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STUDY OF THE SECURITIES INDUSTRY

APPENDIX TO
HEARINGS

BEFORE THE

SUBCOMMITTEE ON COMMERCE AND FINANCE

OF THE

COMMITTEE ON
INTERSTATE AND FOREIGN COMMERCE
HOUSE OF REPRESENTATIVES

NINETY-SECOND CONGRESS

FIRST SESSION

OCTOBER 18, 19, 20, 26, 27; NOVEMBER 16, 17, 1971

Serial No. 92–37d

Printed for the use of the
Committee on Interstate and Foreign Commerce

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 1972

67–228 O

For sale by the Superintendent of Documents, U.S. Government Printing Office

Washington, D.C. 20402 - Price $2.25

COMMITTEE ON INTERSTATE AND FOREIGN COMMERCE

HARLEY 0. STAGGERS, West Virginia, Chairman
TORBERT H. MACDONALD, Massachusetts WILLIAM L. SPRINGER, Illinois
JOHN JARMAN, Oklahoma

SAMUEL L. DEVINE, Ohio
JOHN E. MOSS, California

ANCHER NELSEN, Minnesota
JOHN D. DINGELL, Michigan

HASTINGS KEITH, Massachusetts
PAUL G. ROGERS, Florida

JAMES T. BROYHILL, North Carolina
LIONEL VAN DEERLIN, California

JAMES HARVEY, Michigan
J. J. PICKLE, Texas

TIM LEE CARTER, Kentucky
FRED B. ROONEY, Pennsylvania

CLARENCE J. BROWN, Ohio
JOHN M. MURPHY, New York

DAN KUYKENDALL, Tennessee
DAVID E. SATTERFIELD III, Virginia JOE SKUBITZ, Kansas
BROCK ADAMS, Washington

FLETCHER THOMPSON, Georgia
RAY BLANTON, Tennessee

JAMES F. HASTINGS, New York
W. S. (BILL) STUCKEY, JR., Georgia JOHN G. SCHMITZ, California
PETER N. KYROS, Maine

JAMES M. COLLINS, Texas
BOB ECKHAR Texas

LOUIS FREY, JR., Florida
ROBERT O. TIERNAN, Rhode Island JOHN WARE, Pennsylvania
RICHARDSON PREYER, North Carolina JOHN Y. McCOLLISTER, Nebraska
BERTRAM L. PODELL, New York

RICHARD G. SHOUP, Montana
HENRY HELSTOSKI, New Jersey
JAMES W. SYMINGTON, Missouri
CHARLES J. CARNEY, Ohio
RALPH H. METCALFE, Illinois
GOODLOE E. BYRON, Maryland
WILLIAM R. ROY, Kansas

W. E. WILLIAMSON, Clerk
KENNETH J. PAINTER, Assistant Clerk

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Professional Staff
JAMES M. MENGER, Jr.
WILLIAM J. DIXON

CHARLES B. CURTIS

ROBERT F. GUTHRIE
KURT BORCHARDT,

SUBCOMMITTEE ON COMMERCE AND FINANCE

JOHN E. MOSS, California, Chairman
W. S. (BILL) STUCKEY, JR., Georgia JAMES T. BROYHILL, North Carolina
BOB ECKHARDT, Texas

JOHN WARE, Pennsylvania
CHARLES J. CARNEY, Ohio

JOHN Y. MCCOLLISTER, Nebraska
Study of the Securities Industry

Staff

WILLIAM H. PAINTER, Special Counsel
HARVEY A. ROWEN, Counsel

JOHN N. BALAKOS, Professional Adviser
ROBERT L. STERN, Special Consultant

ROBERT J. CANTER, Professional Adviser
J. WILLIAM GADSBY, Professional Adviser

(II)

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