References in Text
The Securities Exchange Act of 1934, referred to in subsec. (a)(11), (44), 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.
The Securities Act of 1933, referred to in subsec. (a)(31), (44), is act May 27, 1933, ch. 38, title I, 48 Stat. 74, which is classified generally to subchapter I (§ 77a et seq.) of chapter 2A of this title. For complete classification of this Act to the Code, see section 77a of this title and Tables.
The Trust Indenture Act of 1939, referred to in subsec. (a)(44), is title III of act May 27, 1933, ch. 38, as added Aug. 3, 1939, ch. 411, 53 Stat. 1149, which is classified generally to subchapter III (§ 77aaa et seq.) of chapter 2A of this title. For complete classification of this Act to the Code, see section 77aaa of this title and Tables.
The Small Business Investment Act of 1958, referred to in subsec. (a)(46)(B), (47)(C), is Pub. L. 85–699, Aug. 21, 1958, 72 Stat. 689, which is classified principally to chapter 14B (§ 661 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set out under section 661 of this title and Tables.
Amendments
2010—Subsec. (a)(19). Pub. L. 111–203, § 985(d)(1)(A), substituted “clause (vii)” for “clause (vi)” in two places in concluding provisions.
Subsec. (a)(19)(A)(vi)(III), (B)(vi)(III). Pub. L. 111–203, § 985(d)(1)(B), inserted “and” at end.
Subsec. (a)(44). Pub. L. 111–203, § 986(c)(1), struck out “ ‘Public Utility Holding Company Act of 1935’,” after “ ‘Securities Exchange Act of 1934’,”.
Subsec. (a)(54). Pub. L. 111–203, § 769, added par. (54).
2006—Subsec. (a)(53). Pub. L. 109–291 added par. (53).
2000—Subsec. (a)(36). Pub. L. 106–554, § 1(a)(5) [title II, § 209(a)(1)], inserted “security future,” after “treasury stock,”.
Subsec. (a)(52). Pub. L. 106–554, § 1(a)(5) [title II, § 209(a)(3)], added par. (52).
1999—Subsec. (a)(5)(A). Pub. L. 106–102, § 223, substituted “a depository institution (as defined in section 1813 of title 12) or a branch or agency of a foreign bank (as such terms are defined in section 3101 of title 12)” for “a banking institution organized under the laws of the United States”.
Subsec. (a)(6). Pub. L. 106–102, § 215, amended par. (6) generally. Prior to amendment, par. (6) read as follows: “ ‘Broker’ means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank or any person solely by reason of the fact that such person is an underwriter for one or more investment companies.”
Subsec. (a)(11). Pub. L. 106–102, § 216, amended par. (11) generally. Prior to amendment, par. (11) read as follows: “ ‘Dealer’ means any person regularly engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, insurance company, or investment company, or any person insofar as he is engaged in investing, reinvesting, or trading in securities, or in owning or holding securities, for his own account, either individually or in some fiduciary capacity, but not as a part of a regular business.”
Subsec. (a)(19)(A)(v). Pub. L. 106–102, § 213(a)(1), added cl. (v) and struck out former cl. (v) which read as follows: “any broker or dealer registered under the Securities Exchange Act of 1934 or any affiliated person of such a broker or dealer, and”.
Subsec. (a)(19)(A)(vi), (vii). Pub. L. 106–102, § 213(a)(2), (3), added cl. (vi) and redesignated former cl. (vi) as (vii).
Subsec. (a)(19)(B)(v). Pub. L. 106–102, § 213(b)(1), added cl. (v) and struck out former cl. (v) which read as follows: “any broker or dealer registered under the Securities Exchange Act of 1934 or any affiliated person of such a broker or dealer, and”.
Subsec. (a)(19)(B)(vi), (vii). Pub. L. 106–102, § 213(b)(2), (3), added cl. (vi) and redesignated former cl. (vi) as (vii).
1998—Subsec. (a)(8). Pub. L. 105–353 made a technical amendment to reference in original act which appears in text as reference to title 11.
1996—Subsec. (a)(46)(C)(iii), (iv). Pub. L. 104–290, § 503, added cl. (iii) and redesignated former cl. (iii) as (iv).
Subsec. (a)(48)(B). Pub. L. 104–290, § 504, inserted at end “provided further that a business development company need not make available significant managerial assistance with respect to any company described in paragraph (46)(C)(iii), or with respect to any other company that meets such criteria as the Commission may by rule, regulation, or order permit, as consistent with the public interest, the protection of investors, and the purposes of this subchapter; and”.
Subsec. (a)(51). Pub. L. 104–290, § 209(b), added par. (51).
Subsec. (c). Pub. L. 104–290, § 106(c), added subsec. (c).
1990—Subsec. (a)(49), (50). Pub. L. 101–550 added pars. (49) and (50).
1987—Subsec. (a)(19). Pub. L. 100–181, § 601, inserted “completed” before “fiscal years” wherever appearing in subpars. (A)(iv), (vi) and (B)(iv), (vi).
Subsec. (a)(39). Pub. L. 100–181, § 602, struck out reference to Canal Zone.
Subsec. (a)(48)(B). Pub. L. 100–181, § 603, substituted “paragraphs (1) through (3) of section 80a–54(a) of this title” for “sections 80a–54(a)(1) through (3) of this title”.
1982—Subsec. (a)(36). Pub. L. 97–303 inserted “any put, call, straddle, option, or privilege on any security (including a certificate of deposit) or on any group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency,” after “mineral rights,”.
1980—Subsec. (a)(46) to (48). Pub. L. 96–477 added pars. (46) to (48).
1978—Subsec. (a)(8). Pub. L. 95–598 substituted “a case under title 11” for “bankruptcy”.
1970—Subsec. (a)(5). Pub. L. 91–547, § 2(a)(1), substituted “under the authority of the Comptroller of the Currency” for “under section 248(k) of title 12,”.
Subsec. (a)(19). Pub. L. 91–547, § 2(a)(3), added par. (19). Former par. (19) redesignated (20).
Subsecs. (a)(20) to (36). Pub. L. 91–547, § 2(a)(2), redesignated former pars. (19) to (35) as (20) to (36), respectively.
Subsec. (a)(37). Pub. L. 91–547, § 2(a)(4), added par. (37). Former par. (37) redesignated (39).
Subsecs. (a)(38) to (44). Pub. L. 91–547, § 2(a)(2), redesignated former pars. (36) to (42) as (38) to (44).
Subsec. (a)(45). Pub. L. 91–547, § 2(a)(5), added par. (45).
1960—Subsec. (a)(37). Pub. L. 86–624 struck out reference to Hawaii.
1959—Subsec. (a)(37). Pub. L. 86–70 struck out reference to Alaska.
1954—Subsec. (a)(30). Act Aug. 10, 1954, substituted “section 10(a) of the Securities Act of 1933” for “section 5(b) of the Securities Act of 1933”.