Page:United States Statutes at Large Volume 124.djvu/1786

 124 STAT. 1760 PUBLIC LAW 111–203—JULY 21, 2010 (i) by inserting ‘‘(including security-based swaps)’’ after ‘‘securities’’; and (ii) by striking ‘‘(as defined in section 206B of the Gramm-Leach-Bliley Act)’’ and inserting ‘‘(as defined in section 3(a)(78) of the Securities Exchange Act)’’; and (B) in subsection (d), by striking ‘‘206B of the Gramm- Leach-Bliley Act’’ and inserting ‘‘3(a)(78) of the Securities Exchange Act of 1934’’. (d) CONFORMING AMENDMENTS TO THE SECURITIES EXCHANGE ACT OF 1934.—The Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) is amended— (1) in section 3A (15 U.S.C. 78c–1)— (A) by striking subsection (a) and reserving that sub- section; and (B) by striking ‘‘(as defined in section 206B of the Gramm-Leach-Bliley Act)’’ each place that the term appears; (2) in section 9 (15 U.S.C. 78i)— (A) in subsection (a), by striking paragraphs (2) through (5) and inserting the following: ‘‘(2) To effect, alone or with 1 or more other persons, a series of transactions in any security registered on a national securities exchange, any security not so registered, or in connection with any security-based swap or security-based swap agreement with respect to such security creating actual or apparent active trading in such security, or raising or depressing the price of such security, for the purpose of inducing the purchase or sale of such security by others. ‘‘(3) If a dealer, broker, security-based swap dealer, major secu- rity-based swap participant, or other person selling or offering for sale or purchasing or offering to purchase the security, a secu- rity-based swap, or a security-based swap agreement with respect to such security, to induce the purchase or sale of any security registered on a national securities exchange, any security not so registered, any security-based swap, or any security-based swap agreement with respect to such security by the circulation or dissemination in the ordinary course of business of information to the effect that the price of any such security will or is likely to rise or fall because of market operations of any 1 or more persons conducted for the purpose of raising or depressing the price of such security. ‘‘(4) If a dealer, broker, security-based swap dealer, major secu- rity-based swap participant, or other person selling or offering for sale or purchasing or offering to purchase the security, a secu- rity-based swap, or security-based swap agreement with respect to such security, to make, regarding any security registered on a national securities exchange, any security not so registered, any security-based swap, or any security-based swap agreement with respect to such security, for the purpose of inducing the purchase or sale of such security, such security-based swap, or such security- based swap agreement any statement which was at the time and in the light of the circumstances under which it was made, false or misleading with respect to any material fact, and which that person knew or had reasonable ground to believe was so false or misleading.