TABLE I-4.-Principal activity of New York Stock Exchange members, selected years, 1950-621 Excludes partners and stockholders of member firms who act as floor brokers for their own firms exclusively. TABLE I-5.-Distribution of NASD members' offices by geographic area, yearends, Area ALL OFFICES United States, total.. Middle Atlantic. New England. South Atlantic.. East North Central. West North Central. East South Central.. West South Central. Mountain. Pacific 1 MAIN OFFICES United States, total. Middle Atlantic. New England.. South Atlantic. East North Central. West North Central. East South Central.. West South Central. Mountain.. Pacific 1. BRANCH OFFICES TABLE I-6.-Distribution of NASD members' offices, by State, as of Dec. 31, 1962 1 Source: Department of Commerce, Bureau of the Census; 1960 Census of Population; series PC (1). Also includes District of Columbia. TABLE I-7.—All broker-dealers registered with the SEO, classified by exchange membership and NASD status, as of Feb. 28, 1962 1 Refers to regular membership on an exchange unless otherwise noted; primarily includes broker-dealer firms but may include individuals if they are registered separately with the Commission. Excludes 821 broker-dealers consisting of 241 new firms which had not yet started business, 400 other inactive firms, and 180 firms which failed to report including 40 foreign firms and 106 firms whose questionnaires were returned by the post office with address unknown. If not already included as "associate members of American Stock Exchange." TABLE I-8.—Estimated gross income of broker-dealer firms, classified by exchange membership, fiscal year ending on or before Mar. 31, 1962 1 Gross income derived from transactions in securities, including commissions and underwriting and trading profits. Regular members of the American Stock Exchange or regional exchanges who are not members of the New York Stock Exchange. A mutual fund firm is defined as a firm which derived more than half of the gross income, which it received from securities transactions, from the sale of mutual fund shares. NOTE. Data are based on a sample of broker-dealers, primarily NASD members, employing 3 or more registered representatives. See ch. II, app. A, for the method of selection of the sample and the method of estimating the percentages for all firms. TABLE I-9.-Applications and registrations of broker-dealers with the SEC, selected fiscal years, 1940-62 1 Including applications pending at beginning of year. Excluding revocation of registrations which had been suspended in a previous year. TABLE I-10.-All broker-dealers registered with the SEC classified, by primary and secondary activities, as of Feb. 28, 1962 1 Over the counter. Includes, among others, foreign stock exchange commission houses, put and call brokers, investment advisers and arbitrageurs. Includes, among others, management consultants, foreign exchange brokers, and firms dealing in real estate and mortgages, real estate syndications, oil and gas royalties, savings and loan share accounts and insurance. 4 Excludes 821 broker-dealers consisting of 241 new firms which had not yet started business, 400 other inactive firms, and 180 firms which failed to report including 40 foreign firms and 106 firms whose questionnaires were returned by the post office with address unknown. TABLE I-11.-Percent of estimated gross income derived from various sources by broker-dealer firms, classified by type and size, fiscal year ending on or before Mar. 31, 1962 1 Gross income derived from transactions in securities, including commissions and underwriting and trading profits. A mutual fund firm is defined as a firm which derived more than half of the gross income, which it received from securities transactions, from the sale of mutual fund shares. 3 Primarily trading in Government and municipal securities. NOTE.-Firms have been classified as large, medium, or small according to the size of their gross income. Data are based on a sample of broker-dealers, primarily NASD members, employing 3 or more registered representatives. See ch. II, app. A, for the method of selection of the sample and the method of estimating the percentages for all firms. |