15 U.S.C. § 78bbb
Application of Securities Exchange Act of 1934
Except as otherwise provided in this chapter, the provisions of the Securities Exchange Act of 1934 [15 U.S.C. 78a et seq.] (hereinafter referred to as the “1934 Act”) apply as if this chapter constituted an amendment to, and was included as a section of, such Act.
Notes of Decisions
Cited in 12
cases, 1974–2012 · leading case: Sec. & Exch. Comm'n v. Sec. Inv. Prot. Corp., 872 F. Supp. 2d 1 (D.D.C. 2012).
Sec. & Exch. Comm'n v. Sec. Inv. Prot. Corp., 872 F. Supp. 2d 1 (D.D.C. 2012). “15 U.S.C. § 78bbb. 2 (The Securities Exchange Act of 1934 is also *4 commonly referred to as the “1934 Act.”
Massachusetts Fin. Servs., Inc. v. Sec. Inv. Prot. Corp., 411 F. Supp. 411 (D. Mass. 1976). “§ 78aa, as incorporated into the 1970 Securities Investor Protection Act, 15 U.S.C. § 78bbb. Venue is based on those same provisions.”
Sec. Inv. Prot. Corp. v. Bernard L. Madoff Inv. Sec. LLC, 454 B.R. 307 (S.D.N.Y. 2011). “) But while a SIPA liquidation proceeding may be maintained in the bankruptcy court, and SIPA incorporates provisions of the Bankruptcy Code, SIPA expressly provides that it is part of the securities laws and is codified in Title 15, not Title 11, See 15 U.S.C. § 78bbb (“Except…”
Picard v. Hsbc Bank Plc, 450 B.R. 406 (S.D.N.Y. 2011). “See 15 U.S.C. § 78bbb (“Except as otherwise provided in this chapter, the provisions of the Securities Exchange Act of 1934 .”
Trefny v. Bear Stearns Sec. Corp., 243 B.R. 300 (S.D. Tex. 1999). “As to whether Congress intended to preclude arbitration of bankruptcy or SIPA disputes, this court notes that the SIPA specifically provides that “the provisions of the Securities and Exchange Act of 1934 [15 U.”
Ravis v. Day (In Re Investors Sec. Corp.), 6 B.R. 420 (Bankr. W.D. Pa. 1980). “, which is controlling here by virtue of SIPA § 2, 15 U.S.C. § 78bbb, provides that the term security means “preorganization certificate or subscription .”
Matter of Atkeison, 446 F. Supp. 844 (M.D. Tenn. 1977). “certificate, certificate of deposit, for a security, or in general, any instrument commonly known as a "security"; or any certificate of interest or participation in, temporary or interim certificate for, receipt for, or warrant or right to subscribe to or purchase, any of the…”
Redington v. Touche Ross & Co., 592 F.2d 617 (2d Cir. 1978). “SIPC makes much of 15 U.S.C. § 78bbb (1976), which treats SIPA as if it “constituted an amendment to, and was included as a section of” the ’34 Act.”
Massachusetts Fin. Servs., Inc. v. Sec. Inv. Prot. Corp., 545 F.2d 754 (1st Cir. 1976). “” 15 U.S.C. § 78bbb. This fact reinforces our belief that when Congress used the words “broker” and “dealer” in *757 SIPA, it used them in the technical sense in which they are used in the 1934 Act and in securities law generally.”
Sec. & Exch. Comm'n v. First Sec. Co., 528 F.2d 449 (7th Cir. 1976). “…Act of 1934 . . . apply as if this chapter constituted an amendment to, and was included as a section of, such Act.” 15 U.S.C. § 78bbb.”
Sec. & Exch. Comm'n v. Ambassador Church Fin./Dev. Grp., Inc., 446 F. Supp. 844 (M.D. Tenn. 1977). “trust certificate, certificate of deposit, for a security, or in general, any instrument commonly known as a “security”; or any certificate of interest or participation in, temporary or interim certificate for, receipt for, or warrant or right to subscribe to or purchase, any of…”
Sec. & Exch. Comm'n v. Packer, Wilbur & Co., 498 F.2d 978 (2d Cir. 1974). “Section 2 of SIPA, 15 U.S.C. § 78bbb, provides that it shall be considered an amendment to, and section of, the Securities Exchange Act of 1934.”
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