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] 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 (esti 15, 227 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. 4 Covers only issues proposed for sale immediately following effective registration. 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filed" as this table includes 3 statements which became effective during the fiscal year 1965, but which were later withdrawn.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. Includes trade, construction, transportation other than railroad, and service industries. 9 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 elsewhere 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. Includes voting trust certificates and certificates of deposit registered for issuance in exchange for original securities deposited. TABLE 3.-Brokers and dealers registered under the Securities Exchange Act of 19341—effective registrations as of June 30, 1965, classified by type of organization and by location of principal office 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 if 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 specified conditions and for stated periods. Admitted to unlisted trading privileges: Section 12(f), as amended, provides, in effect, that securities which were admitted to unlisted trading privileges (i.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(f). 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; XLlisted 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. |