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PART XI

APPENDIX-STATISTICAL TABLES

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Table 1. A 31-year record of registrations effective under the Securities Act

of 1933—Fiscal years 1935–1965.---
Table 2. Registrations effective under the Securities Act of 1933, fiscal year

ended June 30, 1965.--
Part 1. Distribution by months..
Part 2. Purpose of registration and type of security.
Part 3. Purpose of registration and industry of registrant...

Part 4. Use of proceeds and industry of registrant.-
Table 3. Brokers and dealers registered under the Securities Exchange Act

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 1. 12 months ended December 31, 1964.

Part 2. 6 months ended June 30, 1965.-
Table 7. Comparative share sales and dollar volumes on exchanges.
Table 8. Block distributions of stocks reported by exchanges...
Table 9. Unlisted stocks on exchanges....
Part 1. Number of stocks on the exchanges in the various unlisted

categories as of June 30, 1965.--
Part 2. Unlisted share volume on the exchanges-calendar year 1964.
Table 10. Summary of criminal cases developed by the Commission

which were pending at June 30, 1965.--
Table 11. 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 Ad-

visers Act of 1940..
Table 12. Summary of actions instituted against the Commission, petitions

for review of Commission orders, cases in which the Commis-
sion participated as intervenor or amicus curiae, and reorgani-
zation cases under Chapter X in which the Commission partici-

pated on appeal.
Table 13. A 32-year summary of criminal cases developed by the Commis-

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..

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COMMISSIONERS AND STAFF OFFICERS

Commissioners
MANUEL F. COHEN of Maryland, Chairman
BYRON D. WOODSIDE of Virginia-----
HUGH F. OWENS of Oklahoma..
HAMER H. BUDGE of Idaho ----
FRANCIS M. WHEAT of California---

Term expires June 5

1968 1967 1970 1969 1966

Secretary: ORVAL L. DUBois

Executive Assistant to the Chairman: LEONARD M. LEIMAN

Staff Officers
EDMUND H. WORTHY, Director, Division of Corporation Finance.

ROBERT H. BAGLEY, Associate Director.
SOLOMON FREEDMAN, Director, Division of Corporate Regulation.

J. ARNOLD PINES, Associate Director.

HAROLD V. LESE, Associate Director.
LOUGHLIN McHugh, Chief Economist, Office of Policy Research.
IBVING M. POLLACK, Director, Division of Trading and Markets.

Associate Director.
PHILIP A. LOOMIS, JR., General Counsel.

DAVID FERBER, Solicitor.

WALTER P. NORTH, Associate General Counsel.
ANDREW BARR, Chief Accountant.
LEONARD HELFENSTEIN, Director, Office of Opinions and Review.

W. VICTOR RODIN, Associate Director.
WILLIAM E. BECKER, Chief Management Analyst.
FRANK J. DONATY, Comptroller.
ERNEST L. DESSECKER, Records and Service Officer,
HARRY POLLACK, Director of Personnel.

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REGIONAL AND BRANCH OFFICES

Regional Administrators

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

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

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

State Street.

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

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