Laws Relating to Securities Commission, Exchanges and Holding Companies

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U.S. Government Printing Office, 1976

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Contenido

Hearings by Commission
22
Penalties
24
Effect on Existing
28
Securities and Exchange Commission
29
Margin Requirements
31
88
39
Foreign Securities Exchanges
45
Separability of Provisions__
51
Bection Page
52
Approved August 3 1939
56
AN
57
III
61
Transactions by Unregistered Holding Companies
67
Acquisition of Securities and Utility Assets and Other Interests
73
Bection Page 10 Approval of Acquisition of Securities and Utility Assets and Other Interests
74
Simplification of Holding Company 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
Rules Regulations and Orders 22 Information Filed with the Commission_
91
Annual Report of Commission
92
Jurisdiction of Offenses and Suits
93
Liability of Controlling Persons Preventing Compliance with Title
94
Study of PublicUtility and Investment Companies
95
AMENDMENTS TO FEDERAL WATER POWER ACT PART I
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
To provide for the regulation of the sale of certain securities in interstate and foreign cominerce and through
101
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
Provides that Sections 1 to 29 inclusive of the Federal Water Power Act as amended shall constitute Part I 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 Memorand...
113
Rates of Depreciation
114
6 Dues
157
thereof the following Title III which is divided into sections and may be cited
164
Securities Not Registered under Securities Act
171
20
175
Bondholders Lists
181
Special Powers of Trustee Duties of Paying Agents
190
To provide for the registration and regulation of investment companies and investment advisers and for other purposes TITLE I INVESTMENT CO...
196
General Definitions___
197
2 Affiliated company
198
9 Control
199
15 Faceamount certificate
200
Creation of Corporation of Foreign Security Holders
201
31
202
35 Security 37 State
203
40 Voting Security
204
Definition of investment company
205
Classification of Investment Companies___
207
Bection Page
208
Affiliations of Directors
215
Subsection c of Section 15 of Securities Exchange Act as amended
216
Dividends____
232
23
235
Periodic Payment Plans__
240
Bection Page
241
Bankruptcy of FaceAmount Certificate Companies
247
Bection Page
253
material fact in registration statement or any report filed
258
Validity of Contracts
259
Registration of Investment Advisers
263
Hearings
270
To amend section 31 of the Securities Exchange Act 1934 Approved
273
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
Act of August 22 1964 To amend section 341 of the Internal Revenue
326
c Adoption of rules of exchange which are not inconsistent with
328
Act of October 22 1965 To amend the Securities Act of 1933 with respect Page
329
Section 32 of Securities Exchange Act of 1934 as amended is amended
337
Act of October 20 1969 To amend section 19e of the Securities
346
4 Making false or misleading statements to induce purchase
368
Act of June 4 1975 Securities Acts Amendments of 1975 Pub
373
36
379
87
414

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Página 15 - Board, on the ground that the testimony or evidence required of him may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for...
Página 45 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Página 63 - ... 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.
Página 123 - The District Courts of the United States, the Supreme Court of the District of Columbia, and the United States courts of any Territory or other place subject to the jurisdiction of the United States shall have exclusive jurisdiction of violations of this Act or...
Página 431 - 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.
Página 42 - This subsection shall not be construed to cover any transaction where such beneficial owner was not such both at the time of the purchase and sale, or the sale and purchase, of the security involved, or any transaction or transactions which the Commission by rules and regulations may exempt as not comprehended within the purpose of this subsection.
Página 119 - Congress and to submit therewith recommendations for additional legislation; and to provide for the publication of its reports and decisions in such form and manner as may be best adapted for public information and use.
Página 299 - 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...
Página 47 - States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Página 275 - ... (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise; or (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.

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