15 U.S.C. 78n: Proxies

2022

• Pub. L. 117–263 added subsec. (k). (James M. Inhofe National Defense Authorization Act for Fiscal Year 2023) Law text · (k)

2012

• Pub. L. 112–106 inserted ", for any issuer other than an emerging growth company," after "including". (Jumpstart Our Business Startups Act) Law text · (i)

2010

• Pub. L. 111–203, §971(a), designated existing provisions as par. (1) and added par. (2). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §991(b)(3)(A), substituted "paragraph (4)" for "paragraphs (5) and (6)" in cls. (i) and (ii). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (g)
• Pub. L. 111–203, §991(b)(3)(B), substituted "paragraph (4)" for "paragraphs (5) and (6)". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (g)
• Pub. L. 111–203, §991(b)(3)(C), (D), added pars. (4) to (6) and struck out former pars. (4) to (6) which related to deposit and crediting of fees as offsetting collections, annual adjustment of rates, and final rate adjustment, respectively. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (g)
• Pub. L. 111–203, §991(b)(3)(E), (F), redesignated par. (11) as (8) and struck out former pars. (8) to (10) which related to review and effective date of adjusted rate, collection of fees upon lapse of appropriation, and publication of rate, respectively. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (g)
• Pub. L. 111–203, §953(a), added subsec. (i). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (i)
• Pub. L. 111–203, §955, added subsec. (j). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (j)

2002

• Pub. L. 107–123, §6(1), substituted "a fee at a rate that, subject to paragraphs (5) and (6), is equal to $92 per $1,000,000 of" for "a fee of 1/50 of 1 per centum of". (Investor and Capital Markets Fee Relief Act) Law text · (g), (ii), (3)
• Pub. L. 107–123, §6(2), (3), added pars. (4) to (10) and redesignated former par. (4) as (11). (Investor and Capital Markets Fee Relief Act) Law text · (g)

1998

• Pub. L. 105–353 substituted "consolidation, sale," for "consolidation sale,". (Securities Litigation Uniform Standards Act of 1998) Law text · (g)

1993

• Pub. L. 103–202 added subsec. (h). · (h)

1990

• Pub. L. 101–550, §302(a), substituted "section 78l of this title, or any security issued by an investment company registered under the Investment Company Act of 1940," for "section 78l of this title" and "authorization, or information statement" for "or authorization". · (b)
• Pub. L. 101–550, §302(b), substituted "title, or a security issued by an investment company registered under the Investment Company Act of 1940," for "title". · (c)

1985

• Pub. L. 99–222 designated existing provision as par. (1), inserted "or any bank, association, or other entity that exercises fiduciary powers," after "under this chapter,", and added par. (2). · (b)

1983

• Pub. L. 98–38 added subsec. (g). · (g)

1970

• Pub. L. 91–567, §3, included equity securities of an insurance company which would have been required to be registered except for the exemption contained in section 78l(g)(2)(G) of this title, and substituted "5 per centum" for "10 per centum". · (d)
• Pub. L. 91–567, §4, struck out cl. (A) which excluded offers for, or invitations for tenders of, securities proposed to be made by means of a registration statement under the Securities Act of 1933, and redesignated cls. (B) to (D) as (A) to (C), respectively. · (d)
• Pub. L. 91–567, §5, inserted provisions requiring the Commission, for the purposes of the subsection, by rules and regulations to define, and prescribe means reasonably designed to prevent, such acts and practices as are fraudulent, deceptive, or manipulative. · (e)

1968

• Pub. L. 90–439 added subsecs. (d) to (f). · (d), (e), (f)

1964

• Pub. L. 88–467, §5(a), substituted provisions which make it unlawful for any person, in contravention of the Commission's rules and regulations, to solicit, or to permit the use of his name to solicit, proxies in respect of any security registered pursuant to section 78l of this title … · (a)
• Pub. L. 88–467, §5(b), substituted provisions which make it unlawful for members of a national securities exchange and brokers and dealers registered under this chapter, in contravention of such rules as may be prescribed by the Commission, to give, or to refrain from giving proxies, c… · (b)
• Pub. L. 88–467, §5(c), added subsec. (c). · (c)