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15 U.S.C. § 78aaa — Short title
Federal law — U.S. Code and appendices · legal_authorities
Page 477
TITLE 15—COMMERCE AND TRADE
§ 78ccc
1 See References in Text note below.
(B) disclosing the action, if any, the Com-
mission intends to take with respect to the
finding or recommendation.
(h) Federal Advisory Committee Act
The Federal Advisory Committee Act (5 U.S.C.
App.) 1 shall not apply with respect to the Com-
mittee and its activities.
(June 6, 1934, ch. 404, title I, § 40, as added Pub.
L. 114–284, § 2(b), Dec. 16, 2016, 130 Stat. 1450.)
Editorial Notes
REFERENCES IN TEXT
The Federal Advisory Committee Act, referred to in
subsec. (h), is Pub. L. 92–463, Oct. 6, 1972, 86 Stat. 770,
which was set out in the Appendix to Title 5, Govern-
ment Organization and Employees, and was substan-
tially repealed and restated in chapter 10 (§ 1001 et seq.)
of Title 5 by Pub. L. 117–286, §§ 3(a), 7, Dec. 27, 2022, 136
Stat. 4197, 4361. For disposition of sections of the Act
into chapter 10 of Title 5, see Disposition Table pre-
ceding section 101 of Title 5.
§ 78rr. Data standards for security-based swap
reporting
(a) Requirement
The Commission shall, by rule, adopt data
standards for all reports related to security-
based swaps that are required under this chap-
ter.
(b) Consistency
The data standards required under subsection
(a) shall incorporate, and ensure compatibility
with (to the extent feasible), all applicable data
standards established in the rules promulgated
under section 5334 of title 12, including, to the
extent practicable, by having the characteristics
described in clauses (i) through (vi) of sub-
section (c)(1)(B) of such section 5334.
(June 6, 1934, ch. 404, title I, § 41, as added Pub.
L. 117–263, div. E, title LVIII, § 5821(h), Dec. 23,
2022, 136 Stat. 3427.)
Editorial Notes
REFERENCES IN TEXT
This chapter, referred
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Page 477
TITLE 15—COMMERCE AND TRADE
§ 78ccc
1 See References in Text note below.
(B) disclosing the action, if any, the Com-
mission intends to take with respect to the
finding or recommendation.
(h) Federal Advisory Committee Act
The Federal Advisory Committee Act (5 U.S.C.
App.) 1 shall not apply with respect to the Com-
mittee and its activities.
(June 6, 1934, ch. 404, title I, § 40, as added Pub.
L. 114–284, § 2(b), Dec. 16, 2016, 130 Stat. 1450.)
Editorial Notes
REFERENCES IN TEXT
The Federal Advisory Committee Act, referred to in
subsec. (h), is Pub. L. 92–463, Oct. 6, 1972, 86 Stat. 770,
which was set out in the Appendix to Title 5, Govern-
ment Organization and Employees, and was substan-
tially repealed and restated in chapter 10 (§ 1001 et seq.)
of Title 5 by Pub. L. 117–286, §§ 3(a), 7, Dec. 27, 2022, 136
Stat. 4197, 4361. For disposition of sections of the Act
into chapter 10 of Title 5, see Disposition Table pre-
ceding section 101 of Title 5.
§ 78rr. Data standards for security-based swap
reporting
(a) Requirement
The Commission shall, by rule, adopt data
standards for all reports related to security-
based swaps that are required under this chap-
ter.
(b) Consistency
The data standards required under subsection
(a) shall incorporate, and ensure compatibility
with (to the extent feasible), all applicable data
standards established in the rules promulgated
under section 5334 of title 12, including, to the
extent practicable, by having the characteristics
described in clauses (i) through (vi) of sub-
section (c)(1)(B) of such section 5334.
(June 6, 1934, ch. 404, title I, § 41, as added Pub.
L. 117–263, div. E, title LVIII, § 5821(h), Dec. 23,
2022, 136 Stat. 3427.)
Editorial Notes
REFERENCES IN TEXT
This chapter, referred to in subsec. (a), was in the
original ‘‘this Act’’. See References in Text note set out
under section 78a of this title.
CODIFICATION
Pub. L. 117–263, which directed amendment of the Se-
curities Exchange Act of 1934 by adding this section at
the end, is reflected in the source credit above as add-
ing this section to title I of the Securities Exchange
Act of 1934, to reflect the probable intent of Congress.
Statutory Notes and Related Subsidiaries
RULE OF CONSTRUCTION—NO NEW DISCLOSURE
REQUIREMENTS
Enactment of section not to be construed to require
certain additional information to be collected or dis-
closed, see section 5826 of Pub. L. 117–263, set out as a
note under section 77g of this title.
CHAPTER 2B–1—SECURITIES INVESTOR
PROTECTION
Sec.
78aaa.
Short title.
Sec.
78bbb.
Application of Securities Exchange Act of
1934.
78ccc.
Securities Investor Protection Corporation.
78ddd.
SIPC Fund.
78eee.
Protection of customers.
78fff.
General provisions of a liquidation pro-
ceeding.
78fff–1.
Powers and duties of a trustee.
78fff–2.
Special provisions of a liquidation pro-
ceeding.
78fff–3.
SIPC advances.
78fff–4.
Direct payment procedure.
78ggg.
SEC functions.
78hhh.
Examining authority functions.
78iii.
Functions of self-regulatory organizations.
78jjj.
Prohibited acts.
78kkk.
Miscellaneous provisions.
78lll.
Definitions.
§ 78aaa. Short title
This chapter may be cited as the ‘‘Securities
Investor Protection Act of 1970’’.
(Pub. L. 91–598, § 1(a), Dec. 30, 1970, 84 Stat. 1636.)
Editorial Notes
REFERENCES IN TEXT
This chapter, referred to in text, was in the original
‘‘This Act’’, meaning Pub. L. 91–598, Dec. 30, 1970, 84
Stat. 1636. For complete classification of this Act to
the Code, see Tables.
Statutory Notes and Related Subsidiaries
SHORT TITLE OF 1978 AMENDMENT
Pub. L. 95–283, § 1, May 21, 1978, 92 Stat. 249, provided
that: ‘‘This Act [enacting sections 78fff–1 to 78fff–4 of
this title, amending sections 77c, 78c, 78k, and 78ccc to
78lll of this title and enacting provisions set out as a
note under section 78k of this title] may be cited as the
‘Securities Investor Protection Act Amendments of
1978’.’’
§ 78bbb. Application of Securities Exchange Act
of 1934
Except as otherwise provided in this chapter,
the provisions of the Securities Exchange Act of
1934 [15 U.S.C. 78a et seq.] (hereinafter referred
to as the ‘‘1934 Act’’) apply as if this chapter
constituted an amendment to, and was included
as a section of, such Act.
(Pub. L. 91–598, § 2, Dec. 30, 1970, 84 Stat. 1637.)
Editorial Notes
REFERENCES IN TEXT
This chapter, referred to in text, was in the original
‘‘this Act’’, meaning Pub. L. 91–598, Dec. 30, 1970, 84
Stat. 1636. For complete classification of this Act to
the Code, see Tables.
The Securities Exchange Act of 1934, referred to in
text, is act June 6, 1934, ch. 404, 48 Stat. 881, which is
classified principally to chapter 2B (§ 78a et seq.) of this
title. For complete classification of this Act to the
Code, see section 78a of this title and Tables.
§ 78ccc. Securities Investor Protection Corpora-
tion
(a) Creation and membership
(1) Creation
There is hereby established a body corporate
to be known as the ‘‘Securities Investor Pro-
Cross-references
Connections may be documented source relationships, shared citations or nearby passages. Each explains its basis; a connection alone does not establish applicability to your situation.
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
Stored review status: release_metadata_unconfirmed. The source passage cites 15 U.S.C. § 78a. This identifies an authority to review, not proof of applicability.
Federal law — U.S. Code and appendices · legal_authorities
Page 202
TITLE 15—COMMERCE AND TRADE
§ 78a
Sec.
78m.
Periodical and other reports.
78m–1.
Reporting and recordkeeping for certain secu-
rity-based swaps.
78m–2.
Reporting requirements regarding coal or
other mine safety.
78n.
Proxies.
78n–1.
Shareholder approval of executive compensa-
tion.
78n–2.
Corporate governance.
78o.
Registration and regulation of brokers and
dealers.
78o–1.
Brokers deemed to be registered.
78o–2.
Liabilities arising prior to amendment unaf-
fected.
78o–3.
Registered securities associations.
78o–4.
Municipal securities.
78o–4a.
Commission Office of Municipal Securities.
78o–5.
Government securities brokers and dealers.
78o–6.
Securities analysts and research reports.
78o–7.
Registration of nationally recognized statis-
tical rating organizations.
78o–8.
Universal ratings symbols.
78o–9.
Study and rulemaking on assigned credit rat-
ings.
78o–10.
Registration and regulation of security-based
swap dealers and major security-based swap
participants.
78o–11.
Credit risk retention.
78p.
Directors,
officers,
and
principal
stock-
holders.
78q.
Records and reports.
78q–1.
National system for clearance and settlement
of securities transactions.
78q–2.
Automated quotation systems for penny
stocks.
78r.
Liability for misleading statements.
78s.
Registration, responsibilities, and oversight
of self-regulatory organizations.
78t.
Liability of controlling persons and persons
who aid and abet violations.
78t–1.
Liability to contemporaneous traders for in-
sider trading.
78u.
Investigations and actions.
78u–1.
Civil penalties for insider trading.
78u–2.
Civil remedies in administrative proceedings.
78u–3.
Cease-and-desist proceedings.
78u–4.
Private securities litigation.
78u–5.
Applic
Source: Supplied 2024 U.S. Code historical extraction · 15 U.S.C. § 78a
Stored review status: historical_2024_not_currentness_verified. The source passage cites 15 U.S.C. § 78a. This identifies an authority to review, not proof of applicability.
Federal law — U.S. Code and appendices · legal_authorities
This chapter may be cited as the “Securities Investor Protection Act of 1970”.
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78aaa
Stored review status: release_metadata_unconfirmed. Same stored citation; legal effect and authority still require review.