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TABLE 2.—Registrations effective under the securities Act of 1933, fiscal year ended June 30, 1965Continued

PART 3.-PURPOSE OF REGISTRATION AND INDUSTRY OF REGISTRANT

(Amounts in thousands of dollars 1]

Purpose of registration

All registrations

Manufac-
turing

Number of statements.
Number of issues ?
All registrations (estimated value).
For account of issuer.
For cash sale.
For immediate offering-

Corporate

Foreign governments.
For extended sale 3

Investment companies
by Employee saving plan certificates

Securities for employee stock

option plans.

Other 10
For other than cash sale.

Exchange transactions 11
Reserved for conversion.

Other
For account of other than issuer.

For cash sale
Other

1, 266

222
1, 463

275
$19, 436, 768 $4,895, 314

16, 645, 942 2,502, 234
14, 655, 896 1, 450, 816
5, 650, 151 1, 450, 816
5, 346, 799 1, 450, 816

303, 352
9, 005, 744
6,355, 039

797, 334
1, 583, 635

269, 766
1, 990, 046 1,051, 418

876, 466 374, 437
1,022, 781 627, 768
90, 799

49, 214
2,790, 826 2, 393, 080
1, 836, 539 1, 518, 146

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]

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Corporate issues for immediate cash offering for account of issuers (estimated gross proceeds). Cost of flotation.

Commissions and discounts.

Expenses.
Expected net proceeds.
New money purposes

Plant and equipment.

Working capital.
Retirement of securities
Purchase of securities.
Other.

$5, 346, 799

130, 247
94, 169

36, 077
5, 216, 552
4, 314, 658
3, 265, 556
1,049, 101

142, 607 331, 197 428, 091

$1, 450, 816

41, 322
31,983

9, 339
1, 409, 493
1, 268, 817

874, 285
394, 532
33, 263
13, 207
94, 206

$140, 808

4, 263
2,614

1, 649
136, 544
109, 428
32, 899
76, 529
13, 763
5,870
7,483

$1, 719, 109

22, 160
14, 170

7,990
1,696, 949
1, 565, 364
1, 559, 161

6, 203
82, 841

0 48, 744

$718, 877

5, 387
3, 093

2, 294
713, 490
697, 450
694, 645
2, 805

0
3, 140
12, 899

$921, 801

41,887
31, 442
10, 446
879, 914
386, 443

2, 300
384, 143

3, 488 299, 870 190, 113

$395, 388

15, 227
10, 867

4, 360
380, 161
287, 155
102, 268
184, 888

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,
such as investment company issues and securities reserved for exercise of warrants or
options.

Covers only issues proposed for sale immediately following effective registration.
8 The 1,266 effective registration statements covered in this table differ from the
1,263 "net" effective statements shown in the text table "Number and disposition of
registration statements filed" as this table includes 3 statements which became effective
during the fiscal year 1965, but which were later withdrawn.

& 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
exchanging investment company shares for individuals' portfolio holdings.

10 Includes securities for exercise of warrants, options and other contingent offerings
mostly involving parts of issues being registered, the other parts being included else-
where in the table. Also includes issues offered over an extended period to employees
under plans other than savings and stock option plans, and certificates of participation
in retirement plans of the self-employed.

11 Includes voting trust certificates and certificates of deposit registered for issuance in exchange for original securities deposited.2015

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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

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32

2

115

5 0

9
4
6

6
145
27

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
Alaska.
Arizona.
Arkansas.
California.
Colorado
Connecticut.
Delaware
District of Columbia.
Florida.
Georgia.
Hawaii.
Idaho.
Illinois.
Indiana.
Iowa.
Kansas
Kentucky.
Louisiana.
Maine..
Maryland
Massachusetts.
Michigan.
Minnesota.
Mississippi
Missouri
Montana
Nebraska.
Nevada.
New Hampshire.
New Jersey.
New Mexico.
New York State (excluding New

York City)
North Carolina..
North Dakota.
Ohio.
Oklahoma.
Oregon.
Pennsylvania.
Rhode Island.
South Carolina.
South Dakota.
Tennessee.
Texas..
Utab.
Vermont.
Virginia.
Washington.
West Virginia.
Wisconsin
Wyoming..

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
109
1,809

288
170

89
332
335
248
152

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
28
61
22
63
20
34
8

0
244
10
14
12
27
55

9 78 159 97 39 15 163

2 0

0008-రాడించాన - 80 NO-10-205.833 సంవoone

30
10
11

6
25
20

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
4
5

329
41

9
119
38
30
215
22
19

6 47 164 34

6

161
10

2
22
16

6 53 5 4 1 8 59 8 2 12 38 5 6 6

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6

13
3

77
6

53 87 11 47 9

39
3

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9,542 3,594

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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

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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 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

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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.

TABLE 5.—Value of stocks on exchanges (in billions of dollars)

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1 Total values 1936-47 inclusive are for the New York Stock Exchange and the American Stock Exchange only.

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