Compilation of Securities Laws Within the Jurisdiction of the Committee on ... - United States - Google Libros

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CONTENTS

SECURITIES ACT OF 1933

Page

Sec. 2. Definitions

Sec. 3. Exempted securities

Sec. 4. Exempted transactions

5. Prohibitions relating to interstate commerce and the mails

6. Registration of securities and signing of registration statement

7. Information required in registration statement

Sec. 8. Taking effect of registration statements and amendments thereto

Sec. 8A. Cease-and-desist proceedings

Sec. 9. Court review of orders

Sec. 10. Information required in prospectus

Sec. 11. Civil liabilities on account of false registration statement

Sec. 12. Civil liabilities arising in connection with prospectuses and

Sec. 18. Exemption from State regulation of securities offerings

Sec. 19. Special powers of Commission

Sec. 25. Jurisdiction of other Government agencies over securities

Sec. 26. Separability of provisions

Sec. 27. Private securities litigation

Sec. 27A. Application of safe harbor for forward-looking statements

Sec. 28. General exemptive authority

SECURITIES EXCHANGE ACT OF 1934

Sec. 1. Short title

Sec. 2. Necessity for regulations as provided in this title

3. Definitions and application of title

Sec. 4. Securities and Exchange Commission

Sec. 4A. Delegation of functions by Commission

Sec. 4B. Transfer of functions with respect to assignment of personnel to

Sec. 5. Transactions on unregistered exchanges

Sec. 6. National securities exchanges

Sec. 7. Margin requirements

Sec. 8. Restrictions on borrowing by members, brokers, and dealers

Sec. 9. Prohibition against manipulation of security prices

Sec. 10. Regulation of the use of manipulative and deceptive devices

Sec. 10A. Audit requirements

Sec. 11. Trading by members of exchanges, brokers, and dealers

Sec. 12. Registration requirements for securities

Sec. 13. Periodical and other reports

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Sec. 11A. National market system for securities; securities information

Sec. 14. Proxies

Sec. 15. Registration and regulation of brokers and dealers

Sec. 15A. Registered securities associations

Sec. 15B. Municipal securities

Sec. 15C. Government securities brokers and dealers

Sec. 16. Directors, officers, and principal stockholders

Sec. 17. Accounts and records, examinations of exchanges, members, and

Sec. 17A. National system for clearance and settlement of securities

Sec. 17B. Automated quotation for penny stocks

Sec. 18. Liability for misleading statements

Sec. 19. Registration, responsibilities, and oversight of self-regulatory

Sec. 20. Liability of controlling persons and persons who aid and abet

Sec. 20A. Liability to contemporaneous traders for insider trading

Sec. 21. Investigations; injunctions and prosecution of offenses

Sec. 21A. Civil penalties for insider trading

Sec. 21E. Application of safe harbor for forward-looking statements

Sec. 22. Hearings by Commission

Sec. 23. Rules, regulations, and orders; annual reports

Sec. 27A. Special provision relating to statute of limitations on private

causes of action

Sec. 30A. Prohibited foreign trade practices by issuers

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Sec. 3. Power to make particular exemptions regarding holding companies,

subsidiary companies, and affiliates

Sec. 4. Transactions by unregistered holding companies

Sec. 5. Registration of holding companies

Sec. 6. Unlawful security transactions by registered holding and subsidiary

Sec. 7. Declarations by registered holding and subsidiary companies in

respect of security transactions

Sec. 8. Acquiring interest in electric and gas utility companies serving same

Sec. 9. Acquisition of securities and utility assets and other interests

Sec. 10. Approval of acquisition of securities and utility assets and other

Sec. 11. Simplification of holding-company systems

Sec. 12. Intercompany loans; dividends; security transactions; sale of utility

assets; proxies; other transactions

Sec. 18. Investigations; injunctions, enforcement of title, and prosecution of

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Sec. 27. Liability of controlling persons; preventing compliance with title

Sec. 28. Unlawful representations

Sec. 29. Penalties

Sec. 30. Study of public-utility and investment companies

Sec. 31. Hiring and leasing authority of the Commission

Sec. 32. Exempt wholesale generators

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Sec. 304. Exempted securities and transactions

Sec. 305. Securities required to be registered under Securities Act

Sec. 306. Securities not registered under Securities Act

Sec. 307. Qualification of indentures covering securities not required to be

Sec. 308. Integration of procedure with Securities Act and other Acts

Sec. 309. When qualification becomes effective; effect of qualification

Sec. 310. Eligibility and disqualification of trustee

Sec. 314. Reports by obligor; evidence of compliance with indenture

Sec. 315. Duties and responsibility of the trustee

Sec. 316. Directions and waivers by bondholders; prohibition of impairment

of holder's right to payment

Sec. 317. Special powers of trustee; duties of paying agents

Sec. 322. Court review of orders; jurisdiction of offenses and suits

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9. Ineligibility of certain affiliated persons and underwriters

Sec. 10. Affiliations of directors

Sec. 15. Investment advisory and underwriting contracts

Sec. 16. Changes in board of directors; provisions relative to strict trusts

Sec. 17. Transactions of certain affiliated persons and underwriters

Sec. 18. Capital structure

Sec. 22. Distribution, redemption, and repurchase of redeemable securities

Sec. 23. Distribution and repurchase of securities: closed-end companies

Sec. 24. Registration of securities under Securities Act of 1933

Sec. 25. Plans of reorganization

Sec. 26. Unit investment trusts

Sec. 27. Periodic payment plans

Sec. 28. Face-amount certificate companies

Sec. 29. Bankruptcy of face-amount certificate companies

Sec. 30. Periodic and other reports; reports of affiliated persons

Sec. 31. Accounts and records

Sec. 32. Accountants and auditors

Sec. 33. Filing of documents with Commission in civil actions

Sec. 34. Destruction and falsification of reports and records

Sec. 35. Unlawful representations and names

Sec. 38. Rules, regulations, and orders; general powers of Commission

Sec. 39. Rules and regulations; procedure for issuance

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Sec. 46. Annual reports of Commission; employees of the Commission

Sec. 47. Validity of contracts

Sec. 48. Liability of controlling persons; preventing compliance with title

Sec. 49. Penalties

Sec. 50. Effect on existing law

Sec. 52. Short title

Sec. 54. Election to be regulated as a business development company

Sec. 55. Functions and activities of business development companies

Sec. 56. Qualifications of directors

Sec. 60. Functions and activities of business development companies

Sec. 61. Capital structure

Sec. 65. Liability of controlling persons; preventing compliance with title

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Sec. 204A. Prevention of misuse of nonpublic information

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Sec. 213. Court review of orders

Sec. 214. Jurisdiction of offenses and suits

Sec. 215. Validity of contracts

Sec. 216. Annual reports of Commission

Sec. 217. Penalties

Sec. 218. Hiring and leasing authority of the Commission

Sec. 219. Separability of provisions

Sec. 220. Short title

Sec. 221. Effective date

Sec. 222. State regulation of investment advisers

SECURITIES INVESTOR PROTECTION ACT OF 1970

Sec. 1. Short title

Sec. 2. Application of Securities Exchange Act of 1934

3. Securities Investor Protection Corporation

Sec. 5. Protection of customers

6. General provisions of a liquidation proceeding

Sec. 7. Powers and duties of trustee

Sec. 8. Special provisions of a liquidation proceeding

Sec. 9. SIPC advances

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Temporary Reporting Provisions:

Market Reform Act of 1990, Section 8

Penny Stock Reform Act of 1990 (Title V of the Securities Enforcement

Remedies and Penny Stock Reform Act of 1990), Sections 504(b) and

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Title 5, United States Code, Sections 551-557, 704-706

Commodity Exchange Act, Sections 2, 4m (7 U.S.C. 2, 2a, 6m)

Title 11, United States Code, Sections 1109(a), 1125, 1129(d), 1145

Act of September 28, 1962 (12 U.S.C. 92a(a) (b))

Act of October 28, 1974, Section 111 (12 U.S.C. 250)

Export-Import Bank Act of 1945, Section 18(c)(3) (12 U.S.C. 6351-6)

Agricultural Marketing Act, Section 15(a) (12 U.S.C. 1141j(a))

Federal Home Loan Mortgage Corporation Act, Section 306 (a), (g) (12

U.S.C. 1455 (a), (g))

National Housing Act, Sections 302(c)(1), 304(d)-(e), 311 (12 U.S.C.

1717(c)(1), 1719(d)–(e), 1723c).

Housing and Community Development Act of 1992, Section 1542 (12

U.S.C. 1831m-1)

Bank Holding Company Act of 1956, Section 2 (12 U.S.C. 1841)

Farm Credit Act of 1971, Section 8.12 (12 U.S.C. 2279aa-12)

Right to Financial Privacy Act of 1978 (12 U.S.C. 3401nt-3422)

Federal Deposit Insurance Corporation Improvement Act of 1991, Sec-

tions 401-407 (12 U.S.C. 4401-4407)

Reorganization Plan Number 10 of 1950 (15 U.S.C. 78d note)

Omnibus Small Business Capital Formation Act of 1980, Sections 502,

503, 504, 506 (15 U.S.C. 80c-80c-3)

Liability Risk Retention Act of 1986, Sections 2(a)(4), 5 (15 U.S.C. 3901,

Federal Water Power Act

Title 18, United States Code, Sections 152, 471-473, 474A, 494, 495,

510, 513, 1001, 1341–1343, 3571-3574, 6001-6004

Higher Education Act of 1965, Section 439(1) (20 U.S.C. 1087–2(1))

International Finance Corporation Act, Section 13 (22 U.S.C. 282k)

Inter-American Development Bank Act, Sections 11-12 (22 U.S.C. 283h-

Asian Development Bank Act, Section 11 (22 U.S.C. 285h)

Bretton Woods Agreements Act, Section 15 (22 U.S.C. 286k-1)

Act of June 29, 1949, Section 3 (22 U.S.C. 286k-2)

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