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VOLUME 11

934
A //TD

REGISTER
NUMBER 57

Washington, Friday, March 22, 1946
Regulations TITLE 17COMMODITY AND
SECURITIES EXCHANGES
Chapter IISecurities and Exchange Commission P art 240 G eneral R ules and R egula tions , S ecurities E xchange Act op
1934

EXEMPTION OP CERTAIN DISTRIBUTING AND
UNDERWRITING TRANSACTIONS

The Securities and Exchange Commis sion acting pursuant to the Securities Exchange Act of 1934, particularly sec tions 3 a 12, 16 c and 23 a , and finding that such action is necessary and appropriate in the public interest and ior the protection of investors and neces sary for the execution of the functions vested in the Commission by the said hereby adopts the following 240.16c-2 Rule X - 16c - 21:

either 1 an officer or director of the issuer, 2 a firm of which an officer or director of the issuer is a partner, em ployee, appointee, nominee or represen tative, or 3 a corporation or other per son in respect of which an officer or di rector of the issuer is an officer, director, employee, appointee, nominee, represen tative or beneficial owner, directly or indirectly, of more than 10 per centum of any class of equity security, then other persons who are not specified in subparagraphs 1, 2 or 3 of this para graph shall have participated in the dis tribution as members of the underwrit ing group or, in the case of the second exemption, the underwriting group or the selling group or both on terms at least as favorable as those on which such specified persons have participated, and to an extent at least eQual to the aggre gate participation of all such specified persons.

CONTENTS
REGULATIONS AND NOTICES
A lien P roperty C ustodian ;

Page
Vesting orders, etc.;
Aussenhandel-Finanzierungs, G. m. b. H_------------------- 3035
Brinkmann, Wirtz & Co____ 3036
Chemnitzer Bankverein_____ 3036
Credit und H a n d elsb a n k 3037
D ai-Ichi Ginko, Ltd________ 3037
P. & K. Engineering Co_____ 3037
Girozentrale Sachsen-oeffentliche Bankanstalt______ 3038
Gosho Co., In c______________ 3048
Gosho Concentration & Com press Co---------- . . . . ____ 3049
Hamburg-Bremer Feuerversicherungsgesellschaft 3038
3039
Helm, William C. P _;______
Hirsch, Otto, & Co______ I
3039
Kirchholtes, Heinrich_______ 3045
Kitano, Miss Eiko_______ ___ 3039
Kluender, Ernst F. L__ ZIIZI 3046
Knauth, Paul_____________ 3046
Koenigliche Filialbank______
3040
3046
Koldeweyh, Gesine_________
Kono, Juich i______________
3047
Kraemer, Th. B. C____ H 3040
Krause, F. W., & Co_____ I I
3040
Kreiple, Hermann J ____ __I 3047
Kruck, Luise.______________ 3048
Krupp, Pried., A. G _ _ _ IIIIIH 3048
Landesbank der Rhein provinz ________________ 304i Landeskommunalbank, Giro zentrale fuer Hessen__
3041
Magnus, J ., & Co___________
3042
Merck, E., Chemische Fabrik" 3042
Muenchmeyer & Co__________ 3042
Nottebohm & Co__________ I 3043
Oberlausitzer Bank, Abteilung der Allg. Deutschen Kred ita n sta lt._______________ 3043
m Oestmann, A., & Co_____ II__ 3044
One Hundredth Bank, L td III 3044
Ottensooser & Co_____________ 3045
Preussische Zentralgenossen schaftskasse____________ 3045

This section 2 effective March 20,1946.
J /2? 16c- 2 E xem ption fro m section ib c o f certain distributing an d under Sec. 3, 48 Stat.-882; 15 U.S.C. 78csec writing transactions, a Upon the con 16, 48 Stat. 896; 15 U.S.C. 78p; sec. 23
dition specified in paragraph b of this 48 Stat. 901; sec. 8, 49 Stat. 1379; 15
section any security shall be exempt U.S.C. 78w irom the operation of section 16 c to By the Commission.
tfie extent necessary to render lawful under such section any sale made by or seal
O rval L. D u B ois , on behalf uf a dealer in contemplation Secretary.
of a distribution 1 where the sale is P. R. Doc. 464736; FUed, Mar. 21, 1946
represented by an over-allotment in 10:09 a. m.
wnich the dealer participates as a mem ber of an underwriting group, or 2
where the dealer intends in good faith to offset such sale with a security which TITLE 29LABOR
he will receive as a participant in an Chapter VI- -National Wage Stabilization underwriting or selling group of which he is a member at the time of the sale, Board whether or not the amount of the se General Orders 5, 9, 30 and 38, Revocation curity he will so receive is subject to a P art 803 G eneral Orders prior offering to existing security hold ers or some other class of persons. As The National Wage Stabilization used in this paragraph, the term dis Board hereby revokes 803.5, 803.9
Civilian P roduction A dministra
tribution means a distribution on behalf 803.30 and 803.38 General Orders Nos t io n :
of the issuer, any person directly or in 5, 9, 30 and 38.
Priorities system operation;
directly controlling or controlled by the Approved by the National Wage S ta
solder, antimonial lead die issuer, or any person under direct or in bilization Board March 20, 1946.
metal, and battery lead direct common control with the issuer.
scrap, sale by W ar Assets B.
M.
J o ffe , b The exemptions granted by para Corporation PR 13, Dir.
Acting Executive Director.
graph a of this section shall be subject 1 5 --------------------------------- 3025
P. R. Doc. 46-4725; Filed, Mar. 21, 1946to the condition that, if the dealer is Suspension order; Associated 9:23 a. m.
Battery Mfg. Co__________
3025
8023