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APPENDIX 
Certificates of Deposit were originally issued, the full basic fee will be 
charged, whether or not the securities were listed for which the Certificates 
of Deposit were originally issued. 
6. Where voting trust or stock trust certificates are issued in exchange 
for listed stock of the same company, one-fourth of the basic fee will be 
charged. 
7. When voting trusts or stock trusts terminate and where the stock 
replacing them is identical with formerly listed stock for which such voting 
or stock trust certificates were issued, there will be no fee up to the number 
of shares so formerly listed. For additional shares, the full basic fee will 
be charged. If, however, the stock replacing such certificates was not 
formerly listed, one-fourth the basic fee will be charged. 
8. Where the name of a corporation is changed, without reorganization, 
merger, or other change in its corporate structure, the fee will be one-fourth 
of the basic fee for such number of shares as may be issued not in excess 
of the number of each class authorized to be listed prior to such change 
of name, plus the full basic fee for any additional number of shares. If, 
however, a reorganization or merger resulting in a new corporation is 
involved, the full basic fee will be charged on all shares to be listed. 
0. In the case of a stock dividend, the additional stock issued is sub- 
ject to the full basic fee. There is no additional fee as to the old stock. 
An application for listing Governmental, State, County, or Municipal 
Securities must be signed by a properly accredited official or by financial 
representatives, and be accompanied by required check, as above, and papers. 
Specimen application furnished on request. 
THE EMPLOYEES OF THE COMMITTEE ON STOCK LIST ARE INSTRUCTED TO 
ASSIST IN THE PREPARATION OF APPLICATIONS TO LIST WHENEVER SO RE- 
QUESTED, NO CHARGE WILL BE MADE FOR SUCH SERVICE. 
REQUIREMENTS FOR ORIGINAL LISTING 
Stock 
Every application for an original listing of capital stock shall recite: 
A Where incorporated. 
B (1) Amount applied for (whether temporary or permanent certi- 
ficates) ; (2) authorized issue® 
C (1) Date of charter; (2) duration. 
D (1) Business; (2) special rights or privileges under charter or 
by-laws. 
E (1) Whether capital stock is full paid; (2) non-assessable; and 
(3) whether liability attaches to shareholders. 
F (1) Issues (by classes), dividend rate, and par value; (2) total 
amount of each, authorized and issued; (3) increases and authority therefor, 
including (a) action by stockholders, (b) by directors, and (c¢) by public 
authorities, etc.; (4) amount unissued, (a) options or contracts on same, 
(b) specific reservation for conversion. 
G If preferred stock; (1) whether cumulative or non-cumulative; (2) 
preferences, including (a) voting power; (b) dividends; (¢) distribution 
of assets on dissolution or merger; (d) redemption; (e) convertibility; 
(f) special provisions. 
H Voting power of obligations of debt.