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• United States Code
• TITLE 15 - COMMERCE AND TRADE
• CHAPTER 2B - SECURITIES EXCHANGES

                                   SOURCE
    (June 6, 1934, ch. 404, title I, Sec. 16, 48 Stat. 896; Pub. L.
    88-467, Sec. 8, Aug. 20, 1964, 78 Stat. 579; Pub. L. 106-554, Sec.
    1(a)(5) [title II, Sec. 208(b)(3), title III, Sec. 303(g), (h)],
    Dec. 21, 2000, 114 Stat. 2763, 2763A-435, 2763A-455, 2763A-456;
    Pub. L. 107-204, title IV, Sec. 403(a), July 30, 2002, 116 Stat.
    788.)
                            REFERENCES IN TEXT                        
      Section 206(b) of the Gramm-Leach-Bliley Act, referred to in
    subsec. (a)(2)(C), probably means section 206B of Pub. L. 106-102,
    which is set out in a note under section 78c of this title.
      Section 206B of the Gramm-Leach-Bliley Act, referred to in
    subsecs. (b) and (g), is section 206B of Pub. L. 106-102, which is
    set out in a note under section 78c of this title.
                                AMENDMENTS                            
      2002 - Pub. L. 107-204 reenacted section catchline without
    change, added heading and text of subsec. (a), and struck out
    former subsec. (a) which read as follows: "Every person who is
    directly or indirectly the beneficial owner of more than 10 per
    centum of any class of any equity security (other than an exempted
    security) which is registered pursuant to section 78l of this
    title, or who is a director or an officer of the issuer of such
    security, shall file, at the time of the registration of such
    security on a national securities exchange or by the effective date
    of a registration statement filed pursuant to section 78l(g) of
    this title, or within ten days after he becomes such beneficial
    owner, director, or officer, a statement with the Commission (and,
    if such security is registered on a national securities exchange,
    also with the exchange) of the amount of all equity securities of
    such issuer of which he is the beneficial owner, and within ten
    days after the close of each calendar month thereafter, if there
    has been a change in such ownership or if such person shall have
    purchased or sold a security-based swap agreement (as defined in
    section 206B of the Gramm-Leach-Bliley Act) involving such equity
    security during such month, shall file with the Commission (and if
    such security is registered on a national securities exchange,
    shall also file with the exchange), a statement indicating his
    ownership at the close of the calendar month and such changes in
    his ownership and such purchases and sales of such security-based
    swap agreements as have occurred during such calendar month."
      2000 - Subsecs. (a), (b). Pub. L. 106-554, Sec. 1(a)(5) [title
    III, Sec. 303(g)], amended subsecs. (a) and (b) generally, revising
    provisions to extend application to security-based swap agreements.
      Subsec. (f). Pub. L. 106-554, Sec. 1(a)(5) [title II, Sec.
    208(b)(3)], added subsec. (f).
      Subsec. (g). Pub. L. 106-554, Sec. 1(a)(5) [title III, Sec.
    303(h)], added subsec. (g).
      1964 - Subsec. (a). Pub. L. 88-467, Sec. 8(a), substituted
    "registered pursuant to section 78l of this title" for "registered
    on a national securities exchange", "Commission (and, if such
    security is registered on a national securities exchange, also with
    the exchange)" for "exchange (and a duplicate original thereof with
    the Commission)", "a change" for "any change", and "Commission (and
    if such security is registered on a national securities exchange,
    shall also file with the exchange) a statement" for "exchange a
    statement (and a duplicate original thereof with the Commission)",
    and inserted "on a national securities exchange or by the effective
    date of a registration statement filed pursuant to section 78l(g)
    of this title" after "registration of such security".
      Subsecs. (d), (e). Pub. L. 88-467, Sec. 8(b), added subsec. (d)
    and redesignated former subsec. (d) as (e).
                           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, Secs. 1, 2, eff. May 24, 1950, 15 F.R. 3175,
    64 Stat. 1265, set out under section 78d of this title.
                   SECTION REFERRED TO IN OTHER SECTIONS               
      This section is referred to in sections 78c, 78c-1, 78j, 78l,
    78hh, 79q of this title; title 26 section 83.