COMPILATION OF SECURITIES LAWS AND COMMERCE INCLUDING SECURITIES ACT OF 1933 TRUST INDENTURE ACT OF 1939 INVESTMENT ADVISERS ACT OF 1940 MARCH 1987 Printed for the use of the U.S. GOVERNMENT PRINTING OFFICE 69-037 O WASHINGTON : 1987 For sale by the Superintendent of Documents, Congressional Sales Office U.S. Government Printing Office, Washington, DC 20402 COMMITTEE ON ENERGY AND COMMERCE JOHN D. DINGELL, Michigan, Chairman JAMES H. SCHEUER, New York NORMAN F. LENT, New York HENRY A. WAXMAN, California 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 AL SWIFT, Washington DON RITTER, Pennsylvania MICKEY LELAND, Texas DAN COATS, Indiana CARDISS. COLLINS, Illinois THOMAS J. BLILEY, JR., Virginia MIKE SYNAR, Oklahoma JACK FIELDS, Texas W.J. "BILLY” TAUZIN, Louisiana MICHAEL G. OXLEY, Ohio RON WYDEN, Oregon HOWARD C. NIELSON, Utah RALPH M. HALL, Texas MICHAEL BILIRAKIS, Florida DENNIS E. ECKART, Ohio DAN SCHAEFER, Colorado WAYNE DOWDY, Mississippi JOE BARTON, Texas SONNY CALLAHAN, Alabama WM. MICHAEL KITZMILLER, Staff Director THOMAS M. RYAN, Chief Counsel (II) CONTENTS Securities Exchange Act of 1934 Public Utility Holding Company Act of 1935. Investment Company Act of 1940 Investment Advisers Act of 1940, Securities Investor Protection Act of 1970... 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 16(d) (12 U.S.C. 635i-4). Agricultural Marketing Act, Section 15(a) (12 U.S.C. 1141j(a)) Federal Home Loan Mortgage Corporation Act, Section 306 (a), (g) (12 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). Right to Financial Privacy Act (12 U.S.C. 3401nt-3422). Reorganization Plan Number 10 of 1950 (15 U.S.C. 780 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)........ Liability Risk Retention Act of 1981, Sections 2(a)(4), 5 (15 U.S.C. 3901, 3904) Title 18, United States Code, Sections 152, 471-473, 494, 495, 1001, 1341- Higher Education Act of 1965, Sections 439(1), 466(a)(4), (20 U.S.C. 1087– 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. 483 1002(21)).. Alaska Native Claims Settlement Act, Section 28 (43 U.S.C. 1625). Regional Rail Reorganization Act of 1973, Section 210(g) (45 U.S.C. 720(g)). Communications Act of 1934, Section 3 (h), (t) (47 U.S.Č. 153 (h) (t)).. Title 49, Section 11367.. Regulatory Definition of "Separately Identifiable Department or Division of a Bank,” Rule g-1 Index to Appendix..... 525 526 527 528 529 530 532 (III) |
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