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Topic: Securities Investor Protection Act of 1970

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	SIPA. Securities Investor Protection Act - Bankruptcy Basics
		The fund is designed to protect the customers of brokers or dealers subject to the SIPA from loss in case of financial failure of the member.
		In the event that the SIPC refuses to act under the SIPA, the SEC may apply to the U.S. District Court for the District of Columbia to require the SIPC to discharge its obligations under the SIPA.
		The trustee is responsible for investigating the acts, conduct, and condition of the debtor and reporting thereon to the court.
	www.uscourts.gov /bankruptcycourts/bankruptcybasics/sipa.html (2925 words)

	Researching the Federal Securities Laws Through the SEC Website
		This guide provides an overview of how to research the securities law through the SEC website and is provided as a service to investors and members of the public.
		The Securities Lawyer’s Deskbook allows you to research the text of the federal securities laws and regulations by using key words and phrases.
		An idiosyncrasy of the federal securities laws is that the term “regulation” often refers to a collection of rules for example, Regulation S-K and Regulation SHO.
	www.sec.gov /investor/pubs/securitieslaws.htm (1999 words)

	Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities ...
		Security Futures Products The CFMA amended the Exchange Act definitions of "security" and "equity security" to include "security future" and "any security future on any [stock or similar security]," respectively.\11\ In addition, definitions of the terms "security future" \12\ and "security futures product" \13\ were added to the CEA and the Exchange Act.
		All money, securities, or property held to margin, guarantee or secure security futures products held in a futures account, or accruing to customers as a result of such products, are subject to the segregation requirements of section 4d of the CEA and the rules thereunder.
		Securities and Exchange Commission 17 CFR Chapter II The amendments are adopted pursuant to the authority conferred on the SEC by the Exchange Act, including Sections 3(b), 4A, 15(c)(3), 17(a), and 23(a).
	www.cftc.gov /foia/fedreg02/foi020913a.htm (11534 words)

	Securities Investor Protection Act (Site not responding. Last check: 2007-10-31)
		Upon the issuance of a protective decree and appointment of a trustee, or a trustee and counsel, the district court shall order the removal of the entire liquidation proceeding to the bankruptcy court in the same judicial district.
		The trustee is responsible for investigating the acts, conduct, and condition of the debtor and reporting thereon to the court.
		These advances are made to satisfy customer claims in cash, to purchase securities to satisfy net equity claims in lieu of cash, and to pay all necessary costs and expenses of administration and liquidation of the estate to the extent the estate of the debtor is insufficient to pay said costs and expenses.
	www.laeb.uscourts.gov /GenInfo/SecuritiesInvestorProtectionA.htm (3042 words)

	Securities Investor Protection: Steps Needed to Better Disclose SIPC Policies to Investors (Site not responding. Last check: 2007-10-31)
		For the claims we reviewed, investors seemed unaware of the importance of documenting their complaints and were more than twice as likely to telephone their broker to complain about an unauthorized trade as to write a letter.
		SIPC was established in response to a specific problem facing the securities industry in the late 1960s: how to ensure that customers recover their cash and securities from securities firms that fail or cease operations and cannot meet their custodial obligations to customers.
		Investors who attain SIPC customer status are a preferred class of creditors compared with other individuals or companies that have claims against the failed firm and are much more likely to get a part or all of their claims satisfied.
	www.washingtonwatchdog.org /documents/gao/01/GAO-01-653.html (19370 words)

	Chairman's Letter - 1990
		Clearly, investors must always keep their guard up and use accounting numbers as a beginning, not an end, in their attempts to calculate true "economic earnings" accruing to them.
		Investors who expect to be ongoing buyers of investments throughout their lifetimes should adopt a similar attitude toward market fluctuations; instead many illogically become euphoric when stock prices rise and unhappy when they fall.
		That means the securities cannot be worth less than the value they would possess as non-convertible preferreds and may be worth more because of their conversion options.
	www.berkshirehathaway.com /letters/1990.html (13982 words)

	judgecorner\secuinve
		The sole function of SIPC is to return to investors securities and cash left with failed brokerages.
		The trustee is required to return customer name securities to customers of the debtor (15 U.S.C. 78fff-2)(c)(2)), distribute the fund of "customer property" ratably to customers (15 U.S.C. 78fff-2(b)), and pay, with money from the SIPC fund, remaining customer net equity claims, to the extent provided by the Act (15 U.S.C. 78fff-2(b) and 3(a)).
		SIPA provides that the district court shall issue a protective decree if the debtor consents, the debtor fails to contest the application for a protective decree, or the district court finds that one of the conditions specified in 15 U.S.C. 78eee(b)(1) exist.
	www.kyeb.uscourts.gov /kyeb/public/secuinve.htm (3125 words)

	Securities Investor Protection Corporation
		WASHINGTON, D.C. - March 7, 2007 — The Securities Industry and Financial Markets Association (SIFMA), the North American Securities Administrators Association, Inc. (NASAA) and the Securities Investor Protection Corporation (SIPC) today released updated editions of the popular investor education resource, “Understanding Your Brokerage Account Statements.” The publication is available in English and Spanish...
		NEW YORK CITY - December 28, 2006 - The Securities Investor Protection Corporation (SIPC) is conducting an inventory of the assets of Paul L. Forchheimer & Co., Inc., 61 Broadway, New York City, and also is seeking to identify a full list of the customers of the now-shuttered brokerage firm.
		SIPC was appointed earlier this month by a federal court to act as trustee in the Forchheimer & Co. liquidation proceeding in the wake of the arrest of the Aharon Weichselbaum, who was an employee at the brokerage firm...
	www.sipc.org (332 words)

	Sec. 362. Automatic stay (Site not responding. Last check: 2007-10-31)
		This section is intended to be given a narrow construction in order to permit governmental units to pursue actions to protect the public health and safety and not to apply to actions by a governmental unit to protect a pecuniary interest in property of the debtor or property of the estate.
		The lack of adequate protection of an interest in property of the party requesting relief from the stay is one cause for relief, but is not the only cause.
		Section 435(j) of the Act is classified to section 1085(j) of Title 20.
	www.washingtonwatchdog.org /documents/usc/ttl11/ch3/subchIV/sec362.html (3238 words)

	The House Committee on Energy and Commerce Democrats :: The Public Record (Site not responding. Last check: 2007-10-31)
		We are writing with respect to the July 11, 2003, report, Securities Investor Protection: Update on Matters Related to the Securities Investor Protection Corporation, GAO-03-811, which was prepared by the U.S. General Accounting Office (GAO) at our request.
		It provides updated information on the program established under the Securities Investor Protection Act of 1970 for the protection of victims of failed brokerage firms and on actions taken to implement the recommendations contained in the previous GAO report, Securities Investor Protection: Steps Needed to Better Disclose SIPC Policies to Investors, GAO-01-653/ May 25, 2001.
		In the report that we are releasing today, GAO has determined that the Securities and Exchange Commission (SEC) and the Securities Investor Protection Corporation (SIPC) have made significant progress on these matters, but GAO also identifies additional problems and further recommendations for implementation, as well as new questions that merit further study.
	www.house.gov /commerce_democrats/press/108ltr47.shtml (1110 words)

	Untitled Document
		The Environment Protection Agency web site provides information to advocate their mission to protect human health and safeguard the natural environment.
		Full text status of the Federal Water Pollution Control Act (Clean Water Act) provided by the Digest of Federal Resource Laws of Interest to the U.S. Fish and Wildlife Service.
		Created by the Securities Investor Protection Act, SIPC is neither a government agency nor a regulatory authority.
	www.floridalawyerpa.com /links.htm (1832 words)

	Securities Law Rules Regulations from SECLaw.com
		The '33 Act governs the initial issuance and registration of securities, as opposed to the Securities Exchange Act of 1934 which governs financial reporting, and he registration of people involved with the sale of securities.The full text of the Securities Act of 1933
		The full text of the 1934 Act, which primarily governs the purchase and sale of securities, securities brokerage firms and securities exchanges.
		The Securities and Exchange Commission has released its disclosure simplification report, which may have a profound effect on corporate finance, with the elimination of 81 Rules and 22 Forms, modification of many other rules and regulations, and an effort to make it easier for smaller, less-seasoned companies to move quickly in accessing the public markets.
	www.seclaw.com /secrules.htm (983 words)

	362
		(3) any act to obtain possession of property of the estate or of property from the estate or to exercise control over property of the estate;
		(5) any act to create, perfect, or enforce against property of the debtor any lien to the extent that such lien secures a claim that arose before the commencement of the case under this title;
		(1) the stay of an act against property of the estate under subsection (a) of this section continues until such property is no longer property of the estate; and
	scu.edu /law/FacWebPage/Neustadter/article9/main/statutes/bk_362.html (545 words)

	Annotated Bibliography on Railroad Land Grants, with a Focus on the Northern Pacific Railroad and Its Corporate ... (Site not responding. Last check: 2007-10-31)
		Pat Williams introduces bill that would replace Section 2-C with a requirement that land grant railroads or their holding companies use a third of their pre-tax profits for railroad maintenance; a third of the money would be earmarked for branch lines.
		The origin of the land grant act of 1862 (the so-called Morrill act) and some account of its author, Jonathan B. Turner.
		Investor Andrew Farkas, representing "a large group of bondholders who think the settlement is too paltry," came forward in April 1987.
	www.landgrant.org /biblio1.html (12907 words)

	Rule 36a1-2 -- Exemption from SIPA for OTC Derivatives Dealers
		Rule 36a1-1), and application of the Securities Investor Protection Act of 1970 (
		Rule 3b-12, shall be exempt from the provisions of the Securities Investor Protection Act of 1970 (15 U.S.C. 78aaa through 78lll).
		Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services.
	www.law.uc.edu /CCL/34ActRls/rule36a1-2.html (184 words)

	Section 362 of The Bankruptcy Abuse Prevention and Consumer Protection Act of 2005 -- BAPCPA
		(10) under subsection (a) of this section, of any act by a lessor to the debtor under a lease of nonresidential real property that has terminated by the expiration of the stated term of the lease before the commencement of or during a case under this title to obtain possession of such property;
		The provisions of paragraphs (12) and (13) of this subsection shall apply with respect to any such petition filed on or before December 31, 1989.
		(4) with respect to a stay of an act against real property under subsection (a), by a creditor whose claim is secured by an interest in such real property, if the court finds that the filing of the petition was part of a scheme to delay, hinder, and defraud creditors that involved either-
	www.bankruptcytx.com /362.htm (3254 words)

	Selected Acquisitions 01/01-31/04-- O'Quinn Law Library
		THE LEGAL PROTECTION OF DATABASES / MARK J. Cambridge ; New York : Cambridge University Press, 2003.
		PROTECTION OF LAWFUL COMMERCE IN ARMS ACT : HEARING BEFORE THE SUBCOMMITTEE ON COMMERCIAL AND ADMINISTRATIVE LAW OF THE COMMITTEE ON THE JUDICIARY, HOUSE OF REPRESENTATIVES, ONE HUNDRED EIGHTH CONGRESS, FIRST SESSION ON H.R. Washington : U.S. : For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], c2003.
		SECURITIES ARBITRATION PROCEDURE MANUAL / DAVID E. Newark, NJ : Matthew Bender, 2001- CALL # = KF1070.R63 5th.
	www.law.uh.edu /Libraries/laacq/0401ab.html (5801 words)

	Montgomery Barnett
		The avoidance of a sale because of a vice or defect in the thing (such as a building, vehicle, and so forth) which renders the thing absolutely useless or its use so inconvenient that it may be presumed that the buyer would not have purchased the thing had the buyer known of the defect.
		The installment sale benefits do not apply where Î there is certain depreciation recapture, Ï the property is publicly traded securities, and Ð the property was sold in the ordinary course of business unless the property is unimproved residential lots, time-share units, or farm property.
		Resource Conservation and Recovery Act of 1976 as amended by the Hazardous and Solid Waste Amendments of 1984 (usually referred to together as “RCRA”) - Designed to regulate the generation, handling, transportation, treatment, storage, and disposal of solid and hazardous wastes from cradle to grave.
	www.monbar.com /CM/Articles/Articles3.asp (3746 words)

	Section 742 of The Bankruptcy Abuse Prevention and Consumer Protection Act of 2005 -- BAPCPA
		Notwithstanding section 362 of this title, SIPC may file an application for a protective decree under the Securities Investor Protection Act of 1970.
		The filing of such application stays all proceedings in the case under this title unless and until such application is dismissed.
		Bankruptcy Abuse Prevention and Consumer Protection Act of 2005
	www.bankruptcytx.com /742.htm (93 words)

	s362 Automatic Stay
		(3) under subsection (a) of this section, of any act to perfect an interest in property to the extent that the trustee's rights and powers are subject to such perfection under section 546(b) of this title or to the extent that such act is accomplished within the period provided under section 547(e)(2)(A) of this title;
		(16) under subsection (a) of this section, of any action by a guaranty agency, as defined in section 435(j) of the Higher Education Act of 1965 (20 U.S.C. 1001 et seq.) or the Secretary of Education regarding the eligibility of the debtor to participate in programs authorized under such Act.
		If the hearing under this subsection is a preliminary hearing, then such final hearing shall be commenced not later than thirty days after the conclusion of such preliminary hearing.
	www.ic.arizona.edu /ic/law/168.html (1122 words)

	Money & Credit Cards at Free Searching - The Fun Business Directory
		The American Association of Individual Investors specializes in providing investment education in the areas of: investing basics, financial planning and retirement, comparing mutual funds, stock market investing, and improving your investment portfolio.
		Welcome to the Fraud Bureau, a free service, established to alert online consumers and investors of prior complaints relating to online vendors including sellers at online auctions and to provide consumers, investors and users with information and news on how to safely surf, shop and invest on the net.
		Whether you are an investor visiting this website as a potential subscriber to Inside Wall Street, our newsletter, or a stockbroker, representing clients who are serious about making profits in the small cap sector, or the CEO of a public company seeking quality representation for your firm, our message is the same.
	www.freesearching.com /money.htm (2078 words)

	US CODE: Title 15,CHAPTER 2B–1—SECURITIES INVESTOR PROTECTION (Site not responding. Last check: 2007-10-31)
		National market system for securities; securities information processors
		Applications for unlisted trading privileges deemed filed under section 78l of this title
		National system for clearance and settlement of securities transactions
	www.law.cornell.edu /uscode/15/ch2B-1.html (114 words)

	Page 4: Bankruptcy Abuse Prevention and Consumer Protection Act
		Timing of damage measure in connection with swap agreements, securities contracts, forward contracts, commodity contracts, repurchase agreements, or master netting agreements.'.
		Section 5(b)(2) of the Securities Investor Protection Act of 1970 (15 U.S.C. 78eee(b)(2)) is amended by adding at the end the following new subparagraph:
		Such ombudsman may not review confidential patient records unless the court approves such review in advance and imposes restrictions on such ombudsman to protect the confidentiality of such records.
	www.wilcoxlegal.com /pdfs/bapcpa-2005-4.htm (9598 words)

	National Futures Association \| News Center
		File No. S7-17-01; Applicability of CFTC and SEC Customer Protection, Recordkeeping, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products (Dec. 05, 2001)
		Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers; 66 Fed. Reg.
		File No. S7-10-01; Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations
	www.nfa.futures.org /news/newsCommentList.asp?Year=2001 (206 words)

	LAWDOG Bankruptcy: More Detail On Automatic Stay & Relief From Stay
		LAWDOG is intended to assist in the understanding of basic concepts.
		The court shall order such stay continued in effect pending the conclusion of the final hearing under subsection (d) of this section if there is a reasonable likelihood that the party opposing relief from such stay will prevail at the conclusion of such final hearing.
		(ii) given by or on behalf of the secured party under such agreement;
	www.lawdog.com /bkrcy/bkct13d.htm (1471 words)

	Find in a Library: Securities Investor Protection Act of 1970.
		Find in a Library: Securities Investor Protection Act of 1970.
		To find this item in a library, enter a postal code, state, province, or country in the field above.
		WorldCat is provided by OCLC Online Computer Library Center, Inc. on behalf of its member libraries.
	worldcatlibraries.org /wcpa/ow/0dcf32f38813ef71a19afeb4da09e526.html (53 words)

	Lawyers Attorneys and Class Action Lawsuits
		(B) adjudications with respect to individual members of the class which would as a practical matter be dispositive of the interests of the other members not parties to the adjudications or substantially impair or impede their ability to protect their interests; or
		(2) the party opposing the class has acted or refused to act on grounds generally applicable to the class, thereby making appropriate final injunctive relief or corresponding declaratory relief with respect to the class as a whole; or
		U.S. Securities and Exchange Commission (SEC) - Info on Securities Fraud Broker Abuse
	www.classactionamerica.com /affiliates/gm/classactionlawsuit.asp (967 words)

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