table of authorities · table of authorities (references are to pages and appendices.) cases a...

Table of Authorities

(References are to pages and appendices.)

CASES

AAaron v. SEC ................ 7-142, 7-145, 7-146, 14-163, 14-164, 15-75Abbett, Sommer & Co., In re ...................................................... 2-62Abbot of Holmes Case ............................................................... 16-74Abell v. Potomac Ins. Co. ................ 14-127, 14-128, 14-149, 14-150Abrams v. Baker Hughes Inc. .................................................. 14-107Abramson v. Burroughs Corp. ................................................... 9-142ACA Fin. Guar. Corp. v. Advest, Inc. .........................14-114, 14-115Ackerman v. Schwartz ............................................................... 7-134Activision Sec. Litig., In re ............................. 7-11, 7-13, 7-30, 7-48,

...................................................................... 7-112, 7-171, 14-22Ades v. Deloitte & Touche ........................................................... 7-96Advanta Corp. Sec. Litig., In re ............................................... 14-107Affiliated Ute Citizens v. United States ....... 14-130, 14-131, 14-132,

.................................................................. 14-150, 14-170, 15-57Agostini v. Felton ......................................................................... 1-24AHT Corp., In re ....................................................................... 14-78Alden v. Maine ................................16-8, 16-9, 16-10, 16-12, 16-28,

........................................................... 16-38, 16-49, 16-50, 16-58Aldridge v. A.T. Cross Corp. .......................................14-107, 14-112Alley v. Miramar ........................................................................ 9-107Am. Bank & Tr. Co. v. Barad Shaff Sec. Corp. ........................ 10-114Am. Bankers Ass’n v. SEC ................................10-23, 10-24, 10A-16Ames Dep’t Stores, Inc. Note Litig., In re ................................. 7-145Ames Dep’t Stores, Inc. Stock Litig., In re .................................. 9-47Amfac Mortg. Corp. v. Ariz. Mall of Tempe, Inc. ........................ 2-57Amgen Inc. v. Conn. Ret. Plans & Tr. Funds ................................ 9-3Amicus Curiae, Mfrs. Hanover Tr. Co. v.

Drysdale Sec. Corp. .............................................................. 2-89

T–1(Fippinger, Rel. #7, 9/18)

Anixter v. Home-State Prod. Co. ............................................... 14-61Anthony C. Snell & Charles E. Leroy, In re .............................. 14-90Apple Comput. Sec. Litig., In re .................................................. 9-22Arthur Andersen & Co. v. Mfrs. Hanover Tr. Co. ....................... 2-89Ashton v. Cameron Cty. Water Improvement ............................... 2-9Associated Randall Bank v. Griffin, Kubik, Stephens &

Thompson, Inc. .................................................................. 10-50Associated Sec. Corp., In re ..................................................... 10-144Atascadero State Hosp. v. Scanlon ............. 16-7, 16-21, 16-34, 16-83Ayers, In re .....................................................................16-56, 16-57

BBache Halsey Stuart, Inc. v. Affiliated Mortg. Invs., Inc. .......... 2-112Backman v. Polaroid Corp. ...................... 9-16, 9-17, 9-18, 9-19, 9-22,

..................................... 9-23, 9-27, 9-28, 9-29, 9-31, 9-32, 14-210Badders v. United States ............................................................ 15-88Bailey v. Mayor ............................................................................ 1-47Baker & Getty Fin. Servs., Inc., In re .......................................... 10-4Banco Espanol de Credito v. Sec. Pac. Nat’l Bank ..................... 10-31Barbara v. N.Y. Stock Exch. ....................................................... 10-80Barclays Bank D.C.O. v. Mercantile Nat’l Bank .......................... 2-90Barker v. Henderson, Franklin, Starnes & Holt ......................... 16-70Barrett & Co., In re ........................................ 10-61, 10-114, 10-138Basic, Inc. v. Levinson ................... 8-62, 8-68, 8-69, 9-3, 9-11, 9-12,

.........................................14-95, 14-96, 14-101, 14-102, 14-127,

.....................................14-130, 14-134, 14-137, 14-138, 14-139,

.................................................. 14-140, 14-141, 14-148, 14-149,

..................................................... 14-203, 14-204, 14-226, 15-55Bateman Eichler, Hill Richards, Inc. v. Berner ....................... 14-179,

..............................................................................14-184, 14-185BDAdvantage, Inc. ....................................................................... 10-4Beatty v. Bright .......................................................................... 14-95Bell v. Ascendant Sols., Inc. ....................................................... 7-172Bell Atl. Corp. v. Twomby ....................................................... 14-115Bellah v. First Nat’l Bank ............................................................. 2-57Belt v. United States .......................................................15-84, 15-85Bennett v. U.S. Tr. Co. ............................................................. 14-127Berg v. Christie .......................................................................... 8-143Berman v. Dean Witter & Co. ................................................... 2-112Berman v. Thomson .................................................................. 14-95Bily v. Arthur Young & Co. ....................................................... 7-120Binder v. Gillespie ................................................................... 14-143

THE SECURITIES LAW OF PUBLIC FINANCE

T–2

Birnbaum v. Newport Steel Corp. ...................... 14-39, 14-40, 14-41,........................................................... 14-42, 14-45, 14-51, 14-54

Black v. United States .....................................................15-95, 15-96Blackie v. Barrack ......................................... 14-132, 14-133, 14-146Blatchford v. Native Vill. of Noatak ........................................... 16-88Blount v. SEC .......................................................................... 14-205Blue Chip Stamps v. Manor Drug Stores ............ 14-7, 14-12, 14-39,

................................... 14-40, 14-41, 14-42, 14-43, 14-45, 14-47,

............................................14-48, 14-49, 14-105, 14-163, 15-58Bd. of Liquidation v. McComb .......................................16-63, 16-64Bd. of Trade of the City of Chi. &

Chi. Mercantile Exch. v. SEC ..................................13-32, 13-33Bd. of Trs. of the Univ. of Ala. v. Garrett ......................16-30, 16-31,

........................................................... 16-32, 16-39, 16-40, 16-87Bossier Bank & Tr. Co. v. Union Planters Nat’l Bank ................. 2-90Bradford Nat’l Clearing Corp. v. SEC ......................................10A-67Broad v. Rockwell Int’l Corp. .............................. 7-142, 9-133, 9-141Brooklyn Manhattan Transit Corp., In re ................................... 7-15Brophy v. Redivo ........................................................................ 10-98Broudo v. Dura Pharm., Inc. ................................................... 14-152Brown v. Wood .......................................................................... 2-154Browning Debenture Holders Comm. v. DASA Corp. .............. 9-133Bruns, Nordeman & Co., In re ................................................... 7-42Bryan v. United States ................................................14-122, 14-123Bryant v. Avado Brands, Inc. ................................................... 14-107Burgess v. Premier Corp. ........................................................... 7-142Burlington Coat Factory Sec. Litig., In re ...........................9-19, 9-20Burnett v. Rowzee ...................................................................... 14-69Burton v. Wilmington Parking Auth. ....................................... 10-277Bus. Objects S.A. Sec. Litig., In re ........................................... 14-157

CCady, Roberts & Co., In re ............................ 9-107, 14-187, 14-188,

................................................................ 14-195, 14-201, 14-202Caleb & Co. v. DuPont ........................................................... 10-111Cal. Statewide Cmtys. Dev. Auth. v.

All Persons Interested in Matter ofValidity of Purchase Agreement ......................... 1-22, 1-23, 1-53

Calvin’s Case ............................................................................. 16-73Cammer v. Bloom ................................................................... 14-143Canizaro v. Kohlmeyer & Co. ................................................... 7-185Carpenter v. United States .............................................15-93, 15-94Case of the Duchy of Lancaster ................................................. 16-51



Cent. Bank of Denver, N.A. v.First Interstate Bank of Denver, N.A. ......... 14-14, 14-59, 14-60,...............................................14-61, 14-62, 14-63, 14-66, 14-68,.................................... 14-76, 14-80, 14-84, 14-92, 15-21, 15-55

Cent. Va. Cmty. Coll. v. Katz ...........................................16-5, 16-25Charles Hughes & Co. v. SEC ............................................7-76, 7-77Charter Commc’ns, Inc., Sec. Litig., In re ................................ 14-64Charter Oak Fed. Sav. Bank v. Ohio .......................................... 16-48Chasins v. Smith, Barney & Co. ............................................. 10-142Cheek v. United States ............................................................ 14-124Chem. Bank v. Arthur Andersen & Co. ...... 2-57, 10-28, 14-52, 14-53Chem. Bank v. Wash. Pub. Power Supply Sys. ...................1-16, 1-54Chevron U.S.A., Inc. v. Nat. Res. Def. Council, Inc. .......... 9-37, 14-21Chiarella v. United States ..................9-12, 9-18, 9-48, 9-128, 9-129,

.........................................9-130, 10-110, 14-36, 14-130, 14-162,

.....................................14-186, 14-187, 14-188, 14-189, 14-191,

........................ 14-192, 14-195, 14-199, 14-201, 14-202, 14-204Chill v. Gen. Elec. Co. ............................................................... 7-145Chisolm v. Georgia ............................................. 16-13, 16-16, 16-17Chris-Craft Indus., Inc. v. Piper Aircraft Corp. ..............7-185, 14-35Christy v. Pa. Tpk. Comm’n ..................................................... 16-79Ciccone v. Hersh ....................................................................... 10-47Citisource, Inc. Sec. Litig., In re .................................................. 6-47City of Boerne v. Flores ..................................... 16-27, 16-28, 16-29,

...................................................................... 16-30, 16-37, 16-42City of Dearborn Heights Act 345 Police &

Fire Ret. Sys. v. Align Tech., Inc. ...................................... 14-120City of Hartford v. Kirley ............................................................. 1-50City of Phila. v. Fleming Cos. ................................................. 14-107City of San Diego, In re ......................................... 1-102, 8-16, 8-80CLEAN v. State ..................................................................1-19, 1-20Cleburne v. Cleburne Living Ctr., Inc. ...........................16-30, 16-31Coca-Cola Enters., Inc. Sec. Litig., In re ................................. 14-156Cohens v. Virginia ............ 16-12, 16-13, 16-14, 16-43, 16-45, 16-46Coleman v. Ct. of App. of Md. ............................. 16-5, 16-32, 16-33Coll. Sav. Bank v.

Fla. Prepaid Postsecondary Educ. Expense Bd.(Florida Prepaid II) ........................... 16-28, 16-34, 16-35, 16-36,........................................................... 16-37, 16-39, 16-40, 16-49

Comm’r v. Shamberg’s Estate .............................................2-10, 2-19Comm’r v. White’s Estate ............................................................ 2-19Comm’r of Internal Revenue v. White’s Estate ........................... 2-11Complete Mgmt. Inc. Sec. Litig., In re ...................................... 7-145Comshare, Inc. Sec. Litig., In re .............................................. 14-106Consumers Power Co. Sec. Litig., In re .............. 7-112, 7-170, 7-171


T–4

Cook, In re ................................................................................ 9-121Cornwell v. Cal. Bd. of Barber & Cosmetology ......................... 16-87Cort v. Ash ................................................................................ 1-119Couldock & Bohan, Inc. v. Societe Generale Sec. Corp. .........10A-67County of Nevada, In the Matter of .......................................... 7-103CPRAC v. City of Cranston ...................................................... 8-145Credit Suisse Sec. (USA) LLC v. Billing ................................... 10-153Cronin v. Midwestern Okla. Dev. Auth. .................................. 14-106Curran v. Arkansas .................................................................... 16-45

DDabney v. Chase Nat’l Bank ...........................................9-132, 9-138Davis v. Avco Corp. ................................................................. 14-130De Kwiatkowski v. Bear, Stearns & Co. ..................................... 10-47DeBlasio v. Merrill Lynch & Co. ............................................... 10-47Decatur v. Paulding ................................................................... 16-62Dekro v. Stern Bros. & Co. ........................................14-131, 14-147Dellmuth v. Muth ..................................................................... 16-78DeMaria v. Andersen ................................................................. 7-133Dep’t of Human Res. v. Hibbs ................................................... 16-32Derry v. Peek .................................................. 14-16, 14-104, 14-105Desai v. Deursche Bank Sec. Ltd. ............................................ 14-151DeWit v. Firstar Corp. ............................................................... 2-123Dexter v. Depository Tr. & Cleaning Corp. ............................... 10-80Dirks v. SEC ........................ 9-12, 9-29, 9-120, 9-121, 9-127, 9-128,

........................... 9-130, 9-131, 14-189, 14-191, 14-192, 14-193,

........................ 14-194, 14-195, 14-196, 14-197, 14-198, 14-204Doc v. Cutter Biological Inc. ..........................................7-117, 7-118Dolphin & Bradbury Inc. v. SEC ............. 8-11, 14-98, 14-99, 14-107Donald J. Trump Casino Sec. Litig., In re .........................8-81, 8-82,

............................................................................ 8-83, 8-84, 8-87Donohue v. Consol. Operating & Producing Corp. ................... 16-69Draney v. Wilson, Morton, Assaf & McElligott ......................... 16-70Duhne v. New Jersey ................................................................. 16-17Duker & Duker, In re .................................................................. 7-77Dupuy v. Dupuy .........................................................14-183, 14-184Dura Pharm., Inc. v. Broudo .......7-173, 14-10, 14-11, 14-12, 14-17,

........................................14-23, 14-153, 14-156, 14-157, 14-158Durland v. United States .................................... 15-84, 15-85, 15-91Durning v. Citibank, N.A. ......................................................... 16-77Dyer v. E. Tr. & Banking Co. ..................................................... 14-31Dzenits v. Merrill Lynch, Pierce, Fenner & Smith, Inc. ............ 10-98



EEakin v. State ex rel. Capital Improvement Bd.

of Managers of Marion Cty. .................................................. 1-51Eckstein v. Balcor Film Inv’rs .................................................. 14-151Edelman v. Jordan .............................................. 16-21, 16-33, 16-60Edmonston v. Leesville Concrete Co. .......................................... 1-17EEOC v. Wyoming ..................................................................... 16-30Elec. Specialty Co. v. Int’l Controls Corp. ........................9-24, 14-32Eliasen v. Hamilton ................................................................. 14-100Elkind v. Liggett & Myers, Inc. .................................................... 9-24Elliot Assocs. v. J. Henry Schroder Bank & Tr. Co. ................... 9-133Emergent Capital Inv. Mgmt. v. Stonepath Grp., Inc. ............. 14-153Emps. v. Mo. Dep’t of Pub.

Health & Welfare .............................. 16-17, 16-20, 16-34, 16-36Engelking v. Inv. Bd. .................................................................... 1-17Erica P. John Fund, Inc. v. Halliburton Co.

(Halliburton I) ........................................ 14-136, 14-137, 14-138Erica P. John Fund, Inc. v. Halliburton Co.

(Halliburton II) .............14-137, 14-138, 14-140, 14-141, 14-142Ernst & Ernst v. Hochfelder ............7-72, 7-81, 7-137, 7-139, 7-142,

.............................................7-143, 7-146, 10-98, 10-120, 14-16,

........................................14-64, 14-104, 14-105, 14-163, 14-183Escott v. BarChris Constr. Corp. .............. 5-42, 7-135, 7-136, 7-170,

................................................7-174, 7-175, 7-176, 7-187, 15-16Estate of Ritter v. Univ. of Mich. ............................................... 16-86Ettinger v. Merrill Lynch, Pierce,

Fenner & Smith, Inc. ............................. 10-144, 10-145, 10-146Eugene Vaughan, CPA, In re ...................................................... 8-109Euryclein Partners, LP v. Seward & Kissel, LLP ......................... 14-75Evans v. United States ................................................15-105, 15-108Ex parte Young ......................................... 16-57, 16-58, 16-64, 16-65Exch. Nat’l Bank v. Touche Ross & Co. ...................................... 2-45

FFaberge, Inc., In re ..................................................................... 9-125Faitoute Iron & Steel Co. v. City of Asbury Park, N.J. ..... 8-163, 8-164Feit v. Leasco Data Processing Equip. Corp. ........ 7-95, 7-136, 7-173,

..................................................................... 7-174, 7-175, 7-176,

........................................................... 7-177, 7-185, 7-186, 7-187Fields v. Elected Officials’ Ret. Plan ........................................... 8-141Fiero v. Fin. Indus. Regulatory Auth., Inc. ................................ 10-74Fin. Sec. Assurance, Inc. v. Stephens, Inc. ....................14-44, 14-45,

..................................................................................14-47, 14-48


T–6

Findwhat Inv’r Grp. v. Findwhat.com. ........................................ 9-66Finnegan v. Compensare Corp. ............................................... 10-152FINRA v. Associated Bond Brokers, Inc. .................................... 13-60Fitchick v. N.J. Transit Rail Operations, Inc. ............................ 16-79Fitzpatrick v. Bitzer .......................16-21, 16-22, 16-23, 16-27, 16-34Fla. Dep’t of Health & Rehab. Servs. v.

Fla. Nursing Home Ass’n ................................................... 16-80Fla. Prepaid Postsecondary Educ. Expense Bd. v.

Coll. Sav. Bank (Florida Prepaid I) .............. 2-127, 16-28, 16-29,.................................... 16-30, 16-31, 16-35, 16-39, 16-40, 16-79

Flushing Nat’l Bank v. Mun. Assistance Corp. ................. 1-79, 8-171,............................................................. 8-173, 8-174, 8-175, 8-176

Fogel v. Chestman ..................................................................... 12-88Ford Motor Co. v. Dep’t of Treasury of Ind. ...................16-60, 16-78Found. Ventures, LLC v. F2G, Ltd. .............................................. 10-9Franke v. Midwestern Okla. Dev. Auth. .....................14-106, 14-107Frazier v. Chattanooga ............................................................... 8-144Freeman v. Laventhol & Horwath ..............................14-143, 14-148Friedman v. Salomon/Smith Barney, Inc. ...................... 7-45, 10A-40Futura Dev. Corp. v. Centex Corp. .............................................. 2-57

GG.A. Thompson & Co. v. Partridge ......................................... 14-183Gabelli v. SEC .............................................................................. 9-86Gallagher v. Abbott Labs. .......................9-13, 9-14, 9-18, 9-19, 9-48Ganino v. Citizens Utils. ........................................................... 8-110Gap Stores Sec. Litig., In re ....................................................... 7-171Garcia v. San Antonio Metro. Transit Auth. .......2-127, 10-105, 16-42Gary Plastic Packaging Corp. v.

Merrill Lynch, Pierce, Fenner & Smith, Inc. .......2-61, 2-77, 2-78,............................................................. 2-100, 2-105, 2-107, 7-134

Gebhardt v. ConAgra Foods ..................................................... 14-153Geiger v. SEC ............................................................................... 7-59Georgia v. Madrazo .................................................................... 16-54Gerhard W. Gohler, IRA v. Wood ............................................... 14-26Gerstle v. Gamble-Skogmo, Inc. ................................................ 14-95Gilligan, Will & Co. v. SEC ................................................7-25, 7-29Glaser v. Enzo Biochem, Inc. ................................................... 14-157Glazer v. Sheperd ..................................................................... 14-204Glickenhaus & Co. v. Household Int’l, Inc. ..................14-81, 14-82,

..................................................................................14-83, 14-84Glob. Crossing, Ltd. Sec. Litig., In re ........................................ 7-145Globus, Inc. v. Law Research Serv., Inc. ...........................5-43, 7-177



Globus, Inc. v. Law Research Serv., Inc. (Globus I) ............5-43, 5-44Globus, Inc. v. Law Research Serv., Inc. (Globus II) .................... 5-44Glover v. Deluca .........................................................14-157, 14-158Gob Shops of Am., Inc., In re ................................................. 10-142Goldberg v. Meridon .................................................................. 15-57Goldstein v. SEC ....................................................................... 12-38Gordon v. N.Y. Stock Exch. .......................... 10-152, 10-153, 10-154Gornpper v. VSX, Inc. ............................................................. 14-112Great W. Bank & Tr. v. Kotz ........................................................ 2-57Greater Wenatchee Reg’l Events Ctr.

Pub. Facilities Dist., In re ............................................8-88, 8-89Greebel v. FTP Software, Inc. .................................................. 14-115Green v. Mansour ...................................................................... 16-23Green v. Wolf Corp. ................................................................. 14-128Greenberg v. Boettcher & Co. .................................................... 7-173Greenfield v. Heublein, Inc. ......................................................... 9-18Gregory v. United States ............................................................ 15-88Gustafson v. Alloyd, Co. ......................................... 7-36, 7-50, 7-137

HHaberman v. Wash. Pub. Power Supply Sys. ........ 2-26, 2-48, 14-202Hackbart v. Holmes ................................................................. 14-106Hall v. Elected Officials’ Ret. Plan ............................................. 8-142Hall v. Geiger-Jones ................................................................... 14-17Halsey, Stuart & Co., In re .............................................6-61, 10-141Hanly v. SEC ..................................7-80, 7-184, 7-185, 7-190, 7-191Hans v. Louisiana ............................16-7, 16-8, 16-12, 16-16, 16-17,

................................... 16-19, 16-20, 16-21, 16-24, 16-25, 16-34,

..............16-46, 16-47, 16-48, 16-54, 16-57, 16-63, 16-64, 16-75Hanson Tr. PLC v. SCM Corp. .................................................. 14-33Harlow v. Fitzgerald ........................................................16-66, 16-68Harriman v. E.I. Du Pont De Nemours & Co. ......................... 16-70Harris v. Union Elec. Co. ................. 9-141, 14-167, 14-168, 14-170,

.................................................. 14-172, 14-173, 14-174, 14-175,

......................................14-176, 14-178, 14-179, 14-180, 14-181Hartford Fire Ins. Co. v. Federated Dep’t Stores, Inc. ............... 9-143Hawkins v. Merrill, Lynch, Pierce, Fenner & Beane .......16-70, 16-71Hayes v. Gross ......................................................................... 14-143Hazard v. Chase Nat’l Bank ...................................................... 9-133Healey v. Catalyst Recovery of Pa., Inc. ..................................... 14-95Hecht v. Harris, Upham & Co. ................................................. 16-71Heit v. Weitzen ............................................................................ 9-47


T–8

Helvering v. Gerhardt .................................................................... 2-9Helwig v. Vencor, Inc. .................................................14-107, 14-112Herm v. Stafford ........................................................................ 7-142Herman & MacLean v. Huddleston .....................................7-9, 7-10Hess v. Port Auth. Trans-Hudson Corp. .................................... 16-80Hill v. Gonzani ............................................................................ 9-66Hirsch v. Dupont ..................................................................... 14-183Hochfelder v. Ernst & Ernst .......................... 7-137, 14-104, 14-105,

................................................... 14-106, 14-163, 14-182, 14-183Hoffman v. Conn. Dep’t of Income Maint. ............................... 16-78Hooper v. Mountain States Sec. Corp. ...................................... 15-57Houston v. Seward & Kissel, LLP .............................................. 14-76Howard v. Everex Sys., Inc. ....................................................... 14-61HSBC Bank USA v. United Airlines, Inc. .................................... 1-74Huddleston v. Herman & MacLean ........................................ 14-153

II. Meyer Pincus & Assocs. v. Oppenheimer & Co. ..................... 8-81Ill. State Bd. of Inv. v. Authentidate Holding Corp. .................... 9-84In re Abbett, Sommer & Co. ....................................................... 2-62In re Activision Sec. Litig. ....................................... 7-11, 7-13, 7-30,

............................................................. 7-48, 7-112, 7-171, 14-22In re Advanta Corp. Sec. Litig. ................................................ 14-107In re AHT Corp. ........................................................................ 14-78In re Ames Dep’t Stores, Inc. Note Litig. .................................. 7-145In re Ames Dep’t Stores, Inc. Stock Litig. ................................... 9-47In re Anthony C. Snell & Charles E. Leroy ............................... 14-90In re Apple Comput. Sec. Litig. ................................................... 9-22In re Associated Sec. Corp. ...................................................... 10-144In re Ayers ......................................................................16-56, 16-57In re Baker & Getty Fin. Servs., Inc. ........................................... 10-4In re Barrett & Co. ......................................... 10-61, 10-114, 10-138In re Brooklyn Manhattan Transit Corp. .................................... 7-15In re Bruns, Nordeman & Co. .................................................... 7-42In re Burlington Coat Factory Sec. Litig. ............................9-19, 9-20In re Bus. Objects S.A. Sec. Litig. ............................................ 14-157In re Cady, Roberts & Co. ............................. 9-107, 14-187, 14-188,

................................................................ 14-195, 14-201, 14-202In re Charter Commc’ns, Inc., Sec. Litig. ................................. 14-64In re Citisource, Inc. Sec. Litig. ................................................... 6-47In re City of San Diego .......................................... 1-102, 8-16, 8-80In re Coca-Cola Enters., Inc. Sec. Litig. .................................. 14-156



In re Complete Mgmt. Inc. Sec. Litig. ....................................... 7-145In re Comshare, Inc. Sec. Litig. ............................................... 14-106In re Consumers Power Co. Sec. Litig. ............... 7-112, 7-170, 7-171In re Cook ................................................................................. 9-121In re Credit Suisse First Bos. Corp. ........................................... 7-125In re Donald J. Trump Casino Sec. Litig. ..........................8-81, 8-82,

............................................................................ 8-83, 8-84, 8-87In re Duker & Duker .................................................................. 7-77In re Eugene Vaughan, CPA ....................................................... 8-109In re Faberge, Inc. ...................................................................... 9-125In re Gap Stores Sec. Litig. ........................................................ 7-171In re Glob. Crossing, Ltd. Sec. Litig. ......................................... 7-145In re Gob Shops of Am., Inc. .................................................. 10-142In re Greater Wenatchee Regional Events Ctr.

Pub. Facilities Dist. ......................................................8-88, 8-89In re Halsey, Stuart & Co. .................................... 6-59, 6-61, 10-141In re Initial Pub. Offering Sec. Litig. ..........................14-156, 14-158In re Int’l Rectifier Sec. Litig. ..................... 7-74, 7-97, 7-100, 7-103,

........................................................... 7-116, 7-137, 7-144, 7-145In re Ira Haupt & Co. ..................................... 5-98, 7-15, 7-25, 7-58In re Jefferson Cty., Ala., Findings of Fact,

Conclusions of Law, and Order Confirming theChapter 9 Plan of Adjustment forJefferson Cty., Ala. .............................................................. 8-171

In re Kulicke & Soffa Indus., Inc. Sec. Litig. ............................... 9-33In re Las Vegas Monorail Co. .........................................8-184, 8-185In re Laser Arms Corp. .................................................................. 7-4In re Lehman Bros. Sec. & ERISA Litig. .................................. 14-120In re LTV Sec. Litig. ................................................................ 14-133In re Memorex Sec. ................................................................. 14-129In re Network Equip. Techs., Inc. Litig. .................................... 16-70In re N.Y.C. Mun. Sec. Litig. ..............................................3-26, 6-47In re NYSE Specialists Sec. Litig. .............................................. 10-80In re Norris & Hirshberg, Inc. ................................................ 10-143In re Okla.-Tex. Tr. ........................................... 5-98, 7-9, 7-15, 7-29,

........................................................7-32, 7-44, 7-50, 7-58, 9-105In re Omnivision Techs. .......................................................... 14-154In re Paramount-Publix Corp. ........................................9-134, 9-141In re Parmalat Sec. Litig. ................................................14-62, 14-63In re Pension Reform Litig. ....................................................... 8-141In re Pfizer Inc. Sec. Litig. ..............................................14-85, 14-86In re Philip Servs. Corp. Sec. Litig. ........................................... 7-145In re Pub. Fin. Consultants, Inc.,

Robert D. Fowler, Dolphin & Bradbury, Inc., &Robert J. Bradbury .... 14-9, 14-98, 14-99, 14-100, 14-107, 14-108


T–10

In re Quadrangle Grp. LLC ............................................12-35, 12-36In re RBC Capital Markets, LLC ................................................. 4-56In re Richmond Corp. .................................... 7-74, 7-75, 7-76, 7-77,

........................................................................ 7-78, 7-134, 7-136In re R.L. Emacio & Co. ......................................................... 10-143In re St. Paul Travelers Sec. Litig. II ........................................ 14-159In re Sanitary & Improvement Dist. No. 7 ............................... 8-170In re Schwarm & Co. .........................................................7-77, 7-78In re Seagate Tech. II Sec. Litig. .........................................9-67, 9-68In re Sec. Am. Corp. Sec. Litig. ................................................. 7-170In re Sierra Kings Health Care Dist. ......................................... 8-167In re Silicon Graphics Inc. Sec. Litig. ...................................... 14-107In re Software Toolworks, Inc., Sec. Litig. ............. 7-96, 7-97, 7-100,

........................................................... 7-116, 7-137, 7-140, 14-61In re Taxable Mun. Bond Sec. Litig. ............................................ 4-45In re Thomas J. Scanlon, CPA .................................................. 8-109In re Time Warner, Inc. Sec. Litig. .....................................9-12, 9-49In re Trost & Co. ..................................................................... 10-143In re Tseng Labs, Inc. Sec. Litig. ................................................ 14-97In re UAL Corp. .......................................................................... 1-74In re Union Home Loans ............................................................ 2-62In re Unisys Corp. Sec. Litig. .................................................... 8-110In re Unumprovident Corp. Sec. Litig. .................................... 14-154In re USA Talks.com Sec. Litig. ............................................... 14-143In re Velti PLC Sec. Litig. ........................................................ 14-120In re Verifone Sec. Litig. .......................................................... 14-135In re Warnaco Grp., Inc. Sec. Litig. ......................................... 14-156In re Wash. Pub. Power Supply Sys. Sec. Litig. ..................1-84, 6-46,

.............................................10-105, 14-47, 14-49, 14-50, 14-58,

................................................14-59, 16-68, 16-71, 16-72, 16-78In re Williams Sec. Litig. ......................................................... 14-158In re WorldCom, Inc. Sec. Litig. ....................... 7-5, 7-10, 7-50, 7-68,

......................................... 7-69, 7-98, 7-99, 7-100, 7-101, 7-133,

................................... 7-134, 7-140, 7-145, 7-154, 7-155, 7-156,

................................... 7-157, 7-158, 7-161, 7-162, 7-164, 7-166,

............... 7-171, 7-173, 10-294, 10-295, 10-296, 10-297, 10-298In re Worlds of Wonder Sec. Litig. ....................................7-134, 8-81In re W.R. Grace & Co. ............................................................. 8-109In the Matter of County of Nevada ........................................... 7-103In the Matter of State Bank of Pakistan ...................................... 6-80Ingenito v. Bermer Corp. ............................................................... 7-4Initial Pub. Offering Sec. Litig., In re .........................14-156, 14-158Int’l Rectifier Sec. Litig., In re .................... 7-74, 7-97, 7-100, 7-103,

........................................................... 7-116, 7-137, 7-144, 7-145



Ira Haupt & Co., In re ............................................. 7-15, 7-25, 7-58Ira Weiss v. SEC ................................................... 14-5, 14-72, 14-73Isquith v. Middle S. Utils., Inc. ................................................. 14-97

JJacobi v. Bache & Co. .............................................................. 10-152Jacobson v. Tahoe Reg’l Planning Agency .................................. 16-81Janus Capital Grp., Inc. v.

First Derivative Traders ............8-33, 8-34, 14-15, 14-79, 14-80,................................................14-81, 14-82, 14-83, 14-84, 14-85

Jefferson Cty., Ala., Findings of Fact,Conclusions of Law, and Order Confirming theChapter 9 Plan of Adjustment for Jefferson Cty.,Ala., In re ........................................................................... 8-171

John Nuveen & Co. v. Sanders ........................... 7-138, 7-139, 7-140Johnson v. Zerbst ....................................................................... 16-37Johnston v. Bd. of Supervisors of Morris Cty. ........................... 15-14Jones v. Mun. Emps.’ Annuity & Benefit Fund ..............8-141, 8-142Joseph v. Q.T. Wiles ................................................................. 14-127

KKahn v. SEC ............................................................................... 7-185Kalnit v. Eichler ......................................................................... 7-145Kanerva v. Weems ...................................................................... 8-141Kansas v. Colorado .................................................................... 16-39Kan. State Bank v. Citizens Bank ................................................ 2-54Kaplan v. Rose ........................................................................... 7-134Kaplan v. Vornado, Inc. ............................................................. 9-142Kardon v. Nat’l Gypsum Co. .................................. 14-7, 14-39, 16-4Katz v. Amos Treat & Co. ..................................................7-11, 7-20Katz v. Oak Indus. ....................................................................... 1-89Kaufman v. I-Stat Corp. ............................................................. 14-26Kawananakoa v. Polyblank .......................................................... 16-8Kennecott Copper Corp. v. Curtiss-Wright Corp. ...................... 16-70Kennedy v. Josephthal & Co. ....................................................... 5-43Kersh Lake Drainage Dist. v. Johnson ....................................... 14-50Ketchum v. Green ...................................................................... 15-59Kimel v. Fla. Bd. of Regents ............................... 16-29, 16-30, 16-31,

...................................................................... 16-39, 16-40, 16-41King v. Power Auth. ..................................................................... 1-81


T–12

Kings Cty. Dev. Co. v. Comm’r ................................................. 1-108Kiowa Tribe of Okla. v. Mfg. Techs., Inc. .......................16-88, 16-89Kline v. First W. Gov’t Sec., Inc. .................................................. 8-81Knollenberg v. Harmonic ......................................................... 14-157Kohler v. Kohler Co. ................................................................ 14-104Kohn v. Am. Metal Climax, Inc. ............................................. 14-104Korn v. Franchard Corp. .......................................................... 14-129Kovats v. Rutgers, The State Univ. ............................................ 16-86Kulicke & Soffa Indus., Inc. Sec. Litig., In re .............................. 9-33Kwiatkowski v. Bear, Stearns & Co., Inc. .................................. 10-47

LLake Country Estates, Inc. v.

Tahoe Reg’l Planning Agency ............ 15-18, 16-67, 16-68, 16-81Landau v. Perracciolo ............................................................... 14-222Las Vegas Monorail Co., In re ........................................8-184, 8-185LaSala v. Bordier et Cie ............................................................. 14-76Laser Arms Corp., In re ................................................................. 7-4Laven v. Flanagan ........................................................................ 7-95LC Capital Partners, LP v. Frontier Ins. Grp., Inc. .................... 7-145Lehman Bros. Sec. & Erisa Litig., In re ................................... 14-120Leib v. Merrill Lynch, Fenner & Smith, Inc. ............................. 10-50Lemon v. Kurtzman ..................................................................... 1-24Leslie v. Minson .................................................................2-55, 2-82Levine v. SEC ............................................................................. 7-185Levinson v. Basic, Inc. ....................................................9-26, 14-148Libertarian Party of Wis. v. State ................................................. 1-51Lincoln County v. Luning .......................................................... 16-75Lindeen v. SEC ...............................................................14-21, 14-22Lipton v. Pathogenesis Corp. ................................................... 14-107List v. Fashion Park, Inc. ............................................14-126, 14-164Lively v. Hirschfield ................................................................... 2-193Lloyd v. CVB Fin. Corp. .......................................................... 14-160Locke v. Davey ............................................................................. 1-27Loos v. Immersion Corp. ......................................................... 14-160Louisiana v. Jumel ........................16-54, 16-55, 16-57, 16-63, 16-64Loveridge v. Dreagoux ................................................................ 7-142Lowe v. SEC ....................................................................12-73, 12-74LTV Sec. Litig., In re ............................................................... 14-133Lucas v. Fla. Power & Light Co. .................. 14-174, 14-175, 14-176,

................................................................ 14-179, 14-180, 14-181Luce v. Edelstein .......................................................................... 8-81



MMac Robbins & Co. ..................................................................... 7-77Makor Issues & Rights, Ltd. v. Tellabs, Inc. ...............14-112, 14-113Malack v. BDO Seidman, LLP ....................................14-151, 14-152Mallis v. Bankers Tr. Co. ......................................................... 14-183Mansbach v. Prescott, Ball & Turben ........................................ 7-142Mfrs. Hanover Tr. Co. v. Drysdale Sec. Corp. ............................. 2-89Marbury v. Madison .................................................................. 16-62Marine Bank v. Weaver .................................. 2-60, 3-41, 3-49, 10-31Markowski v. SEC ................................................................... 10-115Marsden v. Select Med. Corp. ................................................. 14-156Mass. Fin. Servs., Inc. v. Sec. Inv’r Prot. Corp. ..................6-75, 10-4Matrixx Initiatives, Inc. v. Siracusano .............. 8-68, 8-69, 9-3, 9-12,

....................................................... 9-66, 14-101, 14-102, 14-137Mayor of New York v. Bailey ....................................................... 1-47MBIA Ins. Corp. v. Spiegel Holdings, Inc. ......................14-44, 14-47McCormick v. United States ......................................15-107, 15-110McCulloch v. Maryland ............................................................... 16-7McFarland v. Memorex Corp. .................7-10, 7-11, 7-13, 7-30, 7-48McLean v. Alexander ......................................................7-142, 15-75McNally v. United States ................................... 15-90, 15-91, 15-92,

........................................................... 15-93, 15-95, 15-96, 15-98McNeil v. S. Ry. ......................................................................... 16-57Memorex Sec., In re ................................................................ 14-129Mercantile Bank of Ill., N.A. v. Sch. of Osceola .......................... 1-50Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit ....14-10, 14-12,

................................................14-14, 14-23, 14-24, 14-41, 14-42Metro. Life Ins. Co. v. RJR Nabisco, Inc. .................................. 9-144Michigan v. Bay Mills Indian Cmty. ......................................... 16-89Michigan v. United States ..............................................2-134, 2-135MidAmerica Fed. Sav. & Loan Ass’n v.

Shearson/Am. Express Inc. ................................................. 10-50Mills v. Elec. Auto-Lite Co. ....................................................... 14-95Miss. Pub. Emps. Ret. Sys. v. Bos. Sci. Corp. .......................... 14-113Mitchell v. L.A. Cmty. Coll. Dist. ............................................. 16-86Monaco v. Mississippi ............................................................... 16-48Monetta Fin. Servs., Inc. v. SEC ................................................ 12-84Moore v. County of Alameda .........................................16-74, 16-75Moreau v. Flanders .................................................................... 8-177Morris v. Wash. Metro. Area Transit Auth. ............................... 16-82Moses v. Burgin ......................................................................... 12-88Mosesian v. Peat, Marwick, Mitchell & Co. .............................. 7-145Mount Healthy City Sch. Dist. v. Doyle ........................16-76, 16-87Myzel v. Fields ......................................................................... 14-104


T–14

NNathanson v. Weis, Voisin, Cannon, Inc. ............................... 14-185Network Equip. Techs., Inc. Litig., In re ................................... 16-70Nevada v. Hall ........................................................................... 16-48New Hampshire v. Louisiana .................................................... 16-39N.J. Sports & Exposition Auth. v. McCrane .............................. 8-183New York v. Henry “Hank” Morris & David Loglisci ............... 12-52New York v. United States ..............................................2-127, 16-49N.Y.C. Mun. Sec. Litig., In re .............................................3-26, 6-47NYSE Specialists Sec. Litig., In re ............................................. 10-80Nohrr v. Brevard Cty. Educ. Facilities Auth. ................................ 1-17Norris & Hirshberg, Inc., In re ............................................... 10-143North Carolina v. Temple ...............................................16-47, 16-57Novak v. Kasaks ................................ 7-172, 14-107, 14-110, 14-111Nuveen Mun. High Income Opportunity Fund v.

City of Alameda ................................................................ 14-155

OOckerman v. May Zima & Co. ............................................... 14-151Ohio Pub. Emps. Ret. Sys. v. Fed. Home Loan Mortg. Corp. .... 14-158Okla. Tax Comm’n v.

Citizen Band Potawatomi Tribe of Okla. .............................. 16-88Okla.-Tex. Tr., In re .......................................... 5-98, 7-9, 7-15, 7-29,

........................................................7-32, 7-44, 7-50, 7-58, 9-105Old Colony R.R. v. SEC ............................................................ 1-108Omnicare, Inc. v. Laborers Dist. Council

Constr. Indus. Pension Fund ...................14-116, 14-117, 14-118,...................................................................14-119, 14-120, 14-121

Omnivision Techs., In re ......................................................... 14-154Osborn v. United States Bank ........................................16-53, 16-54Owen v. City of Independence ................................................... 16-75

PPalsey v. Freeman ...................................................................... 14-15Panzirer v. Wolf ........................................................................ 14-132Papilsky v. Berndt .......................................................10-130, 10-131Paracor Fin., Inc. v. Gen. Elec. Capital Corp. .......................... 14-127Paramount-Publix Corp., In re .......................................9-134, 9-141Parden v. Terminal Ry. ........................................ 16-20, 16-36, 16-37



Parmalat Sec. Litig., In re ...............................................14-62, 14-63Parr v. United States .................................................................. 15-88Paul F. Newton & Co. v. Tex. Commerce Bank ......................... 16-71Peirce v. Cornell ........................................................................... 5-52Pennaluna & Co. v. SEC ............................................................. 7-58Pennhurst State Sch. & Hosp. v. Halderman ............................ 16-86Pennsylvania v. Union Gas Co. ......................... 16-21, 16-22, 16-23,

........................................................... 16-24, 16-36, 16-41, 16-42Pension Reform Litig., In re ...................................................... 8-141People v. Feld ........................................................................... 15-103Pereira v. United States ............................................................. 15-86Petty v. Tenn. Mo. Comm’n ...................................................... 16-82Pfizer Inc. Sec. Litig., In re .............................................14-85, 14-86Philip Servs. Corp. Sec. Litig., In re .......................................... 7-145Phillips v. LCI Int’l, Inc. .......................................................... 14-110Pinter v. Dahl .....................................................................2-28, 7-36Piper v. Chris-Craft Indus., Inc. ................................................ 14-34Pirraglia v. Novell, Inc. ............................................................ 14-112Plaintiffs v. City of Seattle ......................................................... 14-49Pollock v. Farmers’ Loan & Tr. Co. ................................................ 2-8Poindexter v. Greenhow ...................................... 16-55, 16-56, 16-57Port Auth. Police Benevolent Ass’n, Inc. v.

Port Auth. of N.Y. & N.J. ................................................... 16-83Port Auth. Trans-Hudson Corp. v. Feeney ................................. 16-83Price Waterhouse v. Panzirer .................................................... 14-132Printz v. United States ............................................................... 16-49Procter & Gamble Co. v. Bankers Tr. Co. .......................2-123, 14-88Prout v. Starr ............................................................................. 16-57Prudential Ins. Co. v. SEC ............................... 3-22, 3-23, 3-27, 3-35Pub. Fin. Consultants, Inc., Robert D. Fowler,

Dolphin & Bradbury, Inc., &Robert J. Bradbury, In re ........14-9, 14-98, 14-99, 14-107, 14-108

Puckett v. Lexington-Fayette Urban Cty. Gov’t ......................... 8-144P.R. Aqueduct & Sewer Auth. v. Metcalf & Eddy, Inc. .............. 16-24Pugh v. Tribune Co. ................................................................... 14-69

QQuadrangle Grp. LLC, In re ...........................................12-35, 12-36Quirk v. Mun. Assistance Corp. ................................................ 8-176


T–16

RRadiation Dynamics, Inc. v. Goldmuntz ..................................... 5-70Ragsdale v. City of Memphis ..............................................1-17, 1-18Randall v. Loftsgarden ................................................................. 2-28Rathbone v. Rathbone ................................................................ 9-107Ray v. Citigroup Glob. Mkts. .................................................. 14-156Raynor v. Scandinavian Am. Bank .............................................. 7-81RBC Capital Markets, LLC, In re ................................................ 4-56Reagan v. Farmers’ Loan & Tr. Co. ............................................ 16-57Reding v. Goldman Sachs & Co. ............................................. 14-157Reeside v. Walker ....................................................................... 16-62Regents of the Univ. of Cal. v.

Credit Suisse First Bos. (USA) .......... 14-63, 14-64, 14-65, 14-69Regents of the Univ. of Cal. v. Doe ........................................... 16-87Reves v. Ernst & Young ..............2-45, 2-56, 2-57, 2-122, 8-73, 10-27,

.................................. 10-28, 10-29, 10-30, 10-31, 11-129, 11-131Reyos v. United States ............................................................. 14-130Richardson v. MacArthur ...............................................16-70, 16-71Richmond Corp., In re ...... 7-74, 7-75, 7-76, 7-77, 7-78, 7-134, 7-136Ritch v. Robinson-Humphrey .................................................... 14-26R.L. Emacio & Co., In re ........................................................ 10-143Rochez Bros., Inc. v. Rhoades .................................................... 16-71Roeder v. Alpha Indus., Inc. ..................................... 9-12, 9-14, 9-18Rolf v. Blyth, Eastman Dillon & Co. ............................7-142, 10-114Romani v. Shearson Lehman Hutton .......................................... 8-81Rondeau v. Mosinee Paper Corp. ............................................... 14-34Rose v. Ark. Valley Envt’l & Util. Auth. .................................. 14-147Rose v. Long Island R.R. Pension Plan ........................................ 2-19Ross v. A.H. Robins Co. .................................. 6-92, 9-11, 9-23, 9-47Ross v. Bank S., N.A. ............................................................... 14-148Rothman v. Gregor .................................................................... 7-145Rubinstein v. Collins ................................................................... 8-81Rudbart v. N. Jersey Water Supply Comm’n &

First Fid. Bank .................................................................... 9-144Russell Maguire & Co. ............................................................ 10-135

SSt. David’s Health Care Sys. v. United States ....................1-67, 1-68St. Louis Union Tr. Co. v.

Merrill Lynch, Pierce, Fenner & Smith, Inc. .................... 14-131St. Matthew’s Baptist Church v.

Wachovia Bank, Nat’l Assoc. ...................................14-88, 14-89



St. Paul Travelers Sec. Litig. II, In re ....................................... 14-159Salman v. United States .............................................14-197, 14-198Sanders v. John Nuveen & Co. ................................ 2-57, 7-49, 7-81,

...................................................................... 7-138, 7-139, 7-143Sanders v. John Nuveen & Co. (Sanders I) .................................. 7-81Sanders v. John Nuveen & Co. (Sanders II) ........... 7-81, 7-82, 7-138,

........................................................... 7-139, 7-142, 7-144, 16-70Sanders v. John Nuveen & Co. (Sanders III) .....................7-81, 7-82,

...................................................................... 7-139, 7-142, 7-144Sanders v. John Nuveen & Co. (Sanders IV) ......................7-81, 7-82,

...................................................................... 7-138, 7-139, 7-140Sanders v. John Nuveen & Co. (Sanders V) ....................7-138, 7-139Sanitary & Improvement Dist. No. 7, In re .............................. 8-170Santa Clara Pueblo v. Martinez ................................................. 16-88Santa Fe Indus., Inc. v. Green ........................ 7-140, 10-120, 14-163Schechter Poultry Corp. v. United States ................................ 10-131Scher v. Nat’l Ass’n of Sec. Dealers, Inc. ................................... 10-80Scheuer v. Rhodes ...........................................................15-18, 16-65Schleicher v. Wendt ................................................................. 14-140Schlick v. Penn-Dixie Cement Corp. ....................................... 14-126Schmuck v. United States .......................................................... 15-94Sch. Dist. of City of Erie v. J.P. Morgan Chase Bank ................ 14-89Schreiber v. Burlington N., Inc. ......................................14-34, 14-35Seagate Tech. II Sec. Litig., In re ........................................9-67, 9-68SEC v. Am. Bd. of Trade ............................................................ 2-107SEC v. Am. Found. for Advanced Educ. of Ark. ........................ 2-181SEC v. Amerocam Beryllium & Co. Oil Corp. ............................ 7-58SEC v. Blazon Corp. .................................................................... 5-18SEC v. Brogdon ...................................................................8-98, 8-99SEC v. Burns ............................................................................ 10-136SEC v. Burtka ...................................................................1-121, 8-19SEC v. Capital Gains Research Bureau, Inc. ..... 10-49, 11-97, 12-28,

......................................................... 12-75, 12-76, 12-77, 14-203SEC v. Carter Hawley Hale Stores, Inc. .................................... 14-32SEC v. Caserta ........................................................................... 8-106SEC v. Century Inv. Transfer Corp. ............................................. 6-76SEC v. Children’s Hosp. .............................. 1-39, 2-81, 2-152, 2-181SEC v. Chinese Consol. Benevolent Ass’n ............... 6-80, 7-11, 7-12SEC v. City of Harvey, Ill., and Joseph T. Letke .............1-102, 8-101SEC v. City of Miami, Fla., and Michael Boudreaux ................. 8-107SEC v. City of Victorville ................................................8-100, 8-101SEC v. C.M. Joiner Leasing Corp. ............................................... 2-46SEC v. Cont’l Commodities Corp. .............................................. 2-57SEC v. Continental Tobacco Co. ............................................... 2-193


T–18

SEC v. Culpepper ................................................................7-11, 7-20SEC v. Daifotis ............................................................................ 8-33SEC v. Dain Rauscher, Inc. .................4-33, 7-78, 7-79, 7-116, 7-117SEC v. DiBella ........................................................................... 12-38SEC v. Dresser Indus., Inc. ................................. 15-26, 15-29, 15-76SEC v. Drysdale Sec. Corp. .............................................14-52, 14-53SEC v. Edwards .............. 2-45, 2-61, 2-62, 2-221, 8-99, 14-45, 14-46SEC v. ETS Payphones, Inc. ........................................................ 2-62SEC v. Fifth Ave. Coach Lines, Inc. ............................................. 3-13SEC v. Glen W. Turner Enters. .................................................. 2-123SEC v. Haswell ............................................................................ 2-33SEC v. Int’l Mining Exch., Inc. .................................................. 2-123SEC v. John Gardner Black,

Devon Capital Mgmt. Inc., & Fin. Mgmt. Servs. Inc. ........ 12-58SEC v. Kasirer ...................................................................8-99, 8-100SEC v. Kilpatrick ........................................................................ 12-55SEC v. Koscot Interplanetary, Inc. ............................................. 2-122SEC v. Laner .............................................................................. 2-123SEC v. Larry P. Langford ...................................................14-8, 14-10SEC v. LeCroy .............................................................................. 4-56SEC v. Life Partners ................................................................... 2-123SEC v. Lybrand .............................................................................. 7-5SEC v. MacDonald .................................................................... 14-95SEC v. Malachi Fin. Prods., Inc. ................................................ 1-103SEC v. Mgmt. Dynamics, Inc. ................................................. 10-114SEC v. Manor Nursing Ctrs., Inc. .................. 5-17, 5-18, 6-57, 6-58,

................................................................ 6-59, 6-60, 7-127, 9-27,

........................................................9-28, 9-29, 9-30, 9-31, 15-69SEC v. Materia ......................................................................... 14-190SEC v. Mayfield Gentry Realty Advisors, LLC ........................... 12-54SEC v. Michael W. Crow ......................................................... 11-132SEC v. Nat’l Exec. Planners, Ltd. ........................................6-75, 10-4SEC v. Nat’l Presto Indus., Inc. ........................................3-13, 10-30SEC v. Nothern ....................................................................... 14-199SEC v. Otis & Co. ................................................................... 10-143SEC v. Ough ....................................................... 7-116, 7-117, 7-118SEC v. Pentagon Capital Mgmt. PLC .......................................... 8-33SEC v. Pinckney ......................................................................... 2-123SEC v. Ralston Purina Co. ......................................................... 2-192SEC v. Rana Research, Inc. .......................................................... 14-8SEC v. Resch-Cassin & Co. ..........................................9-114, 10-114SEC v. R.I. Commerce Department

(f/k/a R.I. Econ. Dev. Corp.) .........................................8-27, 8-93SEC v. Robert A. Kasirer .............................................................. 14-5



SEC v. Sargent ........................................................................... 15-49SEC v. Scott ..................................................... 9-27, 9-29, 9-30, 9-31SEC v. Shattuck Denn Mining Corp. .......................................... 9-16SEC v. Sw. Coal & Energy Co. ...........................................5-18, 6-59SEC v. Stevens ........................................................................... 9-121SEC v. Stifel, Nicolaus & Co. ...........................................4-56, 15-61SEC v. Suter ............................................................................... 12-73SEC v. Terry D. Busbee & Preston C. Bynum ........................... 15-61SEC v. Town of Oyster Bay .......................................................... 1-30SEC v. Town of Ramapo .................................................1-104, 1-105SEC v. Tex. Gulf Sulphur Co. ...... 6-44, 6-91, 9-21, 9-25, 9-46, 9-47,

............................................9-120, 14-51, 14-128, 14-211, 15-58SEC v. Thomas J. Saiz & Calderon, Jaham & Osborn ..... 8-116, 8-118SEC v. Variable Annuity Life Ins. Co. (VALIC) ..................2-49, 2-50,

......................................................................................2-83, 3-22SEC v. Waidelich ...............................................................1-121, 8-19SEC v. Wall St. Transcript Corp. ............................................... 12-74SEC v. Wash. Cty. Util. Dist. ...................................................... 15-8SEC v. W.J. Howey Co. .......................2-43, 2-49, 2-112, 2-122, 3-34SEC v. WorldCom Inc. .............................................................. 15-71SEC v. W.R. Grace & Co. .......................................................... 8-109SEC v. Zander .............................................................................. 5-95SEC v. Zandford .................................................... 5-91, 5-92, 14-52,

........................................................... 14-55, 14-56, 14-57, 14-91Sec. Am. Corp. Sec. Litig., In re ................................................ 7-170Sec. Indus. Ass’n v. Bd. of Governors ............................ 7-32, 10A-14Sec. Pac. Bus. Credit, Inc. v. Peat Marwick Main & Co. ........... 7-120Selzer v. Bank of Berm., Ltd. ..................................................... 12-61Seminole Tribe of Fla. v. Florida ....16-5, 16-22, 16-24, 16-25, 16-26,

...............................................16-29, 16-30, 16-33, 16-37, 16-39,

........................................................... 16-40, 16-41, 16-42, 16-49Shapiro v. Cantor ...................................................................... 14-61Shapiro v. Merrill Lynch, Pierce, Fenner & Smith, Inc. .......... 14-130Sharpless v. Philadelphia ........................................................... 16-18Shores v. M.E. Ratliff Inv. Co. ............. 7-143, 7-144, 14-150, 14-151Shores v. Sklar ............................................. 14-144, 14-145, 14-146,

................................................................ 14-147, 14-148, 14-152Sierra Kings Health Care Dist., In re ........................................ 8-167Silicon Graphics Inc. Sec. Litig., In re .......... 14-107, 14-110, 14-113Silver v. N.Y. Stock Exch. .............................. 10-63, 10-148, 10-149,

................................................... 10-150, 10-152, 10-153, 10-154Simpson v. AOL Time Warner Inc. .................... 14-62, 14-63, 14-64,

.................................................................... 14-67, 14-69, 14-132Sinay v. Lamson & Sessions Co. ................................................. 8-81


T–20

Skilling v. United States ......................... 15-90, 15-92, 15-93, 15-95,........................................................... 15-96, 15-97, 15-98, 15-99

Smallwood v. Pearl Brewing Co. ...................................14-95, 14-104Smith v. Indus. Dev. Bd. of City of Andalusia ............................ 1-58Smith v. Reeves ..............................................................16-45, 16-77Smyth v. Ames .......................................................................... 16-57Software Toolworks, Inc., Sec. Litig., In re ............ 7-96, 7-97, 7-100,

........................................................... 7-116, 7-137, 7-140, 14-61Sonnenfeld v. City & County of Denver ................................... 7-147Sossamon v. Texas ..........................................................16-37, 16-58S. Carolina v. Katzenbach .......................................................... 16-31South Dakota v. North Carolina ............................................... 16-39Spies v. United States .............................................................. 14-122Standard Inv. Chartered, Inc. v. NASD ..................................... 10-81Starsky v. Cumins Engine Co. ..................................................... 9-15State v. City of Lakeland ............................ 1-79, 8-173, 8-174, 8-175State v. Cty. of Citrus .................................................................. 1-79State v. Hutchinson ..................................................................... 1-16State Bank of Pakistan, In the Matter of ..................................... 6-80State Teachers Ret. Bd. v. Fluor Corp. ......................................... 9-24Steele v. Indus. Dev. Bd. of Metro. Gov’t of Nashville ................ 1-24Steele v. Indus. Dev. Bd. of Metro. Gov’t of

Nashville & Davidson Cty. ..........................................1-25, 1-26Stirone v. United States ........................................................... 15-103Stoiber v. SEC ............................................................................ 10-29Stoneridge Inv. Partners LLC v.

Scientific-Atlanta, Inc. ..........14-10, 14-11, 14-14, 14-15, 14-61,...............................................14-62, 14-63, 14-65, 14-66, 14-67,...............................................14-68, 14-69, 14-70, 14-71, 14-73,...............................................14-74, 14-75, 14-76, 14-92, 14-93,......................................14-129, 14-132, 14-135, 14-146, 14-151

Straub v. Vaisman & Co. ......................................................... 14-183Sturges v. Knapp ........................................................................ 9-131Suez Equity Inv’rs, L.P. v. Toronto-Dominion Bank ................ 14-152Sundstrand Corp. v. Sun Chem. Corp. .......... 7-142, 14-106, 14-107Superintendent of Ins. v.

Bankers Life & Cas. Co. ............................... 14-7, 14-39, 14-51,............................................................. 15-57, 15-59, 15-61, 16-4

Supreme Court of Va. v. Consumers Union ....... 16-67, 16-68, 16-69Sushan v. United States ............................................................. 15-88Sutton v. Utah State Sch. for Deaf & Blind .............................. 16-87



TTager v. SEC ...................................................................9-90, 14-123Taxable Mun. Bond Sec. Litig., In re ........................................... 4-45Tcherepnin v. Knight ................................................ 2-44, 2-46, 2-50TCS Capital Mgmt., LLC v. Apex Partners, L.P. ....................... 14-69Teachers’ Ret. Sys. of La. v. Hunter ............................14-154, 14-155Teamsters Local 445 v. Bombardier ......................................... 14-159Tellabs, Inc. v. Makor Issues & Rights Ltd. ......... 14-8, 14-10, 14-13,

................................................................. 14-23, 14-112, 14-113,

................................................................ 14-114, 14-115, 14-116Tennessee v. Lane ...................................................................... 16-32Tenney v. Brandhove .......................................................15-18, 16-66Tex. Learning Tech. Grp. v. Comm’r ........................................... 2-15Thill Sec. Corp. v. NYSE ......................................................... 10-150Thomas J. Scanlon, CPA, In re ................................................. 8-109Time Warner, Inc. Sec. Litig., In re ....................................9-12, 9-49Time Warner Sec. Litig., In re ........................................9-49, 14-110Tongue v. Sanofi ...................................................................... 14-121Torsiello Capital Partners LLC v.

Sunshine State Holding Corp. .......................................... 11-132Trinidad Hernandez v. Commonwealth .................................... 8-145Trinity Lutheran Church of Columbia, Inc. v. Comer ................ 1-27Trost & Co., In re .................................................................... 10-143Trusell v. United Underwriters Ltd. ......................................... 14-163Tr. Co. of La. v. N.N.P., Inc. ...................................................... 10-29Trs. of Dartmouth Coll. v. Woodward ........................ 1-9, 1-10, 1-45TSC Indus., Inc. v. Northway, Inc. .............. 8-62, 8-64, 8-65, 18-66,

........................................................... 14-32, 14-95, 14-96, 14-97Tseng Labs, Inc. Sec. Litig., In re ............................................... 14-97Tug Ocean Prince, Inc. v. United States .................................... 7-117

UUAL Corp., In re ......................................................................... 1-74Ultramares Corp. v. Touche ............................................7-120, 7-122Union County, Iowa v. Piper Jaffray & Co. ............................... 11-96Union Home Loans, In re ........................................................... 2-62Union Planters Nat’l Bank v.

Commercial Credit Bus. Loans, Inc. .................................... 2-45Unisys Corp. Sec. Litig., In re ................................................... 8-110United Am. Bank v. Gunter ........................................................ 2-54United Hous. Found., Inc. v. Forman ................................2-45, 2-46United Paper Workers Int’l Union v. Int’l Paper Co. ............... 14-100


T–22

United States v. Addonizio ...................................................... 15-103United States v. Barta ................................................................ 15-89United States v. Boffa ................................................................ 15-85United States v. Boyer ............................................................... 7-142United States v. Brasch ............................................................ 15-104United States v. Bronston .......................................................... 15-89United States v. Brown .............................................................. 15-88United States v. Bryan ....................................................9-129, 15-92United States v. Bush ................................................................ 15-89United States v. Carpenter ...................................................... 14-190United States v. Chestman .........................................10-110, 14-224United States v. Chiarella ........................................................ 14-189United States v. Cronic ............................................................. 15-85United States v. Dempsey ..............................................15-94, 15-95United States v. DiFonzo ........................................................... 15-26United States v. Douglas Lee Campbell .........................15-48, 15-82United States v. Dozier ............................................................ 15-109United States v. Freeman ......................................................... 15-111United States v. Georgia ............................................................ 16-32United States v. Hubbard .......................................................... 15-26United States v. Kordel .............................................................. 15-73United States v. Ladish Malting Co. ....................................... 14-122United States v. Lara ................................................................. 16-88United States v. Larry P. Langford, William B. Blount &

Albert W. LaPierre ........................... 15-67, 15-80, 15-97, 15-101United States v. Lindo ................................................................. 7-16United States v. Litvak ............................................................ 14-103United States v. Mandel .............14-221, 15-88, 15-89, 15-91, 15-92United States v. Margiotta ................. 14-223, 15-90, 15-112, 15-113United States v. McCormick ................................................... 15-108United States v. McDonough .................................................. 15-111United States v. Milovanovic ..................................................... 15-99United States v. Morgan ......................7-75, 10-118, 10-127, 10A-40United States v. Murphy ........................................................... 15-92United States v. Naftalin ........................................................... 14-41United States v. NASD .................................................10-63, 10-152United States v. Newman .............................. 9-129, 14-189, 14-190,

................................................................ 14-196, 14-197, 14-198United States v. Nicholas A. Rudi ............................................. 15-56United States v. Novak ............................................................ 14-103United States v. O’Grady ......................................................... 15-105United States v. O’Hagan ........9-122, 9-129, 9-130, 10-109, 10-110,

................................... 14-27, 14-28, 14-30, 14-42, 14-51, 14-53,

............................... 14-54, 14-55, 14-56, 14-57, 14-189, 14-190,

........................ 14-191, 14-192, 14-199, 14-200, 14-201, 14-203



United States v. Oren ................................................................ 15-85United States v. Packer .............................................................. 15-86United States v. Peltz ................................................................. 15-75United States v. Robert M. Cochran & Michael B. Garrett ....... 15-87United States v. Ronald A. White, Corey Kemp,

Glenn K. Holck, Stephen M. Umbrell, La-Van Hawkins,Janice Renee Knight, Charles LeCroy, Anthony C. Snell,Denis Carlson, Francis D. McCracken, Jose Mendoza,& Rhonda M. Anderson ................................................... 15-114

United States v. Rubin/Chamber,Dunhill Ins. Servs., Inc. dba Chambers, Dunhill,Rubin & Co. & CDR Fin. Prods., Inc.; David Rubin;Zevi Wolmark, aka Stewart Wolmark; &Evan Andrew Zarefsky ................................. 15-82, 15-87, 15-98

United States v. Rudi ................15-56, 15-60, 15-77, 15-110, 15-111United States v. Runnels ........................................................... 15-96United States v. Rybicki ............................................................. 15-92United States v. Senffer ............................................................. 15-73United States v. Siegel ............................................................... 15-84United States v. Skelly ............................................................... 10-50United States v. Solomon .......................................................... 10-81United States v. Sorich .............................................................. 15-92United States v. Starnes ........................................................... 14-122United States v. Starr ................................................................ 15-90United States v. States ............................................................... 15-88United States v. Szur ................................................................. 10-50United States v. Tagliaferri ........................... 14-103, 14-124, 14-125United States v. Texas ....................................................16-39, 16-47United States v. Wheeler ........................................................... 16-88United States v. Winans .......................................................... 14-190United States v. Wolfson ....................................................7-14, 7-25United States Nat’l Bank v. Fought ........................................... 14-16U.S. Tr. Co. v. First Nat’l City Bank ......................................... 9-133U.S. Tr. Co. v. New Jersey ......................................................... 8-145U.S. Tr. Co. v. State ................................................................... 16-46U.S. Tr. Co. of N.Y. v. Anderson ............................................... 1-108U.S. Tr. Co. of N.Y. v. New Jersey ............................................. 16-46Univ. Hill Found. v. Goldman, Sachs & Co. ........ 7-50, 7-184, 7-185Univ. of Alaska v. Nat’l Aircraft Leasing Ltd. ............................ 2-154Unumprovident Corp. Sec. Litig., In re ................................... 14-154Urbano v. Bd. of Managers of N.J. State Prison ........................ 16-79USA Talks.com Sec. Litig., In re .............................................. 14-143


T–24

VVan Gemert v. Boeing Co. (Van Gemert I) .....................9-142, 9-143Van Gemert v. Boeing Co. (Van Gemert II) ....................9-142, 9-143Velti PLC Sec. Litig., In re ....................................................... 14-120Verifone Sec. Litig., In re ......................................................... 14-135Virginia Bankshares, Inc. v. Sandberg .............................8-81, 14-119Vt. Dep’t of Pub. Servs. v. Mass. Mun. Wholesale Elec. Co. ......... 1-54Va. Bankshares, Inc. v. Sandberg .......................... 8-81, 8-83, 14-119Va. Coupon Cases .................................... 16-55, 16-56, 16-57, 16-64Va. Office for Prot. & Advocacy v. Stewart .....................16-58, 16-59

WWalz v. Tax Comm’n ................................................ 1-26, 1-34, 1-59Warnaco Grp., Inc. Sec. Litig., In re ........................................ 14-156Wash. Pub. Power Supply Sys. Sec. Litig., In re ......1-84, 6-46, 10-105,

............................................................ 14-47, 14-49, 14-50, 14-58,

..................................................14-59, 16-68, 16-71, 16-72, 16-78Weinberger v. Jackson ............. 7-74, 7-95, 7-97, 7-102, 7-116, 7-137Welch v. Tex. Dep’t of Highways & Pub. Transp. ...........16-17, 16-36Wellman v. Dickinson ............................................................... 14-32Weyrauch v. United States ..............................................15-95, 15-96Wharf (Holdings) Ltd. v.

United Int’l Holdings, Inc. ....14-42, 14-43, 14-52, 14-54, 14-91White v. Abrams ...................................................................... 14-104Will v. Mich. Dep’t of State Police ............................................ 16-78Williams Sec. Litig., In re ........................................................ 14-158Winer Family Tr. v. Queen ....................................................... 14-113Winston v. City of Spokane ......................................................... 1-52Wonsover v. SEC ..............................................9-90, 10A-38, 14-123Wood v. Strickland ..........................................................15-18, 15-19Woods v. Barnett Bank .............................................................. 7-142Woods v. Homes & Structures of Pittsburgh, Kan., Inc. ....2-26, 2-64WorldCom, Inc. Sec. Litig., In re .............7-5, 7-10, 7-50, 7-68, 7-69,

...................................................7-98, 7-99, 7-100, 7-101, 7-133,

...............................................7-134, 7-140, 7-145, 7-154, 7-155,

...............................................7-156, 7-157, 7-158, 7-161, 7-162,

........................................................... 7-164, 7-166, 7-171, 7-173Worlds of Wonder Sec. Litig., In re ...................................7-134, 8-81WPP Lux. Gamma Three SARL v. Spot Runner .......................... 9-66W.R. Grace & Co., In re ............................................................ 8-109Wright v. Ernst & Young LLP .................................................. 14-127



YYates v. United States ................................................................ 15-80York v. Guar. Tr. Co. .................................................................. 9-133Young, Ex parte ........................................ 16-57, 16-58, 16-64, 16-65

ZZelman v. Simmons-Harris ...............................................1-26, 1-27Ziemba v. Cascade Int’l, Inc. ..................................................... 14-61Zobrist v. Coal-X, Inc. ............................................................. 14-183


T–26

U.S. CONSTITUTION

Article I ............................... 16-8, 16-9, 16-13, 16-20, 16-22, 16-24,.................................... 16-29, 16-32, 16-37, 16-38, 16-41, 16-49Section 8 ...................................................... 16-26, 16-28, 16-40Section 8, Clause 1 ............................................................. 16-23Section 8, Clause 3 (Indian Commerce Clause) ......16-23, 16-25Section 8, Clause 4 ............................................................. 16-25Section 10 ..................................................................1-44, 16-16Section 10, Clause 1 ........................................................... 8-140

Article III .....................................16-12, 16-13, 16-14, 16-16, 16-17,................................... 16-24, 16-34, 16-39, 16-43, 16-44, 16-47,................................................16-48, 16-49, 16-62, 16-75, 16-89Section 2, Clause 1 ............................................................. 16-15

Article IXSection 9 ............................................................................. 16-85

First Amendment ..................... 1-23, 1-24, 1-27, 1-44, 12-73, 16-27Fifth Amendment ...................................................................... 15-76Tenth Amendment .......................................................10-105, 16-42Eleventh Amendment .............. 15-18, 16-2, 16-3, 16-4, 16-6, 16-10,

................................... 16-11, 16-14, 16-15, 16-16, 16-17, 16-19,

................................... 16-21, 16-22, 16-24, 16-25, 16-28, 16-34,

................................... 16-40, 16-42, 16-43, 16-44, 16-45, 16-46,

................................... 16-48, 16-49, 16-52, 16-53, 16-61, 16-62,

................................... 16-63, 16-65, 16-68, 16-75, 16-76, 16-78,

.................................... 16-79, 16-80, 16-81, 16-83, 16-84, 16-87Fourteenth Amendment

(Due Process Clause) ..............16-6, 16-22, 16-23, 16-24, 16-30,..........................................16-35, 16-40, 16-41, 16-65, 16-76

Section 1 ............................................................................. 16-27Section 5 .................................16-5, 16-11, 16-27, 16-28, 16-29,

.............................. 16-31, 16-32, 16-33, 16-34, 16-37, 16-38Fifteenth Amendment

Section 2 ............................................................................. 16-31



STATUTES

Statutes by Name1894 Act of Congress .................................................................... 2-81953 Uniform Act

§ 101 .................................................................................. 14-252002 Uniform Securities Act

§ 501 .......................................................................14-25, 14-26§ 509 .......................................................................14-25, 14-26§ 509(a) .............................................................................. 14-25§ 509(b) ...................................................................14-25, 14-26

Act of November 12 (Gramm-Leach-Bliley Act) ........................ 10-15Administrative Procedures Act .......2-126, 10-81, 10-82, 15-3, 15-27Age Discrimination in Employment Act 1967

(ADEA) ....................................................................16-29, 16-30American Recovery and Reinvestment Act

(Recovery Act) .........................................................2-140, 2-141,........................................................... 2-143, 2-144, 2-145, 2-146

Americans with Disabilities Act 1990 (ADA) .... 16-30, 16-31, 16-32Anti-Drug Abuse Act of 1988 .................................................... 15-91Bank Holding Company Act of 1956 ........................................ 12-70Banking Act of 1933 .................................................... 10-16, 10A-17Bankruptcy Act .......................................................................... 16-78Civil Rights Act of 1964, title VII ............................................. 16-27Commodities Futures Modernization Act of 2000

§ 301 .................................................................................. 14-87Commodity Exchange Act (CEA)

generally ............................. 2-115, 4-57, 4-72, 4-73, 4-79, 4-80,........................................ 4-83, 7-76, 10A-145, 11-29, 11-71,............................... App. 11A-17, App. 11B-4, 12-16, 14-176

§ 1(a) .................................................................................... 4-58§ 1(a)(32) .............................................................................. 4-58§ 1(a)(33) .....................................................................4-58, 4-66§ 1(a)(42) .............................................................................. 4-58§ 1(a)(43) .............................................................................. 4-58§ 1(a)(47) .................................... 4-58, 4-60, 11-30, App. 11B-3,

..........................................................App. 11B-8, App. 11C-4§ 1(a)(49) .................................................4-58, 4-86, App. 11B-4§ 1a ............................................................................4-58, 11-30§ 1a(12) .......................................................................4-80, 4-82§ 3(a)(66) .............................................................................. 4-58§ 3(a)(67) .............................................................................. 4-58§ 3(a)(68) .................................................4-58, 4-59, App. 11B-8


T–28

§ 3(a)(69) ......................................4-58, App. 11B-3, App. 11B-8§ 3(a)(71) .............................................................................. 4-58§ 3(a)(76) .............................................................................. 4-58§ 4c(a)(7) ............................................................................... 4-72§ 4s(h)(2) .......................................................... 4-86, App. 11B-5§ 4s(h)(4) .......................................................... 4-86, App. 11B-5§ 6s .................................................................... 4-63, 4-66, 4-70§ 6s(h) ................................................................................... 4-70

Comprehensive Environmental Response, Compensation andLiability Act of 1980 (CERCLA) ..............................16-21, 16-22

Credit Rating Reform Act of 2006 .............................................. 3-89Developmental Disabilities Assistance and Bill of Rights Act .... 16-59Dodd-Frank Wall Street Reform and Consumer

Protection Act of 2010generally .......... 1-88, 1-102, 1-118, 1-119, 1-120, 1-126, 2-115,

................. 2-197, 4-5, 4-6, 4-9, 4-10, 4-11, 4-16, 4-19, 4-21,

.......................4-57, 4-70, 4-71, 4-73, 4-80, 4-81, 4-82, 8-12,

.................. 10-49, 10-51, 10-56, 10-58, 10-67, 10-69, 10-70,

................. 10-84, 10-115, 10A-5, 10A-21, 10A-58, 10A-105,

............. 10A-154, 10A-155, 10A-157, 10A-158, 11-4, 11-12,

.................. 11-23, 11-25, 11-27, 11-30, 11-31, 11-32, 11-43,

.................. 11-52, 11-55, 11-57, 11-69, 11-83, 11-96, 11-98,

...........11-108, 11-122, 12-2, 12-3, 12-5, 12-7, 12-11, 12-13,

.................. 12-14, 12-16, 12-18, 12-19, 12-20, 12-26, 12-28,

.................... 12-29, 12-34, 12-40, 12-45, 12-67, 12-68, 14-9,

.............. 14-199, 14-211, 14-212, 15-3, 15-21, 15-38, 15-39,

......15-40, 15-48, 15-67, 15-70, 15-72, 15-73, 15-99, 15-100§ 410 .................................................................................. 12-12§ 413 .................................................................................. 2-197§ 701 .................................................................................... 4-57§ 712 .................................................................................... 4-59§ 721 .................................................................................. 11-30§ 723(a)(2) ............................................................................ 4-79§ 763(e) ................................................................................. 4-80§ 764 ................................................................................ 11-104§ 768(b) ................................................................................ 4-80§ 913 ............................................... 10-49, 10-51, 10-52, 10-54,

....................................................... 10-55, 11-97, 12-4, 12-76§ 922 .................................................................................. 15-23§ 928 .................................................................................. 12-80§ 929P ................................................................................ 15-22§ 932(a)(8) ............................................................................ 4-14§ 941 ............................................................ 4-5, 4-9, 4-12, 4-14§ 942 .................................................................................... 4-13



§ 943 ........................................................ 4-13, 4-19, 4-20, 4-21§ 943(2) ................................................................................ 4-20§ 945 .................................................................................... 4-14§ 951 .................................................................................... 8-12§ 953 .................................................................................... 8-12§ 975 ...................... 4-60, 4-82, 10-54, 11-4, 11-8, 11-29, 11-51§ 977 .........................................................................1-126, 4-55§ 979 .................................................................................. 10-69Title IV ................................................................................. 12-8Title VII ................................................... 4-57, 4-58, 4-59, 4-63,

....................................................4-64, 4-66, 4-70, 4-71, 4-82Economic Growth and

Tax Relief Reconciliation Act of 2001 ................................. 12-63Emergency Economic Stabilization Act of 2008 ........................ 2-146Emergency Moratorium Act for the City of New York .....1-79, 8-174Employee Retirement Income Security Act of 1974

generally ................................................ 2-19, 2-196, 4-55, 4-62,..................................................4-68, 4-71, 4-80, 4-86, 12-50

§ 3 ................................ 4-62, 4-71, 4-74, 4-75, 4-77, 4-78, 4-79title I ..................................................................................... 4-62

Employment Security Amendments of 1970§ 401 .................................................................................... 2-31

Energy Policy Act of 2005 ......................................................... 2-146Fair Labor Standards Act ..................16-8, 16-9, 16-11, 16-20, 16-49Family and Medical Leave Act of 1993 (FMLA) .............16-32, 16-33Federal Civil Penalties Inflation Adjustment Act of 1990 ......... 15-72Federal Deposit Insurance Act .................................................10A-13

§ 3 .............................................................................App. 11C-2Federal Employer ’s Liability Act (FELA) .........................16-20, 16-83Federal Insurance Contributions Act (FICA)

§ 3121 .................................................................................... 2-5§ 4041(g)(2) ............................................................................ 2-6§ 4221(a)(4) ............................................................................ 2-6§ 4253(i) ................................................................................. 2-6

Federal Unemployment Tax Act (FUTA)§ 3306(c)(7) ............................................................................ 2-5

Financial Services Regulatory Relief Act of 2006§ 401 .................................................................................. 10-15

Fixing America’s Surface Transportation Act (FAST Act) .....8-6, 8-58Food, Conservation, and Energy Act of 2008 ............................ 2-146Foreign Sovereign Immunities Act of 1976 ............................... 2-127Glass-Steagall Act

generally ........................ 10-16, 10-21, 10A-12, 10A-14, 10A-17§ 16 ..................................................................................10A-17


T–30

Government Securities Act of 1985 ............................................ 1-42Government Securities Act of 1986 ....................... 1-41, 2-89, 10-61Gramm-Leach-Bliley Act (GLBA)

generally ...............................10-15, 10-16, 10-18, 10-20, 10-21,............................. 10-22, 10-23, 10-24, 10-25, 10-32, 10-33,.....................................10-35, 10-36, 10-41, 10A-17, 10A-23

§ 151 ................................................................................10A-17§ 206 .................................................................................. 10-35§ 206A .....................................................................14-87, 14-88§ 206B ......................................................... 14-86, 14-87, 14-88§ 206C ................................................................................ 14-88Title II ................................................................................ 14-87

Higher Education Act of 1965 ..............1-116, 2-166, 2-167, 4-7, 4-8Hobbs Act ....................................... 15-102, 15-103, 15-104, 15-105,

........................ 15-106, 15-107, 15-109, 15-110, 15-112, 15-113Indian Gaming Regulatory Act (IGRA) .............. 16-23, 16-24, 16-89Insider Trading and Securities Fraud

Enforcement Act of 1988 .................................................. 14-202Investment Advisers Act of 1940

generally ......................... 1-97, 6-64, 7-76, 10-11, 10-12, 10-36,............................. 10-44, 10-49, 10-50, 10-52, 10-55, 10-56,.................... 10A-126, 10A-145, 11-35, 11-40, 11-43, 11-50,......................... 11-68, 11-69, 11-94, 11-97, 11-103, 11-104,...............................11-114, 11-115, 11-117, 11-118, 11-128,.......................App. 11A-17, App. 11B-2, 12-4, 12-14, 12-17,.................. 12-18, 12-20, 12-21, 12-24, 12-45, 12-47, 12-58,................ 12-59, 12-63, 12-69, 12-79, 12-90, 12-94, 14-124,........... 14-175, 14-176, 14-231, 14-214, 15-22, 15-35, 15-40

§ 202 ............................................................App. 11A-18, 12-44§ 202(a)(11) .............................................. 10A-166, App. 11C-3,

..................................................... 12-66, 12-70, 12-71, 12-74§ 202(a)(11)(D) ................................................................... 12-73§ 202(a)(11)(E) .................................................................... 12-75§ 202(a)(22) ........................................................................ 2-196§ 202(a)(29) .......................................................................... 12-9§ 202(a)(ii) .......................................................................... 12-22§ 202(b) .............................................. 12-6, 12-60, 12-61, 12-66§ 203 ..............................................................10A-102, 10A-126§ 203(a) .............................................................................. 12-70§ 203(b) .....................................12-7, 12-9, 12-40, 12-70, 12-71§ 203(b)(3) ............................................ 12-8, 12-9, 12-29, 12-62§ 203(e) ............................................................................... 12-41§ 203(f) ....................................................................12-41, 15-48§ 203(i)(1) ................................................................15-70, 15-72



§ 203(l) ........................ 12-9, 12-11, 12-12, 12-29, 12-40, 12-41§ 203(m) ...................... 12-9, 12-10, 12-12, 12-29, 12-40, 12-41§ 203A .............................................. 12-12, 12-44, 12-66, 12-67§ 203A(b)(1) .......................................................................... 12-5§ 204(b) .............................................................................. 12-11§ 205 .................................................................................. 12-80§ 205(a)(1) .......................................................................... 12-80§ 205(b) .............................................................................. 12-80§ 206 ......................................6-65, 10-49, 11-94, 12-28, 12-48,

.........................................12-54, 12-76, 12-77, 12-78, 12-82,

................................................... 12-85, 12-92, 12-93, 14-124§ 206(1) ....................................................... 12-28, 12-38, 12-55§ 206(2) ....................................................... 12-28, 12-38, 12-55§ 206(3) ............... 10-52, 10-57, 11-114, 11-115, 11-117, 12-85§ 206(4) ....................................................... 12-28, 12-38, 12-41§ 211 .................................................................................. 10-51§ 211(g) ....................................................................10-51, 10-54§ 217 .....................................................................14-124, 15-74§ 222 .......................................................................12-66, 12-68

Investment Advisers Supervision Coordination Act .................. 12-66Investment Company Act of 1940

generally ............................. 1-83, 1-84, 1-88, 1-97, 1-119, 2-78,................................ 2-151, 3-3, 3-15, 3-43, 3-45, 3-49, 3-58,................................ 3-60, 3-63, 3-64, 3-68, 3-83, 4-80, 6-64,................................... 7-64, 7-76, 8-76, 9-123, 10-36, 10-40,...................................10-44, 10-97, 10-130, 10A-13 10A-24,.................................. 10A-126, 10A-141, 10A-142, 10A-143,.................................... 10A-145, 12-12, 12-43, 12-45, 12-65,.........................................12-67, 12-82, 12-90, 14-18, 14-24,......................................14-175, 14-176, 15-22, 15-35, 15-40

§ 1 ........................................................................................ 3-43§ 1(b) .................................................................................... 3-44§ 2(a) ...........................................................................3-21, 3-78§ 2(a)(4) ................................................................................ 3-24§ 2(a)(8) .......................................................................3-23, 3-26§ 2(a)(16) .............................................................................. 3-81§ 2(a)(20) ............................................................................ 12-61§ 2(a)(22) ................................................ 2-196, 3-20, 3-23, 3-26§ 2(a)(28) .............................................................................. 3-26§ 2(a)(32) .................................................... 3-7, 3-43, 3-69, 3-74§ 2(a)(36) ........................................................... 3-34, 3-48, 3-53§ 2(a)(37) .............................................................................. 3-24§ 2(a)(41) ...................................................................3-78, 12-48§ 2(a)(51) .............................................................................. 3-72


T–32

§ 2(a)(51)(A) ........................................................................ 12-81§ 2(b) ......................... 2-139, 3-12, 3-20, 3-21, 3-22, 3-25, 3-26,

.......................3-27, 3-28, 3-29, 3-30, 3-31, 3-32, 3-33, 3-34,

.......................3-35, 3-36, 3-37, 3-38, 3-39, 3-40, 3-41, 3-42,

.......................3-47, 3-54, 3-57, 3-58, 3-66, 3-67, 3-74, 3-75,

........................... 3-76, 3-85, 3-86, 4-4, 6-17, 10A-24, 12-56,

.............................. 12-57, 12-59, 12-60, 12-61, 12-62, 12-63§ 3 .......................................................................... 6-17, 10A-24§ 3(a) ....................... 2-81, 2-190, 2-191, 3-11, 3-17, 3-21, 3-22,

................................ 3-23, 3-24, 3-26, 3-27, 3-31, 3-34, 3-50,

..................................................3-57, 3-76, 4-5, 12-39, 12-40§ 3(a)(1) .................................. 3-6, 3-11, 3-12, 3-14, 3-15, 3-20,

................................................3-49, 3-55, 3-56, 13-31, 13-32§ 3(a)(1)(A) ......................................................... 3-12, 3-13, 3-54§ 3(a)(1)(C) ........................................................................... 3-13§ 3(a)(2) ............................................................. 3-28, 3-29, 8-25§ 3(b)(5) ................................................................................ 3-24§ 3(c) ........................................................ 3-21, 3-22, 3-23, 3-25,

..................................................3-26, 3-57, 3-67, 3-76, 12-61§ 3(c)(1) ................................ 3-21, 3-67, 3-68, 3-70, 3-71, 3-72,

.................................... 3-73, 12-8, 12-9, 12-10, 12-39, 12-40§ 3(c)(2) .................................................... 3-25, 3-66, 3-73, 3-74§ 3(c)(3) ...........................................3-21, 3-22, 3-25, 3-30, 3-51§ 3(c)(5) .......................................................................3-55, 3-74§ 3(c)(5)(A) ................................................ 3-54, 3-55, 3-58, 3-75§ 3(c)(5)(B) ............................................................................ 3-54§ 3(c)(5)(C) .................... 3-17, 3-42, 3-43, 3-54, 3-55, 3-58, 3-75§ 3(c)(7) .................... 3-67, 3-72, 3-73, 12-8, 12-9, 12-10, 12-39§ 3(c)(7)(B) ............................................................................ 3-73§ 3(c)(10) .............................................................................. 3-25§ 3(c)(10)(B) ........................................................................ 2-151§ 3(c)(11) ...................................................................3-24, 12-39§ 3(d) .................................................................................... 12-6§ 4 ....................................................................... 3-9, 3-14, 3-19§ 4(2) ...............................................................................3-6, 3-7§ 5 ..................................................................................3-8, 3-9§ 6(a) .................................................................................... 3-25§ 6(c) ............................................................................3-42, 3-43§ 8 .......................................................................................... 3-6§ 9(d)(1) ...................................................................15-70, 15-72§ 10(f) ................................................................................... 3-10§ 15(A) ................................................................................ 12-46§ 17(a) .........................................................................3-10, 3-11



§ 18 ........................................................................................ 3-9§ 18(a) .................................................................................... 3-9§ 22 .................................................................................... 12-48§ 22(c) ................................................................................. 12-48§ 22(e) ..........................................................................3-69, 3-94§ 26 .................................................................................3-5, 3-6§ 27 ........................................................................................ 3-5§ 30 .................................................................................... 9-124§ 34 ...................................................................................... 8-76§ 37 .................................................................................... 15-74

JOBS Act of 2012generally .........2-191, 2-198, 2-207, 2-218, 5-5, 5-6, 8-6, 14-19§ 201(a) .............................................................................. 2-213§ 401 .................................................................................. 2-218

Judiciary Act of 1789§ 34 .................................................................................... 16-14

Mail Fraud Statute of 1972 .................... 15-83, 15-84, 15-85, 15-86,........................................................... 15-87, 15-88, 15-89, 15-90

Maloney Act of 1938generally ...............................1-117, 10-59, 10-61, 10-63, 10-70,

................................... 10-72, 10-73, 10-131, 10-149, 10A-10§ 15A .................................................................................. 10-59

Municipal Securities Act of 1973 .............................................. 10-16Municipal Securities Act of 1974 ................................................ 1-97National Industrial Recovery Act (NIRA) ................................ 10-131National Securities Markets Improvement

Act of 1996 ...................................... 10-94, 12-12, 12-66, 13-33,........................................................... 13-36, 14-18, 14-25, 14-77

Patent and Plant Variety ProtectionRemedy Clarification Act .................................................... 16-28

Pennsylvania’s Intergovernmental Cooperation Act .................... 3-33Personal Property Law

§ 33 ...................................................................................... 5-52§ 152 .................................................................................... 5-52

Private Fund Investment Advisers RegistrationAct of 2010 ...................................................... 12-8, 12-9, 12-10

Private Securities Litigation Reform Act of 1995generally ......................... 1-120, 7-134, 7-172, 8-84, 8-87, 14-8,

............................... 14-9, 14-12, 14-13, 14-14, 14-22, 14-23,

....................... 14-24, 14-60, 14-89, 14-107, 14-110, 14-112,

..................................14-114, 14-152, 14-153, 14-154, 15-21§ 104 .................................................................................. 14-60

Public Securities Act of 1985 ....................................................... 1-42Public Utility Holding Company Act of 1935

§ 30 ...................................................................................... 3-43


T–34

Rehabilitation Act§ 504 .................................................................................. 16-34

Religious Freedom Restoration Act 1993(RFRA) ......................................................... 16-27, 16-28, 16-37

Religious Land Use and Institutionalized PersonsAct of 2000 (RLUIPA) ......................................................... 16-38

Remedies Act of 1990 ......... 15-3, 15-40, 15-43, 15-48, 15-49, 15-69Revenue Act of 1926

§ 1203(b)(6) ............................................................................ 2-8Revenue Act of 1932 ................................................................... 2-10Revenue Act of 1936 ..........................................................2-10, 2-11Revenue Act of 1938 ................................................................... 2-10Revised Uniform Securities Act of 1985 ................................... 14-25Rural Electrification Act ............................................................ 2-147Sarbanes-Oxley Act of 2002

generally .....................................1-120, 1-123, 8-13, 8-16, 8-19,..............................................8-34, 9-10, 15-36, 15-48, 15-71

§ 3 ........................................................................................ 8-34§ 108 .................................................................................. 8-103§ 302 ...................................... 1-120, 1-123, 1-124, 9-9, 10A-13§ 303 ................................................................................10A-13§ 304 ................................................................................10A-13§ 306 ................................................................................10A-13§ 308 .................................................................................. 15-70§ 401(b) ............................................................................10A-13§ 404 ............................................................... 8-13, 9-9, 10A-13§ 406 .................................................................... 10-98, 10A-13§ 407 .................................................................... 10-98, 10A-13

Secondary Mortgage Market Enhancement Act of 1983 ............. 2-74Securities Act of 1933

generally ...............1-7, 1-11, 1-12, 1-13, 1-30, 1-38, 1-40, 1-48,.......................1-50, 1-57, 1-62, 1-71, 1-83, 1-86, 1-88, 1-95,...............1-96, 1-97, 1-98, 1-99, 1-100, 1-105, 1-106, 1-107,.................. 1-109, 1-110, 1-111, 1-112, 1-115, 1-116, 1-117,............... 1-119, 1-122, 1-125, 2-4, 2-5, 2-6, 2-8, 2-11, 2-13,............. 2-14, 2-15, 2-17, 2-24, 2-27, 2-28, 2-29, 2-30, 2-31,............. 2-32, 2-33, 2-35, 2-36, 2-37, 2-38, 2-39, 2-40, 2-42,............. 2-43, 2-51, 2-52, 2-53, 2-55, 2-69, 2-71, 2-72, 2-73,............. 2-74, 2-77, 2-81, 2-82, 2-83, 2-84, 2-85, 2-86, 2-87,.................2-88, 2-90, 2-95, 2-97, 2-99, 2-100, 2-104, 2-105,.................. 2-107, 2-110, 2-111, 2-112, 2-113, 2-117, 2-118,.................. 2-119, 2-120, 2-121, 2-124, 2-125, 2-126, 2-136,.................. 2-139, 2-140, 2-143, 2-144, 2-147, 2-149, 2-150,.................. 2-152, 2-153, 2-154, 2-155, 2-156, 2-157, 2-162,.................. 2-163, 2-164, 2-166, 2-167, 2-168, 2-169, 2-170,



.................. 2-171, 2-172, 2-173, 2-178, 2-179, 2-181, 2-186,

.................. 2-188, 2-189, 2-195, 2-202, 2-215, 2-218, 2-219,

.................2-220, 2-221, 2-222, 3-12, 3-17, 3-26, 3-28, 3-29,

................... 3-30, 3-39, 3-40, 3-42, 3-62, 3-76, 4-4, 4-8, 4-9,

............... 4-10, 4-13, 4-16, 4-18, 5-7, 5-16, 5-19, 5-39, 5-51,

............... 5-84, 5-91, 5-97, 6-56, App. 6C-1, 7-4, 7-24, 7-44,

............. 7-60, 7-68, 7-83, 7-122, 8-4, 8-13, 8-24, 8-26, 8-27,

............... 8-53, 8-70, 8-73, 8-79, 8-85, 8-102, 9-6, 9-8, 9-13,

...................9-26, 9-27, 9-38, 9-43, 9-71, 9-90, 9-100, 9-114,

.................... 9-117, 9-134, 9-136, 10-8, 10-19, 10-28, 10-43,

....................... 10-50, 10-61, 10-62, 10-100, 10-104, 10-106,

................10-108, 10-133, 10-136, 10A-12, 10A-13, 10A-17,

.......... 10A-28, 10A-38, 10A-58, 10A-77, 10A-106, 10A-145,

.................. 11-24, 11-51, 12-20, 12-22, 12-49, 12-58, 12-59,

.............12-63, 12-64, 12-65, 14-3, 14-6, 14-7, 14-18, 14-19,

.................. 14-22, 14-28, 14-39, 14-40, 14-45, 14-46, 14-47,

....................... 14-70, 14-74, 14-98, 14-122, 14-135, 14-175,

....14-176, 14-206, 15-10, 15-22, 15-40, 15-69, 15-83, 16-40§ 1 ...................................................................................... 7-133§ 2 ...................................................................................... 1-106§ 2(1) .................................... 2-30, 2-33, 2-47, 2-50, 2-54, 2-64,

.................................... 2-90, 2-91, 2-112, 2-130, 2-132, 15-9§ 2(2) .......................................................................2-129, 2-130§ 2(3) .............................................................................5-6, 5-12§ 2(4) .................................................................................. 2-129§ 2(11) ......................4-33, 5-7, 6-80, 7-5, 7-7, 7-10, 7-13, 7-14,

.......................7-17, 7-18, 7-19, 7-20, 7-21, 7-23, 7-29, 7-30,

................................. 7-32, 7-35, 7-36, 7-37, 7-47, 7-56, 7-58§ 2(12) .................................................................................. 7-25§ 2(a)(1) ................1-7, 2-28, 2-29, 2-38, 2-43, 2-44, 2-47, 2-51,

.......................2-53, 2-59, 2-60, 2-69, 2-70, 2-71, 2-80, 2-91,

.......................... 2-93, 2-94, 2-96, 2-99, 2-100, 2-104, 2-115,

.................................................2-221, 3-22, 3-48, 4-44, 8-73,

..................................................... 14-45, 14-46, 14-87, 14-88§ 2(a)(2) .......................................................................15-7, 16-4§ 2(a)(3) ................................... 5-8, 5-11, 5-12, 5-71, 5-85, 7-12§ 2(a)(4) .................................................................................. 3-6§ 2(a)(6) .................................................................................. 2-4§ 2(a)(10) .................................................... 5-8, 5-13, 5-17, 6-12§ 2(a)(11) ................................2-190, 2-210, 2-212, 7-50, 7-180,

................... 7-181, 7-182, 9-104, 11-51, 11-59, App. 11A-17§ 2(a)(12) ................................................................................ 6-6§ 2(a)(15) .................................................................7-180, 7-182§ 2A .........................................................................2-115, 14-75


T–36

§ 3 .................................... 1-106, 2-27, 2-38, 2-42, 2-84, 2-147,........................................ 2-166, 4-80, 5-4, 7-8, 7-133, 7-138

§ 3(a) ..................................................... 1-7, 2-81, 2-190, 2-191,............................................10-47, 10-61, 10-62, 14-7, 14-18

§ 3(a)(1) ................................................................................ 3-11§ 3(a)(2) ................. 1-12, 1-38, 1-401-105, 1-106, 1-107, 1-110,

................. 1-111, 1-112, 2-4, 2-5, 2-6, 2-8, 2-11, 2-13, 2-14,

............. 2-15, 2-17, 2-24, 2-27, 2-28, 2-29, 2-30, 2-31, 2-32,

............. 2-33, 2-35, 2-36, 2-37, 2-38, 2-39, 2-40, 2-42, 2-43,

............. 2-51, 2-52, 2-53, 2-55, 2-69, 2-71, 2-72, 2-73, 2-74,

............. 2-77, 2-81, 2-82, 2-83, 2-84, 2-85, 2-86, 2-87, 2-88,

...............2-90, 2-95, 2-97, 2-99, 2-100, 2-104, 2-105, 2-107,

.................. 2-110, 2-111, 2-112, 2-113, 2-117, 2-118, 2-119,

.................. 2-120, 2-121, 2-124, 2-125, 2-126, 2-136, 2-139,

.................. 2-140, 2-143, 2-144, 2-147, 2-149, 2-150, 2-152,

.................. 2-153, 2-154, 2-155, 2-156, 2-157, 2-162, 2-163,

.................. 2-164, 2-166, 2-167, 2-168, 2-169, 2-170, 2-171,

.................. 2-172, 2-173, 2-178, 2-179, 2-181, 2-186, 2-188,

.................. 2-189, 2-195, 2-202, 2-215, 2-218, 2-219, 2-220,

...................2-221, 2-222, 3-12, 3-17, 3-26, 3-28, 3-29, 3-30,

................... 3-39, 3-40, 3-42, 3-62, 3-76, 4-4, 4-8, 4-9, 4-10,

............... 4-13, 4-16, 4-18, 4-79, 5-4, 5-43, 5-51, 5-85, 6-40,

........... 6-87, 6-100, 7-18, 7-33, 7-35, 7-36, 7-39, 7-49, 7-59,

...................7-62, 7-63, 7-64, 7-65, 7-72, 7-82, 7-138, 7-147,

.................7-183, 8-25, 8-184, 9-4, 9-10, 9-115, 9-133, 10-3,

............. 10-24, 10-62, 10-105, 10A-9, 10A-12, 11-24, 13-16,

................... 14-7, 14-18, 14-24, 14-76, 14-162, 15-15, 16-88§ 3(a)(3) ...............2-82, 6-40, 6-41, 7-48, 7-49, 7-82, 8-32, 8-73§ 3(a)(4) ..........1-38, 1-39, 1-106, 2-24, 2-29, 2-33, 2-81, 2-117,

.................. 2-120, 2-121, 2-150, 2-151, 2-152, 2-153, 2-154,

.................. 2-155, 2-156, 2-163, 2-164, 2-165, 2-166, 2-167,

.................. 2-168, 2-169, 2-170, 2-172, 2-173, 2-174, 2-175,

.................. 2-176, 2-177, 2-178, 2-179, 2-180, 2-181, 2-182,

...................... 2-184, 2-185, 2-186, 2-187, 2-188, 2-189, 4-4,

............................. 7-138, 9-10, 10-8, 10A-12, 10A-22, 14-18§ 3(a)(5) .......................................................................2-72, 2-84§ 3(a)(8) ..............2-49, 2-50, 2-51, 2-53, 2-73, 2-77, 2-79, 2-82,

........................... 2-83, 2-84, 2-89, 2-101, 2-104, 3-62, 7-138§ 3(a)(9) .................................................................................. 9-7§ 3(a)(10) ................................................ 2-91, 9-7, 10-27, 14-18§ 3(a)(11) ............................................................................ 14-18§ 3(a)(12) .......................................................9-7, 10-117, 10A-9§ 3(a)(14) ...................................................................7-49, 7-138§ 3(b) ............................................... 2-195, 2-206, 2-207, 2-218,

....................................................... 5-43, 7-182, 10-24, 14-19



§ 3(b)(1) .............................................................................. 2-218§ 3(b)(2) .............................................................................. 14-20§ 3(b)(2)–(5) ........................................................................ 2-218§ 3(d) .................................................................................... 9-39§ 4 ................................ 2-38, 2-117, 2-166, 2-190, 2-191, 4-80,

............................... 5-4, 7-8, 7-25, 7-31, 7-36, 7-138, 10-117§ 4(1) ........................... 2-190, 2-191, 2-212, 6-6, 7-8, 7-9, 7-12,

................................ 7-17, 7-18, 7-21, 7-22, 7-25, 7-29, 7-37,

.................................... 7-38, 7-58, 7-59, 7-180, 7-181, 9-109§ 4(1½) ......................................................................2-212, 7-59§ 4(2) ........................ 2-110, 2-191, 2-217, 2-218, 2-219, 2-220,

...........................3-6, 3-67, 6-87, 7-9, 7-17, 7-32, 7-33, 7-35,

.............................. 7-36, 7-37, 7-39, 7-59, 7-62, 7-95, 7-179,

................... 7-180, 7-181, 7-182, 7-183, 9-109, 10-24, 14-24§ 4(3) ................ 5-19, 6-4, 6-6, 6-7, 6-8, 6-14, 6-37, 6-41, 6-52,

......................................... 6-53, 6-57, 6-59, 6-60, 6-61, 6-62,

......................................................App. 6C-2, 7-8, 7-25, 7-26§ 4(3)(B) ................................................................................ 5-19§ 4(4) .................................................................................... 7-25§ 4(5) .................................................................................. 10-24§ 4(a)(1) ............................................ 2-190, 2-191, 2-210, 2-212§ 4(a)(2) ................................2-190, 2-191, 2-192, 2-193, 2-194,

.........................................2-195, 2-206, 2-207, 2-210, 2-212,

....................... 2-213, 2-214, 2-219, 2-223, 3-68, 8-25, 14-19§ 4(a)(3) ......................................................... 2-191, 2-210, 5-19§ 4(a)(3)(B) ............................................................................ 5-19§ 5 ..........................1-7, 1-38, 2-4, 2-24, 2-27, 2-31, 2-65, 2-89,

............................. 2-117, 2-124, 2-132, 2-137, 2-190, 2-191,

............................. 2-194, 2-195, 2-204, 2-207, 2-210, 2-212,

............................ 2-214, 2-218, 2-220, 3-6, 3-22, 3-28, 3-29,

.............................3-41, 5-4, 5-5, 5-9, 5-10, 5-12, 5-18, 5-19,

...........................5-20, 5-22, 5-23, 5-43, 5-51, 5-84, 6-5, 6-6,

.........................6-57, 6-59, 6-87, 6-101, 7-8, 7-9, 7-10, 7-18,

.......................7-20, 7-21, 7-22, 7-25, 7-26, 7-32, 7-59, 7-71,

............................... 7-82, 7-120, 7-121, 7-123, 7-133, 7-138,

................................ 7-179, 8-73, 10-24, 10-62, 14-7, 14-162§ 5(a) ....................................................2-61, 5-6, 5-8, 5-9, 5-10,

....................................................5-12, 5-13, 5-14, 5-17, 6-98§ 5(a)(1) ................................................................................ 7-12§ 5(b) ........................................... 5-6, 5-7, 5-12, 5-13, 6-5, 6-80§ 5(b)(1) .............................................5-9, 5-14, 6-12, App. 6C-2§ 5(b)(2) .................................. 5-17, 5-18, 6-6, 6-13, 6-37, 6-41,

.......................................... 6-57, 6-58, 6-59, 6-60, App. 6C-2§ 5(c) ............................................ 5-6, 5-7, 5-12, 5-13, 6-5, 6-80


T–38

§ 5(e) ..................................................................................... 4-80§ 7 ......................................... 4-13, 4-14, 5-14, 7-133, 9-4, 14-7§ 7(a) .................................................................................. 7-133§ 8 ....................................................................... 5-9, 5-10, 14-7§ 8(a) ...........................................................................5-15, 5-17§ 8(c) ..................................................................................... 5-18§ 8(d) ...........................................................................7-15, 7-74§ 8A ...........9-86, 9-87, 9-89, 14-122, 15-7, 15-30, 15-70, 15-72§ 9 ........................................................................................ 14-7§ 9(e) ................................................................................... 14-16§ 10 .............................................. 2-27, 5-5, 5-7, 5-8, 5-9, 5-12,

........................................ 5-13, 5-14, 6-6, 6-101, 7-137, 14-7§ 10(a) ............................................5-13, 5-14, 5-17, 5-18, 6-10,

........................................ 6-58, 6-59, 6-60, App. 6C-3, 7-133§ 10(a)(1) .............................................................................. 5-18§ 10(a)(3) .............................................................................. 6-58§ 10(b) ................5-13, 5-14, 5-88, 8-10, 8-21, 8-25, 8-31, 8-69,

........................ 9-115, 14-7, 14-8, 14-9, 14-12, 14-13, 14-14,

.................. 14-15, 14-26, 14-27, 14-30, 14-32, 14-34, 14-39,

.................. 14-40, 14-41, 14-44, 14-48, 14-51, 14-52, 14-59,

.................. 14-60, 14-61, 14-62, 14-64, 14-66, 14-67, 14-68,

.................. 14-69, 14-70, 14-74, 14-76, 14-84, 14-85, 14-88,

......................... 14-89, 14-93, 14-95, 14-98, 14-103, 14-104,

...............................14-105, 14-106, 14-107, 14-113, 14-114,

...............................14-120, 14-121, 14-127, 14-134, 14-137,

................................14-151, 14-152, 14-155, 14-191, 14-198§ 11 ......................1-96, 5-4, 5-14, 5-18, 5-42, 5-43, 5-44, 5-84,

............... 6-57, 7-9, 7-10, 7-11, 7-18, 7-21, 7-22, 7-36, 7-48,

............. 7-49, 7-69, 7-70, 7-71, 7-72, 7-82, 7-87, 7-90, 7-97,

...........7-98, 7-99, 7-100, 7-119, 7-120, 7-121, 7-123, 7-132,

.................. 7-133, 7-134, 7-135, 7-137, 7-138, 7-139, 7-140,

.................. 7-141, 7-144, 7-145, 7-147, 7-149, 7-150, 7-151,

.................. 7-152, 7-155, 7-156, 7-164, 7-169, 7-170, 7-171,

.................. 7-172, 7-173, 7-175, 7-176, 7-177, 7-183, 7-186,

.................... 7-187, 9-47, 11-51, 14-7, 14-16, 14-47, 14-117,

...................... 14-119, 14-120, 14-121, 14-122, 15-15, 15-16§ 11(a) .........................................5-13, 5-18, 5-42, 7-119, 7-159§ 11(b) .....................................................................7-119, 7-134§ 11(c) ................................................................................. 7-150§ 11(f) ..........................................................................5-42, 5-44§ 12 ......................... 2-27, 2-28, 2-191, 2-194, 6-57, 7-36, 7-70,

............................. 7-71, 7-72, 7-141, 7-183, 1-96, 9-47, 14-7§ 12(1) .................................................................................. 6-60§ 12(2) .................... 2-89, 5-44, 7-81, 7-82, 7-120, 7-139, 7-152



§ 12(a)(2) ..................... 5-18, 5-70, 5-71, 5-83, 5-84, 5-85, 5-86,.......................... 7-36, 7-49, 7-50, 7-69, 7-133, 7-137, 7-138,................... 7-139, 7-140, 7-144, 7-145, 7-147, 14-26, 14-47

§ 13 ...................................................................................... 5-19§ 14 ...................................................................................... 5-81§ 14(e) ................................................ 9-115, 14-4, 14-32, 14-33,

..................................................... 14-35, 14-36, 14-37, 14-39§ 15(c) ................................................................................... 5-88§ 15(c)(2) .................................................................14-28, 14-40§ 15(c)(2)(b)–(h) ...........................................................App. 6C-1§ 15B(d) .............................................................................. 16-48§ 15B(d)(1) ...........................................................10-104, 10-107§ 15B(d)(2) ........................................................................ 10-104§ 17 .................................... 1-96, 1-99, 1-106, 2-27, 2-89, 4-32,

........................................... 5-4, 6-57, 8-73, 9-4, 9-45, 10-62,

............................................10-100, 12-54, 12-78, 15-5, 16-5§ 17(a) ......................... 5-83, 5-84, 5-88, 5-90, 5-91, 5-94, 5-96,

.......................6-44, 6-65, 7-18, 7-49, 7-70, 7-72, 7-76, 7-78,

................7-81, 7-85 7-145, 7-146, 7-147, 7-183, 8-23, 8-27,

.................8-31, 8-33, 8-34, 8-99, 8-104, 9-84, 9-106, 9-114,

...........9-115, 10-103, 10-147, 14-3, 14-7, 14-8, 14-9, 14-17,

.............. 14-26, 14-40, 14-70, 14-86, 14-98, 14-121, 14-163,

................................... 15-6, 15-8, 15-9, 15-29, 15-51, 15-54,

....................................................... 15-85, 16-4, 16-11, 16-39§ 17(a)(1) .................................................................7-116, 7-146§ 17(a)(2) ............5-18, 5-70, 5-71, 5-83, 5-84, 5-85, 5-86, 7-82,

.................... 7-116, 7-126, 7-127, 7-146, 7-147, 7-164, 8-33,

................... 9-75, 9-86, 9-87, 9-89, 10-122, 10-124, 10A-28,

........................................ 10A-38, 14-8, 14-71, 14-74, 14-98,

.......................................................... 14-122, 14-163, 14-167§ 17(a)(3) ...................... 7-81, 7-82, 7-116, 7-126, 7-127, 7-146,

.................................. 7-147, 7-164, 10-122, 10-124, 10A-28,

............... 14-8, 14-71, 14-74, 14-98, 14-163, 14-164, 14-167§ 17(c) .............................................................. 2-27, 2-55, 10-62§ 18 .................................................. 14-16, 14-20, 14-21, 14-77§ 18(a) ................................................................................ 14-18§ 18(b) .....................................................................14-18, 14-20§ 18(b)(1) .................................................................14-24, 14-76§ 18(b)(2) .................................................................14-24, 14-76§ 18(b)(3) .................................................................14-18, 14-20§ 18(b)(4) .................................................................14-24, 14-76§ 18(c) ......................................................................14-22, 14-77§ 18(c)(2)(A) ........................................................................ 14-19§ 19 ...........................................................................8-103, 15-6


T–40

§ 19(a) .................................................................................. 5-11§ 19(b) .....................................................................15-25, 15-27§ 19(d)(1) ............................................................................ 2-206§ 20(b)–(d) ............................................................................. 15-7§ 20(d)(2) ............................................................................ 15-72§ 21(a)(2) .............................................................................. 4-18§ 24 ................................................ 14-122, 14-124, 15-7, 15-74§ 27A .................................................................................... 8-85§ 28 .................................................................................... 14-19

Amendments of 1954 .................................................................. 5-11Amendments of 1975 ..................................... 1-40, 1-97, 1-41, 1-42,

................................................ 10-60, 10-105, App. 11A-3, 13-22Securities Exchange Act of 1934

generally .............1-12, 1-30, 1-39, 1-40, 1-41, 1-46, 1-48, 1-50,.......................1-57, 1-62, 1-71, 1-86, 1-88, 1-96, 1-97, 1-98,.................... 1-99, 1-100, 1-105, 1-106, 1-108, 1-109, 1-110,.................. 1-111, 1-112, 1-113, 1-115, 1-116, 1-117, 1-119,...................... 1-120, 1-122, 1-123, 1-124, 1-125, 2-11, 2-26,.......................2-42, 2-44, 2-48, 2-55, 2-57, 2-59, 2-60, 2-63,...................2-68, 2-69, 2-80, 2-82, 2-91, 2-98, 2-106, 2-115,.................. 2-126, 2-139, 2-147, 2-148, 2-149, 2-152, 2-155,.................. 2-157, 2-174, 2-186, 2-187, 2-188, 2-189, 2-190,.................. 2-203, 2-204, 2-211, 2-214, 2-220, 2-221, 2-222,............... 2-223, 3-3, 3-26, 3-32, 3-39, 3-49, 3-53, 4-5, 4-12,............... 4-57, 4-58, 4-61, 4-62, 4-66, 4-79, 4-83, 4-85, 5-7,............. 5-16, 5-17, 5-19, 5-39, 5-91, 5-94, 5-96, 5-97, 6-21,............... 6-82, 6-106, 7-4, 7-9, 7-25, 7-26, 7-64, 7-68, 7-89,.................. 7-116, 7-149, 7-151, 7-154, 7-155, 7-162, 7-163,............. 7-181, 7-184, 8-4, 8-9, 8-13, 8-25, 8-31, 8-38, 8-39,.....................8-43, 8-47, 8-59, 8-70, 8-73, 8-79, 8-85, 8-111,.................... 8-113, 8-116, 8-188, 9-23, 9-117, 9-121, 9-136,...................... 10-3, 10-8, 10-10, 10-15, 10-16, 10-18, 10-19,.................. 10-20, 10-21, 10-23, 10-26, 10-40, 10-41, 10-45,.................. 10-50, 10-53, 10-57, 10-58, 10-59, 10-60, 10-61,.................. 10-61, 10-62, 10-63, 10-64, 10-65, 10-69, 10-70,.................. 10-74, 10-77, 10-82, 10-84, 10-86, 10-88, 10-89,....................... 10-91, 10-95, 10-99, 10-100, 10-106, 10-107,................. 10-112, 10-113, 10-147, 10-148, 10-149, 10-150,........... 10-151, 10-152, 10A-4, 10A-5, 10A-6, 10A-8, 10A-9,.............. 10A-10, 10A-12, 10A-13, 10A-14, 10A-16, 10A-22,.............. 10A-23, 10A-28, 10A-38, 10A-57, 10A-58, 10A-65,...................... 10A-77, 10A-93, 10A-103, 10A-146, 10A-152,..........................10A-158, 10A-164, 11-117, 11-119, 11-131,.................. 11-132, 12-4, 12-21, 12-22, 12-25, 12-29, 12-47,.................. 12-49, 12-58, 12-59, 12-63, 12-66, 12-69, 12-85,



........................ 13-13, 13-39, 14-3, 14-4, 14-7, 14-16, 14-17,

.................. 14-18, 14-22, 14-23, 14-29, 14-31, 14-40, 14-45,

........................... 14-70, 14-76, 14-84, 14-87, 14-98, 14-122,

...............................14-135, 14-136, 14-161, 14-162, 14-168,

...................................14-203, 14-206, 14-210, 15-10, 15-37,

..................................................... 15-40, 15-50, 15-83, 16-49§ 2 ........................................................................................ 6-36§ 2(a)(10) ............................................................................ 2-221§ 3 ...................................................................6-36, 6-75, 10A-8§ 3(a) ...........................................4-5, 4-58, 10-47, 10-62, 10-90§ 3(a)(1) ...................................................................13-31, 13-32§ 3(a)(2) ......................... 1-112, 2-11, 5-4, 10-150, 10-151, 14-7§ 3(a)(3) ..............................................................................10A-4§ 3(a)(4) .......................... 6-75, 6-76, 10-3, 10-15, 10-16, 10-18,

...................................... 10-22, 10-23, 10-36, 10-37, 10A-12,

............................................................ 10A-22, 11-130, 13-16§ 3(a)(4)(B) .......................................................................... 10-36§ 3(a)(4)(B)(v) ............................................................. App. 11B-4§ 3(a)(4)(B)(vi) ..................................................................... 10-37§ 3(a)(4)(B)(vii) .................................................................... 10-24§ 3(a)(4)(B)(x) ...................................................................... 10-21§ 3(a)(5) ............................................. 10-5, 10-15, 10-16, 10-17,

..................................................... 10-22, 10-23, 10-33, 13-16§ 3(a)(5)(C) ......................................................................... 10-33§ 3(a)(6) ............................................ 10-15, 10A-12, App. 11B-4§ 3(a)(8) .......................................................................9-7, 11-44§ 3(a)(9) ..................................................... 9-7, 9-21, 9-37, 10-3,

................................................ 10A-22, 10A-147, 12-60, 15-7§ 3(a)(10) ........................................1-110, 2-91, 7-49, 8-73, 9-7,

................................ 10-27, 14-45, 14-46, 14-87, 14-88, 15-9§ 3(a)(11) .......................................................................... 10-117§ 3(a)(12) .......................... 1-41, 1-97, 1-110, 2-42, 2-79, 2-154,

.........................................2-155, 2-164, 2-172, 2-174, 2-186,

........................................... 2-187, 6-75, 9-6, 9-7, 9-8, 10-19,

.......................................10-20, 10-34, 10-36, 10-92, 10-117,

..........................................12-71, 12-75, 14-29, 14-30, 15-39§ 3(a)(12)(A)(ii) ................................................................... 10-19§ 3(a)(12)(B)(ii) .........................................................10-20, 10-34§ 3(a)(13) ............................................................................ 14-45§ 3(a)(14) .......................................................................... 10-106§ 3(a)(18) ..............................................................10A-9, 10A-23§ 3(a)(22) ............................................................................ 13-21§ 3(a)(23) .................................................................10-66, 13-20§ 3(a)(24) ............................................................................ 10-67§ 3(a)(25) ............................................................................ 13-21


T–42

§ 3(a)(26) ................................ 1-98, 10-64, 10-66, 10-76, 10A-5§ 3(a)(28) ................................................................ 10-64, 10A-5§ 3(a)(29) ............. 1-39, 1-46, 1-106, 1-107, 1-108, 1-111, 2-79,

.................... 2-144, 2-147, 2-164, 2-189, 2-220, 2-222, 3-10,

................4-8, 4-78, 6-15, 6-37, 6-48, App. 6B-9, 9-6, 10-19,

..........................10-41, 10-46, 10-133, 10A-9, 11-44, 14-165§ 3(a)(30) .................................1-98, 10-17, 10A-14, App. 11A-8§ 3(a)(31) ...................................................................1-98, 10-18§ 3(a)(32) ..........................................................................10A-23§ 3(a)(34) ................................................ 10-88, 10A-15, 10A-26§ 3(a)(35) ............................................................................ 12-91§ 3(a)(38) ...............................................................10-140, 13-28§ 3(a)(39) ..........................................9-90, 10-45, 10A-38, 13-17§ 3(a)(39)(F) ......................................................................10A-38§ 3(a)(42) ................................................. 1-39, 2-88, 9-6, 10-19,

...................................................10-115, 10A-9, 12-75, 13-37§ 3(a)(55)(B) .......................................................................... 4-59§ 3(a)(62) .............................................................................. 3-89§ 3(a)(67) .....................................................................4-58, 4-66§ 3(a)(68) .......................................................... 4-58, 4-59, 4-60,

.............................................. 11-30, App. 11B-8, App. 11C-4§ 3(a)(69) ........................................................ 4-58, 4-60, 11-30,

......................................App. 11B-3, App. 11B-8, App. 11C-4§ 3(a)(79) ................................................................................ 4-6§ 3A .................................................................................... 14-87§ 3(d) .................. 9-39, 10-44, 10-45, 10-46, 12-6, 13-16, 13-17§ 4 ........................................................................................ 14-7§ 5 ................................................................. 13-14, 13-30, 14-7§ 6 ................................................... 10-89, 13-20, 13-23, 13-25,

............................................13-27, 13-29, 13-30, 13-33, 14-7§ 6(b) .................................................................................. 10-82§ 6(b)(3) .............................................................................. 13-27§ 6(b)(5) .............................................................................. 13-30§ 6(b)(8) .................................................................10-64, 10-151§ 6(l) ..................................................................................... 4-80§ 7 ........................................................................................ 14-7§ 8 ........................................................................................ 14-7§ 9 ........................................5-70, 9-113, 9-114, 10-61, 10-112,

........................................10-115, 10-134, 14-7, 15-21, 15-22§ 9(a) .................................10-64, 10-89, 10-114, 10-136, 15-21§ 9(a)(1) .................................................................10-142, 15-22§ 9(a)(2) .........................9-114, 10-112, 10-115, 10-120, 10-134§ 9(a)(6) ............................................................................ 10-135§ 9(e) ..................................................................................... 5-43



§ 10 .................................. 1-99, 1-100, 5-83, 6-36, 7-18, 7-172,............................... 9-6, 9-124, 9-130, 10-48, 10-60, 10-100,............................................10-109, 10-111, 10-112, 10A-94,..................................................... 12-77, 14-163, 15-74, 16-5

§ 10A .........................................................................1-120, 8-34§ 10A(m) ................................................................ 8-34, 10A-13§ 10(b) ....................2-89, 5-4, 5-88, 5-90, 6-3, 7-70, 7-72, 7-84,

...................... 7-85, 7-99, 7-120, 7-139, 7-140, 7-141, 7-142,

........................ 7-144, 7-145, 7-146, 7-183, 8-21, 8-25, 8-31,

.......................8-46, 8-69, 8-99, 8-104, 9-4, 9-11, 9-21, 9-30,

.......................9-31, 9-33, 9-35, 9-36, 9-42, 9-47, 9-66, 9-75,

.................. 9-84, 9-106, 9-114, 9-124, 9-142, 10-60, 10-109,

.................. 10-110, 10-113, 10-136, 12-78, 14-3, 14-7, 14-9,

.................. 14-17, 14-25, 14-27, 14-31, 14-70, 14-71, 14-84,

......................... 14-85, 14-86, 14-92, 14-98, 14-121, 14-162,

.................... 14-163, 14-190, 15-6, 15-8, 15-9, 15-21, 15-22,

.............................. 15-29, 15-51, 15-56, 15-57, 15-59, 15-75§ 10C .................................................................................. 1-120§ 11 ........................................................................................ 5-4§ 11A .......... 10-60, 10A-68, 13-4, 13-5, 13-6, 13-7, 13-8, 13-38§ 12 ........................................ 1-96, 1-99, 1-110, 9-6, 9-7, 9-43,

....................................... 9-123, 9-130, 10-19, 10A-13, 14-29§ 12(a) .................................................................................... 9-7§ 12(a)(2) .......................................................................5-44, 9-7§ 12(b) .........................................................................App. 6C-1§ 12(g) ..............................................................................9-5, 9-7§ 12(g)(2)(D) ............................................................2-164, 2-188§ 12(h) .........................................................................App. 6C-1§ 12(i) ...............................................................................10A-13§ 13 ....................1-99, 1-110, 2-211, 5-7, 5-16, 5-19, 6-10, 9-6,

................. 9-7, 9-10, 9-13, 9-14, 9-43, 9-130, 10A-13, 14-29§ 13(a) ................................... App. 6C-1, 8-85, 9-9, 9-10, 9-124§ 13(b) .................................................................................. 15-6§ 13(d) ................................................................................ 14-29§ 14 .......................10-19, 10-111, 10A-13, 14-29, 14-33, 14-94§ 14(a) ....................................................... 1-119, 10A-13, 14-29§ 14(c) ...............................................................................10A-13§ 14(d) .....................10A-13, 14-29, 14-30, 14-31, 14-33, 14-35§ 14(d)(6) ............................................................................ 14-36§ 14(e) ..................... 7-57, 9-61, 9-115, 10-109, 10-110, 10-111,

.................... 14-4, 14-26, 14-27, 14-29, 14-30, 14-31, 14-32,

..................... 14-33, 14-34, 14-35, 14-36, 14-37, 14-39, 15-8§ 14(f) ...............................................................................10A-13


T–44

§ 15 ....................1-40, 1-97, 1-99, 4-64, 6-50, 6-75, 6-76, 7-15,.......................... 7-18, 9-6, 9-44, 9-130, 10-10, 10-14, 10-18,............................. 10-19, 10-20, 10-21, 10-22, 10-25, 10-34,............................. 10-35, 10-36, 10-39, 10-42, 10-51, 10-60,............................. 10-61, 10-64, 10-88, 10-90, 10-92, 10-93,.................................10-94, 10-100, 10-108, 10-109, 10-111,................................ 10A-5, 10A-9, 10A-10, 10A-11, 10A-14,........................ 10A-15, 10A-16, 10A-27, 10A-160, 10A-161,.................... 11-48, 11-51, 11-117, App. 11A-1, 12-5, 12-35,......................... 12-43, 13-20, 13-25, 13-57, 14-203, 14-209,......................................................... 15-3, 15-5, 15-39, 15-62

§ 15(a) .......................... 10-3, 10-5, 10-18, 10-19, 10-39, 10-41,................................... 10-46, 10-48, 10A-9, 10A-10, 10A-16,.......................10A-17, 10A-22, 10A-25, 11-42, 15-38, 15-39

§ 15(a)(1) .................................................. 10A-9, 10A-10, 13-16§ 15(b) .............................. 7-76, 7-114, 9-87, 9-89, 9-90, 10-19,

.................................. 10-46, 10A-10, 10A-160, App. 11A-11,

..........................App. 11A-12, 14-122, 14-175, 15-38, 15-39,

..................................................... 15-40, 15-43, 15-48, 15-67§ 15(b)(2) ................................................................. App. 11A-12§ 15(b)(4) ....................7-78, 9-89, 9-90, 10A-25, 11-84, 14-122,

.............................. 15-22, 15-23, 15-38, 15-39, 15-49, 15-69§ 15(b)(4)(A) .......................................App. 11A-11, App. 11A-12§ 15(b)(4)(B) ........................... 11-84, App. 11A-11, App. 11A-12§ 15(b)(4)(C) .......................... 11-84, App. 11A-11, App. 11A-12§ 15(b)(4)(D) ....................................7-76, 10A-38, App. 11A-11,

...............................................................App. 11A-12, 14-122§ 15(b)(4)(E) .............. 7-72, 7-114, 10A-145, 10A-146, 10A-147,

.......................................10A-149, 10A-150, 10A-152, 11-73,

....................11-74, 11-89, 11-90, App. 11A-11, App. 11A-12§ 15(b)(4)(E)(i) .................................................................10A-150§ 15(b)(4)(G) ......................................App. 11A-11, App. 11A-12§ 15(b)(4)(H) ......................................App. 11A-11, App. 11A-12§ 15(b)(5) ................................................................. App. 11A-12§ 15(b)(6) ....................... 10A-145, 10A-147, 10A-149, 10A-149,

................................10A-150, 10A-152, 15-22, 15-23, 15-38,

..................................................... 15-39, 15-48, 15-49, 15-69§ 15(b)(7) .............................................................. 10-93, 10A-30§ 15(b)(8) ......................................... 10-48, 10-65, 10-71, 10-90,

................................................10A-4, 10A-10, 10A-25, 13-40§ 15(b)(A)–(H) ..................................................................... 15-39§ 15(c) .......................... 1-124, 5-83, 5-88, 5-92, 6-3, 6-49, 7-70,

.......................................7-183, 10-48, 10-70, 10-91, 10-108,

.......................................................... 10-112, 10-113, 10-115



§ 15(c)(1) .......................... 6-3, 7-76, 7-85, 9-114, 10-91, 10-92,.................................... 10-100, 10-113, 10-115, App. 11A-13

§ 15(c)(1)(A) ........................................................................ 15-48§ 15(c)(2) ..............6-5, 6-36, 6-37, App. 6C-1, 7-84, 7-85, 9-35,

............................. 9-36, 9-42, 10-91, 10-92, 10-109, 10-110,

............................ 10A-94, App. 11A-13, 12-28, 14-28, 14-40§ 15(c)(2)(B) ...................................................................... 10-109§ 15(c)(2)(D) .................................................. 10-109, 14-3, 14-4§ 15(c)(3) .................................................................10-61, 10-92§ 15(d) .............................. 1-99, 1-112, 1-120, 2-211, 5-7, 5-16,

........................................... 5-19, 6-10, App. 6C-1, 8-85, 9-7,

........................................................... 9-9, 9-10, 9-123, 9-124§ 15(k) ................................................................................ 10-54§ 15A ...................... 10-59, 10-65, 10-71, 10-82, 10-89, 10-131,

....................... 10A-4, 10A-93, 10A-143, App. 11A-10, 13-21§ 15A(7) ................................................................... App. 11A-15§ 15A(a)(7) .......................................................................... 10-73§ 15A(a)(8) .......................................................................... 10-73§ 15A(b) ..........................................10-88, 10A-93, App. 11A-18§ 15A(b)(2) .......................................................................... 10-88§ 15A(b)(7) ............................................................10A-5, 10A-25§ 15A(b)(9) .............................................................10-64, 10-151§ 15A(b)(15) .................................................10-85, 10-87, 10A-5§ 15A(f)(3) .......................................................................... 10-90§ 15A(g)(1) .......................................................................... 10-65§ 15A(g)(3)(D) ......................................................... 10-65, 10A-5§ 15B ..................... 1-97, 1-106, 1-118, 2-105, 4-60, 4-62, 6-36,

...................... 7-18, 9-37, 10-18, 10-20, 10-21, 10-22, 10-23,

.................. 10-25, 10-34, 10-39, 10-46, 10-57, 10-60, 10-64,

...........................10-67, 10-69, 10-85, 10-89, 10-91, 10A-14,

............................ 10A-16, 10A-19, 10A-21, 10A-25, 10A-50,

...................... 10A-92, 10A-93, 10A-157, 10A-159, 10A-160,

...............11-4, 11-5, 11-6, 11-9, 11-10, 11-17, 11-30, 11-51,

.............. 11-55, 11-73, 11-76, 11-83, 11-98, 11-100, 11-103,

.................. App. 11A-1, App. 11B-1, App. 11B-5, 12-5, 12-8,

.................. 12-13, 12-15, 12-19, 12-20, 12-27, 12-32, 12-34,

................................. 12-42, 12-44, 12-45, 12-72, 13-7, 13-8,

..................................................... 15-24, 15-39, 15-40, 15-69§ 15B(1) ..................................................................... App. 11A-2§ 15B(2)(B) ................................................................. App. 11A-3§ 15B(2)(H) ......................................................................... 10-17§ 15B(a) ...................................10-3, 10-18, 10-93, 15-39, 15-62§ 15B(a)(1) .............................. 10-70, 10A-21, 11-5, 11-9, 11-51§ 15B(a)(1)(A) ...................................................................... 15-39


T–46

§ 15B(a)(1)(b) ...........................................................15-39, 15-40§ 15B(a)(2) .......................................................................... 15-39§ 15B(a)(4) ..................................................... 11-6, 11-34, 11-76§ 15B(a)(5) .................................................................11-9, 11-49§ 15B(b) ........................................... 10-19, 10-67, 10-68, 10-90,

............................................................ 10-91, 10-100, 10A-39§ 15B(b)(1) ............................................................... App. 11A-16§ 15B(b)(2) .................................... 6-75, 10-100, 10A-4, 10A-21,

...........................11-11, 11-98, 11-101, App. 11A-17, 14-203§ 15B(b)(2)(A) ..................................................................... 10-93§ 15B(b)(2)(A)(iii) ..................................................... App. 11A-14§ 15B(b)(2)(C) ........................................... 10-64, 10-98, 10-151,

.................................................10A-92, 11-11, 11-30, 11-101§ 15B(b)(2)(E) ............................................10-88, 10A-26, 11-11,

......................................................App. 11A-14, App. 11A-19§ 15B(b)(2)(G) ..................................................................... 11-11§ 15B(b)(2)(H) ...................................................................10A-14§ 15B(b)(2)(J) ....................................................................... 11-11§ 15B(b)(2)(K) ...................................................................... 11-11§ 15B(b)(2)(L) .........................................................11-88, 11-103§ 15B(b)(2)L(i) ................................................................... 11-101§ 15B(b)(3) .......................................................................... 10-91§ 15B(b)(4) .......................................................................... 10-69§ 15B(b)(5) ................................................... 10-69, 10-89, 11-98§ 15B(c) ....................... 1-98, 11-84, 15-22, 15-23, 15-39, 15-40§ 15B(c)(1) ...................... 1-98, 1-102, 1-104, 1-118, 7-78, 7-79,

....................................7-127, 10-68, 10-122, 10A-4, 10A-10,

.............................10A-18, 11-9, 11-11, 11-47, 11-81, 11-84,

........................... 11-85, 11-95, 11-96, 11-97, 11-98, 11-101,

.......................................................11-103, App. 11B-6, 14-9,

................................................... 15-53, 15-76, 15-77, 15-100§ 15B(c)(2) .......................................................................... 15-39§ 15B(c)(4) .......................................................................... 15-39§ 15B(c)(5) ........................................................................10A-26§ 15B(c)(7) ........................................10-66, 10A-32, App. 11A-7§ 15B(c)(8) .......................................................................... 10-90§ 15B(d) ............................... 1-96, 7-22, 9-37, 9-39, 9-44, 11-11§ 15B(d)(1) ............................ 4-22, 6-33, 6-36, 6-42, 9-40, 9-41,

..........................................9-42, 10-107, 11-11, 14-160, 15-8§ 15B(d)(2) ......................................4-22, 6-34, 6-36, 9-40, 9-41,

..................................................... 9-42, 10-107, 11-12, 13-17§ 15B(d)(i) ............................................................................. 6-24§ 15B(e) .................... 4-20, 4-71, 11-4, 11-5, 12-6, 12-15, 15-39§ 15B(e)(2) ...................................................... 11-32, App. 11B-1



§ 15B(e)(3) .........................................11-32, 11-116, App. 11B-1§ 15B(e)(4) ......................4-83, 4-84, 4-85, 10-68, 10A-20, 11-8,

............................. 11-25, 11-30, 11-36, 11-68, 11-71, 11-72,

.............................. 11-73, 11-75, 11-76, 11-123, App. 11B-1,

................................ 12-6, 12-7, 12-14, 12-17, 12-42, 15-100§ 15B(e)(4)(A) ......................................... App. 11B-1, App. 11B-7§ 15B(e)(4)(A)(ii) ................................................................. 11-99§ 15B(e)(4)(B) ............................................................. App. 11B-2§ 15B(e)(4)(C) ............................................................ App. 11B-2§ 15B(e)(4)(i) ....................................................................... 11-97§ 15B(e)(4)(ii) ...................................................................... 11-97§ 15B(e)(5) .............................................4-60, 11-29, App. 11B-9§ 15B(e)(7) ................................................................. App. 11B-5§ 15B(e)(8) ........................................4-61, 10A-163, 11-24, 12-6§ 15B(e)(9) ....................................... 11-25, 11-34, 11-44, 11-49,

........................................ 11-123, App. 11B-10, 12-16, 12-42§ 15B(e)(10) .................................................... 11-25, App. 11B-9§ 15C .................................................................................... 1-42§ 15E .................................................................................... 4-14§ 15E(s)(4) ............................................................................ 4-23§ 15E(s)(4)(A) ..................................................... 4-14, 4-21, 4-23§ 15F ................................. 4-62, 4-63, 4-66, 4-70, 4-71, 11-104§ 15F(h)(2) ............................................................................ 4-61§ 15F(h)(4)(B) .................................................................... 11-104§ 15F(h)(4)(C) ................................................................... 11-105§ 15G ................................................................ 4-12, 4-14, 4-21§ 15G(a)(2) ........................................................................... 4-12§ 15G(b) ............................................................................... 4-12§ 15G(c) ................................................................................ 4-12§ 15G(c)(1)(G) ....................................................................... 4-13§ 15G(c)(1)(G)(iii) ................................................................. 4-18§ 16 ........................................................................ 9-25, 10A-13§ 16B(c)(1) .......................................................................... 14-98§ 17 .................................................... 6-36, 10-36, App. 11A-13§ 17(a) .............5-83, 5-90, 5-91, 5-94, 9-30, 9-31, 10-77, 10-90§ 17A ......................................5-62, 10-20, 10-34, 10-60, 10-66,

......................................... 10-67, 10-89, 10A-68, 13-8, 15-39§ 17A(a)(1) ........................................................................10A-68§ 17A(b)(3)(I) .........................................................10-64, 10-151§ 17(b) .....................................................................10-77, 10-90§ 17(c)(3) ................................................................. App. 11A-15§ 17(d)(1) ............................................................................ 10-84§ 18 ...................................................................................... 9-47§ 18(b) .................................................................................. 5-43


T–48

§ 19 .........................................................................10-64, 13-36§ 19(a) .....................................................................10-64, 10-89§ 19(b) ...................................10-64, 10-90, 10A-6, App. 11A-10§ 19(b)(1) ............................................................................10A-6§ 19(b)(2)(C) .......................................................................10A-6§ 19(c) ........................................................ 10-64, 10-90, 10-151§ 19(d) .................................................................................. 7-77§ 19(g)(1)(B) ........................................................................ 10-69§ 20 .................................................................................... 11-74§ 20(a) .............. 1-123, 8-21, 14-84, 16-69, 16-70, 16-71, 16-72§ 20A ................................................................................ 14-202§ 20(e) ............................ 14-4, 14-9, 14-61, 14-76, 14-84, 15-21§ 21 ...................................................... 9-134, 10-90, 11-8, 11-9§ 21(a) ......................9-51, 10-75, 10A-147, 15-2, 15-11, 15-14,

................... 15-15, 15-20, 15-31, 15-32, 15-33, 15-34, 15-35§ 21(a)(1) ........................................................................10A-146§ 21(b) .....................................................................15-25, 15-27§ 21(d) ................................................ 1-123, 14-61, 15-7, 15-49§ 21(d)(1) .................................................................14-84, 15-73§ 21(d)(3) ..................................................... 14-84, 15-70, 15-72§ 21(d)(5) ............................................................................ 1-123§ 21(e) ................................................................................. 14-80§ 21B ..........10A-161, App. 11A-13, 15-22, 15-23, 15-39, 15-40§ 21B(a) ...................................................................15-22, 15-23§ 21B(a)(1) .......................................................................... 15-23§ 21B(a)(2) ...............................................................15-22, 15-23§ 21B(b) .............................................................................. 15-72§ 21C .................................9-44, 10A-160, 10A-161, 14-9, 15-7,

................... 15-22, 15-30, 15-39, 15-40, 15-42, 15-50, 15-67§ 21D(b)(1) ......................................................................... 14-23§ 21D(b)(2) ....................................... 7-172, 14-13, 14-14, 14-23§ 21D(b)(3) ......................................................................... 14-23§ 21D(b)(4) ............................................................14-23, 14-153§ 21E .................................................................................... 8-85§ 21E(c) ............................................................................... 14-23§ 21F .......................................................................15-23, 15-25§ 21F(a)(6) .......................................................................... 15-23§ 23 .............................................................................6-36, 9-36§ 23(a) .....................................................................9-35, 10-151§ 23(a)(2) .......................................................................... 10-151§ 23(b) ................................................................................ 10-64§ 25(a)(1) .......................................................................... 14-110§ 25(a)(4) .......................................................................... 14-110§ 27 .................................................................................... 16-47



§ 28(e) ......................................................................12-90, 12-91§ 28(e)(3) ............................................................................ 12-90§ 28(f) ......................................................................14-24, 14-76§ 28(f)(5)(E) ......................................................................... 14-24§ 29 ........................................................................... App. 11A-7§ 29(b) .............................................................................. 11-132§ 30A ................................................................................ 14-122§ 32 ........................................................... 14-121, 14-124, 15-7§ 32(a) .............................................. 15-74, 15-75, 15-76, 15-77§ 36(a)(1) ............................................................................ 13-33

Securities Litigation Uniform StandardsAct of 1998 (SLUSA) .................................. 14-12, 14-13, 14-24,........................................................... 14-25, 14-42, 14-76, 14-77

Sherman Anti-Trust Act§ 1 .........................................................................10-148, 15-82§ 2 .................................................................................... 10-148

Stadium Act .............................................................. 1-20, 1-21, 1-22Superfund Amendments and Reauthorization

Act of 1986 (SARA) ............................................................ 16-22Tax Cuts and Jobs Act .............................................. 1-10, 1-13, 1-14

§ 3604 .................................................................................. 1-19§ 13532 ................................................................................ 1-14

Tax Equity and Fiscal Responsibility Act of 1982 (TEFRA)generally ...........................................................................10A-66§ 103(j) ................................................................... 10A-66, 13-9

Tax Reform Act of 1976 ...................................................2-39, 2-167Tax Reform Act of 1986

generally .......................... 1-57, 2-30, 2-35, 2-105, 2-111, 12-57§ 2 ...............................................................................2-35, 6-15§ 141(b)(1) ............................................................................ 1-58§ 141(b)(2) ............................................................................ 1-58

Taxpayer Relief Act of 1997 ....................................................... 2-146Trademark Act of 1946 (Lanham Act) ............................16-35, 16-36Travel Act ................................................................................ 15-104Trust Indenture Act of 1939

generally ................................2-168, 9-132, 9-134, 9-137, 9-139§ 304(a)(4) .......................................................................... 9-133§ 310(b) .............................................................................. 9-136§ 312 .................................................................................. 9-135§ 312–314 ........................................................................... 9-135§ 312(b) .............................................................................. 9-135§ 313 .......................................................................9-135, 9-141§ 313(a)(5) .......................................................................... 9-135

T–50


§ 313(a)(6) .......................................................................... 9-135§ 313(a)(8) .......................................................................... 9-135§ 313(c) ............................................................................... 9-136§ 314 .................................................................................. 9-136§ 315(c) ............................................................................... 9-141§ 323 .................................................................................. 9-131

Trust Indenture Reform Act of 1990(the 1990 Amendments) ..................................................... 9-136

Uniform Securities Act of 1956 ................................................ 14-25Violent Crime Control and Law Enforcement Act of 1994 ....... 15-86Voting Rights Act 1965 ............................................................. 16-31Wall Street Transparency and Accountability Act of 2010 .......... 4-57Williams Act

generally ........................................... 14-28, 14-29, 14-34, 14-35Wire Fraud Statute of 1952 .................... 15-83, 15-84, 15-86, 15-87,

..............................................15-90, 15-91, 15-93, 15-94, 15-103

Public Laws73-22 ......................................................................................... 1-10073-291 ..............................................................................1-100, 16-374-333 (Public Utility Holding Company Act of 1935) .............. 3-4375-719 (Maloney Act of 1938) .................................................. 10-5988-467 (Securities Act Amendments

of 1964) .................................................. 2-191, 10A-10, 10A-1691-373 (Employment Security Amendments of 1970) ................ 2-3194-29 (Securities Act Amendments of 1975) ....................1-98 10-6097-248 (Tax Equity and Fiscal Responsibility

Act of 1982) ............................................................ 10A-66, 13-998-38 (Securities Exchange Act Amendments) .......................... 10-9098-440 (Secondary Mortgage Market Enhancement

Act of 1983) .......................................................................... 2-7499-514 (Tax Reform Act of 1986) ...........1-10, 1-57, 2-30, 2-35, 6-1599-571 (Government Securities Act of 1986) ......... 1-41, 2-89, 10-61100-597 (An Act to Amend the Bankruptcy

Law to Provide for Special Revenue Bonds,and for Other Purposes) ...................................................... 8-186

100-690 ..................................................................................... 15-91100-704 (Insider Trading and Securities Fraud Enforcement

Act of 1988) ...................................................................... 14-202101-550 (Trust Indenture Reform Act of 1990) ........................ 9-136103-332 ..................................................................................... 15-86104-67 (Private Securities Litigation

Reform Act) ................................................. 1-120, 8-84, 14-162



104-290 (National Securities Markets ImprovementAct of 1996) .............................................................10-94, 13-33

105-34 (Taxpayer Relief Act of 1997) ........................................ 2-146106-102 (Act of November 12) .................................................. 10-15106-102 (Gramm-Leach-Bliley Act) ............................. 10A-17, 14-87106-554 (Commodities Futures Modernization Act of 2000) ..... 14-87107-16 (Economic Growth and Tax Relief Reconciliation

Act of 2001) ........................................................................ 12-63107-204 (Sarbanes-Oxley Act of 2002) .............................1-120, 8-13109-58 (Energy Policy Act of 2005) ........................................... 2-146109-351 (Financial Services Regulatory Relief Act of 2006) ...... 10-16110-246 (Food, Conservation, and Energy Act of 2008) ........... 2-146110-348 (Emergency Economic Stabilization Act of 2008) ....... 2-146111-5 (Emergency Economic Stabilization Act of 2008) ........... 2-146111-203 (Dodd-Frank Act of 2010) ............................................... 4-5112-106 (Jumpstart Our Business

Startups Act) ............................................. 2-191, 5-5, 8-6, 14-19114-94 (2015) ................................................................................ 8-6115-97 (Tax Cuts and Jobs Act of 2017) ..................................... 1-10

United States CodeTITLE 5

§ 551 ............................... 15-27§ 551 et seq. ...................... 15-3

TITLE 7

§ 1 et seq. ............... App. 11B-3§ 1a(47) ................. App. 11B-3,

...................... App. 11B-8,

.......................App. 11C-4§ 1a(49) .................. App. 11B-4

TITLE 11

§ 101(27) ......................... 8-183§ 101(40) ......................... 8-185§ 101(41) ......................... 8-183§ 106(a) ........................... 16-26§ 106(a)(2) ....................... 16-26§ 106(a)(3) ....................... 16-26§ 109(c)(1) ....................... 8-185§ 109(c)(2) ....................... 8-185§ 552(a) ................8-166, 8-186§ 726 ............................... 8-168

§ 901(40) ......................... 8-183§ 902 ....................8-166, 8-167§ 902(2) ........................... 8-187§ 922 ............................... 8-166§ 928 ........ 8-166, 8-186, 8-188

TITLE 12

§ 24 ...............................10A-17§ 24(7) .............10A-12, 10A-14§ 92a ..............................10A-12§ 377 ............................... 10-16§ 1813(q) ................App. 11C-2§ 1818 .................. App. 11A-12§ 1818(b) .............. App. 11A-13§ 1818(c) ............... App. 11A-13

TITLE 15

§ 1 ................................. 10-148§ 2 ................................. 10-148§ 73ff(a) ........................... 15-74§ 77a .........................1-7, 2-191§ 77b(1) ............................. 2-54

T–52


§ 77b(a)(11) .......... App. 11A-17§ 77(b)(2) ........................... 3-26§ 77b(3) ......................5-6, 5-12§ 77b(10) ............................. 5-8§ 77bbb ............................ 9-131§ 77c(a) .............................. 2-82§ 77c(a)(2) ................2-29, 2-31,

.................... 2-55, 10A-13§ 77c(a)(4) .......................... 2-81§ 77c(a)(8) .................2-49, 2-77§ 77e(a)(1) ............................ 5-8§ 77e(b)(1) ............................ 5-7§ 77e(c) ................................ 5-6§ 77h ................................. 5-15§ 77h(a) ............................... 5-9§ 77j(b) .............................. 5-13§ 77k ......................5-42, 7-134§ 77k(a) ...................5-18, 7-134§ 77k(b) ........................... 7-134§ 77mmm(a)(8) ................ 9-136§ 77ooo(a)(1) .................... 9-132§ 77ooo(c) ........................ 9-132§ 77q(a)(1) ....................... 7-146§ 77q(a)(3) ......................... 7-81§ 77s(a) .............................. 5-11§ 77www(b) ..................... 9-133§ 77x ................................ 15-74§ 77z-3 ............................. 14-19§ 78a .................................. 1-39§ 78c .....................13-16, 13-31§ 78c(a)(4) ........................10A-9§ 78c(a)(4)(B)(v) ....... App. 11B-4§ 78c(a)(5) ........................10A-9§ 78c(a)(6) .....................10A-12,

....................... App. 11B-4§ 78c(a)(9) .................3-26, 16-3§ 78c(a)(12) ......................10A-9§ 78c(a)(14) ........................ 6-55§ 78c(a)(18) ......................10A-9§ 78c(a)(29) .............. 9-6, 10A-9§ 78c(a)(34) ....................10A-16§ 78c(a)(38) .................... 10-140§ 78c(a)(42) ......................10A-9§ 78c(a)(68) ............ App. 11B-8,

.......................App. 11C-4

§ 78c(a)(69) ............ App. 11B-3,...................... App. 11B-8,.......................App. 11C-4

§ 78f ................................ 10-89§ 78i(a)(2) .........10-113, 10-135§ 78i(a)(6) ...................... 10-135§ 78i(b) .............................. 5-43§ 78i(e) ............................... 5-43§ 78j(b) ............................ 7-140§ 78l(g) ................................. 9-5§ 78mm ........................... 13-33§ 78o(b) ......................... 14-176§ 78o(b)(4)(D) .................... 7-76§ 78o(b)(4)(E) ...............10A-145§ 78o(b)(6) ...................10A-145§ 78o(b)(7) .....................10A-30§ 78o(b)(8) ....................... 10-90§ 78o(c)(1) ....................... 10-98,

.................10-113, 10-138§ 78o(c)(2) .......................... 6-36§ 78o(c)(3) ........................ 10-62§ 78o-3 ............................ 10-89§ 78o-3(b)(6) .................... 10-90§ 78o-3(f)(3) ..................... 10-90§ 78o-4 .................. App. 11B-1,

....................... App. 11B-5§ 78o-4(b)(2) .................... 10-91§ 78o-4(b)(2)(C) ............... 10-98§ 78o-4(b)(2)(H) .............10A-14§ 78o-4(c)(1) ........... App. 11B-6§ 78o-4(d)(1) ...................... 6-36§ 78o-4(d)(2) ..................... 6-36,

.......................15-8, 16-49§ 78o-4(e)(2) ........... App. 11B-1§ 78o-4(e)(3) ........... App. 11B-1§ 78o-4(e)(4) ........... App. 11B-1§ 78o-4(e)(4)(A) ...... App. 11B-1,

....................... App. 11B-7§ 78o-4(e)(4)(B) ....... App. 11B-2§ 78o-4(e)(4)(C) ...... App. 11B-2§ 78o-4(e)(5) ........... App. 11B-9§ 78o-4(e)(7) ........... App. 11B-5§ 78o-4(e)(9) ......... App. 11B-10§ 78o-4(e)(10) ......... App. 11B-9§ 78p ................................. 9-25



§ 78q-1 ............................ 10-89§ 78s(a) ............................ 10-89§ 78s(b) ............................ 10-90§ 78s(c) ............................ 10-90§ 78s(d) .............................. 7-78§ 78s(e) .............................. 7-78§ 78t ................................ 16-69§ 78t-1 ........................... 14-202§ 78u(a)(1) ...................10A-146§ 78u-3 .............................. 15-9§ 80a-1–80a-52 .................... 3-3§ 80a-1–80a-64 .................. 1-83§ 80a-2(a)(8) .............3-23, 3-26§ 80a-2(a)(15) ...................... 3-4§ 80a-2(a)(22) ...........3-23, 3-26§ 80a-2(a)(28) ...........3-23, 3-26§ 80a-2(a)(32) .............3-5, 3-43§ 80a-2(a)(37) .................... 3-24§ 80a-2(b) .................3-12, 3-25§ 80a-3 ................................ 3-3§ 80a-3(a)(1) .............3-11, 3-49§ 80a-3(c) ........................... 3-25§ 80a-3(c)(2) ....................... 3-25§ 80a-3(c)(3) ..............3-22, 3-25§ 80a-3(c)(5)(C) .................. 3-42§ 80a-3(c)(10) ..................... 3-25§ 80a-3(c)(11) ..................... 3-24§ 80a-4(1) ............................ 3-4§ 80a-4(2) ............................ 3-4§ 80a-4(3) ............................ 3-5§ 80a-5(a)(1) ........................ 3-5§ 80a-5(b) ............................ 3-5§ 80a-6(a) ........................... 3-25§ 80a-6(c) ........................... 3-42§ 80a-7 ................................ 3-3§ 80a-8 ................................ 3-3§ 80a-8(f) ............................. 3-3§ 80a-18(f) ........................... 3-5§ 80a-22 ............................ 3-69§ 80a-23(b) .......................... 3-5§ 80a-26 .............................. 3-5§ 80a-27(a) ........................... 3-5§ 80a-36 .......................... 15-74§ 80b-1 et seq. ........ App. 11B-2

§ 80b-17 .......................... 15-74

TITLE 18

§ 2 ................................... 15-97§ 2(b) ................15-112, 15-113§ 201 ................15-101, 15-104§ 201(b)(1) ..................... 15-101§ 371 ....................15-79, 15-80§ 666(a)(1)(B) ......15-81, 15-101§ 666(a)(2) ..........15-81, 15-102§ 1001 ........ 9-89, 15-25, 15-26§ 1341 ...............14-203, 15-81,

....................15-83, 15-86,

....................15-90, 15-91,

....................15-93, 15-94,

...................15-99, 15-100§ 1343 ...............14-203, 15-84,

....................15-87, 15-90,

....... 15-93, 15-99, 15-100§ 1346 ...............14-203, 15-81,

........ 15-91, 15-92, 15-93,

........ 15-95, 15-96, 15-98,

...................15-99, 15-101§ 1503 ............................. 15-26§ 1505 ............................. 15-26§ 1510 ............................. 15-26§ 1512 ............................. 15-26§ 1621 ....................9-89, 15-26§ 1951 ........................... 15-102§ 1952 ........................... 15-104§ 1957 ........................... 15-101

TITLE 20

§ 1001 et seq. ...................... 4-7

TITLE 26(See also Internal Revenue

Code infra)

§ 103(a)(1) ........................... 9-6§ 103(b) ............................. 2-30§ 103(b)(1) ......................... 2-35§ 103(c) ................................ 9-6§ 103(c)(1) ........................... 9-6§ 103(c)(2) ........................... 9-6

T–54


§ 103(c)(4) ........................... 9-6§ 103(c)(4)(A) ....................... 9-6§ 103(c)(5) ........................... 9-6§ 103(c)(6) ........................... 9-6§ 103(c)(7) ........................... 9-6§ 141 ................................. 2-35§ 529(b) ................ App. 11B-10

TITLE 28

§ 1257 .................16-42, 16-43,.....................16-46, 16-47

§ 2462 ............................... 9-86

TITLE 42

§ 1983 ..................15-18, 15-19

Internal Revenue Code(26 U.S.C.)

§ 54A ........ 2-143, 2-146, 2-148§ 54A(i) ..... 2-147, 2-148, 2-149§ 54AA(d) .............2-143, 2-146§ 54AA(f)(2) .................... 2-147,

.....................2-148, 2-149§ 54C ....................2-146, 2-147§ 54C(d) ........................... 2-147§ 54D .............................. 2-146§ 54E ............................... 2-146§ 54F ............................... 2-146§ 103 ............. 1-10, 1-11, 1-12,

.............. 1-13, 1-14, 1-25,

.............. 1-36, 1-38, 1-59,

.......... 1-71, 1-108, 1-109,

............ 1-115, 1-116, 2-6,

......... 2-7, 2-8, 2-12, 2-15,

..... 2-17, 2-29, 2-30, 2-31,

..... 2-32, 2-33, 2-34, 2-39,

........ 2-117, 2-118, 2-125,

........ 2-143, 2-146, 2-153,

........ 2-155, 2-158, 2-165,

........ 2-166, 2-167, 2-169,

....... 2-179, 4-4, 4-8, 4-18,

........ 10-38, 10-39, 10-41,

............... 10A-77, 14-207,

.....................16-84, 16-85§ 103(a) ......... 1-13, 1-14, 1-19,

....... 1-107, 2-5, 2-6, 2-32,

........ 2-153, 2-155, 2-168,

........ 2-170, 2-171, 2-173,

............. 2-179, 4-29, 4-43§ 103(a)(1) ................2-31, 6-15§ 103(a)(2) ......................... 2-32

§ 103(b) ......... 1-13, 1-19, 2-30,.............. 2-32, 2-35, 2-39,.......................2-68, 2-120

§ 103(b)(1) ......................... 2-35§ 103(b)(2) ................2-30, 4-43§ 103(c) ........ 1-13, 1-107, 2-30,

.........................2-37, 2-39§ 103(c)(1) ......................... 2-31§ 103(c)(2) .... 2-31, 2-222, 6-15§ 103(c)(4) ................2-31, 6-15§ 103(c)(4)(A) .................... 2-31,

.........................2-40, 6-15§ 103(c)(5) ...... 2-31, 2-40, 6-15§ 103(c)(6) ................2-31, 6-15§ 103(c)(7) ...... 2-31, 2-40, 6-15§ 103(e) ................1-116, 2-166,

............. 2-168, 2-220, 4-8§ 103(4)(A) ......................... 2-40§ 103(5) ............................. 2-40§ 103(7) ............................. 2-40§ 115 .....................1-59, 2-133,

......... 2-134, 2-155, 2-156§ 141 ............. 1-10, 1-13, 1-36,

.............. 1-38, 1-61, 1-69,

............ 1-71, 1-82, 1-106,

........ 1-107, 1-115, 1-117,

..... 2-35, 2-38, 2-41, 2-43,

............ 2-68, 2-97, 2-171,

............. 2-185, 3-28, 4-28§ 141 et seq. .................. 14-207§ 141–150 .......................... 1-10§ 141(b)(1) ......................... 1-58§ 141(b)(2) ................1-58, 1-63



§ 141(e) ....................1-25, 1-36,.......................2-97, 2-166

§ 142 ............. 1-13, 1-71, 1-74,............. 1-82, 1-117, 2-97

§ 142(d) ....................2-36, 2-41§ 142(f) .............................. 2-36§ 143 ..........................4-6, 4-20§ 144(b) ...............1-116, 2-165,

........................2-166, 4-7,

...........................4-8, 4-16§ 145 ............. 1-25, 1-36, 1-37,

.............. 1-38, 1-65, 1-69,

........ 2-170, 2-172, 2-173,

........ 2-174, 2-185, 2-219,

........... 4-28, 16-84, 16-85§ 146 ....................2-166, 2-194§ 148 ............. 1-10, 2-42, 4-43,

......................4-49, 11-33,

.......................7-46, 14-70§ 148(d) ............................. 4-43§ 149(a) ............... 10A-66, 13-9§ 149(d) ....................1-14, 4-28§ 149(d)(2) ......................... 4-28§ 149(d)(3) ......................... 4-28§ 149(d)(4) ......................... 4-28§ 149(d)(5) ......................... 4-27§ 149(g) ...................2-120, 4-29§ 150 ............................... 2-165§ 150(c) ............................ 1-116§ 150(d) .... 1-116, 2-161, 2-165,

......... 2-166, 2-167, 2-168,

..... 2-188, 2-220, 4-8, 4-17§ 150(d)(2) .................4-9, 4-13,

.........................4-17, 4-18§ 150(d)(3) ....................... 2-165§ 150(e) ................1-116, 2-170,

.....................2-188, 10-39§ 170 ................................. 1-26§ 265 ............................. 10-141§ 403(b) ................12-30, 12-39§ 414 ................................... 2-6§ 414(j) ...................12-30, 4-78§ 457 ....... 2-137, 2-138, 2-139,

............ 3-36, 3-37, 11-23,

.....................12-30, 12-39

§ 501 ............. 1-33, 1-34, 1-35,....................2-151, 2-171,.....................2-175, 2-195

§ 501(a)(3) ......................... 1-38§ 501(c) ....... 1-34, 2-151, 2-175§ 501(c)(3) ..... 1-14, 1-25, 1-26,

.............. 1-34, 1-35, 1-36,

.............. 1-38, 1-59, 1-60,

.............. 1-64, 1-65, 1-67,

.............. 1-68, 1-69, 2-15,

............ 2-33, 2-81, 2-151,

........ 2-152, 2-155, 2-156,

........ 2-160, 2-163, 2-165,

........ 2-166, 2-169, 2-170,

........ 2-171, 2-172, 2-174,

........ 2-175, 2-176, 2-177,

........ 2-178, 2-179, 2-180,

........ 2-182, 2-184, 2-185,

........ 2-186, 2-187, 2-196,

............... 4-28, 4-62, 4-71§ 501(c)(4) ............2-176, 2-177§ 501(c)(6) ....................... 2-176§ 511 ......................1-35, 2-184§ 512 ................................. 1-35§ 513 ....1-35, 1-37, 1-65, 2-184§ 529 ....... 2-127, 2-128, 2-134,

... 2-135, 3-38, 3-40, 3-41,

........8-14, 10-43, 10A-24,

...............10A-29, 10A-78,

...........10A-142, 10A-143,

............... 10A-179, 11-23,

......... 11-83, App. 11B-10,

.......... 12-7, 12-27, 12-30,

........ 12-39, 12-57, 12-63,

......... 12-64, 12-65, 12-66§ 529(b) ........................... 2-128§ 3121 ................................. 2-5§ 3121(b)(7) ......................... 2-6§ 6045 ........................... 10-141§ 7701(a)(2) ....................... 1-68§ 7701(a)(40) ..........1-56, 16-87§ 7871 .....................1-56, 1-57,

.....................1-115, 16-87§ 7871(d) ........................... 1-56§ 7871(e) ............................ 1-56

T–56


STATE CODES

CaliforniaCal. Const. art. IX

§ 1 ........................................................................................ 1-23§ 9 ...................................................................................... 16-85

Cal. Gov’t Code§ 25, 303 ............................................................................ 15-14§ 87, 100 .......................................................................... 14-222

FloridaFla. Stat. § 218.385 ................................................................... 15-61

IllinoisIll. Const. art. XIII, § 5 ..................................................8-140, 8-141Illinois Pension Funding Act ..................................................... 8-158

MassachusettsMass. Gen. Laws ch. 32, § 23-B ................................................ 8-137

MichiganMich. Const. art. 7, § 26 ........................................................... 8-20Mich. Const. art. 8, § 5 ............................................................. 16-86

MissouriConst. art. I, § 7 .......................................................................... 1-27

New YorkMartin Act ................................................................................. 14-25N.Y. Const. art. VIII, § 1 ....................................................1-17, 1-31N.Y. Const. art. VIII, § 2 ............................. 1-79, 1-80, 8-174, 8-175N.Y. Gen. Mun. Law § 803 ..................................................... 14-222N.Y. Penal Law § 200 ............................................................10A-160N.Y. Pub. Auth. Law

§ 1002 .......................................................................1-81, 16-77§ 1010(1) .............................................................................. 1-81§ 1266 .................................................................................. 2-19

OregonOr. Rev. Stat.

§ 59.135 ............................................................................. 14-77§ 59.137(1) ......................................................................... 14-77



Rhode IslandR.I. Gen. Laws

§ 45-12-1 ............................................................................ 8-177§ 45-12-1(a) ........................................................................ 8-177§ 45-12-1(b) ........................................................................ 8-178

VirginiaVa. Code § 36-55.40(4) ................................................................ 1-81

UNIFORM COMMERCIAL CODEARTICLE 1

generally ............................ 5-52§ 1-103 .............................. 5-52§ 1-201 .............................. 5-52§ 1-205 .............................. 5-52§ 1-206 .....................5-69, 5-74§ 1-206(2) .......................... 5-74

ARTICLE 2

§ 2-106 .............................. 5-94§ 2-207 .............................. 5-79§ 2-208 .............................. 5-52

ARTICLE 8

generally ........ 5-21, 5-62, 5-63,.............. 5-64, 5-65, 5-67,

.............. 5-68, 5-72, 5-73,

............... 5-74, 5-75, 5-95§ 8-101 .............................. 5-73§ 8-102(a)(7) ...................... 5-64§ 8-102(a)(17) .................... 5-64§ 8-102(14) ........................ 5-64§ 8-102(a)(14) .................... 5-64§ 8-113 ...................5-74, 14-43§ 8-319 ....................5-72, 5-73,

............... 5-74, 5-76, 5-77§ 8-501(a) .......................... 5-65§ 8-501(b) .......................... 5-65§ 8-503 .............................. 5-65

ARTICLE 9

§ 9-109(c)(2) .................... 8-182§ 9-305 .............................. 1-80

RESTATEMENTS

Restatement (Second) of AgencyIntroductory Note .......... 14-217 § 376 ............................. 14-217

Restatement (Second) of Contracts§ 1, comment c ................. 5-53§ 3 ..................................... 5-52

§ 39 ................................... 5-79§ 110 ................................. 5-74

T–58


Restatement (Second) of Judgments§ 41 ................................. 14-50 § 42(1) ............................. 14-50

Restatement (Second) of Tortsgenerally .......................... 14-17§ 525 .....................7-81, 7-141,

...................14-17, 14-204comment b .................. 7-81

§ 526 .... 7-141, 14-103, 14-104comment a .............. 14-125

§ 526(c) ....... 7-81, 7-141, 7-142§ 527 ............................. 14-225§ 529 ............................. 14-225§ 531 ............................. 14-103§ 537 ................14-127, 14-182§ 538 ..................14-17, 14-182§ 538(2)(a) ....................... 14-95§ 538A

comment a .............. 14-182comment b .............. 14-183

§ 539 ............................. 14-182§ 540 ............................. 14-182§ 541 ............................. 14-182§ 541A ........................... 14-182§ 542 ............................. 14-182§ 542–45 ........................ 14-182§ 543 ............................. 14-182§ 546 ............................. 14-126§ 547 ............................. 14-126§ 550 ............................. 14-163§ 551 ................14-164, 14-224

comment onsubsection (2),clause (e) ......... 14-210

§ 551(1) ......................... 14-210

Restatement (Second) of Trusts§ 170 ............................. 14-215

comment (a) ............ 14-215comment (j) to

section 1 ......... 14-215

comment (n) tosection 1 ......... 14-215

comment (s) ............ 14-216



RULES AND REGULATIONS

Code of Federal RegulationsTITLE 12

§ 7.7016 ............................ 2-90§ 332.1 n.1 ........................ 2-90

TITLE 17

Part 200 ............................. 3-68§ 201.1–201.7 .................... 15-3§ 201.1–201.29 ................ 15-27§ 202.1–202.8 .................. 15-27§ 202.5(b) ........................ 15-29§ 202.5(c) ......................... 15-28§ 202.5(d) ........................ 15-28§ 202.5(f) ......................... 15-29§ 203.1–203.8 .........15-3, 15-27§ 203.5 ............................ 15-27§ 203.7 ............................ 15-27§ 229.504 .......................... 8-64§ 229.1100–.1123 ................ 4-5§ 229.1101 ....... 4-5, App. 6C-1Part 230 ............................. 3-68§ 230.131(b)(3) .................. 2-34§ 230.137 ............................ 5-7§ 230.139 ............................ 5-7§ 230.142 ............................ 7-7§ 230.144 .................2-210, 7-8§ 230.144A ...................... 2-212§ 230.144A(1)(i)(B) ............ 3-68§ 230.151 .......................... 2-83§ 230.174 ............................ 6-7§ 230.174(b) ....5-19, App. 6C-2§ 230.174(c) ....................... 5-19§ 230.174(d) .............App. 6C-2§ 230.174(f) ....................... 5-19§ 230.176 ...............7-87, 7-151§ 230.176(f) ....................... 7-88§ 230.405 ............................ 9-5§ 230.408 .....................9-4, 9-5§ 230.415 ........................ 7-150

§ 230.421(d) ...................... 8-54§ 230.424(b) ...................... 5-15§ 230.430 ....... 5-14, 5-15, 5-16§ 230.430A ........................ 5-15§ 230.434(a) .............App. 6C-3§ 230.460 .................5-16, 6-11§ 230.461(b) ...................... 5-17§ 230.501 et seq. ............... 6-87§ 239.13 ...................App. 6C-1§ 240.3b-9 .....................10A-16§ 240.10b-3 ................... 10-114§ 240.10b-5 ............14-93, 16-3§ 240.10b-5(b) ......8-69, 14-102§ 240.10b-5(c) .................... 7-81§ 240.10b-6(a)(v) ............ 10-140§ 240.14a-9 ..................... 14-95§ 240.15Ba1-1–1-8

...................... App. 11B-1§ 240.15Ba1-1(d)(2)

......................App. 11C-4§ 240.15Ba1-1(d)(3)

......................App. 11C-4§ 240.15Ba2-2 ...............10A-16§ 240.15Bc4-1 ........ App. 11B-1§ 240.15c1-2 .................. 10-113§ 240.15c1-3 .................... 10-93§ 240.15c1-7 .................... 10-98§ 240.15c2-8 .............5-17, 6-11§ 240.15c2-8(c) .................. 5-16§ 240.15c2-8(d) .................. 5-16§ 240.15c2-12 ................... 1-99,

......................... App. 6B-1§ 240.17a-3(e) .................. 10-93§ 242.301(b)(1) ................ 13-40§ 243.100–243.103 .......... 9-121§ 247 ............................... 10-36§ 275.206(3)-3T ............ 11-118

T–60


MUNICIPAL SECURITIES RULEMAKINGBOARD (MSRB) RULES

generally .......... 1-3, 1-40, 1-41,..... 1-42, 1-43, 1-94, 1-96,.......... 1-98, 1-102, 1-103,........ 1-105, 1-106, 1-110,........ 1-112, 1-113, 1-114,........ 1-115, 1-117, 1-118,........ 1-119, 1-125, 1-126,........ 1-128, 1-129, 1-130,.......... 2-69, 2-105, 2-107,........ 2-144, 2-147, 2-152,........ 2-153, 2-154, 2-155,........ 2-168, 2-188, 2-189,........ 2-206, 2-222, 2-223,..... 5-28, 5-31, 5-33, 5-34,..... 5-48, 5-49, 5-51, 5-54,..... 5-55, 5-56, 5-66, 5-68,..... 5-69, 5-70, 5-71, 5-75,..... 5-77, 5-87, 5-88, 5-89,..... 5-90, 6-74, 6-75, 6-76,......App. 6B-2, 7-20, 7-22,..... 7-23, 7-34, 7-76, 7-82,..... 8-17, 8-32, 8-38, 8-41,.............. 8-42, 8-45, 8-50,........ 8-119, 8-168, 8-169,........ 8-170, 8-171, 8-189,..... 9-22, 9-34, 9-37, 9-38,..... 9-39, 9-40, 9-41, 9-42,..... 9-44, 9-56, 9-60, 9-61,..... 9-62, 9-67, 9-89, 9-93,........ 9-116, 9-137, 9-138,.......... 9-145, 10-3, 10-11,........ 10-17, 10-19, 10-22,........ 10-23, 10-24, 10-25,........ 10-26, 10-37, 10-42,........ 10-43, 10-48, 10-58,........ 10-60, 10-61, 10-64,........ 10-65, 10-67, 10-68,........ 10-69, 10-70, 10-71,........ 10-76, 10-77, 10-78,........ 10-84, 10-85, 10-86,........ 10-87, 10-88, 10-89,........ 10-90, 10-91, 10-93,

........ 10-94, 10-95, 10-97,

...... 10-98, 10-99, 10-100,

................10-101, 10-102,

................10-103, 10-104,

................10-105, 10-106,

................10-107, 10-111,

................10-116, 10-121,

................10-124, 10-133,

................10-143, 10-144,

................10-147, 10-151,

................10-174, 10-188,

................10-189, 10-196,

................10-208, 10-226,

................10-227, 10-233,

................10-236, 10-247,

................10-252, 10-265,

................10-276, 10-277,

................10-284, 10-288,

................. 10-297, 10A-4,

.......10A-5, 10A-6, 10A-7,

.................10A-8, 10A-10,

...............10A-11, 10A-14,

...............10A-17, 10A-18,

...............10A-19, 10A-20,

...............10A-21, 10A-22,

...............10A-23, 10A-24,

...............10A-25, 10A-26,

...............10A-27, 10A-28,

...............10A-29, 10A-30,

...............10A-31, 10A-32,

...............10A-33, 10A-35,

...............10A-36, 10A-37,

...............10A-38, 10A-39,

...............10A-43, 10A-46,

...............10A-48, 10A-49,

...............10A-51, 10A-53,

...............10A-54, 10A-55,

...............10A-56, 10A-58,

...............10A-59, 10A-60,

...............10A-61, 10A-63,

...............10A-65, 10A-69,

...............10A-70, 10A-71,



...............10A-74, 10A-75,

...............10A-76, 10A-77,

...............10A-78, 10A-79,

...............10A-80, 10A-81,

...............10A-82, 10A-83,

...............10A-84, 10A-85,

...............10A-86, 10A-87,

...............10A-88, 10A-89,

...............10A-90, 10A-92,

...............10A-94, 10A-95,

...............10A-96, 10A-97,

.............10A-98, 10A-100,

...........10A-101, 10A-104,

...........10A-105, 10A-110,

...........10A-111, 10A-112,

...........10A-113, 10A-115,

...........10A-117, 10A-118,

...........10A-119, 10A-121,

...........10A-122, 10A-123,

...........10A-124, 10A-126,

...........10A-129, 10A-131,

...........10A-132, 10A-133,

...........10A-134, 10A-138,

...........10A-139, 10A-140,

...........10A-141, 10A-142,

...........10A-143, 10A-144,

...........10A-145, 10A-146,

...........10A-147, 10A-152,

...........10A-153, 10A-154,

...........10A-155, 10A-156,

...........10A-157, 10A-159,

...........10A-160, 10A-162,

...........10A-167, 10A-168,

...........10A-173, 10A-175,

...........10A-176, 10A-177,

...........10A-178, 10A-179,

............ 11-5, 11-9, 11-10,

........ 11-11, 11-12, 11-16,

........ 11-23, 11-30, 11-32,

........ 11-36, 11-40, 11-41,

........ 11-43, 11-46, 11-47,

........ 11-50, 11-55, 11-62,

........ 11-66, 11-73, 11-79,

........ 11-85, 11-87, 11-88,

........ 11-91, 11-92, 11-93,

...... 11-96, 11-98, 11-100,

................11-104, 11-108,

................11-115, 11-117,

.........11-118, App. 11A-3,

...........App. 11A-19, 12-5,

.......... 12-7, 12-26, 12-32,

........ 12-33, 12-42, 12-43,

........ 12-44, 12-58, 12-63,

............ 12-73, 13-6, 13-7,

.......... 13-8, 13-11, 13-17,

........ 13-21, 13-28, 13-38,

........ 13-45, 13-48, 13-49,

........ 13-57, 13-60, 13-61,

........ 14-31, 14-35, 14-90,

................14-122, 14-161,

................14-162, 14-173,

................14-175, 14-176,

................14-177, 14-178,

................14-179, 14-203,

................14-209, 14-211,

.......... 14-213, 15-6, 15-8,

......... 15-9, 15-53, 15-101A-3 ........................10-67, 10-68A-11 ................................. 11-86A-12 ................10A-10, 10A-18,

...............10A-19, 10A-20,

......... 11-10, 11-85, 11-86A-12(a) ....10A-18, 11-10, 11-85A-12(f) ...........................10A-19A-13 ...............................10A-19A-13(f) .........................10A-163D-1 .................................. 10-62D-8 ...... 10-17, 10A-15, 10A-21D-9 ............5-88, 6-84, 10A-81,

............... 10A-100, 13-41,

.....................13-64, 13-66D-11 ..............10A-22, 10A-163D-12 .........6-17, 10A-24, 12-57D-15 ..... 5-89, 10A-76, 10A-98,

...........10A-100, 10A-102,

...........10A-103, 10A-118,

..................10-233, 13-40,

.....................13-41, 13-44

T–62


G-1 ........10-17, 10-23, 10A-11,...............10A-14, 10A-15,...............10A-20, 10A-21,................10A-22, 10A-31

G-1(a) .............10A-14, 10A-15,............................10A-165

G-1(a)(1)(A) .................10A-165G-1(b) ..............10A-14, 10A-20G-1(d) ............................10A-15G-2 .................10A-11, 10A-22,

...............10A-30, 10A-38,

.....................11-86, 11-92G-3 .................10A-22, 10A-30,

...............10A-31, 10A-32,

...............10A-33, 10A-34,

...............10A-35, 10A-36,

................. 10A-37, 11-87,

....... 11-88, 11-92, 11-124G-3(i) ................. 10A-37, 11-88G-3(a)(i) .......................10A-164G-4 ................10A-38, 10A-153G-5 ..............................10A-153G-8 .......... 10-93, 10-94, 10-97,

................. 10-98, 10A-48,

...........10A-101, 10A-118,

...........10A-126, 10A-160,

............... 10A-175, 11-91,

.... 11-111, 11-120, 13-20,

........ 13-58, 15-56, 15-76,

....... 15-77, 15-78, 15-110G-8(a)(xiii)(B) ............ App. 6A-8G-8(a)(xi) ......... 10-96, 10A-126G-8(f) ............................... 10-94G-9 .........10-94, 10A-27, 11-91G-11 .......... 5-29, 5-47, 10-124,

................10-126, 10-129,

............... 10-133, 10A-29,

...............10A-39, 10A-42,

...............10A-43, 10A-44,

...............10A-45, 10A-46,

...............10A-47, 10A-48,

...............10A-49, 10A-50,

................10A-51, 10A-90G-11(a)(iii) .....................10A-44G-11(a)(vii) ....................10A-48

G-11(a)(x) ........................ 13-64G-11(a)(xii) ....................10A-48G-11(b) ......................... 10-122,

................ 10-124, 10A-46G-11(d) .............10-122, 10-124G-11(e) ...5-29, 10A-46, 10A-47G-11(f) ................ 5-57, 10A-43,

................10A-47, 10A-49G-11(g) .............................. 5-49G-11(g)(i) ........................... 5-50G-11(k) ..........................10A-50G-11(l) ...........................10A-51G-12 .............. 5-51, 5-56, 5-68,

............ 5-72, 5-75, 10-66,

............... 10-144, 10A-65,

...............10A-70, 10A-71,

...............10A-78, 10A-81,

...............10A-82, 10A-90,

........... 13-9, 13-10, 13-43G-12(b) ..........................10A-69G-12(b)(ii) ......................10A-71G-12(f) ...........................10A-69G-12(g) ..........................10A-71G-12(h) ..........................10A-71G-13 ................10-140, 10-142,

............... 10-143, 10A-72,

...............10A-74, 10A-75,

...............10A-76, 10A-90,

............... 10A-103, 13-20,

........ 13-52, 13-53, 13-54,

.....................13-55, 13-67G-13(a) .......................... 10-140G-13(b) .................13-52, 13-53G-13(b)(i) ...................... 10-140,

...................10-144, 13-67G-13(b)(ii) ...........10-144, 13-67G-13(b)(iii) ....... 10-140, 10A-74G-14 ........ 2-144, 2-222, 2-223,

.............. 5-21, 5-51, 5-52,

.............. 5-55, 5-56, 5-67,

.............. 5-68, 5-70, 5-75,

........6-25, 10-37, 10A-19,

...............10A-61, 10A-62,

...............10A-77, 10A-78,

.............10A-80, 10A-124,



............... 10A-128, 13-10,

........ 13-12, 13-30, 13-39,

.....................13-42, 13-43G-14(b) ..........................10A-90G-14(d) ..........................10A-77G-14(d)(vii)(A) .............10A-128G-15 .............. 5-21, 5-56, 5-68,

.......... 5-72, 5-75, 10-144,

...............10A-71, 10A-81,

...............10A-82, 10A-83,

...............10A-84, 10A-88,

...............10A-89, 10A-90,

.............10A-95, 10A-125,

...........10A-128, 10A-129,

...........10A-130, 10A-131,

...........10A-133, 10A-141,

............. 10A-143, 11-121,

......... 13-20, 13-42, 13-43G-15(a) ..........................10A-91G-15(a)(i)(A) ................10A-128G-15(a)(i)(B)–(E) ........ App. 6A-4G-15(a)(i)(E) .................10A-129G-15(a)(i)(F) .............. App. 6A-3G-15(a)(ii) ...................... 10-144G-15(a)(iv)(A) ............ App. 6A-3G-15(a)(iv)(B) ............ App. 6A-3G-15(a)(viii) ............. App. 6A-3,

..............................10A-91G-15(c) .............................. 5-75G-15(f) ..........................10A-84,

................10A-86, 10A-87G-15(f)(ii) .......................10A-85G-15(f)(iii) ......................10A-85G-15(g) .............. 10-97, 10A-89G-15(g)(i) .......................10A-89G-15(g)(ii) ......................10A-89G-15(g)(iii)(A) ................10A-89G-15(g)(iii)(A)(1) .............. 10-97G-16 .................. 10-88, 10A-27G-17 ........ 1-104, 1-118, 1-128,

.............. 4-47, 4-52, 4-53,

.............. 5-34, 5-70, 5-83,

.............. 5-87, 5-88, 5-89,

.............. 5-90, 5-92, 6-22,

.............. 6-23, 6-49, 6-77,

.............. 7-46, 7-47, 7-78,

............ 7-79, 7-80, 7-116,

........ 7-127, 7-187, 7-188,

.......... 7-191, 7-192, 8-32,

.......... 9-57, 10-48, 10-49,

...... 10-50, 10-58, 10-100,

................10-101, 10-102,

................10-105, 10-106,

................10-116, 10-122,

................10-124, 10-125,

................10-128, 10-147,

...............10A-28, 10A-46,

...............10A-47, 10A-48,

...............10A-49, 10A-51,

...............10A-75, 10A-81,

...............10A-84, 10A-87,

...............10A-91, 10A-92,

...............10A-93, 10A-94,

...............10A-95, 10A-96,

...............10A-97, 10A-98,

.............10A-99, 10A-100,

...........10A-101, 10A-104,

...........10A-105, 10A-106,

...........10A-108, 10A-109,

...........10A-110, 10A-111,

...........10A-120, 10A-141,

...........10A-142, 10A-145,

........ 11-18, 11-21, 11-43,

........ 11-49, 11-50, 11-55,

...... 11-56, 11-99, 11-100,

........ 13-20, 13-49, 13-51,

........ 13-54, 14-10, 14-36,

........ 14-37, 14-57, 14-98,

................14-173, 14-175,

................14-178, 14-205,

.................14-211, 14-212G-18 ............... 10-87, 10A-102,

...........10A-103, 10A-111,

...........10A-112, 10A-113,

...........10A-114, 10A-115,

...........10A-116, 10A-117,

...........10A-118, 10A-121,

............... 10A-138, 13-20,

.....................13-55, 13-58G-18(a) ........................10A-113

T–64


G-19 ............ 2-206, 6-79, 7-80,.......... 7-186, 7-191, 8-32,........ 10-49, 10-57, 10-96,..................10-99, 10-102,...............10A-76, 10A-87,...............10A-96, 10A-98,...........10A-103, 10A-118,...........10A-119, 10A-120,...........10A-121, 10A-142,...... 11-16, 11-111, 12-66,........ 13-20, 13-44, 13-47,...................13-49, 14-178

G-20 ...........10A-157, 10A-173,............. 10A-177, 11-113,................11-118, 11-120,................11-121, 11-122,.....................14-10, 15-78

G-20(a) .......................... 11-118G-20(c) .......................10A-173,

.................11-119, 11-120G-20(d) .......................... 11-120G-20(e) .............11-121, 11-122G-21 .................. 8-32, 10A-143G-23 .............10A-54, 10A-106,

...........10A-154, 10A-155,

...........10A-156, 10A-157,

........ 11-18, 11-21, 11-22,

........ 11-57, 11-58, 11-99,

................11-100, 11-108,

...................11-109, 12-20G-23(b) .......................10A-155,

...................11-57, 11-108G-23(c) .......................10A-156,

...................11-99, 11-100G-23(d) .........................10A-54,

...................11-22, 11-108G-27 ..................7-114, 10-122,

............. 10-124, 10A-152,

............................10A-153G-27(c) ........................10A-152G-27(e)(i) .....................10A-153G-27(e)(ii) ....................10A-154G-30 ................10-124, 10-147,

.............10A-29, 10A-111,

...........10A-114, 10A-121,

...........10A-124, 10A-125,

...........10A-129, 10A-130,

...........10A-131, 10A-133,

...........10A-138, 10A-139,

...........10A-140, 10A-141,

............... 10A-143, 13-10,

........ 13-20, 13-55, 13-56,

...................13-68, 14-178G-30(a) ......................... 10-122,

.............. 10-124, 10A-122G-30(b) .......................10A-122,

............10A-142, 10A-143G-30(b)(i) ......................... 13-56G-30(b)(ii) ........................ 13-56G-32 .............. 4-35, 5-34, 5-36,

....... 5-76, 5-89, 6-4, 6-15,

.............. 6-16, 6-17, 6-18,

.............. 6-19, 6-20, 6-21,

.............. 6-22, 6-23, 6-24,

.............. 6-25, 6-26, 6-27,

.............. 6-30, 6-32, 6-33,

.............. 6-35, 6-36, 6-37,

.............. 6-49, 6-64, 6-70,

.............. 6-71, 6-77, 6-78,

............ 6-81, 6-82, 6-102,

...............App. 6A-1, 7-31,

.............. 7-51, 9-33, 9-63,

...............10A-25, 10A-48,

...............10A-52, 10A-53,

...............10A-54, 10A-55,

...............10A-56, 10A-64,

.............10A-81, 10A-144,

...................13-30, 14-177G-32(a) .....................5-32, 6-82G-32(a)(i) ................. App. 6A-1,

......................... App. 6A-2G-32(a)(ii) ................ App. 6A-1,

............................10A-143G-32(a)(iii)(A) .......... App. 6A-2,

..............................10A-53G-32(a)(iii)(B) ............ App. 6A-2G-32(a)(iv) ...................10A-143G-32(a)(iv)(A) ............ App. 6A-3



G-32(b) ............................. 6-82,..............App. 6A-10, 9-63

G-32(b)(i) .........App. 6A-9, 9-63G-32(b)(i)(A) ............ App. 6A-1,

......................... App. 6A-7G-32(b)(i)(B)(1) .......... App. 6A-1G-32(b)(i)(C) ...................... 6-32G-32(b)(ii)(B) ............. App. 6A-9G-32(b)(iii) ................9-33, 9-69G-32(b)(iii)(B) ............ App. 6A-9G-32(b)(iv) .............. App. 6A-10G-32(b)(vi) ............... App. 6A-4,

.......App. 6A-6, App. 6A-7G-32(c) .............................. 6-82G-32(d) ..........................10A-52G-34 ............ 2-144, 5-54, 5-55,

.............. 5-56, 5-58, 5-60,

.............. 5-67, 6-19, 6-20,

.............. 6-21, 6-28, 6-29,

..... 6-30, 6-44, App. 6A-9,

..........9-59, 9-64, 10A-50,

...............10A-57, 10A-58,

...............10A-59, 10A-60,

...............10A-61, 10A-62,

...............10A-63, 10A-64,

................10A-65, 10A-77G-34(ii)(C) .....................10A-64G-34(a) ....................5-58, 5-60,

................10A-57, 10A-59G-34(a)(i)(4) ....................... 5-59G-34(a)(i)(A) ..................10A-58G-34(a)(i)(D) ...................... 5-59G-34(a)(i)(F) ...................10A-59G-34(a)(ii) ............ 5-61, 10A-65G-34(a)(ii)(A) ............ App. 6A-4G-34(a)(ii)(C) ...........5-65, 5-66,

...............5-67, App. 6A-4,

......... App. 6A-12, 10A-60G-34(a)(ii)(C)(1)(b) ...App. 6A-12G-34(a)(ii)(C)(3)(b) ...App. 6A-13G-34(b) ................ 5-60, 10A-60G-34(b)(i)(A)(1) ......... App. 6A-4G-34(b)(vi) ................ App. 6A-4G-34(c) ............10A-60, 10A-97

G-34(d) ..................... App. 6A-4G-34(e)(vii) ....................10A-57G-36 ........................6-33, 6-34,

........................6-36, 6-78,

........... 6-82, 7-51, 14-177G-37 ............ 1-118, 4-77, 4-78,

.......... 4-79, 10-61, 10-94,

...............10A-23, 10A-31,

...........10A-157, 10A-158,

...........10A-159, 10A-160,

...........10A-161, 10A-162,

...........10A-163, 10A-165,

...........10A-166, 10A-168,

...........10A-169, 10A-170,

...........10A-171, 10A-172,

...........10A-173, 10A-174,

...........10A-175, 10A-177,

............... 10A-178, 11-44,

.... 11-45, 11-118, 11-122,

.... 11-123, 11-127, 12-27,

........ 12-29, 12-31, 12-32,

........ 12-34, 12-35, 12-43,

........ 14-10, 14-56, 14-57,

.....................15-33, 15-34G-37(b) .......... 10A-162, 11-123G-37(b)(i)(D) ...............10A-168,

.............. 10A-169, 11-127G-37(b)(ii) ....................10A-169G-37(b)(ii)(A) ...............10A-170G-37(b)(ii)(C) ...............10A-171G-37(b)(B) ...................... 11-123G-37(b)(C) ..................... 11-125G-37(c) ........................10A-166G-37(c)(i) .....................10A-171G-37(d) ........10A-172, 10A-175G-37(e) ........................10A-172G-37(e)(i)(C) ................10A-172G-37(e)(iv) ...................10A-173G-37(g) ........................10A-176G-37(g)(ii)(C) ...............10A-171G-37(g)(ii)(D) ...............10A-171G-37(g)(ii)(E) ................10A-171G-37(g)(xiii)(A) .............10A-164G-37(g)(xix) ..................10A-166

T–66


G-38 ............... 1-118, 10A-157,...........10A-174, 10A-175,............... 10A-177, 11-43,......... 11-44, 12-31, 12-32

G-39 ............10A-153, 10A-175G-42 ............ 4-77, 4-78, 11-49,

........ 11-50, 11-91, 11-99,

................11-100, 11-101,

................11-102, 11-103,

................11-104, 11-105,

................11-108, 11-109,

................11-111, 11-115,

................11-116, 11-117,

................11-118, 11-122,

.................14-213, 14-214G-42(a) ......................... 11-106,

.................11-108, 11-110G-42(b) ............11-105, 11-107,

.................11-108, 11-109G-42(b)(i) ....................... 11-106G-42(b)(ii) ...................... 11-107G-42(c) .............11-100, 11-109G-42(d) ......................... 11-108,

.................11-110, 11-111G-42(e)(i) ..........11-113, 11-115G-42(e)(ii) ..................... 11-114,

.................11-115, 11-117G-42(f)(v) ....................... 11-101G-42(f)(ix) ...................... 11-115G-43 ............... 10A-115, 13-58,

....................13-61, 13-62,

....................13-63, 13-64,

......... 13-65, 13-66, 13-67

G-43(a) ............................ 13-62G-43(b) ............................ 13-62G-43(c) .................13-63, 13-65G-43(d)(ii) ........................ 13-59G-43(d)(iii) ....................... 13-58G-43(d)(vii) ...................... 13-59G-44 ........ 11-87, 11-90, 11-91,

......... 11-92, 11-93, 11-94G-44(a) ............................ 11-92G-44(b) ............................ 11-92G-44(c) ............................ 11-93G-44(d) ............................ 11-93G-47 .............. 5-70, 5-71, 5-87,

.......... 5-88, 5-89, 10-102,

...............10A-76, 10A-81,

...............10A-87, 10A-95,

...............10A-98, 10A-99,

...........10A-100, 10A-102,

...........10A-103, 10A-104,

...........10A-118, 10A-120,

......... 13-10, 13-49, 13-50G-47(a) ..........................10A-98G-47(b)(i) .....................10A-103G-47(b)(ii) ....................10A-103G-48 ..... 5-89, 10A-76, 10A-98,

...........10A-100, 10A-102,

...........10A-103, 10A-113,

...........10A-118, 10A-121,

........ 13-41, 13-44, 13-50,

......... 13-53, 13-54, 13-56G-48(a) .............................. 5-89G-48(c) ............................ 13-44G-48(d) ............................ 13-53



FEDERAL TAXATION MATERIALS

Treasury Regulations§ 1.41-(3)(g)(8) ................... 1-37§ 1.103-(b) ....................2-6, 2-7§ 1.103-1(b) .............2-15, 2-17,

.......................2-20, 2-170§ 1.103-8(a)(2) ................... 1-73§ 1.141-1 ........................... 1-59§ 1.141-2 ........................... 1-59§ 1.141-3(b)(4) ................... 1-70§ 1.141-3(b)(6) ................... 1-70

§ 1.141-3(c) ..............1-72, 1-73§ 1.141-4(e)(2) ................... 1-63§ 1.141-4(e)(3) ................... 1-63§ 1.501(c)(3)-1 ......2-177, 2-178§ 1.501(c)(3)–1(d)(1) .......... 1-35§ 1.501(c)(3)–1(d)(1)(ii) .... 2-182§ 1.501(c)(3)–1(d)(2) .......... 1-34§ 1.513-1(b) ....................... 1-35§ 1.513-1(d)(4)(iv) .............. 1-37

Revenue Rulings54-106 ............................. 1-10855-440 ............................. 10-3855-540 ............................. 1-10857-128 .............. 2-5, 2-18, 2-1957-187 .....................1-36, 2-20,

.....................2-156, 2-17160-179 ............................. 1-10860-248 ............................. 2-15663-20 ........... 1-36, 2-17, 2-118,

........ 2-153, 2-154, 2-157,

........ 2-158, 2-159, 2-160,

........ 2-161, 2-162, 2-163,

........ 2-165, 2-166, 2-168,

........ 2-170, 2-178, 2-179,

............. 2-186, 2-188, 4-869-453 ............................... 2-1869-545 ..................2-182, 2-18372-399 ............................. 10-3875-62 ................................. 1-6977-143 ................................. 2-778-138 ................................. 2-778-276 ........................2-7, 2-1679-95 ................................... 2-783-131 .............. 2-7, 2-16, 2-1785-1 ................................... 1-5985-2 ................................... 1-59

Revenue Procedures82-26 .......... 1-36, 2-160, 2-16697-13 ............. 1-60, 1-61, 2-97,

.....................2-174, 2-1852001-39 ............................. 1-61

2002-64 ............................. 1-562003-84 ......................4-4, 4-182016-44 ............................. 1-612017-13 ............................. 1-61

T–68


Private Letter Rulings7821068 (Feb. 23, 1978) ........................................................... 10-3888-27-027 (Mar. 29, 1988) ........................................................ 2-133200313007 (Dec. 17, 2002) ......................................................... 1-69200641001 (July 11, 2006) .......................................................... 1-62200641002 (July 19, 2006) .......................................................... 1-62



SEC MATERIALS

Securities Act Releases70, Offers of Sale Prior to Effective Date of Registration

Statement (Nov. 6, 1933) ....................................................... 5-9464, Distribution by Statistical Services of Bulletins

Describing Securities (Aug. 19, 1935) ..................................... 5-91862 (Dec. 14, 1938) ............................................................7-7, 7-163061, Acceleration of the Effective Date of Registration

Statement Where an Inadequate “Red-Herring”Prospectus Issued (Apr. 30, 1945) ........................................ 5-10

3177, Adoption of Rule 131 (Dec. 5, 1946) ................................ 5-113459 (Mar. 18, 1983) .................................................................. 2-603845, In re Ira Haupt & Co. (1946) ............................................ 5-984150, Preliminary Report on Practices in Distribution of

“Hot Issues” (Oct. 23, 1959) ...............................10-119, 10-1204412 (Sept. 20, 1961) .........................................................6-41, 7-494552 (Nov. 6, 1962) .................................................................. 2-2164896 (Feb. 1, 1968) ............................................................2-34, 2-794921, Explanation of Rule 131

(Aug. 28, 1968) ............................................... 1-111, 2-33, 2-34,................................................................. 2-35, 2-46, 2-91, 2-119

4968, Prior Delivery of Preliminary Prospectus(Apr. 24, 1969) ...................................................................... 5-16

5010 (Oct. 7, 1969) ....................................................................... 6-55055 (Mar. 31, 1970) .........................................................2-34, 2-935103 (Nov. 6, 1970) .................................................................... 2-335223 (Jan. 11, 1972) ...........................................................7-35, 7-365275, Obligations of Underwriters, Brokers and

Dealers in Distributing and Trading Securities,Particularly of New High-Risk Ventures(July 26, 1972) .................................. 7-112, 7-147, 7-171, 7-174

5487 (Apr. 23, 1974) ................................................................. 2-1945627 (Nov. 6, 1975) .................................................................... 8-125998 (Nov. 17, 1978) ................................................................ 7-1516084 (June 25, 1979) ................................................................... 8-796127, Accountant Liability for Reports on

Unaudited Interim Financial InformationUnder Securities Act of 1933 (Sept. 20, 1979) ................... 7-120

6173, Accountant Liability for Reports onUnaudited Interim Financial Information(Dec. 28, 1979) ................................................................... 7-120

T–70


6253, Procedures Utilized by the Division ofCorporate Finance for Rendering Informal Advice(Oct. 28, 1980) .............................................. 1-38, 2-151, 2-175

6331, Reproposal of Comprehensive Revision toSystem for Registration of Securities Offerings(Aug. 18, 1981) ..........................................................9-9, 14-136

6332, Proposed Recision of Guides for the Preparationand Filing of Registration Statements andReports (Aug. 18, 1981) .......................................................... 9-9

6334 (Aug. 15, 1981) ................................................................... 9-996335 (Aug. 18, 1981) .....................................................7-151, 7-152,

...................................................................... 7-154, 7-173, 7-1746383, Adoption of Integrated Disclosure System

(Mar. 3, 1982) ..................................................................8-4, 9-96389 (Mar. 8, 1982) .................................................................. 2-1956455 (Mar. 3, 1983) .................................................................. 2-2046688, Request for Comments on the Use of the

Exemption in Section 3(a)(2) SecuritiesAct of 1933, of the Insurance Policies toGuarantee Debt Securities (Feb. 6, 1987) ....................2-83, 2-89

6763 (Apr. 4, 1988) ....................................................................... 6-76806 (Oct. 25, 1988) ..........................................................7-33, 7-426862 (Apr. 23, 1990) ..........................................................3-68, 3-696894 (May 23, 1991) ................................................................... 2-607049 ................................................................................... App. 6B-17233, Use of Electronic Media for Delivery Purposes

(Oct. 6, 1995) ........................................................ 5-8, 6-8, 6-647260, In re Orange County, California (Jan. 24, 1996) ............... 15-67288 (May 9, 1996) ..................................................................... 6-647345, In re Maricopa County, Arizona (Sept. 30, 1996) ............. 15-57375 (Dec. 20, 1996) ................................................................... 7-407380 (Jan. 14, 1997) ...........................................................8-53, 8-547390 (Feb. 20, 1997) ................................................................... 7-387460, In re City of Syracuse (Sept. 30, 1997) ............................. 15-67497 (Jan. 28, 1998) .................................................................... 8-537606A, Regulation of Securities Offerings (Dec. 4, 1998) ........... 7-107606A, Regulation of Securities Offerings

(Nov. 13, 1998) ..........................................................7-157, 9-997760 (Oct. 22, 1999) ................................................................. 14-317855 (Apr. 24, 2000) ................................................................... 8-607856 (May 7, 2000) ..................................................................... 6-647856, Use of Electronic Media (Apr. 28, 2000) ....................5-8, 8-407881, Selective Disclosure and Insider Trading

(Aug. 15, 2000) ..................................................................... 8-43



8213, In re City of Miami, Florida, Cesar Odio andManohar Surana (Mar. 21, 2003) ...............................8-31, 8-76,........................................................................ 8-104, 8-117, 15-6

8260, In re Mass. Turnpike Auth. andJames J. Kerasiotes (July 31, 2003) ....................................... 15-6

8287 (Sept. 11, 2003) .................................................................. 2-608411, In re Neshannock Township School District

(Apr. 22, 2004) ................................................. 14-5, 14-71, 15-78412, In re Weiss (Apr. 22, 2004) ............................................. 14-708415, In re Dauphin County General Authority,

SEC Cease-and-Desist Order (Apr. 26, 2004) ....................... 15-68459, In re Ira Weiss and L. Andrew Shupe II

(Aug. 24, 2004) .............................................. 14-5, 14-70, 14-718501 (Nov. 17, 2004) .................................................................. 8-908501, SEC Securities Offering Reform (Nov. 3, 2004) ................ 5-708591 (July 19, 2005) .............................................................6-9, 9-998591, SEC, Securities Offering Reform (Dec. 1, 2005) ................ 5-708641, In re Ira Weiss (Dec. 2, 2005) ..............................14-71, 14-748684 (May 31, 2006) ................................................................. 9-1148721, In re Dolphin & Bradbury, Inc. and

Robert J. Bradbury (July 13, 2006) ..........................14-10, 14-98,................................................................ 14-100, 14-107, 14-109

8751, In re City of San Diego, Cal.(Nov. 14, 2006) ................ 8-16, 8-80, 15-6, 15-10, 15-44, 15-66

8767 (Jan. 9, 2007) .................................................................... 9-1148813 (June 22, 2007) ................................................................... 7-388828 (Aug. 3, 2007) ................................................................... 2-2178854, In re CDR Financial Products (Sept. 28, 2007) ............... 15-528869 (Dec. 6, 2007) ..........................................................2-211, 7-388732A (Aug. 29, 2006) ................................................................ 8-129078, In re J.P. Morgan (Nov. 4, 2009) ..................................... 15-679089A (Dec. 16, 2009) ................................................................ 8-129135, In re State of New Jersey, SEC Cease-and-Desist Order

(Aug. 18, 2010) .................. 8-143, 15-5, 15-6, 15-9, 15-45, 16-49148 (Oct. 4, 2010) ..................................................................... 4-199148, National Council of State Agencies

Comment Letter to SEC (Nov. 15, 2010) ............................... 4-79148, National Association of Bond Lawyers,

Comment Letter to SEC (Nov. 19, 2010) ............................. 4-209175 (Jan. 20, 2011) .................................................................... 4-199178 (Jan. 25, 2011) .................................................................... 8-129415 (July 10, 2013) .......................................................2-208, 2-2139435, In re West Clark Community Schools

(July 29, 2013) ...................................................................... 9-75

T–72


9450, In re Public Health Trust ofMiami-Dade County, Florida (Sept. 13, 2013) ................. 14-166

9452 (Sept. 18, 2013) .................................................................. 8-129610, In re Kings Canyon Joint Unified School District

(July 8, 2014) ........................................................................ 9-769629, In re State of Kansas (Aug. 11, 2014) ...................1-124, 8-1619677, In re City of Allen Park (Nov. 6, 2014) ..................1-121, 8-169741 (Apr. 20, 2015) ......................................................2-218, 2-2199889, In re Edward D. Jones & Co.

(Aug. 13, 2015) ................................................... 10-122, 10A-2810053, In re Westlands Water District,

Thomas W. Birmingham, and Louie David Ciapponi(Mar. 9, 2016) ....................................................................... 8-16

10278, In re Port Authority of New York andNew Jersey (Jan. 10, 2017) ................................ 1-29, 8-22, 8-23

15237, In re State of Illinois,SEC Cease-and-Desist Order (Mar. 11, 2013) ...........8-132, 16-4

67934, In re Goldman, Sachs & Co. (Sept. 27, 2012) ..........10A-16177300, In re First Southwest Co. (Mar. 7, 2016) ...................... 11-9985-285 (1935) ............................................................................ 2-192

Securities Act Rules100 ..... 10-136, 10-137, 10-138100–05 ........................... 10-136101 ..... 10-136, 10-137, 10-138102 ..... 10-136, 10-137, 10-138104 ..... 10-136, 10-137, 10-138131 .......... 1-107, 1-110, 1-111,

..... 1-117, 2-5, 2-24, 2-28,

..... 2-30, 2-31, 2-32, 2-33,

..... 2-34, 2-36, 2-37, 2-40,

..... 2-46, 2-79, 2-80, 2-91,

... 2-93, 2-98, 2-99, 2-118,

........ 2-119, 2-143, 2-157,

........ 2-172, 2-173, 2-174,

............ 2-222, 3-29, 3-30,

.............. 3-57, 4-44, 5-11,

................. 6-17, 9-7, 9-10131(a) ....2-33, 2-34, 2-35, 2-36,

...... 2-37, 2-38, 2-40, 2-52,

...... 2-68, 2-79, 2-81, 2-93,

............. 2-97, 2-99, 2-157,

..........................4-45, 5-11

131(b) ............ 2-33, 2-36, 2-37,.............. 2-38, 2-39, 2-40,.............. 2-41, 2-52, 2-53,.............. 2-79, 2-93, 2-95,............. 2-99, 2-164, 4-45

131(b)(1) ....... 2-40, 2-52, 2-157131(b)(2) ...................2-41, 2-68134 .................................... 6-11134(d) ................................ 6-11137 ...............................5-6, 5-7137–39 ................................. 5-6139 ...................................... 5-6141 ...........................7-12, 7-13142 ................... 7-7, 7-15, 7-16144 .......... 2-110, 2-210, 2-211,

.......... 2-212, 2-213, 3-68,

....... 6-76, 7-8, 7-17, 7-32,

.............. 7-36, 7-37, 7-38,

.............. 7-39, 7-42, 7-59,

.......... 7-61, 7-180, 7-181,

.....................9-105, 9-109



144(a)(3) .......................... 2-213144(c) ......................2-211, 7-38144A ........ 1-112, 2-108, 2-110,

........ 2-208, 2-210, 2-211,

........ 2-212, 2-213, 2-214,

............ 2-220, 3-67, 3-68,

.............. 3-69, 3-70, 3-73,

.............. 6-87, 6-88, 6-98,

.............. 7-33, 7-36, 7-39,

.............. 7-40, 7-41, 7-42,

.............. 7-50, 7-59, 7-62,

............ 7-63, 7-66, 7-121,

........ 7-138, 7-180, 9-109,

.................10-137, 10-138144A(a)(1) .......................... 6-88145 .................................. 9-107146 .................................. 2-194151 .................................... 2-83152 .................................. 2-216154 ........................... App. 6A-3154(a) ....................... App. 6A-3154(c) ........................ App. 6A-3156 ..............................10A-143159 ................ 5-19, 5-70, 5-80,

.............. 5-81, 5-82, 5-84,

.............. 5-85, 5-86, 5-89,

...... 5-92, 5-93, 6-23, 9-57159(b) ................................ 5-85163 .................................... 6-10164 ...........................6-11, 6-12172 ...........................6-13, 6-14172(a) ................................ 6-14172(b) ................................ 6-13

173 .................................... 6-14174 ........... 5-19, 6-7, 6-8, 6-14,

...... 6-52, 6-53, 6-60, 7-26175 .................................... 8-79176 ................ 6-86, 7-87, 7-88,

.......... 7-90, 7-100, 7-101,

........ 7-150, 7-151, 7-152,

........ 7-153, 7-154, 7-155,

........ 7-156, 7-157, 7-159,

........ 7-161, 7-162, 7-174,

......... 7-175, 7-176, 7-177176(h) ...................7-155, 7-156255 .................................. 2-219251–263 ........................... 14-19405 ................ 6-10, 6-11, 6-12,

................. 6-99, 7-14, 9-5408 .........................9-5, 10-296415 .............. 7-90, 7-98, 7-149,

.....................7-150, 10-45421(b) ............. 8-37, 8-54, 8-56421(d) ............. 8-54, 8-57, 8-90421(d)(3) ............................ 8-66423 .................................... 6-60424 ................. 5-15, 6-13, 6-59430 ..........................5-14, 5-15,

............... 5-16, 5-17, 6-45430A .........................5-15, 6-60433 ...... 6-10, 6-11, 6-12, 6-100436 .......................7-119, 7-120460 ..........................5-15, 5-16,

................... 6-3, 6-5, 6-11461 .............................5-17, 6-4482 ..............................10A-143

Securities Act RegulationsRegulation Agenerally ...........................................2-203, 2-219, 4-71, 6-76, 13-14Rule 251 .................................................................................... 2-219Rule 262 ...................................................................................... 7-32Rules 251–63 ............................................................................ 2-218

T–74


Regulation A+generally .........................................................................14-20, 14-21Rule 251(d)(2)(C) ....................................................................... 14-20Rule 256 .................................................................................... 14-20

Regulation ABgenerally ...............................................................................4-5, 4-19

Regulation CRule 421(b) ............................................................... 8-37, 8-54, 8-56

Regulation Dgenerally ............... 2-110, 2-191, 2-193, 2-195, 2-198, 2-200, 2-204,

........................ 2-205, 2-206, 2-209, 2-210, 2-211, 2-212, 2-213,

.......................2-216, 2-218, 2-219, 3-67, 4-16, 6-39, 6-76, 6-87,

.................................................7-36, 7-121, 7-184, 7-186, 7-187,

............................................................. 7-188, 9-109, 10-8, 10-10Rule 500 .................................................................................... 2-195Rule 500(a) ................................................................................ 2-204Rule 500(d) ................................................................................ 2-195Rule 501 ............................. 2-206, 2-207, 2-208, 7-34, 7-182, 14-20Rule 501(a) ......................................................... 2-202, 2-204, 14-20Rule 501(a)(1) ............................................................................ 2-202Rule 501(e) ......................................................... 2-197, 2-198, 2-207Rule 501(i) ................................................................................. 2-198Rule 502 ............................. 2-198, 2-206, 2-207, 2-216, 7-34, 7-192Rule 502(a) .....................................................................2-208, 2-216Rule 502(b) ......................................................... 2-203, 2-205, 2-206Rule 502(b)(i) ............................................................................. 2-205Rule 502(b)(ii) ............................................................................ 2-205Rule 502(b)(iv) ........................................................................... 2-205Rule 502(b)(v) ............................................................................ 2-205Rule 502(c) ........................................................ 2-198, 2-199, 2-200,

....................................................2-202, 2-206, 2-207, 6-88, 7-33Rule 502(d) ................................................ 2-206, 2-208, 2-210, 7-33Rule 503 ...................................................................................... 7-34Rule 504 ......................................2-195, 2-198, 2-199, 2-203, 2-206,

....................................................2-207, 3-68, 6-88, 7-182, 7-183Rule 505 ......................................2-195, 2-198, 2-199, 2-203, 2-205,

............................... 2-207, 3-68, 6-88, 7-32, 7-182, 7-183, 7-193Rule 505(b)(2)(ii) ........................................................................ 2-197Rule 506 .......................... 2-195, 2-198, 2-199, 2-207, 2-208, 2-213,

................................ 2-215, 3-68, 6-88, 7-33, 7-35, 7-180, 7-182,

...................................... 7-183, 7-185, 7-189, 7-193, 8-26, 14-19



Rule 506(b) ..................................2-199, 2-201, 2-202, 2-203, 2-205,..................................................2-207, 2-209, 2-215, 2-220, 8-26

Rule 506(b)(2)(i) ......................................................................... 2-197Rule 506(b)(2)(ii) ........................................................................ 2-196Rule 506(b)(ii) .............................................................................. 7-33Rule 506(c) ..................................2-193, 2-199, 2-201, 2-202, 2-203,

................................................2-207, 2-208, 2-209, 2-215, 2-220Rule 506(d) ................................................................................ 2-208Rule 701(c) .................................................................................. 7-33

Regulation Egenerally ...................................................................................... 14-4

Regulation FDgenerally ............................... 8-38, 8-43, 8-50, 8-51, 8-52, 9-4, 9-66,

.................................................9-70, 9-121, 9-123, 9-124, 9-125,

......................................................... 9-126, 9-127, 9-130, 14-211

Regulation Mgenerally ...................................... 7-35, 7-40, 7-42, 7-46, 7-54, 7-61,

...................................................10-136, 10-138, 10-139, 10A-74Rule 100 .....................................................................10-136, 10-137Rules 100–05 ........................................................................... 10-136Rule 101 .....................................7-41, 7-45, 10-136, 10-137, 10-138Rule 102 ....................................................... 10-136, 10-137, 10-138Rule 104 ..........................................10-136, 10-137, 10-138, 10A-74

Regulation Sgenerally ...................................................................................... 6-76

Regulation Rgenerally .........................................................................10-21, 10-36

Regulation S-Kgenerally ............... 5-15, 7-133, 8-4, 8-6, 8-7, 8-10, 8-58, 8-64, 9-14Item 101 ........................................................................................ 8-4Item 303 ............................. 8-80, 8-111, 8-112, 8-113, 8-114, 8-115Item 305 ...................................................................................... 8-96Item 307 ...................................................................................... 8-13Item 308 ...................................................................................... 8-13Item 401 ...................................................................................... 8-11Item 402 ...................................................................................... 8-11Item 404 .................................................................................... 1-119Item 407 .................................................................................... 1-119Item 501(b)(10) ...................................................................5-14, 5-15

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Item 503 .................................................................................... 14-92Item 503(a) .................................................................................. 8-61Item 503(c) ...............................................8-7, 8-90, 8-91, 8-92, 9-85Item 601 ...................................................................................... 8-60Item 601(a)(2) .............................................................................. 8-60

Regulation S-Tgenerally ...................................................................................... 8-60Rule 11 ........................................................................................ 8-60Rule 105 ...................................................................................... 8-60

Regulation S-Xgenerally .................................................................................... 7-133Article 8 ..................................................................................... 2-203Rule 3-12 ................................................................................... 8-102

Exchange Act Releases3505, Interpretation of Anti-Manipulation Provisions

(Nov. 16, 1943) ................................................................. 10-1353845, In re Ira Haupt & Co. (1946) ............................................ 5-983914, In re City of Syracuse (Sept. 30, 1997) ............................. 15-64048, In re Arleen W. Hughes (Feb. 18, 1948) .......................... 12-794310, In re Halsey, Stuart & Co. (1949) ..................................... 6-615194 (July 5, 1955) ...................................................................... 7-406711 (Apr. 24, 1987) ................................................................. 8-1128661 (Aug. 4, 1969) ................................................................... 13-228710 (Oct. 7, 1969) ....................................................................... 6-59420, Statement of Policy Regarding Comparability of

NASD and SEC Regulations (Feb. 11, 1972) .................... 10-1189671 (July 26, 1972) .................................................................... 7-7111673 (Sept. 23, 1975) .............................................................. 13-2211876, Adoption of Temporary Rule 23a-1(T)

Relating to the Regulation of MunicipalSecurities Brokers, Municipal Securities Dealersand Transactions in Municipal SecuritiesUnder the Securities Exchange Act of 1934(Nov. 26, 1975) ................................................................... 10-92

12251 (Mar. 24, 1976) .............................................................. 12-9112468, Amendment of Various Securities

Exchange Act Rules (May 20, 1976) ........ 10-92, 10-114, 10A-3113295, Recordkeeping and Preservation

Requirements for Municipal Securities Brokersand Dealers (Feb. 24, 1977) ................................................ 10-94

13508, Securities Confirmations Deliveryand Disclosure Requirements (May 5, 1977) ................... 10-145



13512, Edward J. Mawod & Co. (May 6, 1977) ...................... 10-11413679, Minimum Qualification Requirements for

Registered Brokers and Dealers andAssociated Persons (June 27, 1977) ..................................10A-30

15547, Final Report in the Matter of Transactions inthe Securities of the City of New York (Feb. 5, 1979) .......... 15-7

15548 (Feb. 5, 1979) ................................................................. 14-3115567, In re Spartek, Inc. (Feb. 14, 1979) .....................15-15, 15-3216384 (Nov. 29, 1979) .............................................................. 14-3017371, In re Nat’l Ass’n of Sec. Dealers, Inc.,

(Dec. 12, 1980) ......................................10-129, 10-131, 10A-5517480, Raymond L. Dirks (Jan. 21, 1981) ................................ 9-12118007 (Aug. 6, 1981) ................................................................. 9-12018528 (Mar. 3, 1982) .................................................................. 7-4218800, In re Schwarm & Co. (June 10, 1982) ......... 7-77, 7-78, 7-8219565 (Mar. 4, 1983) .....................................................7-42, 10-13919747 (May 9, 1983) ................................................................... 5-5820017 (1989) ............................................................................. 12-7220409, Rescission and Modification of Rules

(Nov. 22, 1983) ................................................................. 10-11820560, Public Statements by Corporate Representatives

(Jan. 13, 1984) ............................................... 9-22, 9-46, 14-21122214, Carnation Co. (July 8, 1985) ........................................... 9-4923170 (Apr. 23, 1986) ............................. 12-89, 12-90, 12-91, 12-9223856 (Dec. 3, 1986) ................................................................. 9-14524368, Zero-Coupon Securities (Apr. 21, 1987) ........10-146, 10-14726100 (Sept. 28, 1988) ............................................. 7-69, 7-93, 7-9426100, Proposal of Securities Exchange

Act of 1934 Rule 15c2-12(Sept. 22, 1988) ......................................... 4-31, 6-5, 6-35, 6-83,..............................................App. 6B-1, 7-72, 7-80, 7-83, 7-128,.......................................... 7-131, 8-74, 9-35, 9-99, 10-107, 15-7

26450 (Jan. 12, 1989) .....................................................13-31, 13-3526635, In re Louis R. Trujillo (Mar. 16, 1989) ......................10A-14826708 (Apr. 11, 1989) ....................................................13-22, 13-2726985, Adoption of Securities Exchange

Act of 1934 Rule 15c2-12(June 28, 1989) .................6-3, 6-4, 6-35, 6-52, App. 6B-1, 7-19,............................................... 7-24, 7-35, 7-38, 7-56, 7-59, 7-66,................................. 7-87, 7-94, 9-34, 9-98, 9-127, 14-164, 15-7

26985 (July 10, 1989) .................................................................. 8-7427160 (Aug. 22, 1989) ......................................................6-85, 13-4427535, In the Matter of the Application of

F.J. Kaufman & Co (1989) .................................................. 13-4627963, In re Gary Chambers (Apr. 30, 1990) .......................10A-148

T–78


29017, In re Arthur James Huff (Mar. 21, 1991) ..................10A-14829132 (publ. Feb. 23, 2010, eff. May 5, 2010) ............................ 3-7831207, In the Matter of Donaldson,

Lufkin & Jenrette Sec. Corp. (Sept. 22, 1992) .............7-80, 7-8531554, John H. Gutfreund, Thomas W. Strauss &

John W. Meriwether (Dec. 3, 1992) ...............................10A-14732340, In re Frederick H. Joseph (May 20, 1993) .................10A-14832341, In re Edwin Kantor (May 20, 1993) ..........................10A-15133023 (Oct. 6, 1993) ...............................................................10A-6933741, SEC Statement of the Commission

Regarding Disclosure Obligations of MunicipalSecurities Issuers and Others (Mar. 9, 1991) ...............9-35, 9-51

33741, SEC Statement of the CommissionRegarding Disclosure Obligations ofMunicipal Securities Issuers and Others(Mar. 9, 1994) .................................. 6-91, App. 6B-1, 7-85, 15-7

33741 (Mar. 17, 1994) ...............................................14-178, 14-17933742, Proposal of Amendments to

Securities Exchange Act of 1934Rule 15c2-12 (Mar. 9, 1994) ................. 6-85, 9-35, 10-107, 15-7

33743, Proposed Amendments toRule 10b-10 and Proposed Rule 15c2-13(Mar. 9, 1994) ............................................5-72, 10-141, 10A-81

33924 (Apr. 19, 1994) ......... 7-24, 7-35, 7-40, 7-42, 7-45, 7-60, 9-9934047, In re Am. W. Airlines, Inc. (May 12, 1994) .................. 8-11334961 (July 3, 1995) ................................................................ 14-16434961, Adoption of Amendments to

Securities Exchange Act of 1934Rule 15c2-12 (Nov. 10, 1994) .................. 2-98, 6-85, 9-34, 9-44,................................................................... 9-45, 9-74, 9-76, 15-7

35124 (Dec. 20, 1994) ............................................................... 13-2736727 (Jan. 17, 1996) ............................................10A-173, 10A-17536760, In re County of Orange, California

(Jan. 24, 1996) ............... 15-6, 15-9, 15-10, 15-18, 15-29, 15-6636761, Report of Investigation in the Matter of

County of Orange, California as it Relates tothe Conduct of the Members of the Board ofSupervisors (Jan. 24, 1996) .............. 15-12, 15-13, 15-14, 15-15,.......................................................... 15-16, 15-17, 15-18, 15-19,...................................................................... 15-20, 15-32, 15-33

36937, In re FAIC Sec., Inc. (Mar. 7, 1996) ..........................10A-16037094 (Apr. 11, 1996) ........................................................7-40, 7-4537542 (Aug. 8, 1996) ......................................................10-75, 10-7637619A (Aug. 28, 1996) ............................................................ 13-2737619A (Sept. 6, 1996) ............................................................. 13-35



37748, In re Maricopa County, Arizona (Sept. 30, 1996) ........... 15-537779, In the Matter of Maricopa County (Oct. 3, 1996) ........ 8-10437850, Proposed Rule: Books and Records Requirements for

Brokers and Dealers (Oct. 22, 1996) .................................. 10-9537940, In re Fox-Pitt, Kelton, Inc. (Nov. 12, 1996) .................. 9-12138067 (Dec. 20, 1996) ............................................................. 10-13638672 (May 23, 1997) ............................................................... 13-2739157, SEC, Report of Investigation Pursuant to

§ 21(a) of the Securities Exchange Act of 1934Concerning the Conduct of Certain Officers andDirectors of W.R. Grace & Co. (Sept. 30, 1997) ................. 15-32

39472, In re Presses, Inc. (Dec. 22, 1997) ................................ 8-11239595, In re Credit Suisse First Boston Corp.,

Jerry L. Nowlin, and Douglas S. Montague,Cease-and-Desist Order (Jan. 29, 1998) ...... 7-125, 7-126, 7-127

39884 (Apr. 17, 1998) ............................................................... 13-2740305, In re Sony Corp. (Aug. 5, 1998) .................................... 8-11240352, In the Matter of Merrill Lynch, Pierce,

Fenner & Smith, Inc., Cease-and-Desist Order(Aug. 24, 1998) ........................................... 7-125, 7-128, 7-129,.................................................................... 7-130, 7-131, 10-293

40518, Reproposed Rule: Books and Records Requirementsfor Brokers and Dealers Under the Securities ExchangeAct of 1934 (Oct. 2, 1998) ................................................. 10-95

40760 (Dec. 8, 1998) ......................................... 13-27, 13-34, 13-35,........................................................... 13-36, 13-37, 13-38, 13-39

42259, SEC, Proposed Rules, Selective Disclosure andInsider Trading (Dec. 20, 1999) .................... 9-13, 9-121, 9-122,...................................................................... 9-123, 9-124, 9-125

42728, Use of Electronic Media (Apr. 28, 2002) ................8-40, 8-4143154, Selective Disclosure and Insider Trading

(Aug. 15, 2000) ................................................................... 9-12143410, In re Stephen Stout (Oct. 4, 2000) .............................. 10-10343709, Cornhusker Energy Lexington, LLC v.

Prospect Street Ventures (2000) ............................................ 10-944969, SEC, Report of Investigation Pursuant to

Section 21(a) of the Securities Exchange Act of 1934and Commission’s Statement on the Relationship ofCooperation to Agency Enforcement Decisions(Oct. 23, 2001) ................................. 15-31, 15-35, 15-36, 15-37

44970, In re Gisela de Leon-Meredith (Oct. 23, 2001) ............. 15-3544992, Final Rule: Books and Records Requirements for

Brokers and Dealers (Oct. 26, 2001) .................................. 10-9545124 (Dec. 4, 2001) ......................................................8-110, 8-111

T–80


45287, In re Trump Hotels & Casino Resorts, Inc.(Jan. 16, 2002) .................................................................... 8-111

45402, In re Pryor, McClendon, Counts & Co., Inc.,a/k/a Pryor, Counts & Co., Raymond J. McClendon,Allen W. Counts, & Theresa A. Stanford (Feb. 6, 2002) .... 14-56

45923, In re Sandra K. Simpson, et al. (May 14, 2002) .......... 10-10347364 (Feb. 14, 2003) ......................................................10-6, 10-3248252 (July 29, 2003) .............................................................. 10-29348758, Richmark Capital Corp. (Nov. 7, 2003) ...................... 14-10048903, In re William C. Pionetek (Dec. 11, 2003) ................. 10-10349325 (Feb. 26, 1994) ................................................................. 13-549596, In re Weiss (Apr. 22, 2004) ........................................... 14-7049600, In re Neshannock Township School District

(Apr. 22, 2004) ...........................................................14-71, 15-750235, In re Ira Weiss and L. Andrew Shupe II

(Aug. 24, 2004) ........................................................14-70, 14-7150700, SEC, Concept Release Concerning

Self-Regulation (Nov. 18, 2004) .......................................... 10-7451500 (Apr. 7, 2005) ................................................................... 7-4651808, Regulation NMS (June 9, 2005) ...................................... 13-553128 (Jan. 26, 2006) .................................................................. 13-453888 (May 31, 2006) ............................................................... 9-11453919, In re Philadelphia Stock Exchange (June 1, 2006) ........ 10-7654143, In re Dolphin & Bradbury Inc. and

Robert J. Bradbury (July 13, 2006) ..........................14-10, 14-98,................................................................ 14-100, 14-107, 14-109

54745, In re City of San Diego, California(Nov. 14, 2006) .............................................. 15-6, 15-10, 15-66

55712 (May 7, 2007) ................................................................. 9-11455857 (June 5, 2007) ................................................................... 3-8956145, SEC, Order Approving Proposed Rule Change to

Amend the By-Laws of NASD to ImplementGovernance and Related Changes to Accommodatethe Consolidation of the Member Firm RegulatoryFunctions of NASD and NYSE Regulation, Inc.(July 26, 2007) .................................................................... 10-65

56352, In re Boston Stock Exchange, Inc. andJames B. Crofwell (Sept. 5, 2007) ....................................... 10-76

56542, In re Regional Brokers, Inc. et al. (Sept. 27, 2007) ....... 13-6056543, In re D.M. Keck & Company, Inc.

d/b/a Discount Munibrokers, et al. (Sept. 27, 2007) ........... 13-6056741, In re the Application of Sisung Securities

Corporation and Lawrence J. Sisung, Jr., forreview and disciplinary action taken by NASD .................. 14-10



57446, SEC, Report of Investigation Pursuant to § 21(a) ofthe Securities Exchange Act of 1934, The RetirementSystem of Alabama (Mar. 6, 2009) ..................................... 15-34

57513 (Mar. 17, 2008) ................................................................ 5-6557577 (Mar. 28, 2008) ................................................................ 8-4158255 (July 30, 2008) (2008 Adopting Release and

the 2008 Amendments) ...............................................9-34, 9-5658288, Commission Guidance on the Use of Company

Web Sites (July 28, 2008) ..................................................... 8-3859062 (Dec. 5, 2008) ................................................................... 6-2759913, In re Wolfe & Hurst Bond Brokers, Inc. and

Peter J. Debany, SEC Administrative Proceeding andCease-and-Desist Order (May 13, 2009) .................13-57, 13-59

60813 (Oct. 13, 2009) ................................................................. 9-1060928, In re J.P. Morgan (Nov. 4, 2009) ................................... 15-6761175 (Dec. 16, 2009) ................................................................. 9-6561358, SEC, Concept Release on

Equity Market Structure, 1934 (Jan. 14, 2010) ...........13-2, 13-561734, JP Morgan Securities Inc. (Mar. 18, 2010) .................... 15-3361884, SEC Order Exempting the Federal Reserve

Bank of New York, Maiden Lane LLC andthe Maiden Lane Commercial Mortgage BackedTrust 2008-1 from Broker-Dealer Registration(Apr. 9, 2010) ...................................................................... 10-15

62182 (May 26, 2010) .............................................. 6-23, 6-49, 9-2262184 (May 26, 2010) ........................... 6-31, App. 6B-1, 9-34, 9-58,

................................................ 9-60, 9-73, 9-92, 9-93, 9-94, 9-9562184A (May 26, 2010) .............................................................. 7-8563237, Proposed Rules for Implementing the

Whistleblower Provisions of Section 21F ofthe Securities Exchange Act of 1934(Nov. 3, 2010) ..........................................................15-24, 15-25

63450, In re Douglas Lee Campbell,SEC Order Instituting Administrative Proceedings(Dec. 7, 2010) ..................................................................... 15-48

63451, In re Banc of America Securities LLC (Dec. 7, 2010) ..... 15-4663452 (Dec. 3, 2010) ................................................................... 4-6463576, Registration of Municipal Advisors

(Dec. 20, 2010) ........................................................11-8, 11-12863576, Registration of Municipal Advisors (Dec. 21, 2010) ......... 12-764148 (Mar. 31, 2011) (Proposed Risk Retention Rule) .............. 4-1464372 (May 23, 2011) ................................................................. 4-5964564 (May 27, 2011) ...........................................................10A-15564766 (June 29, 2011) ........................................................4-55, 4-7866868 (Apr. 18, 2012) .................. 4-64, 4-65, 4-66, 4-67, 4-68, 4-70

T–82


66927 (May 4, 2012) ..................................... 5-35, 10A-48, 10A-10566927 (May 24, 2012) ................................................................. 4-4767238 (June 22, 2012) ....................................................13-58, 13-6667453 (Aug. 13, 2012) ................................................................. 4-5967857, In re New York Stock Exchange LLC. and

NYSE Euronext (Sept. 12, 2012) ........................................ 10-7669013 (Mar. 7, 2013) ................................................................ 10-5569090, In re Stephens (Mar. 8, 2013) ....................................... 10-1069091, In re Ranieri Partners LLC (Mar. 8, 2013) .................... 10-1069279 (Apr. 2, 2013) ..........................................................8-51, 8-5269515, In re City of Harrisburg, Pa.,

SEC Cease-and-Desist Order (May 6, 2013) ........9-51, 9-72, 9-7369516, Report of Investigation in the Matter of

the City of Harrisburg, Pennsylvania ConcerningDisclosure Obligations in the Secondary Market,SEC Report under Section 21(a) of the Exchange Act(May 6, 2013) ....................................................................... 9-51

70462 (Sept. 20, 2013) .................. 10-55, 10A-157, 11-5, 4-59, 12-370532 (Sept. 26, 2013) ............................................................10A-4870990 (Dec. 5, 2013) ...............................................................10A-5171536 (Feb. 12, 2014) ...........................................................10A-12171616 (Feb. 26, 2014) ......................................10A-18, 11-10, 11-8671665 (Mar. 7, 2014) .................................... 5-87, 10A-98, 10A-11872129 (May 8, 2014) .............................................................10A-12172936 (Aug. 27, 2014) ................................................................. 4-2174860 (May 4, 2015) ..................................................11-111, 11-11277617 (Apr. 15, 2016) ....................................................4-60, 11-10480130 (Mar. 1, 2017) .....................................................8-189, 8-19080132 (Mar. 1, 2017) .................................................................. 8-6080544 (May 20, 1976) ................................................. 10-92, 10A-3182321 (Dec. 14, 2017) .............................................................10A-57

Exchange Act Rules0-1(b) ................................. 6-372a-7 .........................8-76, 8-77,

.........................8-78, 9-573a4-1 ...................10-44, 10-45,

.....................10-46, 13-173a4-1(a)(4)(i) .................... 10-453a4-1(a)(4)(ii)(A) .............. 10-463a4-1(a)(4)(ii)(C) .............. 10-463a4-1(a)(4)(iii) .................. 10-453a12-2 ................................. 9-6

3b-5 ......... 1-110, 1-111, 1-112,............ 2-91, 2-98, 2-222,............ 2-223, 6-17, 8-79,...........................9-7, 9-10

3b-5(a) .........App. 6B-9, 14-1653b-6 ................................... 8-793b-9 ................... 10-23, 10A-163b-16 ........ 13-34, 13-35, 13-363b-16(c) ............................ 13-353b-18 ....................10-34, 10-35



8c-1 .................................. 10-9710A-3(b) ............................. 8-3410b-1 ......................7-57, 15-2110b-3 ..................9-114, 10-11410b-3(b) ......................... 10-11410b-5 ........... 1-100, 2-61, 2-89,

..... 4-32, 5-43, 5-44, 5-46,

..... 5-83, 5-88, 5-90, 5-91,

..... 5-92, 5-94, 5-95, 5-96,

....... 5-97, 6-3, 6-35, 6-48,

..... 6-65, 7-18, 7-20, 7-22,

..... 7-23, 7-34, 7-47, 7-49,

..... 7-50, 7-53, 7-57, 7-72,

..... 7-78, 7-81, 7-82, 7-83,

.......... 7-99, 7-100, 7-111,

........ 7-116, 7-123, 7-133,

........ 7-137, 7-139, 7-140,

........ 7-141, 7-142, 7-143,

........ 7-144, 7-145, 7-146,

........ 7-147, 7-164, 7-172,

........ 7-173, 7-176, 7-183,

....8-33, 8-46, 8-69, 8-104,

...... 8-108, 8-111, 9-3, 9-5,

...... 9-10, 9-11, 9-12, 9-15,

...... 9-21, 9-24, 9-25, 9-26,

...... 9-27, 9-31, 9-32, 9-33,

...... 9-34, 9-37, 9-42, 9-45,

...... 9-46, 9-47, 9-48, 9-49,

...... 9-56, 9-71, 9-75, 9-84,

........... 9-86, 9-107, 9-113,

......... 9-114, 9-115, 9-130,

......... 9-142, 10-60, 10-61,

....... 10-98, 10-99, 10-100,

....10-101, 10-102, 10-103,

....10-106, 10-108, 10-111,

....10-113, 10-139, 10-144,

....10-145, 10-146, 10-147,

................10A-92, 10A-94,

..............10A-95, 10A-144,

..........11-49, 12-54, 12-60,

..............12-78, 14-4, 14-7,

..........14-10, 14-17, 14-22,

..........14-26, 14-27, 14-29,

..........14-30, 14-33, 14-34,

..........14-36, 14-39, 14-40,

..........14-41, 14-43, 14-44,

..........14-45, 14-47, 14-48,

..........14-49, 14-51, 14-52,

..........14-53, 14-54, 14-57,

..........14-58, 14-59, 14-60,

..........14-62, 14-64, 14-68,

..........14-71, 14-74, 14-77,

..........14-79, 14-80, 14-82,

..........14-83, 14-85, 14-93,

........14-94, 14-95, 14-104,

....14-105, 14-106, 14-120,

....14-122, 14-127, 14-129,

....14-130, 14-131, 14-132,

....14-137, 14-139, 14-145,

....14-146, 14-148, 14-151,

....14-152, 14-155, 14-160,

....14-163, 14-168, 14-170,

....14-180, 14-182, 14-184,

....14-189, 14-190, 14-191,

....14-192, 14-198, 14-199,

....14-203, 14-211, 14-212,

...... 15-5, 15-6, 15-8, 15-9,

..........15-21, 15-23, 15-53,

..........15-54, 15-55, 15-56,

..........15-57, 15-58, 15-59,

..........15-61, 15-63, 15-74,

............15-75, 15-85, 16-2,

.... 16-3, 16-4, 16-5, 16-11,

..........16-39, 16-40, 16-47,

..........16-48, 16-68, 16-69,

......................16-71, 16-7210b-5(a) ..... 8-33, 14-14, 14-53,

........ 14-54, 14-62, 14-64,

........ 14-67, 14-79, 14-92,

...... 14-93, 14-94, 14-145,

................14-146, 14-170,

.... 14-175, 14-189, 14-20410b-5(b) ......... 7-82, 8-33, 8-69,

.......... 9-66, 14-14, 14-53,

........ 14-58, 14-67, 14-79,

........ 14-92, 14-93, 14-94,

... 14-145, 14-146, 14-162,

.... 14-163, 14-175, 14-204

T–84


10b-5(c) ........ 7-82, 8-33, 14-14,........ 14-53, 14-54, 14-62,........ 14-67, 14-79, 14-92,.... 14-93, 14-94, , 14-145,................14-146, 14-170,.... 14-175, 14-189, 14-204

10b-6 ......... 7-40, 7-42, 10-136,................10-137, 10-138,.................10-139, 10-140

10b-6A ............................... 7-4010b-7 ...................7-40, 10-136,

.................10-138, 10-13910b-8 ................................. 7-4010b-9 ................................. 9-2710b-10 ............. 5-8, 6-12, 6-14,

................10-144, 10-145,

............... 10-146, 10A-81,

................10A-82, 10A-8310b-21 ............................... 7-4010b5 .............................. 10-14610b5-1 ............................. 9-12110b5-2 ................9-121, 14-19310b5-2(b) ....................... 14-19910b5-2(b)(1) ................... 14-20010b5-2(b)(2) ................... 14-20010C-1 .............................. 1-12011Ac1-1 ........................10A-73,

.................. 10A-74, 13-2711Ac1-1(a)(6) ................... 13-3811Ac1-1(a)(19) ...............10A-7311Ac1-4 ........................... 13-2712b-2 ................................... 8-912b-20 ................................. 8-912b-23(a)(2) ....................... 8-5912b-23(a)(3) ....................... 8-5912b-32 ............................... 8-5912g-1 ................................... 9-513a-11 ................................. 8-914a-8 ............................... 1-11914a-9 ....................14-94, 14-9514d-1 ....................14-30, 14-3114d-8 ............................... 14-3614d-10 ............................. 14-3714e-1 .....................14-30, 14-37

14e-1(c) .......................... 10-11114e-2 ................................ 14-3014e-3 ..................10-110, 14-27,

.....................14-28, 14-3614e-3(a) .......................... 10-11014e-5 ................................ 14-3615a1-1(f) .......................... 12-1615b1-1 ...........................10A-1015b1-2 ...........................10A-1615b7-1 .............10A-10, 10A-1115B1-1(a) ......................... 11-3215B1-1(b) ......................... 11-3315B1-1(d)(3) ..................... 11-3415B1-1(d)(3)(vii) ............... 11-3415B1-1(i) .......................... 11-2915Ba1-1–15Ba1-8 .............. 11-515Ba1-1 ..................11-5, 12-1615Ba1-1(b) ..........11-116, 12-1615Ba1-1(d)(2)(ii) ............... 12-1915Ba1-1(d) ..............11-6, 11-2215Ba1-1(d)(1) ................... 11-2315Ba1-1(d)(1)(i) ................ 11-1215Ba1-1(d)(1)(ii) ............... 11-1215Ba1-1(d)(2) ..........11-6, 11-2315Ba1-1(d)(3) .................. 11-23,

...................11-76, 11-10815Ba1-1(d)(3)(v) ................. 4-8615Ba1-1(d)(4) ................... 11-7915Ba1-1(e) ....................... 11-2315Ba1-1(f) ...............4-61, 11-2915Ba1-1(k) ....................... 11-2515Ba1-2–15Ba1-8 .............. 11-515Ba2-1 .........................10A-1615Ba2-2 .........................10A-1615c1 ......................10-92, 10-9815c1-1 ............................10A-8215c1-2 .... 10-100, 10-113, 15-4815c1-3 .................10-93, 10-14415c1-7 .............................. 10-9815c1-8 ........................... 10-115,

.................10-116, 10-14315c2 ................................. 10-9215c2-1 .............................. 10-97



15c2-8 ....... 5-16, 5-17, 6-4, 6-5,........... 6-6, 6-7, 6-8, 6-10,..... 6-11, 6-14, 6-17, 6-37,..... 6-49, 6-50, 6-52, 6-53,............... 6-54, 6-59, 6-61

15c2-8(b) ..................6-11, 6-49,...... App. 6C-1, App. 6C-2

15c2-8(b)–(h) .............App. 6C-115c2-8(c) ..................6-11, 6-49,

.........................App. 6C-215c2-8(d) ...................6-7, 6-14,

.........................App. 6C-215c2-8(e) ......... 6-49, App. 6C-215c2-8(g) ............................ 6-4915c2-10 ................13-21, 13-22,

.....................13-26, 13-3515c2-11 ....... 2-211, 2-214, 7-3815c2-11(a)(4) ...................... 7-3715c2-12 ...... 1-99, 1-100, 1-101,

........ 1-114, 1-115, 1-117,

.......... 1-124, 2-98, 2-152,

........ 2-155, 2-188, 2-222,

..... 3-57, 4-31, 4-32, 4-33,

..... 4-34, 4-35, 4-36, 4-40,

..... 4-41, 4-42, 5-22, 5-23,

..... 5-31, 5-34, 5-35, 5-36,

..... 5-41, 5-45, 5-92, 5-96,

........... 5-98, 6-3, 6-4, 6-5,

..... 6-10, 6-16, 6-17, 6-19,

..... 6-23, 6-25, 6-27, 6-30,

..... 6-31, 6-32, 6-33, 6-35,

..... 6-36, 6-37, 6-38, 6-40,

..... 6-41, 6-44, 6-45, 6-46,

..... 6-47, 6-48, 6-49, 6-50,

..... 6-51, 6-52, 6-53, 6-54,

..... 6-55, 6-56, 6-61, 6-64,

..... 6-65, 6-66, 6-67, 6-68,

..... 6-69, 6-70, 6-72, 6-73,

..... 6-74, 6-78, 6-79, 6-80,

..... 6-81, 6-83, 6-84, 6-85,

............ 6-90, 6-95, 6-102,

....................6-103, 6-105,

........................ App. 6A-5,

........................ App. 6A-6,

........................ App. 6A-7,

........................ App. 6A-9,

...............App. 6A-11, 7-5,

..... 7-15, 7-18, 7-20, 7-22,

..... 7-23, 7-24, 7-29, 7-30,

..... 7-31, 7-32, 7-34, 7-35,

..... 7-36, 7-38, 7-39, 7-44,

..... 7-47, 7-50, 7-52, 7-53,

..... 7-56, 7-59, 7-60, 7-61,

..... 7-62, 7-63, 7-66, 7-72,

..... 7-79, 7-84, 7-85, 7-86,

..... 7-87, 7-93, 7-94, 7-95,

........ 7-114, 7-115, 7-160,

....... 8-9, 8-18, 8-25, 8-26,

..... 8-27, 8-28, 8-38, 8-40,

..... 8-43, 8-45, 8-50, 8-77,

.......... 8-78, 8-119, 8-188,

..... 8-189, 9-4, 9-34, 9-35,

..... 9-36, 9-38, 9-41, 9-43,

..... 9-44, 9-45, 9-46, 9-47,

..... 9-48, 9-49, 9-52, 9-53,

..... 9-54, 9-55, 9-56, 9-57,

..... 9-60, 9-61, 9-62, 9-63,

..... 9-64, 9-65, 9-66, 9-67,

..... 9-68, 9-69, 9-71, 9-73,

..... 9-76, 9-78, 9-80, 9-81,

..... 9-84, 9-85, 9-86, 9-90,

..... 9-91, 9-95, 9-96, 9-98,

.......... 9-99, 9-100, 9-101,

........ 9-102, 9-103, 9-104,

........ 9-105, 9-106, 9-108,

........ 9-111, 9-112, 9-113,

........ 9-118, 9-119, 10-26,

.... 10-92, 10-108, 10-109,

............... 10-112, 10A-40,

...............10A-55, 10A-57,

...............10A-88, 10A-94,

........ 11-24, 11-25, 11-65,

........ 11-66, 11-67, 11-52,

........ 12-28, 13-10, 13-30,

.......... 14-3, 14-4, 14-164,

................14-165, 14-177,

.................14-178, 14-179

T–86


15c2-12(a) .................7-61, 9-3415c2-12(b)(1) ...........4-30, 4-33,

................ 4-41, 6-4, 6-43,

.........................6-44, 6-6615c2-12(b)(1)–(4) .......6-5, 6-31,

...............6-39, App. 6A-7,

...............App. 6B-7, 9-34,

.........................9-42, 9-5715c2-12(b)(2)–(4) ................. 6-515c2-12(b)(3) .................... 5-36,

....................... App. 6B-1015c2-12(b)(4) ...........5-32, 6-54,

..... App. 6B-2, App. 6B-1015c2-12(b)(5) ...........2-97, 4-33,

................ 4-41, 6-3, 6-31,

............... 6-39, App. 6B-6,

.... App. 6B-7, App. 6B-10,

..... 9-34, 9-42, 9-57, 9-74,

..................10-112, 11-25,

...................11-66, 14-21615c2-12(b)(5)(i) ........ App. 6B-8,

...............App. 6B-9, 9-74,

.............. 9-77, 9-78, 9-81,

.........................9-91, 9-9515c2-12(b)(5)(i)(A) .... App. 6B-3,

........................ App. 6B-4,

....................... App. 6B-1015c2-12(b)(5)(i)(B) .... App. 6B-1015c2-12(b)(5)(i)(C) .... App. 6B-5,

.................App. 6B-7, 9-5915c2-12(b)(5)(i)(C)(9) ..... 14-17715c2-12(b)(5)(i)(C)(12)

........................ App. 6B-415c2-12(b)(5)(i)(D) .... App. 6B-515c2-12(b)(5)(ii) ....... App. 6B-8,

.............. 9-74, 9-77, 9-78,

............... 9-79, 9-90, 9-9515c2-12(b)(iii) .................... 9-9715c2-12(c) ...... 6-38, 6-85, 8-18,

..... App. 6B-7, App. 6B-1015c2-12(c)(1) ...................... 6-3915c2-12(c)(2) ...................... 6-4015c2-12(d) ...............6-45, 8-26,

.......................9-57, 9-103

15c2-12(d)(1) ........... App. 6B-6,...............App. 6B-7, 7-35,............... 7-39, 8-26, 9-63

15c2-12(d)(1)(i) ................. 6-24,......................... App. 6A-6

15c2-12(d)(1)(iii) ................ 6-3115c2-12(d)(2)(ii) ....... App. 6B-7,

........................ App. 6B-8,

....................... App. 6B-1015c2-12(d)(2)(ii)(B) .... App. 6B-515c2-12(d)(2)(iii) ...... App. 6B-8,

....................... App. 6B-1015c2-12(d)(5) ....6-31, App. 6A-715c2-12(e)(2) ...................... 6-5315c2-12(e)(3) ...................... 6-5415c2-12(e)(7) .............6-38, 7-2415c2-12(f)(3) ..................... 6-66,

..............App. 6A-11, 8-3115c2-12(f)(4) ...................... 2-9815c2-12(f)(7) ........... App 6A-11,

.........................7-53, 7-5915c2-12(f)(8) ..................... 5-97,

...................... App. 6A-12,

.................... 7-18, 10A-5715c2-12(f)(9) ...................... 9-5515c2-12(f)(10) ................... 2-98,

....................... App. 6A-1315c2-12-12 ...................... 8-12215c3 ................................. 10-9215c3-1 ............................10A-1615c3-1(a)(2)(i) .................. 13-5715c3-1(a)(8)(ii) ................. 13-5715c6-1 ............................10A-6915c12 ................................. 7-1915Fh-2(d) ........................... 4-6215Fh-4(b)(2) ................... 11-10515Ga-1 ......................4-19, 4-2015Ga-2 ............ 4-21, 4-22, 4-2317a-3 ....................10-93, 10-9417a-3(a)(17) ..........10-95, 10-9617a-3(a)(18) ..........10-97, 10-9817a-4 ....................6-105, 10-9417a-23 ..................13-27, 13-3517g-10 ............................... 4-21



17g-10(d)(1) ....................... 4-2217g-10(d)(2) ....................... 4-2119b-4 ...............................10A-619b-5 ............................... 13-27

19d .................................... 11-619h-1 .............................10A-3923a-1(T) ........................... 10-92

Exchange Act RegulationsRegulation ABgenerally ...............................................................................4-5, 4-19

Regulation ATSgenerally ........................10-85, 10A-80, 10A-81, 10A-103, 10A-112,

..............13-27, 13-29, 13-30, 13-35, 13-36, 13-37, 13-38, 13-42Rule 300(b) ................................................................................ 13-41Rule 301(b)(1) ............................................................................ 13-40Rule 301(b)(5) ............................................................................ 13-39Rule 301(b)(5)(ii) ........................................................................ 13-39

Regulation Mgenerally ............ 7-35, 7-40, 7-42, 7-46, 7-54, 7-61, 10-139, 10A-74Rule 101 .............................................................................7-41, 7-45Rule 104 ..................................................................................10A-74

Regulation NMSgenerally ...................................................................................... 13-5

Regulation Rgenerally .................................................................................... 10-36

Regulation 14Dgenerally .......................................14-30, 14-31, 14-35, 14-36, 14-37

Regulation 14Egenerally .......................................14-30, 14-31, 14-35, 14-36, 14-37

Investment Advisers Act Releases40 (Jan. 5, 1945) ........................................................................ 12-85315 (Apr. 6, 1972) ..................................................................... 12-81626 (Apr. 27, 1978) ................................................................... 12-72688 (July 12, 1979) .........................................................12-41, 12-42721 (May 16, 1980) ................................................................... 12-801092 (Oct. 8, 1987) ............................................ 12-25, 12-44, 12-72

T–88


1387, In the Matter of Kemper Financial Services, Inc.(Oct. 20, 1993) ................................................................... 12-84

1393, In the Matter of Michael L. Smirlock(Nov. 29, 1993) ................................................................... 12-84

1406 (Mar. 16, 1994) ................................................................ 12-931411 (Apr. 19, 1994) ................................................................. 12-821425, In re Strong/Corneliuson Capital Management, Inc.

(July 12, 1994) .................................................................... 12-871435, In the Matter of Piper Capital Management, Inc.

(Aug. 11, 1994) ................................................................... 12-851446, In re Joan Conan (Sept. 30, 1994) .................................. 12-861447, In re Chancellor Capital Mgmt., Inc. (Oct. 18, 1994) .... 12-871452, In the Matter of Credit Suisse Asset Management, Inc.

(Nov. 16, 1994) ................................................................... 12-851469, Disclosure by Investment Advisers Regarding Soft

Dollar Practices (Feb. 14, 1995) .......................................... 12-911562, Use of Electronic Media by Broker-Dealers,

Transfer Agents, and Investment Advisers for Delivery ofInformation (May 9, 1996) ................................................. 12-70

1772, In re O’Brien Partners, Inc. (Oct. 27, 1998) .................... 12-821772, In the Matter of O’Brien Partners, Inc.

(Oct. 27, 1998) ................................................................... 12-221863, In the Matter of Rauscher Pierce Refsnes, Inc.,

Dain Raucher Incorporated and James R. Feltham(Apr. 6, 2000) ...................................................................... 12-23

2201, In the Matter of FT Interactive Data,f/k/a Interactive Data Cease-and-Desist Order(Dec. 11, 2003) ................................................................... 12-47

2204 (Dec. 24, 2003) ................................................................. 11-942628, Prohibition of Fraud by Advisers to Certain

Pooled Investment Vehicles (Aug. 3, 2007) ........................ 12-392910 (Aug. 3, 2009) ................................................................... 12-313043, Political Contributions by Certain Investment

Advisers (June 30, 2010) ................... 12-28, 12-30, 20-22, 20-233060, Amendments to Form ADV

(July 28, 2010) .................................................................... 12-693110 (Nov. 19, 2010) ................................ 12-9, 12-13, 12-29, 12-443111 (Nov. 19, 2010) ................................................................ 12-293128, Temporary Rule Regarding Principal

Trades with Certain Advisory Clients(Dec. 28, 2010) ................................................................... 10-53

3221 (June 22, 2011) .......................................... 12-10, 12-11, 12-133222 (June 22, 2011) ................................................................. 12-103859, In re TL Ventures Inc. (June 20, 2014) ........................... 12-394126 (June 23, 2015) ................................................................. 11-95



Investment Advisers Act Rules203(l)-1 ............................ 12-11203(m)-1 .......................... 12-10203A-1 ............................. 12-67203A-2 ............................. 12-44204-2 ............................... 12-84204-3(f) ............................ 12-82204-3(g)(4) ....................... 12-82205-3 ............................... 12-81206(3)-2 ........................... 12-86206(3)-3T ...................... 11-118206(4)-3 ...............11-36, 11-43,

......... 12-41, 12-42, 12-43206(4)-3(d)(1) ................... 12-41206(4)-5 ...................4-77, 4-78,

............... 10A-158, 11-36,

.......... 12-8, 12-26, 12-27,

........ 12-28, 12-29, 12-30,

........ 12-31, 12-32, 12-33,

........ 12-34, 12-35, 12-36,

....................12-37, 12-39,

.....................12-40, 12-41206(4)-5(a)(2) ................... 12-33206(4)-5(c) ....................... 12-38206(4)-5(f)(3) .................... 12-39206(4)-5(f)(8) .................... 12-39206(4)-5(f)(9) .................... 12-33206(4)-7 ................11-77, 11-78206(4)-8 ........................... 12-39

Investment Company Act Releases5847 (Oct. 21, 1969) ................................................................... 3-6910937 (Nov. 13, 1979) ................................................................ 3-1313380 (July 11, 1983) .................................................................. 3-7814983 (Mar. 12, 1986) .......................................................3-69, 3-7815948 (Aug. 24, 1987) ................................................................. 3-4118005 (Feb. 20, 1991) ................................................................. 3-7818736 (May 29, 1992) ................................................................. 3-7621837 (Mar. 21, 1996) ................................................................ 3-7826299 (Dec. 24, 2003) ............................................................... 11-9428466, Reserve Municipal Money

Market Trust (Oct. 24, 2008) ............................................... 3-7928807 (Fed. Reg., July 8, 2009) ................................................... 3-7729132 (publ. Feb. 23, 2010, eff. May 5, 2010) ......... 3-78, 3-89, 3-9531166 (2014 Adopting Release) ................................................... 3-7831166 (July 23, 2014) .................................................................. 8-77

Investment Company Act Rules2a-4 ......................12-46, 12-482a-7 ........... 2-109, 2-110, 3-77,

..... 3-78, 3-81, 3-82, 3-83,

..... 3-84, 3-85, 3-86, 3-89,

..... 3-90, 3-91, 3-92, 3-94,

.............. 3-95, 7-62, 8-76,

.........................8-77, 8-78

2a-7(a)(1) ........................... 8-772a-7(a)(2) ........................... 8-772a-7(a)(6) ........................... 3-912a-7(a)(7) ........................... 3-932a-7(a)(9) ........................... 3-882a-7(a)(12) ......................... 3-892a-7(a)(15) ......................... 3-88

T–90


2a-7(a)(18) ......................... 3-902a-7(a)(25) ......................... 3-932a-7(a)(33) ......................... 3-872a-7(c) ................................ 3-792a-7(c)(1) ............................ 3-832a-7(c)(2) ............................ 3-812a-7(c)(5) ............................ 3-94

2a-7(d) ............ 3-86, 3-87, 3-883a-7 ................................... 3-763c-1 .................................... 3-6710f-3 .................................. 3-1010f-3(c)(8) .......................... 3-1122c-1 ................................ 12-4622c-1(a) .................12-48, 12-49

Litigation Releases2012-73, SEC v. Arvco Capital Research, LLC

(Apr. 23, 2012) .................................................................... 8-1367460, SEC v. Reclamation Dist. No. 2090 et al.

(June 22, 1976) ..................................................................... 1-817551, SEC v. Reclamation Dist. No. 2090 et al.

(Sept. 8, 1976) .............................................................1-81, 15-88410, SEC v. Wash. Cty. Util. Dist. (May 15, 1978) ................... 15-812813, SEC v. Stevens (Mar. 19, 1991) ..................................... 9-12912986, SEC v. Rosenberg (Sept. 24, 1991) ................................ 9-12114421, SEC v. Nicholas A. Rudi, Joseph C. Salema,

Pub. Capital Advisors, Inc., George A. Tuttle,Jr. and Alexander S. Williams (S.D.N.Y.) (Feb. 23, 1995) ..... 15-55

14508, SEC v. Stifel, Nicolaus & Company (May 24, 1995) ...... 15-6114587, SEC v. Stifel, Nicolaus & Company (Aug. 3, 1995) ...... 15-6514792, SEC v. Robert L. Citron and Mathew R. Raabe

(Jan. 24, 1996) .........................................................15-10, 15-6615591 (Dec. 15, 1997) ............................................................... 12-5815725 (Apr. 29, 1998) ............................................................... 12-5817465, SEC v. Xerox Corp. (Apr. 11, 2002) .............................. 15-7018505, SEC v. Heartland Advisors et al. (Dec. 12, 2003) ......... 12-4720394, SEC v. Saiz (Dec. 11, 2007) ................................8-115, 15-4420522, SEC v. Michael Uberuga, Mary Vattimo,

Edward Ryan, Patricia Frazier, and Teresa Webster(Apr. 7, 2008) ...................................................................... 15-10

20963 (Mar. 19, 2009) .............................................................. 12-5221001 (Apr. 15, 2009) ............................................................... 12-5221018 (Apr. 30, 2009) ............................................................... 12-5221036, SEC v. Henry Morris et al. (May 12, 2009) .................. 12-5221487 (Apr. 15, 2010) ............................................................... 12-5222720 (June 10, 2013) ............................................................... 12-5522753, SEC v. City of Miami, Florida, and

Michael Boudreaux (July 19, 2013) .................................... 8-10723149 (Dec. 5, 2014) ......................................................1-102, 8-10123176 (Jan. 22, 2015) ................................................................ 12-5523796 (Apr. 3, 2017) ................................................................... 8-27



No-Action Letters1st Global, Inc. (May 7, 2001) ........................... 10-4, 10-15, 11-132Abilene Higher Education Authority, Inc.

(avail. Dec. 29, 1976) ...................................... 2-167, 2-221, 4-8Activate.net Corporation (June 3, 1999) ..................................... 6-98Alaska Higher Education Savings Trust

(avail. Mar. 8, 2001) ........................................................... 10-43Alaska Industrial Development Authority

(avail. June 4, 1982) ............................................................. 2-39Allentown Economic Development Corp.

(avail. Dec. 21, 1981) ......................................................... 2-163American College of Emergency Physicians

(avail. July 18, 1974) .......................................................... 2-176American Council of Life Insurance (June 10, 1983) .................. 7-17American Home Finance Corp. (avail. May 11, 1981) ................ 3-43American Municipal Bond Assurance Corporation

(July 17, 1972) ...................................................................... 2-49Arkansas Development Finance Authority

(avail. Nov. 25, 1987) ........................................ 2-21, 2-37, 2-78Arvada Urban Renewal Authority

(avail. July 1, 1986) .............................................................. 2-21(avail. July 28, 1986) ............................................................ 2-43

ASAE Investment Fund (avail. July 15, 1977) ............................. 3-25Banco Central Corp. (avail. June 10, 1983) ................................. 3-25Banco de Ponce (avail. Sept. 22, 1980) ..................... 2-55, 2-82, 2-84Bancroft, O’Connor, Chilton & Lavell, Inc.

(avail. Aug. 9, 1985) ............................................................. 2-41B&K Securities, Inc.

(Mar. 18, 1985) ................................................................... 13-26(Sept. 5, 1985) .................................................................... 13-26

Barnwell County Pollution Control Revenue Bonds1973 Series A (avail. Feb. 4, 1974) ....................................... 2-64

Bayshore Community Hospital (avail. Sept. 6, 1973) ............... 2-155Bear, Stearns & Co., Inc. (avail. Jan. 28, 1992) ......................... 2-107Belvil Community Hospital Association

(avail. July 8, 1974) ..................................... 2-182, 2-183, 2-186Black Box Incorporated (June 26, 1990) .................................... 2-217Bloomberg L.P. (Dec. 1, 1997) ..................................................... 6-98Bucks County Industrial Development Authority

(avail. June 7, 1979) ................................................2-182, 2-187Buffalo Savings Bank (avail. Oct. 25, 1982) .... 2-70, 3-25, 3-50, 3-51C & W Portfolio Management, Inc. (July 20, 1989) ................. 10-14California Student Loan Fin. Corporation

(avail. June 22, 1981) ......................................................... 2-163

T–92


Cantor Fitzgerald G.P. (Oct. 1, 1993) ........................................ 13-26Capital Area Regional Solid Waste Authority,

Harrisburg, Pennsylvania (avail. Nov. 25, 1987) .........2-37, 2-78Capital Link Bond Auctions, Inc. (Dec. 11, 1989) .................... 13-26Center Hospital (avail. Mar. 14, 1974) ...................................... 2-177Central Texas Higher Education Authority

(avail. Nov. 21, 1977) ...................................... 2-167, 2-221, 4-8Central Utah Rural Impact Capital Corp.

Municipal Bond Pool(avail. Aug. 29, 1980) ............................... 2-74, 2-86, 3-16, 3-27

Central West End Savings & Loan Association(avail. July 19, 1984) ............................................................ 3-25

Charles Schwab & Co., Inc.(Feb. 9, 2000) ....................................................................... 6-98(Nov. 15, 1999) ..................................................................... 6-98

City Capital Funding, Inc. (Nov. 12, 1984) ............................... 9-109City of Birmingham South Highlands

Alabama–Medical Clinic Board(avail. Nov. 1, 1973) ........................................................... 2-173

City of Burnsville (avail. Jan. 14, 1981) ...................................... 2-41City of Lansing Building Authority

(avail. Jan. 30, 1987) .................................................2-21, 2-157City of New Madrid Missouri (avail. May 12, 1971) .................. 2-95City of Pinole Public Facilities Corporation

(avail. Oct. 29, 1981) ...............................................2-156, 2-158City of South San Francisco Public Facilities Corporation

(avail. May 8, 1975) ............................................................ 2-158Coachella Valley County Water District Facilities Corporation

(avail. Feb. 4, 1980) ............................................................ 2-157Colorado Prepaid Tuition Fund by the Colorado Student

Obligation Bond Authority (avail. Sept. 12, 1997) ............... 3-38Community Charge Plan

(Nov. 26, 1971) ..................................................................... 7-16(Sept. 8, 1971) ...................................................................... 6-62

Continental Heritage (avail. Sept. 10, 1987) ............................... 3-53Continental Heritage Financial Corp.

(avail. Aug. 10, 1987) .................................... 2-63, 10-39, 10-41Coosa River Water, Sewer & Fire Protection Authority

(avail. Dec. 6, 1974) ............................................................. 2-20County of Muskingum, Ohio (avail. May 13, 1974) ..........2-46, 2-64County of Shasta Public Facilities Corporation

(avail. Nov. 30. 1980) ......................................................... 2-156(avail. Oct. 27, 1980) .......................................................... 2-158

County of Yellowstone (July 15, 1976) ........................................ 2-46County of Yellowstone, Montana (avail. Aug. 16, 1976) ............. 2-64



Crédit Suisse, Los Angeles Branch (avail. Dec. 31, 1984) ........... 2-82Davenport Management, Inc. (avail. Apr. 13, 1993) ........10-6, 10-14Detroit Edison Company (avail. Nov. 3, 1974) ..................2-92, 2-94Dominion Resources, Inc.

(July 23, 1985) .................................................................... 10-12Dunes Community Development District

(avail. Mar. 2, 1987) ............................................................. 2-67East Central Missouri Water and Sewer Authority

(avail. Apr. 15, 1988) ....................................... 1-109, 4-44, 4-45ECON Investment Software (Oct. 11, 1988) ............................. 13-26El Centro Community Hospital

(avail. Sept. 25, 1978) ..............................................2-154, 2-158Engelberger Partnership (avail. Dec. 7, 1981) .............................. 3-68Equibank (avail. Aug. 29, 1983) .................................................. 3-43Exchange Services, Inc.

(May 22, 1985) ................................................................... 13-26(Sept. 5, 1985) .................................................................... 13-26(Sept. 11, 1991) .................................................................. 13-26

Farmland Industries (Aug. 26, 1991) ......................................... 13-15Federal Home Loan Mortgage Corp. (avail. June 14, 1985) ........ 3-43Financial Guarantee Insurance Company

(avail. Feb. 15, 1989) .................................................2-51, 2-104Financial Security Association Inc.

(avail. Dec. 1, 1987) ..................................................2-102, 3-47Financial Security Assurance, Inc.

(avail. Mar. 30, 1988) ..................................................2-51, 3-59First State Bank of Dodge City, Kansas

(avail. Nov. 21, 1975) ........................................................... 3-25Flamemaster Corp. (Oct. 29, 1996) ........................................... 13-14Florida Prepaid College Program

(avail. Sept. 12, 1990) ..............................................2-121, 2-124Fort Bend County Municipal Utility District No. 49

(avail. June 13, 1986) ........................................................... 2-66Franklin Advantage Crossing Networks (Nov. 22, 1991) .......... 13-26Frontier Capital Management Company

(avail. July 13, 1988) ............................................................ 3-71G.A.B.E., Inc. (avail. Mar. 15, 1974) ........................................... 3-43Garfield County School District No. 16

(avail. Oct. 14, 1981) ............................................................ 2-66Gem Savings Ass’n (avail. Aug. 12, 1983) ................ 2-71, 3-16, 3-25Glendale Investment Corp. (avail. Oct. 13, 1976) ...................... 3-43Goldman, Sachs & Co. (avail. July 10, 1978) ....................2-55, 2-84Governmental Agency Deferred Compensation Plans

(avail. Sept. 10, 1975) ........................................................... 3-35Great Lakes Development Co., Inc. (avail. Jan. 3, 1972) ............ 2-47

T–94


Group Health Co-Operative of Puget Sound(avail. Sept. 15, 1975) ......................................................... 2-177

Guarantee Security Fund (avail. Feb. 22, 1981) .......................... 3-25Harris County Housing Fin. Corporation

(avail. Apr. 25, 1983) .......................................................... 2-157Health Education Authority of Louisiana

(avail. Dec. 1, 1975) ........................................................... 2-171Helena-West Helena-Phillips County Port Authority

(avail. Nov. 25, 1987) ..................................................2-37, 2-78Hereth, Orr & Jones Inc. (avail. Oct. 25, 1982) .......................... 2-85Humble Medical Facilities Bd., Inc.

(avail. Oct. 30, 1975) ...............................................2-158, 2-162ICMA Retirement Trust (avail. Feb. 7, 1983) .............................. 3-36ICMARC (avail. Mar. 4, 1974) .................................................... 3-35Illinois School District Liquid Asset Fund Plus

(avail. June 15, 1984) ........................................................... 3-33(avail. May 16, 1984) ......................................................... 2-139

Indiana Secondary Market for Educ. Loans, Inc.(avail. Oct. 20, 1986) .......................................................... 2-163

Industrial Development Authority of the City ofChesapeake, Va. (avail. Aug. 7, 1978) ................................... 2-65

Instinet (Aug. 8, 1986) .............................................................. 13-26Instinet Corporation’s “Market Match” Crossing Session

(Dec. 6, 1991) ..................................................................... 13-26International City Management Association Retirement Corp.

(avail. Mar. 4, 1974) ............................................................. 3-25Internet Capital Corporation (Dec. 24, 1997) ........................... 13-14Intervest Financial Services, Inc. (Nov. 25, 1992) ..................... 13-23Investment Company Institute (avail. Dec. 6, 1989) .................. 3-89Investment Corp. (avail. Dec. 14, 1977) ..................................... 3-89Jackson County Redevelopment Authority

(avail. Feb. 24, 1978) ............................................................ 2-39Jan L. Warner, Esq. (Dec. 27, 1988) .......................................... 12-71John Wirthlin (Jan. 19, 1999) .................................................... 10-13Josephthal & Co. (avail. Nov. 23, 1974) ...................................... 3-25Kaiser Foundation Hospitals

(Apr. 10, 1980) ..................................................................... 2-81(May 12, 1980) ..........................................................2-29, 2-177

Kansas City, Missouri Public Building Authority(avail. Aug. 31, 1973) ......................................................... 2-158

Kelling & Co. (avail. Oct. 22, 1984) ...................................2-72, 3-55Kelling, Northcross & Nobriga, Inc. (avail. Feb. 25, 1987) ......... 2-76Kidder, Peabody & Co., Inc. (avail. July 17, 1984) ...................... 2-43Landmark Funding Corp. (avail. Sept. 20, 1984) ...............3-43, 3-75Lattice Network (Sept. 9, 1993) ................................................ 13-26



LIMITrader (Nov. 25, 1991) ...................................................... 13-26Lloyds Bank International Limited (avail. Dec. 17, 1984) .......... 2-82Los Angeles Higher Education Corporation

(avail. Jan. 9, 1975) ............................................................ 2-176Los Medanos Community Hospital District Hospital

Building Corporation (avail. Oct. 7, 1976) ......................... 2-158Louisiana Hospital Authority (avail. July 21, 1975) .................... 2-20Madera Community Hospital

(avail. Mar. 12, 1976) ......................................................... 2-186(avail. May 12, 1976) ......................................................... 2-158

Maine College Savings Program Fund(avail. Aug. 2, 1999) ................................................2-128, 2-131

Manhattan Health Authority, Inc.(avail. June 27, 1977) ..............................................2-162, 2-163

Maryland College Investment Plan (avail. Dec. 7, 2001) .......... 10-43Massachusetts Municipal Depository Trust

(avail. May 23, 1977) .......................................................... 2-136Meadow Lane Associates (avail. May 24, 1989) .......................... 3-71Medidentic Mortgage Investors (avail. May 23, 1984) ................ 3-43Memorial Hospital Medical Center of Long Beach Inc.

(avail. Apr. 15, 1974) .......................................................... 2-187Meridian Leasing Corporation (avail. Jan. 19, 1984) .................. 3-53Merrill Lynch, Pierce, Fenner & Smith, Inc.

(avail. Nov. 4, 1981) ............................................................. 2-85(avail. Sept. 26, 1990) ................................................2-107, 3-63(avail. Sept. 28, 1982) ..................................................3-13, 3-49(Oct. 5, 1981) ....................................................................... 2-82

Merritt Forbes & Co. (avail. Oct. 30, 1985) ........... 2-51, 2-101, 3-62Michigan School District Liquid Asset Fund

(avail. May 26, 1987) ............................................................ 2-14Michigan Strategic Fund (avail. June 8, 1987) ...................2-43, 3-30Minnesota School District Liquid Asset Fund Plus

(avail. Feb. 27, 1985) ............................................................ 3-33(avail. Jan. 28, 1985) .......................................................... 2-140

Minnesota Small Business Finance Agency(avail. Apr. 19, 1983) ............................................................ 2-87

Missouri Higher Education Savings Program (Oct. 25, 1999) ..... 3-40Morgan Hill Unified District School Building Corporation

(avail. July 25, 1973) .......................................................... 2-158Morgan Stanley & Co. Inc.

(Apr. 10, 1986) ..................................................................... 2-78(Dec. 4, 1985) .................................................... 2-61, 2-77, 2-78

Moultrie National Bank (avail. Dec. 27, 1974) ........................... 3-25Mudge Rose Guthrie Alexander & Ferdon (Apr. 4, 1991) .... 6-43, 6-45

T–96


Muir California Health, Recreation andRetirement Facilities, Inc. (avail. June 21, 1979) ................ 2-158

MuniAuction, Inc. (avail. Mar. 13, 2000) .........................6-75, 10-42Municipal Issuers Service Corporation (avail. Oct. 29, 1983) ..... 2-51Municipal Securities Rulemaking Board (avail. 1989) ............... 2-105NAPEX

(Aug. 2, 1985) ..................................................................... 13-26(Sept. 3, 1985) .................................................................... 13-26

NASD (avail. Feb. 23, 1975) ..............................................3-25, 3-74Nat’l Council of Young Men’s Christian Association

(avail. Apr. 29, 1991) .......................................................... 2-184National Data Corp., Wash. Serv. Bureau Fiche

(June 25, 1973) ..................................................................... 6-62National Partnership Exchange, Inc. (Aug. 2, 1985) ................. 13-22National Royalty Exchange (Dec. 21, 1989) .............................. 13-15National Skeet Shooting Association (avail. July 5, 1979) ........ 2-176Nebraska Higher Education Loan Program, Inc.

(avail. June 21, 1979) ..................................................2-169, 4-8Net Roadshow, Inc.

(Jan. 29, 2013) .................................................................... 6-101(Jan. 30, 1998) ...........................................................6-98, 6-101(July 30, 1997) ...................................................................... 6-98

Nevada Irrigation District (avail. May 16, 1978) ........................ 2-95New Hampshire Higher Education Savings Plan Trust

(avail. Apr. 4, 1998) ............................................................ 2-128New Hope Foundation of America

(avail. June 9, 1974) ........................................................... 2-180(avail. June 9, 1975) ........................................................... 2-152

New Jersey Health Care Facilities Financing Authority(avail. Oct. 21, 1974) .......................................................... 2-187

New Jersey Health Facilities Financing Authority(avail. Sept. 12, 1974) ........................................................... 2-20

New York State College Choice Tuition Savings Program(avail. Sept. 10, 1998) ......................................................... 2-128

NYSAC (June 15, 1990) ............................................................ 13-26Omaha National Corporation (avail. Feb. 4, 1974) ..................... 2-51Orange County Housing Finance Authority

(avail. July 26, 1985) ............................................................ 2-41Parental Savings Trust Fund (avail. Mar. 24, 1997) ................... 2-128PBT Covered Option Fund (avail. Jan. 18, 1979) ........................ 3-70Pennsylvania Local Government Investment Trust

(avail. Jan. 30, 1981) .......................................................... 2-140(avail. Mar. 2, 1981) ............................................................. 3-32(avail. May 2, 1981) ........................................................... 12-60



Pennsylvania School District Liquid Asset Trust(avail. Mar. 29, 1982) ........................................................... 3-33

PerfectData Corp. (Aug. 5, 1996) .............................................. 13-14Pillsbury, Madison & Sutro (Mar. 11, 1991) ..... 6-38, 7-53, 7-60, 7-66Piper, Jaffray and Hopwood (avail. Mar. 5, 1987) ........................ 2-75Port Authority of the City of St. Paul

(avail. Nov. 24, 1986) ..................................................2-21, 2-39Portfolio Trading Services, Inc. (May 16, 1991) ........................ 13-26POSIT (July 28, 1987) ............................................................... 13-26POSIT’s Refined Pricing Feature (Oct. 28, 1991) ...................... 13-26Postal Square Limited Partnership (avail. May 24, 1990) ............ 2-88Private Financial Network (Mar. 12, 1997) ................................. 6-98Prudential Mortgage Bankers and Investment Corp.

(avail. Dec. 14, 1977) ........................................................... 3-43Public Employees’ Retirement Board of the State of Oregon

(avail. Mar. 3, 1998) ..................................................2-137, 3-37Public Utility District No. 1 of Chelan County,

Washington (avail. Aug. 7, 1985) .......................................... 2-95Reading Center City Development Fund

(avail. Jan. 14, 1977) .......................................................... 2-163Real Goods Trading Corp. (June 24, 1996) ....................13-13, 13-14Redevelopment Authority of the City of

Harrisburg, Pennsylvania (avail. Nov. 25, 1987) ................ 1-109Regional Airports Improvement Corporation

(avail. Feb. 26, 1974) ............................................................ 2-94Richmond County Health Corp.

(avail. May 16, 1977) ...............................................2-162, 2-163Riverside County Board of Education Serv. Center

Building Corporation (avail. Apr. 20, 1981) ....................... 2-158Riverside County Economic Assistance Corporation

(avail. Feb. 15, 1988) ...............................................2-163, 2-164RMJ Securities, Inc. (Jan. 12, 1989) ................... 13-22, 13-26, 13-31RMJ Securities/Delta Government Options (Jan. 12, 1989) ...... 13-26Robert L. Adler & Co. (Aug. 7, 1985) .............................13-22, 13-26Robert L. Hammond, Jr. (Aug. 30, 1985) .................................. 12-71Rosenman, Colin, Kaye, Petschek, Freund & Emil

(avail. Sept. 16, 1974) ........................................................... 2-47Saint Luke’s Hospital (avail. Aug. 1, 1975) ......................2-81, 2-177San Diego Unified School District Public School Building

Corporation (avail. May 28, 1975) ..................................... 2-158San Francisco Airport Improvement Corporation

(avail. June 3, 1973) ............................................................. 2-94Santa Clara County Building Corporation

(avail. Feb. 4, 1972) ............................................................ 2-158

T–98


Santa Clara County Public Facilities Corporation(avail. Aug. 28, 1972) ......................................................... 2-156

Sanwa Business Credit Corp.(avail. Apr. 4, 1985) ...................................................2-63, 10-39(avail. May 5, 1985) ............................................................. 3-53

SBA Guaranteed Loans (avail. Mar. 6, 1975) .............................. 2-87Security Pacific National Bank

(Aug. 8, 1986) ..................................................................... 13-26(July 19, 1985) .........................................................13-22, 13-26

Sierra Vista Community Hospital of San Luis Obispo(avail. Oct. 16, 1975) ..................................... 2-81, 2-177, 2-179

SIFMA and Ropes & Gray (Mar. 14, 2008) ............................... 9-115SIFMA, Clarification Memo (Mar. 14, 2008) ............................ 9-115Simpson Thacher & Bartlett (May 20, 1984) ............................ 9-100Smith Barney, Harris Upham & Co. Inc.

(avail. Jan. 7, 1977) .............................................................. 3-56(avail. July 15, 1985) ............................................................ 2-26

Société Générale, Los Angeles Branch (avail. Dec. 28, 1984) ...... 2-82South Texas Higher Education Authority

(avail. May 8, 1977) ......................................... 2-167, 2-221, 4-8State of Hawaii College Savings Trust Fund

(avail. Oct. 22, 2001) .......................................................... 10-43State of New Jersey (avail. May 21, 1984) ................................... 3-55State of New Jersey Cash Management Fund

(avail. June 30, 1978) ......................................................... 2-136State of Ohio, Ohio Tuition Trust Authority

(avail. Aug. 6, 1990) ........................................................... 2-125Student Loan Fund of Idaho Marketing Assoc., Inc.

(avail. Jan. 6, 1993) .....................................................2-169, 4-8Squadron, Ellenoff, Pleasant & Lehrer (Feb. 28, 1992) .............. 2-217Texarkana Medical Facilities Corporation

(avail. Sept. 6, 1977) ........................................................... 2-158Texas Deferred Compensation Plans (avail. Nov. 9, 1974) ......... 3-35Texas Housing Agency (avail. May 19, 1983) .............................. 2-41The Golden State Scholarshare Trust

(avail. Sept. 15, 1999) ..............................................2-128, 2-131The Knight Group (Nov. 13, 1991) ........................................... 12-22The Mitsubishi Bank, Limited (avail. Mar. 12, 1986) ............... 2-153The New York Athletic Club of the City of New York

(avail. Dec. 27, 1973) ......................................................... 2-175The Redevelopment Authority of the City of Harrisburg,

Pennsylvania (avail. Nov. 25, 1987) .................. 2-37, 2-78, 2-79The Rouse Co. (avail. Oct. 23, 1972) .......................................... 2-48The United States Olympic Foundation

(avail. Mar. 26, 1986) ......................................................... 2-177



The Woodside Group (avail. Mar. 15, 1981) ............................... 3-55Thomson Financial Servs., Inc. (Sept. 4, 1998) .......................... 6-98Thraikill & Goodman, P.C. (July 16, 1982) .............................. 12-71Toledo-Lucas County Port Authority

(Mid-States Terminals, Inc.) (avail. July 19, 1978) ............... 2-93Tooele County, Utah (avail. Aug. 30, 1989) ................................ 2-35Toronto-Dominion Bank (avail. Jan. 12, 1981) ........................... 2-84Town of Millinocket, Maine—Great Northern Nekoosa Corp.

(avail. Apr. 24, 1972) ............................................................ 2-64Town of Vail, Colorado (avail. Feb. 21, 1980) ............................. 2-17Transaction Services, Inc.

(May 15, 1985) ................................................................... 13-26(Sept. 5, 1985) .................................................................... 13-26

Tuition Account Investment Program Fund(avail. June 26, 2002) ......................................................... 10-43

Underwood, Neuhaus & Co. (avail. Feb. 13, 1975) .................... 3-74U.S. Property Ins., N.V. (avail. May 1, 1989) ................................ 3-7University of Alaska Advanced College Tuition Payment Plan

(avail. Mar. 2, 1992) ................................................2-126, 2-153USF Mortgage Exchange (Feb. 21, 1972) ................................... 13-15Village of Hoffman Estates, Cook and Kane Counties, Illinois

(avail. Sept. 26, 1991) ........................................................... 2-17Walter E. Heller (avail. Oct. 25, 1982) ........................................ 3-53Walter E. Heller & Co. (avail. Sept. 24, 1982) .................2-63, 10-39Warren W. York & Co. (avail. Apr. 4, 1974) ................................ 3-25West Virginia Housing Development Fund

(avail. Feb. 11, 1974) ............................................................ 2-20Westminster Foundation, Inc. (avail. Mar. 9, 1978) .................. 2-180William Wood Enterprises, Inc. (1972) ..................................... 12-73Willmar Student Housing Building Corporation

(avail. July 2, 1973) ............................................................ 2-176Wisconsin Investment Trust

(Feb. 17, 1987) ................................................................... 12-60(Jan. 16, 1987) .................................................................... 2-136

Woodside Group (avail. Mar. 15, 1982) ....................................... 3-75Wunsch Auction Systems, Inc. (Feb. 28, 1991) ......................... 13-26W.W. Grainger, Inc. (avail. Nov. 5, 1981) .................................... 2-65Ypsilanti Housing Corporation (avail. Oct. 1, 1971) .....2-162, 2-163

T–100


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