TABLE 3.-Brokers and Dealers Registered Under the Securities Exchange Act of 1934 1-Effective Registrations as of June 30, 1971, Classified by Type of Organization and by Location of Principal Office

1 Does not include 39 registrants whose principal offices are located in foreign countries or other territorial jurisdictions not listed.

2 Includes directors, officers, trustees, and all other persons occupying similar status or performing similar functions.

3 Allocations made on the basis of location of principal offices of registrants, not actual location of persons. Information taken from latest reports filed prior to June

Includes all forms of organizations other than sole proprietorships and partnerships.

TABLE 4.-Number of Security Issues and Issuers on Exchanges PART 1.-UNDUPLICATED COUNT AS OF JUNE 30, 1971 OF THE NUMBER OF STOCK AND BOND ISSUES ADMITTED TO TRADING ON EXCHANGES, AND THE NUMBER OF ISSUERS INVOLVED

1 Registered: A security may be registered on a national securities exchange by the issuer filing an application with the exchange and with the Commission containing certain types of specified information.

Temporarily exempted: These are securities such as short term warrants, or securities resulting from mergers, consolidations, etc., which the Commission has by published rules exempted from registration under specified conditions and for stated periods.

Admitted to unlisted trading privileges: This refers to securities which have been admitted to trading on the initiative of exchanges without listing. Since July 1964, the effective date of the 1964 amendments to Section 12(f) of the Exchange Act, additional securities may be granted unlisted trading privileges on exchanges only if they are listed and registered on another exchange.

Listed on exempted exchanges: Certain exchanges have been exempted from registration under Section 6 of the Act because of the limited volume of transactions. The Commission's exemption orders specify in each case that securities which were listed on the exchange at the date of the order may continue to be listed thereon, and that no additional securities may be listed except upon compliance with Sections 12(b), (c) and (d).

Unlisted on exempt exchanges: The Commission's exemption orders specify that securities which were admitted to unlisted trading privileges at the date of the order may continue such privileges, and that no additional securities may be admitted to unlisted trading privileges except upon compliance with Section 12(f).

PART 2-NUMBER OF STOCK AND BOND ISSUES ON EACH EXCHANGE AS OF JUNE 30, 1971, CLASSIFIED BY TRADING STATUS, AND NUMBER OF ISSUERS INVOLVED

Symbols: R-registered; X-temporarily exempted; U-admitted to unlisted trading privileges; XL-listed on an exempted exchange; XU-admitted to unlisted trading privileges on an exempted exchange.

Note-Issues exempted under Section 3(a)(12) of the Exchange Act, such as obligations of the U. S. Government, the states, and cities, are not included in this table.

1 Total values 1936-47 inclusive are for the New York Stock Exchange and the American Stock Exchange only.

TABLE 6.-Dollar Volume and Share Volume of Sales Effected on Securities Exchanges in the Calendar Year 1970 and the 6-Month Period Ended June 30, 1971

Note: Data on the value and volume of securities sales on the registered exchanges are reported in connection with fees paid under Section 31 of the Securities Exchange Act of 1934. Included are all securities sales, odd-lot as well as round-lot transactions, effected on exchanges except sales of bonds of the U.S. Government which are not subject to the fee. Comparable data are also supplied by the exempted exchanges. Reports of most exchanges for a given month cover transactions cleared during the calendar month. Clearances generally occur on the 5th business day after that on

TABLE 7.-Comparative Share Sales and Dollar Volumes on Exchanges

Year

Share sales NYS AMS MSE PCS PBS BSE DSE CIN Other

Note.-Annual sales, including stocks, warrants and rights, as reported by all U. S. exchanges to the Commission. Figures for merged exchanges are included in those of the exchanges into which they were merged. Details for all years prior to 1955 appear in Table 7 in the Appendix of the 32nd Annual Report.

Symbols.-NYS, New York Stock Exchange; AMS, American Stock Exchange; MSE, Midwest Stock Exchange; PCS, Pacific Coast Stock Exchange; PBS, PhiladelphiaBaltimore-Washington Stock Exchange; BSE, Boston Stock Exchange; DSE, Detroit Stock Exchange; CIN, Cincinnati Stock Exchange.