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Part 5. Railroad...
Part 9. Commercial and other...
placed in each year from 1934 through June 1963..
of 1934-effective registrations as of June 30, 1963, classified by
type of organization and by location of principal officeTable 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 in volved,
as of June 30, 1963.---
number of issuers in volved, as of June 30, 1963...
categories as of June 30, 1963... Part 2. Unlisted share volume on the exchanges-calendar year 1962 Table 9. Dollar volume and share volume of sales effected on securities
exchanges in the calendar year 1962 and the 6-month period
ended June 30, 1963.---
Part 2, 6 months ended June 30, 1963.-
ruptcy Act in which the Commission was a party during the
fiscal year 1963.. Table 13. Summary of criminal cases de veloped by the Commission which
were pending at June 30, 1963----
under the Securities Act of 1933, the Securities Exchange Act of
Advisers Act of 1940..--
which the Commission participated as intervenor or amicus
in which the Commission participated...-
the Commission, the Mail Fraud statute (Section 1341, for-
1963 fiscal year..
pending during the fiscal year ended June 30, 1963.. Table 18. Proceedings by the Commission to enforce subpoenas pending
during the fiscal year ended June 30, 1963...
175 175 175 176 177
COMMISSIONERS AND STAFF OFFICERS
(As of January 1, 1964)
1966 1967 1968 1964
Secretary: ORVAL L. DuBois
ROBERT BAGLEY, Associate Director.
SOLOMON FREEDMAN, Associate Director.
GORDON HENDERSON, Associate Director.
IRVING M. POLLACK, Associate Director.
DAVID FERBER, Associate General Counsel.
WALTER P. NORTH, Associate General Counsel.
W. VICTOR RODIN, Associate Director.
REGIONAL AND BRANCH OFFICES
Region 1. New York, New Jersey.-Llewellyn P. Young; John J. Devaney,
Associate Regional Administrator, 225 Broadway, New York, N.Y., 10007 Region 2. Massachusetts, Connecticut, Rhode Island, Vermont, New Hamp
shire, Maine.-Philip E. Kendrick, Federal Building, Post Office Square,
Boston, Mass., 02109 Region 3. Tennessee, North Carolina, South Carolina, Georgia, Alabama,
Mississippi, Florida, and that part of Louisiana lying east of the Atchafalaya River.-William Green, Suite 138, 1371 Peachtree Street, NE.,
Atlanta, Ga., 30309 Region 4. Illinois, Indiana, Iowa, Kansas City (Kansas), Kentucky, Michi
gan, Minnesota, Missouri, Ohio, Wisconsin.-Thomas B. Hart, Bankers
Building, Room 630, 105 West Adams Street, Chicago, Ill., 60603 Region 5. Oklahoma, Arkansas, Texas, and that part of Louisiana lying
west of the Atchafalaya River, and Kansas (except Kansas City).–Oran H. Allred, United States Courthouse, Room 301, Tenth and Lamar Streets,
Fort Worth, Texas, 76102 Region 6. Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South
Dakota, Utah.–Donald J. Stocking, Room 802, Midland Savings Building,
444 17th Street, Denver, Colo., 80202 Region 7. California, Nevada, Arizona, Hawaii.--Arthur E. Pennekamp,
Room 821, Market Street, San Francisco, Calif., 94103 Region 8. Washington, Oregon, Idaho, Montana, Alaska.—James E. Newton.
9th Floor, Hoge Bldg., 705 Second Ave., Seattle, Wash., 98104 Region 9. Pennsylvania, Maryland, Virginia, West Virginia, Delaware,
District of Columbia.-Alexander J. Brown, Jr., Room 302, 310 Sixth
Street NW., Washington, D.C., 20549 Branch Offices
Cleveland, Ohio, 44113.-Room 1628, Standard Building, 1370 Ontario Street.
East Kellogg Blvd.
William L. Cary, Chairman Chairman Cary was born in Columbus, Ohio, on November 27, 1910. He received an A.B. degree in 1931 and an LL.B. degree in 1934 from Yale University and an M.B.A. degree from the Harvard Graduate School of Business Administration in 1938. He is a member of Phi Beta Kappa and Phi Delta Phi. Following admission to the Ohio bar in 1934, he was associated with a Cleveland law firm for 2 years. Upon completion of 2 years of graduate study at the Harvard Graduate School of Business in May 1938, he joined the legal staff of the Securities and Exchange Commission where he served for nearly 2 years in the General Counsel's Office and the Reorganization Division. He served as a Special Assistant to the Attorney General in the Tax Division of the Department of Justice from March 1940 until January 1942, and as Counsel, Office of Coordinator of Inter-American Affairs, in Rio de Janeiro until January 1943. After World War II service with the U.S. Marine Corps Reserve and the Office of Strategic Services in Rumania and Yugoslavia, he became a lecturer in finance and law at the Harvard Graduate School of Business Administration (1946-47). From 1947 to 1955, he served as professor of law at Northwestern University School of Law, except for service as Deputy Department Counsellor for Procurement, Department of the Army, during the Korean War, and at Columbia University School of Law from 1955 to March 1961. He is co-author of several books in the corporate field, and until his appointment served as special counsel to a New York law firm. He took office as a member of the Securities and Exchange Commission on March 27, 1961, for the term expiring June 5, 1961. His appointment also covered the succeeding 5-year term ending June 5, 1966. He was designated Chairman of the Commission.
Byron D. Woodside Commissioner Woodside was born in Oxford, Pa., in 1908, and is a resident of Haymarket, Va. He holds degrees of B.S. in economics from the University of Pennsylvania, A.M. from George Washington University, and LL.B. from Temple University. He is a member of the bar of the District of Columbia. In 1929 he joined the staff of the Federal Trade Commission, and in 1933, following the enactment