Page:United States Statutes at Large Volume 114 Part 5.djvu/465

 PUBLIC LAW 106-554—APPENDIX E 114 STAT. 2763A-425 examination with examinations conducted by the Commodity Futures Trading Commission in order to avoid unnecessary regulatory dupHcation or undue regulatory burdens for such broker or dealer or exchange."; (5) by adding at the end the following new paragraphs: " (2) FURNISHING DATA AND REPORTS TO CFTC. —The Commission shall notify the Commodity Futures Trading Commission of any examination conducted of any 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) and, upon request, furnish to the Commodity Futures Trading Commission any examination report and data supplied to, or prepared by, the Commission in connection with such examination. "(3) USE OF CFTC REPORTS.— Prior to conducting an examination under paragraph (1), the Commission shall use the reports of examinations, if the information available therein is sufficient for the purposes of the examination, of— "(A) any broker or dealer registered pursuant to section 15(b)(ll); "(B) exchange registered pursuant to section 6{g); or "(C) national securities association registered pursuant to section 15A(k); that is made by the Commodity Futures Trading Commission, a national securities association registered pursuant to section 15A(k), or an exchange registered pursuant to section 6(g). " (4) RULES OF CONSTRUCTION.— "(A) Notwithstanding any other provision of this subsection, the records of a broker or dealer registered pursuant to section 15(b)(ll), an exchange registered pursuant to section 6(g), or a national securities association registered pursuant to section 15A(k) described in this subparagraph shall not be subject to routine periodic examinations by the Commission. "(B) Any recordkeeping rules adopted under this subsection for a broker or dealer registered pursuant to section 15(b)(ll), an exchange registered pursuant to section 6(g), or a national securities association registered pursuant to section 15A(k) shall be limited to records with respect to persons, accounts, agreements, contracts, and transactions involving security futures products."; and (6) in paragraph (4)(C) (as redesignated by paragraph (3) of this section), by striking "Nothing in the proviso to the preceding sentence" and inserting "Nothing in the proviso in paragraph (1)". SEC. 205. MAINTENANCE OF MARKET INTEGRITY FOR SECURITY FUTURES PRODUCTS. (a) ADDITION OF SECURITY FUTURES PRODUCTS TO OPTION-SPE- CIFIC ENFORCEMENT PROVISIONS. — (1) PROHIBITION AGAINST MANIPULATION.—Section 9(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78i(b)) is amended— (A) in paragraph (1)— (i) by inserting "(A)" after "acquires"; and (ii) by striking "; or" and inserting "; or (B) any security futures product on the security; or";

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