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15 U.S.C. § 80a–48 — Penalties
Federal law — U.S. Code and appendices · legal_authorities
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.
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 80a–48
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Source file: Laws/federal/codes/united-states-code/title-15/section-80a48-penalties--c9caf1a879.md
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Passage SHA-256: 3184e522291d44dc970813ddd4c91246e3e7cb62c0cf82f746f458c30a069b73
Source location: Title 15, Chapter 2D, § 80a–48; chapter-2d-investment-companies-and-advisers.md
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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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Federal law — U.S. Code and appendices · legal_authorities
For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are effected with a national public interest which makes it necessary to provide for regulation and control of such transactions and of practices and matters related thereto, including transactions by officers, directors, and principal security holders, to require appropriate reports, to remove impediments to and perfect the mechanisms of a national market system for securities and a national system for the clearance and settlement of securities transactions and the safeguarding of securities and funds related thereto, and to impose requirements necessary to make such regulation and control reasonably complete and effective, in order to protect interstate commerce, the national credit, the Federal taxing power, to protect and make more effective the national banking system and Federal Reserve System, and to insure the maintenance of fair and honest markets in such transactions:
(1) Such transactions (a) are carried on in large volume by the public generally and in large part originate outside the States in which the exchanges and over-the-counter markets are located and/or are effected by means of the mails and instrumentalities of interstate commerce; (b) constitute an important part of the current of interstate commerce; (c) involve in large part the securities of issuers engaged in interstate commerce; (d) involve the use of credit, directly affect the financing of trade, industry, and transportation in interstate commerce, and directly affect and influence the volume of interstate commerce; and affect the national credit.
(2) The prices established and offered in such transactions are generally disseminated and quoted thro
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78b
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Federal law — U.S. Code and appendices · legal_authorities
**(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.
Source: Supplied U.S. Code snapshot — release unconfirmed · 18 U.S.C. § 3301
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