List of Stocks Registered on a National Securities Exchange and of Redeemable Securities of Certain Investment Companies AS OF DECEMBER 31, 1963 (PREPARED FOR PURPOSES OF REGULATION U) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM WASHINGTON M A Y 1 9 6 4 This publication was digitized and made available by the Federal Reserve Bank of Dallas' Historical Library (
[email protected]) Foreword This list is divided into two parts: Part I— Stocks Registered on a National Securities Exchange.......................................................... P- 4 Part II—Redeemable Securities Issued by Open-End Investment Companies Whose Assets Customarily Include Stocks Registered on a National Securities Exchange p. 22 The purpose of the list is to facilitate compliance by banks with the provisions of Regulation U of the Board of Governors of the Federal Reserve System, entitled *Loans by banks for the purpose of pur- chasing or carrying stocks registered on a national securities exchange." Regulation U applies to all banks in the United States, including both members and nonmembers of the Federal Reserve System. Any inquiry relating to the regulation should be addressed to the Federal Reserve Bank of the district in which the inquiry arises. Section 221.3 of Regulation U provides as follows: “(b) (2) A loan for the purpose of purchasing or carrying a ‘redeemable security1 (i.e. a redeemable proportionate interest in the issuer's assets) issued by an 'open-end company’, as defined in the Investment Company Act of 1940, whose assets customarily include stocks registered on a national securities exchange, shall be deemed to be for the purpose of purchasing or carrying a stock so registered.