Page:United States Statutes at Large Volume 96 Part 2.djvu/940

 96 STAT. 2302

PUBLIC LAW 97-444—JAN. 11, 1983 INTRODUCING BROKER; REGISTRATION REQUIREMENT

SEC. 207. Section 4d of the Commodity Exchange Act (7 U.S.C. 6d) is amended by— (1) inserting in the introductory clause "or introducing broker" after "futures commission merchant"; (2) inserting in paragraph (1) "or introducing broker" after "futures commission merchant"; and (3) inserting in paragraph (2) "if a futures commission merchant," after "such person shall,". REGISTRATION PROCEDURE; TECHNICAL AMENDMENTS

Expiration date.

SEC. 208. Section 4f of the Commodity Exchange Act (7 U.S.C. 6f) is amended by— (1) amending subsection (1) to read as follows: "(1) Any person desiring to register as a futures commission merchant, introducing broker, or floor broker hereunder shall be registered upon application to the Commission. The application sh^l be made in such form and manner as prescribed by the Commission, giving such information and facts as the Commission may deem necessary concerning the business in which the applicant is or will be engaged, including in the case of an application of a futures commission merchant or an introducing broker, the names and addresses of the managers of all branch offices, and the names of such officers and partners, if a partnership, and of such officers, directors, and stockholders, if a corporation, as the Commission may direct. Such person, when registered hereunder, shall likewise continue to report and furnish to the Commission the above-mentioned information and such other information pertaining to such person's business as the Commission may require. Each registration shall expire on December 31 of the year for which issued or at such other time, not less than one year from the date of issuance, as the Commission may by rule, regulation, or order prescribe, and shall be renewed upon application therefor unless the registration has been suspended (and the period of such suspension has not expired) or revoked pursuant to the provisions of this Act."; and (2) inserting in subsection (2) "or as introducing broker" after "futures commission merchant". INTRODUCING BROKERS; REPORTS, BOOKS, AND RECORDS

SEC. 209. Section 4g of the Commodity Exchange Act (7 U.S.C. 6g) is amended by— (1) inserting in subsection (1) ", introducing broker," after "futures commission merchant"; and (2) inserting in subsection (3) ", introducing brokers," after "Floor brokers". MISREPRESENTATION OF STATUS; TECHNICAL AMENDMENTS

SEC. 210. Section 4h of the Commodity Exchange Act (7 U.S.C. 6h) is amended to read as follows: "SEC. 4h. It shall be unlawful for any person falsely to represent such person to be a member of a contract market or the representa-

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