CITE

    15 USC Sec. 80b-17                                          01/05/2009

EXPCITE

    TITLE 15 - COMMERCE AND TRADE
    CHAPTER 2D - INVESTMENT COMPANIES AND ADVISERS
    SUBCHAPTER II - INVESTMENT ADVISERS

HEAD

    Sec. 80b-17. Penalties

STATUTE

      Any person who willfully violates any provision of this
    subchapter, or any rule, regulation, or order promulgated by the
    Commission under authority thereof, shall, upon conviction, be
    fined not more than $10,000, imprisoned for not more than five
    years, or both.

SOURCE

    (Aug. 22, 1940, ch. 686, title II, Sec. 217, 54 Stat. 857; Pub. L.
    86-750, Sec. 15, Sept. 13, 1960, 74 Stat. 888; Pub. L. 94-29, Sec.
    27(f), June 4, 1975, 89 Stat. 163.)

AMENDMENTS

      1975 - Pub. L. 94-29 substituted "imprisoned for not more than
    five years" for "imprisoned for not more than two years".
      1960 - Pub. L. 86-750 inserted ", or any rule, regulation or
    order promulgated by the Commission under authority thereof,".
                     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.
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