7 U.S. Code § 13c - Responsibility as principal; minor violations

(a) Any person who commits, or who willfully aids, abets, counsels, commands, induces, or procures the commission of, a violation of any of the provisions of this chapter, or any of the rules, regulations, or orders issued pursuant to this chapter, or who acts in combination or concert with any other person in any such violation, or who willfully causes an act to be done or omitted which if directly performed or omitted by him or another would be a violation of the provisions of this chapter or any of such rules, regulations, or orders may be held responsible for such violation as a principal.
(b) Any person who, directly or indirectly, controls any person who has violated any provision of this chapter or any of the rules, regulations, or orders issued pursuant to this chapter may be held liable for such violation in any action brought by the Commission to the same extent as such controlled person. In such action, the Commission has the burden of proving that the controlling person did not act in good faith or knowingly induced, directly or indirectly, the act or acts constituting the violation.
(c) Nothing in this chapter shall be construed as requiring the Commission or the Commission  [1] to report minor violations of this chapter for prosecution, whenever it appears that the public interest does not require such action.


[1]  So in original. The words “or the Commission” probably should not appear.

Source

(Sept. 21, 1922, ch. 369, § 13, as added Pub. L. 90–258, § 26,Feb. 19, 1968, 82 Stat. 34; amended Pub. L. 93–463, title I, § 103(a), (b),Oct. 23, 1974, 88 Stat. 1392; Pub. L. 97–444, title II, § 230,Jan. 11, 1983, 96 Stat. 2319; Pub. L. 102–546, title IV, § 402(1)(D), (9)(C),Oct. 28, 1992, 106 Stat. 3624, 3625.)
Amendments

1992—Subsec. (c). Pub. L. 102–546, § 402(9)(C), which directed that “the Secretary of Agriculture or” be struck out, could not be executed because of amendment by Pub. L. 93–463, § 103(a). See 1974 Amendment note below.
Pub. L. 102–546, § 402(1)(D), substituted “Commission” for “commission” before “to report”.
1983—Subsec. (a). Pub. L. 97–444, § 230(1), struck out “in administrative proceedings under this chapter” after “may be held responsible”.
Subsecs. (b), (c). Pub. L. 97–444, § 230(2), (3), added subsec. (b) and redesignated former subsec. (b) as (c).
1974—Subsec. (b). Pub. L. 93–463, § 103(a), 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”.
Effective Date of 1983 Amendment

Amendment by Pub. L. 97–444effective Jan. 11, 1983, see section 239 ofPub. L. 97–444, set out as a note under section 2 of this title.
Effective Date of 1974 Amendment

For effective date of amendment by Pub. L. 93–463, see section 418 ofPub. L. 93–463, set out as a note under section 2 of this title.
Effective Date

Section effective 120 days after Feb. 19, 1968, see section 28 ofPub. L. 90–258, set out as an Effective Date of 1968 Amendment note under section 2 of this title.

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17 CFR - Commodity and Securities Exchanges

17 CFR Part 3 - REGISTRATION

17 CFR Part 5 - OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS

17 CFR Part 23 - SWAP DEALERS AND MAJOR SWAP PARTICIPANTS

17 CFR Part 42 - ANTI-MONEY LAUNDERING, TERRORIST FINANCING

 

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