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COMPILATION OF SECURITIES LAWS
WITHIN THE JURISDICTION OF THE

COMMITTEE ON ENERGY

AND COMMERCE

INCLUDING

SECURITIES ACT OF 1933
SECURITIES EXCHANGE ACT OF 1934
PUBLIC UTILITY HOLDING COMPANY ACT OF 1935

TRUST INDENTURE ACT OF 1939
INV STMENT COMPANY ACT OF 1940

INVESTMENT ADVISERS ACT OF 1940
SECURITIES INVESTOR PROTECTION ACT OF 1970

MARCH 1989

Printed for the use of the
House Committee on Energy and Commerce

U.S. GOVERNMENT PRINTING OFFICE

93-716

WASHINGTON : 1989

For sale by the Superintendent of Documents, Congressional Sales Office

U.S. Government Printing Office, Washington, DC 20402

COMMITTEE ON ENERGY AND COMMERCE

JOHN D. DINGELL, Michigan, Chairman JAMES H. SCHEUER, New York

NORMAN F. LENT, New York HENRY A. WAXMAN, California

EDWARD R. MADIGAN, Illinois PHILIP R. SHARP, Indiana

CARLOS J. MOORHEAD, California JAMES J. FLORIO, New Jersey

MATTHEW J. RINALDO, New Jersey EDWARD J. MARKEY, Massachusetts

WILLIAM E. DANNEMEYER, California THOMAS A. LUKEN, Ohio

BOB WHITTAKER, Kansas DOUG WALGREN, Pennsylvania

THOMAS J. TAUKE, Iowa AL SWIFT, Washington

DON RITTER, Pennsylvania MICKEY LELAND, Texas

THOMAS J. BLILEY, JR., Virginia CARDISS COLLINS, Illinois

JACK FIELDS, Texas MIKE SYNAR, Oklahoma

MICHAEL G. OXLEY, Ohio W.J. "BILLY” TAUZIN, Louisiana

HOWARD C. NIELSON, Utah RON WYDEN, Oregon

MICHAEL BILIRAKIS, Florida RALPH M. HALL, Texas

DAN SCHAEFER, Colorado DENNIS E. ECKART, Ohio

JOE BARTON, Texas BILL RICHARDSON, New Mexico

SONNY CALLAHAN, Alabama
JIM SLATTERY, Kansas

ALEX MCMILLAN, North Carolina
GERRY SIKORSKI, Minnesota
JOHN BRYANT, Texas
JIM BATES, California
RICK BOUCHER, Virginia
JIM COOPER, Tennessee
TERRY L. BRUCE, Illinois
J. ROY ROWLAND, Georgia
THOMAS J. MANTON, New York

WM. MICHAEL KITZMILLER, Staff Director
MARGARET A. DURBIN, Minority Chief Counsel/Staff Director

(IT)

CONTENTS

[blocks in formation]

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.

Appendix:

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 September 28, 1962 (12 U.S.C. 92a(a)-(b))...

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))

Federal Home Loan Mortgage Corporation Act, Section 306 (a), (g) (12

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

National Housing Act, Section 302(c)(1), 304(d)-(e), 311 (12 U.S.C.

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

Bank Holding Company Act of 1956, Section 2 (12 U.S.C. 1841).

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

Right to Financial Privacy Act (12 U.S.C. 3401nt-3422).

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

Omnibus Small Business Capital Formation Act of 1980, Sections 502,

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

Liability Risk Retention Act of 1981, Sections 2(a)(4), 5 (15 U.S.C. 3901,

3904).

Federal Water Power Act.

Title 18, United States Code, Sections 152, 471-473, 494, 495, 1001, 1341-

1343, 3623, 6001-6004....

Higher Education Act of 1965, Sections 439(1), 466(a)(4) (20 U.S.C. 1087-

2(1), 1087hh(a)(4))..

Inter-American Development Bank Act, Sections 11-12 (22 U.S.C. 283h-

505

507

283i).

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, Section 103

Internal Revenue Code of 1986, Sections 401, 403, 404, 414, 501, 521, 851....

Employee Retirement Income Security Act, Section 3(21) (29 U.S.C.

1002(21))

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.C. 153 (h) (t)).

Title 49, Section 11367 ....

Regulatory Definition of “Separately Identifiable Department or Division

of a Bank,” Rule g-1.

Index to Appendix..

520

522

523

524

525

526

533

561

562

564

565

566

567

569

(III)

SECURITIES ACT OF 1933

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