Pub. L. 100-181, tit. VII, sec. 702

Sec. 702. Section 203 of the Investment Advisers Act of 1940 (15 U.S.C. 80b–3) is amended— (1) by inserting “transfer agent,” after “fiduciary,” in subsection (e)(2)(B); (2) by inserting “transfer agent,” after “government securities dealer,” in subsection (e)(3); (3) by striking out “or seeking to become associated” in the first sentence of subsection (f) and inserting in lieu thereof “, seeking to become associated, or, at the time of the alleged misconduct, associated or seeking to become associated”; and (4) by striking out “subsection (d)” in subsection (g) and inserting in lieu thereof “subsection (c) or subsection (e)”.