TABLE 2.—Registrations effective under the securities Act of 1933, fiscal year ended June 30, 1965—Continued PART 3.-PURPOSE OF REGISTRATION AND INDUSTRY OF REGISTRANT (Amounts in thousands of dollars 1] Purpose of registration All registrations Manufac- Number of statements. Corporate Foreign governments. Investment companies Securities for employee stock option plans. Other 10 Exchange transactions 11 Other For cash sale 1, 266 222 275 16, 645, 942 2,502, 234 303, 352 797, 334 269, 766 876, 466 374, 437 49, 214 954, 288 874, 934 See footnotes at end of part 4 of table TABLE 2.--Registrations effective under the Securities Act of 1933, fiscal year ended June 30, 1965—Continued PART 4.-USE OF PROCEEDS AND INDUSTRY OF REGISTRANT [Amounts in thousands of dollars 1] Corporate issues for immediate cash offering for account of issuers (estimated gross proceeds). Cost of flotation. Commissions and discounts. Expenses. Plant and equipment. Working capital. $5, 346, 799 130, 247 36, 077 142, 607 331, 197 428, 091 $1, 450, 816 41, 322 9, 339 874, 285 $140, 808 4, 263 1, 649 $1, 719, 109 22, 160 7,990 6, 203 0 48, 744 $718, 877 5, 387 2, 294 0 $921, 801 41,887 2, 300 3, 488 299, 870 190, 113 $395, 388 15, 227 4, 360 9, 251 9, 110 74, 645 1 Dollar amounts are rounded and will not necessarily add to totals shown. 2 Warrants are excluded from the count of the number of issues although included in dollar amount. 3 Includes issues to be offered for sale continuously over an extended period of time, Covers only issues proposed for sale immediately following effective registration. & Includes face amount certificates. 7 Includes certificates of participation, warrants and voting trust certificates. 8 Includes trade, construction, transportation other than railroad, and service industries. Includes registrations of new investment companies organized for the purpose of 10 Includes securities for exercise of warrants, options and other contingent offerings 11 Includes voting trust certificates and certificates of deposit registered for issuance in exchange for original securities deposited.2015 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 32 2 115 5 0 9 6 79 8 10 22 28 415 83 39 18 63 107 41 37 14 175 54 37 33 19 44 24 51 193 64 55 19 84 14 28 6 9 187 Alabama York City) Total (excluding New York City). New York City. 9 4 6 6 145 27 10 5 12 30 10 11 6 25 20 8 10 6 17 8 14 78 12 6 7 21 7 10 2 5 89 రాంజసం....ండింది - 80 సం.205.83300200 21 0 13 20 191 48 19 9 41 69 23 23 8 103 30 24 19 7 18 14 25 90 38 43 7 50 6 18 4 4 70 1 నిలుట-0సంసారం నిజం..-రాండలం 200005 తలం 76 288 89 39 961 194 159 150 65 146 69 230 831 360 337 59 619 34 111 18 22 472 19 2 12 25 14 6 5 13 586 0 9 78 159 97 39 15 163 2 0 0008-రాడించాన - 80 NO-10-205.833 సంవoone 30 6 8 10 6 17 8 14 78 12 6 7 21 7 10 2 5 101 0 62 99 1, 078 233 99 62 257 285 204 133 33 692 164 137 128 32 74 52 138 594 251 292 37 435 25 101 16 17 313 7 29 30 329 9 6 47 164 34 6 161 2 6 53 5 4 1 8 59 8 2 12 38 5 6 6 6 13 77 53 87 11 47 9 39 9,542 3,594 Total. 1 Does not include 49 registrants whose principal offices are located in foreign countries or other territorial jurisdictions not listed. 2 Includes directors, officers, trustees, and all other persons occupying similar status or performing similar functions. 3 Allocations made on the basis of location of principal offices of registrants, not actual location of persons. Information taken from latest reports filed prior to June 30, 1965. * Includes all forms of organizations other than sole proprietorships and partnerships. 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 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 mergers, consolidations, etc., which the Commission has by published rules exempted from registration under speci. fied conditions and for stated periods. Admitted to unlisted trading privileges: Section 12(1), as amended, provides, in effect, that securities which were admitted to unlisted trading privileges (1.e., without applications for listing filed by the issuers) before July 1, 1964 may continue such status. Additional securities may be granted unlisted trading privileges on exchanges only if they are listed and registered on another exchange. 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, 1965 Symbols: R-registered; X-temporarily exempted; U-admitted to unlisted trading privileges; XIlisted on an exempted exchange; X U-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. |
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