Laws Relating to Securities Commission, Exchanges and Holding Companies

Front Cover
U.S. Government Printing Office, 1973

From inside the book

Contents

11 Equity Security
38
88
39
Investigations Injunctions and Prosecution of Offenses
45
26
48
12 Exempted Security or Exempted Securities
55
Approved August 3 1939
56
AN
57
Transactions by Unregistered Holding Companies
67
Acquisition of Securities and Utility Assets and Other Interests
73
Section 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
Foreign Securities Exchanges _
80
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
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
Commission and Federal Reserve Board Powers
98
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
112
LICENSES AND PUBLIC UTILITIES PROCEDURal and AdmiNISTRATIVE PROVISIONS Bection Page 301 Accounts Records and Memoranda 1...
113
Rates of Depreciation
114
Section Pago
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
Proceedings Subsequent to Approval of Petition
136
Confirmation and Consummation of Plan
146
e Recitals as to basis of certificate or opinion
187
Court Review of Orders Jurisdiction of Offenses and Suits
193
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
34
202
36 Shortterm paper
203
40 Voting Security
204
Definition of investment company
205
1 Faceamount certificate company
207
Bection Page
208
e Commission may request amendment suspension or revoca
214
87
217
Size of Investment Companies
221
i Liability of investment advisers and principal underwriters
227
Section Page
232
12 Dealer
234
30
236
Periodic Payment Plans
240
29
247
31
250
Bection Page
253
46
258
Validity of Contracts
259
Exempted Securities
262
Registration of Investment Advisers
263
Rules Regulations and Orders
269
Section Page
271
Registration Fees
273
To define bank holding companies control their future expansion
281
Separability of Provisions__
294
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
Exempted transactions
324
Act of August 22 1964 To amend section 341 of the Internal Revenue
326
Act of October 22 1965 To amend the Securities Act of 1933 with respect Page
329
3 Exclusive exchange of securities with existing security
336
Act of July 29 1968 To amend the Securities Exchange Act of 1934
338
33
339
Act of October 20 1969 To amend section 19e of the Securities
346
Information Required in Registration Statement
352
Page
366

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Common terms and phrases

Popular passages

Page 256 - 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.
Page 27 - ... 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 48 - 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...
Page 15 - Commission or any member thereof or any officer designated by it, or in any cause, or proceeding instituted by the Commission, on the ground that the testimony or evidence, documentary or otherwise, 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...
Page 123 - States shall have exclusive jurisdiction of violations of this Act or the rules, regulations, and orders thereunder, and of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of, this Act or any rule, regulation, or order thereunder.
Page 358 - Such notes or other obligations shall bear interest at a rate determined by the Secretary of the Treasury, taking into consideration the current average market yield on outstanding marketable obligations of the United States of comparable maturities during the month preceding the issuance of the notes or other obligations. The Secretary of the Treasury may reduce the interest rate if he determines such reduction to be in the national interest.
Page 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.
Page 122 - States the sum of $100 for each and every day of the continuance of such failure, which forfeiture shall be payable into the Treasury of the United States, and shall be recoverable in a civil suit in the name of the United States...
Page 14 - Commission deems it necessary or desirable, of separate and/or consolidated balance sheets or income accounts of any person directly <or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer...
Page 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...

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