Notes to the Reader

1. Any material contained within brackets [ ] is not part of text of the law but is inserted as an aid to the reader.

2. Citations have been included to enable the reader to locate t same material in the United States Code (U.S.C.). These citatio are not a part of the text of the law in which they appear. changes after the closing date of this publication (December 2002) to provisions of law in this publication that have citations the U.S. Code, see the United States Code Classification Tab published by the Office of the Law Revision Counsel of the Hou of Representatives at http://uscode.house.gov/uscct.htm.

REVISED THROUGH DECEMBER 31, 2002

(III)

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

Gramm-Leach-Bliley Act

Commodity Futures Modernization Act of 2000

Sarbanes-Oxley Act of 2002

Temporary Reporting Provisions:

Market Reform Act of 1990, Section 8

Penny Stock Reform Act of 1990 (Title V of the Securities

Remedies and Penny Stock Reform Act of 1990), Section

510

Appendix:

Title 5, United States Code, Sections 551-557, 704-706 .....

Commodity Exchange Act, Sections 1a, 2, 4m and 12 (7

2a, 6m, and 16)

Title 11, United States Code, Sections 523(a), 1109(a), 1

1145

Revised Statutes of the United States, Sections 5136 an

U.S.C. 24 and 24A)

Act of September 28, 1962 (12 U.S.C. 92a(a)–(b))

Act of October 28, 1974, Section 111 (12 U.S.C. 250)

Federal Reserve Act, Sections 23A and 23B (12 U.S.

371c-1)

Export-Import Bank Act of 1945, Section 18(c)(3) (12 U.S.C.

Agricultural Marketing Act, Section 15(a) (12 U.S.C. 1141j(a)

Federal Home Loan Mortgage Corporation Act, Section 30

U.S.C. 1455 (a), (g))

National Housing Act, Sections 302(c)(1), 304(d)-(e), 311

1717(c)(1), 1719(d)-(e), 1723c)

Housing and Community Development Act of 1992, Secti

U.S.C. 1831m-1)

Bank Holding Company Act of 1956, Sections 4(c) and
and (g) (12 U.S.C. 1843 and 1844)

Farm Credit Act of 1971, Section 8.12 (12 U.S.C. 2279aa−12)

Right to Financial Privacy Act of 1978 (12 U.S.C. 3401nt-342

Federal Deposit Insurance Corporation Improvement A

Sections 401-407 (12 U.S.C. 4401-4407)

Reorganization Plan Number 10 of 1950 (15 U.S.C. 78d note)

Omnibus Small Business Capital Formation Act of 1980,

503, 504, 506 (15 U.S.C. 80c-80c-3)

Liability Risk Retention Act of 1986, Sections 2(a)(4), 5 (15

3904)

Federal Water Power Act, Section 204(h)

Title 18, United States Code, Sections 152, 471-473, 474

510, 513, 514, 1001, 1341–1343, 1348–1350, 1512, 1513,

1520, 3571-3574, 6001-6004

Higher Education Act of 1965, Section 439(1) (20 U.S.C. 1087
International Finance Corporation Act, Section 13 (22 U.S.C.
Inter-American Development Bank Act, Section 11 (22 U.S.C
Asian Development Bank Act, Section 11 (22 U.S.C. 285h)
Bretton Woods Agreements Act, Section 15 (22 U.S.C. 286k–
Act of June 29, 1949, Section 3 (22 U.S.C. 286k-2)

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

Page

Appendix-Continued

European_Bank for Reconstruction and Development Act, as contained

in the Foreign Operations, Export Financing, and Related Programs

Appropriations Act, 1991 (22 U.S.C. 2901 note, 2901, 2901-7)

845

Internal Revenue Code of 1986, Sections 103, 401, 403, 404, 414, 501,

521, 851

847

Title 28, United States Code, Section 1658

883

Employee Retirement Income Security Act, Sections 3(21), 101(i), 501

(29 U.S.C. 1002(21), 1021(i), 1131)

884

Subchapter II of Chapter 53 of Title 31, United States Code

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))

888

924

926

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

Title 49, United States Code, Section 11367

Regulatory Definition of "Separately Identifiable Department or Division

of a Bank," Rule G-1

927

928

929

vi

SECURITIES ACT OF 1933