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 1 The Wheeling Stock Exchange dissolved and terminated its exemption from registration as a national securities exchange effective April 30, 1965. NOTE. Data on the value and volume of securities sales on the registered exchanges are reported in connection with fees paid under Section 31 of the Securities Exchange Act of 1934. Included are all securities sales, odd-lot as well as round-lot transactions, effected on exchanges except sales of bonds of the U.S. Government which are not subject to the fee. Comparable data are also supplied by the exempted exchanges. Reports of most exchanges for a given month cover transactions cleared during the calendar month. Clearances generally occur on the fourth business day after that on which the trade was effected. Figures are rounded and will not necessarily add to the totals as shown. TABLE 7.-Comparative share sales and dollar volumes on exchanges % % % NYS AMS MSE PCS PBS BSE DSE PIT CIN Other Note.-Annual sales, including stocks, warrants and rights, as reported by all U.S. exchanges to the Commission. Figures for merged exchanges are included in those of the exchanges into which they were merged. Symbols.-NYS, New York Stock Exchange; AMS, American Stock Exchange; MSE, Midwest Stock Exchange; PCS, Pacific Coast Stock Exchange; PBS, Philadelphia-Baltimore-Washington Stock Exchange; BSE, Boston Stock Exchange; DSE, Detroit Stock Exchange; PIT, Pittsburgh Stock Exchange; CIN, Cincinnati Stock Exchange. TABLE 8.-Block distributions of stocks reported by exchanges NOTE. The first special offering plan was made effective Feb. 14, 1942; the plan of exchange distribution was made effective Aug. 21, 1953; secondary distributions are not made pursuant to any plan but generally exchanges require members to obtain approval of the exchange to participate in a secondary distribution and a report on such distribution is filed with this Commission. TABLE 9.-Unlisted stocks on exchanges1 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 1 Refer to text under heading "Unlisted Trading Privileges On Exchanges." Volumes are as reported by the stock exchanges or other reporting agencies and are exclusive of those in short-term rights. The categories used reflect Clauses 1, 2 and 3 of Section 12(f) of the Securities Exchange Act, as in effect prior to the 1964 amendments. Beginning with the next annual report, different classifications, reflecting those in the amended Section 12(f), will be used. 3 None of these issues has any listed status on any domestic exchange. These issues became listed and registered on other exchanges subsequent to their admission to unlisted trading on the exchanges as shown. The Wheeling Stock Exchange dissolved and terminated its exemption from registration as a national securities exchange effective April 30, 1965. Duplication of issues among exchanges brings the figures to more than the actual number of issues involved. TABLE 10.-Summary of criminal cases developed by the Commission which were pending at June 30, 1965 The figures in this column represent defendants who have been convicted and whose appeals are pending These defendants are also included in the figures in column 3. As of the close of the fiscal year, indictments had not yet been returned as to 205 proposed defendants in 53 cases referred to the Department of Justice. These are reflected only in the recapitulation of totals at the bottom of the table. The figure for total cases pending includes 22 cases in a Suspense Category. 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 |