Title 15 — Commerce and Trade
Chapter 2A. Securities and Trust Indentures
76 sections
Subchapter I — Domestic Securities
- 77aShort title
- 77bDefinitions; promotion of efficiency, competition, and capital formation
- 77b–1Swap agreements
- 77cClasses of securities under this subchapter
- 77dExempted transactions
- 77d–1Requirements with respect to certain small transactions
- 77eProhibitions relating to interstate commerce and the mails
- 77fRegistration of securities
- 77gInformation required in registration statement
- 77hTaking effect of registration statements and amendments thereto
- 77h–1Cease-and-desist proceedings
- 77iCourt review of orders
- 77jInformation required in prospectus
- 77kCivil liabilities on account of false registration statement
- 77lCivil liabilities arising in connection with prospectuses and communications
- 77mLimitation of actions
- 77nContrary stipulations void
- 77oLiability of controlling persons
- 77pAdditional remedies; limitation on remedies
- 77qFraudulent interstate transactions
- 77rExemption from State regulation of securities offerings
- 77r–1Preemption of State law
- 77sSpecial powers of Commission
- 77tInjunctions and prosecution of offenses
- 77uHearings by Commission
- 77vJurisdiction of offenses and suits
- 77wUnlawful representations
- 77xPenalties
- 77yJurisdiction of other Government agencies over securities
- 77zSeparability
- 77z–1Private securities litigation
- 77z–2Application of safe harbor for forward-looking statements
- 77z–2aConflicts of interest relating to certain securitizations
- 77z–3General exemptive authority
- 77z–4Data standards
- 77aaSchedule of information required in registration statement
Subchapter II — Foreign Securities
- 77bb“Corporation of Foreign Security Holders”; creation; principal office; branch offices
- 77ccDirectors of Corporation; appointment, term of office, and removal
- 77ddPowers and duties of Corporation, generally
- 77eeDirectors of Corporation, powers and duties generally
- 77ffAccounts and annual balance sheet of Corporation; audits
- 77ggAnnual report by Corporation; printing and distribution
- 77hhAssessments by Corporation on holders of foreign securities
- 77iiSubscriptions accepted by Corporation as loans; repayment
- 77jjLoans to Corporation from Reconstruction Finance Corporation authorized
- 77kkRepresentations by Corporation as acting for Department of State or United States forbidden; interference with foreign negotiations forbidden
- 77llEffective date of subchapter
- 77mmShort title
Subchapter III — Trust Indentures
- 77aaaShort title
- 77bbbNecessity for regulation
- 77cccDefinitions
- 77dddExempted securities and transactions
- 77eeeSecurities required to be registered under Securities Act
- 77fffSecurities not registered under Securities Act
- 77gggQualification of indentures covering securities not required to be registered
- 77hhhIntegration of procedure with Securities Act and other Acts
- 77iiiEffective time of qualification
- 77jjjEligibility and disqualification of trustee
- 77kkkPreferential collection of claims against obligor
- 77lllBondholders’ lists
- 77mmmReports by indenture trustee
- 77nnnReports by obligor; evidence of compliance with indenture provisions
- 77oooDuties and responsibility of the trustee
- 77pppDirections and waivers by bondholders; prohibition of impairment of holder’s right to payment; record date
- 77qqqSpecial powers of trustee; duties of paying agents
- 77rrrEffect of prescribed indenture provisions
- 77sssRules, regulations, and orders
- 77tttHearings by Commission
- 77uuuSpecial powers of the Commission
- 77vvvJudicial review
- 77wwwLiability for misleading statements
- 77xxxUnlawful representations
- 77yyyPenalties
- 77zzzEffect on existing law
- 77aaaaContrary stipulations void
- 77bbbbSeparability