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18 U.S.C. § 3301 — Securities fraud offenses

Federal law — U.S. Code and appendices · legal_authorities

18 U.S.C. § 3301 — Securities fraud offenses

**(a) Definition.—** In this section, the term “securities fraud offense” means a violation of, or a conspiracy or an attempt to violate— (1) section 1348; (2) section 32(a) of the Securities Exchange Act of 1934 ([15 U.S.C. 78ff(a)](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section78ff/a&num=0&edition=prelim)); (3) section 24 of the Securities Act of 1933 ([15 U.S.C. 77x](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77x&num=0&edition=prelim)); (4) section 217 of the Investment Advisers Act of 1940 ([15 U.S.C. 80b–17](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section80b–17&num=0&edition=prelim)); (5) section 49 of the Investment Company Act of 1940 ([15 U.S.C. 80a–48](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section80a–48&num=0&edition=prelim)); or (6) section 325 of the Trust Indenture Act of 1939 ([15 U.S.C. 77yyy](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77yyy&num=0&edition=prelim)). **(b) Limitation.—** No person shall be prosecuted, tried, or punished for a securities fraud offense, unless the indictment is found or the information is instituted within 6 years after the commission of the offense.

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Source location: Title 18, Chapter 213, § 3301; chapter-213-limitations.md

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Federal law — U.S. Code and appendices · legal_authorities

12 U.S.C. § 5301 — Regulations

**(a) In general** The Secretary is authorized to promulgate regulations to implement and administer the grant programs and undertakings authorized by this subchapter. **(b) Regulatory authority** Regulations prescribed under this section may contain such classifications, differentiations, or other provisions, and may provide for such adjustments and exceptions for any class of grant programs, undertakings, or eligible entities, as, in the judgment of the Secretary, are necessary or proper to effectuate the purposes of this subchapter, to prevent circumvention or evasion of this subchapter, or to facilitate compliance with this subchapter.

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15 U.S.C. § 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.

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15 U.S.C. § 80a–48 — Penalties

Any person who willfully violates any provision of this subchapter or of any rule, regulation, or order hereunder, or any person who willfully in any registration statement, application, report, account, record, or other document filed or transmitted pursuant to this subchapter or the keeping of which is required pursuant to [section 80a–30(a) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section80a–30/a&num=0&edition=prelim) makes any untrue statement of a material fact or omits to state any material fact necessary in order to prevent the statements made therein from being materially misleading in the light of the circumstances under which they were made, shall upon conviction be fined not more than $10,000 or imprisoned not more than five years, or both; but no person shall be convicted under this section for the violation of any rule, regulation, or order if he proves that he had no actual knowledge of such rule, regulation, or order.

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15 U.S.C. § 80b–17 — Penalties

Any person who willfully violates any provision of this subchapter, or any rule, regulation, or order promulgated by the Commission under authority thereof, shall, upon conviction, be fined not more than $10,000, imprisoned for not more than five years, or both.

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15 U.S.C. § 77x — Penalties

Any person who willfully violates any of the provisions of this subchapter, or the rules and regulations promulgated by the Commission under authority thereof, or any person who willfully, in a registration statement filed under this subchapter, 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.

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15 U.S.C. § 77x — Penalties

Page 165 TITLE 15—COMMERCE AND TRADE § 77z–1 Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2010 AMENDMENT Amendment by Pub. L. 111–203 effective 1 day after July 21, 2010, except as otherwise provided, see section 4 of Pub. L. 111–203, set out as an Effective Date note under section 5301 of Title 12, Banks and Banking. EFFECTIVE DATE OF 1998 AMENDMENT Amendment by Pub. L. 105–353 not to affect or apply to any action commenced before and pending on Nov. 3, 1998, see section 101(c) of Pub. L. 105–353, set out as a note under section 77p of this title. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91–452 effective on sixtieth day following Oct. 15, 1970, see section 260 of Pub. L. 91–452, set out as an Effective Date; Savings Provision note under section 6001 of Title 18, Crimes and Criminal Procedure. EFFECTIVE DATE OF 1954 AMENDMENT Amendment by act Aug. 10, 1954, effective 60 days after Aug. 10, 1954, see note under section 77b of this title. SAVINGS PROVISION Amendment by Pub. L. 91–452 not to affect any immu- nity to which any individual is entitled under this sec- tion by reason of any testimony given before the six- tieth day following Oct. 15, 1970, see section 260 of Pub. L. 91–452, set out as an Effective Date; Savings Provi- sion note under section 6001 of Title 18, Crimes and Criminal Procedure. Executive Documents TRANSFER OF FUNCTIONS For transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, §§ 1, 2, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1265, set out under section 78d of this title. § 77w. Unlawful representations Neither the fact that the registration state- ment for a security has been filed or is in effec

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15 U.S.C. § 77yyy — Penalties

Page 200 TITLE 15—COMMERCE AND TRADE § 77www eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1265, set out under section 78d of this title. § 77www. Liability for misleading statements (a) Any person who shall make or cause to be made any statement in any application, report, or document filed with the Commission pursu- ant to any provisions of this subchapter, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact, or who shall omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall be liable to any person (not knowing that such statement was false or misleading or of such omission) who, in reliance upon such state- ment or omission, shall have purchased or sold a security issued under the indenture to which such application, report, or document relates, for damages caused by such reliance, unless the person sued shall prove that he acted in good faith and had no knowledge that such statement was false or misleading or of such omission. A person seeking to enforce such liability may sue at law or in equity in any court of competent ju- risdiction. In any such suit the court may, in its discretion, require an undertaking for the pay- ment of the costs of such suit and assess reason- able costs, including reasonable attorneys’ fees, against either party litigant, having due regard to the merits and good faith of the suit or de- fense. No action shall be maintained to enforce any liability created under this section unless brought within one year after the discovery of the facts constituting the cause of action and within three years after

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15 U.S.C. § 78ff — Penalties

**(a) Willful violations; false and misleading statements** Any person who willfully violates any provision of this chapter (other than [section 78dd–1 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section78dd-1&num=0&edition=prelim)), or any rule or regulation thereunder the violation of which is made unlawful or the observance of which is required under the terms of this chapter, or any person who willfully and knowingly makes, or causes to be made, any statement in any application, report, or document required to be filed under this chapter or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of section 78o of this title, or by any self-regulatory organization in connection with an application for membership or participation therein or to become associated with a member thereof which statement was false or misleading with respect to any material fact, shall upon conviction be fined not more than $5,000,000, or imprisoned not more than 20 years, or both, except that when such person is a person other than a natural person, a fine not exceeding $25,000,000 may be imposed; but no person shall be subject to imprisonment under this section for the violation of any rule or regulation if he proves that he had no knowledge of such rule or regulation. **(b) Failure to file information, documents, or reports** Any issuer which fails to file information, documents, or reports required to be filed under subsection (d) of section 78o of this title or any rule or regulation thereunder shall forfeit to the United States the sum of $100 for each and every day such failure to file shall continue. Such forfeiture, which shall be in lieu of any criminal penalty for such failure

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15 U.S.C. § 78ff — Penalties

Page 469 TITLE 15—COMMERCE AND TRADE § 78ff investment companies, retirement programs, and others; ‘‘(2) consider the impact on different types of inves- tors, such as individual equity holders, individual in- vestment company shareholders, businesses, and other types of investors; ‘‘(3) include in the interpretation of the term ‘in- vestor’ shareholders of entities subject to the fee re- ductions; and ‘‘(4) consider the economic benefits to investors flowing from the fee reductions to include such fac- tors as market efficiency, expansion of investment opportunities, and enhanced liquidity and capital for- mation. ‘‘(c) REPORT TO CONGRESS.—Not later than 2 years after the date of the enactment of this Act [Jan. 16, 2002], the Securities and Exchange Commission shall submit to the Congress the report prepared by the Of- fice on the findings of the study conducted under sub- section (a).’’ FEES FROM NATIONAL SECURITIES ASSOCIATIONS FOR MEMBER TRANSACTIONS OTHER THAN ON NATIONAL SECURITIES EXCHANGES Pub. L. 104–208, div. A, title I, § 101(a) [title V], Sept. 30, 1996, 110 Stat. 3009, 3009–61, provided in part: ‘‘That effective January 1, 1997, every national securities asso- ciation shall pay to the Commission a fee at a rate of one-three-hundredth of one percentum of the aggregate dollar amount of sales transacted by or through any member of such association otherwise than on a na- tional securities exchange (other than bonds, deben- tures, and other evidences of indebtedness) subject to prompt last sale reporting pursuant to the rules of the Commission or a registered national securities associa- tion, excluding any sales for which a fee is paid under section 31 of the Securities Exchange Act of 1934 (15 U.S.C. 78ee), and such increase shall be d

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Federal law — U.S. Code and appendices · legal_authorities

18 U.S.C. § 3301 — Securities fraud offenses

Page 761 TITLE 18—CRIMES AND CRIMINAL PROCEDURE § 3321 1 So in original. Probably should be ‘‘sections’’. Editorial Notes AMENDMENTS 2006—Pub. L. 109–162 struck out ‘‘except for a felony offense under chapter 109A,’’ before ‘‘no statute of limi- tations’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE Pub. L. 108–405, title II, § 204(c), Oct. 30, 2004, 118 Stat. 2271, provided that: ‘‘The amendments made by this section [enacting this section] shall apply to the pros- ecution of any offense committed before, on, or after the date of the enactment of this section [Oct. 30, 2004] if the applicable limitation period has not yet expired.’’ § 3298. Trafficking-related offenses No person shall be prosecuted, tried, or pun- ished for any non-capital offense or conspiracy to commit a non-capital offense under section 1581 (Peonage; Obstructing Enforcement), 1583 (Enticement into Slavery), 1584 (Sale into Invol- untary Servitude), 1589 (Forced Labor), 1590 (Trafficking with Respect to Peonage, Slavery, Involuntary Servitude, or Forced Labor), or 1592 (Unlawful Conduct with Respect to Documents in furtherance of Trafficking, Peonage, Slavery, Involuntary Servitude, or Forced Labor) of this title or under section 274(a) of the Immigration and Nationality Act unless the indictment is found or the information is instituted not later than 10 years after the commission of the of- fense. (Added Pub. L. 109–162, title XI, § 1182(a), Jan. 5, 2006, 119 Stat. 3126.) Editorial Notes REFERENCES IN TEXT Section 274(a) of the Immigration and Nationality Act, referred to in text, is classified to section 1324(a) of Title 8, Aliens and Nationality. § 3299. Child abduction and sex offenses Notwithstanding any other law, an indictment may be found or an in

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