Browse Arkansas Code titles and sections
18 U.S.C. § 1347 — Health care fraud
Federal law — U.S. Code and appendices · legal_authorities
Page 366
TITLE 18—CRIMES AND CRIMINAL PROCEDURE
§ 1346
1 So in original. Probably should be ‘‘of’’.
Pub. L. 101–647, § 3542, which directed insertion of a
comma after ‘‘of this title’’, was repealed by Pub. L.
103–322, § 330011(k).
1988—Pub. L. 100–690 inserted ‘‘or of section 287, 371
(insofar as such violation involves a conspiracy to de-
fraud the United States or any agency thereof), or 1001
of this title’’ after ‘‘violation of this chapter,’’.
Statutory Notes and Related Subsidiaries
EFFECTIVE DATE OF 1994 AMENDMENT
Pub. L. 103–322, title XXXIII, § 330011(k), Sept. 13, 1994,
108 Stat. 2145, provided that the amendment made by
that section is effective Nov. 29, 1990.
§ 1346. Definition of ‘‘scheme or artifice to de-
fraud’’
For the purposes of this chapter, the term
‘‘scheme or artifice to defraud’’ includes a
scheme or artifice to deprive another of the in-
tangible right of honest services.
(Added Pub. L. 100–690, title VII, § 7603(a), Nov.
18, 1988, 102 Stat. 4508.)
§ 1347. Health care fraud
(a) Whoever knowingly and willfully executes,
or attempts to execute, a scheme or artifice—
(1) to defraud any health care benefit pro-
gram; or
(2) to obtain, by means of false or fraudulent
pretenses, representations, or promises, any of
the money or property owned by, or under the
custody or control of, any health care benefit
program,
in connection with the delivery of or payment
for health care benefits, items, or services, shall
be fined under this title or imprisoned not more
than 10 years, or both. If the violation results in
serious bodily injury (as defined in section 1365
of this title), such person shall be fined under
this title or imprisoned not more than 20 years,
or both; and if the violation results in death,
such person shall b
Source: Supplied 2024 U.S. Code historical extraction · 18 U.S.C. § 1347
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Source file: Laws/federal/codes/united-states-code-2024/title-18/section-1347-health-care-fraud--60c832f69d.md
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Page 366
TITLE 18—CRIMES AND CRIMINAL PROCEDURE
§ 1346
1 So in original. Probably should be ‘‘of’’.
Pub. L. 101–647, § 3542, which directed insertion of a
comma after ‘‘of this title’’, was repealed by Pub. L.
103–322, § 330011(k).
1988—Pub. L. 100–690 inserted ‘‘or of section 287, 371
(insofar as such violation involves a conspiracy to de-
fraud the United States or any agency thereof), or 1001
of this title’’ after ‘‘violation of this chapter,’’.
Statutory Notes and Related Subsidiaries
EFFECTIVE DATE OF 1994 AMENDMENT
Pub. L. 103–322, title XXXIII, § 330011(k), Sept. 13, 1994,
108 Stat. 2145, provided that the amendment made by
that section is effective Nov. 29, 1990.
§ 1346. Definition of ‘‘scheme or artifice to de-
fraud’’
For the purposes of this chapter, the term
‘‘scheme or artifice to defraud’’ includes a
scheme or artifice to deprive another of the in-
tangible right of honest services.
(Added Pub. L. 100–690, title VII, § 7603(a), Nov.
18, 1988, 102 Stat. 4508.)
§ 1347. Health care fraud
(a) Whoever knowingly and willfully executes,
or attempts to execute, a scheme or artifice—
(1) to defraud any health care benefit pro-
gram; or
(2) to obtain, by means of false or fraudulent
pretenses, representations, or promises, any of
the money or property owned by, or under the
custody or control of, any health care benefit
program,
in connection with the delivery of or payment
for health care benefits, items, or services, shall
be fined under this title or imprisoned not more
than 10 years, or both. If the violation results in
serious bodily injury (as defined in section 1365
of this title), such person shall be fined under
this title or imprisoned not more than 20 years,
or both; and if the violation results in death,
such person shall be fined under this title, or
imprisoned for any term of years or for life, or
both.
(b) With respect to violations of this section,
a person need not have actual knowledge of this
section or specific intent to commit a violation
of this section.
(Added Pub. L. 104–191, title II, § 242(a)(1), Aug.
21, 1996, 110 Stat. 2016; amended Pub. L. 111–148,
title X, § 10606(b), Mar. 23, 2010, 124 Stat. 1008.)
Editorial Notes
AMENDMENTS
2010—Pub. L. 111–148 designated existing provisions as
subsec. (a) and added subsec. (b).
§ 1348. Securities and commodities fraud
Whoever knowingly executes, or attempts to
execute, a scheme or artifice—
(1) to defraud any person in connection with
any commodity for future delivery, or any op-
tion on a commodity for future delivery, or
any security of an issuer with a class of securi-
ties registered under section 12 of the Securi-
ties Exchange Act of 1934 (15 U.S.C. 78l) or that
is required to file reports under section 15(d) of
the Securities Exchange Act of 1934 (15 U.S.C.
78o(d)); or
(2) to obtain, by means of false or fraudulent
pretenses, representations, or promises, any
money or property in connection with the pur-
chase or sale of any commodity for future de-
livery, or any option on a commodity for fu-
ture delivery, or any security of an issuer with
a class of securities registered under section 12
of the Securities Exchange Act of 1934 (15
U.S.C. 78l) or that is required to file reports
under section 15(d) of the Securities Exchange
Act of 1934 (15 U.S.C. 78o(d));
shall be fined under this title, or imprisoned not
more than 25 years, or both.
(Added Pub. L. 107–204, title VIII, § 807(a), July
30, 2002, 116 Stat. 804; amended Pub. L. 111–21,
§ 2(e)(1), May 20, 2009, 123 Stat. 1618.)
Editorial Notes
AMENDMENTS
2009—Pub. L. 111–21, § 2(e)(1)(A), inserted ‘‘and com-
modities’’ before ‘‘fraud’’ in section catchline.
Pars. (1), (2). Pub. L. 111–21, § 2(e)(1)(B), (C), inserted
‘‘any commodity for future delivery, or any option on
a commodity for future delivery, or’’ before ‘‘any secu-
rity’’.
§ 1349. Attempt and conspiracy
Any person who attempts or conspires to com-
mit any offense under this chapter shall be sub-
ject to the same penalties as those prescribed
for the offense, the commission of which was the
object of the attempt or conspiracy.
(Added Pub. L. 107–204, title IX, § 902(a), July 30,
2002, 116 Stat. 805.)
§ 1350. Failure of corporate officers to certify fi-
nancial reports
(a) CERTIFICATION OF PERIODIC FINANCIAL RE-
PORTS.—Each periodic report containing finan-
cial statements filed by an issuer with the Secu-
rities Exchange Commission pursuant to section
13(a) or 15(d) of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a) or 78o(d)) shall be accom-
panied by a written statement by the chief exec-
utive officer and chief financial officer (or equiv-
alent thereof) of the issuer.
(b) CONTENT.—The statement required under
subsection (a) shall certify that the periodic re-
port containing the financial statements fully
complies with the requirements of section 13(a)
or 15(d) of the Securities Exchange Act pf 1 1934
(15 U.S.C. 78m or 78o(d)) and that information
contained in the periodic report fairly presents,
in all material respects, the financial condition
and results of operations of the issuer.
(c) CRIMINAL PENALTIES.—Whoever—
(1) certifies any statement as set forth in
subsections (a) and (b) of this section knowing
that the periodic report accompanying the
statement does not comport with all the re-
quirements set forth in this section shall be
fined not more than $1,000,000 or imprisoned
not more than 10 years, or both; or
(2) willfully certifies any statement as set
forth in subsections (a) and (b) of this section
knowing that the periodic report accom-
panying the statement does not comport with
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Federal law — U.S. Code and appendices · legal_authorities
**(a) General requirement of registration** It shall be unlawful for any member, broker, or dealer to effect any transaction in any security (other than an exempted security) on a national securities exchange unless a registration is effective as to such security for such exchange in accordance with the provisions of this chapter and the rules and regulations thereunder. The provisions of this subsection shall not apply in respect of a security futures product traded on a national securities exchange.
**(b) Procedure for registration; information** A security may be registered on a national securities exchange by the issuer filing an application with the exchange (and filing with the Commission such duplicate originals thereof as the Commission may require), which application shall contain—
(1) Such information, in such detail, as to the issuer and any person directly or indirectly controlling or controlled by, or under direct or indirect common control with, the issuer, and any guarantor of the security as to principal or interest or both, as the Commission may by rules and regulations require, as necessary or appropriate in the public interest or for the protection of investors, in respect of the following:
(A) the organization, financial structure, and nature of the business;
(B) the terms, position, rights, and privileges of the different classes of securities outstanding;
(C) the terms on which their securities are to be, and during the preceding three years have been, offered to the public or otherwise;
(D) the directors, officers, and underwriters, and each security holder of record holding more than 10 per centum of any class of any equity security of the issuer (other than an exempted security), their remuneration and their interests in the securi
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78l
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Federal law — U.S. Code and appendices · legal_authorities
Page 283
TITLE 15—COMMERCE AND TRADE
§ 78l
(e) National markets system for security futures
products
(1) Consultation and cooperation required
With respect to security futures products,
the Commission and the Commodity Futures
Trading Commission shall consult and cooper-
ate so that, to the maximum extent prac-
ticable, their respective regulatory respon-
sibilities may be fulfilled and the rules and
regulations applicable to security futures
products may foster a national market system
for security futures products if the Commis-
sion and the Commodity Futures Trading
Commission jointly determine that such a sys-
tem would be consistent with the congres-
sional findings in subsection (a)(1). In accord-
ance with this objective, the Commission
shall, at least 15 days prior to the issuance for
public comment of any proposed rule or regu-
lation under this section concerning security
futures products, consult and request the
views of the Commodity Futures Trading
Commission.
(2) Application of rules by order of CFTC
No rule adopted pursuant to this section
shall be applied to any person with respect to
the trading of security futures products on an
exchange that is registered under section
78f(g) of this title unless the Commodity Fu-
tures Trading Commission has issued an order
directing that such rule is applicable to such
persons.
(June 6, 1934, ch. 404, title I, § 11A, as added Pub.
L. 94–29, § 7, June 4, 1975, 89 Stat. 111; amended
Pub. L. 98–620, title IV, § 402(14), Nov. 8, 1984, 98
Stat. 3358; Pub. L. 100–181, title III, §§ 313, 314,
Dec. 4, 1987, 101 Stat. 1256; Pub. L. 106–554,
§ 1(a)(5) [title II, § 206(c)], Dec. 21, 2000, 114 Stat.
2763, 2763A–430; Pub. L. 112–106, title I, § 106(b),
Apr. 5, 2012, 126 Stat. 312; Pub. L. 117–286,
Source: Supplied 2024 U.S. Code historical extraction · 15 U.S.C. § 78l
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Federal law — U.S. Code and appendices · legal_authorities
**(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
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78m
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Federal law — U.S. Code and appendices · legal_authorities
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
Source: Supplied 2024 U.S. Code historical extraction · 15 U.S.C. § 78m
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Registration of all persons utilizing exchange facilities to effect transactions; exemptions**
(1) It shall be unlawful for any broker or dealer which is either a person other than a natural person or a natural person not associated with a broker or dealer which is a person other than a natural person (other than such a broker or dealer whose business is exclusively intrastate and who does not make use of any facility of a national securities exchange) to make use of the mails or any means or instrumentality of interstate commerce to effect any transactions in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers’ acceptances, or commercial bills) unless such broker or dealer is registered in accordance with subsection (b) of this section.
(2) The Commission, by rule or order, as it deems consistent with the public interest and the protection of investors, may conditionally or unconditionally exempt from paragraph (1) of this subsection any broker or dealer or class of brokers or dealers specified in such rule or order.
**(b) Manner of registration of brokers and dealers**
(1) A broker or dealer may be registered by filing with the Commission an application for registration in such form and containing such information and documents concerning such broker or dealer and any persons associated with such broker or dealer as the Commission, by rule, may prescribe as necessary or appropriate in the public interest or for the protection of investors. Within forty-five days of the date of the filing of such application (or within such longer period as to which the applicant consents), the Commission shall—
(A) by order grant registration, or
(B) institute proceedings to determine wh
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78o
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Federal law — U.S. Code and appendices · legal_authorities
Page 320
TITLE 15—COMMERCE AND TRADE
§ 78o
translated as meaning the date of enactment of Pub. L.
111–203, which enacted this section, to reflect the prob-
able intent of Congress.
Statutory Notes and Related Subsidiaries
EFFECTIVE DATE
Section effective 1 day after July 21, 2010, except as
otherwise provided, see section 4 of Pub. L. 111–203, set
out as a note under section 5301 of Title 12, Banks and
Banking.
§ 78o. Registration and regulation of brokers and
dealers
(a) Registration of all persons utilizing exchange
facilities to effect transactions; exemptions
(1) It shall be unlawful for any broker or deal-
er which is either a person other than a natural
person or a natural person not associated with a
broker or dealer which is a person other than a
natural person (other than such a broker or
dealer whose business is exclusively intrastate
and who does not make use of any facility of a
national securities exchange) to make use of the
mails or any means or instrumentality of inter-
state commerce to effect any transactions in, or
to induce or attempt to induce the purchase or
sale of, any security (other than an exempted se-
curity or commercial paper, bankers’ accept-
ances, or commercial bills) unless such broker
or dealer is registered in accordance with sub-
section (b) of this section.
(2) The Commission, by rule or order, as it
deems consistent with the public interest and
the protection of investors, may conditionally
or unconditionally exempt from paragraph (1) of
this subsection any broker or dealer or class of
brokers or dealers specified in such rule or
order.
(b) Manner of registration of brokers and dealers
(1) A broker or dealer may be registered by fil-
ing with the Commission an application for reg-
istration in such fo
Source: Supplied 2024 U.S. Code historical extraction · 15 U.S.C. § 78o
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Federal law — U.S. Code and appendices · legal_authorities
**(a)** Whoever knowingly and willfully executes, or attempts to execute, a scheme or artifice—
(1) to defraud any health care benefit program; or
(2) to obtain, by means of false or fraudulent pretenses, representations, or promises, any of the money or property owned by, or under the custody or control of, any health care benefit program,
in connection with the delivery of or payment for health care benefits, items, or services, shall be fined under this title or imprisoned not more than 10 years, or both. If the violation results in serious bodily injury (as defined in [section 1365 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section1365&num=0&edition=prelim)), such person shall be fined under this title or imprisoned not more than 20 years, or both; and if the violation results in death, such person shall be fined under this title, or imprisoned for any term of years or for life, or both.
**(b)** With respect to violations of this section, a person need not have actual knowledge of this section or specific intent to commit a violation of this section.
Source: Supplied U.S. Code snapshot — release unconfirmed · 18 U.S.C. § 1347
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