Page:United States Statutes at Large Volume 114 Part 5.djvu/464

 114 STAT. 2763A-424 PUBLIC LAW 106-554—APPENDIX E "(B) the association shall file pursuant to sections 19(b)(1) and 19(b)(2) proposed rule changes related to margin, except for changes resulting in higher margin levels; and "(C) the association shall file pursuant to section 19(b)(1) proposed rule changes that have been abrogated by the Commission pursuant to section 19(b)(7)(C). " (4) OTHER EXEMPTIONS.—Such a securities association shall be exempt from and shall not be required to enforce compliance by its members, and its members shall not, solely with respect to their transactions effected in security futures products, be required to comply, with the following provisions of this title and the rules thereunder: "(A) Section 8. "(B) Subsections (b)(1), (b)(3), (b)(4), (b)(5), (b)(8), (b)(10), (b)(ll), (b)(12), (b)(13), (c), (d), (e), (f), (g), (h), and (i) of this section. "(C) Subsections (d), (f), and (k) of section 17. "(D) Subsections (a), (f), and (h) of section 19.". (d) EXEMPTION UNDER THE SECURITIES INVESTOR PROTECTION ACT OF 1970. — (1) Section 16(14) of the Securities Investor Protection Act of 1970 (15 U.S.C. 78111(14)) is amended by inserting "or any security future as that term is defined in section 3(a)(55)(A) of the Securities Exchange Act of 1934," after "certificate of deposit for a security,". (2) Section 3(a)(2)(A) of the Securities Investor Protection Act of 1970 (15 U.S.C. 78ccc(a)(2)(A)) is amended— (A) in clause (i), by striking "and" after the semicolon; (B) in clause (ii), by striking the period and inserting "; and"; and (C) by adding at the end the following: "(iii) persons who are registered as a broker or dealer pursuant to section 15(b)(ll)(A) of the Securities Exchange Act of 1934.". SEC. 204. SPECIAL PROVISIONS FOR INTERAGENCY COOPERATION. Section 17(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78q(b)) is amended— (1) by striking "(b) All" and inserting the following: "(b) RECORDS SUBJECT TO EXAMINATION. — "(1) PROCEDURES FOR COOPERATION WITH OTHER AGEN- CIES.— A ll"; (2) by striking "prior to conducting any such examination of a registered clearing" and inserting the following: "prior to conducting any such examination of a— "(A) registered clearing"; (3) by redesignating the last sentence as paragraph (4)(C); (4) by striking the period at the end of the first sentence and inserting the following: "; or "(B) broker or dealer registered pursuant to section 15(b)(ll), exchange registered pursuant to section 6(g), or national securities association registered pursuant to section 15A(k) gives notice to the Commodity Futures Trading Commission of such proposed examination and consults with the Commodity Futures Trading Commission concerning the feasibility and desirability of coordinating such

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