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Table 4-Continued

Part 5. Railroad...
Part 6. Other transportation..
Part 7. Communication ----
Part 8. Financial and real estate.

Part 9. Commercial and other...
Table 5. A summary of corporate securities publicly offered and privately

placed in each year from 1934 through June 1963..
Table 6. Brokers and dealers registered under the Securities Exchange Act

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.---
Part 2. Number of stock and bond issues on each exchange and

number of issuers in volved, as of June 30, 1963...
Table 8. Unlisted stocks on stock exchanges---
Part 1. Number of stocks on the exchanges in the various unlisted

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 1. 12 months ended December 31, 1962.

Part 2, 6 months ended June 30, 1963.-
Table 10. Comparative share sales and dollar volumes on exchanges -
Table 11. Block distributions reported by exchanges..
Table 12. Reorganization proceedings under Chapter X of the Bank-

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----
Table 14. Summary of cases instituted in the courts by the Commission

under the Securities Act of 1933, the Securities Exchange Act of
1934, the Public Utility Holding Company Act of 1935, the
Investment Company Act of 1940, and the Investment

Advisers Act of 1940..--
Table 15. Summary of cases instituted against the Commission, cases in

which the Commission participated as intervenor or amicus
curiae, and reorganization cases on appeal under Chapter X

in which the Commission participated...-
Table 16. Indictments returned for violation of the Acts administered by

the Commission, the Mail Fraud statute (Section 1341, for-
merly Sec. 338, Title 18, U.S.C.) and other related Federal
statutes (where the Commission took part in the in vestigation
and development of the case) which were pending during the

1963 fiscal year..
Table 17. Injunctive proceedings brought by the Commission which were

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...

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(As of January 1, 1964)

WILLIAM L. CARY of New York, Chairman..
BYRON D. WOODSIDE of Virginia---
MANUEL F. COHEN of Maryland..
JACK M. WHITNEY II of Illinois.--

Term expires
June 5

1966 1967 1968 1964

Secretary: ORVAL L. DuBois
Staff Officers
EDMUND H. WORTHY, Director, Division of Corporation Finance.

ROBERT BAGLEY, Associate Director.
ALLAN F. CONWILL, Director, Division of Corporate Regulation.

SOLOMON FREEDMAN, Associate Director.

GORDON HENDERSON, Associate Director.
WALTER WERNER, Director, Office of Program Planning.
RALPH S. Saul, Director, Division of Trading and Markets.

IRVING M. POLLACK, Associate Director.
PHILIP A. LOOMIS, JR., General Counsel.

DAVID FERBER, Associate General Counsel.

WALTER P. NORTH, Associate General Counsel.
ANDREW BARR, Chief Accountant.
LEONARD HELFENSTEIN, Director, Office of Opinion Writing.

W. VICTOR RODIN, Associate Director.
WILLIAM E. BECKER, Management Analyst.
FRANK J. DONATY, Comptroller.
ERNEST L. DESBECKER, Records and Service Officer.
HARBY POLLACK, Director of Personnel.
ARTHUR FLEISCHER, JR., Executive Assistant to the Chairman.


Regional Administrators

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.
Detroit, Michigan, 48226.—Room 1503, Washington Boulevard Building, 234

State Street
Houston, Texas, 77002.—Room 2226 Federal Office and Courts Building, 515

Rusk Ave.
Los Angeles, Calif., 90028.—Room 309 Guaranty Building, 6331 Hollywood

Miami, Fla., 33132.-Room 1504, 51 SW., First Ave.
St. Louis, Mo., 63103.-Room 4266A Federal Building, 1520 Market Street.
St. Paul, Minn., 55101.—Room 1027, Main Post Office and Customhouse, 180

East Kellogg Blvd.
Salt Lake City, Utah, 84000.-Room 1119, Newhouse Building, 10 Exchange


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

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