§ 6e. Dealings by unregistered floor trader or broker prohibited

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It shall be unlawful for any person to act as floor trader in executing purchases and sales, or as floor broker in executing any orders for the purchase or sale, of any commodity for future delivery, or involving any contracts of sale of any commodity for future delivery, on or subject to the rules of any contract market or derivatives transaction execution facility unless such person shall have registered, under this chapter, with the Commission as such floor trader or floor broker and such registration shall not have expired nor been suspended nor revoked.

(Sept. 21, 1922, ch. 369, § 4e, as added June 15, 1936, ch. 545, § 5, 49 Stat. 1495; amended Pub. L. 93–463, title I, § 103(a), Oct. 23, 1974, 88 Stat. 1392; Pub. L. 102–546, title II, § 207(a), Oct. 28, 1992, 106 Stat. 3604; Pub. L. 106–554, § 1(a)(5) [title I, § 123(a)(6)], Dec. 21, 2000, 114 Stat. 2763, 2763A–407.)

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U.S. Code

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Public Law 102–546
To amend the Commodity Exchange Act to improve the regulation of futures and options traded under rules and regulations of the Commodity Futures Trading Commission; to establish registration standards for all exchange floor traders; to restrict practices which may lead to the abuse of outside custom

statute-compilations

Sec. 4e
**[**REQUIRED REGISTRATION OF FLOOR TRADERS AND FLOOR BROKERS**]**

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Sept. 21, 1922, ch. 369, § 4e
June 15, 1936, ch. 545, § 5
49 Stat. 1495
Pub. L. 93–463, title I, § 103(a)
88 Stat. 1392
Pub. L. 102–546, title II, § 207(a)
106 Stat. 3604
Pub. L. 106–554, § 1(a)(5) [title I, § 123(a)(6)]
114 Stat. 2763
Pub. L. 106–554
Pub. L. 102–546
Pub. L. 93–463
Pub. L. 102–546, title II, § 207(c)
section 418 of Pub. L. 93–463

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cites case law

§ 6e

Dealings by unregistered floor trader or broker prohibited

Bills×11

Fed. Reg.×4

U.S.C.×4

Stat.×2

Stat. Comp.×1

U.S.C.§ 2

U.S.C.§ 1

ActSept. 21, 1922, ch. 369, § 4e

ActJune 15, 1936, ch. 545, § 5

Stat.49 Stat. 1495

Pub. L.Pub. L. 93–463, title I, § 103(a)

Stat.88 Stat. 1392

Cites 16 · showing 7Cited by 22 across 5 sources