§ 13c. — Responsibility as principal; minor violations.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 7USC13c]
TITLE 7--AGRICULTURE
CHAPTER 1--COMMODITY EXCHANGES
Sec. 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.
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\1\ So in original. The words ``or the Commission'' probably should
not appear.
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(Sept. 21, 1922, ch. 369, Sec. 13, as added Pub. L. 90-258, Sec. 26,
Feb. 19, 1968, 82 Stat. 34; amended Pub. L. 93-463, title I,
Sec. 103(a), (b), Oct. 23, 1974, 88 Stat. 1392; Pub. L. 97-444, title
II, Sec. 230, Jan. 11, 1983, 96 Stat. 2319; Pub. L. 102-546, title IV,
Sec. 402(1)(D), (9)(C), Oct. 28, 1992, 106 Stat. 3624, 3625.)
Amendments
1992--Subsec. (c). Pub. L. 102-546, Sec. 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, Sec. 103(a). See 1974
Amendment note below.
Pub. L. 102-546, Sec. 402(1)(D), substituted ``Commission'' for
``commission'' before ``to report''.
1983--Subsec. (a). Pub. L. 97-444, Sec. 230(1), struck out ``in
administrative proceedings under this chapter'' after ``may be held
responsible''.
Subsecs. (b), (c). Pub. L. 97-444, Sec. 230(2), (3), added subsec.
(b) and redesignated former subsec. (b) as (c).
1974--Subsec. (b). Pub. L. 93-463, Sec. 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. 97-444 effective Jan. 11, 1983, see section 239
of Pub. 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
of Pub. 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 of
Pub. L. 90-258, set out as an Effective Date of 1968 Amendment note
under section 2 of this title.
