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EDEKAL
VOLUME 3

REGISTER
1934

NUMBER 244

iflV lT E D

Washington, Friday, December 16, 1938
R u les, R eg u la tio n s, O rd ers TITLE 17COMMODITY AND
SECURITIES EXCHANGES
SECURITIES AND EXCHANGE
COMMISSION
S ecurities A ct of 1933
ADOPTION OF RULE S-142

The Securities and Exchange Commis sion, acting pursuant to authority con ferred upon it by the Securities Act of 1933, as amended, particularly Section 19 a thereof, and deeming such action necessary to carry out the provisions of the Act and necessary and appropriate in the public interest and for the protec tion of investors, hereby adopts the fol lowing rule:
S ec. 5.S-142 Rule S-142 Definition of "Participates and P a r tic ip a tio n a s Used in Section 2 11, in Relation to Certain Transactions, a The terms participates and participation in Section 2 111 shall not> include the in terest of a person 1 who is not in privity of contract with the issuer nor directly or indirectly controlling, controlled by, or under common control with, the is suer, and 2 who has no association with any principal underwriter of the securi ties being distributed, and 3 whose function in the distribution is confined to an undertaking to purchase all or some specified proportion of the securities re maining unsold after the lapse of some specified period of time, and 4 who purchases such securities for investment and not with a view to distribution.
b As used in this rule 1 The term issuer shall have the meaning defined in Section 2 42 and in the last sentence of Section 2 l l .1
2 The term association shall in clude a relationship between two persons under which one__
4fi1R+ot8J
C- 15
h U.
48 S.
s t aCt - 77b 74: c - 404> se c - 201
48
Stat. 905;
4a2
2. 48 Stat. 74; c. 404, sec. 20
48 Stat. 905; 15 U. S. O. 77b.

A Is directly or indirectly control CONTENTS
ling, controlled by, or under common RULES, REGULATIONS, control with, the other, or ORDERS
B Has, in common with the other, one or more partners, officers, directors, T itle 17C ommodity and S ecuri trustees, branch managers, or other per ties E xchanges:
sons occupying a similar status or per Securities and Exchange Com forming similar functions, or mission:
C Has a participation, direct or in Securities Act of 1933, adop direct, in the profits of the other, or tion of Rule S-142 par has a financial stake, by debtor-creditor ticipates and participa relationship, stock ownership, contract tion defined_________
or otherwise, in the income or business T itle 25I ndians :
of the other.
Office of Indian Affairs:
3 The term principal underwriter JS, Croix Chippewa Indians, shall have the meaning defined in Rule land acquired for use of, S-455 Sec. 5.S-455.
proclaimed an Indian reservation____________
C. 38, sec. 19, 48 Stat. 85; c. 404, sec.
209, 48 Stat. 908; 15 U. S. C. 77s T itle 38P ensions , B onuses , and Gen. Rules and Regs., Rule S-142, ef Veterans R e l ie f :
fective December 14, 19381
Veterans Administration:
By the Commission.
Accrued amounts due and un seal F rancis P. B rassor, paid at death__________
Secretary.
Burial and funeral expenses F. R. Doc. 38-3767; Filed, December 15,1938;
a n d transportation o f 11:36 a. m.J
- bodies of veterans______
Claimants and beneficiaries, release of information concerning____________
TITLE 25INDIANS
Death pension or compensa OFFICE OF INDIAN AFFAIRS
tion, effective dates of in crease o f ______________
L and A cquired for U se of S t . Croix H o s p i t a l and domiciliary C hippewa I ndians P roclaimed an I ndian care ___ s______________
R eservation T itle 43P ublic L ands:
N ovember 28, 1938.
General Land Office:
By virtue of authority contained in Ute Indian lands, Colo., revo Section 7 of the Act of June 18, 1934 48
cation order__________ _
Stat. K, 984, the lands described below, Office of Secretary of Interior, acquired by purchase for the use and Division of Grazing:
benefit of the St. Croix Chippewa Indians Arizona Grazing District No.
of one-half blood or more who may be 4, modification_________
designated by the Secretary of the In terior, until such time as they organize Oregon Grazing District No. 5, under Section 16 of the Indian Reorgan modification___________ _
ization Act, and then for the benefit of NOTICES
such organization, as authorized in ac cordance with the provisions of Section 5 of that Act are hereby proclaimed to Federal Power Commission:
Copper District Power Co., hear be an Indian Reservation:
ing postponed____________

N W N E , NW%SE4 and G overnm ent Lots 1, 2, 3, 7, 10, 11 and 12, Section 18,
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