Title 15, Chapter 2
Commerce and Trade — 286 sections
- § 1 Section 1 - Staff exchanges
- § 1 Section 1 - Effective date of certain sections
- § 1 Section 1 - Private securities litigation
- § 1 Section 1 - Annual government-business forum on capital formation
- § 1 Section 1 - Findings
- § 2 Section 2 - Reimbursement of expenses
- § 2a Section 2a - Confidentiality and delayed notice of compulsory process for certain third parties
- § 2b Section 2b - Protection for voluntary provision of information
- § 2 Section 2 - Prohibited foreign trade practices by domestic concerns
- § 2 Section 2 - Application of safe harbor for forward-looking statements
- § 2a Section 2a - Conflicts of interest relating to certain securitizations
- § 2 Section 2 - Authorization of appropriations
- § 2 Section 2 - Definitions
- § 3 Section 3 - Rulemaking process
- § 3 Section 3 - Prohibited foreign trade practices by persons other than issuers or domestic concerns
- § 3 Section 3 - General exemptive authority
- § 3 Section 3 - Reduction of costs of small securities issues
- § 3 Section 3 - Registration of investment advisers
- § 3a Section 3a - State and Federal responsibilities
- § 4 Section 4 - Good faith reliance on actions of Board of Governors
- § 4 Section 4 - Private securities litigation
- § 4a Section 4a - Commission Office of Municipal Securities
- § 4 Section 4 - Data standards
- § 4 Section 4 - Reports by investment advisers
- § 4a Section 4a - Prevention of misuse of nonpublic information
- § 5 Section 5 - Agricultural cooperatives
- § 5 Section 5 - Application of safe harbor for forward-looking statements
- § 5 Section 5 - Investment advisory contracts
- § 6 Section 6 - Repealed. Pub. L. 109–58, title XII, § 1263 , Aug. 8, 2005 , 119 Stat. 974
- § 6 Section 6 - Securities whistleblower incentives and protection
- § 6 Section 6 - Prohibited transactions by investment advisers
- § 6a Section 6a - Exemptions
- § 7 Section 7 - Implementation and transition provisions for whistleblower protection
- § 7 Section 7 - Material misstatements
- § 8 Section 8 - Universal ratings symbols
- § 8 Section 8 - General prohibitions
- § 9 Section 9 - Study and rulemaking on assigned credit ratings
- § 9 Section 9 - Enforcement of subchapter
- § 10 Section 10 - Registration and regulation of security-based swap dealers and major security-based swap participants
- § 10a Section 10a - Consultation
- § 10 Section 10 - Disclosure of information by Commission
- § 11 Section 11 - Credit risk retention
- § 11 Section 11 - Rules, regulations, and orders of Commission
- § 12 Section 12 - Hearings
- § 13 Section 13 - Court review of orders
- § 14 Section 14 - Jurisdiction of offenses and suits
- § 15 Section 15 - Validity of contracts
- § 16 Section 16 - Omitted
- § 17 Section 17 - Penalties
- § 18 Section 18 - Hiring and leasing authority of Commission
- § 18a Section 18a - State regulation of investment advisers
- § 18b Section 18b - Custody of client accounts
- § 18c Section 18c - Rule of construction relating to the Commodities Exchange Act
- § 19 Section 19 - Separability
- § 20 Section 20 - Short title
- § 21 Section 21 - Effective date
- § 22 Section 22 - Distribution, redemption, and repurchase of securities; regulations by securities associations
- § 23 Section 23 - Closed-end companies
- § 24 Section 24 - Registration of securities under Securities Act of 1933
- § 25 Section 25 - Reorganization plans; reports by Commission
- § 26 Section 26 - Unit investment trusts
- § 27 Section 27 - Periodic payment plans
- § 28 Section 28 - Face-amount certificate companies
- § 29 Section 29 - Reports and financial statements of investment companies and affiliated persons
- § 30 Section 30 - Accounts and records
- § 31 Section 31 - Accountants and auditors
- § 32 Section 32 - Filing of documents with Commission in civil actions
- § 33 Section 33 - Destruction and falsification of reports and records
- § 34 Section 34 - Unlawful representations and names
- § 35 Section 35 - Breach of fiduciary duty
- § 36 Section 36 - Larceny and embezzlement
- § 37 Section 37 - Rules, regulations, and orders
- § 38 Section 38 - Procedure for issuance of rules and regulations
- § 39 Section 39 - Procedure for issuance of orders
- § 40 Section 40 - Hearings by Commission
- § 41 Section 41 - Federal Trade Commission established; membership; vacancies; seal
- § 41 Section 41 - Enforcement of subchapter
- § 42 Section 42 - Employees; expenses
- § 42 Section 42 - Court review of orders
- § 43 Section 43 - Office and place of meeting
- § 43 Section 43 - Jurisdiction of offenses and suits
- § 44 Section 44 - Definitions
- § 44 Section 44 - Disclosure of information filed with Commission; copies
- § 45 Section 45 - Unfair methods of competition unlawful; prevention by Commission
- § 45a Section 45a - Labels on products
- § 45b Section 45b - Consumer review protection
- § 45d Section 45d - Unfair or deceptive acts or practices with respect to substance use disorder treatment service and products
- § 45c Section 45c - Unfair and deceptive acts and practices relating to circumvention of ticket access control measures
- § 45e Section 45e - Office for the prevention of fraud targeting seniors
- § 45f Section 45f - Collection, verification, and disclosure of information by online marketplaces to inform consumers
- § 45 Section 45 - Reports by Commission; hiring and leasing authority
- § 46 Section 46 - Additional powers of Commission
- § 46a Section 46a - Concurrent resolution essential to authorize investigations
- § 46 Section 46 - Validity of contracts
- § 47 Section 47 - Reference of suits under antitrust statutes to Commission
- § 47 Section 47 - Liability of controlling persons; preventing compliance with subchapter
- § 48 Section 48 - Information and assistance from departments
- § 48 Section 48 - Penalties
- § 49 Section 49 - Documentary evidence; depositions; witnesses
- § 49 Section 49 - Construction with other laws
- § 50 Section 50 - Offenses and penalties
- § 50 Section 50 - Separability
- § 51 Section 51 - Effect on other statutory provisions
- § 51 Section 51 - Short title
- § 52 Section 52 - Dissemination of false advertisements
- § 52 Section 52 - Effective date
- § 53 Section 53 - False advertisements; injunctions and restraining orders
- § 53 Section 53 - Election to be regulated as business development company
- § 54 Section 54 - False advertisements; penalties
- § 54 Section 54 - Acquisition of assets by business development companies
- § 55 Section 55 - Additional definitions
- § 55 Section 55 - Qualifications of directors
- § 56 Section 56 - Commencement, defense, intervention and supervision of litigation and appeal by Commission or Attorney General
- § 56 Section 56 - Transactions with certain affiliates
- § 57 Section 57 - Separability clause
- § 57b Section 57b - Civil actions for violations of rules and cease and desist orders respecting unfair or deceptive acts or practices
- § 57a Section 57a - Unfair or deceptive acts or practices rulemaking proceedings
- § 57c Section 57c - Authorization of appropriations
- § 57 Section 57 - Changes in investment policy
- § 58 Section 58 - Short title
- § 58 Section 58 - Incorporation of subchapter provisions
- § 59 Section 59 - Functions and activities of business development companies
- § 60 Section 60 - Capital structure
- § 61 Section 61 - Export trade; definitions
- § 61 Section 61 - Loans
- § 62 Section 62 - Export trade and antitrust legislation
- § 62 Section 62 - Distribution and repurchase of securities
- § 63 Section 63 - Acquisition of stock of export trade corporation
- § 63 Section 63 - Accounts and records
- § 64 Section 64 - Unfair methods of competition in export trade
- § 64 Section 64 - Preventing compliance with subchapter; liability of controlling persons
- § 65 Section 65 - Information required from export trade corporation; powers of Federal Trade Commission
- § 66 Section 66 - Short title
- § 68 Section 68 - Definitions
- § 68a Section 68a - Misbranding declared unlawful
- § 68b Section 68b - Misbranded wool products
- § 68c Section 68c - Stamp, tag, label, or other identification
- § 68d Section 68d - Enforcement of subchapter
- § 68e Section 68e - Condemnation and injunction proceedings
- § 68f Section 68f - Exclusion of misbranded wool products
- § 68g Section 68g - Guaranty
- § 68i Section 68i - Application of other laws
- § 68h Section 68h - Criminal penalty
- § 68j Section 68j - Exceptions from subchapter
- § 69 Section 69 - Definitions
- § 69a Section 69a - Violations of Federal Trade Commission Act
- § 69b Section 69b - Misbranded fur products
- § 69c Section 69c - False advertising and invoicing
- § 69d Section 69d - Fur products imported into United States
- § 69e Section 69e - Name guide for fur products
- § 69f Section 69f - Enforcement of subchapter
- § 69g Section 69g - Condemnation and injunction proceedings
- § 69i Section 69i - Criminal penalty
- § 69j Section 69j - Application of other laws
- § 69h Section 69h - Guaranty
- § 70 Section 70 - Definitions
- § 70a Section 70a - Violations of Federal Trade Commission Act
- § 70c Section 70c - Removal of stamp, tag, label, or other identification
- § 70d Section 70d - Records
- § 70b Section 70b - Misbranded and falsely advertised textile fiber products
- § 70e Section 70e - Enforcement
- § 70f Section 70f - Injunction proceedings
- § 70h Section 70h - Guaranty
- § 70g Section 70g - Exclusion of misbranded textile fiber products
- § 70i Section 70i - Criminal penalty
- § 70j Section 70j - Exemptions
- § 70k Section 70k - Application of other laws
- § 71 Section 71 - “Person” defined
- § 72 Section 72 - Repealed. Pub. L. 108–429, title II, § 2006(a) , Dec. 3, 2004 , 118 Stat. 2597
- § 73 Section 73 - Agreements involving restrictions in favor of imported goods
- § 74 Section 74 - Rules and regulations
- § 75 Section 75 - Retaliation against country prohibiting importations
- § 76 Section 76 - Retaliation against restriction of importations in time of war
- § 77 Section 77 - Discrimination against neutral Americans in time of war
- § 77a Section 77a - Short title
- § 77aa Section 77aa - Schedule of information required in registration statement
- § 77aaa Section 77aaa - Short title
- § 77aaaa Section 77aaaa - Contrary stipulations void
- § 77b Section 77b - Definitions; promotion of efficiency, competition, and capital formation
- § 77bb Section 77bb - “Corporation of Foreign Security Holders”; creation; principal office; branch offices
- § 77bbb Section 77bbb - Necessity for regulation
- § 77bbbb Section 77bbbb - Separability
- § 77c Section 77c - Classes of securities under this subchapter
- § 77cc Section 77cc - Directors of Corporation; appointment, term of office, and removal
- § 77ccc Section 77ccc - Definitions
- § 77d Section 77d - Exempted transactions
- § 77dd Section 77dd - Powers and duties of Corporation, generally
- § 77ddd Section 77ddd - Exempted securities and transactions
- § 77e Section 77e - Prohibitions relating to interstate commerce and the mails
- § 77ee Section 77ee - Directors of Corporation, powers and duties generally
- § 77eee Section 77eee - Securities required to be registered under Securities Act
- § 77f Section 77f - Registration of securities
- § 77ff Section 77ff - Accounts and annual balance sheet of Corporation; audits
- § 77fff Section 77fff - Securities not registered under Securities Act
- § 77g Section 77g - Information required in registration statement
- § 77gg Section 77gg - Annual report by Corporation; printing and distribution
- § 77ggg Section 77ggg - Qualification of indentures covering securities not required to be registered
- § 77h Section 77h - Taking effect of registration statements and amendments thereto
- § 77hh Section 77hh - Assessments by Corporation on holders of foreign securities
- § 77i Section 77i - Court review of orders
- § 77hhh Section 77hhh - Integration of procedure with Securities Act and other Acts
- § 77ii Section 77ii - Subscriptions accepted by Corporation as loans; repayment
- § 77iii Section 77iii - Effective time of qualification
- § 77j Section 77j - Information required in prospectus
- § 77jj Section 77jj - Loans to Corporation from Reconstruction Finance Corporation authorized
- § 77jjj Section 77jjj - Eligibility and disqualification of trustee
- § 77kk Section 77kk - Representations by Corporation as acting for Department of State or United States forbidden; interference with foreign negotiations forbidden
- § 77k Section 77k - Civil liabilities on account of false registration statement
- § 77kkk Section 77kkk - Preferential collection of claims against obligor
- § 77l Section 77l - Civil liabilities arising in connection with prospectuses and communications
- § 77ll Section 77ll - Effective date of subchapter
- § 77lll Section 77lll - Bondholders’ lists
- § 77mm Section 77mm - Short title
- § 77m Section 77m - Limitation of actions
- § 77n Section 77n - Contrary stipulations void
- § 77nnn Section 77nnn - Reports by obligor; evidence of compliance with indenture provisions
- § 77o Section 77o - Liability of controlling persons
- § 77mmm Section 77mmm - Reports by indenture trustee
- § 77ooo Section 77ooo - Duties and responsibility of the trustee
- § 77p Section 77p - Additional remedies; limitation on remedies
- § 77q Section 77q - Fraudulent interstate transactions
- § 77ppp Section 77ppp - Directions and waivers by bondholders; prohibition of impairment of holder’s right to payment; record date
- § 77qqq Section 77qqq - Special powers of trustee; duties of paying agents
- § 77r Section 77r - Exemption from State regulation of securities offerings
- § 77rrr Section 77rrr - Effect of prescribed indenture provisions
- § 77s Section 77s - Special powers of Commission
- § 77sss Section 77sss - Rules, regulations, and orders
- § 77t Section 77t - Injunctions and prosecution of offenses
- § 77ttt Section 77ttt - Hearings by Commission
- § 77u Section 77u - Hearings by Commission
- § 77uuu Section 77uuu - Special powers of the Commission
- § 77v Section 77v - Jurisdiction of offenses and suits
- § 77vvv Section 77vvv - Judicial review
- § 77w Section 77w - Unlawful representations
- § 77www Section 77www - Liability for misleading statements
- § 77x Section 77x - Penalties
- § 77y Section 77y - Jurisdiction of other Government agencies over securities
- § 77xxx Section 77xxx - Unlawful representations
- § 77yyy Section 77yyy - Penalties
- § 77z Section 77z - Separability
- § 77zzz Section 77zzz - Effect on existing law
- § 78a Section 78a - Short title
- § 78b Section 78b - Necessity for regulation
- § 78bb Section 78bb - Effect on existing law
- § 78aa Section 78aa - Jurisdiction of offenses and suits
- § 78c Section 78c - Definitions and application
- § 78cc Section 78cc - Validity of contracts
- § 78d Section 78d - Securities and Exchange Commission
- § 78dd Section 78dd - Foreign securities exchanges
- § 78e Section 78e - Transactions on unregistered exchanges
- § 78ee Section 78ee - Transaction fees
- § 78f Section 78f - National securities exchanges
- § 78ff Section 78ff - Penalties
- § 78g Section 78g - Margin requirements
- § 78gg Section 78gg - Separability
- § 78h Section 78h - Restrictions on borrowing and lending by members, brokers, and dealers
- § 78hh Section 78hh - Effective date
- § 78i Section 78i - Manipulation of security prices
- § 78ii Section 78ii - Omitted
- § 78j Section 78j - Manipulative and deceptive devices
- § 78jj Section 78jj - Repealed. Pub. L. 100–181, title III, § 330 , Dec. 4, 1987 , 101 Stat. 1259
- § 78k Section 78k - Trading by members of exchanges, brokers, and dealers
- § 78kk Section 78kk - Authorization of appropriations
- § 78l Section 78l - Registration requirements for securities
- § 78ll Section 78ll - Requirements for the EDGAR system
- § 78mm Section 78mm - General exemptive authority
- § 78m Section 78m - Periodical and other reports
- § 78n Section 78n - Proxies
- § 78nn Section 78nn - Tennessee Valley Authority
- § 78o Section 78o - Registration and regulation of brokers and dealers
- § 78oo Section 78oo - Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
- § 78pp Section 78pp - Investor Advisory Committee
- § 78q Section 78q - Records and reports
- § 78qq Section 78qq - Small Business Capital Formation Advisory Committee
- § 78p Section 78p - Directors, officers, and principal stockholders
- § 78r Section 78r - Liability for misleading statements
- § 78rr Section 78rr - Data standards for security-based swap reporting
- § 78s Section 78s - Registration, responsibilities, and oversight of self-regulatory organizations
- § 78t Section 78t - Liability of controlling persons and persons who aid and abet violations
- § 78u Section 78u - Investigations and actions
- § 78v Section 78v - Hearings by Commission
- § 78w Section 78w - Rules, regulations, and orders; annual reports
- § 78x Section 78x - Public availability of information
- § 78y Section 78y - Court review of orders and rules
- § 78z Section 78z - Unlawful representations
- § 80c Section 80c - Liaison between Securities and Exchange Commission and Small Business Administration