Download - TABLES OF STATUTES, RULES, CASES, PERSONS OR SECURI- …3197d6d14b5f19f2f440-5e13d29c4c016cf96cbbfd197c579b45.r81.c… · TABLES OF STATUTES, RULES, CASES, PERSONS OR SECURI-TIES

TABLES OF STATUTES, RULES, CASES, PERSONS OR SECURI-TIES MENTIONED IN THE SPECIAL STUDY

Congressional Committee Hearings Cited in the Special StudyHouse of Representatives

73d Congress, 2d session (1934), on H.R. 7852 and 8720,p. 925 (Stock Exchange Regulation) 2: 14, 48, 49, 64;

4:50174th Congress, 2d session (1936), p. 19 (Unlisted Securities)

2: 82977th Congress, 1st session (1941) (Proposed Changes

Securities Act of 1933) 3:487th Cong~’ess, 1st session (1961), on House Resolution 438

(Mack Resolution) 1: 1, 112, 115, 487; 2: 62, 64, 81, 90,114, 115,217, 542; 4:7

87th Congress, 2d session (1962), on S. 2125, p. 19 (SEC organization) 4: 822

Senate72d Congress (1934), on Senate Resolution 84 4:54073d Congress (1934), on Senate Resolution 56 2: 61; 4:54073d Congress, 1st session (1934), pp. 6473-6474, 6494

(Exchange Act) 3: 5; 4: 2, 73d Congress, 2d session (1934), on Senate Report 1455

(Stock Exchange Practices) 2: 76, 100, 242, 247, 30084th Congress, 1st session (1955), p. 949 (Stock Market

Practices) 2:252March 3, 1955, pp. 12, 13 (Stock Market Study) 4:563

86th Congress, 2d session (1960), on Senate Resolution 238,pp. 5709-5803 3:42

87th Congress, 2d session (1962), on H.R. 12711, p. 13174: 822

United States CodeSections cited in the Special Study

7 U.S.C. 1-17a 1:40711 U.S.C. 608 1:212 U.S.C. 324-326, 1815, 1817 3:3715 U.S.C. 77a et seq. 1:215 U.S.C. 77aaa et seq. 1:215 U.S.C. 90a 1:215 U.S.C. 80b 1:226 U.S.C. 4322(b) 2:17929 U.S.C. 301-309 2:86939 U.S.C. 259 1:304

Internal :Revenue Code (1954)Sections cited in the Special Study

167(a), (b) 1:581701 1:582702 1:582856(a)(2) 1:583,5841233(e)(4) 2:135

371

372 REI~ORT OF SPECIAL STUDY OF SECURITIES MARKETS

Investment Advisers Act of 1940Sections of cited in the Special Study

200 1:381202(a)(13) 1:369209 1:239290(c) 1:381

SEC rules under the Act202-2(a)(11) 1:376204-2(a)(11) 1:376204-2(e)(1) 1:376206(4)-1 1: 381, 382206(4)-2 1:381

Investment Company ActSections cited in the Special Study

l(b)(1) 4:2032(10) 4:1592(a)(19) 4:1022(a)(26) 4:1712(a)(28) 4:1022(a)(31) 4:962(a)(34) 4:1083(a) 4:964 4:964(2) 4:96,1715 4:965(a)(1) 7(d)(2a) 4:1098(b) 4:15810 4:15910(a) 4:11010(f) 4:24712(b) 4: 97, 10014(b) 4:10017(d) 4:23822(b) 4:9822(c) 4:20322(d) 4: 98, 17922(e) 4: 97, 11224 4:15624(b) 4: 159, 16124(c) 4:16926 4: 96, 16927 4: 96, 99, 111, 16927(a)(2) 4:12327(a)(4) 4:17830 4:16930(f) 3:51-53

SEC rules under the act10f-3 4:24717d-1 4:238206(4)-1 4:671

REPORT OF SPECIAL STUDY OF SECURITIES MARKETS 373

Securities ActSections cited in the Special Study

2(1) 1:5783(a)(2) 3(a)(11) 1:576,5804(1) 1:547,5714(2) 1:5475 3:655(b) 4:1375(b)(2) 1:5927 4:1568(a) 1:5488(d) l: 28210 4: 156, 15711 1:8412 1:8412(2) 1: 303; 3:9513 1:8415 1:51415(a) 1:58515A(b) (7) 2:64717(u) 1: 375; 2: 653; 4: 156, 15717(b) 1: 303, 307; 3:9720(h) 1:307

SEC rules under the ~c~10b-6 1:546253(a) 1:551460 1:548

Securities Exchange Act (Exchange Act)Sections cited in the Special Study

l(e) 1:4022 1: 81; 2: 541,595, 664; 4:6972(3) 2:142(4) 4:8613(a)(3) 2:2993(a)(12) 3(c) 1 : 4024 1:4025 4: 599, 661,7996 1: 321; 4:7246(a) 4:7036(a)(1) 4:7996(a)(4) 4:7116(b) 1:315;4:703,8016(c) 4:7036(d) 4:703,7997 2: 36; 4: 3, 9, 117(b) 4: 3, 7(c) 4:47(d) 4:48(c) 1:4048(d) 1:404,5149 2:369(a)(4) a:

374 REPORT OF SPECIAL STUDY OF SECURITIES MARKETS

Securities Exchange Act (Exchange Act)--ContinuedSections cited in the Special Study--Continued

9(e) 3:9510 4:157,712

2:36,2471: 238, 239,253,375; 2: 14, 653; 3: 96; 4: 156, 15784; 2: 72; 4: 698, 702, 712, 724

10(a)10(b)11 1:ll(a) 2: 13; 4:794110o) 2: 13; 4:772ll(c) 2: 7, 72ll(d)(2) 1:303,391ll(e) 4:77612 1: 84; 2:91712(b)(2) 12(f) 3: 37, 12(f)(1) 2:80912(f)(2) 2: 809, 812, 919, 94212(f)(3) 2: 809, 83613 1: 84; 2: 917; 3: 3, 5, 36, 55, 62; 4:2013(a) 1: 590; 2:1314 2: 918; 3: 3, 5, 12, 36, 38, 55, 62; 4:2014(a) 3:6614(b) 3:5815 1: 139; 2: 541; 3:1;4:72415A 1: 72; 4: 606, 664, 72415A(b) 4:71515A(b)(3) 1: 4, 73, 8715A(b)(4) 1: 73, 394; 4:54115A(b)(6) 4:64215A(b)(7) 1: 4, 253,308; 2: 13, 14, 624;

4: 163,605,698,715, 71715A(b)(8) 1:308;4:!63,604,66415A(b)(9) 2: 13; 4:66415A(g) 4:66415A(g)(S) 4:60815A(h)(1) 4:71415A(i)(2) 1: 306, 605, 15A(k)(1) 2: 13; 4:71615A(k)(2) 4: 716, 15A(m) 4:64715(a) 1: 69, 243, 585; 2: 7, 54115(b) 1: 70-72, 115, 145, 148, 175, 306; 2: 541; 4:71515(b)(2) 1:30415(c) 2: 541,653; 4:71715(c)(1) 1: 238, 239, 302, 564; 2:1415(c) (2) 1 : 302, 378, 391,404, 407, 573; 2: 564, 573, 65315(c)(3) 1:86,40715(d) 1: 550, 560, 590; 3: 6, 11, 17, 40, 56, 62, 16 1: 435; 2: 36, 917; 3: 5, 14, 36, 38, 55, 62; 4:2016(a) 3:416(b) 3: 4, 15, 54, 6216(c) 2: 247; 3:516(d) 3:36

REPORT Ol~ SPECIAL STUDY OF SECURITIES IVIARKETS 375

Securities Exchange Act (Exchange Act)--ContinuedSections cited in the Special StudymContinued

17 1: 72; 2:65317(b) 1:30318(a) 3:10119 4:72419(a)(1) 4:59919(a)(3) 1:30619(b) 2: 7, 13, 300, 337, 344, 346, 349, 923; 4: 698, 702, 70419(b)(9) 2:92419(c) 4: 506, 507, 76119(d) 1:121 4:321(e) 1: 303, 30625 4:60832(a) 3:101

SEC rules under Exchange Act, cited in the Special Study8c-1 1:404103-1(a) 4:80510(b)-2 1: 253, 305, 561, 56210b-2(d) 1:56210b-5 1:239,375;3:9610b-6 1: 518, 542, 545, 546, 559, 568-570; 2: 606;

4: 662, 78510b-7 1:546;2:84310b-9 1:30310b-10 (proposed) 1:583123-1 3:3612d-1-1 4:70912f-4 3:57133-13 3:40143-3(b) 3:5815b-2(b) 1:8515b-5 3:9615b-8 1:7115c-1 1:23915cl-2 1:37515cl-4 1: 303, 391, 564; 2:61115c-6 1:56415cl-7 1:30315cl-8 1:239, 303, 54615c(2) (proposed) 1:53115c2-1 1:40415c?-6 l: 30815c3-1 1:83, 40715c3-1(]))(2) 1: 87, 88; 4: 587, 595, 15c3-1(c)(1)(B) 173-3(a)(8) 4:65617a-2(a)(12) 1:116,30517a-4(b)(4) 1 : 376206(4)-1 1:239, 369, 382206(4)-2 1:381


Uniform Securities ActSections cited in Special Study

204(a) (2) (G) (H) 204(b) 1:133204(b)(5) 1:374204(b)(6) 1:82, 143, 401(b) 1:142

American Stock Exchange rules cited h~ the Special Study3 2:2275 4:8006 4:80010(a) 4:805110 4: 774, 776, 795, 797, 800ll0(a) 4:794170 4: 774, 776170(b) 4:581,790174 4: 776, 789, 802175 4: 776, 781,791187 4: 784, 789, 800188 4:795190 4:784190(a) 2:154190(a)(b) 4:788190(e) 2: 156; 4:581190(z) 2:156191 4:800365 4:581391 1:561411 4:582412 1:406550 4:784552 4:784592 1:561

New York Stock10 1:12126 2:34554 2:19562 2:18175 2:14291 2:14292 2: 147;

Exchange rules cited in the Special Study

4:85494 2:66103 2: 66; 4:547104 2: 66, 81, 82, 92105 2: 66, 568107(a) 2:132107(b) 2:129108 2:144110 2:524-526111 2: 156; 4:551115 2:76116 2:150121 2:66


New York Stock312 4:317314 2:46325 4: 520, 526-527342 1: 140, 320344 2: 308, 314; 3:99345 1: 123; 3: 99; 4:543346 1:113347 1:255350 1: 316; 4: 557, 558359 2:308369 2: 304, 313, 314391 1: 561; 2:843392 1:561393 1: 564; 2:563393.15(u) 4:791394 2: 12, 41, 195, 563401 1: 315, 435402 4:538402(a) 4:534402(b) 1:405402(d) 4:534403 1:316405 1: 239, 290, 301, 315; 2: 557; 4"- 521405(1) 4:20408 1: 297, 315418 4:521419 4:521431 1: 399; 2: 123; 4: 10, 528435 1:297,316435(2) 1:315436 1: 255, 395440 2: 315; 4:517450-456 4:538460 2:157471 4:533472 1: 377; 4:531473 4:533481 4:560483 4:560485 4:560742 1:406

Exchange rules cited in the Special Study--Con.

TABLE OF CASES: INCLUDING COURT AND SECURITIESAND EXCHANGE COMMISSION DECISIONS AND LITIGATION

RELEASES

Abraham & Co., C. H. 2:653Acker v. Sc,~dte 3:95Allen (Floyd A.) & Co. (SEC) 2:608Allen & Co., Inc., Floyd A. (SEC) 2:608Allendar & Co. (SEC) 1 : 238; 2: 654American JE’quities Corp. (SEC) 2:605American Quicksilver Co. (SEC) 2:605

378 REPORT OF SPECIAL STUDY OF SECURITIES ]~L~RKETR

.Anaconda Lead & Sil~,er Co. (SEC) 2: 605, 606

.Arkansas Louisiana G(~s Co. v. W. R. Stephens Inv. Co. 3:15

.Associated Press v. Ur~ited States 2:602As(.or Securities Corp. (SEC) 1 : 71Atkin et al. v. ttill, Darlington de Grimm 2: xi; 5:29Arras Securities, Inc. (SEC) 2:605Bach v. Ouigan 3:95Bailey (Charles E. ) & Co. ( SEC) 1:512Baird v. Franklin 4:699Barnett de Co. Inc. (SEC) 1:238Barrett de Co. (SEC) 2:589,655Best Securitq~es, Inc. (SEC) 1 : 238Birnbaum v. Newport Steel Corp. 3:96Bishop (Hazel) (SEC) 1: 546, 592Blau v. Lehman 1: 434; 3: 58, 64, 429, 434Borende Co. (SEC) 1: 311; 2: 648, 650Boruski, Ernest F., Jr. (SEC) 4:161,164Boston Stock Exchange application (SEC) 2:920Brittin v. Schweikardt 3:95Brooklyn Manhattan Transit Corp. (SECt) 1 : 571Brown, Barton de Engel (SEC) 2:654Bruns, Nordemande Co. (SEC) 1: 304, 540; 2:602Burton (Leonard) Corporation (SEC) 1:346Cady, Roberts de Co. (SEC) l: 432, 5:96Cady, Roberts& Co., In the Matter o] (SEC) 2: 239; 4: 542; 5:96Carr Consolidated Biscuit Co. v. Moore 3:15Cochran v. Channing Corp. 3 : 96Codman, In re 1:411Cunningham de Co., Inc. R. J. (SEC) 1:71Diversified Funding 2:607Dominick & Dominick, In the Matter o.f (SEC) 3: 65, 94Duches (Arlene IV.) (SEC) 1:238Duker de Duker (SEC) 1: 238; 375; 2: 646, 653East v. Crowdus 1 : 413Edison Electric Illuminating Co. o.f Boston 2:958Eratt v. Robin.~on 3:96Errion v. Connell 3:95First Anchorage. Corp. (SEC) 1: 238; 2:653First Cali~fornia Company (SEC) 1:533Fir.~t Securities Corporation (SEC) 1 : 239,311, 312Fischman v. Raytheon l~4.fg. Co. 3: 95, 96Geismar v. Bond & Goodwin, Inc. 3:95Gob Shops qf America, Inc. (SEC) 2:608Gordon v. Spalding 1 : 4 ! 2Gorman v. Littlefi,~ld 1 : 411Graham & Co. (SEC) 2:650Greenberg, Gerald M. (SEC) 4:665Greenbergde Leopold (SEC) 1: 239, 311Gruber (P. J. de Co., Inc.) (SEC) 1:267Halsey Stuart de Co. (SEC) 2: 595, 602Heft, Kahn & Infante, Inc. (SEC) 1: 238, 349, 376; 2:654Helfhat v. Whiteh’ouse 4:773Hens!ey (Earl) Co., Inc. (SEC) 1:528Herdegen v. Paine, Webber, Jackson & Curtis 3:97

REPORT OF SPECIAL STUDY OF SECURITIES I~IARKETS 379

Herrick Waddell & Co. (SEG) 2:648Hissborough Investment Corp. v. S.E.C. 1: 571Home Indemnity ~o. v. Reynolds& Co. 2: xi;|5:29Hughes, Arleen W. (SEC) 2:623Hughes (Charles)& Co. (SEC) 2: 646, 653, 654Hughes (Charles)& Co. v. S.E.C. 1:238Hunt, In the Matter of (SEC) 1:571Imperial Petroleum Co. (SEC) 2: 605, 608Investment Registry oj America (SEC) 2:654Investment Service Co. (SEC) 1 : 240, 375Jackson& Co., S. T. (SEC) 2:588Joseph v. Farnsworth Radio & Television Corp. 3: 96Kohler v. Kohler Co. 3: 96Landau, In the Matter of Theodore (SEC) 1 : 267; 2:606Leonard & Co., W. E. (SEC) 2:654Leopold, Robert (SEC) 4:665Loeb (Carl M.), Rhoades & Co. (SEC) 3: 94Loeb (Carl M.) Rhoades & Co., In the Matter of (SEC) 3:65Logan (J.) & Co. (SEC) 1: 238, 304Mac Robbins & Co. (SEC) 1: 265, 346, 375; 2:654Magida v. Continental Can Co. 3:15Managed Funds, Incorporated (SEC~) 4:158Managed Investment Programs (SEC) 2:648Maryland Securities Co., Inc. (SEC) 2:650Mason, Moran & Co. (SEC~ 4:157May & Phinney (SEG) 1: 238Midland Securities, Inc. (SEC) 2: 648, 650Mitchell (G. J., Jr., Co.), In the Matter of (SEG) 3:65Mitchell Securities, Inc. (SEC) 2:650Monarch Asbestos Co., Ltd. (SEC) 2:605N. Sims Organ (SEC) 1:124National Association oJ Securities Dealers, Inc., In the Matter

1: 48, 86, 89, 90; 2: 647; 4: 606, 641,665, 669, 715New York Stock Exchange, In the Matter oJ (SEC) 4:704New York Stoc]c Exchange, In the Matter o] the Rules of 2: 7Norris & Hirshberg (SEC) 1: 297; 2: 588, 654Organ, N. Sims (SEC) 1:124Osborne v. Mallory 3:96Oxford Co., Inc. (SEC) 2:654Palombi Securities Co., Inc., In the Matter of 1: 267; 4:665People v. Watson 3:97Peoples Securities v. S.E.C. 1:573Philips & Co. (SEC) 1 : 311Pittsburgh Stock Exchange Application (SEC) 2: 920, 921Pledger ~c Co., Inc. (SEC) 2:605Rappee & Co., Lawrence (SEC) 2:605Re, Re & Sagarese, In the Matter of 4: 578, 583Read, Evans & Co. (SEC) 2:605Reid, Alexander & Co. (SEC) 2:654Reynolds ~c Co., In the Matter of 1: 290; 2:557Richmond Corporation (SEC) 1:68Riley v. Sweat 1 : 89Robin (Anne Caseley) (Investment Advisers Act Release 127) 1:240

36-07,1--64~--pt. 6-----25

380 REPORT OF SPECIAL STUDY OF SECURITIES 1VIARKETS

Robin (Anne Caseley), d/b/a The Profitmalcer, In the matter of (SEC)1 : 382

Rosenberv v. Hano 3:95Ross Securities (SEC) 2:654S.A.E. Corporation (SEC) 1:71Schechter (A.L.A.) Poultry Corp. v. U.S. 4:605Sebastian, Richard A. (SEC) 2:653Securities and Exchange Commission v.

C. H. Abraham & Co., Inc. 1:238Capital Gains Research Bureau, Inc. 1 :]240, 372, 382;

4:540Corporate Investors Co. 1:267Garfield 1 : 308Guild Films Co. 4:35Hillsborough Investment Corp. 1:571Prudential Diversified Services 1:574Ralston Purina Co. 3:17Truckee Showboat, Inc. 1:572Variable Annuity Co. 3: 40

Sherman Gleason & Co. (SEC) 2:639Silver v. New York Stock Exchange 2: 342; 4: 502, 692, 693,698~ 699,

701,712, 714, 723, 724, 726, 727; 5:13Smith, Holly Co., Inc. (SEC) 1:528Smotowe v. Delendo Corp. 3:15Speed v. Transamerica Corp. 3:96Stellav. Graham Page Motors Corp. 3: 15Stellav Kaiser 3 : 95Texas Continental Life Ins. Co. v. Bankers Bond Go., Inc. 3: 95, 96Texas Continental Life Ins. Co. v. Dunne 3: 95Thiele v. Shields 3:96Tillman, In the matter of Carroll (SEC) 1 : 382United States v.

Farrell 1 : 307Morgan 1:21Rollnick 1 : 265Todd 1 : 307

Van Alstyne, Noel & Co. (SEC) 1:435Walet v. Jefferson Lake Sulphur Co. 3:15Whitney, In the Matter o.f Richard (SEC) 1 : 395, 425; 4: 508Wien dc Co., M. S. (SEC) 2: 595, 602, 655Wolf, Inc., Lewis (SEC) 1: 522; 2:589Zachman v. Erwin 3:95

SECURITIES AND ISSUERS OF SECURITIES MENTIONEDIN THE SPECIAL STUDY

Ace Science & Electronics Corp. 4:250Admiral Plastics Corp. 1 : 507Aero Space Electronics, Inc. 1:498Affiliated Fund 2:591Air Space Devices, Inc. 1 : 498Alaska Telephone Corp. 1 : 266Alleghany Corp. 2:244Allen (Leon B.) Fund, Inc. 4:242


AmericanAmermanAmerlcaIl

AmericanAmerica]2AmericanAmericanAmericanAmericanAmerican

Bowling Enterprizes, Inc. (Bowling) 4:248Cement~ Co., Inc. 2:591Diversified Securities, Inc. (ADS) 1:54-57Insurance Co. (Newark) 2:790Machine and Foundry 2:14Motors Corp. 2: 522, 523; 3:72Mutual Funds Service, Inc. 1: 84, 85Natural Gas 2:93Orbitronics Corp. 1:498Tel. & Tel. Co. 2: 115, 244, 246, 247, 283, 879; 4: 839, 840,

845, 846, 849, 853, 855, 857, 858, 864, 866, 874,882-884, 889, 895, 903-905, 927, 931,935

Ampex Corp. 4:549Anaconda 2:95Anaconda Lead & Silver Co. 2:606Anchor Corp. (Anchor) 4:105Annheuser-Busch, Inc. 2:790Anodyne Corp. 1:498Aquafilter Corp. (Aquafilter) 1:275-280Aquoa-Chem, Inc. 2: 790, 791Arco Electronics, Inc. 1: 499. 629Associated Fund, Inc. 4: 116, 121Associated Testing Laboratories, Inc. 1: 531, 632Astrotherm Corp. 1:498Avco 2: 115, 116, 283, 287; 4: 840, 843, 849, 853, 855. 858, 864,

867, 875, 903, 906, 907, 927,.931, 935Avnet Electronics Corp. 3: 77, 78; 4: 243, 549Axe-Houghton Fund B, Inc. 4: 106, 250Axe Science & Electronics Corp. 4:106Aztec Oil & Gas Co. 2:791Bank of America 2:691BarChris Construction Corp. 3:71Beaver Petroleum 4:782Bell & Howell 4:227Biochemical Procedures 4:596Bishop Hazel 4:34Boonton Electronics Corp. 1: 508, 635Bozell & Jacobs 3:68Bristol Dynamics 1: 509, 534, 638Bruce (Richard) & Co., Inc. 1: 514, 536Brunswick Corp. 2: 116, 283, 288, 425; 4: 843, 850, 853, 858, 864,

868, 876, 882-884, 897, 903, 908, 909, 928, 932, 936Canadian ~orthwest Mines & Oils, Ltd. 4: 772, 774Carlon Products Corp. 2:791Chance-Vought Corp. 2: 244, 245Channing Financial Corp. 4:104Channing Service Corp. 4: 104, 228Chase Fund of Boston 4:243Chemionics Engineering Laboratories, Inc. 1:57Chemtree Corp. 3: 76, 77Coastal State Gas Producing Co. 2:791Coca-Cola Bottling Co. 4:549Collins Radio 4:552Columbus & Southern Ohio Electric 2:124

REPORT OF SPECIAL STUDY OF SECURITIES ~MARKETS

Computer Systems, Inc. 1 : 373Continental Casualty Company 2:591Continental Enterprises, Inc. 2:792ContinentM Research Corp. 4:104Cove Vitamin 1: 503, 505, 508, 549, 590, 640Creative Playthings, Inc. 2:792Crowell-Collier Publishing Co. 4: 549, 766Cummins Engine Co., Inc. 2: 792, 793Curtis (ttelene) Industries, Inc. 4:243Customs Components 1: 507, 521,531,537, 643; 2:617Decca Records, Inc. (Decca) 4:248Diversified Funding, Inc. 2: 566, 606Diversified Growth Stock Fund, Inc. 4:216Diversified Investment Fund, Inc. 4:216Doeskin 4:34Dreyfus Fund 4:218Edlund Engineered Products, Inc. (Edlund) 1:64Electronics Corporation of America 4:782E1-Tronics, Inc. 4: 772, 782Endevco Corporation 1: 497, 515, 646Farnsworth Television and Radio 2:515Filmohm Corporation 1:497, 504, 509, 649Financial Planning Corp. 4:119Financial Programs, Inc. 4:115Fireco Sales, Ltd. (Fireco) 4:249First Boston Corp., The 2:872First Charter Financial Corp. 4:549First Investors Corp. (FIC) 4: 117, 151First Republic Corp. of America 1: 583First Western Life Insurance Co. 4:105Florida Canada Corp. 3:69Florida Palm-A~re Corp. 4:523Ford Motor Company 2:113Founders Mutual Depositor Corp. 4: 116, 119Fox-Stanley Photo Products, Inc. 1: 350; 2:793Fund of Amgrica 4:124Fundamental Investors, Inc. 4:216General Development Corp. 3: 67, 69General Investors Trust 4:124General Motors Corp. 2: 95, 114, 116, 283, 288, 425; 4: 840, 843,

844, 845, 846, 850, 855, 858, 864, 869, 877, 882-884, 889, 898, 903,910-911,928, 932, 936

General Telephone & Electronics 1:561Geochron Laboratories 1: 543Geophysics Corporation of America 1:652Graham-PMge Motors Common Stock 2:518Great American Life Underwriters 2:621Gremar Manufacturing Co., Inc. 1: 499, 506, 654Grosset & Dunlap 1: 503, 515, 546, 657Guardian Chemical, Inc. 3:71Guardian Mutual Fund, Inc. 4:245Guild Films Co., Inc. 4: 34, 772, 781Gulf Life Insurance Co. (Gulf) 4:249Halsey & Co. Stuart 2:602

REI~0RT OF SPECIAL STUDY OF SECURITIES MARKETS 383

Hartford Fire Ins. Co. 2:691Heliogen Products, Inc. 1:262Heritage Securities 4: 120Hewlett-Packard Co. 2: 92; 4:548Holt, Rinehart & Winston, Inc. 4:549Hydro-Space Technology, Inc. 1: 492, 660Ideal Cement Co. 4:247Infra Red 2:605Institutional Shares 4:228International Business Machines Corp. 2: 117, 283,288, 426; 4: 825,

840, 843, 845, 846, 850, 853, 857, 858, 864, 870,878, 882-884, 889, 899, 903, 912, 913, 929, 933, 937

International Rectifier Corp. 4:549International Telephone & Telegraph 2:519Interstate Fire & Casualty Co. 2:793Investors Diversified Services, Inc. 4: 115, 121, 122, 153, 219Investors Management Co. 4:105Investors Planning Corp. of America 4: 106, 116, 119, 150Johns (F. S.) & Co. 2:606Johnson, Lane Space Corp. 1:526Kavanau Corporation 1:583Kerr McGee Oil Industries 2:92Koehring Co. 2:794Korvette, Inc., E.J. 2: 118, 283,288, 426; 4: 841,851,855, 858, 864,

871, 879, 882-884, 900, 903, 914-15, 929, 933, 937Leaseway Transportation Corporation 1: 508, 662Ling-Temco Electronics 2:245Lionel Corporation 3:76Loew’s Theatres, Inc. 2:244Madison Gas & Electric Co. 2:794Magnavox Co. 4:242Mallory Randall Corporation 1: 527, 665Manufacturers Securities Corp. 1:521Maryland Cup Corp. 1: 492, 515, 668; 4:247McGraw-Hill Publishing Co. 4:546Monmouth Capital 2:605Mother’s Cookie Co. 1: 505, 671National Cash Register Co. 4:243National Propane Corp. 2:794Nationwide Insurance Co. 4: 120, 121New Idria 4:782New York Hanseatic Corp. 2:563Occidental Petroleum 4:782One William Street Fund 4:245Outboard Marine Corp. 4:246Pacific Intermountain Express Co. 2: 794, 795Pacific Tin Consolidated 2:516Perkin-Elmer Corp. 4:549Petrolane Gas Service, Inc. 2:795Pfizer (Chas.) & Co., Inc. 4:245Pharmaceutical, Inc. 2:590Pocket Books, Inc. 2:795Polaroid 4:825Presidential Realty Corp. 1:583

REPORT OF SPECIAI~ STUDY OF SECURITIES MARKETS

Putnam Fund Distributors, Inc. 4:198Quality Importers, Inc. 1: 492, 535, 674R.C. Can 2:691Real Properties Corp. of America 1:583Realist Inc. 2:605Realty Equities Corp. of New York. 1: 583; 5:29Reliance Electric & Engineering Co. 4:546Reynolds Metals Co. 2: 207; 4:553Rhodesian Selection Trust, Ltd. 2:246Rocket Jet Engineering Corp. 1: 492, 529, 679Rokeach (I.) & Sons, Inc. 4:767Royal Dutch Petroleum Co. 2: 244, 245Scaico Controls, Inc. 1:262Scranton Corp. 4:34Seaboard Electronic Corporation 1: 526, 681Sheraton Corp. of America (Sheraton) 4:248Shore-Calnevar, Inc. 1: 437, 534, 683Skiatron Electronics & Television Corp. 4:34Southern New England Telephone Co. 2:796Sperry Rand Corp. 2: 188, 207, 210-212, 363, 402Standard Oil Co. (N.J.) 2: 283,287, 427; 4: 840, 845, 846, 851, 853,

858, 864, 872, 880, 882-884, 889, 901,903, 916-917,930, 934, 938

Stomar Corp., Ltd. 4:31Struthers Wells Corp. 4:775Swan-Finch 0il Corp. 4:34Vic Tanny, Inc. 4:781Texas Instruments 4:825Thompson-Starrett Common Stock 2:517Transistor Specialties, Inc. 2: 573Transitron Electronics Corp. 4:549Triangle Investors Corp. 4: 115Troster, Singer & Co. 2:563Twentieth Century Fund 2:100Union Carbide 2:904United Accumulative Fund 4: 196United Funds 4:104United States Automatic Merchandising Corp. (USAMCO)

1 : 280-290, 311United States Photo Supply Corp. 1:372United States Smelting, Refining & Mining Co. 2: 207, 401, 402;

4: 566United States Steel Corp. 2: 119, 283, 286, 427; 4: 841, 845, 846,

851, 858, 864, 873, 881-884, 889, 902, 903, 918-919,930, 934, 938

Universal Controls, Inc. 3:69Universal Electronics Laboratories Corporation 1: 503, 536, 685;

2:558Universal Leaf Tobacco plant 2:159Value Line Special Situations Fund, Inc. 4:248Varian 4: 825Visual Dynamics Corp. 1: 57Westinghouse Electric Co. 4:247Wheeling Steel 2:92

REPORT OF SPECIAL STUDY OF SECURITIES I%~ARKETS 385

Winn-Dixie Stores,Wisconsin ElectricXerox Corporation

Inc. 4:246Power 2:92

2: 94, 904; 4:825

PERSONS AND FIRMS (OTHER THAN AS ISSUERS OFSECURITIES) MENTIONED IN THE SPECIAL STUDY

Abraham (C. H.) & Co. 2:653Aetna Casualty & Surety Co. 1:103Aetna Securities Corp. 1:331Albert Frank-Gunther Law, Inc. 3:71Albion Securities Co., Inc. 1: 60-64, 101,262-265Allen, Leon B. 4: 242Allen, Townsend E. 4:583Alter, Francis 4:582American Securities Corp. 2:872Ames, Amy~’s 1 : 47Anderson, Glenn 1 : 259Atlantic Research Corp. 1 : 354Atlas Credit Corp. 4:244Babbitt & Co., W.H. 1:102Bache & Co. 1: 77, 101, 106, 123, 138, 147, 272-275, 295, 357, 429,

562; 2: 174; 4: 106,218, 240Badia, William 1:52Barrett, tterrick & Co., Inc. 1 : 400Becker (A. G.) & Co. 4:221Benedick, Walter 1: 100, 114; 4: 116, 134, 153Benkert (A. W.) & Co. 2:872Berger Associates, Inc., Nat 1:97Bernstein & Co. 1:537Best, Leonidas W. 1:57Best & Garey, Inc. 1: 56, 57Bidwell, J. Truman 4:557Bioren &Co. 1: 521;2:617Birrell, Louis 4:34Blauner (Milton D.) & Co. 1:499Blyth & Co. 1: 109, 504, 511, 546; 2: 583, 872Bocklet, Charles J. 4: 578, 763, 775Brod (A.T.) & Co. 1:536Browne & Co. 1:336Bruin, James E. 1: 282, 287Bruns, Nordeman & Co. 1:351Burns, Donald 1:259Byllesby (H.M.) & Co. 1 : 504Carlisle & Jacquelin 2: 172, passim, 253Cary, William L. 1; ix, 113; 2: vii; 3: 1, 4: xiii, 359, 700, 821,822;

5: iii, 7, 9, 18Chaitowitz, Morris, firm of 1: 53, 138Chase (John P.) Inc. 4:243Claflin, William It., III 1: 115, 419Clark, Dodge & Co. 1:355Cloud, John K. 4:553Coen, John It. 4:778Cohen, Louis 1:61


Cohen, Milton H. 1: xix; 2: x; 4: xvii; 5: 26, 28, 32Cohen, Simonson & Co. 1:331Cole, Hoisington & Co. 2: 218, 223Coleman, John A. 2: 182; 4:511Coleman, Walter 2:304Collins, George R. 4:764Conway, Carle 4:507Cordano, Anthony J. 4:583Courts & Co. 1:372Coyle, Frank 2:304Crane, Burton 4:831Crooks, Richard M. 4:511Dailey, John F., Jr., and Murray 1: 60, 262Damroth, William 1:137Danforth-Epply Corp. 1:366Day, James E. 1: 90, 130, 418Dean Witter & Co. 1: 106, 107, 275DeCoppet & Doremus 2: 172, passimDempsey-Tegler & Co. 1: 106, 352; 4:518Denman, Stephen W. 4:583DeWitt Conklin Organization, Inc. 1: 355; 3:67Dick, Jack R. 4:32District Securities, Inc. 1:56Dominick & Dominick 1: 143, 355Draper, Sears & Co. 1: 521, 537Drexel & Co. 1: 504, 510Dreyfus&Co. 4:218Drourr, Lampert & Co., Inc. 1:337Dunlap, Cameron 4:768Dunn Engineering Corp. l: 334-344Dunn, Eugene F. 4:583Dunn, Joseph 1:336Dupont, Homsely & Co. l: 87,400; 4:695Dyer, James R. 4:763Eastman Dillon, Union Securities Co. l: 27, 143,275Ebasco Services, Inc. 2:190Eckhouse, Robert 1:340Edwards & Hanly 1 : 352Edwards & Sons, A.G. 1: 97, 106Elliott, Edward L. 4:766Engle, D. Richard 1:63Ethe~’ington, Edwin D. 4:579Federman, Stonehill & Co. l: 534Ferris & Co. l: 526Filor, Bullard & Smith 1:338Finkelstein, Jerry 3: 69First California Co. 1 : 275First Investors Corporation 1:97Forrest, John G. 4:831Friedman, Joseph 4:782Fulton, Reid & (~o., Inc. 1:431,434Fulton, Wallace H. 1: 90, 97,418; 3: 54; 4: 624; 5:29Funston, G. Keith 1: 113, 239; 2: 15, 64, 79, 97;

4: 522, 548, 561-563, 831

REPORT OF SPECIAL STUDY OF SECURITIES ~¢L4RKETS 387

Garey, Thomas M. 1:56Garvin, Bantel & Co. 4:24Gathercole, James M. 4:778Gay, Charles 1%. 4:507Gfldar & Co. 1:55Gillen & Co. 4:242Gilligan, James Patrick 4: 582, 766, 769, 777, 778Gilligan, Will & Co. 4: 578, 708, 709 passim,Gintel, Robert M. 4:542Glad, Mark 1:338Glickman Corp. 1:589Globus, Alfred 3:71Globus, Inc. 1: 429, 437, 498, 539, 543; 3:71Gold, Theodore 1:334Goldbe~:g, Jerome 1: 529Goldman, Sachs & Co. 4:579Goodbody & Co. 1:106Granberry, Marache & Co. 1:525Grant Brownell & Co. 1:504Gravino, Anthony 1:61Gregory & Sons 1: 432, 521; 2:617Grubb, E.R. 2:15Guterma, Alexander L. 4: 34, 766Gutman, Walter 4:533Haddad, Frederick and Sidney 1: 54Halpern, William J. 4:582Halsey, Charles 1 : 295Hamilton Management Corp.Harris, Upham & Co. 1:275

1: 100, 114; 4: 102, 114, 123, 150, 152

Haupt (Ira) &Co. 1:143;4:583Hayden, Stone & Co. 1: 106, 275, 430 496, 499, 504, 507, 509, 523,

542, 543, 547Hef[~, Kahn & Infante, Inc. 1:375Hemphill, Noyes & Co. 1:275Hentz (H.) & Co. 1: 437, 504, 534Herlands, William B. 1:308Herman, Louis 1 : 499Hogan, Louis D. 1: 337, 363Hogdon & Co., Inc. 1: 102, 110, 261, 262Hogle & Co. (J. A.) 1:275Hornblower & Weeks 1:97Horowitz, Michael 4:774Howard, Lloyd 4:582Hutton & Co. (E. F.) l: 99, 275, 330Insurance Co. of North America l: 103J. & J. Investments 1:530Jacobs, F.L. 4:34Jaffe, Lewis & Co. l: 525Jamieson, Hugh L. 1: 97; 4: 115, 125, 201E. H. Jansen Co. 1:85Jay (Thomai), Winston & Co., Inc. 1:529Johnson, Hugh & Co., Inc. 4:219Josephthal & Co. 4:583I~alb, Voorhis & Co. 4: 119, 219, 221

388 REPORT OF SPECIAL STUDY OF SECURITIES 1VIARKETS

Kenna, Martin J. 4:770Kidder, Peabody & Co. 1: 107, 294, 357, 429-431, 434, 436, 497,

504, 535King Merritt & Co., Inc. 1: 97, 101, 102, 136; 4: 104, 115, 120, 124,

147, 155K]etz (Michael G.) & Co., Inc. 1: 499, 501,506Kohn & Co. (Richard E.) 1:338K_ratter Corporation 1: 583, 589Krusen, H. Stanley 1:285Laid, Bissell & Meade 4:219Landau Company 2:606Landis, James M. 2:959Lawrence, Ruddick C. 1:379Lee, I-I. Vernon 4:768Lee, M. L. & Co., Inc. 2:557Lehman ]3ros. 1: 429, 436, 501,504, 543; 3: 58; 4:246Levy, Gustave L. 4:579Loeb, Rhoades & Co., Carl M. 1: 147, 433, 497, 508, 540, 542Lomasney (Myron) & Co. 1 : 498Long (Hugh W. & Co.) 4: 105, 134, 218Loomis, Philip A., Jr. 1:265Lubetkin, Regan ~e Kennedy 4:219Maas, Bernard 4:770Mallory Randall 1:526Maltz, Greenwald & Co. 1:543Mann, John J. 4: 578, 763Marcus, Jefferson 4:550Marcus & Schloss 4:553Marron, Donald ]3. 1:510Marron Sloss & Co. 1:336Martin Associates, Inc., Robert A. 1:58-60Martini, George De 4:774May & Gannon 1:521 ’McCormick, Edward T. 4:769McCrary, Inc., Tex 3:69McDonnell & Co. 1:345,373McLaughlin, John J. 4:778Melone, Victor J. 1:339Merrill, Lynch, Pierce, Fenner & Smith 1: 22, 77, 93, 105, 134, 254,

275, 278, 279, 330, 394, 417, 562; 4: 645, 837Midland Securities, Inc. 1:60Mitchum, Jones & Templeton . 1:526Model, Roland & Co. 1:522Mooney, Michael E. 4:767Motti, Stelio 1:52Mutual Funds Associates, Inc. 4: 115, 116, 119National Investors Corp. 4:106Nauheim, Ferdinand 4:129Neilson Co. (A. C.) 1:357Neuberger, Roy R. 4:245Neuberger & Bergman 4:245New Pacific Coal & Oils, Ltd. 4:772Northeastern Securities Co. 1:544Peat, Marwick, Mitchell & Co. 4:770

REPORT OF SPECIAL STUDY OF SECURITIES 1VIARKETS 389

Perles, William 1:63Petta, Joseph 4:775Philips, Rosen, Appel & Walden 1:378Pledger & Co. 4:594Posner, Edwin 4:579,831Pruett & Co., Inc. 1:400Publicity Consultants 4:221,222Purcell, Ganson 2:231Purtell, Joseph 3:73-77Raffensperger, Hughes & Co. 1:331Rafferty, James E. 1: 499; 4: 582,769, 770Re, Gerard A. 1: 708; 4: 578, 755, 766Re, Re & Sagarese 4:755Rees, Dnvid 1:276Regan, Donald 1:301Reilly, Joseph F. 4: 578, 763Renyx, Field Co., Inc. 1: 110, 137; 4: 115, 125, 153Reynolds & Reynolds Co. 1: 492, 676Rittmaster, Alexander 3:72Robbins, (Mac) & Co., Inc. 1: 266, 267Rockefeller, Avery, Jr. 1: 90, 139Roebling, Mary G. 4:764Rooff, Harold l: 98, 111Roosevelt, F.D. 3:8Rosenberg, Michael 4:554Ross, Lyon & Co., Inc. 1: 508, 543Roth, Stanley M. 4:557Safanie, Murray 1:285Samson, Benjamin 4:582Scheffmeyer, Werle & Co. 4:219Schirmer, Atherton & Co. 1 : 336Schloss, Irwin 4:550Schram, Emil 2:231Scott Taylor & Co. 2:606Sexton, Gerald 4:775Shaskan & Co. 1:544Shearson, Hammill & Co.

4: 522Shields & Co. l: 143Shore, Harold l: 544Siebach, Russell 1 : 140Singer, Bean & Mackie, Inc. l: 345; 2: 564, 617Sirota, Taylor & Co. 1: 340, 371Smith, Barney & Co. 1: 353, 366,374Smith, Weston 3:83Spear & Staff, Inc. 1: 340, 367Sperry Rand 4:774Stearns & Co. 1 : 336, 372, 549; 4: 533, 540Stern, Edwin H. 2:218Stern, E. H. & Co. 2: 205, 218Steward, Miller & Co. 2:872Stillman, Howard 1 : 341Stix (Wm.) Wasserman & Co. 1 : 521, 531Stott, Robert L. 4:511

1: 101, 280-290, 294, 31], 330, 430, 529;

REPORT OF SPECIAL STUDY OF SECURITIES I~IARKETS

Strauss (J. S.) & Co. 2:872Street & Co. 1: 101Sutro Bros & Co. 1: 135, 140, 498, 504, 535; 2: 617; 4:544Tellier, Walter F. 1 : 266Tewles, Richard J. 1 : 282Thomson & McKinnon 1 : 106Treibick, Richard 1:334Treibick, Seiden & Forsyth 1:337Troster, O.J. 2: 15Troster, Singer & Co. 1:345Troutman, William 1:282Tyrone, Anthony R. 1: 101; 4:115Underhill Securities Corp. 1 : 536Unterberg, Towbin 1: 509, 524Van Alstyne, Noel & Co. 4: 782Van Strum & Towne, Inc. 4:104Vance, Sanders & Co., Inc. 4:106Vanderbeck, Willard K. 2:97Vilas & Hickey 1:521Waddell & Reed, Inc. (W&R) 1: 97; 4: 104, 119, 121, 152, 155, 187

196Wagenseller & Durst, Inc. 1:429Wall Street Consultants, Inc. 3: 67, 69Walston & Co., Inc. 1: 106,275, 330Wareham, W.S. 2:18Weeden & Co. 2:872Weiss (Irving) & Co. 1 : 377, 544; 3:67Weiss, Samuel 3: 69, 71Weithers, John 1:141Weld&Co. 1:430White, Weld & Co. 1: 432,498~ 504, 511,523Whitney, Richard 4:508Whitney (Richard) & Co. 4:508Will, Albert 4: 582,777, 778Will, James F. 4:778William, David & Motti, ]nc. 1 : 52-54,e138, 434,509, 525, 534Winslow, Cohu & Stetson, Inc. 1:347Wisenberger, Arthur & Co. 4: 120, 173,219Wolff, Harold 3: 69Wolfson, Louis E. 3:72Woolner, Adolph 4:771Wuestehube, WMdemar T. 4:583Wyle Associates, Inc. 3:67Zaretzky, David 1:52Zeckendorf, William 4: 764Zoes, James E. 1:521

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