Imágenes de páginas
PDF
EPUB

TABLE 4.- Proposed uses of net proceeds from the sale of new corporate securities

offered for cash in the United States-Continued

PART 9.-COMMERCIAL AND OTHER

[Amounts in thousands of dollars 1]

Calendar year or

month a

Proceeds
New money

Retire Other

ment of purposes Total gross Total net Total new Plant and Working securities proceeds 8 proceeds 3 money equipment capital

[merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][ocr errors][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small]

Slight discrepancies between the sum of figures in the tables and the totals shown are due to rounding. · For earlier data see 25th annual report. 3 Total estimated gross proceeds represent the amount paid for the securities by investors, while total estimated net proceeds represent the amount received by the issuer after payment of compensation to distributors and other costs of flotation.

TABLE 5. -A summary of corporate securities publicly offered and privately placed in each year from 1934 through June 1962

(Amounts in millions of dollars)

[merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][ocr errors][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small]

TABLE 6.-Brokers and dealers registered under the Securities Exchange Act of

1934 _effective registrations as of June 30, 1962, classified by type of organization and by location of principal office

[blocks in formation]

37

12

12
4

[blocks in formation]
[blocks in formation]
[blocks in formation]

6

5 181 27 15

7 30 43 12 9 9 40 28 13

324 387 178 141

33 644 145 98 122

5 24 12 23 91 10 8

5 24 12 23 91 10 8

29
12

3
299

8 14 15 22 41

7 98 246 100 31 16 133

100

975

226
61
80
21
90
17
33

నిలుసం..In-A లు--2012లసిరంగా A%-0వరా సరిలు..

34
65

8
48

7 23

105వేలుతో రిసరాలు 2018 Nagan. జంతటికిలలసటNoons

25

Alabama..
Alaska.
Arizona.
Arkansas.
California.
Colorado.
Connecticut.
Delaware...
District of Columbia.
Florida..
Georgia
Hawaii.
Idaho.
Illinois.
Indiana.
Iowa..
Kansas.
Kentucky.
Louisiana
Maine.
Maryland.
Massachusetts.
Michigan...
Minnesota
Mississippi.
Missouri.
Montana.
Nebraska..
Nevada.
New Hampshire.
New Jersey.
New Mexico.
New York State (excluding New

York City).
North Carolina...
North Dakota..
Ohio.
Oklahoma.
Oregon.
Pennsylvania.
Rhode Island.
South Carolina.
South Dakota..
Tennessee
Texas...
Utah..
Vermont.
Virginia
Washington
West Virginia.
Wisconsin
Wyoming

Total (excluding New York

City) New York City..

Total...----

25

8 10

52 61 150 638 210 389

39 381

27 111 20 15 346 16

320
428

62
539

39 121 24 24 552 30

1080లు 85nowards andar...అదేజరిలలనే boo

10

0
2

11 246 10

7 123

90

7 123

4

49

523 40 10 135 44 29 246

274
11

2
26
18

5 67

140
10

2
201

200
25

7
73
22
18
96
12
18

4 33

679 191

26 409 93 87 561 36 72

274
11

2
26
18

5 67 3 6 2 12 90 15

3 18 45 10 6 7

12 404 24

1,093
212

30
636
120

104 1, 032

63 87 17 224 672 135

15 200 277

34 255 24

15

52 210

24 37

5 54 85 16 50 11

12 90 15

3 18 45 10 6 7

185 506 89 12 118 226

19 225 17

41
4

24
0

[blocks in formation]

1 Does not include 104 registrants whose principal offices are located in foreign countries or other territorial Jurisdictions not listed.

: 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 30, 1962. * Includes all forms of organizations other than sole proprietorships and partnerships.

TABLE 7.-Number of issuers and security issues on exchanges PART 1.-UNDUPLICATED NUMBER OF STOCK AND BOND ISSUES ADMITTED TO

TRADING ON EXCHANGES AND THE NUMBER OF ISSUERS INVOLVED, AS OF JUNE 30, 1962

[blocks in formation]

1 Registered: Section 12(b) of the Act provides that 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, Section 12(e) authorizes the Commission to require the submission of information of a comparable character if in its judgment information specified under Section 12(b) is inapplicable to any specified class or classes of issuers. Section 12(d) provides that if the exchange authorities certify to the Commission that the security has been approved by the exchange for listing

and registration, the registration shall become effective 30 days after the receipt of such certification by the Commission or within such shorter period of time as the Commission may determine.

Temporarily exempted: These are stocks of certain banks and other 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: Section 12(f) provides, in effect, that securities which were admitted to unlisted trading privileges on Mar. 1, 1934 (i.e., without applications for listing filed by the issuers), may continue such status. Additional securities may be granted unlisted trading privileges on exchanges only if they are listed and registered on another exchange or the issuer is subject to the reporting requirements of the Act under Section 15(d).

Listed on exempted exchanges: Certain exchanges were exempted from full registration under Section 6 of the Act because of the limited volume of transactions. The Commission's exemption order specifies that securities which were listed on the exchange at the date of such order may continue to be listed thereon, and that thereafter no additional securities may be listed except upon compliance with Section 12 (b), (c), and (d). Unlisted on exempt exchanges: The Commission's exemption

order specifies that securities which were admitted to unlisted trading privileges thereon at the date of such order may continue such privileges, and that no additional securities may be admitted to unlisted trading privileges except upon compliance with Section 12(1). PART 2.-NUMBER OF STOCK AND BOND ISSUES ON EACH EXCHANGE AND NUMBER

OF ISSUERS INVOLVED, AS OF JUNE 30, 1962

[merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][ocr errors][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small]

Symbols: R-registered; x-temporarily exempted; U-admitted to unlisted trading privileges; XLlisted on an exempted exchange; XU-admitted to unlisted trading privileges on an exempted exchange.

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

TABLE 8.-Unlisted stocks on stock exchanges 1 Part 1.--NUMBER OF STOCKS ON THE EXCHANGES IN THE VARIOUS UNLISTED

CATEGORIES: AS OF JUNE 30, 1962

[blocks in formation]

PART 2.-UNLISTED SHARE VOLUME ON THE EXCHANGES-CALENDAR YEAR 1961

[blocks in formation]

1 Refer to text under heading “Unlisted Trading Privileges on Exchanges.” Volumes are as reported by the stock exchanges or other reporting agencies and are exclusive of those in short-term rights. ? The categories are according to Clauses 1, 2, and 3 of Section 12(1) of the Securities Exchange Act. : None of these issues has any listed status on any domestic exchange.

• These issues became listed and registered on other exchanges subsequent to their admission to unlisted trading on the exchanges as shown.

5 Duplication of issues among exchanges brings the figures to more than the actual number of issues involved.

« AnteriorContinuar »