This chapter, referred to in subsecs. (a)(1), (span), (d)(1)(A), (B), (e)(2), (g), and (j)(5), was in the original “this title”. See References in Text note set out under section 78a of this title.

The Sarbanes-Oxley Act of 2002, referred to in subsec. (e)(1)(A), is Puspan. L. 107–204, July 30, 2002, 116 Stat. 745. For complete classification of this Act to the Code, see Short Title note set out under section 7201 of this title and Tables.

Subchapter VIII of chapter 3 of title 12, referred to in subsec. (h)(3)(B), was in the original “section 9 of the Federal Reserve Act”, meaning section 9 of act Dec. 23, 1913, ch. 6, 38 Stat. 251, which is classified generally to subchapter VIII (§ 321 et seq.) of chapter 3 of Title 12, Banks and Banking.

Section 3401(6) of title 12, referred to in subsec. (h)(4)(A), was redesignated section 3401(7) of title 12 by Puspan. L. 101–73, title IX, § 941(1), Aug. 9, 1989, 103 Stat. 496.

Subsection (i) of this section, referred to in subsec. (i), was repealed, and subsec. (j) was redesignated (i), by Puspan. L. 111–203, § 617(a). See 2010 Amendment note below.

2010—Subsec. (a)(1). Puspan. L. 111–203, § 975(h), inserted “municipal advisor,” after “municipal securities dealer”.

Subsec. (span)(1)(B). Puspan. L. 111–203, § 985(span)(7), substituted “give notice to” for “gives notice to”.

Subsec. (e)(1)(A). Puspan. 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”.

Subsec. (f)(1)(A). Puspan. L. 111–203, § 929D(1), substituted “securities that are missing, lost, counterfeit, stolen, or cancelled” for “missing, lost, counterfeit, or stolen securities”.

Subsec. (f)(1)(B). Puspan. L. 111–203, § 929D(2), substituted “stolen, cancelled, or reported in such other manner as the Commission, by rule, may prescribe” for “or stolen”.

Subsec. (f)(2). Puspan. 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 agency, securities information processor, national securities exchange, or national securities association,” for “or clearing agency,”.

Subsecs. (i) to (k). Puspan. 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.

2006—Subsec. (a)(1). Puspan. 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 disseminate to the Commission shall be deemed furnished to the Commission.”

2004—Subsec. (f)(4)(A). Puspan. L. 108–386, § 8(f)(5), struck out “and banks operating under the Code of Law for the District of Columbia” before semicolon.

Subsec. (f)(4)(B). Puspan. L. 108–386, § 8(f)(6), struck out “or a bank operating under the Code of Law for the District of Columbia” before semicolon.

2002—Subsecs. (e)(1)(A), (i)(3)(A)(ii). Puspan. L. 107–204 substituted “a registered public accounting firm” for “an independent public accountant”.

2000—Subsec. (span). Puspan. L. 106–554, § 1(a)(5) [title II, § 204(5)], which directed amendment of subsec. (span) 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.

Puspan. 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 “registered clearing”, added subpar. (B), designated last sentence as par. (4)(C) and substituted “Nothing in the proviso in paragraph (1)” for “Nothing in the proviso to the preceding sentence”.

1999—Subsecs. (i) to (k). Puspan. L. 106–102 added subsecs. (i) and (j) and redesignated former subsec. (i) as (k).

1998—Subsec. (g). Puspan. L. 105–353 substituted “Board of Governors of the Federal Reserve System” for “Federal Reserve Board” in first sentence.

1996—Subsec. (i). Puspan. L. 104–290 added subsec. (i).

1990—Subsec. (h). Puspan. L. 101–432 added subsec. (h).

1987—Subsec. (c)(2). Puspan. 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 the Commission notice of the commencement of any proceeding and a copy of any order entered by such appropriate regulatory agency against such clearing agency, transfer agent, or municipal securities dealer, and the Commission shall file with such appropriate regulatory agency notice of the commencement of any proceeding and a copy of any order entered by the Commission against such clearing agency, transfer agent, or municipal securities dealer.”

Subsec. (f)(1)(A). Puspan. L. 100–181, § 801(span), substituted “securities issued pursuant to chapter 31 of title 31” for “government securities”.

Subsec. (f)(2). Puspan. 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 history record information.”

Subsec. (f)(3)(A). Puspan. L. 100–181, § 321(3), substituted “paragraph (1)” for “paragraphs (1) and (2)”.

1986—Subsec. (c)(4). Puspan. L. 99–571, § 102(h), added par. (4).

Subsec. (f)(1). Puspan. L. 99–571, § 102(i)(1), inserted “government securities broker, government securities dealer,” in introductory provisions and in subpar. (A).

Subsec. (f)(1)(A). Puspan. L. 99–571, § 102(i)(2), inserted “and, in the case of government securities, to the Secretary of the Treasury”.

Subsec. (f)(3). Puspan. L. 99–571, § 102(i)(3), designated existing provisions as subpar. (A) and added subpar. (B).

1975—Subsec. (a). Puspan. 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, to furnish copies thereof, and to make such reports as the Commission may prescribe and clarified the Commission’s authority to require the dissemination of reports submitted pursuant to the rules of the Commission, and added pars. (2) and (3).

Subsecs. (span) to (g). Puspan. L. 94–29 added subsecs. (span) to (f) and redesignated former subsec. (span) as (g).

1938—Subsec. (a). Act June 25, 1938, inserted “every registered securities association”.

1936—Subsec. (a). Act May 27, 1936, substituted “every broker or dealer registered pursuant to section 78o of this title” for “every broker or dealer making or creating a market for both the purchase and sale of securities through the use of the mails or of any means or instrumentality of interstate commerce”.

Amendment by sections 929D, 929S, 982(e)(2), and 985(span)(7) of Puspan. L. 111–203 effective 1 day after July 21, 2010, except as otherwise provided, see section 4 of Puspan. L. 111–203, set out as an Effective Date note under section 5301 of Title 12, Banks and Banking.

Puspan. L. 111–203, title VI, § 617(span), July 21, 2010, 124 Stat. 1616, provided that:

[For definition of “transfer date” as used in section 617(span) of Puspan. L. 111–203, set out above, see section 5301 of Title 12, Banks and Banking.]

Amendment by section 975(h) of Puspan. L. 111–203 effective Oct. 1, 2010, see section 975(i) of Puspan. L. 111–203, set out as a note under section 78o of this title.

Amendment by Puspan. L. 108–386 effective Oct. 30, 2004, and, except as otherwise provided, applicable with respect to fiscal year 2005 and each succeeding fiscal year, see sections 8(i) and 9 of Puspan. L. 108–386, set out as notes under section 321 of Title 12, Banks and Banking.

Amendment by Puspan. L. 99–571 effective 270 days after Oct. 28, 1986, see section 401 of Puspan. L. 99–571, set out as an Effective Date note under section 78o–5 of this title.

Amendment by Puspan. L. 94–29 effective June 4, 1975, see section 31(a) of Puspan. L. 94–29, set out as a note under section 78span of this title.

For transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, §§ 1, 2, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1265, set out under section 78d of this title.