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PART XI

APPENDIX-STATISTICAL TABLES

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...

Page

161

162

162

162

163

164

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___

165

166

166

Part 2. Number of stock and bond issues on each exchange and number of issuers involved, as of June 30, 1965__.

166

Table 5. Value of stocks on exchanges.

167

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--

168

Part 1. 12 months ended December 31, 1964..
Part 2. 6 months ended June 30, 1965----

168

168

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..

169

170

171

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 1964Table 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 Advisers Act of 1940.

Table 12. Summary of actions instituted against the Commission, petitions for review of Commission orders, cases in which the Commission participated as intervenor or amicus curiae, and reorganization cases under Chapter X in which the Commission participated on appeal___

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Table 13. A 32-year summary of criminal cases developed by the Commission-1934 through 1965 by fiscal year...

174

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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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.
IRVING 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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1968

1967

1970

1969

1966

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 Hampshire, 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, Michigan, Minnesota, Missouri, Ohio, Wisconsin.-Thomas B. Hart, U.S. Courthouse & 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. Pennekamp, 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, District 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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