§ 9c. Notice of investigations and enforcement actions
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/usc/title-7/section-9cA research copy — for the controlling text, always check the official state or federal source. Not legal advice.
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.
(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.)
Connections1 cite this · traces to 5
Cited by 1 section
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U.S. Code
- Registration and financial requirements; risk assessment§ 6f
- Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons§ 6k
- Suspension or revocation of designation as registered entity§ 7b
- Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals§ 8
- Prohibition regarding manipulation and false information§ 9
3 references not yet in our index
- Sept. 21, 1922, ch. 369, § 6(g)
- Pub. L. 106–554, § 1(a)(5) [title II, § 253(b)]
- 114 Stat. 2763
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§ 9c
Notice of investigations and enforcement actions
Stat. Comp.×1
ActSept. 21, 1922, ch. 369, § 6(g)
Pub. L.Pub. L. 106–554, § 1(a)(5) [title II, § 253(b)]
Stat.114 Stat. 2763
Cites 8Cited by 1 across 1 source