--- kind: "section" citation: "15 U.S.C. § 77ggg" title: "15" title_heading: "Commerce and Trade" number: "77ggg" heading: "Qualification of indentures covering securities not required to be registered" release: "119-102" date: "2026-07-12" url: "https://uscodex.org/usc/15/77ggg" units: - "Chapter 2A — Securities and Trust Indentures" - "Subchapter III — Trust Indentures" --- # §77ggg. Qualification of indentures covering securities not required to be registered - (a) **Application; information required; availability of information to public—** In the case of any [security](/usc/15/77b.md?p=a-1) which is not required to be registered under the [Securities Act of 1933](/usc/15/77ccc.md?p=17) [[15 U.S.C. 77a](/usc/15/77a.md) et seq.] and to which subsection (a) of [section 77fff of this title](/usc/15/77fff.md) is applicable notwithstanding the provisions of [section 77ddd of this title](/usc/15/77ddd.md), an [application for qualification](/usc/15/77ccc.md?p=8) of the [indenture](/usc/15/77ccc.md?p=7) under which such [security](/usc/15/77b.md?p=a-1) has been or is to be issued shall be filed with the [Commission](/usc/15/77ccc.md?p=15) by the [issuer](/usc/15/77b.md?p=a-4) of such [security](/usc/15/77b.md?p=a-1). Each such [application](/usc/15/77ccc.md?p=8) shall be in such form, and shall be signed in such manner, as the [Commission](/usc/15/77ccc.md?p=15) may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors. Each such [application](/usc/15/77ccc.md?p=8) shall include the information and documents required by subsection (a) of [section 77eee of this title](/usc/15/77eee.md). The information and documents required by paragraph (1) of such subsection with respect to the [person](/usc/15/77b.md?p=a-2) designated to act as [indenture trustee](/usc/15/77ccc.md?p=10) shall be contained in a separate part of such [application](/usc/15/77ccc.md?p=8), which part shall be signed by such [person](/usc/15/77b.md?p=a-2). Each such [application](/usc/15/77ccc.md?p=8) shall also include such of the other information and documents which would be required to be filed in order to register such [indenture security](/usc/15/77ccc.md?p=11) under the [Securities Act of 1933](/usc/15/77ccc.md?p=17) as the [Commission](/usc/15/77ccc.md?p=15) may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors. An [application](/usc/15/77ccc.md?p=8) may be withdrawn by the [applicant](/usc/15/7a.md?p=3) at any time prior to the effective date thereof. Subject to the provisions of [section 77uuu of this title](/usc/15/77uuu.md), the information and documents contained in or filed with any [application](/usc/15/77ccc.md?p=8) shall be made available to the public under such regulations as the [Commission](/usc/15/77ccc.md?p=15) may prescribe, and copies thereof, photostatic or otherwise, shall be furnished to every [applicant](/usc/15/7a.md?p=3) therefor at such reasonable charge as the [Commission](/usc/15/77ccc.md?p=15) may prescribe. - (b) **Filing of application—** The filing with the [Commission](/usc/15/77ccc.md?p=15) of an [application](/usc/15/77ccc.md?p=8), or of an amendment to an [application](/usc/15/77ccc.md?p=8), shall be deemed to have taken place upon the receipt thereof by the [Commission](/usc/15/77ccc.md?p=15). - (c) **Applicability of other statutory provisions—** The provisions of [section 77h of this title](/usc/15/77h.md) and the provisions of subsection (b) of [section 77eee of this title](/usc/15/77eee.md) shall apply with respect to every such [application](/usc/15/77ccc.md?p=8), as though such [application](/usc/15/77ccc.md?p=8) were a [registration statement](/usc/15/77b.md?p=a-8) filed pursuant to the provisions of the [Securities Act of 1933](/usc/15/77ccc.md?p=17) [[15 U.S.C. 77a](/usc/15/77a.md) et seq.]. ## Source credit (May 27, 1933, ch. 38, title III, § 307, as added Aug. 3, 1939, ch. 411, 53 Stat. 1156; amended Pub. L. 107–123, § 7, Jan. 16, 2002, 115 Stat. 2397.) ## Notes ### Editorial Notes ### References in Text The Securities Act of 1933, referred to in subsecs. (a) and (c), is act May 27, 1933, ch. 38, title I, 48 Stat. 74, which is classified generally to subchapter I (§ 77a et seq.) of this chapter. For complete classification of this Act to the Code, see section 77a of this title and Tables. ### Amendments 2002—Subsec. (b). Pub. L. 107–123 substituted “Commission” for “Commission, but, in the case of an application, only if it is accompanied or preceded by payment to the Commission of a filing fee in the amount of $100, such payment to be made in cash or by United States postal money order or certified or bank check, or in such other medium of payment as the Commission may authorize by rule and regulation”. ### Statutory Notes and Related Subsidiaries ### Effective Date of 2002 Amendment Amendment by Pub. L. 107–123 effective Oct. 1, 2001, see section 11 of Pub. L. 107–123, set out as a note under section 78ee of this title. ### Executive Documents ### Transfer of Functions For transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, §§ 1, 2, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1265, set out under section 78d of this title.