Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4 |
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Page 27
... PENALTY.— ( A ) FIRST TIER . - The amount of the penalty s determined by the court in light of the facts a cumstances . For each violation , the amount of the shall not exceed the greater of ( i ) $ 5,000 for a natur son or $ 50,000 for ...
... PENALTY.— ( A ) FIRST TIER . - The amount of the penalty s determined by the court in light of the facts a cumstances . For each violation , the amount of the shall not exceed the greater of ( i ) $ 5,000 for a natur son or $ 50,000 for ...
Page 28
... PENALTY TO TREASURY . — A penalty osed under this section shall be payable into the Treas- of the United States . ( B ) COLLECTION OF PENALTIES . - If a person upon › m such a penalty is imposed shall fail to pay such pen- within the ...
... PENALTY TO TREASURY . — A penalty osed under this section shall be payable into the Treas- of the United States . ( B ) COLLECTION OF PENALTIES . - If a person upon › m such a penalty is imposed shall fail to pay such pen- within the ...
Page 29
... penalty e Treas upon ב ch pen- er , the General appro- orized - other is en- ection ctions OF A --and- ction arate con- f the ce of ERV- sub- ally , ine , g as reg- c of of DEC . 24. [ TV ] ( a ) ine district courts of the United S ...
... penalty e Treas upon ב ch pen- er , the General appro- orized - other is en- ection ctions OF A --and- ction arate con- f the ce of ERV- sub- ally , ine , g as reg- c of of DEC . 24. [ TV ] ( a ) ine district courts of the United S ...
Page 75
... penalties provided violations of rules and regulations prescribed under this title . provisions of sections 21 and 25 of this title shall apply in the c of any such proceeding or order of the Federal Reserve Board1 the same manner as ...
... penalties provided violations of rules and regulations prescribed under this title . provisions of sections 21 and 25 of this title shall apply in the c of any such proceeding or order of the Federal Reserve Board1 the same manner as ...
Page 141
... penalty against such municipal securities dealer or such associated person pursuant to section 21B of this title ; and ( ii ) consult with such appropriate regulatory agency concerning the ef- fect of such proposed action on sound ...
... penalty against such municipal securities dealer or such associated person pursuant to section 21B of this title ; and ( ii ) consult with such appropriate regulatory agency concerning the ef- fect of such proposed action on sound ...
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Common terms and phrases
action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor deemed determines director effect employee enforcement exempt face-amount certificate company Federal Reserve System filed foreign government securities broker government securities dealer holding company indenture securities investment adviser issuer istered jurisdiction limited partnership ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment penalty penny stocks person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder request respect rities rule or regulation rules and regulations secu Securities Act self-regulatory organization sion SIPC specified spect subparagraph subsection term thereof tion transaction transfer agent trustee underwriter unit investment trust United States Code unlawful violation