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TABLE 6.-Dollar volume and share volume of sales effected on securities er

changes in the calendar year 1964 and the 6-month period ended June 30, 1965

(Amounts in thousands)

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Registered exchanges...

80, 672

14,543

275

3

American.
Boston..
Chicago Board of Trade.
Cincinnati.
Detroit..
Midwest.
National.
New York
Pacific Coast..
Phila.-Balt.-Wash.
Pittsburgh.
Salt Lake.
San Francisco.
Spokane....

75, 327,654 2,882, 478 2, 640, 742 72, 147, 177 2,044, 711 297, 999
6, 225, 980 98,743 97, 475 5,921, 233 396, 887 206, 003
310, 690

0

0
310, 107

5, 926

583
0
0
0

0
46,388

74
94 46, 306

830
481, 421

0

0 481, 320 11, 539 101
2, 288, 263

1
1 2, 286, 202

50, 585 2,060
645

0
0
645
633

0
63, 284, 034 2,782, 805 2, 542, 261 60, 424, 0521, 482, 257
1, 800, 172

77, 177
131

128 1, 790, 447 52, 781 9,594 831, 122

724

784 827, 925 18, 619 45, 305

2, 473 0

0 45, 305 1, 053 3, 649

0

0 3,649 8,849 567

567

6, 574 9, 420

0

0

9, 420 8, 178
16, 633

60
53 16, 574

992

0
96
0
0
96

365
15, 163

60
53 15, 104

588
1,054

0
1,054

25
0
0
320

13

1,072

0 60, 116 3, 436 1, 155

0

Exempted exchanges ---
Colorado Springs..
Honolulu
Richmond
Wheeling!

320

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54, 927

74, 338

30
0
5

Registered exchanges...-
American.
Boston...
Chicago Board of Trade..
Cincinnati.
Detroit...
Midwest.
National,
New York.
Pacific Coast.
Phila.-Balt.-Wash.
Pittsburgh
Salt Lake
San Francisco Mining.
Spokane...

Exempted exchanges.
Colorado Springs.-
Honolulu
Richmond.
Wheeling 1

3, 507, 301
174, 634

0
37, 765
333, 605
1, 407, 132

194 34, 385, 179 1,020, 105 474, 271 23, 017 2,729

630 3,741

1, 442, 457 39, 673, 333 1, 161,589 149, 608
68,500 3, 319, 156 250, 259 113, 807
0 174, 633 3,185

1
0

0
39
37, 732

645

2
0
333, 474
7, 506

130
5

1, 406, 935 32, 295 192
0
194
162

0
1,373, 861 32,880, 567 815, 422 31, 677
27 1, 016, 391 28, 598

3, 686
25
474, 134

10, 216 112
0 23, 017

540

0
2, 729
5, 930

0
630

2,884 0 3,741 3, 946

0

9,512

10 0

3 160 237

0 43, 014 1,796 198

0

1, 472, 935

28
25
0
0
0
0

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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. Clear. ances 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

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681, 970, 500
962, 135, 940
838, 469, 889
543, 331, 878
468, 330, 340
377, 896, 572
311, 150, 395
221, 159, 616
486, 290, 926
465, 523, 183
769, 018, 138
803, 076, 532
513, 274, 867
571, 107, 842
516, 408, 706
893, 320, 458
863, 918, 401
732, 400, 451

716, 732, 406
1,053, 841, 443
1,321, 400, 711
1, 182, 487,085
1, 293, 021, 856
1, 400, 578, 512
1,699, 696, 619
1,441, 047, 564
2, 142, 523, 490
1,711, 945, 297
1,880, 798, 423
2, 126, 373, 821

.75 . 76 .82 .87

90 64 86 79 63 66 68 73 . 55

.05
.05

08
.08
.09

73. 13 73. 02 73. 19 78.08 78. 23 75. 44 73. 96 76.49 74. 58 73. 40 65.87 66.07 69.82 72. 42 73. 51 76. 32 74. 40 71.21 72. 64 71.04 68.85 66. 31 70. 70 71.31 65. 59 68. 48 64.99 71.32 72.94 72.54

1935. 1936. 1937 1938 1939 1940. 1941 1942 1943 1944 1945 1916 1947 1948 1949 1950 1951 1952 1953 1954 1955 1956 1957 1958 1959 1960 1961 1962 1963 1964. Six months

to June 30, 1965..

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. 16 . 15

.08

09 .11

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79

5.51 6.83 4. 43 4. 36 3. 47 2. 61 3.08 4. 05 2.88 4. 74 5. 02 5.27 4. 14 2. 74 3.41 2.21 2. 29 1. 63 1. 38 1. 19

.55 .55 53 39 . 49 . 39 . 35 .31 .34 31

.05 .05 .06

. 47 .40 45 37 . 39 31

. 10 . 11

13 .11 07 06 .05

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04 .05

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1935. 1936. 1937 1938 1939 1940. 1941 1942. 1943. 1944 1945. 1946. 1947. 1948 1949 1950 1951 1952 1953 1954. 1955 1956 1957 1958 1959 1960. 1961 1962 1963 1964 Six months

to June 30, 1905.

.09

$15, 396, 139 86. 64
23, 640, 431 86. 24
21.023. 865 87. 85
12, 345, 419 89. 24
11, 434, 528 87. 20
8, 419, 772 85. 17
6, 248, 055 84. 14
4, 314, 294 85. 16
9,033, 937 84.93
9, 810, 149 84. 14
16, 284, 552 82. 75
18,828, 477 82. 65

1, 596, 806 84. 01
12, 911, 665 84.67
10, 746, 935 83. 85
21,808, 284 85.91
21, 306, 087 85. 48
17, 394, 395 84. 86
16,715, 533 85. 25
28, 140, 117 86. 23
38, 039, 107 86.31
35, 143, 115 84.95
32, 214, 846 85. 51
38, 419, 560 85.42
52, 001, 255 83. 66
45, 306, 603 83. 81
64,071, 623 82. 44
54, 855, 894 86.32
64, 43%, 073 85. 19
72, 461, 750 83. 49

. 91

7.83 8. 69 7. 56 5. 57 6. 56 7.68 7. 45 6. 60 8.90 9. 30 10. 81 10. 73 8. 77 8.07 8. 44 6.85 7. 56 7.39 6.79 6. 79 6.98 7. 77 7.33 7. 45 9. 53 9. 35 10.71 6.81 7.52 8. 46

1.32 1. 39 1.06 1.03 1. 70 2.07 2. 59 2.43 2. 02 2. 11 2.00 2.00 1.82 1.85 1. 95 2. 35 2. 30 2. 67 2.84 2.42 2. 44 2. 75 2. 69 2. 71 2. 67 2. 73 2. 75 2. 76 2. 73 3. 16

1.39 1.33 1. 25 1. 27 1.37 1. 52 1.67 1. 71 1.43 1.70 1. 78 1.87 2. 26 2. 53 2. 49 2. 19 2. 06 2. 20 2. 20 2. 02 1.90 2.08 2.02 2. 11 1. 94 1.95 2.00 2. 00 2. 39 2. 48

. 40
.31

24
.37

34 .36 .33

34 .30

34 . 35 .33 36 34 39 . 39 .36 .43

1. 34 1.05 1. 10 1.51 1. 70 1. 91 2. 27 2. 33 1. 30 1. 29 1. 16 1. 23 1. 51 1. 33 1.43 1. 12 1.06 1.11 1.04 .89 . 78 .80 76 71 66 .60 .50 . 46 .42 . 43

.04 .03 .03 .04 .06 .09

12 . 13 .07 .07 .06

07 .11

10 . 12 11 11

.16
. 15
.14

16
14
.14

13 .11 .11 . 15

.11 . 13

17 . 11 .09 .09 .05 .07

88 1. 11 .92 .89 .99 1. 06 .94 .90

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. 39 . 39

42 . 42 .37 . 33

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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

(Value in thousands of dollars]

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812, 390 22, 694 1,097, 338 31, 054 1,053, 667 32, 454

947, 231 29,878 308, 134 11, 002 314, 270 9, 133 238, 879 5, 466 500, 211 10, 956 150, 308 4, 940 323, 013 10,751 357, 897 9,931 380, 680 10, 486 189, 772 6,670 161, 850 7, 223 131, 755 4, 557 63, 408

1, 845 88, 152 3, 286 33, 500 3,730 63, 663

5, 439
35,000 1, 504
48, 200 588
0

0
0

116 81 94 115 100 73 95 86 77 88 76 68

2, 397, 454 82, 840 4, 270, 580 127, 462 4,097, 298 135, 760 9, 457, 358 191, 961 6, 481, 291 232, 398 3,961, 572 124, 671 7, 302, 420 175, 991 3,737, 249 104, 062 4, 280, 681 88, 743 5, 193, 756 146, 459 4, 223, 258 149, 117 6,906, 017 108, 229 5, 738, 359 218, 490 6,756, 767 344, 871 11, 696, 174 520, 966 9, 324, 599 339,062 9, 508, 505 361,886 17, 330, 941 822, 336 11, 439, 065 424, 688 19, 910, 013 926,514 12, 143, 656 658, 780 18, 937, 935 814, 984 19, 462, 343 909, 821

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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 exchanges ? PART 1-NUMBER OF STOCKS ON THE EXCHANGES IN THE VARIOUS UNLISTED

CATEGORIES AS OF JUNE 30, 1965 >

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PART 2-UNLISTED SHARE VOLUME ON THE EXCHANGES-CALENDAR YEAR 1964

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Total.

24, 504, 369

16, 940

20,013, 811

47, 885, 524

27, 510

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(1) 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(1), 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

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SUMMARY Total cases pending?

136 Total defendants

804 Total defendants as to whom cases are pending ?

646 1 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.

2 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

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