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15 U.S.C. § 78m–2 — Reporting requirements regarding coal or other mine safety

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

15 U.S.C. § 78m–2 — Reporting requirements regarding coal or other mine safety

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Source file: Laws/federal/codes/united-states-code/title-15/section-78m2-reporting-requirements-regarding-coal-or-other-mine-safety--3217a3f69b.md
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Source location: Title 15, Chapter 2B, § 78m–2; chapter-2b-securities-exchanges.md

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**(a) Reporting mine safety information** Each issuer that is required to file reports pursuant to section 13(a) or 15(d) of the Securities Exchange Act of 1934 [[15 U.S.C. 78m(a)](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section78m/a&num=0&edition=prelim), 78o(d)] and that is an operator, or that has a subsidiary that is an operator, of a coal or other mine shall include, in each periodic report filed with the Commission under the securities laws on or after July 21, 2010, the following information for the time period covered by such report: (1) For each coal or other mine of which the issuer or a subsidiary of the issuer is an operator— (A) the total number of violations of mandatory health or safety standards that could significantly and substantially contribute to the cause and effect of a coal or other mine safety or health hazard under section 104 of the Federal Mine Safety and Health Act of 1977 ([30 U.S.C. 814](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section814&num=0&edition=prelim)) for which the operator received a citation from the Mine Safety and Health Administration; (B) the total number of orders issued under section 104(b) of such Act ([30 U.S.C. 814(b)](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section814/b&num=0&edition=prelim)); (C) the total number of citations and orders for unwarrantable failure of the mine operator to comply with mandatory health or safety standards under section 104(d) of such Act ([30 U.S.C. 814(d)](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section814/d&num=0&edition=prelim)); (D) the total number of flagrant violations under section 110(b)(2) of such Act ([30 U.S.C. 820(b)(2)](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section820/b/2&num=0&edition=prelim)); (E) the total number of imminent danger orders issued under section 107(a) of such Act ([30 U.S.C. 817(a)](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section817/a&num=0&edition=prelim)); (F) the total dollar value of proposed assessments from the Mine Safety and Health Administration under such Act ([30 U.S.C. 801](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section801&num=0&edition=prelim) et seq.); and (G) the total number of mining-related fatalities. (2) A list of such coal or other mines, of which the issuer or a subsidiary of the issuer is an operator, that receive written notice from the Mine Safety and Health Administration of— (A) a pattern of violations of mandatory health or safety standards that are of such nature as could have significantly and substantially contributed to the cause and effect of coal or other mine health or safety hazards under section 104(e) of such Act ([30 U.S.C. 814(e)](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section814/e&num=0&edition=prelim)); or (B) the potential to have such a pattern. (3) Any pending legal action before the Federal Mine Safety and Health Review Commission involving such coal or other mine. **(b) Reporting shutdowns and patterns of violations** Beginning on and after July 21, 2010, each issuer that is an operator, or that has a subsidiary that is an operator, of a coal or other mine shall file a current report with the Commission on Form 8–K (or any successor form) disclosing the following regarding each coal or other mine of which the issuer or subsidiary is an operator: (1) The receipt of an imminent danger order issued under section 107(a) of the Federal Mine Safety and Health Act of 1977 ([30 U.S.C. 817(a)](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section817/a&num=0&edition=prelim)). (2) The receipt of written notice from the Mine Safety and Health Administration that the coal or other mine has— (A) a pattern of violations of mandatory health or safety standards that are of such nature as could have significantly and substantially contributed to the cause and effect of coal or other mine health or safety hazards under section 104(e) of such Act ([30 U.S.C. 814(e)](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section814/e&num=0&edition=prelim)); or (B) the potential to have such a pattern. **(c) Rule of construction** Nothing in this section shall be construed to affect any obligation of a person to make a disclosure under any other applicable law in effect before, on, or after July 21, 2010. **(d) Commission authority** (1) **Enforcement** — A violation by any person of this section, or any rule or regulation of the Commission issued under this section, shall be treated for all purposes in the same manner as a violation of the Securities Exchange Act of 1934 ([15 U.S.C. 78a](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section78a&num=0&edition=prelim) et seq.) or the rules and regulations issued thereunder, consistent with the provisions of this section, and any such person shall be subject to the same penalties, and to the same extent, as for a violation of such Act or the rules or regulations issued thereunder. (2) **Rules and regulations** — The Commission is authorized to issue such rules or regulations as are necessary or appropriate for the protection of investors and to carry out the purposes of this section. **(e) Definitions** In this section— (1) the terms “issuer” and “securities laws” have the meaning given the terms in section 3 of the Securities Exchange Act of 1934 ([15 U.S.C. 78c](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section78c&num=0&edition=prelim)); (2) the term “coal or other mine” means a coal or other mine, as defined in section 3 of the Federal Mine Safety and Health Act of 1977 ([30 U.S.C. 802](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section802&num=0&edition=prelim)), that is subject to the provisions of such Act ([30 U.S.C. 801](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section801&num=0&edition=prelim) et seq.); and (3) the term “operator” has the meaning given the term in section 3 of the Federal Mine Safety and Health Act of 1977 ([30 U.S.C. 802](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title30-section802&num=0&edition=prelim)). **(f) Effective date** This section shall take effect on the day that is 30 days after July 21, 2010.

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

30 U.S.C. § 802 — Scholarships

**(a) Establishment** The Secretary of Education (referred to in this section as the “Secretary”), in consultation with the Secretary of Labor and the Secretary of Health and Human Services, shall establish a program to provide scholarships to eligible individuals to increase the skilled workforce for both private sector coal mine operators and mine safety inspectors and other regulatory personnel for the Mine Safety and Health Administration. **(b) Fundamental skills scholarships** (1) **In general** — Under the program under subsection (a), the Secretary may award scholarship to fully or partially pay the tuition costs of eligible individuals enrolled in 2-year associate’s degree programs at community colleges or other colleges and universities that focus on providing the fundamental skills and training that is of immediate use to a beginning coal miner. (2) **Skills** — The skills described in paragraph (1) shall include basic math, basic health and safety, business principles, management and supervisory skills, skills related to electric circuitry, skills related to heavy equipment operations, and skills related to communications. (3) **Eligibility** — To be eligible to receive a scholarship under this subsection an individual shall— (A) have a high school diploma or a GED; (B) have at least 2 years experience in full-time employment in mining or mining-related activities; (C) submit to the Secretary an application at such time, in such manner, and containing such information; and (D) demonstrate an interest in working in the field of mining and performing an internship with the Mine Safety and Health Administration or the National Institute for Occupational Safety and Health Office of Mine Safety. **(c) Mine safety inspector scholarships** (1) **I

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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. § 78a — Short title

This chapter may be cited as the “Securities Exchange Act of 1934.”

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15 U.S.C. § 78c — Definitions and application

**(a) Definitions** When used in this chapter, unless the context otherwise requires— (1) The term “exchange” means any organization, association, or group of persons, whether incorporated or unincorporated, which constitutes, maintains, or provides a market place or facilities for bringing together purchasers and sellers of securities or for otherwise performing with respect to securities the functions commonly performed by a stock exchange as that term is generally understood, and includes the market place and the market facilities maintained by such exchange. (2) The term “facility” when used with respect to an exchange includes its premises, tangible or intangible property whether on the premises or not, any right to the use of such premises or property or any service thereof for the purpose of effecting or reporting a transaction on an exchange (including, among other things, any system of communication to or from the exchange, by ticker or otherwise, maintained by or with the consent of the exchange), and any right of the exchange to the use of any property or service. (3) (A) The term “member” when used with respect to a national securities exchange means (i) any natural person permitted to effect transactions on the floor of the exchange without the services of another person acting as broker, (ii) any registered broker or dealer with which such a natural person is associated, (iii) any registered broker or dealer permitted to designate as a representative such a natural person, and (iv) any other registered broker or dealer which agrees to be regulated by such exchange and with respect to which the exchange undertakes to enforce compliance with the provisions of this chapter, the rules and regulations thereunder, and its own rules. For purposes of section

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

30 U.S.C. § 801 — Technical Study Panel

**(a) Establishment** There is established a Technical Study Panel (referred to in this section as the “Panel”) which shall provide independent scientific and engineering review and recommendations with respect to the utilization of belt air and the composition and fire retardant properties of belt materials in underground coal mining. **(b) Membership** The Panel shall be composed of— (1) two individuals to be appointed by the Secretary of Health and Human Services, in consultation with the Director of the National Institute for Occupational Safety and Health and the Associate Director of the Office of Mine Safety; (2) two individuals to be appointed by the Secretary of Labor, in consultation with the Assistant Secretary for Mine Safety and Health; and (3) two individuals, one to be appointed jointly by the majority leaders of the Senate and House of Representatives and one to be appointed jointly by the minority leader of the Senate and House of Representatives, each to be appointed prior to the sine die adjournment of the second session of the 109th Congress. **(c) Qualifications** Four of the six individuals appointed to the Panel under subsection (b) shall possess a masters or doctoral level degree in mining engineering or another scientific field demonstrably related to the subject of the report. No individual appointed to the Panel shall be an employee of any coal or other mine, or of any labor organization, or of any State or Federal agency primarily responsible for regulating the mining industry. **(d) Report** (1) **In general** — Not later than 1 year after the date on which all members of the Panel are appointed under subsection (b), the Panel shall prepare and submit to the Secretary of Labor, the Secretary of Health and Human Services, the Committee

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

30 U.S.C. § 814 — Interim Compliance Panel

**(a) Establishment; composition** There is hereby established the Interim Compliance Panel, which shall be composed of five members as follows: (1) Assistant Secretary of Labor for Labor Standards, Department of Labor, or his delegate; (2) Director of the National Institute of Standards and Technology, Department of Commerce, or his delegate; (3) Administrator of Consumer Protection and Environmental Health Service, Department of Health and Human Services, or his delegate; (4) Director of the United States Bureau of Mines, Department of the Interior, or his delegate; and (5) Director of the National Science Foundation, or his delegate. **(b) Compensation; travel and subsistence expenses** Members of the Panel shall serve without compensation in addition to that received in their regular employment, but shall be entitled to reimbursement for travel, subsistence, and other necessary expenses incurred by them in the performance of duties vested in the Panel. **(c) Cooperation of Federal agencies** Notwithstanding any other provision of law, the Secretary of Health and Human Services, the Secretary of Commerce, the Secretary of the Interior, and the Secretary shall, upon request of the Panel, provide the Panel such personnel and other assistance as the Panel determines necessary to enable it to carry out its functions under this chapter. **(d) Quorum; voting; selection of chairman** Three members of the Panel shall constitute a quorum for doing business. All decisions of the Panel shall be by majority vote. The chairman of the Panel shall be selected by the members from among the membership thereof. **(e) Appointment of administrative law judges; provisions applicable** The Panel is authorized to appoint as many administrative law judges as are necessary for proce

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

15 U.S.C. § 78m — Periodical and other reports

**(a) Reports by issuer of security; contents** Every issuer of a security registered pursuant to section 78l of this title shall file with the Commission, in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate for the proper protection of investors and to insure fair dealing in the security— (1) such information and documents (and such copies thereof) as the Commission shall require to keep reasonably current the information and documents required to be included in or filed with an application or registration statement filed pursuant to section 78l of this title, except that the Commission may not require the filing of any material contract wholly executed before July 1, 1962. (2) such annual reports (and such copies thereof), certified if required by the rules and regulations of the Commission by independent public accountants, and such quarterly reports (and such copies thereof), as the Commission may prescribe. Every issuer of a security registered on a national securities exchange shall also file a duplicate original of such information, documents, and reports with the exchange. In any registration statement, periodic report, or other reports to be filed with the Commission, an emerging growth company need not present selected financial data in accordance with section 229.301 of title 17, Code of Federal Regulations, for any period prior to the earliest audited period presented in connection with its first registration statement that became effective under this chapter or the Securities Act of 1933 [[15 U.S.C. 77a](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77a&num=0&edition=prelim) et seq.] and, with respect to any such statement or reports, an emerging growth company may not be

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

15 U.S.C. § 78m — Periodical and other reports

Page 292 TITLE 15—COMMERCE AND TRADE § 78l–1 Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2010 AMENDMENT Amendment by section 986(a)(2) of Pub. L. 111–203 ef- fective 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. Amendment by section 376(2) of Pub. L. 111–203 effec- tive on the transfer date, see section 351 of Pub. L. 111–203, set out as a note under section 906 of Title 2, The Congress. EFFECTIVE DATE OF 2004 AMENDMENT Amendment by Pub. L. 108–386 effective Oct. 30, 2004, and, except as otherwise provided, applicable with re- spect to fiscal year 2005 and each succeeding fiscal year, see sections 8(i) and 9 of Pub. L. 108–386, set out as notes under section 321 of Title 12, Banks and Bank- ing. EFFECTIVE DATE OF 1995 AMENDMENT Amendment by Pub. L. 104–62 applicable as defense to any claim in administrative and judicial actions pend- ing on or commenced after Dec. 8, 1995, that any person, security, interest, or participation of type described in Pub. L. 104–62 is subject to the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, or any State statute or regulation preempted as provided in section 80a–3a of this title, except as spe- cifically provided in such statutes, see section 7 of Pub. L. 104–62, set out as a note under section 77c of this title. 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. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91–547 effective Dec. 14, 1970, see section 3

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

30 U.S.C. § 801 — Congressional findings and declaration of

Page 126 TITLE 30—MINERAL LANDS AND MINING § 801 Sec. 824. Authorization of appropriations. 825. Mandatory health and safety training. 826. Limitation on certain liability for rescue op- erations. SUBCHAPTER II—INTERIM MANDATORY HEALTH STANDARDS 841. Mandatory health standards for underground mines; enforcement; review; purpose. 842. Dust concentration and respiratory equip- ment. 843. Medical examinations. 844. Rock dust and gas hazards; controls. 845. Dust standards in presence of quartz. 846. Noise standards; promulgation of new stand- ards; tests; procedures; protective devices. SUBCHAPTER III—INTERIM MANDATORY SAFETY STANDARDS FOR UNDERGROUND COAL MINES 861. Mandatory safety standards for underground mines. 862. Roof support. 863. Ventilation. 864. Combustible materials and rock dusting. 865. Electrical equipment. 866. Trailing cables. 867. Grounding of equipment. 868. Underground high-voltage distribution. 869. Underground low- and medium-voltage alter- nating current circuits. 870. Trolley wires and trolley feeder wires. 871. Fire protection. 872. Maps. 873. Blasting and explosives. 874. Hoisting and mantrips. 875. Emergency shelters; construction; contents; implementation plans. 876. Communication facilities; locations and emergency response plans. 877. General safety provisions. 878. Definitions. SUBCHAPTER IV—BLACK LUNG BENEFITS PART A—GENERAL PROVISIONS 901. Congressional findings and declaration of pur- pose; short title. 902. Definitions. 903. Field offices. 904. Repealed. PART B—CLAIMS FOR BENEFITS FILED ON OR BEFORE DECEMBER 31, 1973 921. Regulations and presumptions. 922. Payment of benefits. 923. Filing of notice of claim. 924. Time for filing claims. 924a. Repealed.

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

30 U.S.C. § 814 — Citations and orders

Page 137 TITLE 30—MINERAL LANDS AND MINING § 814 Secretary thereof and shall take appropriate measures to prevent the destruction of any evi- dence which would assist in investigating the cause or causes thereof. For purposes of the pre- ceding sentence, the notification required shall be provided by the operator within 15 minutes of the time at which the operator realizes that the death of an individual at the mine, or an injury or entrapment of an individual at the mine which has a reasonable potential to cause death, has occurred. In the event of any accident occur- ring in a coal or other mine, where rescue and recovery work is necessary, the Secretary or an authorized representative of the Secretary shall take whatever action he deems appropriate to protect the life of any person, and he may, if he deems it appropriate, supervise and direct the rescue and recovery activities in such mine. (k) Safety orders; recovery plans In the event of any accident occurring in a coal or other mine, an authorized representative of the Secretary, when present, may issue such orders as he deems appropriate to insure the safety of any person in the coal or other mine, and the operator of such mine shall obtain the approval of such representative, in consultation with appropriate State representatives, when feasible, of any plan to recover any person in such mine or to recover the coal or other mine or return affected areas of such mine to normal. (Pub. L. 91–173, title I, § 103, Dec. 30, 1969, 83 Stat. 749; Pub. L. 95–164, title II, § 201, Nov. 9, 1977, 91 Stat. 1297; Pub. L. 96–88, title V, § 509(b), Oct. 17, 1979, 93 Stat. 695; Pub. L. 109–236, § 5(a), June 15, 2006, 120 Stat. 498.) Editorial Notes REFERENCES IN TEXT This chapter, referred to in su

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