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Volume #5 of the Special Study Report deals with the Letters of Transmittal between the Commission the Congress, and the Securities and Exchange Commission. It also entails the list of recommendations that the Commission submitted to Congress and the Securities and Exchange Commission for ratification and implementation by Congress and the Securities and Exchange Commission to create a better investing platform for investors on the New York Stock Exchange. Unfortunately, none of the recommendations were ever implemented.

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Letter Of Transmittal To The President Of The Senate & The Speaker Of The House Of Representatives Dated April 3, 1963

Letter Of Transmittal To The President Of The Senate & The Speaker Of The House Of Representatives Dated July 17, 1963

 Letter Of Transmittal To The President Of The Senate & The Speaker Of The House Of Representatives Dated August 8, 1963

Letter Of Transmittal To The Chairman And Members Of The Securities And Exchange Commission Dated April 3, 1963

Letter Of Transmittal To The Chairman And Members Of The Securities And Exchange Commission Dated July 16, 1963

Letter Of Transmittal To The Chairman And Members Of The Securities And Exchange Commission Dated August 6, 1963

   Summary's, Conclusions, And Recommendations On--The Qualifications Of Persons In The Securities Industry 

Summary's, Conclusions, And Recommendations On--Broker-Dealers 

Summary's, Conclusions, And Recommendations On--Investment Advisors 

Summary's, Conclusions, And Recommendations On--Protection Of Customers' Funds And Securities 

Summary's, Conclusions, And Recommendations On--Delivery Of Securities

Summary's, Conclusions, And Recommendations On--The Broker Dealer As A Corporate Director

Summary's, Conclusions, And Recommendations On--Primary And Secondary Distributions To The Public--New Issues

Summary's, Conclusions, And Recommendations On Primary And Secondary Distributions To The Public--Unregistered Distributions 

Summary's, Conclusions, And Recommendations On Primary And Secondary Distributions To The Public--The Intrastate Exemption

Summary's, Conclusions, And Recommendations On Primary And Secondary Distributions To The Public--Real Estate Securities

Summary's, Conclusions, And Recommendations On Primary And Secondary Distributions To The Public--Integration With Previous Filings

Summary's, Conclusions, And Recommendations On Exchange Markets--Specialists

Summary's, Conclusions, And Recommendations On Exchange Markets--Odd-Lot Dealers

Summary's, Conclusions, And Recommendations On Exchange Markets--Floor traders

Summary's, Conclusions, And Recommendations On Exchange Markets--Members' Off-Floor Trading

 Summary's, Conclusions, And Recommendations On Exchange Markets--Short Selling 

Summary's, Conclusions, And Recommendations On Exchange Markets--Commission Rates  

Summary's, Conclusions, And Recommendations On Exchange Markets--Automation--Its Needs And Possibilities

Summary's, Conclusions, And Recommendations--Over-The-Counter Markets

Summary's, Conclusions, And Recommendations--On Trading Markets--Interrelationships

Summary's, Conclusions, And Recommendations On--Institutional Participation And Block Transactions

Summary's, Conclusions, And Recommendations On--Over-The-Counter Markets--In Exchange-Listed Securities

Summary's, Conclusions, And Recommendations On Allocation Among Exchanges--The Regional Exchanges As Primary And Secondary Markets

Summary's, Conclusions, And Recommendations On--General Considerations

Summary's, Conclusions, And Recommendations On--Protections For Investors In Listed And Unlisted Securities

Summary's, Conclusions, And Recommendations On--Corporate Publicity And Public Relations

Summary's, Conclusions, And Recommendations On--Security Credit

Summary's, Conclusions, And Recommendations On Open-End Investment Companies (Mutual Funds)--Selling Practices

Summary's, Conclusions, And Recommendations On Open-End Investment Companies (Mutual Funds), Reciprocal Business--The Problems Of Allocating Mutual Fund Portfolio Brokerage

Summary's, Conclusions, And Recommendations On Open-End Investment Companies (Mutual Funds)--Insider Transactions In Portfolio Securities

Summary's, Conclusions, And Recommendations On The Regulatory Pattern--The New York Stock Exchange As A Self-Regulatory Institution

Summary's, Conclusions, And Recommendations On The Regulatory Pattern--The American And Midwest Stock Exchanges As A Self-Regulatory Institution

Summary's, Conclusions, And Recommendations On The Regulatory Pattern--The Pacific Coast Stock Exchange As A Self-Regulatory Institution

Summary's, Conclusions, And Recommendations On The Regulatory Pattern--The Other Exchanges As Self-Regulatory Institutions

Summary's, Conclusions, And Recommendations On The Regulatory Pattern--The Commission, And Other Quasi-Self-Regulatory Organizations

Summary's, Conclusions, And Recommendations On The Regulatory Pattern--The Total Regulatory Burden-The Need For Increased Coordination-The Role Of The States

Summary's, Conclusions, And Recommendations On--The Market Break Of May 1962

Letter To William L. Cary From Oren Harris--Dated April 5, 1963

Letter Of Reply To Oren Harris From Willaim L. Cary--Dated April 19, 1963

Letter To Oren Harris From William L. Cary--Dated July 23, 1963

Letter To The President Of The Senate And Speaker Of The House Of Representatives From William L. Cary--Dated August 8, 1963

As investors read the articles on this page and those on the other pages related to the Special Study Report they will find numerous references in those articles to subsections of The Securities Act Of 1933, The Exchange Act of 1934, The Investment Company Act of 1940, The Investment Advisors Act of 1940 and The Small Business Investment Act of 1958.

These notations are in reference to specific articles incorporated in the five files listed below. For those investors who are wondering what those specific articles and subsections are in the five files, I am enclosing a link to all five files below.

Simply note what the subsection is in the article that you are reading and when you have completed reading it, simply click on the link below and page down to the subsequent article that is referenced in the Special Study Report.

The Securities Act Of 1933

The Exchange Act Of 1934

The Investment Company Act Of 1940

The Investment Advisors Act of 1940

The Small Business Investment Act Of 1958