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, 1964 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(c) 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 regis tration 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 merger 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(f). PART 2.-NUMBER OF STOCK AND BOND ISSUES ON EACH EXCHANGE AND NUMBER OF ISSUERS INVOLVED, AS OF JUNE 30, 1964 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 exchanges1 PART 1-NUMBER OF STOCKS ON THE EXCHANGES IN THE VARIOUS UNLISTED CATEGORIES AS OF JUNE 30, 1964 PART 2.-UNLISTED SHARE VOLUME ON THE EXCHANGES-CALENDAR YEAR 1963 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(f) of the Securities Exchange Act, as in effect prior to the 1964 Amendments. 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. Duplication of issues among exchanges brings the figures to more than the actual number of issues in volved. TABLE 9.-Dollar volume and share volume of sales effected on securities exchanges in the calendar year 1963 and the 6-month period ended June 30, 1964 PART 1.-12 MONTHS ENDED DECEMBER 31, 1963 NOTE. Data on the value and volume of securities sales on the registered exchanges are reported in connection with fees paid under Section 31 of the Securities Exchange Act of 1934. Included are all securities sales, odd-lot as well as round-lot transactions, effected on exchanges except sales of bonds of the U.S. Government which are not subject to the fee. Comparable data are also supplied by the exempted exchanges. Reports of most exchanges for a given month cover transactions effected during the calendar month, but the reports may be of transactions cleared during the calendar month. Clearances generally occur on the fourth business day after that on which the trade was effected. Figures are rounded and will not necessarily add to the totals as shown. Less than 500. TABLE 10.-Comparative share sales and dollar volumes on exchanges [Annual sales, including stocks, warrants and rights, as reported by all U.S. exchanges to the Commission.. Figures for merged exchanges are included in those of the exchanges into which they were merged] Symbols: NYS, New York Stock Exchange; AMS, American Stock Exchange; MSE, Midwest Stock Exchange; PCS, Pacific Coast Stock Exchange; PBS, Philadelphia-Baltimore-Washington Stock Exchange; BSE, Boston Stock Exchange; DSE, Detroit Stock Exchange; PIT, Pittsburgh Stock Exchange; CIN, Cincinnati Stock Exchange. TABLE 11.-Block distributions of stocks reported by exchanges 1 The first special offering plan was made effective Feb. 14, 1942; the plan of exchange distribution was made effective Aug. 21, 1953; secondary distributions are not made pursuant to any plan but generally exchanges require members to obtain approval of the exchange to participate in a secondary and a report on such distribution is filed with this Commission. TABLE 12.—Reorganization proceedings under Chapter X of the Bankruptcy Act in which the Commission participated during the fiscal year 1964 Bevis Shell Homes, Inc. (2 subsidiaries). Brookdale Lodge, Inc. Brookwood Country Club. Bzura Chemical Co., Inc. (1 subsidiary) 3_ Cal-West Aviation, Inc. Central States Electric Corp. Certified Credit Corp. (4 subsidiaries). Charlotte Motor Speedway, Inc. . Clute Corp., The-. Coast Investors, Inc. 1. Coastal Finance Corp. . Coffeyville Loan & Investment Co., Inc.. Continental Vending Machine Co. 1.. Cosmo Capital Inc.. DePaul Educational Aid Society 2. Dilbert's Leasing & Development Corp. Dilbert's Quality Super-Markets, Inc. Dixie Fertilizer Co., Inc.'. S.D. Ohio. W. Wash. D. Md. S.D. Iowa. D. N.J. N.D. Calif. E.D. Va. Oct. 17, 1956 June 22, 1962 July 26, 1962 Nov. 2, 1956 July 20, 1962 Mar. 19, 1959 Feb. 11, 1963 Mar. 11, 1942 2, 1963 3, 1961 Nov. 7, 1962 June 9, 1964 Apr. 10, 1963 Nov. 3, 1961 Jan 28, 1963 June 10, 1964 D. Kans. Apr. 16, 1956 July 17, 1959 Aug. 10, 1959 July 12, 1963 Aug. 7, 1963 Apr. 22, 1963 Apr. 26, 1963 Feb. 4, 1959 Inc. (1 subsidiary)', El-Tronics, Inc.'. See footnotes at end of table E.D. Pa..... Nov. 25, 1958 Nov. 25, 1958 do. Do. |