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CONTENTS

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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, 553, 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).

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(0)-(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).

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

Act of August 20, 1962 (15 U.S.C. 78d-1, 78d-2).

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

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

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-

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, 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.

426

1002(21))..

Alaska Native Claims Settlement Act, Section 28 (43 U.S.C. 1625)..

Regional Railroad Organization 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 Definable Department or Division of

a Bank,” Rule g-1....

Index to Appendix..

465

466

467

468

469

470

473

(III)

SECURITIES ACT OF 1933 COMMITTEE ON ENERGY AND COMMERCE

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

JAMES T. BROYHILL, North Carolina HENRY A. WAXMAN, California

NORMAN F. LENT, New York TIMOTHY E. WIRTH, Colorado

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 BARBARA A. MIKULSKI, Maryland

DON RITTER, Pennsylvania AL SWIFT, Washington

DAN COATS, Indiana MICKEY LELAND, Texas

THOMAS J. BLILEY, JR., Virginia RICHARD C. SHELBY, Alabama

JACK FIELDS, Texas CARDISS COLLINS, Illinois

MICHAEL G. OXLEY, Ohio MIKE SYNAR, Oklahoma

HOWARD C. NIELSON, Utah W.J. "BILLY” TAUZIN, Louisiana

MICHAEL BILIRAKIS, Florida RON WYDEN, Oregon

DAN SCHAEFER, Colorado
RALPH M. HALL, Texas

FRED J. ECKERT, New York
DENNIS E. ECKART, Ohio
WAYNE DOWDY, Mississippi
BILL RICHARDSON, New Mexico
JIM SLATTERY, Kansas
GERRY SIKORSKI, Minnesota
JOHN BRYANT, Texas
JIM BATES, California

Wm. MICHAEL KITZMILLER, Staff Director
SHARON E. Davis, Chief Clerk/Administrative Assistant

DONALD A. Watt, Printing Editor
ARNOLD I. HAVENS, Minority Counsel

(II)

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, 553, 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).

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).

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

Act of August 20, 1962 (15 U.S.C. 78d-1, 78d-2).

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

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

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-

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, 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.

1002(21))....

Alaska Native Claims Settlement Act, Section 28 (43 U.S.C. 1625)..

Regional Railroad Organization 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 Definable Department or Division of

a Bank,” Rule g-1....

Index to Appendix...

465

466

467

468

469

470

473

(III)

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