15 U.S.C. 78q: Records and reports

2010

• Pub. L. 111–203, §975(h), inserted "municipal advisor," after "municipal securities dealer". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §985(b)(7), substituted "give notice to" for "gives notice to". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (b)
• Pub. L. 111–203, §982(e)(2), substituted "independent public accounting firm, or by a registered public accounting firm if the firm is required to be registered under the Sarbanes-Oxley Act of 2002," for "registered public accounting firm". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (e)
• Pub. L. 111–203, §929D(1), substituted "securities that are missing, lost, counterfeit, stolen, or cancelled" for "missing, lost, counterfeit, or stolen securities". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (f)
• Pub. L. 111–203, §929D(2), substituted "stolen, cancelled, or reported in such other manner as the Commission, by rule, may prescribe" for "or stolen". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (f)
• Pub. L. 111–203, §929S, in first sentence, substituted "registered clearing agency, registered securities information processor, national securities exchange, and national securities association" for "and registered clearing agency," and, in second sentence, substituted "clearing ag… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (f)
• Pub. L. 111–203, §617(a), redesignated subsecs. (j) and (k) as (i) and (j), respectively, and struck out former subsec. (i) which related to supervision of investment bank holding companies and recordkeeping and reporting requirements. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (i), (j), (k)

2006

• Pub. L. 109–291 inserted "nationally recognized statistical rating organization," after "registered transfer agent," and inserted at end "Any report that a nationally recognized statistical rating organization is required by Commission rules under this paragraph to make and dissemin… (Credit Rating Agency Reform Act of 2006) Law text · (a)

2004

• Pub. L. 108–386, §8(f)(5), struck out "and banks operating under the Code of Law for the District of Columbia" before semicolon. (2004 District of Columbia Omnibus Authorization Act) Law text · (f)
• Pub. L. 108–386, §8(f)(6), struck out "or a bank operating under the Code of Law for the District of Columbia" before semicolon. (2004 District of Columbia Omnibus Authorization Act) Law text · (f)

2002

• Pub. L. 107–204 substituted "a registered public accounting firm" for "an independent public accountant". (Sarbanes-Oxley Act of 2002) Law text · (e), (i)

2000

• Pub. L. 106–554, §1(a)(5) [title II, §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. (Consolidated Appropriations Act, 2001) Law text · (b)
• Pub. L. 106–554, §1(a)(5) [title II, §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 "reg… (Consolidated Appropriations Act, 2001) Law text · (b)

1999

• Pub. L. 106–102 added subsecs. (i) and (j) and redesignated former subsec. (i) as (k). (Gramm-Leach-Bliley Act) Law text · (i), (j), (k)

1998

• Pub. L. 105–353 substituted "Board of Governors of the Federal Reserve System" for "Federal Reserve Board" in first sentence. (Securities Litigation Uniform Standards Act of 1998) Law text · (g)

1996

• Pub. L. 104–290 added subsec. (i). (National Securities Markets Improvement Act of 1996) Law text · (i)

1990

• Pub. L. 101–432 added subsec. (h). · (h)

1987

• Pub. L. 100–181, §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 th… · (c)
• Pub. L. 100–181, §801(b), substituted "securities issued pursuant to chapter 31 of title 31" for "government securities". · (f)
• Pub. L. 100–181, §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 h… · (f)
• Pub. L. 100–181, §321(3), substituted "paragraph (1)" for "paragraphs (1) and (2)". · (f)

1986

• Pub. L. 99–571, §102(h), added par. (4). · (c)
• Pub. L. 99–571, §102(i)(1), inserted "government securities broker, government securities dealer," in introductory provisions and in subpar. (A). · (f)
• Pub. L. 99–571, §102(i)(2), inserted "and, in the case of government securities, to the Secretary of the Treasury". · (f)
• Pub. L. 99–571, §102(i)(3), designated existing provisions as subpar. (A) and added subpar. (B). · (f)

1975

• 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, t… · (a)
• Pub. L. 94–29 added subsecs. (b) to (f) and redesignated former subsec. (b) as (g). · (b), (c), (d), (e), (f), (g)