Laws Relating to Securities Commission, Exchanges and Holding Companies (with Indices)

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U.S. Government Printing Office, 1973 - Holding companies - 372 pages
 

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Contents

Proxies
40
Information Filed with the Commission
47
Bootion Pago
52
Public No 25376th Cong Chapter 4111st Sess Approved August 3 1939
56
AN
57
Transactions by Unregistered Holding Companies
67
Bection Page 10 Approval of Acquisition of Securities and Utility Assets and Other
74
Simplification of Holding Company System
76
Acquisition of Securities and Utility Assets and Other Interests
78
Intercompany Loans Dividends Security Transactions Sale of Utility Assets Proxies Other Transactions
79
Service Sales and Construction Contracts
82
Periodic and Other Reports
86
Officers Directors and Other Affiliates
87
Liability for Misleading Statements 18 Investigations Injunctions Enforcement of Title and Prosecution of Offenses
88
Hearings by Commission
90
Effect on Existing Law
91
Annual Report of Commission
92
Jurisdiction of Offenses and Suits
93
Liability of Controlling Persons Preventing Compliance with Title
94
Study of PublicUtility and Investment Companies
95
AMENDMENTS TO FEDERAL WATER POWER ACT PART 1
96
Amendment to Section 4 of the Federal Water Power Act
97
Amendment to Section 5 of the Federal Water Power Act
99
Amendment to Section 6 of the Federal Water Power Act
100
Amendment to Section 14 of the Federal Water Power Act
103
Amendment to Section 18 of the Federal Water Power Act
104
Amendment to Section 24 of the Federal Water Power Act
105
Provides that Sections 1 to 29 inclusive of the Federal Water Power Act as amended shall constitute Part I of that Act Sections 25 to 30 of such Act as...
106
Interconnection and Coordination of Facilities Emergencies Trans
107
Disposition of Property Consolidations Purchase of Securities 109
109
Rates and Charges Schedules Suspension of New Rates
110
Fixing Rates and Charges Determination of Cost of Production or Transmission
112
LICENSES AND PUBLIC UTILITIES PROCEDURAL AND ADMINISTRATIVE PROVISIONS Section Page 301 Accounts Records and Memorand...
113
Rates of Depreciation
114
Bection Pago
115
Enforcement of Act Regulations and Orders
121
Amendment to Subsection a of Section 17 of the Securities Exchange
129
Effect of this Act on Llability arising Prior to Effective Date
130
Proceedings Subsequent to Approval of Petition 136 VIII Title Rights and Powers of Trustees and Debtors in Possession
141
Dismissals and Adjudications
148
When Chapter Takes Effect 184
154
3 Admission to membership
156
m Exemption for transactions in exempted securities
162
Necessity for Regulation
165
Definitions
166
Reports by Indenture Trustee
182
Reports by Obligor Evidence of Compliance with Indenture Pro visions
183
b Evidence of recording of indenture
184
c Evidence of compliance with conditions precedent
185
d Certificates of fair value
186
e Recitals as to basis of certificate or opinion
187
f Parties may provide for additional evidence
188
d Responsibility of the trustee
189
Special Powers of Trustee Duties of Paying Agents
190
Effect of Prescribed Indenture Provisions
191
Hearings by Commission
192
Court Review of Orders Jurisdiction of Offenses and Suits 323 Liability for Misleading Statements
193
Unlawful Representations
194
Contrary Stipulations Void
195
To provide for the registration and regulation of investment companies and Investment advisers and for other purposes TITLE I INVESTMENT CO...
196
General Definitions
197
3 Affiliated person
198
9 Control
199
15 Faceamount certificate
200
20 Investment banker
201
30 Prospectus
202
36 Shortterm paper
203
40 Voting Security
204
Definition of investment company
205
Classification of Investment Companies
207
Bection
208
Ineligibility of Certain Affiliated Persons and Underwriters
214
Size of Investment Companies
221
Dividends
232
Periodic Payment Plans
240
Boction Page
241
Bankruptcy of FaceAmount Certificate Companies
247
Section Pago
253
Validity of Contracts
259
a Definitions of specific termsContinued
262
Hearings
270
Section Page
271
and require divestment of their nonbanking interests
281
To promote and preserve local management of savings and loans associa
295
Act of September 13 1960 To amend certain provisions of the Trust
303
Act of August 20 1964 To amend the Securities Act of 1933 as amended
309
Act of August 22 1964 To amend section 341 of the Internal Revenue
326
Act of October 22 1965 To amend the Securities Act of 1933 with respect Page
329
Act of October 20 1969 To amend section 19e of the Securities
346

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Common terms and phrases

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Page 25 - ... security" or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Page 14 - If any provision of this Act, or the application of such provision to any person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby.
Page 13 - Commission or any member thereof or any officer designated by it, or in any cause or proceeding instituted by the Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination,...
Page 39 - ... months, unless such security was acquired in good faith in connection with a debt previously contracted, shall inure to and be recoverable by the issuer, irrespective of any intention on the part of such beneficial owner, director, or officer in entering into such transaction of holding the security purchased or of not repurchasing the security sold for a period exceeding six months.
Page 121 - The District Courts of the United States, the Supreme Court of the District of Columbia, and the United States courts of any Territory or other place subject to the jurisdiction of the United States shall have exclusive jurisdiction of violations of this Act or...
Page 12 - Commission deems it necessary or desirable, of separate and/or consolidated balance sheets or income accounts of any person directly <or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer...
Page 356 - ... as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act, as amended, and the purposes for which securities may be issued under that Act, as amended, are extended to include any purchase of such notes and obligations.
Page 90 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347...
Page 109 - Commission, upon filing with such schedule and delivering to the carrier or carriers affected thereby a statement in writing of its reasons for such suspension, may suspend the operation of such schedule and defer the use of such rate, fare, or charge, classification, regulation, or practice, but not for a longer period than one hundred and twenty days beyond the time when it would otherwise go into effect...
Page 119 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.

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