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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

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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 is 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 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(1) 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, 1964

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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 exchanges PART 1-NUMBER OF STOCKS ON THE EXCHANGES IN THE VARIOUS UNLISTED

CATEGORIES AS OF JUNE 30, 194?

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PART 2.-UNLISTED SHARE VOLUME ON THE EXCHANGES-CALENDAR YEAR 1963

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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, 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 involved.

TABLE 9.-Dollar volume and share volume of sales effected on securities ex

changes in the calendar year 1969 and the 6-month period ended June 30, 1964

PART 1.-12 MONTHS ENDED DECEMBER 31, 1963

(Amounts in thousands)

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40, 949

72, 925

0

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87

0 (*)

0 1,667, 283

68 95

1, 653, 777 64,313, 920 1, 838, 359 103, 107
67, 457 4, 755, 286 336, 261 89, 626
0
270, 477
5, 505

27
0
0

0

0 112 40, 768

834

1 0 334, 883 8, 775

10 (*) 1,755, 659

43, 773

46
408
389

0
1,586, 041 54, 886, 501 1, 350, 885 10, 595
67 1,539, 647 51, 293

2, 796 100 685, 774

15, 701

6 0 33, 368

796 0

13, 802
0

256 4,855
6, 127
5, 490

0

56, 564, 379
1, 542, 511
685, 875
33, 368
4, 766

256
6, 127

38 35

0 20, 923 1, 844

16 0

4,766

0

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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. Govern. ment 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]

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Year

CIN Other % %

0.03

.04

.03 04 .05 .08 . 14 .12

.07

1935 1936. 1937 1938. 1939 1940. 1941 1942. 1943. 1944. 1945. 1946 1947 1948. 1949. 1950. 1951, 1952 1953 1954. 1955. 1956. 1957 1958. 1959 1960. 1961 1962. 1963. Six months

to June 30, 1964.

.06
05
05
08
08
09
09
08
09
11

6.91 2. 90 4. 51 3. 57 2. 60 2.05 3. 79 2. 77 2.06 2. 48 5.51 6.83 4. 43 4.36 3. 47 2,61 3. 08 4. 05 2. 88 4. 74 5. 02 5. 27 4.14 2. 74 3.41 2. 21 2. 29 1. 63 1. 38

.07

.05 05 .06 .05

. 05 .04 .05

04

05

1. 10

68

.62

.60 . 72 .82 .92 1. 10 .96

40 31 .24 37 34 36 33 34 .30 34 35

.80

1, 125, 940, 568 73.92 18.07
Dollar volume
(000 omitted)

$15, 396, 139 86.64 7.83
23, 640, 431 86. 24 8. 69
21, 023, 865 87.85 7.56
12, 345, 419 89, 24

5. 57
11, 434, 528 87. 20 6. 56
8, 419, 772 85, 17 7.68
6, 248, 055 84. 14 7. 45
4, 314, 294 85. 16 6. 60
9,033, 907 84. 93 8. 90
9, 810, 149 84. 14 9. 30
16, 284, 552 82. 75 10.81
18,828, 477 82. 65

10. 73 11, 596, 806 84.0 8. 77 12,911, 665 84. 67

8.07 10, 746, 935 83. 85 8. 44 21, 808, 284 85. 91 6.85 21, 306, 087 85. 48 7. 56 17, 394, 395 84. 86 7. 39 16, 715, 533 85.25 6. 79 28, 140, 117 86.23 6. 79 38, 039, 107 86. 31 6. 98 35, 143, 115 84. 95 7. 77 32, 214, 846 85.51 7.33 38, 419, 560 85. 42

7.45 52,001, 255 83. 66 9. 53 45, 306, 603 83. 81 9. 35 64,071, 623 82. 44 10. 71 54, 855, 894 86.32 6.81 64, 438, 073 85. 19 7.52

1935. 1936. 1937 1938 1939 1940 1941. 1942. 1943. 1944. 1945. 1946. 1947 1948. 1949. 1950. 1951 1952. 1953. 1954. 1955 1956 1957 1958 1959 1960. 1961 1962 1963. Six months

to June 30, 1964.

1. 32
1.39
1. 06
1.03
1.70
2.07
2. 59
2. 43
2.02
2. 11
2.00
2. 00
1.82
1.85
1.95
2.35
2. 30
2. 67
2. 84
2. 42
2. 44
2. 75
2. 69
2. 71
2. 67
2. 73
2. 75
2. 76
2. 73

1. 39 1.33 1. 25 1.27 1. 37 1. 52 1.67 1. 71 1. 43 1. 70 1. 78 1.87 2. 26 2. 53 2. 49 2. 19 2. 06 2. 20 2. 20 2.02 1. 90 2.08 2.02 2.11 1. 94 1.95 2.00 2.00 2. 39

36 34

. 20 . 20 . 20 . 18

18 . 19

21 . 23 16 15 . 14

16 . 14 . 14 13 11 11 15 16

1. 34
1. 05
1. 10
1. 51
1.70
1.91
2.27
2. 33
1. 30
1. 29
1.16
1. 23
1. 51
1.33
1. 43
1. 12
1. 06
1.11
1.04
.89
. 78
80
76
71
66
60
50
.46
42

.04
.03
03
04
06
09
12
13
07
.07
.06
07
11
10
. 12
11
11
12
13

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.79 .82

79 .91

88 1. 11 .92 89

99 1.06 .94 .90

96 1. 00 1.01 1. 01 1.04 1.04 1. 05 1. 07

. 16 .14 .11 .07 .07 09

12 .11 .09 .11 . 13 17 11 .09 09 .05 .07 .08 .07 .08

10

.08

36
43
46
39
. 39
42
42
37
33
34
37
42
52

. 13 12 12 09 08 06 06 .06 05

09 08 08 08 .07 .08 07 .07 06

.07 .07 05 .05

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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

[Value in thousands of dollars)

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1942 1 1943. 1944. 1945. 1946. 1947 1948. 1949. 1950. 1951. 1952 1953 1954. 1955. 1956. 1957 1958. 1959. 1960 1961. 1962. 1963.

812, 390 22,694 1,097, 33831, 054 1,053, 667 32, 454

947, 231 29,878 308, 134

11, 002 314, 270 9, 133 238, 879 5, 466 500, 211 10, 956 150, 308 4, 940 323, 013 10,751 357, 897 9,931 380, 68010, 486 189, 772 6,670 161, 850 7, 223 131, 755 4, 557 63, 408 1, 845 88, 152 3, 286 33, 500 3, 730 63, 663 5, 439 35,000 1, 504 48, 200 588

0

116 2, 397, 454 82, 840 81 4, 270, 580 127, 462

4,097, 298 135, 760 115 9, 457, 358 191, 961 100 6, 481, 291 232, 398 73 3,961, 572 124, 671 95 7, 302, 420

175, 991 86 3,737, 249 104, 062 77 4, 280, 681 88, 743 88 5, 193, 756 146, 459 76 4, 223, 258 149, 117 68 6,906, 017 108, 229 84 5,738, 359 218, 490 116 6, 756, 767 344, 871 146 11, 696, 174 520, 966

9, 324, 599 339,062 122 9, 508, 505 | 361, 886 148 17,330, 941 822, 336

92 11, 439, 065 424, 688 130 19, 910, 013 926,514

59 12, 143, 656 658, 780 100 18,937, 935 814, 984

14 9 8

99

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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

Debtor

District Court Petition filed

Petition approved

Securities

and Exchange Commission

notice of appearance

filed

Admiral Oils, Inc.

W.D, Okla. Alaska Telephone Corp.

W.D. Wash... American Bonded Mortgage Co., Inc. 1. S.D. Fla. American Fuel & Power Co. (4 subsidiaries) :

E.D. Ky. Arizona Lutheran Hospital

D. Ariz. Aspic Investments Corp...

S.D. Fla. Atlas Sewing Centers, Inc. (49 Subsidiaries).

do... Automatic Washer Co.'.

S.D. Iowa. Bevis Shell Homes, Inc. (2 subsidiaries). M.D. Fla. Brookdale Lodge, Inc.

N.D. Calif. Brookwood Country Club.

N.D. IN Bzura Chemical Co., Inc. (1 subsidiary) : D. N.J. Cal-West Aviation, Inc.

N.D. Calif. Central States Electric Corp.:

E.D. Va. Certified Credit Corp. (4 subsidiaries). S.D. Ohio Charlotte Motor Speedway, Inc.:.

W.D.N.C. Clute Corp., The

D. Colo. Coast Investors, Inc.

W. Wash. Coastal Finance Corp. .

D. Md. Coffeyville Loan & Investment Co., Inc... D. Kans Continental Vending Machine Co. 1

S.D, NY Cosmo Capital Inc.

N.D. ni. DePaul Educational Aid Society ?

.do. Dilbert's Leasing & Development Corp. E.D.N.Y Dilbert's Quality Super-Markets, Inc.

.do. Dixie Fertilizer Co., Inc...

8.D. Miss. Doctors' Hospital, Inc.'.

S.D. Iowa. Dumont-Airplane & Marine Instruments, S.D.N.Y..

Inc. (1 subsidiary)'. El-Tronics, Inc...

E.D. Pa. See footnotes at end of table

June 27, 1962 June 27, 1962 July 30, 1962 Nov. 2, 1955 Nov. 21, 1955 Nov. 7, 1955 Feb. 12, 1962 July 22, 1963 Aug. 20, 1963 Dec. 6, 1935 Dec. 20, 1935 May 1, 1940 May 11, 1964 May 18, 1964 May 25, 1964 June 29, 1962 July 24, 1962 Aug. 29, 1962 June 22, 1962 June 22, 1962 July 26, 1962 Oct. 17, 1956 Nov. 2, 1956 Nov. 2, 1956 June 27, 1962 June 28, 1962 July 20, 1962 Sept. 18, 1962 Sept. 24, 1962 Oct.

5, 1962 Feb. 17, 1959 Mar. 3, 1959 Mar. 19, 1959 Feb.

6, 1963 Feb. 6, 1963 Feb. 11, 1963 Oct. 26, 1961 Oct. 26, 1961 Oct. 26, 1961 Feb. 26, 1942 Feb. 27, 1942 Mar. 11, 1942 A pr. 2, 1963 Apr. 2, 1963 A pr. 10, 1963 Nov. 3, 1961 Nov. 3, 1961 Nov. 3, 1961 Nov. 5, 1962 Nov. 7, 1962 Jan 28, 1963 June 9, 1964 June 9, 1964 June 10, 1964 Feb. 15, 1956 Feb. 18, 1956 Apr. 16, 1956 July 17, 1959 July 17, 1959 Aug. 10, 1959 July 10, 1963 July 12, 1963 Aug. 7, 1963 Apr. 22, 1963 Apr. 22, 1963 Apr. 26, 1963 Jan.

5, 1959 Jan. 13, 1959 Feb. 4, 1959 Mar. 14, 1963 Mar. 14, 1963 Mar. 15, 1963 do. do.

Do. July 21, 1961 July 22, 1961 Aug. 18, 1961 Dec. 14, 1962 Feb. 15, 1963 Jan, 25, 1963 Oct. 27, 1958 Oct. 27, 1958 Nov. 10, 1958 Nov. 25, 1958 Nov. 25, 1958 Jan. 16, 1959

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