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United States Code
U.S.C. Title 15-COMMERCE AND TRADE
CHAPTER 2A-SECURITIES AND TRUST INDENTURES
SUBCHAPTER I-DOMESTIC SECURITIES

15 U.S. Code § 77e

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Prohibitions relating to interstate commerce and the mails

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15 U.S. Code § 77e. Prohibitions relating to interstate commerce and the mails

(a) Sale or delivery after sale of unregistered securitiesUnless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly—

(1)

to make use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise; or

(2)

to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.

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The United States Code on COSMOS is current through Public Law 118-64 (05/24/2024).

SUBCHAPTER I-DOMESTIC SECURITIES

§77a Short title
§77b Definitions; promotion of efficiency, competition, and capital formation
§77b-1 Swap agreements
§77c Classes of securities under this subchapter
§77d Exempted transactions
§77d-1 Requirements with respect to certain small transactions
§77e Prohibitions relating to interstate commerce and the mails
§77f Registration of securities
§77g Information required in registration statement
§77h Taking effect of registration statements and amendments thereto
§77h-1 Cease-and-desist proceedings
§77i Court review of orders
§77j Information required in prospectus
§77k Civil liabilities on account of false registration statement
§77l Civil liabilities arising in connection with prospectuses and communications
§77m Limitation of actions
§77n Contrary stipulations void
§77o Liability of controlling persons
§77p Additional remedies; limitation on remedies
§77q Fraudulent interstate transactions
§77r Exemption from State regulation of securities offerings
§77r-1 Preemption of State law
§77s Special powers of Commission
§77t Injunctions and prosecution of offenses
§77u Hearings by Commission
§77v Jurisdiction of offenses and suits
§77w Unlawful representations
§77x Penalties
§77y Jurisdiction of other Government agencies over securities
§77z Separability
§77z-1 Private securities litigation
§77z-2 Application of safe harbor for forward-looking statements
§77z-2a Conflicts of interest relating to certain securitizations
§77z-3 General exemptive authority
§77z-4 Data standards
§77aa Schedule of information required in registration statement

U.S. Code Popular Name Table

Popular Names

Americans with Disabilities Act 42 U.S.C. § 12101 et seq.

Anti-Kickback Statute 42 U.S.C. § 1320a–7b(b)

Clayton Act 15 U.S.C. § 12 et seq.

Clean Air Act 42 U.S.C. § 7401 et seq.

Commodity Exchange Act 7 U.S.C. § 1

Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA) 42 U.S.C. § 9601 et seq.

Controlled Substances Act 21 U.S.C. § 801 et seq.

Emergency Medical Treatment and Labor Act (EMTALA) 42 U.S.C. § 1395dd

Fair Credit Reporting Act 15 U.S.C. § 1681

False Claims Act 31 U.S.C. § 3729 et seq.

Federal Food, Drug, and Cosmetic Act 21 U.S.C. § 301 et seq.

Federal Insecticide, Fungicide, and Rodenticide Act 7 U.S.C. § 136 et seq.

Federal Trade Commission Act 15 U.S.C. § 41 et seq.

Foreign corrupt Practices Act 15 U.S.C. § 78dd-1 et seq.

Fraud Enforcement and Recovery Act of 2009 (FERA) 18 U.S.C. § 27

Health Information Technology for Economic and Clinical Health Act (HITECH) 42 U.S.C. § 300jj et seq., 42 U.S.C. § 17901 et seq.

Health Insurance Portability and Accountability Act of 1996 (HIPAA) 42 U.S.C. § 201

National Environmental Policy Act (NEPA) 42 U.S.C. § 4321 et seq.

Patient Protection and Affordable Care Act 42 U.S.C. § 18001 et seq.

Physician Payments Sunshine Act 42 U.S.C. § 1320a–7h

Public Health Service Act 42 U.S.C. § 201 et seq.

Resource Conservation and Recovery Act (RCRA) 42 U.S.C. § 6901 et seq.

Robinson–Patman Act 15 U.S.C. § 13

Sarbanes-Oxley Act 15 U.S.C. § 7201 et seq.

Securities Act of 1933 15 U.S.C. § 77a et seq.

Sentencing Reform Act of 1984 18 U.S.C. § 3551 et seq.

Sherman Act 15 U.S.C. § 1 et seq.

Social Security Act 42 U.S.C. § 301 et seq.

Stark Law 42 U.S.C. § 1395nn

Toxic Substances Control Act 15 U.S.C. § 2601 et seq.

Prohibitions relating to interstate commerce and the mails

15 U.S. Code § 77e. Prohibitions relating to interstate commerce and the mails

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