<section xmlns="http://xml.house.gov/schemas/uslm/1.0" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns:dc="http://purl.org/dc/elements/1.1/" xmlns:dcterms="http://purl.org/dc/terms/" style="-uslm-lc:I80" id="idbba1cf7a-aaf5-11e3-a8cb-a7a72594c0f9" identifier="/us/usc/t7/s13b"><num value="13b">§ 13b.</num><heading> Manipulations or other violations; cease and desist orders against persons other than registered entities; punishment</heading><content>
<p style="-uslm-lc:I11" class="indent0">If any person (other than a registered entity), is violating or has violated <ref href="/us/usc/t7/s9">section 9 of this title</ref> or any other provisions of this chapter or of the rules, regulations, or orders of the Commission thereunder, the Commission may, upon notice and hearing, and subject to appeal as in other cases provided for in <ref href="/us/usc/t7/s9">section 9 of this title</ref>, make and enter an order directing that such person shall cease and desist therefrom and, if such person thereafter and after the lapse of the period allowed for appeal of such order or after the affirmance of such order, shall knowingly fail or refuse to obey or comply with such order, such person, upon conviction thereof, shall be fined not more than the higher of $140,000 or triple the monetary gain to such person, or imprisoned for not more than 1 year, or both, except that if such knowing failure or refusal to obey or comply with such order involves any offense within subsection (a) or (b) of <ref href="/us/usc/t7/s13">section 13 of this title</ref>, such person, upon conviction thereof, shall be subject to the penalties of said subsection (a) or (b): <i>Provided</i>, That any such cease and desist order under this section against any respondent in any case of manipulation shall be issued only in conjunction with an order issued against such respondent under <ref href="/us/usc/t7/s9">section 9 of this title</ref>.</p>
</content><sourceCredit id="idbba1cf7b-aaf5-11e3-a8cb-a7a72594c0f9">(<ref href="/us/act/1922-09-21/ch369/s6/d">Sept. 21, 1922, ch. 369, § 6(d)</ref>, formerly § 6(c), as added <ref href="/us/pl/90/258/s17">Pub. L. 90–258, § 17</ref>, <date date="1968-02-19">Feb. 19, 1968</date>, <ref href="/us/stat/82/31">82 Stat. 31</ref>; amended <ref href="/us/pl/93/463/s103/a">Pub. L. 93–463, title I, § 103(a)</ref>, (b), title II, § 212(c), <date date="1974-10-23">Oct. 23, 1974</date>, <ref href="/us/stat/88/1392">88 Stat. 1392</ref>, 1404; renumbered § 6(d) and amended <ref href="/us/pl/102/546">Pub. L. 102–546, title II</ref>, §§ 209(a)(1), (4), 212(b), <date date="1992-10-28">Oct. 28, 1992</date>, <ref href="/us/stat/106/3606">106 Stat. 3606</ref>, 3609; <ref href="/us/pl/106/554/s1/a/5">Pub. L. 106–554, § 1(a)(5)</ref> [title I, § 123(a)(12)(D)], <date date="2000-12-21">Dec. 21, 2000</date>, <ref href="/us/stat/114/2763">114 Stat. 2763</ref>, 2763A–409; <ref href="/us/pl/111/203">Pub. L. 111–203, title VII</ref>, §§ 741(b)(4), 753(b), <date date="2010-07-21">July 21, 2010</date>, <ref href="/us/stat/124/1731">124 Stat. 1731</ref>, 1753.)</sourceCredit>
<notes type="uscNote" id="idbba1cf7c-aaf5-11e3-a8cb-a7a72594c0f9">
<note style="-uslm-lc:I76" topic="codification" id="idbba1cf7d-aaf5-11e3-a8cb-a7a72594c0f9"><heading class="centered smallCaps">Codification</heading>
<p style="-uslm-lc:I21" class="indent0">Section is comprised of subsec. (d) of section 6 of act <date date="1922-09-21">Sept. 21, 1922</date>. Subsecs. (a) and (b) of section 6 are classified to <ref href="/us/usc/t7/s8">section 8 of this title</ref>. Subsec. (c) of section 6 is classified to <ref href="/us/usc/t7/s9">section 9 of this title</ref>. Subsecs. (e), (f), and (g) of section 6 are classified to sections 9a, 9b, and 9c of this title, respectively.</p>
</note>
<note style="-uslm-lc:I74" topic="amendments" id="idbba1cf7e-aaf5-11e3-a8cb-a7a72594c0f9"><heading class="centered smallCaps">Amendments</heading><p style="-uslm-lc:I21" class="indent0">2010—<ref href="/us/pl/111/203/s753/b">Pub. L. 111–203, § 753(b)</ref>, amended section generally. Prior to amendment, text read as follows: “If any person (other than a registered entity) is manipulating or attempting to manipulate or has manipulated or attempted to manipulate the market price of any commodity, in interstate commerce, or for future delivery on or subject to the rules of any registered entity, or of any swap, or otherwise is violating or has violated any of the provisions of this chapter or of the rules, regulations, or orders of the Commission or the commission thereunder, the Commission may, upon notice and hearing, and subject to appeal as in other cases provided for in sections 9 and 15 of this title, make and enter an order directing that such person shall cease and desist therefrom and, if such person thereafter and after the lapse of the period allowed for appeal of such order or after the affirmance of such order, shall fail or refuse to obey or comply with such order, such person shall be guilty of a misdemeanor and, upon conviction thereof, shall be fined not more than the higher of $100,000 or triple the monetary gain to such person, or imprisoned for not less than six months nor more than one year, or both, except that if such failure or refusal to obey or comply with such order involves any offense within paragraph (a) or (b) of <ref href="/us/usc/t7/s13">section 13 of this title</ref>, such person shall be guilty of a felony and, upon conviction thereof, shall be subject to the penalties of said paragraph (a) or (b): <i>Provided</i>, That any such cease and desist order against any respondent in any case of manipulation of, or attempt to manipulate, the price of any commodity shall be issued only in conjunction with an order issued against such respondent under sections 9 and 15 of this title. Each day during which such failure or refusal to obey or comply with such order continues shall be deemed a separate offense.”</p>
<p style="-uslm-lc:I21" class="indent0"><ref href="/us/pl/111/203/s741/b/4">Pub. L. 111–203, § 741(b)(4)</ref>, inserted “or of any swap,” before “or otherwise is violating”.</p>
<p style="-uslm-lc:I21" class="indent0">2000—<ref href="/us/pl/106/554">Pub. L. 106–554</ref> substituted “registered entity” for “contract market” in two places.</p>
<p style="-uslm-lc:I21" class="indent0">1992—<ref href="/us/pl/102/546">Pub. L. 102–546</ref> made technical amendment to references to sections 9 and 15 of this title to reflect change in reference to corresponding section of original act and substituted “the higher of $100,000 or triple the monetary gain to such person” for “$100,000”.</p>
<p style="-uslm-lc:I21" class="indent0">1974—<ref href="/us/pl/93/463">Pub. L. 93–463</ref>, §§ 103(a), 212(c), substituted “Commission” for “Secretary” before “may” and substituted “not more than $100,000” for “not less than $500 nor more than $10,000”.</p>
<p style="-uslm-lc:I21" class="indent0"><ref href="/us/pl/93/463/s103/a">Pub. L. 93–463, § 103(a)</ref>, provided for substitution of “Commission” for “Secretary of Agriculture” except where such words would be stricken by section 103(b), which directed striking the words “the Secretary of Agriculture or” where they appeared in the phrase “the Secretary of Agriculture or the Commission”. Because the word “commission” was not capitalized in the text of this section, section 103(b) did not apply to this section and therefore section 103(a) was executed, resulting in the substitution of “the Commission or the commission” for “the Secretary of Agriculture or the commission”.</p>
</note>
<note style="-uslm-lc:I74" topic="effectiveDateOfAmendment" id="idbba1cf7f-aaf5-11e3-a8cb-a7a72594c0f9"><heading class="centered smallCaps">Effective Date of 2010 Amendment</heading><p style="-uslm-lc:I21" class="indent0">Amendment by <ref href="/us/pl/111/203/s741/b/4">section 741(b)(4) of Pub. L. 111–203</ref> effective on the later of 360 days after <date date="2010-07-21">July 21, 2010</date>, or, to the extent a provision of subtitle A (§§ 711–754) of title VII of <ref href="/us/pl/111/203">Pub. L. 111–203</ref> requires a rulemaking, not less than 60 days after publication of the final rule or regulation implementing such provision of subtitle A, see <ref href="/us/pl/111/203/s754">section 754 of Pub. L. 111–203</ref>, set out as a note under <ref href="/us/usc/t7/s1a">section 1a of this title</ref>.</p>
<p style="-uslm-lc:I21" class="indent0">Amendment by <ref href="/us/pl/111/203/s753/b">section 753(b) of Pub. L. 111–203</ref> effective on the date on which the final rule promulgated by the Commodity Futures Trading Commission pursuant to <ref href="/us/pl/111/203">Pub. L. 111–203</ref> takes effect [see 76 F.R. 41398, effective <date date="2011-08-15">Aug. 15, 2011</date>], see <ref href="/us/pl/111/203/s753/d">section 753(d) of Pub. L. 111–203</ref>, set out as a note under <ref href="/us/usc/t7/s9">section 9 of this title</ref>.</p>
</note>
<note style="-uslm-lc:I74" topic="effectiveDateOfAmendment" id="idbba1cf80-aaf5-11e3-a8cb-a7a72594c0f9"><heading class="centered smallCaps">Effective Date of 1974 Amendment</heading><p style="-uslm-lc:I21" class="indent0">For effective date of amendment by <ref href="/us/pl/93/463">Pub. L. 93–463</ref>, see <ref href="/us/pl/93/463/s418">section 418 of Pub. L. 93–463</ref>, set out as a note under <ref href="/us/usc/t7/s2">section 2 of this title</ref>.</p>
</note>
<note style="-uslm-lc:I74" topic="effectiveDate" id="idbba1cf81-aaf5-11e3-a8cb-a7a72594c0f9"><heading class="centered smallCaps">Effective Date</heading><p style="-uslm-lc:I21" class="indent0">Section effective 120 days after <date date="1968-02-19">Feb. 19, 1968</date>, see <ref href="/us/pl/90/258/s28">section 28 of Pub. L. 90–258</ref>, set out as an Effective Date of 1968 Amendment note under <ref href="/us/usc/t7/s2">section 2 of this title</ref>.</p>
</note>
</notes>
</section>