Application; information required; availability of information to public
15 U.S.C. 77asection 77fff of this titlesection 77ddd of this titlesection 77eee of this titlesection 77uuu of this titleIn the case of any security which is not required to be registered under the Securities Act of 1933 [ et seq.] and to which subsection (a) of is applicable notwithstanding the provisions of , an application for qualification of the indenture under which such security has been or is to be issued shall be filed with the Commission by the issuer of such security. Each such application shall be in such form, and shall be signed in such manner, as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors. Each such application shall include the information and documents required by subsection (a) of . The information and documents required by paragraph (1) of such subsection with respect to the person designated to act as indenture trustee shall be contained in a separate part of such application, which part shall be signed by such person. Each such application shall also include such of the other information and documents which would be required to be filed in order to register such indenture security under the Securities Act of 1933 as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors. An application may be withdrawn by the applicant at any time prior to the effective date thereof. Subject to the provisions of , the information and documents contained in or filed with any application shall be made available to the public under such regulations as the Commission may prescribe, and copies thereof, photostatic or otherwise, shall be furnished to every applicant therefor at such reasonable charge as the Commission may prescribe.
Filing of application
The filing with the Commission of an application, or of an amendment to an application, shall be deemed to have taken place upon the receipt thereof by the Commission.
Applicability of other statutory provisions
section 77h of this titlesection 77eee of this title15 U.S.C. 77aThe provisions of and the provisions of subsection (b) of shall apply with respect to every such application, as though such application were a registration statement filed pursuant to the provisions of the Securities Act of 1933 [ et seq.].
May 27, 1933, ch. 38Aug. 3, 1939, ch. 41153 Stat. 1156Pub. L. 107–123, § 7115 Stat. 2397(, title III, § 307, as added , ; amended , , .)
Editorial Notes
References in Text
act May 27, 1933, ch. 38, title I48 Stat. 74section 77a of this titleThe Securities Act of 1933, referred to in subsecs. (a) and (c), is , , which is classified generally to subchapter I (§ 77a et seq.) of this chapter. For complete classification of this Act to the Code, see and Tables.
Amendments
Pub. L. 107–1232002—Subsec. (b). substituted “Commission” for “Commission, but, in the case of an application, only if it is accompanied or preceded by payment to the Commission of a filing fee in the amount of $100, such payment to be made in cash or by United States postal money order or certified or bank check, or in such other medium of payment as the Commission may authorize by rule and regulation”.
Statutory Notes and Related Subsidiaries
Effective Date of 2002 Amendment
Pub. L. 107–123section 11 of Pub. L. 107–123section 78ee of this titleAmendment by effective , see , set out as a note under .
Executive Documents
Transfer of Functions
64 Stat. 1265section 78d of this titleFor transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, §§ 1, 2, eff. , 15 F.R. 3175, , set out under .