or other written communications requesting interpretative advice or a no action position shall indicate promi

nently, in a separate caption at the beginning of the request, each section of the Act and each rule to which the request relates. If more than one section or rule is involved, a separate copy of the request shall be submitted for each section or rule involved and an additional copy for the use of the staff of the Commission.

(c) This section shall not apply, however, to letters of comment or other communications relating to the accuracy or adequacy of any registration statement, report, proxy, or information statement or other document filed with the Commission, or relating to the extent to which such statement, report, or document complies with any applicable requirement.

[35 F.R. 17779, Nov. 19, 1970]

§ 200.82

Public availability of materials filed pursuant to § 240.14a-3(d) and related materials.

Materials filed with the Commission pursuant to Rule 14a-8(d) under the Securities Exchange Act of 1934 (17 CFR 240.14a-8 (d)), written communications related thereto received from any person, and each related no-action letter or other written communication issued by the staff of the Commission, shall be made available to any person upon request for inspection or copying.

(15 U.S.C. 78n) [37 F.R. 20558, Sept. 30, 1972]

Subpart E-Regulation Regarding Equal Employment Opportunity AUTHORITY: The provisions of this Subpart E issued under secs. 19, 23, 48 Stat. 85, 901, as amended, sec. 20, 49 Stat. 833, sec. 319, 53 Stat. 1173, secs. 38, 211, 54 Stat. 841, 855; 15 U.S.C. 778, 78w, 79t, 77sss, 80a-37, 80b-11.

SOURCE: The provisions of this Subpart E appear at 26 F.R. 11290, Nov. 30, 1961, unless otherwise noted.

§ 200.92

Designation of Employment Policy Officer.

The Employment Policy Officer of the Commission shall be designated by the Chairman. The Employment Policy Officer may designate, when appropriate, Deputy Employment Policy Officers for each of the regional offices of the Commission to assist the Employment Policy Officer. The positions of the Employment Policy Officer and Deputy Employment Policy Officer shall be established outside the office handling the personnel matters of the Commission unless prior approval is received from the Executive Vice Chairman. In the discharge of his functions, the Employment Policy Officer shall be under the immediate supervision of the Chairman. The name of each Employment Policy Officer, his official title, address and telephone number, and any changes made in his designation, shall be furnished to the Executive Vice Chairman.

intervals to assure their continuing conformity to the policy expressed in the order of excluding and prohibiting discrimination.

§ 200.94 Who may file.

Any aggrieved employee of the Commission or qualified applicant for employment in the Commission who.believes he has been discriminated against because of race, creed, color or national origin may file a written, signed complaint within 90 days from the date of the alleged discrimination, unless such time is extended by the Employment Policy Officer or the Executive Chairman for good cause shown. The complaint shall state specifically the action or personnel matter complained of and shall contain a full factual statement to support the allegations made. § 200.95 Where to file.

Vice

58-070-76- -10