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15 U.S.C. § 77iii — Effective time of qualification

Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 77iii — Effective time of qualification

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Source location: Title 15, Chapter 2A, § 77iii; chapter-2a-securities-and-trust-indentures.md

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**(a) Effective time of registration or application for qualification of indenture** The indenture under which a security has been or is to be issued shall be deemed to have been qualified under this subchapter— (1) when registration becomes effective as to such security; or (2) when an application for the qualification of such indenture becomes effective, pursuant to [section 77ggg of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77ggg&num=0&edition=prelim). **(b) Stop orders after effective time of qualification** After qualification has become effective as to the indenture under which a security has been or is to be issued, no stop order shall be issued pursuant to [section 77h(d) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77h/d&num=0&edition=prelim), suspending the effectiveness of the registration statement relating to such security or of the application for qualification of such indenture, except on one or more of the grounds specified in [section 77h of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77h&num=0&edition=prelim), or the failure of the issuer to file an application as provided for by [section 77eee(b)(2) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77eee/b/2&num=0&edition=prelim). **(c) Effect of subsequent rule or regulation on qualification** The making, amendment, or rescission of a rule, regulation, or order under the provisions of this subchapter (except to the extent authorized by subsection (a) of [section 77nnn of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77nnn&num=0&edition=prelim) with respect to rules and regulations prescribed pursuant to such subsection) shall not affect the qualification, form, or interpretation of any indenture as to which qualification became effective prior to the making, amendment, or rescission of such rule, regulation, or order. **(d) Liability of trustee under qualified indenture** No trustee under an indenture which has been qualified under this subchapter shall be subject to any liability because of any failure of such indenture to comply with any of the provisions of this subchapter, or any rule, regulation, or order thereunder. **(e) Power of Commission to conduct investigation** Nothing in this subchapter shall be construed as empowering the Commission to conduct an investigation or other proceeding for the purpose of determining whether the provisions of an indenture which has been qualified under this subchapter are being complied with, or to enforce such provisions.

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Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 77nnn — Reports by obligor; evidence of compliance with indenture provisions

**(a) Periodic reports** Each person who, as set forth in the registration statement or application, is or is to be an obligor upon the indenture securities covered thereby shall— (1) file with the indenture trustee copies of the annual reports and of the information, documents, and other reports (or copies of such portions of any of the foregoing as the Commission may by rules and regulations prescribe) which such obligor is required to file with the Commission pursuant to section 78m or 78o(d) of this title; or, if the obligor is not required to file information, documents, or reports pursuant to either of such sections, then to file with the indenture trustee and the Commission, in accordance with rules and regulations prescribed by the Commission, such of the supplementary and periodic information, documents, and reports which may be required pursuant to [section 78m of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section78m&num=0&edition=prelim), in respect of a security listed and registered on a national securities exchange as may be prescribed in such rules and regulations; (2) file with the indenture trustee and the Commission, in accordance with rules and regulations prescribed by the Commission, such additional information, documents, and reports with respect to compliance by such obligor with the conditions and covenants provided for in the indenture, as may be required by such rules and regulations, including, in the case of annual reports, if required by such rules and regulations, certificates or opinions of independent public accountants, conforming to the requirements of subsection (e) of this section, as to compliance with conditions or covenants, compliance with which is subject to verification by accountants, but

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Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 77ggg — Qualification of indentures covering securities not required to be registered

**(a) Application; information required; availability of information to public** In the case of any security which is not required to be registered under the Securities Act of 1933 [[15 U.S.C. 77a](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77a&num=0&edition=prelim) et seq.] and to which subsection (a) of [section 77fff of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77fff&num=0&edition=prelim) is applicable notwithstanding the provisions of [section 77ddd of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77ddd&num=0&edition=prelim), an application for qualification of the indenture under which such security has been or is to be issued shall be filed with the Commission by the issuer of such security. Each such application shall be in such form, and shall be signed in such manner, as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors. Each such application shall include the information and documents required by subsection (a) of [section 77eee of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77eee&num=0&edition=prelim). The information and documents required by paragraph (1) of such subsection with respect to the person designated to act as indenture trustee shall be contained in a separate part of such application, which part shall be signed by such person. Each such application shall also include such of the other information and documents which would be required to be filed in order to register such indenture security under the Securities Act of 1933 as the Commission may by rules and regulations prescribe as necessary or a

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Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 77h — Taking effect of registration statements and amendments thereto

**(a) Effective date of registration statement** Except as hereinafter provided, the effective date of a registration statement shall be the twentieth day after the filing thereof or such earlier date as the Commission may determine, having due regard to the adequacy of the information respecting the issuer theretofore available to the public, to the facility with which the nature of the securities to be registered, their relationship to the capital structure of the issuer and the rights of holders thereof can be understood, and to the public interest and the protection of investors. If any amendment to any such statement is filed prior to the effective date of such statement, the registration statement shall be deemed to have been filed when such amendment was filed; except that an amendment filed with the consent of the Commission, prior to the effective date of the registration statement, or filed pursuant to an order of the Commission, shall be treated as a part of the registration statement. **(b) Incomplete or inaccurate registration statement** If it appears to the Commission that a registration statement is on its face incomplete or inaccurate in any material respect, the Commission may, after notice by personal service or the sending of confirmed telegraphic notice not later than ten days after the filing of the registration statement, and opportunity for hearing (at a time fixed by the Commission) within ten days after such notice by personal service or the sending of such telegraphic notice, issue an order prior to the effective date of registration refusing to permit such statement to become effective until it has been amended in accordance with such order. When such statement has been amended in accordance with such order the Commission shall so declare an

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Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 78d — Securities and Exchange Commission

**(a) Establishment; composition; limitations on commissioners; terms of office** There is hereby established a Securities and Exchange Commission (hereinafter referred to as the “Commission”) to be composed of five commissioners to be appointed by the President by and with the advice and consent of the Senate. Not more than three of such commissioners shall be members of the same political party, and in making appointments members of different political parties shall be appointed alternately as nearly as may be practicable. No commissioner shall engage in any other business, vocation, or employment than that of serving as commissioner, nor shall any commissioner participate, directly or indirectly, in any stock-market operations or transactions of a character subject to regulation by the Commission pursuant to this chapter. Each commissioner shall hold office for a term of five years and until his successor is appointed and has qualified, except that he shall not so continue to serve beyond the expiration of the next session of Congress subsequent to the expiration of said fixed term of office, and except (1) any commissioner appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed shall be appointed for the remainder of such term, and (2) the terms of office of the commissioners first taking office after June 6, 1934, shall expire as designated by the President at the time of nomination, one at the end of one year, one at the end of two years, one at the end of three years, one at the end of four years, and one at the end of five years, after June 6, 1934. **(b) Appointment and compensation of staff and leasing authority** (1) **Appointment and compensation** — The Commission shall appoint and compensate offic

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Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 77iii — Effective time of qualification

Page 184 TITLE 15—COMMERCE AND TRADE § 77hhh which is classified generally to subchapter I (§ 77a et seq.) of this chapter. For complete classification of this Act to the Code, see section 77a of this title and Tables. AMENDMENTS 2002—Subsec. (b). Pub. L. 107–123 substituted ‘‘Com- mission’’ for ‘‘Commission, but, in the case of an appli- cation, only if it is accompanied or preceded by pay- ment to the Commission of a filing fee in the amount of $100, such payment to be made in cash or by United States postal money order or certified or bank check, or in such other medium of payment as the Commission may authorize by rule and regulation’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2002 AMENDMENT Amendment by Pub. L. 107–123 effective Oct. 1, 2001, see section 11 of Pub. L. 107–123, set out as a note under section 78ee of this title. Executive Documents TRANSFER OF FUNCTIONS For transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, §§ 1, 2, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1265, set out under section 78d of this title. § 77hhh. Integration of procedure with Securities Act and other Acts (a) Incorporation by reference The Commission, by such rules and regula- tions or orders as it deems necessary or appro- priate in the public interest or for the protec- tion of investors, shall authorize the filing of any information or documents required to be filed with the Commission under this sub- chapter, or under the Securities Act of 1933 [15 U.S.C. 77a et seq.] or the Securities Exchange Act of 1934 [15 U.S.C. 78a et seq.], by incor- porating by reference any information or docu- ments on file with the Commission under this subcha

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