7 U.S.C. 12a: Registration of commodity dealers and associated persons; regulation of registered entities

2010

• Pub. L. 111–203, §736(1), struck out ", excepting the setting of levels of margin" after "requirements". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (7)
• Pub. L. 111–203, §736(2), (3), added subpar. (D) and redesignated former subpars. (D) to (F) as (E) to (G), respectively. (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (7)

2000

• Pub. L. 106–554, §1(a)(5) [title I, §123(a)(19)(A)], substituted "registered entity" for "contract market" wherever appearing. (Consolidated Appropriations Act, 2001) Law text
• Pub. L. 106–554, §1(a)(5) [title I, §123(a)(19)(B)], substituted "privileges" for "trading privileges". (Consolidated Appropriations Act, 2001) Law text · (2)

1992

• Pub. L. 102–546, §207(b)(3), substituted "floor brokers, and floor traders" for "and floor brokers". · (1)
• Pub. L. 102–546, §209(b)(6)(A), made technical amendment to reference to sections 9 and 15 of this title in concluding provisions to reflect change in reference to corresponding section of original act. · (2)
• Pub. L. 102–546, §207(b)(4), inserted "floor trader," after "floor broker,". · (2)
• Pub. L. 102–546, §208(a), amended cl. (ii) generally. Prior to amendment, cl. (ii) read as follows: "engaging in or continuing any activity involving any transaction in or advice concerning contracts of sale of a commodity for future delivery, concerning matters subject to Commissi… · (2)
• Pub. L. 102–546, §207(b)(4), inserted "floor trader," after "floor broker,". · (2)
• Pub. L. 102–546, §208(b), inserted references to sections 1001, 1503, 1623, 1961 to 1963, and 2314 of title 18 and sections 7201 and 7206 of title 26. · (2)
• Pub. L. 102–546, §208(c), substituted "in a proceeding brought" for "by any court of competent jurisdiction," and in cl. (i) inserted reference to chapter 96 of title 18. · (2)
• Pub. L. 102–546, §208(d), substituted "this paragraph and paragraph (3)" for "subparagraphs (A) through (F) of this paragraph", "materially false" for "material false", and "application or any update thereto" for "application". · (2)
• Pub. L. 102–546, §209(b)(6)(B), made technical amendment to reference to sections 9 and 15 of this title in concluding provisions to reflect change in reference to corresponding section of original act. · (3)
• Pub. L. 102–546, §208(e), inserted "pleaded guilty to or" after "person", substituted "section," for "section within ten years preceding the filing of the application or at any time thereafter," and "felony of the type specified in paragraph (2)(D) of this section more" for "felony, in… · (3)
• Pub. L. 102–546, §208(f)(1), (2), inserted "pleaded guilty to or" after "person" and struck out "within ten years preceding the filing of the application for registration or at any time thereafter" before "of any misdemeanor". · (3)
• Pub. L. 102–546, §207(b)(4), inserted "floor trader," after "floor broker,". · (3)
• Pub. L. 102–546, §208(f)(3), inserted reference to sections 7203 to 7205 and 7207 of title 26. · (3)
• Pub. L. 102–546, §208(g)(5), which directed the insertion of "or in any registration disqualification proceeding" after "Commission", was executed by making the insertion after "Commission" the second time it appeared to reflect the probable intent of Congress. · (3)
• Pub. L. 102–546, §208(g)(1)–(4), substituted "materially false" for "material false", "application or any update thereto," for "application," and struck out "or" after "thereunder,". · (3)
• Pub. L. 102–546, §208(h), inserted ", in a United States military court," after "State court". · (3)
• Pub. L. 102–546, §208(i), struck out "or" before "any other self-regulatory", inserted "or any foreign regulatory body that the Commission recognizes as having a comparable regulatory program", and substituted "association, self-regulatory organization, or foreign regulatory body" for … · (3)
• Pub. L. 102–546, §209(b)(6)(C), made technical amendment to references to sections 9 and 15 of this title in concluding provisions to reflect change in references to corresponding section of original act. · (4)
• Pub. L. 102–546, §402(10)(A), struck out "and" at end. · (5)
• Pub. L. 102–546, §402(10)(B), substituted "matters as—" for "matters as:" in introductory provisions. · (7)
• Pub. L. 102–546, §227, added par. (11). · (11)

1983

• Pub. L. 97–444, §223, substituted authorization for registration of "associated persons of futures commission merchants" for "and persons associated therewith as described in section 6k of this title"; authorized registration of introducing brokers, associated persons of introducing broke… · (1)
• Pub. L. 97–444, §224(1), added par. (2) and struck out prior par. (2) which authorized Commission "to refuse to register any person— · (2)
• Pub. L. 97–444, §224(3), added par. (3). Former par. (3) redesignated (4). · (3)
• Pub. L. 97–444, §224(2), (4), struck out par. (4) provision for establishment of registration and renewal fees and charges, covered in par. (1), redesignated par. (3) as (4), and in redesignated par. (4), authorized placing of restrictions on registrations, suspension or revocation of reg… · (4)
• Pub. L. 97–444, §104, authorized communication of full facts respecting transactions or market operations to registered futures associations and self-regulatory organizations, included concern for investors, provided for communications when necessary or appropriate to effectuate purposes … · (6)
• Pub. L. 97–444, §224(5), struck out "and" at end of pars. (6), (7), and (8). · (6), (7), (8)
• Pub. L. 97–444, §225, authorized Commission to direct the contract market to take certain action, including, but not limited to, setting of temporary emergency margin levels on any futures contract, and fixing of limits that may apply to a market position acquired in good faith prior to t… · (9)
• Pub. L. 97–444, §224(6), added par. (10). · (10)

1978

• Pub. L. 95–405, §17(1), inserted ", which may require the applicant, and any persons associated with the applicant as the Commission may specify, to be fingerprinted and to submit, or cause to be submitted, such fingerprints to the Attorney General for identification and appropriate proce… · (1)
• Pub. L. 95–405, §17(2), struck out "and to publish" after "any contract market". · (6)

1974

• Pub. L. 93–463, §103(a), substituted "Commission" for "Secretary of Agriculture" in provisions preceding par. (1).
• Pub. L. 93–463, §§103(a), 204(c), 205(c), substituted "Commission" for "Secretary of Agriculture", inserted "and persons associated therewith as described in section 6k of this title," after "futures commission merchants", and inserted "commodity trading advisors, commodity pool operators… · (1)
• Pub. L. 93–463, §103(a), substituted "Commission" for "Secretary of Agriculture". · (3), (5), (6)
• Pub. L. 93–463, §213, amended par. (7) generally, substituting provisions covering the altering or supplementing of the rules of a contract market for provisions covering the disapproval of bylaws, rules, regulations, and resolutions made, issued, or proposed by a contract market. · (7)
• Pub. L. 93–463, §214, added par. (8). · (8)
• Pub. L. 93–463, §215, added par. (9). · (9)

1968

• Pub. L. 90–258, §20, designated existing provisions as subpar. (A), substituted "if the prior registration of such person" for "if such person has violated any of the provisions of this chapter or any of the rules or regulations promulgated by the Secretary of Agriculture hereunder for wh… · (2)
• Pub. L. 90–258, §21, authorized Secretary of Agriculture, in accordance with procedure provided for in sections 9 and 15 of this title, to suspend or revoke the registration of any person registered under this chapter if cause exists under par. (2)(B) or (C) of this section which would wa… · (3)
• Pub. L. 90–258, §22, struck out authorization for establishment of fees for copies of registration certificates. · (4)
• Pub. L. 90–258, §23, added par. (7). · (7)