15 U.S.C. 78o-5: Government securities brokers and dealers

2010

• Pub. L. 111–203, §985(b)(6)(C), inserted after first sentence in concluding provisions: "The order granting registration shall not be effective until such government securities broker or government securities dealer has become a member of a national securities exchange registered un… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §985(b)(6)(A), (B), redesignated cls. (i) and (ii) as subpars. (A) and (B), respectively, realigned margins, and, in subpar. (B), struck out "The order granting registration shall not be effective until such government securities broker or government securities dealer has become a … (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §929F(b)(1), substituted "any person who is, or at the time of the alleged misconduct was, associated or seeking to become associated" for "any person associated, or seeking to become associated,". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (c)
• Pub. L. 111–203, §929F(b)(2)(A), (B), inserted ", seeking to become associated, or, at the time of the alleged misconduct, associated or seeking to become associated" after "any person associated". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (c), (B)
• Pub. L. 111–203, §376(3), struck out "the Director of the Office of Thrift Supervision, the Federal Savings and Loan Insurance Corporation," after "the Federal Deposit Insurance Corporation,". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (g)

2004

• Pub. L. 108–458 added subsec. (h). (Intelligence Reform and Terrorism Prevention Act of 2004) Law text · (h)

2002

• Pub. L. 107–204 substituted ", or is subject to an order or finding," for "or omission" and "(H), or (G)" for "or (G)". (Sarbanes-Oxley Act of 2002) Law text · (c), (C)

1998

• Pub. L. 105–353 substituted "class of persons" for "class or persons". (Securities Litigation Uniform Standards Act of 1998) Law text · (f)

1993

• Pub. L. 103–202, §109(b)(1), inserted "The order granting registration shall not be effective until such government securities broker or government securities dealer has become a member of a national securities exchange registered under section 78f of this title, or a securities… · (a)
• Pub. L. 103–202, §108(2), added par. (4). Former par. (4) redesignated (5). · (a)
• Pub. L. 103–202, §103(b)(1), inserted ", other than subsection (d)(3)," after "subsection (a), (b), or (d) of this section". · (a)
• Pub. L. 103–202, §108(1), redesignated par. (4) as (5). · (a)
• Pub. L. 103–202, §106(a), added par. (3) and redesignated former pars. (3) to (6) as (4) to (7), respectively. · (b)
• Pub. L. 103–202, §109(c), amended par. (2) generally. Prior to amendment, par. (2) read as follows: "Information received by any appropriate regulatory agency or the Secretary from or with respect to any government securities broker or government securities dealer or with respect to… · (d)
• Pub. L. 103–202, §103(a), added par. (3). · (d)
• Pub. L. 103–202, §104(2), added subsec. (f). Former subsec. (f) redesignated (g). · (f)
• Pub. L. 103–202, §103(b)(2), inserted ", other than subsection (d)(3)" after "threatened violation of the provisions of this section" and "(except subsection (d)(3))" after "other than this section". · (f)
• Pub. L. 103–202, §104(1), redesignated subsec. (f) as (g). · (g)
• Pub. L. 103–202, §102, struck out subsec. (g) which read as follows: · (g)

1990

• Pub. L. 101–432 added par. (2) and redesignated former pars. (2) to (5) as (3) to (6), respectively. · (b)
• Pub. L. 101–550, §203(c)(1), substituted "(A), (D), (E), or (G)" for "(A), (D), or (E)". · (c), (C)
• Pub. L. 101–550, §203(c)(2), substituted "the rules or regulations under any such other provision, or investigations pursuant to section 78u(a)(2) of this title to assist a foreign securities authority" for "or the rules or regulations under any such other provision". · (f)

1989

• Pub. L. 101–73 substituted "Director of the Office of Thrift Supervision" for "Federal Home Loan Bank Board". · (f)

1987

• Pub. L. 100–181 substituted "When such" for "When". · (a)