15 U.S.C. 78c: Definitions and application

2012

• Pub. L. 112–106, §101(b)(1), redesignated par. (77) defining "asset-backed security" as (79). (Jumpstart Our Business Startups Act) Law text · (a), (79)
• Pub. L. 112–106, §304(b), added par. (80) defining "funding portal". (Jumpstart Our Business Startups Act) Law text · (a)
• Pub. L. 112–106, §101(b)(2), added par. (80) defining "emerging growth company". (Jumpstart Our Business Startups Act) Law text · (a)
• Pub. L. 112–106, §304(a)(1), added subsec. (h). (Jumpstart Our Business Startups Act) Law text · (h)

2010

• Pub. L. 111–203, §944(b), substituted "4(5)" for "4(6)". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §761(a)(1), inserted "(not including security-based swaps, other than security-based swaps with or for persons that are not eligible contract participants)" after "securities". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a), (B)
• Pub. L. 111–203, §761(a)(2), inserted "security-based swap," after "security future,". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §761(a)(3), inserted at end "For security-based swaps, such terms include the execution, termination (prior to its scheduled maturity date), assignment, exchange, or similar transfer or conveyance of, or extinguishing of rights or obligations under, a security-base… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §761(a)(4), inserted at end "For security-based swaps, such terms include the execution, termination (prior to its scheduled maturity date), assignment, exchange, or similar transfer or conveyance of, or extinguishing of rights or obligations under, a security-base… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(G), struck out ", and the term 'District of Columbia savings and loan association' means any association subject to examination and supervision by the Office of Thrift Supervision under section 1466a of title 12" after "section 1841 of title 12" in concludi… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(A)(i), substituted "a subsidiary or a department or division of any such bank, a Federal savings association (as defined in section 3(b)(2) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(2))), the deposits of which are insured by the Federal … (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(A)(ii), substituted "a subsidiary or a department or division of such subsidiary, or a savings and loan holding company" for "or a subsidiary or a department or division of such subsidiary". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(A)(iii), substituted "a subsidiary or department or division of any such bank, a State savings association (as defined in section 3(b)(3) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(3))), the deposits of which are insured by the Federal … (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(A)(iv), (v), redesignated cl. (v) as (iv) and struck out former cl. (iv) which read as follows: "the Director of the Office of Thrift Supervision, in the case of a savings association (as defined in section 3(b) of the Federal Deposit Insurance … (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a), (v)
• Pub. L. 111–203, §376(1)(B)(i), substituted "a subsidiary of any such bank, a Federal savings association (as defined in section 3(b)(2) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(2))), the deposits of which are insured by the Federal Deposit Insurance Corporatio… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(B)(ii), substituted "a subsidiary of a bank holding company that is a bank other than a bank specified in clause (i) or (iii) of this subparagraph, or a savings and loan holding company" for "or a subsidiary of a bank holding company which is a bank … (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(B)(iii), substituted "a subsidiary of any such bank, a State savings association (as defined in section 3(b)(3) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(3))), the deposits of which are insured by the Federal Deposit Insurance Corporat… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(B)(iv), (v), redesignated cl. (v) as (iv) and struck out former cl. (iv) which read as follows: "the Director of the Office of Thrift Supervision, in the case of a savings association (as defined in section 3(b) of the Federal Deposit Insurance … (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a), (v)
• Pub. L. 111–203, §376(1)(C)(i), inserted "or a Federal savings association (as defined in section 3(b)(2) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(2))), the deposits of which are insured by the Federal Deposit Insurance Corporation" after "bank". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(C)(ii), substituted "a subsidiary of a bank holding company that is a bank other than a bank specified in clause (i) or (iii) of this subparagraph, or a savings and loan holding company" for "or a subsidiary of a bank holding company which is a bank … (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(C)(iii), inserted "or a State savings association (as defined in section 3(b)(3) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(3))), the deposits of which are insured by the Federal Deposit Insurance Corporation; and" after "System)". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(C)(iv), (v), redesignated cl. (v) as (iv) and struck out former cl. (iv) which read as follows: "the Director of the Office of Thrift Supervision, in the case of a savings association (as defined in section 3(b) of the Federal Deposit Insurance … (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a), (v)
• Pub. L. 111–203, §376(1)(D)(i), inserted "or a Federal savings association (as defined in section 3(b)(2) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(2))), the deposits of which are insured by the Federal Deposit Insurance Corporation" after "bank". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(D)(ii)–(v), in cl. (ii), inserted "and" at end, redesignated cl. (iv) as (iii), in cl. (iii), inserted "or a State savings association (as defined in section 3(b)(3) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(3))), the deposits o… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(E)(i), inserted "or a Federal savings association (as defined in section 3(b)(2) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(2))), the deposits of which are insured by the Federal Deposit Insurance Corporation" after "bank". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(E)(ii)–(iv), redesignated cls. (iii) to (v) as (ii) to (iv), respectively, in cl. (iii), inserted "or a State savings association (as defined in section 3(b)(3) of the Federal Deposit Insurance Act (12 U.S.C. 1813(b)(3))), the deposits of whic… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a), (b), (c), (d), (e), (f), (g), (h), (i), (j), (k), (l), (m), (n), (o), (p), (q), (r), (s), (t), (u), (v)
• Pub. L. 111–203, §376(1)(F)(i), inserted ", a Federal savings association (as defined in section 3(b)(2) of the Federal Deposit Insurance Act), the deposits of which are insured by the Federal Deposit Insurance Corporation," after "national bank". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(F)(ii), inserted ", a State savings association (as defined in section 3(b)(3) of the Federal Deposit Insurance Act), the deposits of which are insured by the Federal Deposit Insurance Corporation," after "savings bank)" and inserted "and" at end. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §376(1)(F)(iii), (iv), redesignated cl. (v) as (iv) and struck out former cl. (iv) which read as follows: "the Director of the Office of Thrift Supervision, in the case of a savings association (as defined in section 3(b) of the Federal Deposit Insuranc… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a), (v)
• Pub. L. 111–203, §761(a)(5)(A)(i), substituted "government securities dealer, security-based swap dealer, or major security-based swap participant" for "or government securities dealer". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §761(a)(5)(A)(ii), inserted "security-based swap dealer, major security-based swap participant," after "government securities dealer,". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §761(a)(5)(B), substituted "government securities dealer, security-based swap dealer, or major security-based swap participant" for "or government securities dealer". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §761(a)(5)(C), inserted "security-based swap dealer, major security-based swap participant," after "government securities dealer,". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §939(e)(1), substituted "meets standards of credit-worthiness as established by the Commission" for "is rated in one of the two highest rating categories by at least one nationally recognized statistical rating organization" in introductory provisions. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §986(a)(1), struck out "the Public Utility Holding Company Act of 1935," before "the Trust Indenture Act of 1939". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §939(e)(2), substituted "meets standards of credit-worthiness as established by the Commission" for "is rated in 1 of the 4 highest rating categories by at least 1 nationally recognized statistical rating organization" in introductory provisions. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §985(b)(2)(A), made technical amendment to reference in original act which appears in text as reference to paragraph (12) of this subsection. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §932(b), redesignated subpars. (B) and (C) as (A) and (B), respectively, and struck out former subpar. (A) which read as follows: "has been in business as a credit rating agency for at least the 3 consecutive years immediately preceding the date of its application … (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §761(a)(6), added pars. (65) to (76). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §941(a), which directed amendment of subsec. (a) by adding par. (77) relating to asset-backed security "at the end", was executed by making the addition after par. (78) to reflect the probable intent of Congress. See Effective Date of 2010 Amendment note below. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §761(a)(6), added par. (77) relating to security-based swap execution facility. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §761(a)(6), added par. (78). (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §985(b)(2)(B), substituted "account, person" for "account person" in introductory provisions. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (g)

2006

• Pub. L. 109–351, §101(a)(1), added subpar. (F). (Financial Services Regulatory Relief Act of 2006) Law text · (a)
• Pub. L. 109–351, §401(a)(1)(A), inserted "or a Federal savings association, as defined in section 1462(5) of title 12" after "a banking institution organized under the laws of the United States". (Financial Services Regulatory Relief Act of 2006) Law text · (a)
• Pub. L. 109–351, §401(a)(1)(B), inserted "or savings association, as defined in section 1462(4) of title 12" after "other banking institution" and "or savings associations" after "having supervision over banks". (Financial Services Regulatory Relief Act of 2006) Law text · (a)
• Pub. L. 109–351, §401(a)(2)(G), inserted at end of concluding provisions "As used in this paragraph, the term 'savings and loan holding company' has the same meaning as in section 1467a(a) of title 12." (Financial Services Regulatory Relief Act of 2006) Law text · (a)
• Pub. L. 109–351, §401(a)(2)(A)(i), substituted "clause (i), (iii), or (iv)" for "clause (i) or (iii)". (Financial Services Regulatory Relief Act of 2006) Law text · (a)
• Pub. L. 109–351, §401(a)(2)(A)(ii)–(iv), added cl. (iv) and redesignated former cl. (iv) as (v). (Financial Services Regulatory Relief Act of 2006) Law text · (a), (v)
• Pub. L. 109–351, §401(a)(2)(B)(i), substituted "clause (i), (iii), or (iv)" for "clause (i) or (iii)". (Financial Services Regulatory Relief Act of 2006) Law text · (a)
• Pub. L. 109–351, §401(a)(2)(B)(ii)–(iv), added cl. (iv) and redesignated former cl. (iv) as (v). (Financial Services Regulatory Relief Act of 2006) Law text · (a), (v)
• Pub. L. 109–351, §401(a)(2)(C)(i), substituted "clause (i), (iii), or (iv)" for "clause (i) or (iii)". (Financial Services Regulatory Relief Act of 2006) Law text · (a)
• Pub. L. 109–351, §401(a)(2)(C)(ii)–(iv), added cl. (iv) and redesignated former cl. (iv) as (v). (Financial Services Regulatory Relief Act of 2006) Law text · (a), (v)
• Pub. L. 109–351, §401(a)(2)(D), added cl. (iii) and redesignated former cl. (iii) as (iv). (Financial Services Regulatory Relief Act of 2006) Law text · (a), (iv)
• Pub. L. 109–351, §401(a)(2)(E), added cl. (ii) and redesignated former cls. (ii) to (iv) as (iii) to (v), respectively. (Financial Services Regulatory Relief Act of 2006) Law text · (a), (b), (c), (d), (e), (f), (g), (h), (i), (j), (k), (l), (m), (n), (o), (p), (q), (r), (s), (t), (u), (v)
• Pub. L. 109–351, §401(a)(2)(F), moved subpar. (H) and inserted it immediately after subpar. (G). (Financial Services Regulatory Relief Act of 2006) Law text · (a)
• Pub. L. 109–291 added pars. (60) to (64). (Credit Rating Agency Reform Act of 2006) Law text · (a)

2004

• Pub. L. 108–359 added cl. (iv). Law text · (a)
• Pub. L. 108–386, §8(f)(1), struck out "or a bank operating under the Code of Law for the District of Columbia" after "national bank". (2004 District of Columbia Omnibus Authorization Act) Law text · (a), (B), (C), (D), (F)
• Pub. L. 108–386, §8(f)(2), struck out ", a bank in the District of Columbia examined by the Comptroller of the Currency," after "national bank". (2004 District of Columbia Omnibus Authorization Act) Law text · (a)
• Pub. L. 108–386, §8(f)(3), struck out "or a bank in the District of Columbia examined by the Comptroller of the Currency" after "national bank". (2004 District of Columbia Omnibus Authorization Act) Law text · (a)
• Pub. L. 108–447 inserted "by the Tennessee Valley Authority or" after "issued or guaranteed". (Consolidated Appropriations Act, 2005) Law text · (a)

2002

• Pub. L. 107–204, §604(c)(1)(A), inserted ", or is subject to an order or finding," before "enumerated" and substituted "(H), or (G)" for "or (G)". (Sarbanes-Oxley Act of 2002) Law text · (a)
• Pub. L. 107–204, §2(b), inserted "the Sarbanes-Oxley Act of 2002," before "the Public Utility Holding Company Act of 1935". (Sarbanes-Oxley Act of 2002) Law text · (a)
• Pub. L. 107–204, §205(a), added pars. (58) and (59). (Sarbanes-Oxley Act of 2002) Law text · (a), (59)

2000

• Pub. L. 106–554, §1(a)(5) [title II, §201(1)], inserted "security future," after "treasury stock,". (Consolidated Appropriations Act, 2001) Law text · (a)
• Pub. L. 106–554, §1(a)(5) [title II, §201(2)], added par. (11) and struck out former par. (11) which read as follows: "The term 'equity security' means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any w… (Consolidated Appropriations Act, 2001) Law text · (a)
• Pub. L. 106–554, §1(a)(5) [title II, §201(3), (4)], inserted at end "For security futures products, such term includes any contract, agreement, or transaction for future delivery." (Consolidated Appropriations Act, 2001) Law text · (a), (14)
• Pub. L. 106–554, §1(a)(5) [title II, §201(5)], added pars. (55) to (57). (Consolidated Appropriations Act, 2001) Law text · (a)

1999

• Pub. L. 106–102, §201, inserted heading and amended text of par. (4) generally. Prior to amendment, text read as follows: "The term 'broker' means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank." (Gramm-Leach-Bliley Act) Law text · (a)
• Pub. L. 106–102, §202, inserted heading and amended text of par. (5) generally. Prior to amendment, text read as follows: "The term 'dealer' means any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not inc… (Gramm-Leach-Bliley Act) Law text · (a)
• Pub. L. 106–102, §221(b), amended cl. (iii) generally. Prior to amendment, cl. (iii) read as follows: "any interest or participation in any common trust fund or similar fund maintained by a bank exclusively for the collective investment and reinvestment of assets contribute… (Gramm-Leach-Bliley Act) Law text · (a)
• Pub. L. 106–102, §231(b)(1), added subpar. (H) at end of par. (34). (Gramm-Leach-Bliley Act) Law text · (a)
• Pub. L. 106–102, §208, added subpar. (E). (Gramm-Leach-Bliley Act) Law text · (a)
• Pub. L. 106–102, §207, added par. (54). (Gramm-Leach-Bliley Act) Law text · (a)

1998

• Pub. L. 105–353, §301(b)(1), substituted "deposit for" for "deposit, for". (Securities Litigation Uniform Standards Act of 1998) Law text · (a)
• Pub. L. 105–353, §301(b)(2), realigned margins. (Securities Litigation Uniform Standards Act of 1998) Law text · (a)
• Pub. L. 105–353, §301(b)(3), substituted "section 153" for "section 153(h)" and for "section 153(t)". (Securities Litigation Uniform Standards Act of 1998) Law text · (a)
• Pub. L. 105–353, §301(b)(4), substituted "of the Commission" for "to the Commission" in introductory provisions. (Securities Litigation Uniform Standards Act of 1998) Law text · (a)

1996

• Pub. L. 104–290, §508(c)(1), added cl. (vi) and redesignated former cl. (vi) as (vii). (National Securities Markets Improvement Act of 1996) Law text · (a), (vii)
• Pub. L. 104–290, §§106(b), 508(c)(2), added subsecs. (f) and (g), respectively. (National Securities Markets Improvement Act of 1996) Law text · (f), (g)

1995

• Pub. L. 104–62, §4(a), struck out "and" at end of cl. (iv), added cl. (v), and redesignated former cl. (v) as (vi). (Philanthropy Protection Act of 1995) Law text · (a)
• Pub. L. 104–62, §4(b), added subsec. (e). (Philanthropy Protection Act of 1995) Law text · (e)

1994

• Pub. L. 103–325, §347(a), substituted "on a residential" for "or on a residential" and inserted before semicolon ", or on one or more parcels of real estate upon which is located one or more commercial structures". · (a)
• Pub. L. 103–325, §202, added par. (53). · (a)

1993

• Pub. L. 103–202, §106(b)(2)(A), substituted "sections 78o and 78q–1" for "sections 78o, 78o–3 (other than subsection (g)(3)), and 78q–1". · (a)
• Pub. L. 103–202, §109(a)(1), amended cls. (ii) to (iv) generally. Prior to amendment, cls. (ii) to (iv) read as follows: · (a)
• Pub. L. 103–202, §109(a)(2), amended par. (46) generally. Prior to amendment, par. (46) read as follows: "The term 'financial institution' means (A) a bank (as such term is defined in paragraph (6) of this subsection), (B) a foreign bank, and (C) an insured institution (as such ter… · (a)
• Pub. L. 103–202, §109(a)(3), redesignated par. (51) defining "foreign financial regulatory authority" as (52). · (a)

1990

• Pub. L. 101–550, §203(b)(1), inserted "foreign equivalent of a self-regulatory organization, foreign or international securities exchange," after "self-regulatory organization,", "or any substantially equivalent foreign statute or regulation," after "(7 U.S.C. 7)," and "(7 U.S.C… · (a)
• Pub. L. 101–550, §203(b)(2), added subpar. (B) and struck out former subpar. (B) which read as follows: "is subject to an order of the Commission or other appropriate regulatory agency denying, suspending for a period not exceeding twelve months, or revoking his registration as … · (a)
• Pub. L. 101–550, §203(b)(4), added subpar. (D). Former subpar. (D) redesignated (E). · (a)
• Pub. L. 101–550, §203(b)(3), (5), redesignated subpar. (D) as (E) and substituted "(A), (B), (C), or (D)" for "(A), (B), or (C)". Former subpar. (E) redesignated (F). · (a)
• Pub. L. 101–550, §203(b)(3), (6), redesignated subpar. (E) as (F), substituted "(D), (E), or (G)" for "(D) or (E)", and inserted "or any other felony" before "within ten years". · (a)
• Pub. L. 101–550, §204, added par. (51) defining "foreign financial regulatory authority". · (a)
• Pub. L. 101–429 added par. (51) defining "penny stock". · (a)

1989

• Pub. L. 101–73, §744(u)(1)(B), substituted "Office of Thrift Supervision" for "Federal Home Loan Bank Board" in concluding provisions. · (a)
• Pub. L. 101–73, §744(u)(1)(A), added cl. (iv), redesignated cl. (vi) as (v), and struck out former cls. (iv) and (v) which read as follows: · (a)

1988

• Pub. L. 100–704 added par. (50). · (a)

1987

• Pub. L. 100–181, §301, substituted "under the authority of the Comptroller of the Currency pursuant to section 92a of title 12" for "under section 11(k) of the Federal Reserve Act, as amended". · (a)
• Pub. L. 100–181, §302, struck out reference to Canal Zone. · (a)
• Pub. L. 100–181, §303, substituted "association, or any" and "own behalf, in" for "association or any" and "own behalf in", respectively. · (a)
• Pub. L. 100–181, §304, substituted "State" for "state". · (a)
• Pub. L. 100–181, §305, substituted "months, or revoking" for "months, revoking" and "barring or suspending for a period not exceeding 12 months his" for "barring his". · (a)
• Pub. L. 100–181, §306(1), added par. (47). · (a)
• Pub. L. 100–181, §306(2), added par. (49). · (a)

1986

• Pub. L. 99–571, §102(a), in amending par. (12) generally, expanded definition of "exempted security" or "exempted securities" to include government securities as defined in par. (42) of this subsection, provided that such securities not be deemed exempt for purposes of section 78q–… · (a)
• Pub. L. 99–514 substituted "Internal Revenue Code of 1986" for "Internal Revenue Code of 1954", which for purposes of codification was translated as "title 26" thus requiring no change in text. · (a)
• Pub. L. 99–514 substituted "Internal Revenue Code of 1986" for "Internal Revenue Code of 1954", which for purposes of codification was translated as "title 26" thus requiring no change in text. · (a)
• Pub. L. 99–571, §102(b)(2), inserted ", and the term 'District of Columbia savings and loan association' means any association subject to examination and supervision by the Federal Home Loan Bank Board under section 1466a of title 12" in concluding provisions. · (a)
• Pub. L. 99–571, §102(b)(1), added subpar. (G). · (a)
• Pub. L. 99–571, §102(c)(1)(A), which directed insertion of "or other appropriate regulatory agency" after "Commission" was executed by making the insertion after "Commission" the first place appearing as the probable intent of Congress. · (a)
• Pub. L. 99–571, §102(c)(1)(B), substituted "municipal securities dealer, government securities broker, or government securities dealer" for "or municipal securities dealer" in two places. · (a)
• Pub. L. 99–571, §102(c)(2), substituted "municipal securities dealer, government securities broker, or government securities dealer" for "or municipal securities dealer" and inserted ", an appropriate regulatory agency," after "the Commission". · (a)
• Pub. L. 99–571, §102(d), added pars. (42) to (46) and (48). · (a), (48)

1984

• Pub. L. 98–376, §6(a)(1), inserted ", contract market designated pursuant to section 5 of the Commodity Exchange Act (7 U.S.C. 7), or futures association registered under section 17 of such Act (7 U.S.C. 21), or has been and is denied trading privileges on any such contract mark… · (a)
• Pub. L. 98–376, §6(a)(2), inserted ", or is subject to an order of the Commodity Futures Trading Commission denying, suspending, or revoking his registration under the Commodity Exchange Act (7 U.S.C. 1 et seq.)". · (a)
• Pub. L. 98–376, §6(a)(3), inserted "or while associated with an entity or person required to be registered under the Commodity Exchange Act,". · (a)
• Pub. L. 98–440 added par. (41). · (a)

1982

• Pub. L. 97–303 inserted "any put, call, straddle, option, or privilege on any security, certificate of deposit, or group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a nationa… · (a)

1980

• Pub. L. 96–477 included within definition of "exempted security" interests or participation in single trust funds, provided that qualifying interests, participation, or securities could be issued in connection with certain governmental plans as defined in section 414(d) of title 26… · (a)

1978

• Pub. L. 95–283 added par. (40). · (a)

1975

• Pub. L. 94–29, §3(1), redefined term "member" to recognize the elimination of fixed commission rates in the case of exchanges, inserted definition of term when used in the case of registered securities associations, expanded definition of term when used with respect to an exchange t… · (a)
• Pub. L. 94–29, §3(2), substituted "a natural person, company, government, or political subdivision, agency, or instrumentality of a government" for "an individual, a corporation, a partnership, an association, a joint-stock company, a business trust, or an unincorporated organizatio… · (a)
• Pub. L. 94–29, §3(3), brought brokers and dealers engaged exclusively in municipal securities business within the registration provisions of this chapter by transferring the existing description of municipal securities to subsec. (a)(29) and by inserting in its place provisions rev… · (a)
• Pub. L. 94–29, §3(4), expanded definition of "interstate commerce" to establish that the intrastate use of any facility of an exchange, any telephones or other interstate means of communication, or any other interstate instrumentality constitutes a use of the jurisdictional means f… · (a)
• Pub. L. 94–29, §3(4), expanded definition to include persons under common control with the broker or dealer and struck out references to the classification of the persons, including employees, controlled by a broker or a dealer. · (a)
• Pub. L. 94–29, §3(4), substituted " 'separate account', and 'company' " for "and 'separate account'." · (a)
• Pub. L. 94–29, §3(5), broadened definition of term "person associated with a member" to encompass a person associated with a broker or dealer which is a member of an exchange by restating directly the definition of a "person associated with a broker or dealer" in subsec. (a)(18). · (a)
• Pub. L. 94–29, §3(6), added pars. (22) to (39). · (a)
• Pub. L. 94–29, §3(7), substituted "accounting, and other terms used in this chapter, consistently with the provisions and purposes of this chapter" for "and accounting terms used in this chapter insofar as such definitions are not inconsistent with the provisions of this chapter". · (b)
• Pub. L. 94–29, §3(8), added subsec. (d). · (d)

1970

• Pub. L. 91–567 inserted provisions which brought within definition of "exempted security" any security which is an industrial development bond the interest on which is excludable from gross income under section 103(a)(1) of title 26 if, by reason of the application of section 103(c… · (a)
• Pub. L. 91–547, §28(a), struck out reference to industrial development bonds the interest on which is excludable from gross income under section 103(a)(1) of title 26; and included as exempted securities interests or participations in common trust funds maintained by a bank for collective investmen… · (a)
• Pub. L. 91–373 inserted provisions which brought within definition of "exempted security" any security which is an industrial development bond the interest on which is excludable from gross income under section 103(a)(1) of title 26 if, by reason of the application of section 103(c)(4) or (6) of ti… · (a)
• Pub. L. 91–547, §28(b), provided for term "separate account" the same meaning as in the Investment Company Act of 1940. · (a)

1964

• Pub. L. 88–467 added pars. (18) to (21). · (a)

1960

• Pub. L. 86–624 struck out reference to Hawaii. · (a)

1959

• Pub. L. 86–70 struck out reference to Alaska. · (a)