Sidebilder
PDF
ePub

100TH CONGRESS

2d Session

]

COMMITTEE PRINT

COMMITTEE PRINT 100-S

COMPILATION OF SECURITIES LAWS
WITHIN THE JURISDICTION OF THE
COMMITTEE ON ENERGY

AND COMMERCE

INCLUDING

SECURITIES ACT OF 1933 ·
SECURITIES EXCHANGE ACT OF 1934
PUBLIC UTILITY HOLDING COMPANY ACT OF 1935

TRUST INDENTURE ACT OF 1939
INVESTMENT COMPANY ACT OF 1940

INVESTMENT ADVISERS ACT OF 1940
SECURITIES INVESTOR PROTECTION ACT OF 1970

FEBRUARY 1988

Printed for the use of the
House Committee on Energy and Commerce

U.S. GOVERNMENT PRINTING OFFICE

80-258

WASHINGTON : 1988

For sale by the Superintendent of Documents, Congressional Sales Office

U.S. Government Printing Office, Washington, DC 20402

U. S. Depository Copy

COMMITTEE ON ENERGY AND COMMERCE

JOHN D. DINGELL, Michigan, Chairman JAMES H. SCHEUER, New York

NORMAN F. LENT, New York HENRY A. WAXMAN, California

EDWARD R. NADIGAN, Illinois PHILIP R. SHARP, Indiana

CARLOS J. MOORHEAD, California JAMES J. FLORIO, New Jersey

MATTHEW J. RINALDO, New Jersey EDWARD J. MARKEY, Massachusetts

WILLIAM E. DANNEMEYER, California THOMAS A. LUKEN, Ohio

BOB WHITTAKER, Kansas DOUG WALGREN, Pennsylvania

THOMAS J. TAUKE, Iowa AL SWIFT, Washington

DON RITTER, Pennsylvania MICKEY LELAND, Texas

DAN COATS, Indiana CARDISS COLLINS, Illinois

THOMAS J. BLILEY, JR., Virginia MIKE SYNAR, Oklahoma

JACK FIELDS, Texas W.J. "BILLY” TAUZIN, Louisiana

MICHAEL G. OXLEY, Ohio RON WYDEN, Oregon

HOWARD C. NIELSON, Utah RALPH M. HALL, Texas

MICHAEL BILIRAKIS, Florida DENNIS E. ECKART, Ohio

DAN SCHAEFER, Colorado WAYNE DOWDY, Mississippi

JOE BARTON, Texas
BILL RICHARDSON, New Mexico

SONNY CALLAHAN, Alabama
JIM SLATTERY, Kansas
GERRY SIKORSKI, Minnesota
JOHN BRYANT, Texas
JIM BATES, California
RICK BOUCHER, Virginia
JIM COOPER, Tennessee
TERRY L. BRUCE, Illinois

WM. MICHAEL KITZMILLER, Staff Director
PAUL C. SMITH, Minority Counsel/Staff Director

(II)

CONTENTS

Securities Act of 1933 ........

Securities Exchange Act of 1934.

Public Utility Holding Company Act of 1935.....

Trust Indenture Act of 1939

Investment Company Act of 1940.

Investment Advisers Act of 1940 ....

Securities Investor Protection Act of 1970

Appendix:

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 16(d) (12 U.S.C. 6351-4)

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, Section 302(c)(1), 304(d)-e), 311 (12 U.S.C.

1717(cX1), 1719(d)-e), 1723c)............

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

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

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 1981, Sections 2(a)(4), 5 (15 U.S.C. 3901,

3904)...

Federal Water Power Act......

Title 18, United States Code, Sections 152, 471-473, 494, 495, 1001, 1341-

1343, 3623, 6001-6004..........

Higher Education Act of 1965, Sections 439(1), 466(a)(4), (20 U.S.C. 1087–

2(1), 1087hh(a/4))...............

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

486

488

283i)...........

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)............

African Development Bank Act, Section 1341 (22 U.S.C. 290i-9)........

Internal Revenue Code of 1954, Sections 103, 401, 403(b)(1), 404(a)(2),

414d), 501 (a), (c)2), (c)(16), 521, 851 (X1), (e)(3) (26 U.S.C. 103, 401,

403(b)(1), 404(a)2), 414(d), 501 (a), (cX2), (c)16), 521, 851 (eX1), (e)(3))

Internal Revenue Code of 1986, Sections 401, 403, 404, 414, 501, 521, 851 ....

Employee Retirement Income Security Act, Section 3(21) (29 U.S.C.

1002(21))..

Alaska Native Claims Settlement Act, Section 28 (43 U.S.C. 1625)......

Regional Rail Reorganization Act of 1973, Section 210(g) (45 U.S.C.

720(g))..........

Communications Act of 1934, Section 3 (h), (t) (47 U.S.C. 153 (h) (t))...

Title 49, Section 11367 ............

Regulatory Definition of “Separately Identifiable Department or Division

of a Bank,” Rule g-1 ...........

Index to Appendix.

(III)

501

503

504

505

506

507

514

532

533

534

535

536

537

539

« ForrigeFortsett »