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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 1987

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

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
BILL RICHARDSON, New Mexico

SONNY CALLAHAN, Alabama
JIM SLATTERY, Kansas
GERRY SIKORSKI, Minnesota
JOHN BRYANT, Texas
JIM BATES, California
RICK BOUCHER, Virginia
JIM COOPER, Tennessee
TERRY L. BRUCE, Illinois

WM. MICHAEL KITZMILLER, Staff Director

THOMAS M. RYAN, Chief Counsel
Paul C. SMITH, Minority Counsel/Staff Director

(II)

CONTENTS

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...

Appe ix:

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

U.S.C. 1455 (a), (g))..

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)

Federal Water Power Act.

Title 18, United States Code, Sections 152, 471-473, 494, 495, 1001, 1341-

1343, 3623, 6001-6004....

Higher Education Act of 1965, Sections 439(1), 466(a)(4), (20 U.S.C. 1087–

2(1), 1087hh(a)(4))....

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

485

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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