Laws Relating to Securities Commission, Exchanges and Holding Companies, with Indices

Front Cover
U.S. Government Printing Office, 1959 - Holding companies - 297 pages
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Contents

Public No 2273d Cong Approved May 26 1933
1
General Definitions a Definitions of Specific terms Advisory board 2 Affiliated company
2
Section
3
Assignment 5 Bank
5
6 Broker
6
Bection Page
7
8 Company
8
9 Control
9
Study of PublicUtility and Investment Companies
95
Amendment to Section 3 of the Federal Water Power Act Definitions
96
Amendment to Section 4 of the Federal Water Power Act
97
Amendment to Section 5 of the Federal Water Power Act
99
Amendment to Section 6 of the Federal Water Power Act
100
Amendment to Section 14 of the Federal Water Power Act
103
Amendment to Section 18 of the Federal Water Power Act
104
Amendment to Section 24 of the Federal Water Power Act
105

Section Page 10 A of Acquisition of Securities and Utility Assets and Other
10
Pealer 12 Director
12
Additional Remedies
13
Section Page
14
Exchange 15 Faceamount certificate
15
16 Government security
16
17 Insurance company
17
18 Interstate Commerce
18
Investment adviser of an investment company 20 Investment banker
20
Creation of Corporation of Foreign Security Holders
21
22 Lend
22
23 Majorityowned subsidiary
23
24 Means or instrumentality of Interstate Commerce
24
Short Title
25
26 Periodic payment plan certificate
26
8
27
28 Principal underwriter
28
Registration of Investment Advisors Unregistered investment advisers prohibited from using mails
29
31 Redeemable security
31
32 Reorganization
32
Prohibition against Manipulation of Security Prices
33
83 Sale sell 34 Sales load
34
20
37
Section Page
49
Section Page
52
204
53
Transactions by Unregistered Holding Companies
67
Raising or depressing price of security 3 Dissemination of information to effect rise or fall or price
70
Acquisition of Securities and Utility Assets and Other Interests
73
nterests
74
Simplification of System
76
Intercompany Loans Dividends Security Transactions Sale of Utility Assets Proxies Other Transactions
79
Service Sales and Construction Contracts
82
Periodic and Other Reports
84
Accounts and Records
85
Liability for Misleading Statements
86
Officers Directors and Other Affiliates
87
Investigations Injunctions Enforcement of Title and Prosecution of Offenses
88
Hearings by Commission
90
Effect on Existing Law
91
Annual Report of Commission
92
Jurisdiction of Offenses and Suits
93
Liability of Controlling Persons Preventing Compliance with Title
94
Provides that Sections 1 to 29 inclusive of the Federal Water Power Act as amended shall constitute Parti of that Act Sections 25 to 30 of such Act as ...
106
Interconnection and Coordination of Facilities Emergencies Trans mission to Foreign Countries
107
Disposition of Property Consolidations Purchase of Securities
109
Rates and Charges Schedules Suspension of New Rates
110
Fixing Rates and Charges Determination of Cost of Production or Transmission
112
LICENSEs AND PUBLIC UTILITIEs PROCEDURAL AND ADMINISTRATIVE PROVISIONs Section Page 301 Accounts Records and Memoranda
113
Rates of Depreciation
114
8ection Page
115
Enforcement of Act Regulations and Orders
121
Amendment to Subsection a of Section 17 of the Securities Exchange
129
Effect of this Act on Liability arising Prior to Effective Date
130
b Filing fee
134
Proceedings Subsequent to Approval of Petition
136
Confirmation and Consummation of Plan
146
Information Required in Registration Statement
151
When Chapter Takes Effect
154
Section Page
156
C
163
To provide for the regulation of the sale of certain securities in interstate and foreign commerce and through the mails and the regulation of the trust ...
164
Registration of Investment Companies 212
196
39 Value
203
40
204
Definition of investment company a Definitions b Persons excepted notwithstanding section 3 a3
205
Classification of Investment Companies
207
Affiliations of Directors
215
Section Page
232
Periodic Payment Plans
240
Section Page
241
1 Faceamount certificate company
245
29
247
2 Unit investment trust
253
Enforcement of Title
255
43
257
Walidity of Contracts
259
Separability of Provisions
272
3 Management company
279
To define bank holding companies control their future expansion
281
To promote and preserve local management of Savings and loans associa
295
Act of September 13 1960 To amend certain provisions of the Trust
303
Act of August 20 1964 To amend the Securities Act of 1933 as amended
309
Copies of rules of the exchange 4 Agreement to furnish copy of amendments to rules of
325
Act of August 22 1964 To amend section 341 of the Internal Revenue
326
Separability of Provisions
328

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