COMPILATION OF SECURITIES LAWS INCLUDING SECURITIES ACT OF 1933 SECURITIES EXCHANGE ACT OF 1934 INVESTMENT COMPANY ACT OF 1940 INVESTMENT ADVISERS ACT OF 1940 SECURITIES INVESTOR PROTECTION ACT OF 1970 SELECTED PROVISIONS OF THE GRAMM-LEACH-BLILEY ACT AND THE COMMODITY FUTURES MODERNIZATION ACT OF 2000 71-377 PREPARED FOR THE USE OF THE COMMITTEE ON FINANCIAL SERVICES MARCH 2001 U.S. GOVERNMENT PRINTING OFFICE WASHINGTON: 2001 For sale by the Superintendent of Documents, U.S. Government Printing Office HOUSE COMMITTEE ON FINANCIAL SERVICES JAMES A. LEACH, Iowa MICHAEL G. OXLEY, Ohio, Chairman MARGE ROUKEMA, New Jersey, Vice Chair SUE W. KELLY, New York PAUL E. GILLMOR, Ohio CHRISTOPHER COX, California DAVE WELDON, Florida STEVEN C. LATOURETTE, Ohio ERIC CANTOR, Virginia FELIX J. GRUCCI, JR., New York MELISSA A. HART, Pennsylvania SHELLEY MOORE CAPITO, West Virginia MIKE FERGUSON, New Jersey PATRICK J. TIBERI, Ohio JOHN J. LAFALCE, New York JAMES H. MALONEY, Connecticut MAX SANDLIN, Texas GREGORY W. MEEKS, New York JANICE D. SCHAKOWSKY, Illinois CHARLES A. GONZALEZ, Texas MICHAEL E. CAPUANO, Massachusetts HAROLD E. FORD JR., Tennessee RUBEN HINOJOSA, Texas KEN LUCAS, Kentucky RONNIE SHOWS, Mississippi JOSEPH CROWLEY, New York WILLIAM LACY CLAY, Missouri STEVE ISRAEL, New York MIKE ROSS, Arizona BERNARD SANDERS, Vermont TERRY HAINES, Chief Counsel and Staff Director (II) Penny Stock Reform Act of 1990 (Title V of the Securities Enforcement Remedies and Penny Stock Reform Act of 1990), Sections 504(b) and Title 5, United States Code, Sections 551–557, 704–706 ......... Commodity Exchange Act, Sections 1a, 2, 4m and 12 (7 U.S.C. 1a, 2, Act of October 28, 1974, Section 111 (12 U.S.C. 250) Export-Import Bank Act of 1945, Section 18(c)(3) (12 U.S.C. 6351-6) Agricultural Marketing Act, Section 15(a) (12 U.S.C. 1141j(a)) Federal Reserve Act, Sections 23A and 23B (12 U.S.C. 371c and 721 Farm Credit Act of 1971, Section 8.12 (12 U.S.C. 2279aa-12) Right to Financial Privacy Act of 1978 (12 U.S.C. 3401nt-3422) Liability Risk Retention Act of 1986, Sections 2(a)(4), 5 (15 U.S.C. 3901, 783 Title 18, United States Code, Sections 152, 471-473, 474A, 494, 495, 510, 513, 514, 1001, 1341–1343, 3571-3574, 6001-6004 Higher Education Act of 1965, Section 439(1) (20 U.S.C. 1087–2()) International Finance Corporation Act, Section 13 (22 U.S.C. 282k) Inter-American Development Bank Act, Section 11 (22 U.S.C. 283h) 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) European Bank for Reconstruction and Development Act, as contained in the Foreign Operations, Export Financing, and Related Programs Appropriations Act, 1991 (22 U.S.C. 2901 note, 2901, 2901-7) Page Appendix-Continued Internal Revenue Code of 1986, Sections 103, 401, 403, 404, 414, 501, 521, 851 809 Employee Retirement Income Security Act, Section 3(21) (29 U.S.C. 1002(21)) 845 Alaska Native Claims Settlement Act, Section 28 (43 U.S.C. 1625) Communications Act of 1934, Section 3 (h), (t) (47 U.S.C. 153 (h) (t)) 846 848 849 850 851 iv |