### **CHAPTER 2A—SECURITIES AND TRUST INDENTURES**

#### SUBCHAPTER I—DOMESTIC SECURITIES

Sec.
77a.
Short title.
77b.
Definitions; promotion of efficiency, competition, 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 statement.
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 registration statement.
77 l.
Civil liabilities arising in connection with prospectuses and communications.
77m.
Limitation of actions.
77n.
Contrary stipulations void.
77 o.
Liability of controlling persons.
77p.
Additional remedies; limitation on remedies.
77q.
Fraudulent interstate transactions.
77r.
Exemption from State regulation of securities 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-looking 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 registration 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 Corporation; audits.
77gg.
Annual report by Corporation; printing and distribution.
77hh.
Assessments by Corporation on holders of foreign 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 forbidden; interference with foreign negotiations forbidden.
77 ll.
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 Securities Act.
77fff.
Securities not registered under Securities Act.
77ggg.
Qualification of indentures covering securities 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 obligor.
77 lll.
Bondholders' lists.
77mmm.
Reports by indenture trustee.
77nnn.
Reports by obligor; evidence of compliance with indenture provisions.
77 ooo.
Duties and responsibility of the trustee.
77ppp.
Directions and waivers by bondholders; prohibition 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.