The Commission shall provide the Securities and Exchange Commission with notice of the commencement of any proceeding and a copy of any order entered by the Commission pursuant to section 9 and 13b of this title against any futures commission merchant or introducing broker registered pursuant to section 6f(a)(2) of this title, any floor broker or floor trader exempt from registration pursuant to section 6f(a)(3) of this title, any associated person exempt from registration pursuant to section 6k(6) of this title, or any board of trade designated as a contract market pursuant to section 7b-1 of this title.

Terms Used In 7 USC 9c

  • Board: means the Board of Governors of the Federal Reserve System. See 7 USC 1a
  • Commission: means the Commodity Futures Trading Commission established under section 2(a)(2) of this title. See 7 USC 1a
  • Contract: A legal written agreement that becomes binding when signed.
  • floor broker: means any person&mdash. See 7 USC 1a
  • floor trader: means any person&mdash. See 7 USC 1a
  • futures commission merchant: means an individual, association, partnership, corporation, or trust&mdash. See 7 USC 1a
  • introducing broker: means any person (except an individual who elects to be and is registered as an associated person of a futures commission merchant)&mdash. See 7 USC 1a
  • person: import s the plural or singular, and includes individuals, associations, partnerships, corporations, and trusts. See 7 USC 1a
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