U.S.C. Title 15 - COMMERCE AND TRADE 15 U.S.C. United States Code, 2024 Edition Title 15 - COMMERCE AND TRADE CHAPTER 2A - SECURITIES AND TRUST INDENTURES SUBCHAPTER III - TRUST INDENTURES Sec. 77yyy - Penalties From the U.S. Government Publishing Office, www.gpo.gov §77yyy. Penalties Any person who willfully violates any provision of this subchapter or any rule, regulation, or order thereunder, or any person who willfully, in any application, report, or document filed or required to be filed under the provisions of this subchapter or any rule, regulation, or order thereunder, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $10,000 or imprisoned not more than five years, or both. (May 27, 1933, ch. 38, title III, §325, as added Aug. 3, 1939, ch. 411, 53 Stat. 1177; amended Pub. L. 94–29, §27(d), June 4, 1975, 89 Stat. 163.) Editorial Notes Amendments 1975—Pub. L. 94–29 substituted "$10,000" for "$5,000". Statutory Notes and Related Subsidiaries Effective Date of 1975 Amendment Amendment by Pub. L. 94–29 effective June 4, 1975, see section 31(a) of Pub. L. 94–29, set out as a note under section 78b of this title.
15 U.S.C. § 77yyy
§77yyy. Penalties
Edition 2024