77-1342 UNITED STATES COURT OF APPEALS UNITED STATES OF AMERICA, Appellant, V. DOUGLAS P. FIELDS, et al., Defendants-Appellees. On Appeal from the United States District Court MEMORANDUM OF THE SECURITIES AND EXCHANGE COMMISSION, AMICUS CURIAE Securities and Exchange Commission v. National Student Marketing Corp., 538 F.2d 404 (C.A. D.C., 1976), certiorari denied sub nom. White and Case v. Securities and Exchange Commission, 429 U.S. 1073 (1977)... 10 Securities and Exchange Commission v. TDA Industries, 2 Securities and Exchange Commission v. Texas Gulf Sulphur Co., 446 F.2d 1301 (C.A. 2), certiorari denied, 404 U.S.1005 (1971).. Statutes and Rules: Investment Advisers Act of 1940, 15 U.S.C. 80b-1, et seq.: Section 209(a), 15 U.S.C. 80b-9(a).... Section 209(b), 15 U.S.C. 80b-9(b)... 6 69667 Statutes and Rules (continued): Investment Company Act of 1940, 15 U.S.C. 80a-1, et seq.: Section 42(a), 15 U.S.C. 80a-41(a). Securities Exchange Act of 1934, 15 U.S.C. 78a, et seq.: Section 10(b), 15 U.S.c. 78j(b)... Section 13(a), 15 U.S.C. 78m(a). Section 21(e), 15 U.S.C. 78u(e). Section 32, 15 U.S.C. 78ff. Page 6666 7 66667 3 3 6 6 6,12 6 7 3 3 3 10 6 Trust Indenture Act of 1939, 15 U.S.C. 77aaa, et seg.: Section 325, 15 U.S.C. 77yyy...... 6 7 Crimes and Criminal Procedure, 18 U.S.C. 1, et seq.: Statutes and Rules (continued): Judiciary and Judicial Procedure, 28 U.S.C. 1, et seq.: 28 U.S.C. 503... 28 U.S.C. 516(a). 28 U.S.C. 519.... Rules Under the Securities Exchange Act: Rule 10b-5, 17 CFR 240.10b-5... Securities and Exchange Commission Rules 17 CFR 200.21............. Securities and Exchange Commission Rules Relating to Informal and Other Procedures: 17 CFR 202.5(a). 17 CFR 202.5(b) Miscellaneous: Securities and Exchange Commission Manual of Administrative Regulations, Section 171..... 10 H.R. Rep. No. 95-640, 95th Cong., 1st Sess. (Sept. 28, 1977).... 8 S. Rep. No. 792, 73d Cong., 2d Sess. (1934)... 7 iii |