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Public Law 111-203 including PTFA amendments

Page 15

Public Law 111-203 including PTFA amendments · 2026-09-26 edition · updated 2026-09-27 · California

PUBLIC LAW 111–203—JULY 21, 2010 124 STAT. 1389

(iv) any derivatives clearing organization reg- istered with the Commodity Futures Trading Commis- sion under the Commodity Exchange Act (7 U.S.C. 1 et seq.), with respect to the activities of the deriva- tives clearing organization that require the derivatives clearing organization to be registered under that Act; (v) any board of trade designated as a contract market by the Commodity Futures Trading Commis- sion under the Commodity Exchange Act (7 U.S.C. 1 et seq.); (vi) any futures association registered with the Commodity Futures Trading Commission under the Commodity Exchange Act (7 U.S.C. 1 et seq.); (vii) any retail foreign exchange dealer registered with the Commodity Futures Trading Commission under the Commodity Exchange Act (7 U.S.C. 1 et seq.), with respect to the activities of the retail foreign exchange dealer that require the retail foreign exchange dealer to be registered under that Act; (viii) any swap execution facility, swap data reposi- tory, swap dealer, or major swap participant registered with the Commodity Futures Trading Commission under the Commodity Exchange Act (7 U.S.C. 1 et seq.) with respect to the swap activities of the person that require such person to be registered under that Act; and (ix) any registered entity under the Commodity Exchange Act (7 U.S.C. 1 et seq.), with respect to the activities of the registered entity that require the registered entity to be registered under that Act; (D) the State insurance authority of the State in which an insurance company is domiciled, with respect to the insurance activities and activities that are incidental to such insurance activities of an insurance company that is subject to supervision by the State insurance authority under State insurance law; and (E) the Federal Housing Finance Agency, with respect to Federal Home Loan Banks or the Federal Home Loan Bank System, and with respect to the Federal National Mortgage Association or the Federal Home Loan Mortgage Corporation. (13) PRUDENTIAL STANDARDS.—The term ‘‘prudential stand- ards’’ means enhanced supervision and regulatory standards developed by the Board of Governors under section 165. (14) SECRETARY.—The term ‘‘Secretary’’ means the Sec- retary of the Treasury. (15) SECURITIES TERMS.—The— (A) terms ‘‘broker’’, ‘‘dealer’’, ‘‘issuer’’, ‘‘nationally recog- nized statistical rating organization’’, ‘‘security’’, and ‘‘secu- rities laws’’ have the same meanings as in section 3 of the Securities Exchange Act of 1934 (15 U.S.C. 78c); (B) term ‘‘investment adviser’’ has the same meaning as in section 202 of the Investment Advisers Act of 1940 (15 U.S.C. 80b–2); and LAWS (C) term ‘‘investment company’’ has the same meaning as in section 3 of the Investment Company Act of 1940 (15 U.S.C. 80a–3).PUBLIC with on anorris VerDate Nov 24 2008 00:54 Jul 29, 2010 Jkt 089139 PO 00203 Frm 00015 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL203.111 GPO1 PsN: PUBL203

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