Rule 12d1-1

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[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 15USC80a-37]

TITLE 15--COMMERCE AND TRADE
CHAPTER 2D--INVESTMENT COMPANIES AND ADVISERS
SUBCHAPTER I--INVESTMENT COMPANIES
Sec. 80a-37. Rules, regulations, and orders

(a) Powers of Commission
The Commission shall have authority from time to time to make,
issue, amend, and rescind such rules and regulations and such orders as
are necessary or appropriate to the exercise of the powers conferred
upon the Commission elsewhere in this subchapter, including rules and
regulations defining accounting, technical, and trade terms used in
this
subchapter, and prescribing the form or forms in which information
required in registration statements, applications, and reports to the
Commission shall be set forth. For the purposes of its rules or
regulations the Commission may classify persons, securities, and other
matters within its jurisdiction and prescribe different requirements
for
different classes of persons, securities, or matters.
(b) Filing of information and documents
The Commission, by such rules and regulations or order as it deems
necessary or appropriate in the public interest or for the protection
of
investors, may authorize the filing of any information or documents
required to be filed with the Commission under this subchapter,
subchapter II of this chapter, the Securities Act of 1933 [15 U.S.C.
77a
et seq.], the Securities Exchange Act of 1934 [15 U.S.C. 78a et seq.],
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the Public Utility Holding Company Act of 1935 [15 U.S.C. 79 et seq.],
or the Trust Indenture Act of 1939 [15 U.S.C. 77aaa et seq.], by
incorporating by reference any information or documents theretofore or
concurrently filed with the Commission under this subchapter or any of
such Acts.
(c) Good faith conformance with rules, regulations, and orders
No provision of this subchapter imposing any liability shall apply
to any act done or omitted in good faith in conformity with any rule,
regulation, or order of the Commission, notwithstanding that such rule,
regulation, or order may, after such act or omission, by amended or
rescinded or be determined by judicial or other authority to be invalid
for any reason.
(Aug. 22, 1940, ch. 686, title I, Sec. 38, 54 Stat. 841.)
References in Text
The Securities Act of 1933, referred to in subsec. (b), is act May
27, 1933, ch. 38, title I, 48 Stat. 74, as amended, which is classified
generally to subchapter I (Sec. 77a et seq.) of chapter 2A of this
title. For complete classification of this Act to the Code, see section
77a of this title and Tables.
The Securities Exchange Act of 1934, referred to in subsec. (b), is
act June 6, 1934, ch. 404, 48 Stat. 881, as amended, which is
classified
generally to chapter 2B (Sec. 78a et seq.) of this title. For complete
classification of this Act to the Code, see section 78a of this title
and Tables.
The Public Utility Holding Company Act of 1935, referred to in
subsec. (b), is act Aug. 26, 1935, ch. 687, title I, 49 Stat. 838, as
amended, which is classified generally to chapter 2C (Sec. 79 et seq.)
of this title. For complete classification of this Act to the Code, see
section 79 of this title and Tables.
The Trust Indenture Act of 1939, referred to in subsec. (b), is
title III of act May 27, 1933, ch. 38, as added Aug. 3, 1939, ch. 411,
53 Stat. 1149, as amended, which is classified generally to subchapter
III (Sec. 77aaa et seq.) of chapter 2A of this title. For complete
classification of this Act to the Code, see section 77aaa of this title
and Tables.
Transfer of Functions

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For transfer of functions of Securities and Exchange Commission,
with certain exceptions, to Chairman of such Commission, see Reorg.
Plan
No. 10 of 1950, Secs. 1, 2, eff. May 24, 1950, 15 F.R. 3175, 64 Stat.
1265, set out under section 78d of this title.
Section Referred to in Other Sections
This section is referred to in sections 80a-6, 80a-58 of this title.

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