Page:United States Statutes at Large Volume 48 Part 1.djvu/1431

 · CXIV Securities Act or 1933-Continued. Penalty provisions _________ - ________ _ Jurisdiction of other government agen- cies over securities _____________ _ Separability of provisions ____________ _ Schedules, A, B ____________________ _ Corporation of Foreign Security Holders created________________. Corporate duties; powers _________ _ Authority_____________________ _ Accounts to be kept__________ - __ Annual report to Congress ______ _ Assessment of charges ________ - -_ Authority to receive subscriptions_ Loans from Reconstruction Finance Corporation_______________ _ Unlawful acts _______________ - -- Short title ________________________ _ Amendments- Terms defined; "security", "issues", "prospectus" ______________ - -- Exempted securities; issues by Dis- trict of Columbia added ___ - - -- Securities exchanged with existing holders ___________________ _ Readjustment exchanges ________ _ Intrastate sales ________________ _ Exempted transactions, amendment or repeal of designated provi- sions _______________________ _ Prospectus, statements in _________ _ Civil liabilities for false registration statement___________________ _ Suits; amount recoveralle as damages __________________ _ Limitation of actions _____________ _ Liability d controlling persons ____ _ Power of Commission to define tech- nical terms__________________ _ Protection of persons relying on Commission in good faith _____ _ Federal Trade Commission, transfer of duties ____________________ _ Studies by Commission ___________ _ Corporate reorganization plan, securi- ties issued pursuant to, exempt from provisions ________________ _ Securities Exchange Act of 1934: Necessity for regulation; declaration of purposes and objects ___________ _ Definitions; application of title ______ _ Authority of Commission and Federal Reserve Board to define techni- cal, etc., terms _______________ _ Title not applicable to Federal agencies ____________________ _ Securities and Exchange Commission; establishmen' _. ________________ _ Composition; political division of membership_________________ _ INDEX. Page. 87 87 88 88.91 93 93 94 94 95 95 95 95 95 95 905 906 906 906 906 906 907 907 907 908 908 908 908 908 909 920 881 882 884 884 885 885 Securities Exchange Act of 1934-Contd. Securities and Exchange Commission- Continued. Restriction on other employment __ _ Salaries; terms of office; vacancies_ Appointment of assistants, experts, etc_________________________ _ Transactions on unregistered ex- changes unlawfuL _____________ _ National securities exchanges; registra- tion of________________________ _ Registration statement; filing; docu- ments to accompany _________ _ Requirement that rules of exchange include disciplinary provisions __ Authority to Commission to grant registration ______________. __ _ Hearing when Commission denies __ _ Amendment and withdrawal of regis- tration _____________________ _ Margin requirements _______________ _ Regulations governing amount of credit extended on registered security_____________________ _ Marginal requirements standard ___ _ Unlawful credit extensions ________ _ Effective date of provisions _______ _ Restrictions on borrowing by members, brokers, and dealers ________. __ _ Borrowing from member of Federal Reserve System or nonmember bank filing agreement. __ _ _ _ __ _ Loans to be made under regUlations of Reserve Board ____________ _ Limitation on aggregate indebted- ness of broker _______________ _ Commingling of cllstomers', etc., securities; consent required ___ _ Prohibition against manipulation of security prices _________________ _ Liability of person participating in prohibited practices __________ _ Regulation of the use of manipulative and deceptive devices __________ _ c.:gregation and limitation of functions of members, brokers, and dealers __ Regulations governing, to be pre- Bcri bed ________________ ._____ Registration of odd-lot dealers; specialists___________________ _ Disclosure of information by spe- cialists______________________ _ Exemption of small exchange from provisions ___________________ _ Dealer-broker; limitation of func- tbns of. ____________________ _ Study of complete segregation of functions of _______________ _ Page. 885 885 885 885 885 885 886 886 886 886 886 886 886 887 888 888 888 888 888 889 889 890 891 891 891 891 891 892 892 892