Title 7 — AgricultureRelease 119-73
§9c Notice of investigations and enforcement actions
Title 7 › Chapter CHAPTER 1— - COMMODITY EXCHANGES › § 9c
Summary
When the Commission starts a proceeding or issues an order under sections 9 and 13b, it must tell the Securities and Exchange Commission and send a copy of the order. This rule covers: futures commission merchants and introducing brokers registered under 6f(a)(2); floor brokers and floor traders exempt under 6f(a)(3); associated persons exempt under 6k(6); and boards of trade designated as contract markets under 7b–1.
Full Legal Text
Title 7, §9c
Agriculture — Source: USLM XML via OLRC
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.
Legislative History
Notes & Related Subsidiaries
Editorial Notes
Codification Section is comprised of subsec. (g) of section 6 of act Sept. 21, 1922. Subsecs. (a) and (b) of section 6 are classified to section 8 of this title. Subsec. (c) of section 6 is classified to section 9 of this title. Subsecs. (d), (e), and (f) of section 6 are classified to section 13b, 9a, and 9b of this title, respectively.
Reference
Citations & Metadata
Citation
7 U.S.C. § 9c
Title 7 — Agriculture
Last Updated
Apr 6, 2026
Release point: 119-73