Laws Relating to Securities Commission, Exchanges and Holding Companies (with Indices)

Front Cover
U.S. Government Printing Office, 1973 - Holding companies - 372 pages

From inside the book

Contents

Securities and Exchange Commission
29
Segregation and Limitation of Functions of Members Brokers
36
Information Filed with the Commission___
47
Page
52
Approved August 3 1939
56
AN
57
Definitions
58
Power to Make Particular Exemptions Regarding Holding Companies
65
Acquiring Interest in Electric and Gas Utility Companies Serving
72
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
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 Memoranda
113
Rates of Depreciation
114
Bection Page
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
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
30 Prospectus
202
35 Security 37 State___
203
40 Voting Security
204
Definition of investment company
205
Classification of Investment Companies
207
Bection Page
208
b Requirement that rules of the exchange provide for expulsion
214
Affiliations of Directors___
215
Size of Investment Companies
221
26
226
i Liability of investment advisers and principal underwriters
227
Section Page
232
12 Dealer
234
23
235
27
240
Bection Page
241
Bankruptcy of FaceAmount Certificate Companies
247
Section Page
253
46
258
Validity of Contracts
259
Exempted Securities
262
Annual and Other Reports___
266
Section Page
271
To define bank holding companies control their future expansion
281
To promote and preserve local management of savings and loans associa
295
78
298
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
Act of October 20 1969 To amend section 19e of the Securities
346
Prohibitions Relating to Interstate Commerce and the Mails
349
Registration of Securities and Signing of Registration Statement
361
57
366

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Common terms and phrases

Popular passages

Page 25 - ... 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 14 - If any provision of this Act, or the application of such provision to any person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby.
Page 13 - 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 39 - ... months, unless such security was acquired in good faith in connection with a debt previously contracted, shall inure to and be recoverable by the issuer, irrespective of any intention on the part of such beneficial owner, director, or officer in entering into such transaction of holding the security purchased or of not repurchasing the security sold for a period exceeding six months.
Page 121 - 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 12 - 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 356 - ... as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act, as amended, and the purposes for which securities may be issued under that Act, as amended, are extended to include any purchase of such notes and obligations.
Page 90 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347...
Page 109 - Commission, upon filing with such schedule and delivering to the carrier or carriers affected thereby a statement in writing of its reasons for such suspension, may suspend the operation of such schedule and defer the use of such rate, fare, or charge, classification, regulation, or practice, but not for a longer period than one hundred and twenty days beyond the time when it would otherwise go into effect...
Page 119 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.

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