Title 7, AgricultureRelease 119-102
§9c Notice of Investigations and Enforcement Actions
Title 7 › CHAPTER 1 — COMMODITY EXCHANGES › § 9c
Summary
The Commission must tell the Securities and Exchange Commission when it starts any proceeding and must send a copy of any order it issues under sections 9 and 13b. This applies when the action is against futures commission merchants or introducing brokers registered under section 6f(a)(2); floor brokers or floor traders exempt under section 6f(a)(3); associated persons exempt under section 6k(6); or a board of trade designated as a contract market under section 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
Aug 21, 2026
Release point: 119-102