Lapas attēli


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

Selected Provisions of the Gramm-Leach-Bliley Act

Selected Provisions of the Commodity Futures Modernization Act of 2000

Temporary Reporting Provisions:

Market Reform Act of 1990, Section 8

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 la, 2, 4m and 12 (7 U.S.C. la, 2,

2a, 6m, and 16)

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 18(c)(3) (12 U.S.C. 635i–6)

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, Sections 302(c)(1), 304(

de), 311 (12 U.S.C.

1717(c)(1), 1719(d)-e), 1723c)

Housing and Community Development Act of 1992, Section 1542 (12

U.S.C. 1831m-1)

Bank Holding Company Act of 1956, Sections 4(c) and (k), and 5(c)

and (g) (12 U.S.C. 1843 and 1844)

Revised Statutes of the United States, Sections 5136 and 5136A (12

U.S.C. 24 and 24A)

Federal Reserve Act, Sections 23A and 23B (12 U.S.C. 371c and


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)

Subchapter II of Chapter 53 of Title 31, United States Code

Federal Deposit Insurance Corporation Improvement Act of 1991,

Sections 401-407 (12 U.S.C. 4401-4407)

Reorganization Plan Number 10 of 1950 (15 U.S.C. 78d note)

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 1986, Sections 2(a)(4), 5 (15 U.S.C. 3901,


Federal Water Power Act, Section 204(h)

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(1))

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)



Internal Revenue Code of 1986, Sections 103, 401, 403, 404, 414, 501

521, 851 Employee Retirement Income Security Act, Section 3(21) (29 U.S.C.

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.C. 153 (h) (t)) Title 49, United States Code, Section 11367 Regulatory Definition of “Separately Identifiable Department or Division

of a Bank,” Rule G-1




(References in brackets ( ) are to title 15, United States Code) AN ACT To provide full and fair disclosure of the character of securities sold in

interstate and foreign commerce and through the mails, and to prevent frauds in the sale thereof, and for other purposes.

Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled,


SHORT TITLE SECTION 1. [77a) This title may be cited as the "Securities Act of 1933”.


SEC. 2. (77b) (a) DEFINITIONS.—When used in this title, unless the context otherwise requires

(1) The term "security” means any note, stock, treasury stock, security future, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, any put, call, straddle, option, or privilege on any security, certificate of deposit, or group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a “security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing

(2) The term “person" means an individual, a corporation, a partnership, an association, a joint-stock company, a trust, any unincorporated organization, or a government or political subdivision thereof. As used in this paragraph the term “trust” shall include only a trust where the interest or interests of the beneficiary or beneficiaries are evidenced by a security.

(3) The term "sale” or “sell” shall include every contract of sale or disposition of a security or interest in a security, for value. The term "offer to sell”, "offer for sale", or "offer" shall include every attempt or offer to dispose of, or solicitation of an offer to buy, a security or interest in a security, for value. The terms defined in this paragraph and the term "offer to


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