COMPILATION OF SECURITIES LAWS COMMITTEE ON ENERGY AND COMMERCE INCLUDING SECURITIES ACT OF 1933 TRUST INDENTURE ACT OF 1939 INVESTMENT ADVISERS ACT OF 1940 MARCH 1993 Printed for the use of the U.S. GOVERNMENT PRINTING OFFICE 65-200 WASHINGTON : 1993 For sale by the U.S. Government Printing Office ISBN 0-16-040250-6 COMMITTEE ON ENERGY AND COMMERCE JOHN D. DINGELL, Michigan, Chairman HENRY A. WAXMAN, California CARLOS J. MOORHEAD, California PHILIP R. SHARP, Indiana THOMAS J. BLILEY, JR., Virginia EDWARD J. MARKEY, Massachusetts JACK FIELDS, Texas AL SWIFT, Washington MICHAEL G. OXLEY, Ohio CARDISS COLLINS, Illinois MICHAEL BILIRAKIS, Florida MIKE SYNAR, Oklahoma DAN SCHAEFER, Colorado W.J. "BILLY” TAUZIN, Louisiana JOE BARTON, Texas RON WYDEN, Oregon ALEX MCMILLAN, North Carolina RALPH M. HALL, Texas J. DENNIS HASTERT, Illinois BILL RICHARDSON, New Mexico FRED UPTON, Michigan JIM SLATTERY, Kansas CLIFF STEARNS, Florida JOHN BRYANT, Texas BILL PAXON, New York RICK BOUCHER, Virginia PAUL E. GILLMOR, Ohio JIM COOPER, Tennessee SCOTT KLUG, Wisconsin J. ROY ROWLAND, Georgia GARY A. FRANKS, Connecticut THOMAS J. MANTON, New York JAMES C. GREENWOOD, Pennsylvania EDOLPHUS TOWNS, New York MICHAEL D. CRAPO, Idaho Pennsylvania ALAN J. ROTH, Staff Director and Chief Counsel DENNIS B. FITZGIBBONS, Deputy Staff Director (II) CONTENTS 469 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 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 510 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 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 National Housing Act, Sections 302(c)(1), 304(0)-e), 311 (12 U.S.C. 1717(c)(1), 1719(d)-e), 1723c) Housing and Community Development Act of 1992, Section 1542 (12 Bank Holding Company Act of 1956, Section 2 (12 U.S.C. 1841) 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) Federal Deposit Insurance Corporation Improvement Act of 1991, Sec- tions 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, 3904) Title 18, United States Code, Sections 152, 471-473, 474A, 494, 495, 510, 513, 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, 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) 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) 570 |