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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
INVESTMENT COMPANY ACT OF 1940

INVESTMENT ADVISERS ACT OF 1940
SECURITIES INVESTOR PROTECTION ACT OF 1970

MARCH 1993

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

U.S. GOVERNMENT PRINTING OFFICE

65-200

WASHINGTON : 1993

For sale by the U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328

ISBN 0-16-040250-6

COMMITTEE ON ENERGY AND COMMERCE

JOHN D. DINGELL, Michigan, Chairman HENRY A. WAXMAN, California

CARLOS J. MOORHEAD, California PHILIP R. SHARP, Indiana

THOMAS J. BLILEY, JR., Virginia EDWARD J. MARKEY, Massachusetts

JACK FIELDS, Texas AL SWIFT, Washington

MICHAEL G. OXLEY, Ohio CARDISS COLLINS, Illinois

MICHAEL BILIRAKIS, Florida MIKE SYNAR, Oklahoma

DAN SCHAEFER, Colorado W.J. "BILLY” TAUZIN, Louisiana

JOE BARTON, Texas RON WYDEN, Oregon

ALEX MCMILLAN, North Carolina RALPH M. HALL, Texas

J. DENNIS HASTERT, Illinois BILL RICHARDSON, New Mexico

FRED UPTON, Michigan JIM SLATTERY, Kansas

CLIFF STEARNS, Florida JOHN BRYANT, Texas

BILL PAXON, New York RICK BOUCHER, Virginia

PAUL E. GILLMOR, Ohio JIM COOPER, Tennessee

SCOTT KLUG, Wisconsin J. ROY ROWLAND, Georgia

GARY A. FRANKS, Connecticut THOMAS J. MANTON, New York

JAMES C. GREENWOOD, Pennsylvania EDOLPHUS TOWNS, New York

MICHAEL D. CRAPO, Idaho
GERRY E. STUDDS, Massachusetts
RICHARD H. LEHMAN, California
FRANK PALLONE, JR., New Jersey
CRAIG A. WASHINGTON, Texas
LYNN SCHENK, California
SHERROD BROWN, Ohio
MIKE KREIDLER, Washington
MARJORIE MARGOLIES-MEZVINSKY,

Pennsylvania
BLANCHE M. LAMBERT, Arkansas

ALAN J. ROTH, Staff Director and Chief Counsel

DENNIS B. FITZGIBBONS, Deputy Staff Director
MARGARET A. DURBIN, Minority Chief Counsel and Staff Director

(II)

CONTENTS

469

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

Temporary Reporting Provisions

Market Reform Act of 1990, Section 8

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

Remedies and Penny Stock Reform Act of 1990), Sections 504(b) and

510

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 18(c)(3) (12 U.S.C. 635i-6)

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, Sections 302(c)(1), 304(0)-e), 311 (12 U.S.C.

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

Housing and Community Development Act of 1992, Section 1542 (12

U.S.C. 1831m-1)

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 of 1978 (12 U.S.C. 3401nt-3422)

Federal Deposit Insurance Corporation Improvement Act of 1991, Sec-

tions 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, Sections 502,

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

Liability Risk Retention Act of 1986, Sections 2(a)(4), 5 (15 U.S.C. 3901,

3904)

Federal Water Power Act

Title 18, United States Code, Sections 152, 471-473, 474A, 494, 495,

510, 513, 1001, 1341-1343, 3571-3574, 6001-6004

Higher Education Act of 1965, Section 439(1) (20 U.S.C. 1087–2(1))

International Finance Corporation Act, Section 13 (22 U.S.C. 282k)

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)

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)

570

572

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