UNCONSOLIDATED BALANCE SHEET OF NYSE MEMBER FIRMS DOING A PUBLIC BUSINESS LIABILITIES AND CAPITAL UNCONSOLIDATED BALANCE SHEET OF NYSE MEMBER FIRMS DOING A PUBLIC BUSINESS LIABILITIES AND CAPITAL PART II: EXPLANATORY NOTES Revenue, Expense and Balance Sheet of New York Stock Exchange The revenue, expense and balance sheet data are received from NYSE member firms pursuant to Rule 416(b)(1) of the New York Stock Exchange which became effective January 1, 1972. Revenue and expenses are reported on an unconsolidated basis and without adjustments to investment accounts for respondents' equity in profit or share of loss of affiliates or subsidiaries. Securities Commissions Commissions earned on all agency equity and debt transactions including principal transactions and net commissions earned on introduced accounts carried by other brokers and on omnibus accounts carried for other brokers. Realized and Unrealized Gain (Loss) in Trading and Investments Realized and unrealized gain (loss) from market making activities in securities held for sale in the ordinary course of business and not identified as held for investment. Dividends and interest income on securities in trading accounts are treated as an adjustment to gain (loss) and are not reduced by any allocation of Federal income taxes. Profit (Loss) from Underwriting and Selling Groups Gross profit (loss) from management of or participation in underwriting syndicates and selling groups is determined as the difference between proceeds of securities sold and their purchase price and allowances received from or given to other brokers. Any unrealized loss on securities unsold at the time the underwriting account was closed is considered as a deduction from the proceeds of securities sold. Investment Company Securities Commissions Income derived from sale of investment company securities as a retailer and as an underwriter. Margin Interest Interest on customers' securities and commodities accounts for financing customer margin debits. -2 Other Revenue not Related To The Securities Business Miscellaneous other non-securities agency transactions for: variable annuities, placement of savings and loan accounts, fractional interest in oil, gas or other mineral rights, participation in real estate syndications. All Other Revenue Revenue from sources related and unrelated to the securities business not included in items listed above. NOTE: "Unconsolidated monthly revenue and expenses of NYSE member firms doing a public business" will be discontinued as of December 1975. Because of changes in reporting requirements future financial information, commencing with the first calendar quarter of 1976, will be stated on a quarterly basis. Previously published comparable monthly figures will be restated on a quarterly basis. LIST OF PUBLICATIONS Revised September 1975 The following publications must be ordered directly from and remittance made payable to: Superintendent of Documents Government Printing Office SEC DOCKET. A weekly compilation of the full text of SEC releases as follows: Securities Act of 1933, Securities Exchange Act of 1934, Public Utilities Holding Company Act, Trust Indenture Act, Investment Advisors Act, Investment Company Act, Accounting, Corporate Reorganization, and Litigation. $43.70 per year; $10.95 additional for foreign mailing. SEC NEWS DIGEST. Daily summary of important SEC developments. $64.45 per annum; $16.15 additional for foreign mailing. OFFICIAL SUMMARY. $61.05 per year STATISTICAL BULLETIN. $20.00 per year - $1.70 a copy; $5.00 additional for foreign mailing. Issued monthly. Presents data on new securities offerings, registrations, volume and value of trading on exchanges, round-lot and od -lot trading on the New York Exchanges, over-thecounter volume in listed stocks, block distribution and other financial series, current reports of material corporate developments (8-k's), and sales of restricted securities and securities held by persons in a controlled relationship with an issuer (Form 144's). ACTS AND RULES AND REGULATIONS Title 17 of the Code of Federal Regulations, revised April 1, 1975 PRICE 1/ $6.30 (Contains all rules and regulations of the Commission. .40 |