Laws Relating to Securities Commission, Exchanges and Holding Companies

Front Cover
U.S. Government Printing Office, 1976 - Corporation law

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Contents

Sootion
46
booties Tago
52
Section
56
Exempted transactions
68
Approval of Acquisition of Securities and Utility Assets and Other Interests
74
Simplification of Holding Company System
76
Utility Assets Proxies Other Transactions
79
Service Sales and Construction Contracts
82
Periodic and Other Reports
84
Begregation and Limitation of Functions of Members Brokers
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
Short Title
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 comiderce and througb
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 Pago 301 Accounts Records and Memoranda
113
Rates of Depreciation
114
Appointment of Officers and Employees
119
Amendment to Subsection a of Section 17 of the Securities Exchange
129

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Page 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...
Page 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.
Page 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.
Page 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...
Page 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.
Page 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.
Page 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.
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...
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 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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