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Topic: Trust Indenture Act of 1939

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Securities and Exchange Commission

	Indenture as supplied by EagleTraders.com
		The indenture may contain provision that prior to default, the indenture trustee shall not be liable except for the performance of such duties as are specifically set out in the indenture.
		The indenture may contain provision protecting the indenture trustee from liability for any error of judgment made in good faith by a responsible officer or officers of the trustee, unless it shall be proved that such trustee was negligent in ascertaining the pertinent facts.
		For indentures to be qualified the act requires that they contain provisions requiring the indenture trustee to give to the indenture security holders notice of all defaults known to the trustee within 90 days after their occurrence.
	www.eagletraders.com /advice/securities/indenture.htm (468 words)

	Trust Indenture Act of 1939
		A law passed in 1939 that prohibits bond issues valued at over $5 million from being offered for sale without a formal written agreement (an indenture), signed by both the bond issuer and the bondholder, that fully discloses the particulars of the bond issue.
		The act also requires that a trustee be appointed for all bond issues, so that the rights of bondholders are not compromised.
		The Trust Indenture Act of 1939 was passed for the protection of bond investors.
	baystreet.investopedia.com /terms/t/trustindentureactof1933.asp (178 words)

	THE MORTGAGE TRUST INDENTURE A Case of Injudicious Application in Violation of Imperative and Pertinent ...
		This federal act of 1939 was designed to protect investors in certain types of bonds by requiring that the trust indenture be approved by the SEC and include certain protective clauses, and that trustees be appointed and be independent of the issuing company.
		A trust deed on real restate as security for a bond issue is, in effect, a mortgage on property executed by the mortgagor to a third person as trustee to hold as security for the mortgage debt as evidenced by the bonds, for the benefit of the purchasers of the bonds as lenders.
		The powers and duties of the trustee in a deed of trust in the nature of a mortgage are measured by the terms of an indenture of mortgage, and the court must look to the instrument for all his authority.
	www.pinoylaw.com /library/mti_case_.htm (6234 words)

	Corporation Finance: Trust Indenture Act of 1939 (Forms and Associated Regulations)
		Statement of Eligibilibility Under the Trust Indenture Act of 1939 of a Corporation Designated to Act as Trustee
		For Applications for Qualifications of Indentures Under the Trust Indenture Act of 1939 (forthcoming)
		Application Under Section 310(a)(1) of the Trust Indenture Act of 1939 for Determination of Eligibility of a Foreign Person To Act as Institutional Trustee (forthcoming)
	www.sec.gov /divisions/corpfin/forms/trustact.shtml (87 words)

	Sample Contracts and Business Forms - Indenture - XM Satellite Radio Holdings Inc. and United States Trust Co. of New ... (Site not responding. Last check: 2007-10-21)
		Whenever this Indenture refers to a provision of the TIA, the provision is incorporated by reference in and made a part of this Indenture.
		The terms and provisions contained in the Notes constitute, and are hereby expressly made, a part of this Indenture and to the extent applicable, the Company and the Trustee, by their execution and delivery of this Indenture, expressly agree to such terms and provisions and to be bound thereby.
		Provisions of this Indenture that apply to conversion of all of a Note also apply to conversion of a portion of it.
	contracts.onecle.com /xm/ustrust.indenture.2001.03.06.shtml (7201 words)

	FindLaw - Indenture - AES China Generating Co. Ltd. and Bankers Trust Co.
		"TRUST OFFICER" means any officer of the Trustee within its Corporate Trust and Agency Group assigned by the Trustee to administer its corporate trust matters or to whom any corporate trust matter is referred because of that officer's knowledge of and familiarity with the particular subject.
		To the extent applicable, the Company and the Trustee, by their execution and delivery of this Indenture, expressly agree to such terms and provisions and to be bound thereby.
		To the extent that the provisions of any securities laws or regulations conflict with provisions of this section, the Company shall comply with the applicable securities laws and regulations and shall not be deemed to have breached its obligations under this section by virtue thereof.
	allbusiness.findlaw.com /agreements/aeschina/bt.indenture.1996.12.19.html (5460 words)

	FindLaw for Legal Professionals - Case Law, Federal and State Resources, Forms, and Code
		The indenture giving rise to this litigation was qualified by the SEC pursuant to the Trust Indenture Act of 1939.
		By alleging that the indenture trustee negligently or intentionally failed to prevent Webb & Knapp from violating the terms of the indenture, petitioner clearly alleges a violation of the 1939 legislation, 15 U.S.C. 77ooo.
		While the indenture trustee is not permitted by the statute to exculpate himself from liability for noncompliance with the indenture, the indenture trustee may rely in good faith on certificates or reports filed pursuant to the indenture and in compliance with the provisions thereof.
	laws.lp.findlaw.com /getcase/US/406/416.html (7108 words)

	The Center Online (securities glossary)
		Anti-dilution clause: A clause in the trust indenture of a bond offering which provides that the conversion price (or conversion ratio) of a convertible bond be adjusted in the case of stock splits or stock dividends paid to common stockholders.
		Catastrophe call: A provision in the trust indenture of a bond issue that allows the issuer to call the bonds if the facility is destroyed by a natural disaster.
		Defeasance: Annulment of trust indenture conditions granting new bonds a claim on revenues, and the old bonds a claim on the escrow account containing the proceeds (the money) from the pre-refunding issue.
	www.thectr.com /glossary/securities/english.htm (7194 words)

	Personal Finance: Money 101: Glossary
		A trust created by a will, that is scheduled to occur after the maker's death.
		Options that provide by their terms that they may be transferred by the optionee, generally only to a family member or to a trust, limited partnership or other entity for the benefit of family members, or to a charity.
		The person creating the trust, who may or may not also be the beneficiary, is called the grantor.
	money.cnn.com /services/glossary/t.html (9348 words)

	Section 2 -- Definitions (Site not responding. Last check: 2007-10-21)
		The term "broker" has the same meaning as given in section 3 of the Securities Exchange Act of 1934 [15 USCS § 78c], except that such term does not include any person solely by reason of the fact that such person is an underwriter for one or more investment companies.
		The Commission may adopt such rules and regulations applicable to the persons and trusts specified in clauses (i) through (iv) of subparagraph (A) as it determines are necessary or appropriate in the public interest or for the protection of investors.
		Unanimous consent of all trustees, directors, or general partners of a company or trust referred to in clause (ii) or (iii) of subparagraph (A) shall constitute consent for purposes of this subparagraph.
	www.law.uc.edu /CCL/InvCoAct/sec2.html (2553 words)

	Rule 3b-17 -- Definitions of Terms Used in Section 3(a)(4) of the Act (Site not responding. Last check: 2007-10-21)
		The term chiefly compensated means that the "relationship compensation" received by a bank from a trust or fiduciary account exceeds the "sales compensation" received by the bank from such account during the immediately preceding year, which is either a calendar year or other fiscal year consistently used by the bank for recordkeeping and reporting purposes.
		The investment company's total charges against net assets for sales or sales promotion expenses and personal service or the maintenance of shareholder accounts do not exceed 0.25 of 1% of average net assets annually and are disclosed in the money market fund's prospectus.
		Section 3(a)(4)(B)(ii) of the Act includes an indenture trustee or a trustee for a tax-deferred account described in Sections 401(a), 408, and 408A under subchapter D and in Section 457 under subchapter E of the Internal Revenue Code of 1986 (26 U.S.C. 1 et seq.).
	www.law.uc.edu /CCL/34ActRls/rule3b-17.html (965 words)

	Code of Federal Regulations: Title 17
		260.4d-9 Exemption for Canadian Trust Indentures from Specified Provisions of the Act.
		260.5b-1 Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis.
		260.19a-1 Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.
	www4.law.cornell.edu /cfr/17p260.htm (467 words)

	Statement of Eligibility under the Trust Indenture Act of 1939
		(3) To act as factor, agent, broker or attorney in the receipt, collection, custody, investment and management of funds, and the purchase, sale, management and disposal of property of all descriptions, and to prepare and execute all papers which may be necessary or proper in such business.
		The acts of the majority at a meeting at which a quorum is present shall constitute action by the Committee.
		Pursuant to Section 321(b) of the Trust Indenture Act of 1939, as amended, Wilmington Trust Company hereby consents that reports of examinations by Federal, State, Territorial or District authorities may be furnished by such authorities to the Securities and Exchange Commission upon requests therefor.
	www.freeedgar.com /EdgarConstruct/Data/1193125/03-65376/dex251.htm (4506 words)

	HyperWar: U.S. Government Manual--1945 [Securities and Exchange Commission]
		Chapter X of the National Bankruptcy Act, as Amended.--This chapter, which in 1938 extensively revised section 77B of the act, affords the appropriate machinery for the reorganization of corporations in the Federal courts under the bankruptcy power.
		The duties of the Commission under the chapter are, primarily, to act as a participant in proceedings thereunder, at the request or with the approval of the court, in order to provide independent expert advice on matters arising in such proceedings.
		Registration statements under the Securities Act and applications for the qualification of indentures under the Trust Indenture Act may be delivered to regional offices for forwarding to Philadelphia.
	www.ibiblio.org /hyperwar/ATO/USGM/SEC.html (1600 words)

	SBA SMALL BUSINESS INVESTMENT ACT OF 1958 - PL 85-699 (Site not responding. Last check: 2007-10-21)
		During the term of the trust certificate, it may be called for redemption due to prepayment or default of all debentures or redemption, whether voluntary or involuntary, of all participating securities residing in the pool.
		In the event that a debenture in such trust or pool is prepaid, either voluntarily or in the event of default, the guarantee of timely payment of principal and interest on the trust certificates shall be reduced in proportion to the amount of principal and interest such prepaid debenture represents in the trust or pool.
		During the term of the trust certificate, it may be called for redemption due to prepayment or default of all debentures constituting the pool.
	www.sba.gov /INV/act/sbicactaug99.html (12974 words)

	bp_kubasek_legenv_3\|Rules Governing the Issuance and Trading\|*Short Quiz*
		The Trust Indenture Act of 1939 regulates the public issuance of bonds and other securities.
		The Trust Indenture Act of 1939 regulates trading in periods of extreme volatility.
		The Securities Act of 1933 provides remedies for individuals who have been victims of misrepresentation in a registration statement.
	wps.prenhall.com /bp_kubasek_legenv_3/0,,156736-,00.utf8.html (795 words)

	Rule 0-2. Definitions of terms used in the rules and regulations. (Site not responding. Last check: 2007-10-21)
		The term "act" means the Trust Indenture Act of 1939.
		The term "rules and regulations" means all rules and regulations adopted by the Commission pursuant to the act, including the forms and instructions thereto.
		The term "section" means a section of the act.
	www.merrilldirect.com /securitieslaw/1939_act/r260-0-2.htm (298 words)

	2002 CFR Title 17, Volume 3 (Site not responding. Last check: 2007-10-21)
		Exemption for Canadian Trust Indentures from Specified Provisions of the Act.
		Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis.
		Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.
	www.access.gpo.gov /nara/cfr/waisidx_02/17cfr260_02.html (362 words)

	Bloomberg.com: Financial Glossary
		The tax benefits of tax haven affiliates were largely removed in the US by the Tax Reform Act of 1986.
		Among its provisions are a decrease in the minimum holding period for assets to qualify for long-term capital gains treatment from one year to six months.
		Some of the legislation's provisions included tax credits for taxpayers supporting children, an increase in the amount that could be excluded from estate taxes, and a lower capital gains tax rate.
	www.bloomberg.com /analysis/glossary/bfglost.htm (4264 words)

	Section 3 -- Definitions and Application (Site not responding. Last check: 2007-10-21)
		The term "participant" when used with respect to a clearing agency means any person who uses a clearing agency to clear or settle securities transactions or to transfer, pledge, lend, or hypothecate securities.
		subsection (a)(5)(C)(iii) of this section and section 206(a)(5) of the Gramm-Leach-Bliley Act [15 U.S.C.A. § 78c note], the term 'qualified investor' has the meaning given such term by subparagraph (A) of this paragraph except that clauses (xi) and (xii) shall be applied by substituting '$10,000,000' for '$25,000,000'.
		No issuer of municipal securities or officer or employee thereof acting in the course of his official duties as such shall be deemed to be a "broker", "dealer", or "municipal securities dealer" solely by reason of buying, selling, or effecting transactions in the issuer's securities.
	www.law.uc.edu /CCL/34Act/sec3.html (6531 words)

	OAG 01-3 (Site not responding. Last check: 2007-10-21)
		The Kentucky Postsecondary Education Prepaid Trust Fund is a public instrumentality of the Commonwealth of Kentucky for purposes of the Securities Act of 1933, Securities Exchange Act of 1934, and Trust Indenture Act of 1939.
		Cir.1994) (Michigan education trust is a public instrumentality because its board is appointed by governor and makes contracts on behalf of the state); United States v.
		Accordingly, it is the opinion of the Office of the Attorney General that the Kentucky Postsecondary Education Prepaid Trust Fund is a public instrumentality of the Commonwealth of Kentucky for purposes of the Securities Act of 1933, Securities Exchange Act of 1934, and Trust Indenture Act of 1939.
	ag.ky.gov /civil/opinions/OAG013.htm (1665 words)

	Proposed Rule: Definition of Eligible Portfolio Company under the Investment Company Act of 1940; Release No. IC-26644; ...
		In amending the Investment Company Act, Congress underscored that the new provisions would apply only to BDCs that are operated for the purpose of investing in the securities of certain issuers and that make available significant managerial assistance to those issuers.
		Section 2(c) of the Investment Company Act mandates that the Commission, when engaging in rulemaking that requires it to consider or determine whether an action is necessary or appropriate in the public interest, consider, in addition to the protection of investors, whether the action will promote efficiency, competition and capital formation.
		For purposes of the Regulatory Flexibility Act, a BDC is a small entity if it, together with other investment companies in the same group of related investment companies, has net assets of $50 million or less as of the end of its most recent fiscal year.
	www.sec.gov /rules/proposed/ic-26647.htm (8260 words)

	Investment Advisers Act of 1940
		(ii) such an act or omission directly or indirectly resulted in substantial losses or created a significant risk of substantial losses to other persons or resulted in substantial pecuniary gain to the person who committed the act or omission.
		It shall be unlawful for any person willfully to make any untrue statement of a material fact in any registration application or report filed with the Commission under section 203 or 204, or willfully to omit to state in any such application or report any material fact which is required to be stated therein.
		Upon a showing that such person has engaged, is engaged, or is about to engage in any such act or practice, or in aiding, abetting, counseling, commanding, inducing, or procuring any such act or practice, a permanent or temporary injunction or decree or restraining order shall be granted without bond.
	www.sec.gov /rules/extra/ia1940.htm (5468 words)

	Preview \| Indenture of Trust \|
		Indenture Act, which provides that the provisions of Sections 310 to and
		WHEREAS, this Indenture is subject to the provisions of the Trust
		Indenture Act of 1939, as amended (the "Trust Indenture Act" or "TIA"), that are
	library.consusgroup.com /library_sbn/366/366777.asp (999 words)

	Law-Lib: Re: Legislative History of the 1939 Trust Indenture Act
		Re: Legislative History of the 1939 Trust Indenture Act
		Maybe in reply to: ppearl@pillsburywinthrop.com: "Legislative History of the 1939 Trust Indenture Act"
		Act of 1939 as that would take a lot of optical scanning of older
	lawlibrary.ucdavis.edu /LAWLIB/Feb02/0524.html (344 words)

	Securities Litigation Uniform Standards Act of 1998: Conference Report - October, 1998 - SCAC
		The managers also determined that, since passage of the Reform Act, plaintiffs' lawyers have sought to circumvent the Act's provisions by exploiting differences between Federal and State laws by filing frivolous and speculative lawsuits in State court, where essentially none of the Reform Act's procedural or substantive protections against abusive suits are available.
		Additionally, it was the intent of Congress, as was expressly stated during the legislative debate on the Reform Act, and particularly during the debate on overriding the President's veto, that the Reform Act establish a heightened uniform Federal standard on pleading requirements based upon the pleading standard applied by the Second Circuit Court of Appeals.
		Indeed, the express language of the Reform Act itself carefully provides that plaintiffs must "state with particularity facts giving rise to a strong inference that the defendant acted with the required state of mind." The Managers emphasize that neither the Reform Act nor S. 1260 makes any attempt to define that state of mind.
	securities.stanford.edu /research/reports/19981001slusa.html (4752 words)

	Rule 0-6. Nondisclosure of information obtained in the course of examinations and investigations. (Site not responding. Last check: 2007-10-21)
		Information or documents obtained by officers or employees of the Commission in the course of any examination or investigation under section 8(e) of the Securities Act of 1933 (48 Stat.
		79; 15 U.S.C. 77h), pursuant to section 307(c) of the Trust Indenture Act of 1939 (53 Stat.
		86; 15 U.S.C. 77t), pursuant to section 321(a) of the Trust Indenture Act of 1939 (53 Stat.
	www.merrilldirect.com /securitieslaw/1939_act/r260-0-6.htm (168 words)

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