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REGISTER

FEDERAL
VOLUME 4

%.

1934

OAilTED

NUMBER 221

Washington, Wednesday, November 15, 1939
CONTENTS
2 Ledgers or other records reflect ing all assets and liabilities, income and RULES, REGULATIONS, ORDERS
expense and capital accounts.
3 Ledger accounts ior other records T itle 17Commodity and S ecuri TITLE 17COMMODITY AND
itemizing separately as to each cash and ties E xchanges:
SECURITIES EXCHANGES
margin account of every customer and of Securities and Exchange Com such member, broker or dealer and part SECURITIES AND EXCHANGE
mission:
Page ners thereof, all purchases, sales, receipts COMMISSION
Securities Exchange Act of and deliveries of securities and commodi S ecurities E xchange A ct of 1934
1934, adoption of rules ties for such account and all other debits relative to records of cer ADOPTION OF RULES X - 1 7 A - 3 AND X - 1 7 A - 4 and credits to such account.
tain exchange members, 4 Ledgers or other records reflect The Securities and Exchange Commis etc____------------------- 4577
sion, deeming it necessary for the exer ing the following:
T itle 24H ousing C redit :
cise of the functions vested in it and nec A securities in transfer;
UnitedJStates Housing AuthorB dividends and interest received;
essary and appropriate in the public in C securities borrowed and securities terest and for the protection of investors -"S iteselectio n _____________ 4578
so to do, pursuant to authority conferred loaned;
D monies borrowed and monies T itle 26I nternal R evenue :
upon it by the Securities Exchange Act of 1934, as amended, particularly Sec loaned together with a record of the Bureau of Internal Revenue:
tions 17 a and 23 a thereof, hereby collateral therefor and any substitutions Tax for calendar year 1939
adopts the following rules:
in such collateral;
u n d e r Federal UnemployE securities failed to receive and ment Tax Act--------------- 4583
240.X-17A-3 Rule X-17A-3. Rec ords to be made by certain exchange failed to deliver.
NOTICES
members, brokers and dealers, a Every 5 A securities record or ledger re member of a national securities exchange flecting separately for each security as Department of the Interior:
who transacts a business in securities di of the clearance dates all long or Bituminous Coal Division :
rectly with others than members of a short positions including securities in Midland Electric Corp., exnational securities exchange, and every safekeeping carried by such member, emption application dis broker or dealer who transacts a business broker or dealer for his account or for continued-------------------- 4588
in securities through the medium of any the account of his customers or partners such member, and every broker or dealer and showing the location of all securities Department of Labor:
registered pursuant to Section 15 of the long and the offsetting position to all se Waggarfd Hour Division:
Securities Exchange Act of 1934 C. 404, curities short and in all cases the name 5pen-cut placer /gold mining sec. 15, 48 Stat. 895; C. 462, sec. 3, 49 or designation of the account in which industry, seasonal indus Stat. 1377; C. 677, sec. I, 52 Stat. 1070; each position is carried.
try determination review. 4588
15 U.S.C., 780, Sup. I l l and 15 U.S.C., 6 A memorandum of each brokerage Federal Power Commission:
780-31, as amended, shall make and keep order, and of any other instruction, given Publia Service Commission of current the following books and records or received for the purchase or sale of /the State of New York v.
relating to his business:
securities, whether executed or unexe New York Natural Gas 1 Blotters or other records of orig cuted. Such memorandum shall show Carp., hearing postponed 4589
inal entry containing an itemized daily the terms and conditions of the order or Securities and Exchange Commis record of all purchases and sales of secu instructions and of any modification or sion:
rities, all receipts and deliveries of secu cancellation thereof, the account for Listing and registration hear rities including certificate numbers, all which entered, the time of entry, the ings:
receipts and disbursements of cadi and price at which executed and, to the ex A&ty of Cordoba 7% external tent feasible, the time of execution or all other debits and credits. Such records sinking fund gold bonds shall show the account for which each cancellation. Orders entered pursuant
of 1927_______________ 4589
such transaction was effected, the name to the exercise of discretionary power by and amount of securities, the unit and such member, broker or dealer, or any /-"Fidelity Fund, Inc., capital stock______________ 4589
aggregate purchase or sale price if any, employee thereof, shall be so designated.
term instruction shall be deemed the trade date, and the name or other The ----------Peoples Natural Gas Co., application approved__________ 4589
designation of the person from whom to include instructions between partners
purchased or received or to whom sold and employees of a member, broker orr dealer. The term time of entry shall or delivered.
4577

Rules, Regulations, Orders