§ 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) of this title, or any board of trade designated as a contract market pursuant to section 7b–1 of this title.

U.S. Code

§ 9c. Notice of investigations and enforcement actions