Banking and Finance Sector-Specific Plan - U.S. Department of ...
Banking and Finance Sector-Specific Plan - U.S. Department of ...
Banking and Finance Sector-Specific Plan - U.S. Department of ...
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Securities <strong>and</strong> Exchange Commission<br />
U.S. Code & Regulations Date Subject<br />
15 U.S.C. 78a, et seq. 1934 Securities Exchange Act <strong>of</strong> 1934<br />
15 U.S.C. 80a-1, et seq. 1940 Investment Company Act <strong>of</strong> 1940<br />
15 U.S.C. 80b-1, et seq. 1940 Investment Advisers Act <strong>of</strong> 1940<br />
Securities Investor Protection Corporation*<br />
U.S. Code & Regulations Date Subject<br />
15 U.S.C. 78aaa, et seq. 1970 The Securities Investor Protection Act <strong>of</strong> 1970<br />
15 U.S.C. 78ccc(e)(2) Rules to effectuate the purpose <strong>and</strong> operations <strong>of</strong> SIPC. See 17 CFR Part 300.<br />
15 U.S.C. 78fff(b) Allows SIPC to conduct a liquidation proceeding “in accordance with, <strong>and</strong> as<br />
though it were being conducted under chapters 1, 3, <strong>and</strong> 5 <strong>and</strong> subchapters I<br />
<strong>and</strong> II <strong>of</strong> chapter 7” <strong>of</strong> the Bankruptcy Code, 11 U.S.C. § 101, et seq.<br />
* This corporation is neither a Federal nor a State regulator; however, it was established by a Federal statute.<br />
Appendix : Statutory Authorities<br />
6