Source: http://www4.law.cornell.edu/uscode/text/15/78l?quicktabs_8=0
Timestamp: 2013-12-10 14:14:30
Document Index: 477087031

Matched Legal Cases: ['§ 3', '§ 205', '§ 1', '§ 8', '§ 7803', '§ 376', '§ 986', '§ 953', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78']

15 USC § - There are 7 Updates Pending. Select the tab below to view.
within one hundred and twenty days after the last day of its first fiscal year ended after July 1, 1964, on which the issuer has total assets exceeding $1,000,000 and a class of equity security (other than an exempted security) held of record by seven hundred and fifty or more persons; and
within one hundred and twenty days after the last day of its first fiscal year ended after two years from July 1, 1964, on which the issuer has total assets exceeding $1,000,000 and a class of equity security (other than an exempted security) held of record by five hundred or more but less than seven hundred and fifty persons,
Registration of any class of security pursuant to this subsection shall be terminated ninety days, or such shorter period as the Commission may determine, after the issuer files a certification with the Commission that the number of holders of record of such class of security is reduced to less than three hundred persons. The Commission shall after notice and opportunity for hearing deny termination of registration if it finds that the certification is untrue. Termination of registration shall be deferred pending final determination on the question of denial.
For the purposes of this subsection the term “class” shall include all securities of an issuer which are of substantially similar character and the holders of which enjoy substantially similar rights and privileges. The Commission may for the purpose of this subsection define by rules and regulations the terms “total assets” and “held of record” as it deems necessary or appropriate in the public interest or for the protection of investors in order to prevent circumvention of the provisions of this subsection. For purposes of this subsection, a security futures product shall not be considered a class of equity security of the issuer of the securities underlying the security futures product.
with respect to national banks and Federal savings associations, the accounts of which are insured by the Federal Deposit Insurance Corporation [1]
(b)(1), (2)], Dec. 21, 2000, 114 Stat. 2763, 2763A–431, 2763A–435; Pub. L. 107–204, § 3(b)(4), title II, § 205(c)(1),July 30, 2002, 116 Stat. 749, 774; Pub. L. 108–359, § 1(c)(2),Oct. 25, 2004, 118 Stat. 1666; Pub. L. 108–386, § 8(f)(4),Oct. 30, 2004, 118 Stat. 2232; Pub. L. 108–458, title VII, § 7803(b), (c),Dec. 17, 2004, 118 Stat. 3861, 3862; Pub. L. 111–203, title III, § 376(2), title IX, § 986(a)(2),July 21, 2010, 124 Stat. 1569, 1935.)
Pub. L. 111–203, title IX, § 953(b),July 21, 2010, 124 Stat. 1904, provided that:
“(1) In general.—The Commission shall amend section 229.402 of title 17, Code of Federal Regulations, to require each issuer to disclose in any filing of the issuer described in section 229.10(a) of title 17, Code of Federal Regulations (or any successor thereto)—
15 USCDescription of ChangeSession YearPublic LawStatutes at Large § 78l2012112-106 [Sec.] 501, 502126 Stat. 325, 326 § 78lnt new2012112-106 [Sec.] 602126 Stat. 327 § 78l2012112-106 [Sec.] 601(a)126 Stat. 326 § 78lnt new2012112-106 [Sec.] 503126 Stat. 326 § 78lnt new2012112-106 [Sec.] 303(b)126 Stat. 321 § 78l2012112-106 [Sec.] 303(a)126 Stat. 321 § 78lnt2012112-106 [Sec.] 102(a)(3)126 Stat. 309 This is a list of parts within the Code of Federal Regulations for which this US Code section provides rulemaking authority.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.12 CFR - Title 12—Banks and Banking12 CFR 8 - ASSESSMENT OF FEES12 CFR 11 - SECURITIES EXCHANGE ACT DISCLOSURE RULES12 CFR 208 - MEMBERSHIP OF STATE BANKING INSTITUTIONS IN THE FEDERAL RESERVE SYSTEM (REGULATION H)12 CFR 335 - SECURITIES OF NONMEMBER INSURED BANKS12 CFR 512 - RULES FOR INVESTIGATIVE PROCEEDINGS AND FORMAL EXAMINATION PROCEEDINGS12 CFR 563b - CONVERSIONS FROM MUTUAL TO STOCK FORM12 CFR 563d - SECURITIES OF SAVINGS ASSOCIATIONS12 CFR 563g - SECURITIES OFFERINGS
17 CFR - Title 17—Commodity and Securities Exchanges17 CFR 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS17 CFR 201 - RULES OF PRACTICE17 CFR 210 - FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 197517 CFR 229 - STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K17 CFR 230 - GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 193317 CFR 232 - REGULATION S-T—GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS17 CFR 239 - FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 193317 CFR 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 193417 CFR 242 - REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES17 CFR 249 - FORMS, SECURITIES EXCHANGE ACT OF 193417 CFR 249b - FURTHER FORMS, SECURITIES EXCHANGE ACT OF 193417 CFR 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 194017 CFR 274 - FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
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