The Waterbury Democrat., 1934-08-13

every month during which there is any change in their ownership ot the securities.
 The regulations provide that is- sues of registered securities shall have 30 days after the announce ment of rules and regulations to withdraw their registrations with out being held responsible for the new rules.
 Certain Classes Exempt.
 The commission exempted cer- tain classes of securities from reg iStration.
 These included corporations be- ing recognized under the bank ruptcy act, or receivership, fore ign governments and foreign cor porationS and other securities which the commission may feel free to exempt because of special circumstances.
 The commission said that tenn porary registration might be giv- .en to security by application by tho exchange instead of the insuer, with the commission giving ap- prCVal.
 The commission explained that the action in this case by the eX- change is intended to protect in- vOstors in such securities if the market for them might be serious ly affected unless registration fac illues are afforded"
 ihe commission said that these securities during their temporary registration are exempt from all requirements regarding reports either by isuers, directors, off, cers, and principal security hold CTS.
 Washington, Aug. 13.- (UP) - Following is the text of the regu- lations issued today by the securI- ties and exchange commission:
 Rule Al. References to rules and regulations and to the act, or to portions thereof. (A) as used i'll the rules and regulations pres cribed by the commission pursuant to title l of the securities exchange act of 1934, unless the context otherwise specifically requires
 CD The term commission" commission.
 @ The term "act" means title l of the securities exchange act of 1934.
 (3) The term section refers to section of the securities ex- change act of 1884.
 (4) The terms rule" and reg ulation" refer to the rules and reg ulations prescribed by the commits sion pursuant to the act.
 (B) Unless otherwise specific ally stated, the terms used in the rules and regulations shall have the meaning defined in the act.
 co The rule or regulation which defines a term without ex- press reference to the act or to the rules and regulations, or to a por- tion thereof, defines such terms for all purposes as used both in the act and in the rules and regu- lations, unless the context other wise specifically requires.
 Rule Az forms. Registration statements shall be in the form prescribed therefor by the commis- sion and in effect upon the date of filing and shall contain the full and complete information required or called for by the several ques- tons, directions, instructions. and other requirements set forth in said form of registration state- ments. The registration statement shall be on unglaZed paper of good quality and of the size prescribed by the commission (Skx13). The text of such registration statement shall be printed or typewriter where practical and in distinct and readable type. All printing, typ ing or other markings used there in shall be~in black. Paper shall not be bound together except on he left hand side and shall have a margin of at least 11a inches.
 Rule All 1. Definition of "is- suer." The term 'issuer" in the case of security registered pur- suant to rule l. means the per son of which application the se- curity was registered.
 Rule A T l. Definition of Hist ed." The term Listed" means ad- mitted to full trading privileges on application by the issuer or fiscal agent or, in the case of the securi- ties of a foreign corporation, upon application by banker engaged in distributing them; and includes se- curities for which authority to add to the list of official notice or is- suance has been granted.
 Rule. A T 2. Definition of "of- ficer." The term officer" means a president, vice-president, treas urer, secretary, comptroller. and any other persons who performs for an issuer, whether incorporat- ed or unincorporated, functions corresponding to those performed by the foregoing officers.
 Rule c B l. Registration and exemptions of exchanges. Any ap- plication for registration or ex- emption from registration of any exchange as a national securities exchange shall be made on form accompanied by three copies of the statement and exhibits prescribed by the commission to be filed in connection herewith.
 Rule F l. Application fot temporary registration of securi- ties. Any security which is listed on an exchange at the time of reg istration of such exchange as na- tional securities exchange becomes effcctivs pursuant to section (El may be granted temporary regis tration on such exchange pursuant to section 12 (E) without compli- ance with the provisions of section