Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4

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U.S. Government Printing Office, 1999 - 733 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
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
Sec 4B Transfer of functions with respect to assignment of personnel to 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
Registration requirements for securities
107
Periodical and other reports
117
iii
118
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
violations
208
Sec 20A Liability to contemporaneous traders for insider trading
209
Investigations injunctions and prosecution of offenses
210
Sec 21A Civil penalties for insider trading
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
Unlawful security transactions by registered holding and subsidiary companies
284
Declarations by registered holding and subsidiary companies in respect of security transactions
285
Acquiring interest in electric and gas utility companies serving same territory
287
Acquisition of securities and utility assets and other interests
288
Approval of acquisition of securities and utility assets and other interests
289
Simplification of holding company systems
291
Intercompany loans dividends security transactions sale of utility assets proxies other transactions
295
Service sales and construction contracts
297
Periodic and other reports
300
Liability for misleading statements
302
Officers directors and other affiliates
303
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
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
Effect of prescribed indenture provisions
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
Plans of reorganization
431
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
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
Omnibus Small Business Capital Formation Act of 1980 Sections 502
651
Higher Education Act of 1965 Section 4391 20 U S C 108721
669
Asian Development Bank Act Section 11 22 U S C 285h
673
European Bank for Reconstruction and Development Act as contained
677
Internal Revenue Code of 1986 Sections 103 401 403 404 414 501
711
Regional Rail Reorganization Act of 1973 Section 210g 45 U S C
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Common terms and phrases

Popular passages

Page 3 - ... security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
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...
Page 96 - 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 661 - Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises...
Page 5 - commerce' means trade, traffic, commerce, transportation, or communication among the several States, or between the District of Columbia or any Territory of the United States and any State or other Territory, or between any foreign country and any State, Territory, or the District of Columbia, or within the District of Columbia or any Territory, or between points in the same State but through any other State or any Territory or the District of Columbia or any foreign country. "(7) The term 'affecting...
Page 138 - 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 710 - Exemption shall not be denied any such corporation because it has capital stock, if the dividend rate of such stock is fixed at not to exceed the legal rate of interest in the State of incorporation or 8...
Page 669 - 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 211 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
Page 458 - ... 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.

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