§ 77a. Short title
This subchapter may be cited as the ‘‘Securi-
ties Act of 1933’’.
(May 27, 1933, ch. 38, title I, § 1, 48 Stat. 74.)
Statutory Notes and Related Subsidiaries
SHORT TITLE OF 2012 AMENDMENT
Pub. L. 112–142, § 1, July 9, 2012, 126 Stat. 989, provided
that: ‘‘This Act [amending section 77c of this title] may
be cited as the ‘Church Plan Investment Clarification
Act’.’’
Pub. L. 112–106, title III, § 301, Apr. 5, 2012, 126 Stat.
315, provided that: ‘‘This title [enacting section 77d–1 of
this title, amending sections 77d, 77r, 78c, 78l, and 78o of
this title, and enacting provisions set out as notes
under sections 77d, 77r, 78c, and 78l of this title] may be
cited as the ‘Capital Raising Online While Deterring
Fraud and Unethical Non-Disclosure Act of 2012’ or the
‘CROWDFUND Act’.’’
SHORT TITLE OF 1980 AMENDMENT
Pub. L. 96–477, title VI, § 601, Oct. 21, 1980, 94 Stat.
2294, provided that: ‘‘This title [amending sections 77b
and 77d of this title] may be cited as the ‘Small Busi-
ness Issuers’ Simplification Act of 1980’.’’
§ 77b. Definitions; promotion of efficiency, com-
petition, and capital formation
(a) Definitions
When used in this subchapter, unless the con-
text otherwise requires—
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Page 119
TITLE 15—COMMERCE AND TRADE
§ 77b
7025, set out as a note under section 301 of Title 3, The
President.
CHAPTER 2A—SECURITIES AND TRUST
INDENTURES
SUBCHAPTER I—DOMESTIC SECURITIES
Sec.
77a.
Short title.
77b.
Definitions; promotion of efficiency, competi-
tion, and capital formation.
77b–1.
Swap agreements.
77c.
Classes of securities under this subchapter.
77d.
Exempted transactions.
77d–1.
Requirements with respect to certain small
transactions.
77e.
Prohibitions relating to interstate commerce
and the mails.
77f.
Registration of securities.
77g.
Information required in registration state-
ment.
77h.
Taking effect of registration statements and
amendments thereto.
77h–1.
Cease-and-desist proceedings.
77i.
Court review of orders.
77j.
Information required in prospectus.
77k.
Civil liabilities on account of false registra-
tion statement.
77l.
Civil liabilities arising in connection with
prospectuses and communications.
77m.
Limitation of actions.
77n.
Contrary stipulations void.
77o.
Liability of controlling persons.
77p.
Additional remedies; limitation on remedies.
77q.
Fraudulent interstate transactions.
77r.
Exemption from State regulation of securi-
ties offerings.
77r–1.
Preemption of State law.
77s.
Special powers of Commission.
77t.
Injunctions and prosecution of offenses.
77u.
Hearings by Commission.
77v.
Jurisdiction of offenses and suits.
77w.
Unlawful representations.
77x.
Penalties.
77y.
Jurisdiction of other Government agencies
over securities.
77z.
Separability.
77z–1.
Private securities litigation.
77z–2.
Application of safe harbor for forward-look-
ing statements.
77z–2a.
Conflicts of interest relating to certain
securitizations.
77z–3.
General exemptive authority.
77z–4.
Data standards.
77aa.
Schedule of information required in registra-
tion statement.
SUBCHAPTER II—FOREIGN SECURITIES
77bb.
‘‘Corporation of Foreign Security Holders’’;
creation; principal office; branch offices.
77cc.
Directors of Corporation; appointment, term
of office, and removal.
77dd.
Powers and duties of Corporation, generally.
77ee.
Directors of Corporation, powers and duties
generally.
77ff.
Accounts and annual balance sheet of Cor-
poration; audits.
77gg.
Annual report by Corporation; printing and
distribution.
77hh.
Assessments by Corporation on holders of for-
eign securities.
77ii.
Subscriptions accepted by Corporation as
loans; repayment.
77jj.
Loans to Corporation from Reconstruction
Finance Corporation authorized.
77kk.
Representations by Corporation as acting for
Department of State or United States for-
bidden; interference with foreign negotia-
tions forbidden.
Sec.
77ll.
Effective date of subchapter.
77mm.
Short title.
SUBCHAPTER III—TRUST INDENTURES
77aaa.
Short title.
77bbb.
Necessity for regulation.
77ccc.
Definitions.
77ddd.
Exempted securities and transactions.
77eee.
Securities required to be registered under Se-
curities Act.
77fff.
Securities not registered under Securities
Act.
77ggg.
Qualification of indentures covering securi-
ties not required to be registered.
77hhh.
Integration of procedure with Securities Act
and other Acts.
77iii.
Effective time of qualification.
77jjj.
Eligibility and disqualification of trustee.
77kkk.
Preferential collection of claims against obli-
gor.
77lll.
Bondholders’ lists.
77mmm. Reports by indenture trustee.
77nnn.
Reports by obligor; evidence of compliance
with indenture provisions.
77ooo.
Duties and responsibility of the trustee.
77ppp.
Directions and waivers by bondholders; prohi-
bition of impairment of holder’s right to
payment; record date.
77qqq.
Special powers of trustee; duties of paying
agents.
77rrr.
Effect of prescribed indenture provisions.
77sss.
Rules, regulations, and orders.
77ttt.
Hearings by Commission.
77uuu.
Special powers of the Commission.
77vvv.
Judicial review.
77www.
Liability for misleading statements.
77xxx.
Unlawful representations.
77yyy.
Penalties.
77zzz.
Effect on existing law.
77aaaa.
Contrary stipulations void.
77bbbb.
Separability.
SUBCHAPTER I—DOMESTIC SECURITIES
§ 77a. Short title
This subchapter may be cited as the ‘‘Securi-
ties Act of 1933’’.
(May 27, 1933, ch. 38, title I, § 1, 48 Stat. 74.)
Statutory Notes and Related Subsidiaries
SHORT TITLE OF 2012 AMENDMENT
Pub. L. 112–142, § 1, July 9, 2012, 126 Stat. 989, provided
that: ‘‘This Act [amending section 77c of this title] may
be cited as the ‘Church Plan Investment Clarification
Act’.’’
Pub. L. 112–106, title III, § 301, Apr. 5, 2012, 126 Stat.
315, provided that: ‘‘This title [enacting section 77d–1 of
this title, amending sections 77d, 77r, 78c, 78l, and 78o of
this title, and enacting provisions set out as notes
under sections 77d, 77r, 78c, and 78l of this title] may be
cited as the ‘Capital Raising Online While Deterring
Fraud and Unethical Non-Disclosure Act of 2012’ or the
‘CROWDFUND Act’.’’
SHORT TITLE OF 1980 AMENDMENT
Pub. L. 96–477, title VI, § 601, Oct. 21, 1980, 94 Stat.
2294, provided that: ‘‘This title [amending sections 77b
and 77d of this title] may be cited as the ‘Small Busi-
ness Issuers’ Simplification Act of 1980’.’’
§ 77b. Definitions; promotion of efficiency, com-
petition, and capital formation
(a) Definitions
When used in this subchapter, unless the con-
text otherwise requires—
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