7 U.S.C. § 9c — Notice of investigations and enforcement actions

submitted 104 years ago by Pub. L. 106-554 to r/title-7-AGRICULTURE · 102 words · no verdicts yet

in plain englishAI-generated · not legal advice

The Commission must tell the SEC when it starts an enforcement case. This applies to cases under sections 9 and 13b of this title. It must also send the SEC a copy of any order it issues in these cases.

The Commission must give the Securities and Exchange Commission notice whenever it starts a proceeding under section 9 or section 13b of this title. It must send the SEC a copy of any order it issues in such a proceeding. This notice requirement applies to proceedings against: a futures commission merchant or introducing broker registered under section 6f(a)(2); a floor broker or floor trader exempt from registration under section 6f(a)(3); an associated person exempt from registration under section 6k(6); or a board of trade designated as a contract market under section 7b-1.

the actual law source: uscode.house.gov ↗public domain

The Commission shall provide the Securities and Exchange Commission with notice of the commencement of any proceeding and a copy of any order entered by the Commission pursuant to section 9 and 13b of this title against any futures commission merchant or introducing broker registered pursuant to section 6f(a)(2) of this title, any floor broker or floor trader exempt from registration pursuant to section 6f(a)(3) of this title, any associated person exempt from registration pursuant to section 6k(6) of this title, or any board of trade designated as a contract market pursuant to section 7b–1 of this title.

Source credit: (Sept. 21, 1922, ch. 369, § 6(g), as added Pub. L. 106–554, § 1(a)(5) [title II, § 253(b)], Dec. 21, 2000, 114 Stat. 2763, 2763A–449.)

history & why it existsrecord from the source credit

1922Enacted · Pub. L. 106-554 · 114 Stat. 2763, 2763

A history note hasn’t been published yet. The record shows enactment by Pub. L. 106-554 on 1922-09-21.

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