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Code · BILL · 113th Congress · S. 286 (Introduced in Senate) — To enhance civil penalties under the Federal securities laws, and for other purposes. · Sec. 4

Sec. 4. Violations of injunctions and bars

685 words·~3 min read·/bill/113/s/286/is/section-4

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Section 20(d) of the Securities Act of 1933 (15 U.S.C. 77t(d)) is amended— in paragraph (1), by inserting after the rules or regulations thereunder, the following: a Federal court injunction or a bar obtained or entered by the Commission under this title, ; and by amending paragraph
(4)to read as follows: Each separate violation of an injunction or order described in subparagraph
(B)shall be a separate offense, except that in the case of a violation through a continuing failure to comply with such injunction or order, each day of the failure to comply with the injunction or order shall be deemed a separate offense. Subparagraph
(A)shall apply with respect to any action to enforce— a Federal court injunction obtained pursuant to this title; an order entered or obtained by the Commission pursuant to this title that bars, suspends, places limitations on the activities or functions of, or prohibits the activities of, a person; or a cease-and-desist order entered by the Commission pursuant to section 8A. . Section 21(d)(3) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78u(d)(3) ) is amended— in subparagraph (A), by inserting after the rules or regulations thereunder, the following: a Federal court injunction or a bar obtained or entered by the Commission under this title, ; and by amending subparagraph
(D)to read as follows: Each separate violation of an injunction or order described in clause
(ii)shall be a separate offense, except that in the case of a violation through a continuing failure to comply with such injunction or order, each day of the failure to comply with the injunction or order shall be deemed a separate offense. Clause
(i)shall apply with respect to an action to enforce— a Federal court injunction obtained pursuant to this title; an order entered or obtained by the Commission pursuant to this title that bars, suspends, places limitations on the activities or functions of, or prohibits the activities of, a person; or a cease-and-desist order entered by the Commission pursuant to section 21C. . Section 42(e) of the Investment Company Act of 1940 ( 15 U.S.C. 80a–41(e) ) is amended— in paragraph (1), by inserting after the rules or regulations thereunder, the following: a Federal court injunction or a bar obtained or entered by the Commission under this title, ; and by amending paragraph
(4)to read as follows: Each separate violation of an injunction or order described in subparagraph
(B)shall be a separate offense, except that in the case of a violation through a continuing failure to comply with such injunction or order, each day of the failure to comply with the injunction or order shall be deemed a separate offense. Subparagraph
(A)shall apply with respect to any action to enforce— a Federal court injunction obtained pursuant to this title; an order entered or obtained by the Commission pursuant to this title that bars, suspends, places limitations on the activities or functions of, or prohibits the activities of, a person; or a cease-and-desist order entered by the Commission pursuant to section 9(f). . Section 209(e) of the Investment Advisers Act of 1940 ( 15 U.S.C. 80b–9(e) ) is amended— in paragraph (1), by inserting after the rules or regulations thereunder, the following: a Federal court injunction or a bar obtained or entered by the Commission under this title, ; and by amending paragraph
(4)to read as follows: Each separate violation of an injunction or order described in subparagraph
(B)shall be a separate offense, except that in the case of a violation through a continuing failure to comply with such injunction or order, each day of the failure to comply with the injunction or order shall be deemed a separate offense. Subparagraph
(A)shall apply with respect to any action to enforce— a Federal court injunction obtained pursuant to this title; an order entered or obtained by the Commission pursuant to this title that bars, suspends, places limitations on the activities or functions of, or prohibits the activities of, a person; or a cease-and-desist order entered by the Commission pursuant to section 203(k). .
Connectionstraces to 2
2 references not yet in our index
  • 15 USC 80a–41(e)
  • 15 USC 80b–9(e)
Citation graph
cites case law
Sec. 4
Violations of injunctions and bars
U.S.C.§ 77t
U.S.C.§ 78u
Cite15 USC 80a–41(e)
Cite15 USC 80b–9(e)
Cites 4Cited by 0 across 0 sources
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