Laws: Cases and Codes : U.S. Code : Title 15 : Section 78q
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U.S. Code as of:
01/19/04
Section 78q - Notes
SOURCE
(June 6, 1934, ch. 404, title I, Sec. 17, 48 Stat. 897; May 27,
1936, ch. 462, Sec. 4, 49 Stat. 1379; June 25, 1938, ch. 677, Sec.
5, 52 Stat. 1076; Pub. L. 94-29, Sec. 14, June 4, 1975, 89 Stat.
137; Pub. L. 99-571, title I, Sec. 102(h), (i), Oct. 28, 1986, 100
Stat. 3219; Pub. L. 100-181, title III, Sec. 321, title VIII, Sec.
801(b), Dec. 4, 1987, 101 Stat. 1257, 1265; Pub. L. 101-432, Sec.
4(a), Oct. 16, 1990, 104 Stat. 966; Pub. L. 104-290, title I, Sec.
108, Oct. 11, 1996, 110 Stat. 3425; Pub. L. 105-353, title III,
Sec. 301(b)(5), Nov. 3, 1998, 112 Stat. 3236; Pub. L. 106-102,
title II, Sec. 231(a), Nov. 12, 1999, 113 Stat. 1402; Pub. L.
106-554, Sec. 1(a)(5) [title II, Sec. 204], Dec. 21, 2000, 114
Stat. 2763, 2763A-424; Pub. L. 107-204, title II, Sec. 205(c)(2),
July 30, 2002, 116 Stat. 774.)
REFERENCES IN TEXT
This chapter, referred to in subsecs. (a)(1), (b), (d)(1)(A),
(B), (e)(2), (g), (i)(3)(A)(ii)(IV), and (k)(5), was in the
original "this title", and this chapter, referred to in subsec.
(i)(3)(A)(i)(II), was in the original "this Act". See References in
Text note set out under section 78a of this title.
Subchapter VIII of chapter 3 of title 12, referred to in subsec.
(h)(3)(B), was in the original "section 9 of the Federal Reserve
Act", meaning section 9 of act Dec. 23, 1913, ch. 6, 38 Stat. 251,
as amended, which is classified generally to subchapter VIII (Sec.
321 et seq.) of chapter 3 of Title 12, Banks and Banking.
Section 3401(6) of title 12, referred to in subsec. (h)(4)(A),
was redesignated section 3401(7) of title 12 by Pub. L. 101-73,
title IX, Sec. 941(1), Aug. 9, 1989, 103 Stat. 496.
Section 25A of the Federal Reserve Act, referred to in subsec.
(i)(1)(A)(iii), is classified to subchapter II (Sec. 611 et seq.)
of chapter 6 of Title 12, Banks and Banking.
The Bank Secrecy Act, referred to in subsec. (i)(3)(C)(i)(II), is
also the popular name of title I of Pub. L. 91-508, Oct. 26, 1970,
84 Stat. 1114, as amended, which is classified principally to
chapter 21 (Sec. 1951 et seq.) of Title 12, Banks and Banking. For
complete classification of this Act to the Code, see Short Title
note set out under section 1951 of Title 12 and Tables.
AMENDMENTS
2002 - Subsecs. (e)(1)(A), (i)(3)(A)(ii). Pub. L. 107-204
substituted "a registered public accounting firm" for "an
independent public accountant".
2000 - Subsec. (b). Pub. L. 106-554, Sec. 1(a)(5) [title II, Sec.
204(5)], which directed amendment of subsec. (b) by adding at the
end pars. (2) to (4)(B), was executed by making the addition after
par. (1), to reflect the probable intent of Congress.
Pub. L. 106-554, Sec. 1(a)(5) [title II, Sec. 204(1) to (4),
(6)], inserted subsec. heading, inserted par. (1) designation and
heading before "All", substituted "prior to conducting any such
examination of a - " for "prior to conducting any such examination
of a", inserted subpar. (A) designation before "registered
clearing", added subpar. (B), designated last sentence as par.
(4)(C) and substituted "Nothing in the proviso in paragraph (1)"
for "Nothing in the proviso to the preceding sentence".
1999 - Subsecs. (i) to (k). Pub. L. 106-102 added subsecs. (i)
and (j) and redesignated former subsec. (i) as (k).
1998 - Subsec. (g). Pub. L. 105-353 substituted "Board of
Governors of the Federal Reserve System" for "Federal Reserve
Board" in first sentence.
1996 - Subsec. (i). Pub. L. 104-290 added subsec. (i).
1990 - Subsec. (h). Pub. L. 101-432 added subsec. (h).
1987 - Subsec. (c)(2). Pub. L. 100-181, Sec. 321(1), substituted
new par. (2) for former par. (2) which read as follows: "The
appropriate regulatory agency for a clearing agency, transfer
agent, or municipal securities dealer for which the Commission is
not the appropriate regulatory agency shall file with the
Commission notice of the commencement of any proceeding and a copy
of any order entered by such appropriate regulatory agency against
such clearing agency, transfer agent, or municipal securities
dealer, and the Commission shall file with such appropriate
regulatory agency notice of the commencement of any proceeding and
a copy of any order entered by the Commission against such clearing
agency, transfer agent, or municipal securities dealer."
Subsec. (f)(1)(A). Pub. L. 100-181, Sec. 801(b), substituted
"securities issued pursuant to chapter 31 of title 31" for
"government securities".
Subsec. (f)(2). Pub. L. 100-181, Sec. 321(2), inserted at end
"Notwithstanding any other provision of law, in providing
identification and processing functions, the Attorney General shall
provide the Commission and self-regulatory organizations designated
by the Commission with access to all criminal history record
information."
Subsec. (f)(3)(A). Pub. L. 100-181, Sec. 321(3), substituted
"paragraph (1)" for "paragraphs (1) and (2)".
1986 - Subsec. (c)(4). Pub. L. 99-571, Sec. 102(h), added par.
(4).
Subsec. (f)(1). Pub. L. 99-571, Sec. 102(i)(1), inserted
"government securities broker, government securities dealer," in
introductory provisions and in subpar. (A).
Subsec. (f)(1)(A). Pub. L. 99-571, Sec. 102(i)(2), inserted "and,
in the case of government securities, to the Secretary of the
Treasury".
Subsec. (f)(3). Pub. L. 99-571, Sec. 102(i)(3), designated
existing provisions as subpar. (A) and added subpar. (B).
1975 - Subsec. (a). Pub. L. 94-29 designated existing provisions
as par. (1), expanded the coverage to require registered municipal
securities dealers, the Municipal Securities Rulemaking Board,
registered securities information processors, and registered
clearing agencies to make and keep such records, to furnish copies
thereof, and to make such reports as the Commission may prescribe
and clarified the Commission's authority to require the
dissemination of reports submitted pursuant to the rules of the
Commission, and added pars. (2) and (3).
Subsecs. (b) to (g). Pub. L. 94-29 added subsecs. (b) to (f) and
redesignated former subsec. (b) as (g).
1938 - Subsec. (a). Act June 25, 1938, inserted "every registered
securities association".
1936 - Subsec. (a). Act May 27, 1936, substituted "every broker
or dealer registered pursuant to section 78o of this title" for
"every broker or dealer making or creating a market for both the
purchase and sale of securities through the use of the mails or of
any means or instrumentality of interstate commerce".
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, 78f, 78o, 78o-3,
78o-4, 78o-5, 78q-1, 78s, 78y, 78hh, 78fff-1, 78iii, 7217 of this
title; title 7 sections 1a, 2, 6d.
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