F e d e r a l r e s e r v e B a n k o f D a l l a s DALLAS. TEXAS 75222 Circular No. 69-2^6 September 25, 19 LIST OF OTC MARKET MAKERS To All Banks and Others Concerned in the Eleventh Federal Reserve District: Enclosed is a copy of the list of OTC market makers pub lished as of September l6, 1969* The list comprises firms that have filed Form X-17A-12(l) with the Securities and Exchange Com mission. in order to qualify as OTC market makers under section 221.3(w) of Regulation U, and the OTC margin stocks in respect of which each has qualified. The present list includes the initial list published as of July 18, 1969, and the two supplements issued as of August 8 and August 22, 19&9, as well as additional notifications filed with the Securities and Exchange Commission by broker-dealers following issuance of the August 22 supplement and ending September 16 . Additional copies of the present list will he furnished upon request. Yours very truly, P. E. Coldwell President Enclosure (l) This publication was digitized and made available by the Federal Reserve Bank of Dallas' Historical Library (
[email protected]) LIST OF OTC MARKET MAKERS as of September 16, 1969 (Prepared for use by banks in connection with extensions of credit pursuant to section 221.3 (w) of Regulation U) This list of "OTC market makers" comprises firms that have filed Form X-17A-12(1), the "Notification by OTC market makers in OTC margin securities," with the Securities and Exchange Commission, and the OTC margin stocks in respect of which each such firm had filed such form as of the above date.