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

U.S. Government Printing Office, 1976 - Holding companies - 446 pages

AN	7

Information Required in Prospectus	5

Service Sales and Construction Contracts	13

Hearings by Commission_	15

Officers Directors and Other _Affiliates	17

Hearings by Commission	22

Penalties____	24

Exempted Securities	28

General Definitions__	197

2 Affiliated company	198

Control	199

15 Faceamount certificate	200

Creation of Corporation of Foreign Security Holders	201

31	202

35 Security 37 State	203

65	204

Registration of National Securities ExchangesContinued	29

88	30

Page	38

Liabilities of Controlling Persons	44

29173d Cong see p 52	52

Approved August 3 1939	56

AN	57

Transactions by Unregistered Holding Companies	67

Acquisition of Securities and Utility Assets and Other Interests	73

Approval of Acquisition of Securities and Utility Assets and Other	74

Periodic and Other Reports Reports of Affiliated Persons	80

Effective Date___	84

Accounts and Records_	85

Liability of Controlling Persons Preventing Compliance with Title	94

30	95

To provide for the regulation of the sale of certain securities in interstate and foreign cominerce and through	101

Fixing Rates and Charges Determination of Cost of Production	112

Bection Page	115

Enforcement of Act Regulations and Orders	121

Separability of Provisions	123

Securities of a borrowing government or subdivision thereof_____	129

Effect of this Act on Liability arising Prior to Effective_Date	130

Proceedings Subsequent to Approval of Petition	136

13 55	146

243	150

When Chapter Takes Effect	154

thereof the following Title III which is divided into sections and may be cited	164

Securities Not Registered under Securities Act	171

Exempted transactions	174

20	175

Bondholders Lists	181

e Recitals as to basis of certificate or opinion	187

Court Review of Orders Jurisdiction of Offenses and Suits	193

To provide for the registration and regulation of investment companies and investment advisers and for other purposes TITLE I INVESTMENT CO...	196

Definition of investment company	205

Classification of Investment Companies___	207

Bection Page	208

Affiliations of Directors	215

Subsection c of Section 15 of Securities Exchange Act as amended	216

Dividends	232

23	235

Periodic Payment Plans	240

e Effective date of rules and regulations regarding margin require	245

Accountants and Auditors_	250

Bection Page	253

Validity of Contracts	259

50	260

Annual and Other Reports__	266

Section Page	271

68	274

Prohibitions Relating to Interstate Commerce and the Mails	275

70	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

Restrictions on Borrowing by Members Brokers and Dealers	309

Accc 11 Equity Security	311

88	326

Act of October 22 1965 To amend the Securities Act of 1933 with respect Page	329

Section 32 of Securities Exchange Act of 1934 as amended is amended	337

Act of July 29 1968 To amend the Securities Exchange Act of 1934	338

Prohibition against Manipulation of Security Prices	341

Act of October 20 1969 To amend section 19e of the Securities	346

Act of June 4 1975 Securities Acts Amendments of 1975 Pub	373

4 Making false or misleading statements to induce purchase	390

b Put call straddle or option in contravention of Commission rules	415

Segregation and Limitation of Functions of Members Brokers	433

Securities and Exchange Commission	439

36	442

Title	Laws Relating to Securities Commission Exchanges and Holding Companies (with Indices)
Author	United States
Compiled by	Gilman G. Udell
Publisher	U.S. Government Printing Office, 1976
Original from	the University of California
Digitized	30 Sep 2008
Length	446 pages

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