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1、SECURITIESACTOF1933[ASAMENDEDTHROUGHP.L.112-106,APPROVEDAPRIL5,2012]TABLEOFCONTENTSSec.1.ShortTitle.Sec.2.Definitions.Sec.2A.SwapAgreements.Sec.3.ExemptedSecurities.Sec.4.ExemptedTransactions.Sec.4A.RequirementsWithRespecttoCertainSmallTransactions.Sec.5.
2、ProhibitionsRelatingtoInterstateCommerceandtheMails.Sec.6.RegistrationofSecuritiesandSigningofRegistrationStatement.Sec.7.InformationRequiredinRegistrationStatement.Sec.8.TakingEffectofRegistrationStatementsandAmendmentsThereto.Sec.8A.Cease-And-DesistProc
3、eedings.Sec.9.CourtReviewofOrders.Sec.10.InformationRequiredinProspectus.Sec.11.CivilLiabilitiesonAccountofFalseRegistrationStatement.Sec.12.CivilLiabilitiesArisinginConnectionWithProspectusesandCommunica-tions.Sec.13.LimitationofActions.Sec.14.ContrarySt
4、ipulationsVoid.Sec.15.LiabilityofControllingPersons.Sec.16.AdditionalRemedies;LimitationonRemedies.Sec.17.FraudulentInterstateTransactions.Sec.18.ExemptionFromStateRegulationofSecuritiesOfferings.Sec.19.SpecialPowersofCommission.Sec.20.InjunctionsandProse
5、cutionofOffenses.Sec.21.HearingsbyCommission.Sec.22.JurisdictionofOffensesandSuits.Sec.23.UnlawfulRepresentations.Sec.24.Penalties.Sec.25.JurisdictionofOtherGovernmentAgenciesOverSecurities.Sec.26.SeparabilityofProvisions.Sec.27.PrivateSecuritiesLitigatio
6、n.Sec.27A.ApplicationofSafeHarborforForward-LookingStatements.Sec.27B.ConflictsofInterestRelatingtoCertainSecuritizations.Sec.28.GeneralExemptiveAuthority.ScheduleA.ScheduleB.SHORTTITLESEC.1.Thistitlemaybecitedasthe‘‘SecuritiesActof1933’’.(May27,1933,ch.3
7、8,titleI,Sec.1,48Stat.74.)DEFINITIONSSEC.2.(a)DEFINITIONS.—Whenusedinthistitle,unlessthecontextotherwiserequires—(1)Theterm‘‘security’’meansanynote,stock,treasurystock,securityfuture,security-basedswap,bond,debenture,evidenceofindebtedness,certificateofin
8、terestorparticipation1Sec.2SECURITIESACTOF19332inanyprofit-sharingagreement,collateral-trustcertificate,preorganizationcertificateorsubscription,transferableshare,investmentcontract,voting-trustcertificate,certifica
