person regulated by the Commission
(21) Person regulated by the Commission The term “person regulated by the Commission” means a person who is— (A) a broker or dealer that is required to be registered under the Securities Exchange Act of 1934 [ 15 U.S.C. 78a et seq.]; (B) an investment adviser that is registered under the Investment Advisers Act of 1940 [ 15 U.S.C. 80b–1 et seq.]; (C) an investment company that is required to be registered under the Investment Company Act of 1940 [ 15 U.S.C. 80a–1 et seq.], and any company that has elected to be regulated as a business development company under that Act; (D) a national securities exchange that is required to be registered under the Securities Exchange Act of 1934; (E) a transfer agent that is required to be registered under the Securities Exchange Act of 1934; (F) a clearing corporation that is required to be registered under the Securities Exchange Act of 1934; (G) any self-regulatory organization that is required to be registered with the Commission; (H) any nationally recognized statistical rating organization that is required to be registered with the Commission; (I) any securities information processor that is required to be registered with the Commission; (J) any municipal securities dealer that is required to be registered with the Commission; (K) any other person that is required to be registered with the Commission under the Securities Exchange Act of 1934; and (L) any employee, agent, or contractor acting on behalf of, registered with, or providing services to, any person described in any of subparagraphs (A) through (K), but only to the extent that any person described in any of subparagraphs (A) through (K), or the employee, agent, or contractor of such person, acts in a regulated capacity.
Source
12 USC § 5481(21)
Scoping language
None identified, default scope is assumed to be the parent (subchapter V) of this section.