Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of of 1940, Investment Advisors Act of 1940, Securities Investor Protection Act of 1970

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U.S. Government Printing Office, 1999 - Securities - 725 pages
 

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Contents

Court review of orders
19
Information required in prospectus
20
Civil liabilities on account of false registration statement
21
Civil liabilities arising in connection with prospectuses and communications
24
Limitation of actions
25
Fraudulent interstate transactions
28
Exemption from State regulation of securities offerings
29
Special powers of Commission
32
Injunctions and prosecution of offenses
34
Hearings by Commission
36
Unlawful representations
37
Sec 27A Application of safe harbor for forwardlooking statements
43
General exemptive authority
47
Schedule B
51
SECURITIES EXCHANGE ACT OF 1934
57
Short title
59
Definitions and application of title
61
Securities and Exchange Commission
80
Sec 4A Delegation of functions by Commission
82
Chairman
83
Margin requirements
90
Restrictions on borrowing by members brokers and dealers
93
Prohibition against manipulation of security prices
94
Regulation of the use of manipulative and deceptive devices
96
Sec 10A Audit requirements
97
Trading by members of exchanges brokers and dealers
98
Sec 11A National market system for securities securities information processors
101
SECURITIES ACT OF 1933
1
Short title 3
3
Exempted securities 6
6
Exempted transactions 10
10
Prohibitions relating to interstate commerce and the mails 12
12
Registration of securities and signing of registration statement 13
13
Information required in registration statement 14
14
Taking effect of registration statements and amendments thereto 16
16
Sec 8A Ceaseanddesist proceedings 17
17
Court review of orders 19
19
Information required in prospectus 20
20
Civil liabilities on account of false registration statement 21
21
Civil liabilities arising in connection with prospectuses and communications 24
24
Limitation of actions 25
25
Fraudulent interstate transactions 28
28
Exemption from State regulation of securities offerings 29
29
Special powers of Commission 32
32
Injunctions and prosecution of offenses 34
34
Hearings by Commission 36
36
Unlawful representations 37
37
Sec 27A Application of safe harbor for forwardlooking statements 43
43
General exemptive authority 47
47
Schedule B 51
51
SECURITIES EXCHANGE ACT OF 1934
57
Short title 59
59
Definitions and application of title 61
61
Securities and Exchange Commission 80
80
Sec 4A Delegation of functions by Commission 82
82
Sec 4B Transfer of functions with respect to assignment of personnel to Chairman 83
83
Margin requirements 90
90
Restrictions on borrowing by members brokers and dealers 93
93
Prohibition against manipulation of security prices 94
94
Regulation of the use of manipulative and deceptive devices 96
96
Sec 10A Audit requirements 97
97
Trading by members of exchanges brokers and dealers 98
98
Sec 11A National market system for securities securities information processors 101
101
Registration requirements for securities
107
Periodical and other reports
117
Proxies
127
Registration and regulation of brokers and dealers
136
Sec 15A Registered securities associations
149
Sec 15B Municipal securities
157
Sec 15C Government securities brokers and dealers
164
Directors officers and principal stockholders
178
others
180
transactions
188
Sec 17A National system for clearance and settlement of securities Sec 17B Automated quotation for penny stocks
197
Liability for misleading statements
198
organizations
199
Registration responsibilities and oversight of selfregulatory Sec 20 Liability of controlling persons and persons who aid and abet violations
208
Sec 20A Liability to contemporaneous traders for insider trading
209
Investigations injunctions and prosecution of offenses
217
Sec 21B Civil remedies in administrative proceedings
219
Sec 21C Ceaseanddesist proceedings
221
Sec 21D Private securities litigation
223
Sec 21E Application of safe harbor for forwardlooking statements
233
Hearings by Commission
237
Public availability of information
240
Court review of orders and rules
241
Unlawful representations
243
Sec 27A Special provision relating to statute of limitations on private causes of action
244
Validity of contracts
249
Foreign securities exchanges
250
Transaction fees
263
Penalties
265
Separability of provisions
266
General exemptive authority
267
PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
269
Necessity for control of holding companies
271
Definitions
272
Power to make particular exemptions regarding holding companies subsidiary companies and affiliates
280
Transactions by unregistered holding companies
282
companies
284
respect of security transactions
285
Declarations by registered holding and subsidiary companies in Sec 8 Acquiring interest in electric and gas utility companies serving same territory
287
Investigations injunctions enforcement of title and prosecution of offenses
304
Hearings by Commission
305
Effect on existing law
306
Information filed with the Commission
307
Jurisdiction of offenses and suits
308
Liability of controlling persons preventing compliance with title
309
Penalties
310
Treatment of foreign utilities
315
Exempt telecommunications companies
318
Separability of provisions
323
TRUST INDENTURE ACT OF 1939
325
Short title
327
registered
336
Qualification of indentures covering securities not required to be Sec 308 Integration of procedure with Securities Act and other Acts
337
Eligibility and disqualification of trustee
338
Preferential collection of claims against obligor
344
Bondholders lists
347
Reports by indenture trustee
349
Reports by obligor evidence of compliance with indenture provisions
350
Duties and responsibility of the trustee
355
Directions and waivers by bondholders prohibition of impairment of holders right to payment
356
Special powers of trustee duties of paying agents 357
357
Effect of prescribed indenture provisions Sec 319 Rules regulations and orders
358
Hearings by Commission
359
Court review of orders jurisdiction of offenses and suits
361
Unlawful representations
362
Separability of provisions
363
INVESTMENT COMPANY ACT OF 1940
365
Findings and declaration of policy
367
General definitions
368
Definition of investment company
381
Classification of investment companies
388
Exemptions
389
Transactions by unregistered investment companies
392
Registration of investment companies
394
Ineligibility of certain affiliated persons and underwriters
396
Affiliations of directors
402
Offers of exchange
404
Changes in investment policy
410
Investment advisory and underwriting contracts
411
Changes in board of directors provisions relative to strict trusts
414
Transactions of certain affiliated persons and underwriters
416
Capital structure
419
Dividends
423
Proxies voting trusts circular ownership
424
Loans
425
closedend companies
427
Registration of securities under Securities Act of 1933 428
428
Plans of reorganization
431
Plans of reorganization Sec 26 Unit investment trusts
432
Periodic payment plans
434
Faceamount certificate companies
438
Bankruptcy of faceamount certificate companies
445
Accounts and records
448
Accountants and auditors
449
Filing of documents with Commission in civil actions
450
Destruction and falsification of reports and records
451
Breach of fiduciary duty
452
Larceny and embezzlement
453
Rules and regulations procedure for issuance
454
Hearings by Commission
455
Court review of orders
457
Jurisdiction of offenses and suits
458
Information filed with commission
459
Liability of controlling persons preventing compliance with title
460
Separability of provisions
461
Qualifications of directors
463
Transactions with certain affiliates
464
Changes in investment policy
469
Functions and activities of business development companies
470
Loans
472
Accounts and records
473
Liability of controlling persons preventing compliance with title
474
INVESTMENT ADVISERS ACT OF 1940
475
Findings
477
Registration of investment advisers
481
Sec 203A State and Federal responsibilities
491
Annual and other reports
493
Prohibited transactions by registered investment advisers
495
General prohibitions
496
Publicity
498
Rules regulations and orders
499
Hearings
500
Short title
507
Miscellaneous provisions
536
Market Reform Act of 1990 Section 8
545
Title 5 United States Code Sections 551557 704706
551
Commodity Exchange Act Sections 2 4m 7 U S C 2 2a 6m
591
Act of September 28 1962 12 U S C 92aa b
600
Housing and Community Development Act of 1992 Section 1542
608
Farm Credit Act of 1971 Section 8 12 12 U S C 2279aa12
620
Right to Financial Privacy Act of 1978 12 U S C 3401nt3422 623
638
Federal Deposit Insurance Corporation Improvement Act of 1991 Sec
644
Reorganization Plan Number 10 of 1950 15 U S C 78d note
649
Federal Water Power Act
655
Higher Education Act of 1965 Section 4391 20 U S C 108721 669
671
European Bank for Reconstruction and Development Act as contained
677
Internal Revenue Code of 1986 Sections 103 401 403 404 414 501
711
Alaska Native Claims Settlement Act Section 28 43 U S C 1625
716
Regional Rail Reorganization Act of 1973 Section 210g 45 U S C
718
Index to Appendix
723
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Common terms and phrases

Popular passages

Page 88 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange...
Page 505 - Is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
Page 594 - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
Page 19 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Page 385 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Page 556 - ... (10) establish appropriate administrative, technical, and physical safeguards to insure the security and confidentiality of records and to protect against any anticipated threats or hazards to their security or integrity which could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom information is maintained...
Page 549 - For purposes of this section, the term "agency" as defined in section 551(1) of this title includes any executive department, military department, Government corporation, Government controlled corporation, or other establishment in the executive branch of the Government (including the Executive Office of the President), or any independent...
Page 475 - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Page 298 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken, and it shall file such modified or new findings, which,, if supported by evidence, shall be conclusive, and its recommendation, if any.

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