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Federal law — U.S. Code and appendices · legal_authorities
This chapter may be cited as the “Securities Exchange Act of 1934.”
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78a
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Stable record: federal_law:legal_authorities:record_usc_691e94d8458f755f34484d61
Source file: Laws/federal/codes/united-states-code/title-15/section-78a-short-title--537f81fc7c.md
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Source location: Title 15, Chapter 2B, § 78a; chapter-2b-securities-exchanges.md
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Federal law — U.S. Code and appendices · legal_authorities
**(a)** In issuing obligations under sections 3102–3104 of this title, the Secretary of the Treasury may prescribe— (1) whether an obligation is to be issued on an interest-bearing basis, a discount basis, or an interest-bearing and discount basis; (2) regulations on the conditions under which the obligation will be offered for sale, including whether it will be offered for sale on a competitive or other basis; (3) the offering price and interest rate; (4) the method of computing the interest rate; (5) the dates for paying principal and interest; (6) the form and denominations of the obligations; and (7) other conditions. **(b)** (1) Under conditions prescribed by the Secretary, an obligation issued under this chapter and redeemable on demand of the owner or holder may be used to pay the United States Government for taxes imposed by it. (2) An obligation of the Government issued after March 3, 1971, under law may not be redeemed before its maturity to pay a tax imposed by the Government in an amount more than the fair market value of the obligation at the time of its redemption. This paragraph does not apply to a Treasury bill issued under [section 3104 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title31-section3104&num=0&edition=prelim). **(c)** Under conditions prescribed by the Secretary, an obligation authorized by this chapter may be issued in exchange for an obligation of an agency whose principal and interest are unconditionally guaranteed by the Government at or before maturity. **(d)** Under conditions prescribed by the Secretary, the Secretary may issue registered bonds in exchange for and instead of coupon bonds that have been or may be issued. The registered bonds shall be similar in all respects to the registered
Source: Supplied U.S. Code snapshot — release unconfirmed · 31 U.S.C. § 3121
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Federal law — U.S. Code and appendices · legal_authorities
**(a)** The district courts of the United States shall have jurisdiction to prevent and restrain violations of section 1962 of this chapter by issuing appropriate orders, including, but not limited to: ordering any person to divest himself of any interest, direct or indirect, in any enterprise; imposing reasonable restrictions on the future activities or investments of any person, including, but not limited to, prohibiting any person from engaging in the same type of endeavor as the enterprise engaged in, the activities of which affect interstate or foreign commerce; or ordering dissolution or reorganization of any enterprise, making due provision for the rights of innocent persons. **(b)** The Attorney General may institute proceedings under this section. Pending final determination thereof, the court may at any time enter such restraining orders or prohibitions, or take such other actions, including the acceptance of satisfactory performance bonds, as it shall deem proper. **(c)** Any person injured in his business or property by reason of a violation of section 1962 of this chapter may sue therefor in any appropriate United States district court and shall recover threefold the damages he sustains and the cost of the suit, including a reasonable attorney’s fee, except that no person may rely upon any conduct that would have been actionable as fraud in the purchase or sale of securities to establish a violation of section 1962. The exception contained in the preceding sentence does not apply to an action against any person that is criminally convicted in connection with the fraud, in which case the statute of limitations shall start to run on the date on which the conviction becomes final. **(d)** A final judgment or decree rendered in favor of the United States in
Source: Supplied U.S. Code snapshot — release unconfirmed · 18 U.S.C. § 1964
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Federal law — U.S. Code and appendices · legal_authorities
**(a)** The Commission, by affirmative vote of at least four members of the Commission, and pursuant to its rules and regulations and consistent with all pertinent provisions of any Federal statute shall promulgate and distribute to all courts of the United States and to the United States Probation System— (1) guidelines, as described in this section, for use of a sentencing court in determining the sentence to be imposed in a criminal case, including— (A) a determination whether to impose a sentence to probation, a fine, or a term of imprisonment; (B) a determination as to the appropriate amount of a fine or the appropriate length of a term of probation or a term of imprisonment; (C) a determination whether a sentence to a term of imprisonment should include a requirement that the defendant be placed on a term of supervised release after imprisonment, and, if so, the appropriate length of such a term; (D) a determination whether multiple sentences to terms of imprisonment should be ordered to run concurrently or consecutively; and (E) a determination under paragraphs (6) and (11) 11 See References in Text note below. of [section 3563(b) of title 18](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section3563/b&num=0&edition=prelim); (2) general policy statements regarding application of the guidelines or any other aspect of sentencing or sentence implementation that in the view of the Commission would further the purposes set forth in [section 3553(a)(2) of title 18](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section3553/a/2&num=0&edition=prelim), United States Code, including the appropriate use of— (A) the sanctions set forth in sections 3554, 3555, and 3556 of title 18; (B) the conditions of proba
Source: Supplied U.S. Code snapshot — release unconfirmed · 28 U.S.C. § 994
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Federal law — U.S. Code and appendices · legal_authorities
Unless otherwise provided by its terms, this subchapter does not divest any appropriate financial regulator, any Supervisory Agency, or any other Federal or State agency, of any authority derived from any other applicable law, except that any standards prescribed by the Board of Governors under [section 5464 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section5464&num=0&edition=prelim) shall supersede any less stringent requirements established under other authority to the extent of any conflict.
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 5491
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Federal law — U.S. Code and appendices · legal_authorities
For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are effected with a national public interest which makes it necessary to provide for regulation and control of such transactions and of practices and matters related thereto, including transactions by officers, directors, and principal security holders, to require appropriate reports, to remove impediments to and perfect the mechanisms of a national market system for securities and a national system for the clearance and settlement of securities transactions and the safeguarding of securities and funds related thereto, and to impose requirements necessary to make such regulation and control reasonably complete and effective, in order to protect interstate commerce, the national credit, the Federal taxing power, to protect and make more effective the national banking system and Federal Reserve System, and to insure the maintenance of fair and honest markets in such transactions: (1) Such transactions (a) are carried on in large volume by the public generally and in large part originate outside the States in which the exchanges and over-the-counter markets are located and/or are effected by means of the mails and instrumentalities of interstate commerce; (b) constitute an important part of the current of interstate commerce; (c) involve in large part the securities of issuers engaged in interstate commerce; (d) involve the use of credit, directly affect the financing of trade, industry, and transportation in interstate commerce, and directly affect and influence the volume of interstate commerce; and affect the national credit. (2) The prices established and offered in such transactions are generally disseminated and quoted thro
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78b
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Establishment of principles and standards** The Council shall establish uniform principles and standards and report forms for the examination of financial institutions which shall be applied by the Federal financial institutions regulatory agencies. **(b) Making recommendations regarding supervisory matters and adequacy of supervisory tools** (1) The Council shall make recommendations for uniformity in other supervisory matters, such as, but not limited to, classifying loans subject to country risk, identifying financial institutions in need of special supervisory attention, and evaluating the soundness of large loans that are shared by two or more financial institutions. In addition, the Council shall make recommendations regarding the adequacy of supervisory tools for determining the impact of holding company operations on the financial institutions within the holding company and shall consider the ability of supervisory agencies to discover possible fraud or questionable and illegal payments and practices which might occur in the operation of financial institutions or their holding companies. (2) When a recommendation of the Council is found unacceptable by one or more of the applicable Federal financial institutions regulatory agencies, the agency or agencies shall submit to the Council, within a time period specified by the Council, a written statement of the reasons the recommendation is unacceptable. **(c) Development of uniform reporting system** The Council shall develop uniform reporting systems for federally supervised financial institutions, their holding companies, and nonfinancial institution subsidiaries of such institutions or holding companies. The authority to develop uniform reporting systems shall not restrict or amend the requirements of s
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 3305
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Establishment and purpose** (1) **Establishment** — There is established within the Commission the Small Business Capital Formation Advisory Committee (hereafter in this section referred to as the “Committee”). (2) **Functions** (A) *In general* — The Committee shall provide the Commission with advice on the Commission’s rules, regulations, and policies with regard to the Commission’s mission of protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation, as such rules, regulations, and policies relate to— (i) capital raising by emerging, privately held small businesses (“emerging companies”) and publicly traded companies with less than $250,000,000 in public market capitalization (“smaller public companies”) through securities offerings, including private and limited offerings and initial and other public offerings; (ii) trading in the securities of emerging companies and smaller public companies; and (iii) public reporting and corporate governance requirements of emerging companies and smaller public companies. (B) *Limitation* — The Committee shall not provide any advice with respect to any policies, practices, actions, or decisions concerning the Commission’s enforcement program. **(b) Membership** (1) **In general** — The members of the Committee shall be— (A) the Advocate for Small Business Capital Formation; (B) not fewer than 10, and not more than 20, members appointed by the Commission, from among individuals— (i) who represent— (I) emerging companies engaging in private and limited securities offerings or considering initial public offerings (“IPO”) (including the companies’ officers and directors); (II) the professional advisors of such companies (including
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78qq
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Federal law — U.S. Code and appendices · legal_authorities
**(a) General Rule.—** On or before June 1 of each calendar year after 1993, the Secretary of the Treasury shall submit a report to the Committee on Ways and Means of the House of Representatives and the Committee on Finance of the Senate on— (1) the Treasury’s public debt activities, and (2) the operations of the Federal Financing Bank. **(b) Required Information on Public Debt Activities.—** Each report submitted under subsection (a) shall include the following information: (1) A table showing the following information with respect to the total public debt: (A) The past levels of such debt and the projected levels of such debt as of the close of the current fiscal year and as of the close of the next 5 fiscal years under the most recent current services baseline projection of the executive branch. (B) The past debt to GDP ratios and the projected debt to GDP ratios as of the close of the current fiscal year and as of the close of the next 5 fiscal years under such most recent current services baseline projection. (2) A table showing the following information with respect to the net public debt: (A) The past levels of such debt and the projected levels of such debt as of the close of the current fiscal year and as of the close of the next 5 fiscal years under the most recent current services baseline projection of the executive branch. (B) The past debt to GDP ratios and the projected debt to GDP ratios as of the close of the current fiscal year and as of the close of the next 5 fiscal years under such most recent current services baseline projection. (C) The interest cost on such debt for prior fiscal years and the projected interest cost on such debt for the current fiscal year and for the next 5 fiscal years under such most recent current service
Source: Supplied U.S. Code snapshot — release unconfirmed · 31 U.S.C. § 3130
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Accounting principles** The accounting principles applicable to the transfer of a small business loan or a lease of personal property with recourse contained in reports or statements required to be filed with Federal banking agencies by a qualified insured depository institution shall be consistent with generally accepted accounting principles. **(b) Capital and reserve requirements** With respect to the transfer of a small business loan or lease of personal property with recourse that is a sale under generally accepted accounting principles, each qualified insured depository institution shall— (1) establish and maintain a reserve equal to an amount sufficient to meet the reasonable estimated liability of the institution under the recourse arrangement; and (2) include, for purposes of applicable capital standards and other capital measures, only the amount of the retained recourse in the risk-weighted assets of the institution. **(c) Qualified institutions criteria** An insured depository institution is a qualified insured depository institution for purposes of this section if, without regard to the accounting principles or capital requirements referred to in subsections (a) and (b), the institution is— (1) well capitalized; or (2) with the approval, by regulation or order, of the appropriate Federal banking agency, adequately capitalized. **(d) Aggregate amount of recourse** The total outstanding amount of recourse retained by a qualified insured depository institution with respect to transfers of small business loans and leases of personal property under subsections (a) and (b) shall not exceed— (1) 15 percent of the risk-based capital of the institution; or (2) such greater amount, as established by the appropriate Federal banking agency by regulation
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 1835
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Solicitation of proxies in violation of rules and regulations** (1) It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of a national securities exchange or otherwise, in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors, to solicit or to permit the use of his name to solicit any proxy or consent or authorization in respect of any security (other than an exempted security) registered pursuant to section 78l of this title. (2) The rules and regulations prescribed by the Commission under paragraph (1) may include— (A) a requirement that a solicitation of proxy, consent, or authorization by (or on behalf of) an issuer include a nominee submitted by a shareholder to serve on the board of directors of the issuer; and (B) a requirement that an issuer follow a certain procedure in relation to a solicitation described in subparagraph (A). **(b) Giving or refraining from giving proxy in respect of any security carried for account of customer** (1) It shall be unlawful for any member of a national securities exchange, or any broker or dealer registered under this chapter, or any bank, association, or other entity that exercises fiduciary powers, in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors, to give, or to refrain from giving a proxy, consent, authorization, or information statement in respect of any security registered pursuant to section 78l of this title, or any security issued by an investment company registered under the Investment Company Act of 1
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78n
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