APPENDIX VII-A: TABLE 7.-Reported over-the-counter purchases and sales of exchange stocks classified by principal exchange on which traded (Jan. 18, 1962)

[Dollars in thousands]

1 Excluding stocks traded on either the New York Stock or American Stock Exchanges. NOTE.-Table includes purchases and sales by broker-dealers for their own account and for the account of others. It does not represent total volume of purchases and sales since it does not include transactions by the public where the dealer acted as principal and also includes some duplication of dealer transactions where 1 dealer acted as broker for another dealer.

APPENDIX VII-A: TABLE 8.-Reported over-the-counter purchases and sales of exchange stocks by registered broker-dealers classified by exchange membership (stocks classified by principal exchange on which traded (Jan. 18, 1962)) [Dollars in thousands]

1 Includes only those firms which reported their associate memberships in Form OTC-3. * Excluding stocks traded on either the New York Stock or American Stock Exchanges. Unduplicated total number of broker-dealers.

NOTE.-Table includes purchases and sales by broker-dealers for their own account and for the account of others. It does not represent total volume of purchases and sales since it does not include transactions by the public where the dealer acted as principal and also includes some duplication of dealer transactions where I dealer acted as broker for another dealer.

APPENDIX VII-A: TABLE 9.-Over-the-counter purchases and sales of stocks by individuals and by other public customers (Jan. 18, 1962)

APPENDIX VII-A: TABLE 10.-Public over-the-counter transactions classified by size of transaction and price of stock (transactions in 131 selected stocks on Jan. 18, 1962)1

1 All stocks in the sample of 200 stocks in which there were transactions by the public on Jan. 18, 1962. ? High bid in National Quotation Bureau, Inc., the National Quotation Service, Jan. 18, 1962, or nearest date thereto.

APPENDIX VII-A: TABLE 10a.-Public over-the-counter transactions classified by size of transaction and price of stock (transactions in 55 selected stocks, Jan. 18 to Feb. 9, 1962)1

1 All stocks in the sample of 200 stocks which had 3 or less dealer listings in National Quotation Bureau, Inc., the National Quotation Service on Jan. 18, 1962, and in which there were transactions by the public during the period from Jan. 18 through Feb. 9, 1962.

2 High bid in National Quotation Bureau, Inc., the National Quotation Service, Jan. 18, 1962, or nearest date thereto.

APPENDIX VII-A: TABLE 11.-Public over-the-counter transactions classified by value of transaction and type of public customer (transactions in 131 selected stocks on Jan. 18, 1962)1 [Number of transactions]

1 All stocks in the sample of 200 stocks in which there were transactions by the public on Jan. 18, 1962. APPENDIX VII-A: TABLE 11a.-Public over-the-counter transactions classified by value of transaction and type of public customer (transactions in 55 selected stocks, Jan. 18 to Feb. 9, 1962)1

1 All stocks in the sample of 200 stocks which had 3 or less dealer listings in National Quotation Bureau, Inc., the National Quotation Service on Jan. 18, 1962, and in which there were transactions by the public during the period from Jan. 18 through Feb. 9, 1962.

APPENDIX VII-A: TABLE 12.-Distribution of reported over-the-counter sales of stocks among registered broker-dealers (1961)

NOTE.-Table includes estimated sales by broker-dealers for their own account and for the account of others. It does not represent total volume of sales since it does not include sales by the public to brokerdealers acting as principal and also includes some duplication of dealer sales where I dealer acted as broker for another dealer.

APPENDIX VII-A: TABLE 13.—Concentration of reported over-the-counter sales of stocks by registered broker-dealers (1961)

1 Includes 3,186 broker-dealers who had over-the-counter sales in 1961 and reported the value of such sales. Excludes 117 firms which were unable to estimate their 1961 sales and 1,661 firms which had no sales.

NOTE.-Table includes estimated sales by broker-dealers for their own account and for the account of others. It does not represent total volume of sales since it does not include sales by the public to brokerdealers acting as principal and also includes some duplication of dealer sales where I dealer acted as broker for another dealer.

APPENDIX VII-A: TABLE 14.-Distribution of reported over-the-counter purchases and sales of stocks among registered broker-dealers (Jan. 18, 1962)

NOTE.-Table includes purchases and sales by broker-dealers for their own account and for the account of others. It does not represent total volume of purchases and sales since it does not include transactions by the public where the dealer acted as principal and also includes some duplication of dealer transactions where 1 dealer acted as broker for another dealer.

APPENDIX VII-A: TABLE 15.-Reported over-the-counter sales of stocks by registered broker-dealers classified by exchange membership and NASD status (1961)

1 Excludes 117 broker-dealers who were unable to estimate their sales in 1961 and 1,661 broker-dealers who had no sales.

? Regular members only; excludes broker-dealers who are also members of the New York Stock Exchange. Regular members only; excludes broker-dealers who are also members of the New York or American Stock Exchanges.

NOTE.-Table includes estimated sales by broker-dealers for their own account and for the account of others. It does not represent total volume of sales since it does not include sales by the public to brokerdealers acting as principal and also includes some duplication of dealer sales where I dealer acted as broker for another dealer.