Federal Register - January 10, 1951
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Source: Federal Register
GISTER
VOLUME 16
o S t Í o um n ber
6
Washington, Wednesday, January 10, 1951
TITLE 17 COMMODITY AND
SECURITIES EXCHANGES
Chapter II Securities and Exchange Commission P art 250G eneral R ules and R egula tions, P ublic U tility H olding C om pany Act of 1035
REGISTRATION AND GENERAL EXEMPTIONS
The Securities and Exchange Commis sion, acting pursuant to authority con ferred upon it by the Public Utility Hold ing Company Act of 1935, particularly sections 3 a, 3 d and 20 a thereof, and deeming such action appropriate, in the public interest and for the protec tion of investors and consumers, hereby amends -250.3 Rule U-3 of the gen eral rules and regulations under the Pub lic Utility Holding Company Act of 1935, by deleting from paragraph by deleting from subparagraph 2 of paragraph a the words has acquired and inserting in lieu thereof the word holds ; by inserting at the beginning of paragraph b the words subject to the requirements contained in paragraph c and by deleting from paragraph c all of the second sentence following the word however and inserting in lieu thereof the words with respect to aiiy security holdings as to which such form is inappropriate by its provisions.
The amendment of 250.3 is of such nature that it appears improbable its adoption will be objectionable to any person. The Commission, therefore, finds that the preliminary notice and public procedure provided for in section 4 a and b of the Administrative Procedure Act are unnecessary and de clares the amendment of Rule U-3 and adoption of the revised Form U-3A3-L
effective immediately pursuant to sec tion 4 c of that act, subject, however, to reconsideration a t the end of 30 days in the event any significant comments or criticisms have been received with respect to the rule or the form. Any See P. R. Doc. 51-385, Part 259 of this chapter, infra.
such comments or criticisms should be CONTENTS
addressed to the Secretary of the Com Alien Property, Office of Pas mission, 425 Second Street NW., Wash Notices:
ington 25, D. C.
Vesting orders, etc.:
The text of the rule as modified is as Agemura, Masami and Saki__ 269
follows : ;
Belz, Ferdinand, et al______ 269
250.3 Exemption of certain banks Bollman, Albert, et al-----------270
a General exemption. Subject to the Brass, Alessandro and Lina "
provisions of 250.6 Rule U-6 and to Widgopf_________________
276
the requirements contained in paragraph Bremerkamp, Wilhelmina 268
c of this section, any bank shall be Certain debtors: order fixing exempt from any obligation, duty, or bar date for filing claim s.. 276
liability imposed by the act upon such Chauvin, Andre Antoine____ 276
bank as a holding company solely by Fa, Mrs. Louise and Magin_. 270
reason of such bank owning, controlling, Haffner, Dr. Sigmund M., or holding with power to vote any et al____________________ 270
securities of any public-utility or hold Hasuike, Susumu and May ing company which the bank:
Mitsuye------------------------271
1 Holds as collateral for a bona fide Herman, George__ _______
268
debt; or Hoshino, Youzo and Shizue_ 271
2 Holds in the ordinary course of Humbert, Adrien C, and Ida. 272
its business as a fiduciary ; or Joensson, Carl J. and Helga 273
3 Has acquired solely for purposes Kehrmann, Hans Rulff and of liquidation in connection with a bona Anneliese_______________
273
fide debt previously contracted and has Leupold, Marie A__________ .274
owned beneficially for a period of not Mamerow, Gertrude, et al___ 271
more than two years.
272
Mamerow, Henny, et a l.-----b Exemption from section 9 a 2.
Mann, Mrs. Martha E_____ 274
Subject to the requirements contained in Maus, Gustav, and Peoples paragraph c of this section, any bank Savings and Trust Co. of shall be exempt from section 9 a 2
Pittsburgh_______________
269
of the act with respect to the acquisition Meyer, Edgar H. P. and Brun of any securities by such bank:
hild E___________________ 275
1
As collateral for a bona fide debt;
Meyn, Johannes A., et al____ 272
or Muller, Richard W., et al___
265
t 2 Solely for purposes of liquidation Nakai, Kosumi, et al_______
273
in connection with a bona fide debt pre Niedermeier, Martin, and viously contracted; or Anna Niedermeier Treut3 Id the ordinary course of its tinger___________________
266
business as a fiduciary; or Ozaki, Fusa____________
266
4 Which is not a voting security or Reinhart, Helga------- .------265
convertible into a voting security.
Roesch, Paula_____________
266
c Statements. Any bank claiming Roesing, Mrs. Hermann, et al. 266
exemption pursuant to the provisions of Sasaki, Noburo, et al-----------276
this section shall file a statement on Sato, Shigeru, et al___________ 274
Form U-3A3-1 17 CFR 259.403 within Satoda, Yorimi, et al________
267
30 days after the last day of February Schonberg, Adolf E. J. and of each year. No such statement is Marie S. C___________ S t. 267
required, however, with respect to any Schramm, Elsie____________
267
security holdings as to which such form Shimabukuro, Yamato_____ 268
is inapplicable by its provisions.
Sieder, Anna, et al__________ 275
d Definition of bank. The term Sieveking, Ludolf, et al_____ 263
bank, as used in this section, means Sieveking, Werner and Olga any company primarily engaged in busi N___________
jJ 264
ness as a commercial bank or trust comTajima, Shigeji, et al. 2 doc Continued on next page uments _________________
264
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