Laws Relating to Securities Commission, Exchanges, and Holding Companies: With Indices

Front Cover
U.S. Government Printing Office, 1964 - Holding companies - 328 pages
 

Selected pages

Contents

Securities and Exchange Commission
29
88
39
Amendments to Section 11 of Securities Act of 1933
52
Investment Company and Investment Advisers Acts of 1940 approved August 22 1940
56
AN
57
III
61
Transactions by Unregistered Holding Companies
67
Acquisition of Securities and Utility Assets and Other Interests
73
Section Page 10 Approval of Acquisition of Securities and Utility Assets and Other Interests 74 2288
74
Simplification of Holding Company System
76
Intercompany Loans Dividends Security Transactions Sale of Utility Assets Proxies Other Transactions
79
Service Sales and Construction Contracts
82
Periodic and Other Reports_
84
Accounts and Records
85
Liability for Misleading Statements
86
Officers Directors and Other Affiliates
87
Investigations Injunctions Enforcement of Title and Prosecution of Offenses
88
Hearings by Commission___ 20 Rules Regulations and Orders
90
Effect on Existing Law 22 Information Filed with the Commission_
91
Annual Report of Commission_ 24 Court Review of Orders__
92
Jurisdiction of Offenses and Suits_ 26 Validity of Contracts
93
Liability of Controlling Persons Preventing Compliance with Title 28 Unlawful Representations
94
Penalties__ 30 Study of PublicUtility and Investment Companies 31 Employees of the Commission_ 32 Separability of Provisions__ 83 Short Title
95
AMENDMENTS TO FEDERAL WATER POWER ACT PART I
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
To provide for the regulation of the sale of certain securities in interstate and foreign cominerce and through
101
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 mission to Foreign Countries__
107
Disposition of Property Consolidations Purchase of Securities
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 801 Accounts Records and Memoranda
113
Rates of Depreciation
114
Bection Page
115
Enforcement of Act Regulations and Orders
121
thereof the following Title III which is divided into sections and may be cited
164
Securities of a borrowing government or subdivision thereof_
168
Securities Not Registered under Securities Act
171
20
175
Bondholders Lists
181
d Responsibility of the trustee _
189
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
2 Affiliated company
198
10 Convicted
199
15 Faceamount certificate___
200
Creation of Corporation of Foreign Security Holders
201
35
202
35 Security 37 State___
203
65
204
a Definitions____
205
1 Faceamount certificate company
207
Bection Page
208
Affiliations of Directors_
215
Subsection c of Section 15 of Securities Exchange Act as amended
216
Bection Page
217
Transactions of Certain Affiliated Persons and Underwriters__
224
Dividends__
232
23
235
Periodic Payment Plans_
240
32
241
Bankruptcy of FaceAmount Certificate Companies___
247
33
252
Section Page
253
46
258
Validity of Contracts
259
Annual and Other Reports__
266
68
274
Effective Date_
281
69
285
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
72
326

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Common terms and phrases

amended amount application approval assets authority broker or dealer centum certificates of deposit Commission may prescribe contract corporation court creditors debtor debtor in possession deem necessary directly or indirectly District of Columbia effective date face-amount certificate company Federal Reserve Board filed indenture trustee instrumentality of interstate interstate commerce investors or consumers issuer jurisdiction liability licensee mails means or instrumentality ment national securities exchange necessary or appropriate obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment petition prescribe as necessary prior proceeding prospectus protection of investors public interest public utility public-utility company purchase purpose pursuant reasonable registered holding company registered investment company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act security issued specified stockholders subsection subsidiary company thereof therein tion transactions underwriter unit investment trust United unlawful violation

Bibliographic information

TitleLaws Relating to Securities Commission, Exchanges, and Holding Companies: With Indices
AuthorUnited States
Compiled byGilman G. Udell
PublisherU.S. Government Printing Office, 1964
Original fromThe Ohio State University (MORITZ LAW LIBRARY)
Digitized18 Dec 2018
Length328 pages
  
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