COMPILATION OF SECURITIES LAWS WITHIN THE JURISDICTION OF THE INCLUDING SECURITIES ACT OF 1933 SECURITIES EXCHANGE ACT OF 1934 INVESTMENT COMPANY ACT OF 1940 INVESTMENT ADVISERS ACT OF 1940 SECURITIES INVESTOR PROTECTION ACT OF 1970 100TH CONGRESS 1st Session } HOUSE OF REPRESENTATIVES { COMMITTEE PRINT 100-F 69-037 O COMPILATION OF SECURITIES LAWS WITHIN THE JURISDICTION OF THE INCLUDING SECURITIES ACT OF 1933 SECURITIES EXCHANGE ACT OF 1934 INVESTMENT COMPANY ACT OF 1940 INVESTMENT ADVISERS ACT OF 1940 SECURITIES INVESTOR PROTECTION ACT OF 1970 MARCH 1987 Printed for the use of the House Committee on Energy and Commerce U.S. GOVERNMENT PRINTING OFFICE WASHINGTON: 1987 For sale by the Superintendent of Documents, Congressional Sales Office COMMITTEE ON ENERGY AND COMMERCE JOHN D. DINGELL, Michigan, Chairman JAMES H. SCHEUER, New York JAMES J. FLORIO, New Jersey EDWARD J. MARKEY, Massachusetts DOUG WALGREN, Pennsylvania MICKEY LELAND, Texas CARDISS COLLINS, Illinois W.J. "BILLY" TAUZIN, Louisiana RON WYDEN, Oregon BILL RICHARDSON, New Mexico NORMAN F. LENT, New York MATTHEW J. RINALDO, New Jersey WILLIAM E. DANNEMEYER, California BOB WHITTAKER, Kansas THOMAS J. TAUKE, Iowa DON RITTER, Pennsylvania DAN COATS, Indiana THOMAS J. BLILEY, JR., Virginia JACK FIELDS, Texas MICHAEL G. OXLEY, Ohio SONNY CALLAHAN, Alabama WM. MICHAEL KITZMILLER, Staff Director PAUL C. SMITH, Minority Counsel/Staff Director (II) CONTENTS Page Securities Exchange Act of 1934. Public Utility Holding Company Act of 1935. Investment Company Act of 1940. 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 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)) Liability Risk Retention Act of 1981, Sections 2(a)(4), 5 (15 U.S.C. 3901, 483 Inter-American Development Bank Act, Sections 11-12 (22 U.S.C. 283h- 498 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), 414(d), 501 (a), (c)(2), (c)(16), 521, 851 (e)(1), (e)(3) (26 U.S.C. 103, 401, 403(b)(1), 404(a)(2), 414(d), 501 (a), (c)(2), (c)(16), 521, 851 (e)(1), (e)(3)) . Employee Retirement Income Security Act, Section 3(21) (29 U.S.C. 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.Č. 153 (h) (t)) . Regulatory Definition of "Separately Identifiable Department or Division |