APPENDIX VII-A: TABLE 16.-Distribution of value of reported over-the-counter sales of stocks among registered broker-dealers classified by exchange membership (1961) Regular members only; excludes broker-dealers who are also members of the New York Stock Exchange. 2 Regular members only; excludes broker-dealers who are also members of the New York or American Stock Exchanges. Excludes 117 broker-dealers who were unable to estimate their sales in 1961 and 1,661 broker-dealers who 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 broker-dealers acting as principal and also includes some duplication of dealer sales where 1 dealer acted as broker for another dealer. APPENDIX VII-A: TABLE 17.-Reported over-the-counter sales of stocks by registered broker-dealers classified by location (location of main office by NASD districts, 1961) 1 Excludes 117 broker-dealers who were unable to estimate their sales in 1961 and 1,661 broker-dealers who had no sales. The NASD divides Tennessee between district Nos. 5 and 7; in this table, Tennessee is included in district No. 7. The NASD divides New Jersey between district Nos. 11 and 12; in this table, New Jersey is included in district No. 12. 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 18.-Reported over-the-counter purchases and sales of stocks by registered broker-dealers classified by exchange membership (Jan. 18, 1962) 1 Excluding duplications where a broker-dealer had transactions in both over-the-counter and exchange stocks. 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 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 19.-Reported over-the-counter sales of stocks by registered broker-dealers classified by primary activity and exchange membership (1961) 1 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. Excludes 117 broker-dealers who were unable to estimate their sales in 1961 and 1,661 broker-dealers who had no sales. Includes, among others, foreign stock exchange commission houses, put and call brokers, investment advisers and arbitragers. Includes, among others, management consultants, foreign exchange brokers and firms dealing in real estate and mortgages, real estate syndications, oil and gas royalties, savings and loan share accounts and insurance. 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. |