§6e. Dealings by unregistered floor trader or broker prohibited — Inbound Citations

Citations to 7 U.S.C. § 6e as a whole

• 7 U.S.C. § 2(d)

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  (d) Nothing in this chapter (other than subparagraphs (A), (B), (C), (D), (G), and (H) of subsection (a)(1), subsections (f) and (g), sections 1a, 2(a)(13), 2(c)(2)(A)(ii), 2(e), 2(h), 6(c), 6a, 6b, and 6b–1 of this title, subsections (a), (b), and (g) of section 6c of this title, sections 6d, 6e, 6f, 6g, 6h, 6i, 6j, 6k, 6l, 6m, 6n, 6o, 6p, 6r, 6s, 6t, 7, 7a–1, 7a–2, 7b, and 7b–3 of this title, sections 9 and 13b of this title, sections 13a–1, 13a–2, 12, 12a, and 13 of this title, subsections (e)(2), (f), and (h) of section 16 of this title, subsections (a) and (b) of section 13c of this title, sections 21, 24, 24a, and 25(a)(4) of this title, and any other provision of this chapter that is applicable to registered entities or Commission registrants) governs or applies to a swap.
• 7 U.S.C. § 6f(a)(3)

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  (3) A floor broker or floor trader shall be exempt from the registration requirements of section 6e of this title and paragraph (1) of this subsection if—

  (A) the floor broker or floor trader is a broker or dealer registered with the Securities and Exchange Commission;

  (B) the floor broker or floor trader limits its solicitation of orders, acceptance of orders, or execution of orders, or placing of orders on behalf of others involving any contracts of sale of any commodity for future delivery, on or subject to the rules of any contract market to security futures products; and

  (C) the registration of the floor broker or floor trader is not suspended pursuant to an order of the Securities and Exchange Commission.
• 7 U.S.C. § 6f(a)(4)(A)(ii)

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  (ii) Sections 6d, 6e, and 6h of this title.
• 7 U.S.C. § 6k(6)(B)

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  (B) Sections 6d, 6e, and 6h of this title.