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U.S. Code as of:
01/03/05
Section 9c. Notice of investigations and enforcement actions
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 sections 9,
15, 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) (!1) of this title, or any board of trade designated as a
contract market pursuant to section 7b-1 of this title.
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