,,ii  #aaf? ,,congress  #a/ ,session    
,s4 #bebi  ,,9 ,,! ,,s5ate ,,( ,,!      
,,unit$ ,,/ates  ,septemb] #bc1 #bjai   
,mr4 ,grassley 7= himself1 ,ms4 ,baldw91
 ,ms4 ,ern/1 & ,mr4 ,durb97 introduc$ ! 
foll[+ bill2 :i* 0 read twice & ref]r$  
to ! ,committee on ,agriculture1        
,nutrition1 & ,=e/ry  ,a ,,bill  ,to    
am5d ! ,commodity ,ex*ange ,act & !     
,securities ,ex*ange ,act ( #aicd to    
modify provisions relat+ to :i/lebl[]   
inc5tives & protection1 & = o!r         
purposes4  #a4 ,%ort title  ,?is ,act   
may be cit$ z ! ,:i/lebl[] ,programs    
,improvem5t ,act4  #b4 ,:i/lebl[]       
protections = int]nal disclosures  7a7  
,commodities ,section #bc ( ! ,commodity
 ,ex*ange ,act 7#g ,u4,s4,c4 #bf7 is    
am5d$-- 7#a7 9 subsection 7a77#g7--     
7,a7 by /rik+ ,! t]m & ins]t+ ! foll[+3 
7,a7 ,9 g5]al ,! t]m  2 &  7,b7 by add+ 
at ! end ! foll[+3  7,b7 ,special rule  
,solely = ! purposes ( subsection       
7h77#a71 ! t]m :i/lebl[] includes any   
individual :o takes1 or #b or m         

individuals act+ jo9tly :o take1 an     
action describ$ 9 subsection            
7h77#a77;,a74  2 &  7#b7 9 subsection   
7h77#a77;,a7-- 7,a7 9 clause 7i71 by    
/rik+ or at ! end2  7,b7 9 clause 7ii71 
by /rik+ ! p]iod at ! end & ins]t+ 2 or2
 &  7,c7 by add+ at ! end ! foll[+3     
7iii7 9 provid+ in=mation reg>d+ any    
conduct t ! :i/lebl[] reasonably        
believes con/itutes a violation ( any   
law1 rule1 or regulation subject to !   
jurisdiction ( ! ,commission to--  7,i7 
a p]son ) sup]visory au?ority ov] !     
:i/lebl[] at ! employ] ( ! :i/lebl[]1 if
 t employ] is an entity regi/]$ )1 or   
requir$ to be regi/]$ )1 ! ,commission1 
a self-regulatory organization1 or a    
,/ate securities commission or (fice    
p]=m+ l functions2 or  7,,ii7 ano!r     
individual work+ = ! employ] describ$ 9 
subclause 7,i7 :o ! :i/lebl[] reasonably
 believes has ! au?ority--  7aa7 to     
inve/igate1 discov]1 or t]m9ate !       
misconduct2 or  7bb7 to take any o!r    
action to address ! misconduct4  4  7b7 

,securities ,section #ba;,f ( !         
,securities ,ex*ange ,act ( #aicd 7#ae  
,u4,s4,c4 #ghu-#f7 is am5d$-- 7#a7 9    
subsection 7a77#f7--  7,a7 by /rik+ ,!  
t]m & ins]t+ ! foll[+3  7,a7 ,9 g5]al ,!
 t]m  2 &  7,b7 by add+ at ! end !      
foll[+3  7,b7 ,special rule ,solely = ! 
purposes ( subsection 7h77#a71 ! t]m    
:i/lebl[] includes any individual :o    
takes1 or #b or m individuals act+      
jo9tly :o take1 an action describ$ 9    
subsection 7h77#a77;,a74  2 &  7#b7 9   
subsection 7h77#a77;,a7-- 7,a7 9 clause 
7ii71 by /rik+ or at ! end2  7,b7 9     
clause 7iii71 by /rik+ ! p]iod at ! end 
& ins]t+ 2 or2 &  7,c7 by add+ at ! end 
! foll[+3  7iv7 9 provid+ in=mation     
reg>d+ any conduct t ! :i/lebl[]        
reasonably believes con/itutes a        
violation ( any law1 rule1 or regulation
 subject to ! jurisdiction ( !          
,commission to--  7,i7 a p]son )        
sup]visory au?ority ov] ! :i/lebl[] at !
 employ] ( ! :i/lebl[]1 if t employ] is 
an entity regi/]$ )1 or requir$ to be   

regi/]$ )1 ! ,commission1 a             
self-regulatory organization1 or a ,/ate
 securities commission or (fice p]=m+ l 
functions2 or  7,,ii7 ano!r individual  
work+ = ! employ] describ$ 9 subclause  
7,i7 :o ! :i/lebl[] reasonably believes 
has ! au?ority to--  7aa7 inve/igate1   
discov]1 or t]m9ate ! misconduct2 or    
7bb7 take any o!r action to address !   
misconduct4  4  #c4 ,prompt paym5t (    
aw>ds  7a7 ,commodities  7#a7 ,9 g5]al  
,section #bc7;b7 ( ! ,commodity ,ex*ange
 ,act 7#g ,u4,s4,c4 #bf7 is am5d$ by    
add+ at ! end ! foll[+3  7#c7 ,timely   
process+ ( claims  7,a7 ,initial        
disposition  7i7 ,9 g5]al ,except z     
provid$ 9 subp>agraph 7,b71 & subject to
 clause 7ii71 ! ,commission %all make an
 initial disposition ) respect to a     
claim submitt$ by a :i/lebl[] = an aw>d 
"u ?is section 7ref]r$ to 9 ?is p>agraph
 z an aw>d claim7 n lat] ?an #a ye> aft]
 ! deadl9e e/abli%$ by ! ,commission1 by
 rule1 = ! :i/lebl[] to file ! aw>d     
claim4  7ii7 ,multiple actions ,if a    

cov]$ judicial or adm9i/rative action   
involves #a or m relat$ actions1 !      
requirem5t "u clause 7i7 %all apply )   
respect to ! late/ deadl9e ) respect to 
! actions4  7,b7 ,exceptions  7i7       
,initial ext5sion ,if ! ,director ( !   
,division ( ,en=cem5t ( ! ,commission   
7ref]r$ to 9 ?is p>agraph z !           
,director71 or ! designee ( ! ,director1
 det]m9es t an aw>d claim is suffici5tly
 complex or involves m ?an #a :i/lebl[]1
 or if o!r good cause exi/s su* t !     
,commission _c reasonably satisfy !     
requirem5t "u subp>agraph 7,a71 !       
,director or ! designee1 z applicable1  
aft] provid+ notice to ! ,*airman ( !   
,commission 7ref]r$ to 9 ?is p>agraph z 
! ,*airman71 may ext5d ! deadl9e )      
respect to ! satisfaction ( t           
subp>agraph by n m ?an #ahj days4  7ii7 
,additional ext5sions ,if1 aft] provid+ 
an ext5sion "u clause 7i71 ! ,director1 
or ! designee ( ! ,director1 det]m9es t 
! ,commission _c reasonably satisfy !   
requirem5t "u subp>agraph 7,a7 ) respect

 to an aw>d claim1 z ext5d$ "u t clause1
 ! ,director or ! designee1 z           
applicable1 aft] provid+ notice to !    
,*airman1 may ext5d ! p]iod 9 :i* !     
,commission may satisfy subp>agraph 7,a7
 by #a additional #ahj-;day p]iod4      
7iii7 ,notice to :i/lebl[] requir$ ,if !
 ,director1 or ! designee ( ! ,director1
 ex]cises au?ority "u clause 7i7 or     
7ii71 ! ,director or ! designee1 z      
applicable1 %all submit to ! :i/lebl[]  
:o fil$ ! aw>d claim t is subject to t  
action by ! ,director or ! designee a   
writt5 notification ( t action by !     
,director or ! designee4  7,c7          
,applicability ,?is p>agraph %all apply 
only to an aw>d claim t is timely       
submitt$ "u a deadl9e e/abli%$ by !     
,commission aft] ! date ( enactm5t ( ?is
 p>agraph4  4  7#b7 ,rules ,! ,commodity
 ,futures ,trad+ ,commission may issue  
any rules t are necess>y to c>ry out    
p>agraph 7#c7 ( section #bc7;b7 ( !     
,commodity ,ex*ange ,act 7#g ,u4,s4,c4  
#bf7;b77 7z add$ by p>agraph 7#a774  7b7

 ,securities  7#a7 ,9 g5]al ,section    
#ba;,f7b7 ( ! ,securities ,ex*ange ,act 
( #aicd 7#ae ,u4,s4,c4 #ghu-#f7;b77 is  
am5d$ by add+ at ! end ! foll[+3  7#c7  
,timely process+ ( claims  7,a7 ,initial
 disposition  7i7 ,9 g5]al ,except z    
provid$ 9 subp>agraph 7,b71 & subject to
 clause 7ii71 ! ,commission %all make an
 initial disposition ) respect to a     
claim submitt$ by a :i/lebl[] = an aw>d 
"u ?is section 7ref]r$ to 9 ?is p>agraph
 z an aw>d claim7 n lat] ?an #a ye> aft]
 ! deadl9e e/abli%$ by ! ,commission1 by
 rule1 = ! :i/lebl[] to file ! aw>d     
claim4  7ii7 ,multiple actions ,if a    
cov]$ judicial or adm9i/rative action   
involves #a or m relat$ actions1 !      
requirem5t "u clause 7i7 %all apply )   
respect to ! late/ deadl9e ) respect to 
! actions4  7,b7 ,exceptions  7i7       
,initial ext5sion ,if ! ,director ( !   
,division ( ,en=cem5t ( ! ,commission   
7ref]r$ to 9 ?is p>agraph z !           
,director71 or ! designee ( ! ,director1
 det]m9es t an aw>d claim is suffici5tly

 complex or involves m ?an #a :i/lebl[]1
 or if o!r good cause exi/s su* t !     
,commission _c reasonably satisfy !     
requirem5t "u subp>agraph 7,a71 !       
,director or ! designee1 z applicable1  
aft] provid+ notice to ! ,*airman ( !   
,commission 7ref]r$ to 9 ?is p>agraph z 
! ,*airman71 may ext5d ! deadl9e )      
respect to ! satisfaction ( t           
subp>agraph by n m ?an #ahj days4  7ii7 
,additional ext5sions ,if1 aft] provid+ 
an ext5sion "u clause 7i71 ! ,director1 
or ! designee ( ! ,director1 det]m9es t 
! ,commission _c reasonably satisfy !   
requirem5t "u subp>agraph 7,a7 ) respect
 to an aw>d claim1 z ext5d$ "u t clause1
 ! ,director or ! designee1 z           
applicable1 aft] provid+ notice to !    
,*airman1 may ext5d ! p]iod 9 :i* !     
,commission may satisfy subp>agraph 7,a7
 by #a additional #ahj-;day p]iod4      
7iii7 ,notice to :i/lebl[] requir$ ,if !
 ,director1 or ! designee ( ! ,director1
 ex]cises au?ority "u clause 7i7 or     
7ii71 ! ,director or ! designee1 z      

applicable1 %all submit to ! :i/lebl[]  
:o fil$ ! aw>d claim t is subject to t  
action by ! ,director or ! designee a   
writt5 notification ( t action by !     
,director or ! designee4  7,c7          
,applicability ,?is p>agraph %all apply 
only to an aw>d claim t is timely       
submitt$ "u a deadl9e e/abli%$ by !     
,commission aft] ! date ( enactm5t ( ?is
 p>agraph4  4  7#b7 ,rules ,!           
,securities & ,ex*ange ,commission may  
issue any rules t are necess>y to c>ry  
out p>agraph 7#c7 ( section #ba;,f7b7 ( 
! ,securities ,ex*ange ,act ( #aicd 7#ae
 ,u4,s4,c4 #ghu-#f7;b771 z add$ by      
p>agraph 7#a74  #d4 ,miscellane\s       
provisions  7a7 ,,cftc ,:i/lebl[]       
,program education initiatives  ,section
 #bc7;g77#b7 ( ! ,commodity ,ex*ange    
,act 7#g ,u4,s4,c4 #bf7;g77#b77 is      
am5d$-- 7#a7 9 subp>agraph 7,a71 by     
/rik+ & at ! end2  7#b7 9 subp>agraph   
7,b71 by /rik+ ! p]iod at ! end & ins]t+
 2 &2 &  7#c7 by add+ at ! end ! foll[+3
  7,c7 ! fund+ ( initiatives design$ to 

educate /akehold]s reg>d+ ! inc5tives & 
protections available "u ?is section1   
includ+ ! b5efits ( ^? inc5tives &      
protections4  4  7b7 ,deposits into     
,,cftc ,consum] ,protection ,fund       
,section #bc7;g77#c77;,a7 ( ! ,commodity
 ,ex*ange ,act 7#g ,u4,s4,c4            
#bf7;g77#c77;,a77 is am5d$ by /rik+     
#ajj1jjj1jjj & ins]t+ #aej1jjj1jjj4  7c7
 ,availability ( c]ta9 ,,cftc in=mation 
to gov]nm5t ag5cies ,section            
#bc7;h77#b77;,c7 ( ! ,commodity ,ex*ange
 ,act 7#g ,u4,s4,c4 #bf7;h77#b77;,c77 is
 am5d$--  7#a7 9 clause 7i7-- 7,a7 9    
subclause 7,,ii71 by /rik+ jurisdiction2
 & ins]t+ ! foll[+3 8jurisdiction1      
includ+--  7aa7 ! ,f$]al ,trade         
,commission2  7bb7 ! ,int]nal ,rev5ue   
,s]vice2 &  7cc7 ! ,dep>tm5t ( ,/ate2  2
 &  7,b7 9 subclause 7,,vi71 by ins]t+  
or o!r =eign law en=cem5t au?ority be=e 
! p]iod at ! end2 &  7#b7 9 clause      
7ii7-- 7,a7 by /rik+ ,ea* & ins]t+ !    
foll[+3  7,i7 ,9 g5]al ,ea*  2  7,b7 9  
subclause 7,i7 7z s designat$71 by      

ins]t+ subclauses 7,i7 ?r\gh 7,v7 ( be=e
 clause 7i72 &  7,c7 by add+ at ! end ! 
foll[+3  7,,ii7 ,=eign au?orities ,an   
entity describ$ 9 subclause 7,,vi7 (    
clause 7i7 %all ma9ta9 in=mation        
describ$ 9 t clause 9 accordance ) su*  
assurances ( confid5tiality z !         
,commission det]m9es appropriate4  4    
7d7 ,te*nical corrections  7#a7 ,review 
,section #bc7;f77#c7 ( ! ,commodity     
,ex*ange ,act 7#g ,u4,s4,c4 #bf7;f77#c77
 is am5d$ by /rik+ section #gjfd &      
ins]t+ section #gjf4  7#b7 ,exi/+       
commodities provision  7,a7 ,9 g5]al    
,section #ba;,f ( ! ,securities ,ex*ange
 ,act ( #aicd 7#ae ,u4,s4,c4 #ghu-#f7 is
 am5d$ by add+ at ! end ! foll[+3  7k7  
,non5=ceability ( c]ta9 provisions waiv+
 rights & rem$ies or requir+ arbitration
  7#a7 ,waiv] ( rights & rem$ies ,!     
rights & rem$ies provid$ 9 ?is section  
may n be waiv$ by any agreem5t1 policy  
=m1 or condition ( employm5t1 includ+ by
 a pr$ispute arbitration agreem5t4  7#b7
 ,pr$ispute arbitration agreem5t ,no    

pr$ispute arbitration agreem5t %all be  
valid or en=ceable if ! agreem5t        
requires ! arbitration ( a dispute aris+
 "u ?is section4  4  7,b7 ,applicability
 ,subsection 7k7 ( section #ba;,f ( !   
,securities ,ex*ange ,act ( #aicd 7#ae  
,u4,s4,c4 #ghu-#f71 z add$ by           
subp>agraph 7,a71 %all apply ) respect  
to any action t is fil$ on or aft]1 or t
 is p5d+ z (1 ! date ( enactm5t ( ?is   
,act4  7e7 ,cl>ifications reg>d+        
p]=mance evaluations = ! =eign s]vice   
,section #bcjb7;a77#b77viii7 ( title #e1
 ,unit$ ,/ates ,code1 is am5d$ by /rik+ 
or "u title #ch & ins]t+ 1 "u title #ch1
 or "u ! ,=eign ,s]vice ,act ( #aihj    
7#bb ,u4,s4,c4 #cija et seq474