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

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

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

35	202

Securities and Exchange Commission	29

Margin Requirements	31

Investigations Injunctions and Prosecution of Offenses	45

Extract from	53

Securities and Exchange Commission authorized and directed	55

Approved August 3 1939	56

AN	57

Power to Make Particular Exemptions Regarding Holding Companies	65

Acquiring Interest in Electric and Gas Utility Companies Serving	72

Approval of Acquisition of Securities and Utility Assets and Other	74

Service Sales and Construction Contracts__	84

Rules and Regulations Procedure for Issuance_	89

Hearings by Commission	90

Federal Water Power Act as amended is further amended by adding	96

To provide for the regulation of the sale of certain securities in interstate and foreign cominerce and through	101

Fixing Rates and Charges Determination of Cost of Production	112

Bection Page	115

Enforcement of Act Regulations and Orders	121

Separability of Provisions	123

Securities of a borrowing government or subdivision thereof	129

180	130

Proceedings Subsequent to Approval of Petition	136

13 55	146

Dismissals and Adjudications	148

Public No 71975th Cong Chapter 6773d Sess	155

8 Rules must provide for discipline	158

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

e Recitals as to basis of certificate or opinion	187

36 Shortterm paper	203

40 Voting Security	204

Definition of investment company	205

Classification of Investment Companies	207

Bection Page	208

Affiliations of Directors__	215

Dividends	232

12 Dealer	234

Periodic Payment Plans__	240

Bection Page	241

Bankruptcy of FaceAmount Certificate Companies	247

33	252

Unlawful Representations and Names	253

46 129	258

Exempted Securities	262

Annual and Other Reports___	266

Exempted transactions	272

55	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

352	321

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

80	339

Act of October 20 1969 To amend section 19e of the Securities	346

Inapplicability of Section to securities sold in a single State	349

93	366

Title	Laws Relating to Securities Commission, Exchanges and Holding Companies (with Indices)
Author	United States
Compiled by	Gilman G. Udell
Publisher	U.S. Government Printing Office, 1973
Original from	University of Minnesota
Digitized	13 Sep 2018
Length	372 pages

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