Browse Arkansas Code titles and sections
5 U.S.C. § 4802 — Securities and Exchange Commission
Federal law — U.S. Code and appendices · legal_authorities
**(a)** In this section, the term “Commission” means the Securities and Exchange Commission.
**(b)** The Commission may appoint and fix the compensation of such officers, attorneys, economists, examiners, and other employees as may be necessary for carrying out its functions under the securities laws as defined under 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)).
**(c)** Rates of basic pay for all employees of the Commission may be set and adjusted by the Commission without regard to the provisions of chapter 51 or subchapter III of chapter 53.
**(d)** The Commission may provide additional compensation and benefits to employees of the Commission if the same type of compensation or benefits are then being provided by any agency referred to under section 1206 of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 ([12 U.S.C. 1833b](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1833b&num=0&edition=prelim)) or, if not then being provided, could be provided by such an agency under applicable provisions of law, rule, or regulation. In setting and adjusting the total amount of compensation and benefits for employees, the Commission shall consult with, and seek to maintain comparability with, the agencies referred to under section 1206 of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 ([12 U.S.C. 1833b](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1833b&num=0&edition=prelim)).
**(e)** The Commission shall consult with the Office of Personnel Management in the implementation of this section.
**(f)** This section shall be administered consistent wi
Source: Supplied U.S. Code snapshot — release unconfirmed · 5 U.S.C. § 4802
Stored review status: release_metadata_unconfirmed. A text match is a research starting point; applicability is not established.
Original supplied file — preserved unchanged
Download original Markdown file
File SHA-256: 4c24835943779177a1ca5c684216a0a1a1c286689a73d75a78fbf8278b9d40da. The original may include catalog metadata, neighboring provisions, or embedded records outside this collection's scope. Search shows only the selected federal record. Historical editions and unverified snapshots are not a statement of current law.
Authority boundary: historical or unconfirmed source not current law verified.
Open the recorded source website ↗
Record provenance
Stable record: federal_law:legal_authorities:record_usc_b3a563a8f51e26e1d674d54f
Source file: Laws/federal/codes/united-states-code/title-5/section-4802-securities-and-exchange-commission--0262765f81.md
Pages: Not recorded – Not recorded
Passage SHA-256: cd2cdb74ec7cc0b9973591eab6c6fe5c985275b07e9458a6ad56a08857737b80
Source location: Title 5, Chapter 48, § 4802; chapter-048-agency-personnel-demonstration-project.md
Stored source content
**(a)** In this section, the term “Commission” means the Securities and Exchange Commission.
**(b)** The Commission may appoint and fix the compensation of such officers, attorneys, economists, examiners, and other employees as may be necessary for carrying out its functions under the securities laws as defined under 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)).
**(c)** Rates of basic pay for all employees of the Commission may be set and adjusted by the Commission without regard to the provisions of chapter 51 or subchapter III of chapter 53.
**(d)** The Commission may provide additional compensation and benefits to employees of the Commission if the same type of compensation or benefits are then being provided by any agency referred to under section 1206 of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 ([12 U.S.C. 1833b](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1833b&num=0&edition=prelim)) or, if not then being provided, could be provided by such an agency under applicable provisions of law, rule, or regulation. In setting and adjusting the total amount of compensation and benefits for employees, the Commission shall consult with, and seek to maintain comparability with, the agencies referred to under section 1206 of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 ([12 U.S.C. 1833b](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1833b&num=0&edition=prelim)).
**(e)** The Commission shall consult with the Office of Personnel Management in the implementation of this section.
**(f)** This section shall be administered consistent with merit system principles.
Cross-references
Connections may be documented source relationships, shared citations or nearby passages. Each explains its basis; a connection alone does not establish applicability to your situation.
Federal law — U.S. Code and appendices · legal_authorities
**(a) Federal Government Performance Plans.—** In carrying out the provisions of section 1105(a)(28), the Director of the Office of Management and Budget shall coordinate with agencies to develop the Federal Government performance plan. In addition to the submission of such plan with each budget of the United States Government, the Director of the Office of Management and Budget shall ensure that all information required by this subsection is concurrently made available on a website described in section 1122 and updated periodically, but no less than annually. The Federal Government performance plan shall—
(1) establish Federal Government performance goals to define the level of performance to be achieved during the year in which the plan is submitted and the next fiscal year for each of the Federal Government priority goals required under [section 1120(a) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title31-section1120/a&num=0&edition=prelim);
(2) identify the agencies, organizations, program activities, regulations, tax expenditures, policies, and other activities contributing to each Federal Government performance goal during the current fiscal year;
(3) for each Federal Government performance goal, identify, as appropriate, not fewer than 2 lead Government officials who shall jointly be responsible for coordinating the efforts to achieve the goal, of whom—
(A) not less than 1 shall be from the Executive Office of the President; and
(B) not less than 1 shall be from an agency identified as contributing to the Federal Government performance goal described in paragraph (2);
(4) establish common Federal Government performance indicators with quarterly targets to be used in measuring or assessing—
(A) overall progress toward ea
Source: Supplied U.S. Code snapshot — release unconfirmed · 31 U.S.C. § 1115
Stored review status: release_metadata_unconfirmed. Explicit cross-reference supplied in source Markdown; currentness and applicability require review.
Federal law — U.S. Code and appendices · legal_authorities
**(a) Recovery of costs of annual appropriation** The Commission shall, in accordance with this section, collect transaction fees and assessments that are designed to recover the costs to the Government of the annual appropriation to the Commission by Congress.
**(b) Exchange-traded securities** Subject to subsection (j), each national securities exchange shall pay to the Commission a fee at a rate equal to $15 11 See Adjustment of Transaction Fee Rate notes below. per $1,000,000 of the aggregate dollar amount of sales of securities (other than bonds, debentures, other evidences of indebtedness, security futures products, and options on securities indexes (excluding a narrow-based security index)) transacted on such national securities exchange.
**(c) Off-exchange trades of exchange registered and last-sale-reported securities** Subject to subsection (j), each national securities association shall pay to the Commission a fee at a rate equal to $15 1 per $1,000,000 of the aggregate dollar amount of sales transacted by or through any member of such association otherwise than on a national securities exchange of securities (other than bonds, debentures, other evidences of indebtedness, security futures products, and options on securities indexes (excluding a narrow-based security index)) registered on a national securities exchange or subject to prompt last sale reporting pursuant to the rules of the Commission or a registered national securities association.
**(d) Assessments on security futures transactions** Each national securities exchange and national securities association shall pay to the Commission an assessment equal to $0.009 for each round turn transaction (treated as including one purchase and one sale of a contract of sale for future delivery) on a securit
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78ee
Stored review status: release_metadata_unconfirmed. Explicit cross-reference supplied in source Markdown; currentness and applicability require review.
Federal law — U.S. Code and appendices · legal_authorities
**(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
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78c
Stored review status: release_metadata_unconfirmed. Explicit cross-reference supplied in source Markdown; currentness and applicability require review.
Federal law — U.S. Code and appendices · legal_authorities
**(a) In general** The Federal Deposit Insurance Corporation, the Comptroller of the Currency, the National Credit Union Administration Board, the Federal Housing Finance Agency, the Office of Financial Research, and the Bureau of Consumer Financial Protection, the 11 So in original. Probably should be “Research, the Bureau of Consumer Financial Protection, and the”. Farm Credit Administration, in establishing and adjusting schedules of compensation and benefits which are to be determined solely by each agency under applicable provisions of law, shall inform the heads of the other agencies and the Congress of such compensation and benefits and shall seek to maintain comparability regarding compensation and benefits.
**(b) Commodity Futures Trading Commission** In establishing and adjusting schedules of compensation and benefits for employees of the Commodity Futures Trading Commission under applicable provisions of law, the Commission shall—
(1) inform the heads of the agencies referred to in subsection (a) and Congress of such compensation and benefits; and
(2) seek to maintain comparability with those agencies regarding compensation and benefits.
Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 1833b
Stored review status: release_metadata_unconfirmed. Explicit cross-reference supplied in source Markdown; currentness and applicability require review.
Federal law — U.S. Code and appendices · legal_authorities
**(a) Establishment; composition; limitations on commissioners; terms of office** There is hereby established a Securities and Exchange Commission (hereinafter referred to as the “Commission”) to be composed of five commissioners to be appointed by the President by and with the advice and consent of the Senate. Not more than three of such commissioners shall be members of the same political party, and in making appointments members of different political parties shall be appointed alternately as nearly as may be practicable. No commissioner shall engage in any other business, vocation, or employment than that of serving as commissioner, nor shall any commissioner participate, directly or indirectly, in any stock-market operations or transactions of a character subject to regulation by the Commission pursuant to this chapter. Each commissioner shall hold office for a term of five years and until his successor is appointed and has qualified, except that he shall not so continue to serve beyond the expiration of the next session of Congress subsequent to the expiration of said fixed term of office, and except (1) any commissioner appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed shall be appointed for the remainder of such term, and (2) the terms of office of the commissioners first taking office after June 6, 1934, shall expire as designated by the President at the time of nomination, one at the end of one year, one at the end of two years, one at the end of three years, one at the end of four years, and one at the end of five years, after June 6, 1934.
**(b) Appointment and compensation of staff and leasing authority**
(1) **Appointment and compensation** — The Commission shall appoint and compensate offic
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78d
Stored review status: release_metadata_unconfirmed. Explicit cross-reference supplied in source Markdown; currentness and applicability require review.
Federal law — U.S. Code and appendices · legal_authorities
**(a)** The head of each agency shall make available on a public website of the agency and to the Office of Management and Budget an update on agency performance.
**(b)**
(1) Each update shall compare actual performance achieved with the performance goals established in the agency performance plan under section 1115(b) and shall occur not later than 150 days after the end of each fiscal year, with more frequent updates of actual performance on indicators that provide data of significant value to the Government, Congress, or program partners at a reasonable level of administrative burden.
(2) If performance goals are specified in an alternative form under section 1115(c), the results shall be described in relation to such specifications, including whether the performance failed to meet the criteria of a minimally effective or successful program.
**(c)** Each update shall—
(1) review the success of achieving the performance goals and include actual results for the 5 preceding fiscal years;
(2) evaluate the performance plan for the current fiscal year relative to the performance achieved toward the performance goals during the period covered by the update;
(3) explain and describe where a performance goal has not been met (including when a program activity’s performance is determined not to have met the criteria of a successful program activity under section 1115(c)(1)(A)(ii) or a corresponding level of achievement if another alternative form is used)—
(A) why the goal was not met;
(B) those plans and schedules for achieving the established performance goal; and
(C) if the performance goal is impractical or infeasible, why that is the case and what action is recommended;
(4) describe the use and assess the effectiveness in achieving performance goals of an
Source: Supplied U.S. Code snapshot — release unconfirmed · 31 U.S.C. § 1116
Stored review status: release_metadata_unconfirmed. Explicit cross-reference supplied in source Markdown; currentness and applicability require review.
Federal law — U.S. Code and appendices · legal_authorities
This chapter may be cited as the “Securities Exchange Act of 1934.”
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78a
Stored review status: release_metadata_unconfirmed. Incoming connection: Explicit cross-reference supplied in source Markdown; currentness and applicability require review.
Federal law — U.S. Code and appendices · legal_authorities
Page 1203
TITLE 12—BANKS AND BANKING
§ 1833b
1 So in original. Probably should be ‘‘Research, the Bureau of
Consumer Financial Protection, and the’’.
under this section, the Attorney General
may—
(A) administer oaths and affirmations;
(B) take evidence; and
(C) by subpoena, summon witnesses and re-
quire the production of any books, papers,
correspondence,
memoranda,
or
other
records which the Attorney General deems
relevant or material to the inquiry. Such
subpoena may require the attendance of wit-
nesses and the production of any such
records from any place in the United States
at any place in the United States designated
by the Attorney General.
(2) Procedures applicable
The same procedures and limitations as are
provided with respect to civil investigative de-
mands in subsections (g), (h), and (j) of section
1968 of title 18 apply with respect to a sub-
poena issued under this subsection. Process re-
quired by such subsections to be served upon
the custodian shall be served on the Attorney
General. Failure to comply with an order of
the court to enforce such subpoena shall be
punishable as contempt.
(3) Limitation
In the case of a subpoena for which the re-
turn date is less than 5 days after the date of
service, no person shall be found in contempt
for failure to comply by the return date if such
person files a petition under paragraph (2) not
later than 5 days after the date of service.
(h) Statute of limitations
A civil action under this section may not be
commenced later than 10 years after the cause
of action accrues.
(Pub. L. 101–73, title IX, § 951, Aug. 9, 1989, 103
Stat. 498; Pub. L. 101–647, title XXV, §§ 2533,
2596(d), Nov. 29, 1990, 104 Stat. 4882, 4908; Pub. L.
103–322, title XXXIII, § 330003(g), Sept. 13, 1994,
Source: Supplied 2024 U.S. Code historical extraction · 12 U.S.C. § 1833b
Stored review status: historical_2024_not_currentness_verified. The source passage cites 12 U.S.C. § 1833b. This identifies an authority to review, not proof of applicability.
Federal law — U.S. Code and appendices · legal_authorities
Page 207
TITLE 15—COMMERCE AND TRADE
§ 78c
submit to Congress an interim report twelve months
after Oct. 26, 1974, and not later than one and one-half
years after Oct. 26, 1974, a full and complete report of
the findings made under the study authorized, together
with such recommendations as they considered appro-
priate.
Executive Documents
EX. ORD. NO. 12631. WORKING GROUP ON FINANCIAL
MARKETS
Ex. Ord. No. 12631, Mar. 18, 1988, 53 F.R. 9421, provided:
By virtue of the authority vested in me as President
by the Constitution and laws of the United States of
America, and in order to establish a Working Group on
Financial Markets, it is hereby ordered as follows:
SECTION 1. Establishment. (a) There is hereby estab-
lished a Working Group on Financial Markets (Working
Group). The Working Group shall be composed of:
(1) the Secretary of the Treasury, or his designee;
(2) the Chairman of the Board of Governors of the
Federal Reserve System, or his designee;
(3) the Chairman of the Securities and Exchange
Commission, or his designee; and
(4) the Chairman of the Commodity Futures Trading
Commission, or her designee.
(b) The Secretary of the Treasury, or his designee,
shall be the Chairman of the Working Group.
SEC. 2. Purposes and Functions. (a) Recognizing the
goals of enhancing the integrity, efficiency, orderli-
ness, and competitiveness of our Nation’s financial
markets and maintaining investor confidence, the
Working Group shall identify and consider:
(1) the major issues raised by the numerous studies
on the events in the financial markets surrounding Oc-
tober 19, 1987, and any of those recommendations that
have the potential to achieve the goals noted above;
and
(2) the actions, including governmental actions under
existing laws and regu
Source: Supplied 2024 U.S. Code historical extraction · 15 U.S.C. § 78c
Stored review status: historical_2024_not_currentness_verified. The source passage cites 15 U.S.C. § 78c. This identifies an authority to review, not proof of applicability.
Federal law — U.S. Code and appendices · legal_authorities
Page 499
TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES
§ 4802
to as the Federal Employee Viewpoint Survey,
and performance management for employees;
and
(3) a comparison of the items listed in (1)
and (2) with employees not covered by the
demonstration project.
(Added Pub. L. 95–454, title VI, § 601(a), Oct. 13,
1978, 92 Stat. 1186; amended Pub. L. 115–232, div.
A, title XI, § 1106, Aug. 13, 2018, 132 Stat. 2001.)
Editorial Notes
AMENDMENTS
2018—Subsec. (d)(2). Pub. L. 115–232, § 1106(1), added
par. (2) and struck out former par. (2) which read as fol-
lows: ‘‘Not more than 10 active demonstration projects
may be in effect at any time.’’
Subsec. (j). Pub. L. 115–232, § 1106(2), added subsec. (j).
Statutory Notes and Related Subsidiaries
CHANGE OF NAME
Committee on Oversight and Government Reform of
House of Representatives changed to Committee on
Oversight and Reform of House of Representatives by
House Resolution No. 6, One Hundred Sixteenth Con-
gress, Jan. 9, 2019. Committee on Oversight and Reform
of House of Representatives changed to Committee on
Oversight and Accountability of House of Representa-
tives by House Resolution No. 5, One Hundred Eight-
eenth Congress, Jan. 9, 2023.
EFFECTIVE DATE
Section effective 90 days after Oct. 13, 1978, see sec-
tion 907 of Pub. L. 95–454, set out as an Effective Date
of 1978 Amendment note under section 1101 of this title.
AUTHORITY OF EXPORT-IMPORT BANK TO CONDUCT
DEMONSTRATION PROGRAM
Pub. L. 104–97, § 2, Jan. 11, 1996, 109 Stat. 984, provided
that: ‘‘Notwithstanding section 4701(a)(1)(A) of title 5,
United States Code, the Export-Import Bank of the
United States may conduct a demonstration project in
accordance with section 4703 of such title.’’
§ 4704. Allocation of funds
Funds appropriated to
Source: Supplied 2024 U.S. Code historical extraction · 5 U.S.C. § 4802
Stored review status: historical_2024_not_currentness_verified. Same stored citation; legal effect and authority still require review.