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Table 1. A 31-year record of registrations effective under the Securities Act
of 1933—Fiscal years 1935–1965.---
ended June 30, 1965.--
Part 4. Use of proceeds and industry of registrant.-
of 1934-effective registrations as of June 30, 1965, classified by
type of organization and by location of principal office.--Table 4. 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, 1965.Part 2. Number of stock and bond issues on each exchange and num
ber of issuers involved, as of June 30, 1965.. Table 5. Value of stocks on exchanges.-Table 6. Dollar volume and share volume of sales effected on securities
exchanges in the calendar year 1964 and the 6-month period
ended June 30, 1965.--
Part 2. 6 months ended June 30, 1965.-
categories as of June 30, 1965.--
which were pending at June 30, 1965.--
under the Securities Act of 1933, the Securities Exchange Act
visers Act of 1940..
for review of Commission orders, cases in which the Commis-
pated on appeal.
sion—1934 through 1965 by fiscal year--Table 14. A 32-year summary classifying all defendants in criminal cases
developed by the Commission-1934 to June 30, 1965.-Table 15. A 32-year summary of all injunction cases instituted by the
Commission-1934 to June 30, 1965, by calendar year..
168 168 168 169 170 171
COMMISSIONERS AND STAFF OFFICERS
Term expires June 5
1968 1967 1970 1969 1966
Secretary: ORVAL L. DUBois
Executive Assistant to the Chairman: LEONARD M. LEIMAN
ROBERT H. BAGLEY, Associate Director.
J. ARNOLD PINES, Associate Director.
HAROLD V. LESE, Associate Director.
DAVID FERBER, Solicitor.
WALTER P. NORTH, Associate General Counsel.
W. VICTOR RODIN, Associate Director.
REGIONAL AND BRANCH OFFICES
Region 1. New York, New Jersey.-Llewellyn P. Young, 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, Virgin Islands, Puerto Rico, North Carolina, South
Carolina, Georgia, Alabama, Mississippi, Florida, 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, U.S. Court
house & Federal Bldg., 219 South Dearborn Street, Chicago, Ill., 60604 Region 5. Oklahoma, Arkansas, Texas, 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, Guam.--Arthur E. Penne
kamp, Federal Bldg., Box 36042, 450 Golden Gate Ave., San Francisco,
Calif., 94102 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, Dis
trict of Columbia.-Alexander J. Brown, Jr., Room 300, Courts Bldg., 310 Sixth Street NW., Washington, D.C., 20549
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
Blvd. Miami, Fla., 33230.—Room 1504, 51 S.W., First Ave. St. Louis, Mo., 63102.-Room 916, Federal Building, 208 North Broadway. St. Paul, Minn., 55101.—Room 1027, Main Post Office and Customhouse, 180
East Kellogg Blvd. Salt Lake City, Utah, 84111.—Room 8440, Federal Building, 125 South
Manuel F. Cohen, Chairman Chairman Cohen was born in Brooklyn, N.Y., on October 9, 1912. He holds a B.S. degree in social science from Brooklyn College of the College of the City of New York. He received on LL.B. degree, cum laude, from Brooklyn Law School of St. Lawrence University in 1936, and was elected to the Philonomic Council. He is a member of the District of Columbia and New York bars. In 1933-1934 he served as research associate in the Twentieth Century Fund studies of the securities markets. Chairman Cohen joined the Commission's staff as an attorney in 1942 after several years in private practice, serving first in the Investment Company Division and later in the Division of Corporation Finance, of which he was made Chief Counsel in 1953. He was named Adviser to the Commission in 1959 and in 1960 became Director of the Division of Corporation Finance. He was awarded a Rockefeller Public Service Award by the trustees of Princeton University in 1956 and for a period of 1 year studied the capital markets and the processes of capital formation and of government and other controls in the principal financial centers of Western Europe. In 1961, he was appointed a member of the Council of the Administrative Conference of the United States and received a Career Service Award of the National Civil Service League. From 1958 to 1962 he was lecturer in Securities Law and Regulation at the Law School of George Washington University and he is the author of a number of articles on securities regulation published in domestic and foreign professional journals. In 1962, he received an honorary LL.D. degree from Brooklyn Law School. He took office as a member of the Commission on October 11, 1961, for the term expiring June 5, 1963, and was reappointed for the term expiring June 5, 1968. He was designated Chairman of the Commission on August 20, 1964.
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 of the Securities Act of 1933, was assigned to the Securities Division