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TABLE 4.–Proposed uses of net proceeds from the sale of new corporate securities

offered for cash in the United StatesContinued

PART 9.-COMMERCIAL AND OTHER

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January. February March April. May. June.

89, 485 42, 298 61, 776 96.836 69, 705 73, 379

84, 628 39, 709 61,312 91,819 61, 779 71, 407

70, 103 33, 702 51, 550 78, 917 56, 411 45, 906

10, 269 24, 207 18,683 26,941 23, 567 26, 121

59, 834

100

9, 494 32, 867 51, 975 32, 844 19, 785

110 1, 664 3, 248 1,025 3, 309

14, 425 5,898 8,098 9, 654 7,342 22, 192

1 Slight discrepancies between the sum of figures in the tables and the totals shown are due to rounding. : For earlier data see 25th annual report.

3 Total estimated gross proceeds represent the amount paid for the securities by investors, while total estimated net proceeds represent the amount received by the issuer after payment of compensation to distributors and other costs of flotation.

TABLE 5. -A summary of corporate securities publicly offered and privately placed in each year from 1934 through June 1962

(Amounts in millions of dollars)

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Total

Calendar year

All
issues

Debt
issues

!!!

1934.
1935.
1936
1937
1938.
1939.
1940.
1941.
1912
1913.
1914.
1945
1946
1947.
1918.
1919
1950..
1951.
1952.,
1953
1954.
1955.
1956.
1957.
1958.
1959,
1960.
1961.
1962 (January-June).

397
2, 332
4, 572
2, 309
2, 155
2, 164
2, 677
2, 667
1, 062
1, 170
3, 202
6, 011
6, 900
6, 577
7, 078
6, 052
6, 362
7, 711
9, 534
8. 898
9, 516
10, 240
10. 939
12, 884
11, 558

9, 748
10, 154
13, 147
5, 628

372
2, 225
4, 029
1,618
2, 044
1,979
2, 386
2,389

917

990
2, 670
4, 855
4, 882
5, 036
5, 973
4, 890
4, 920

691
7, 601

083
7, 488
7. 420
8, 002
9, 957
9, 653
7, 190
8, 081
9, 425
4,482

25
108
543
691
111
185
291
277
116
180

532
1, 155
2,018
1, 541
1, 106
1, 161
1, 442
2. 050
1, 933
1, 815
2, 029
2,820
2, 937
2, 927
1, 906
2,558

073
3, 722
1, 146

305
1, 915
4, 199
1, 979
1, 463
1, 458
1, 912
1, 854

642

798
2, 415
4,989
4,983
4,342
3, 991
3, 550
3,681
4, 326
5, 533
5, 580
5, 848
6, 763
7,053
8, 959
8, 068
5, 993
6, 657
8, 149
3,646

280
1, 810
3, 660
1, 291
1, 353
1, 276
1, 628
1, 578

506

621
1, 892
3, 851
3, 019
2, 889
2, 965
2, 437
2, 360
2, 364
3, 615
3, 856
4, 003
4,119
4, 225
6, 118
6, 332
3, 557
4, 806
4, 706
2, 544

25
106
539
688
110
181
284
276
136
178

524
1, 138
1,963
1, 452
1,028
1, 112
1,321
1, 962
1,888
1, 725
1, 844
2, 644
2, 827
2, 841
1, 736
2, 436
1,851
3, 443
1, 102

92
387
373
330
692
706
765
813
420
372

787
1,022
1, 917
2, 235
3, 087
2, 502
2, 680
3, 415
4, 002
3,318
3, 668
3, 477
3, 886
3, 925
3, 490
3, 755
3, 497
4, 999
1, 982

92
385
369
327
691
703
758
811
411
369

778
1,004
1,863
2, 147
3, 008
2, 453
2, 560
3, 326
3, 957
3, 228
3, 484
3, 301
3, 777
3, 839
3,320
3, 632
3, 275
4, 720
1,938

14.3
32. 1
32. 6
28. 6
30.5
39.5
31.8
24. 6
17.0
27.8
34. O
43.6
41.3
42.1
44. 1
42. O
37. 3
38.5
34. O
35.5
30.5
30.2
38.5
34. 4
38.0
35.2

9
18
54
88
79
49
120
88
45
90
184
176
109

86
170
122
221
279
45

24. 7
17.3

9.2
20.2
33.8
35.5
31.8
33. 9
44.8
37. 3
29.1
20.7
38.2
42.6
50.4
50.2
52.0
58.4
52.1
45.6
46.5
44, 5
47. 2
38.6
34.4
50.5
40.5
50.1
43. 2

TABLE 6.—Brokers and dealers registered under the Securities Exchange Act of

1934-effective registrations as of June 30, 1962, classified by type of organization and by location of principal office

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37

5 32 30 474 98 46 20 111 145 40 35 17 200 59 39 34 20 47 31 77 226 61 80 21 90 17 33

7 11 246 10

10%-అపరా సంతసిలం.

12
4
6

5
182
27
15

7 30 43 12 9 9 40 28 13 9 5 24 12 23 91 10 8 7 25

8 10 2

7 123

4

117

7 127

115
1, 809

352
196

73
473
452
219
162

45 983 181 125 146

18
0
8

4
564
19
59
25
119
22
29
12

3 299

8 14 15 22 41

7 98 246 100 31 16 133

30 43 12 9 9 40 28 13 9 5 24 12 23 91 10 8

103
27
21
20

9
13
17
38
100
34
65

8 48 7

5 5 6 10

2 16 35 17 7 6 17 2 0

71

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..
Tennesseo.
Texas..
Utah..
Vermont
Virginia.
Washington
West Virginia.
Wisconsin.
Wyoming.

Total (excluding New York

City). New York City..

87

3 113

106 1,064

206 122

41 324 387 178 141

33 644 145 98 122 44 52 61 150 638 210 389

39 381

27 111 20 15 346 16

117

80 271 975 320 428

62 539

39 121 24 24 552 30

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10
2

0 2 2 83 10

123

90
3

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274
11

2
26
18

200
25

7
73
22
18
96
12
18

4 33 99 25

2 24 37

18

5 67 3 6 2 12 90 15

3 18 45 10 6 7

1,093
212

30
636
120

104 1,032

63 87 17 224 672 135

15 200 277

34 255 24

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52 210 48

5 54 85 16 50 11

21
8

6 2 12 90 15

3 18 45 10 6 7

24

41
4

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Total...

1, 806

1, 221

1,805

6,880

13, 855

Does not include 104 registrants whose principal offices are located in foreign countries or other territorial jurisdictions not listed.

: Includes directors, officers, trustees, and all other persons occupying similar status or performing similar functions.

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, 1962. • Includes all forms of organizations other than sole proprietorships and partnerships.

TABLE 7.-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, 1962

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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 is 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(1) provides, in effect, that securities which were admitted to unlisted trading privileges on Mar. 1, 1934 (i.e., without applications for listing filed by the issuers), may continue such status. Additional securities may be granted unlisted trading privileges on exchanges only if they are listed and registered on another exchange or the issuer is subject to the reporting requirements of the Act under Section 15(d).

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 EACII EXCHANGE AND NUMBER

OF ISSUERS INVOLVED, AS OF JUNE 30, 1962

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Symbols: R-registered; x-temporarily exempted; U-admitted to unlisted trading privileges; XLlisted on an exempted exchange; XU--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 8.-Unlisted stocks on stock exchanges ?

Part 1.-NUMBER OF STOCKS ON THE EXCHANGES IN THE VARIOUS UNLISTED

CATEGORIES: AS OF JUNE 30, 1962

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PART 2.-UNLISTED SHARE VOLUME ON THE EXCHANGES-CALENDAR YEAR 1961

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Total.

45, 405, 439

21,300

19, 862, 093

38, 022, 912

18,300

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 are according to Clauses 1, 2, and 3 of Section 12(1) of the Securities Exchange Act. * 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.

Duplication of issues among exchanges brings the figures to more than the actual number of issues involved.

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