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29 U.S.C. § 1135 — Regulations
Federal law — U.S. Code and appendices · legal_authorities
Subject to subchapter II and [section 1029 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1029&num=0&edition=prelim), the Secretary may prescribe such regulations as he finds necessary or appropriate to carry out the provisions of this subchapter. Among other things, such regulations may define accounting, technical and trade terms used in such provisions; may prescribe forms; and may provide for the keeping of books and records, and for the inspection of such books and records (subject to section 1134(a) and (b) of this title).
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Stable record: federal_law:legal_authorities:record_usc_dcee58d1a1efb0ec6d8905cc
Source file: Laws/federal/codes/united-states-code/title-29/section-1135-regulations--2ae0e178a5.md
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Passage SHA-256: 9340d70483f9906d4351465490012a659aed4c5175092162c043b44100ab5fed
Source location: Title 29, Chapter 18, § 1135; chapter-018-employee-retirement-income-security-program.md
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Subject to subchapter II and [section 1029 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1029&num=0&edition=prelim), the Secretary may prescribe such regulations as he finds necessary or appropriate to carry out the provisions of this subchapter. Among other things, such regulations may define accounting, technical and trade terms used in such provisions; may prescribe forms; and may provide for the keeping of books and records, and for the inspection of such books and records (subject to section 1134(a) and (b) of this title).
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Use of interstate commerce for purpose of fraud or deceit** It shall be unlawful for any person in the offer or sale of any securities (including security-based swaps) or any security-based swap agreement (as defined in section 78c(a)(78) 11 See References in Text note below. of this title) by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly—
(1) to employ any device, scheme, or artifice to defraud, or
(2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or
(3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
**(b) Use of interstate commerce for purpose of offering for sale** It shall be unlawful for any person, by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, to publish, give publicity to, or circulate any notice, circular, advertisement, newspaper, article, letter, investment service, or communication which, though not purporting to offer a security for sale, describes such security for a consideration received or to be received, directly or indirectly, from an issuer, underwriter, or dealer, without fully disclosing the receipt, whether past or prospective, of such consideration and the amount thereof.
**(c) Exemptions of section 77c not applicable to this section** The exemptions provided in [section 77c of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77c&num=0&edition=prel
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 77q
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Benefit plans as affecting interstate commerce and the Federal taxing power** The Congress finds that the growth in size, scope, and numbers of employee benefit plans in recent years has been rapid and substantial; that the operational scope and economic impact of such plans is increasingly interstate; that the continued well-being and security of millions of employees and their dependents are directly affected by these plans; that they are affected with a national public interest; that they have become an important factor affecting the stability of employment and the successful development of industrial relations; that they have become an important factor in commerce because of the interstate character of their activities, and of the activities of their participants, and the employers, employee organizations, and other entities by which they are established or maintained; that a large volume of the activities of such plans are carried on by means of the mails and instrumentalities of interstate commerce; that owing to the lack of employee information and adequate safeguards concerning their operation, it is desirable in the interests of employees and their beneficiaries, and to provide for the general welfare and the free flow of commerce, that disclosure be made and safeguards be provided with respect to the establishment, operation, and administration of such plans; that they substantially affect the revenues of the United States because they are afforded preferential Federal tax treatment; that despite the enormous growth in such plans many employees with long years of employment are losing anticipated retirement benefits owing to the lack of vesting provisions in such plans; that owing to the inadequacy of current minimum standards, the soundness and stabilit
Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 1001
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Information required on forms** Except as provided in subsection (b) of this section, the Secretary may require that any information required under this subchapter to be submitted to him, including but not limited to the information required to be filed by the administrator pursuant to section 1023(b)(3) and (c) of this title, must be submitted on such forms as he may prescribe.
**(b) Information not required on forms** The financial statement and opinion required to be prepared by an independent qualified public accountant pursuant to [section 1023(a)(3)(A) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1023/a/3/A&num=0&edition=prelim), the actuarial statement required to be prepared by an enrolled actuary pursuant to [section 1023(a)(4)(A) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1023/a/4/A&num=0&edition=prelim) and the summary plan description required by [section 1022(a) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1022/a&num=0&edition=prelim) shall not be required to be submitted on forms.
**(c) Format and content of summary plan description, annual report, etc., required to be furnished to plan participants and beneficiaries** The Secretary may prescribe the format and content of the summary plan description, the summary of the annual report described in [section 1024(b)(3) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1024/b/3&num=0&edition=prelim) and any other report, statements or documents (other than the bargaining agreement, trust agreement, contract, or other instrument under which the plan is established or operated), which are required to be furnished or made avail
Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 1029
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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.”
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Federal law — U.S. Code and appendices · legal_authorities
This subchapter may be cited as the “Securities Act of 1933”.
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 77a
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Federal law — U.S. Code and appendices · legal_authorities
**(a)**
(1) The Welfare and Pension Plans Disclosure Act [[29 U.S.C. 301](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section301&num=0&edition=prelim) et seq.] is repealed except that such Act shall continue to apply to any conduct and events which occurred before the effective date of this part.
(2)
(A) [Section 664 of title 18](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section664&num=0&edition=prelim) is amended by striking out “any such plan subject to the provisions of the Welfare and Pension Plans Disclosure Act” and inserting in lieu thereof “any employee benefit plan subject to any provisions of title I of the Employee Retirement Income Security Act of 1974”.
(B)
(i) Section 1027 of such title 18 is amended by striking out “Welfare and Pension Plans Disclosure Act” and inserting in lieu thereof “title I of the Employee Retirement Income Security Act of 1974”, and by striking out “Act” each place it appears and inserting in lieu thereof “title”.
(ii) The heading for such section is amended by striking out “welfare and pension plans disclosure act” and inserting in lieu thereof “employee retirement income security act of 1974”.
(iii) The table of sections of chapter 47 of such title 18 is amended by striking out “Welfare and Pension Plans Disclosure Act” in the item relating to section 1027 and inserting in lieu thereof “Employee Retirement Income Security Act of 1974”.
(C) Section 1954 of such title 18 is amended by striking out “any plan subject to the provisions of the Welfare and Pension Plans Disclosure Act as amended” and inserting in lieu thereof “any employee welfare benefit plan or employee pension benefit plan, respectively, subject to any provision of title I of the Employee Re
Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 1031
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Federal law — U.S. Code and appendices · legal_authorities
Page 542
TITLE 29—LABOR
§ 1135
mine the facts relative to such investigation,
if he has reasonable cause to believe there
may exist a violation of this subchapter or any
rule or regulation issued thereunder or if the
entry is pursuant to an agreement with the
plan.
The Secretary may make available to any per-
son actually affected by any matter which is the
subject of an investigation under this section,
and to any department or agency of the United
States, information concerning any matter
which may be the subject of such investigation;
except that any information obtained by the
Secretary pursuant to section 6103(g) of title 26
shall be made available only in accordance with
regulations prescribed by the Secretary of the
Treasury.
(b) Frequency of submission of books and
records
The Secretary may not under the authority of
this section require any plan to submit to the
Secretary any books or records of the plan more
than once in any 12 month period, unless the
Secretary has reasonable cause to believe there
may exist a violation of this subchapter or any
regulation or order thereunder.
(c) Other provisions applicable relating to at-
tendance of witnesses and production of
books, records, etc.
For the purposes of any investigation provided
for in this subchapter, the provisions of sections
49 and 50 of title 15 (relating to the attendance
of witnesses and the production of books,
records, and documents) are hereby made appli-
cable (without regard to any limitation in such
sections respecting persons, partnerships, banks,
or common carriers) to the jurisdiction, powers,
and duties of the Secretary or any officers des-
ignated by him. To the extent he considers ap-
propriate, the Secretary may delegate his inves-
tigative functions under
Source: Supplied 2024 U.S. Code historical extraction · 29 U.S.C. § 1135
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