Public Law 111-203 including PTFA amendments
Page 479
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. 1853
SEC. 929D. LOST AND STOLEN SECURITIES. Section 17(f)(1) of the Securities Exchange Act of 1934 (15 U.S.C. 78q(f)(1)) is amended— (1) in subparagraph (A), by striking ‘‘missing, lost, counter- feit, or stolen securities’’ and inserting ‘‘securities that are missing, lost, counterfeit, stolen, or cancelled’’; and (2) in subparagraph (B), by striking ‘‘or stolen’’ and inserting ‘‘stolen, cancelled, or reported in such other manner as the Commission, by rule, may prescribe’’.
SEC. 929E. NATIONWIDE SERVICE OF SUBPOENAS. (a) SECURITIES ACT OF 1933.—Section 22(a) of the Securities Act of 1933 (15 U.S.C. 77v(a)) is amended by inserting after the second sentence the following: ‘‘In any action or proceeding instituted by the Commission under this title in a United States district court for any judicial district, a subpoena issued to compel the attendance of a witness or the production of documents or tangible things (or both) at a hearing or trial may be served at
any place within the United States. Rule 45(c)(3)(A)(ii) of the Fed- eral Rules of Civil Procedure shall not apply to a subpoena issued under the preceding sentence.’’. (b) SECURITIES EXCHANGE ACT OF 1934.—Section 27 of the Securities Exchange Act of 1934 (15 U.S.C. 78aa) is amended by inserting after the third sentence the following: ‘‘In any action or proceeding instituted by the Commission under this title in a United States district court for any judicial district, a subpoena issued to compel the attendance of a witness or the production of documents or tangible things (or both) at a hearing or trial may be served at any place within the United States. Rule 45(c)(3)(A)(ii) of the Federal Rules of Civil Procedure shall not apply to a subpoena issued under the preceding sentence.’’. (c) INVESTMENT COMPANY ACT OF 1940.—Section 44 of the Investment Company Act of 1940 (15 U.S.C. 80a–43) is amended by inserting after the fourth sentence the following: ‘‘In any action or proceeding instituted by the Commission under this title in a United States district court for any judicial district, a subpoena issued to compel the attendance of a witness or the production of documents or tangible things (or both) at a hearing or trial may be served at any place within the United States. Rule 45(c)(3)(A)(ii) of the Federal Rules of Civil Procedure shall not apply to a subpoena issued under the preceding sentence.’’. (d) INVESTMENT ADVISERS ACT OF 1940.—Section 214 of the Investment Advisers Act of 1940 (15 U.S.C. 80b–14) is amended by inserting after the third sentence the following: ‘‘In any action or proceeding instituted by the Commission under this title in a United States district court for any judicial district, a subpoena issued to compel the attendance of a witness or the production of documents or tangible things (or both) at a hearing or trial may be served at any place within the United States. Rule 45(c)(3)(A)(ii) of the Federal Rules of Civil Procedure shall not apply to a subpoena issued under the preceding sentence.’’.
SEC. 929F. FORMERLY ASSOCIATED PERSONS.
LAWS (a) MEMBER OR EMPLOYEE OF THE MUNICIPAL SECURITIES RULE- MAKING BOARD.—Section 15B(c)(8) of the Securities Exchange Act of 1934 (15 U.S.C. 78o–4(c)(8)) is amended by striking ‘‘any memberPUBLIC with on anorris VerDate Nov 24 2008 00:49 Aug 26, 2010 Jkt 089139 PO 00203 Frm 00479 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL203.111 GPO1 PsN: PUBL203
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