15 U.S.C. 78u: Investigations and actions

2021

• Pub. L. 116–283, §6501(a)(1)(A), substituted "Civil money penalties and authority to seek disgorgement" for "Money Penalties in Civil Actions" in heading. Amendment was executed to reflect the probable intent of Congress due to minor errors in formatting of quoted text. (William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021) Law text · (d)
• Pub. L. 116–283, §6501(a)(1)(B), substituted "jurisdiction to—" and cls. (i) and (ii) for "jurisdiction to impose, upon a proper showing, a civil penalty to be paid by the person who committed such violation." (William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021) Law text · (d)
• Pub. L. 116–283, §6501(a)(1)(C)(i), substituted "a civil penalty imposed under subparagraph (A)(i)" for "the penalty" in first sentence. (William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021) Law text · (d)
• Pub. L. 116–283, §6501(a)(1)(C)(ii), substituted "amount of a civil penalty imposed under subparagraph (A)(i)" for "amount of penalty". (William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021) Law text · (d)
• Pub. L. 116–283, §6501(a)(1)(C)(iii), substituted "amount of a civil penalty imposed under subparagraph (A)(i) for each violation described in that subparagraph" for "amount of penalty for each such violation" in introductory provisions. (William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021) Law text · (d)
• Pub. L. 116–283, §6501(a)(2), inserted "under paragraph (7)" after "funds disgorged". (William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021) Law text · (d)
• Pub. L. 116–283, §6501(a)(3), added pars. (7) to (9). (William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021) Law text · (d)

2015

• Pub. L. 114–113 struck out par. (6) which read as follows: "The Commission shall compile an annual tabulation of the occasions on which the Commission used each separate subparagraph or clause of paragraph (2) of this subsection or the provisions of the Right to Financial Privacy Ac… (Consolidated Appropriations Act, 2016) Law text · (h)

2010

• Pub. L. 111–203, §929F(g)(2), in first sentence, substituted ", a person associated with such a firm, or, as to any act, practice, or omission to act, while associated with such firm, a person formerly associated with such a firm" for "or a person associated with such a firm". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §929F(c), (d), in first sentence, inserted ", or, as to any act or practice, or omission to act, while associated with a member, formerly associated" after "member or a person associated" and "or, as to any act or practice, or omission to act, while a participant, was a participant… (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (a)
• Pub. L. 111–203, §923(b)(1), inserted "and section 78u–6 of this title" after "section 7246 of this title". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (d)
• Pub. L. 111–203, §986(a)(3), struck out "section 18(c) of the Public Utility Holding Company Act of 1935," after "section 21(b) of the Securities Exchange Act of 1934,". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (h)

2002

• Pub. L. 107–204, §3(b)(2)(A), inserted "the rules of the Public Company Accounting Oversight Board, of which such person is a registered public accounting firm or a person associated with such a firm," after "is a participant,". (Sarbanes-Oxley Act of 2002) Law text · (a)
• Pub. L. 107–204, §3(b)(2)(B), inserted "the rules of the Public Company Accounting Oversight Board, of which such person is a registered public accounting firm or a person associated with such a firm," after "is a participant,". (Sarbanes-Oxley Act of 2002) Law text · (d)
• Pub. L. 107–204, §305(a)(1), substituted "unfitness" for "substantial unfitness". (Sarbanes-Oxley Act of 2002) Law text · (d)
• Pub. L. 107–204, §308(d)(1), inserted ", except as otherwise provided in section 7246 of this title" before period at end. (Sarbanes-Oxley Act of 2002) Law text · (d)
• Pub. L. 107–204, §305(b), added par. (5). (Sarbanes-Oxley Act of 2002) Law text · (d)
• Pub. L. 107–204, §603(a), added par. (6). (Sarbanes-Oxley Act of 2002) Law text · (d)
• Pub. L. 107–204, §3(b)(2)(C), inserted "the rules of the Public Company Accounting Oversight Board, of which such person is a registered public accounting firm or a person associated with such a firm," after "is a participant,". (Sarbanes-Oxley Act of 2002) Law text · (e)
• Pub. L. 107–204, §3(b)(2)(D), inserted "or the Public Company Accounting Oversight Board" after "self-regulatory organization" in two places. (Sarbanes-Oxley Act of 2002) Law text · (f)

2000

• Pub. L. 106–554 added subsec. (i). (Consolidated Appropriations Act, 2001) Law text · (i)

1995

• Pub. L. 104–67 added par. (4). Law text · (d)

1990

• Pub. L. 101–429 designated existing provision as par. (1) and added pars. (2) and (3). · (d)

1988

• Pub. L. 100–704, §6(b), designated existing provisions as par. (1) and added par. (2). · (a)
• Pub. L. 100–704, §3(a)(1), redesignated par. (1) as entire subsec. (d) and struck out par. (2) which provided civil penalties for purchasing or selling securities while in possession of material nonpublic information. · (d)

1987

• Pub. L. 100–181, §323(1), substituted "Whenever" for "Wherever". · (d)
• Pub. L. 100–181, §323(2), struck out ", the United States District Court for the District of Columbia," after "the district courts of the United States". · (e)
• Pub. L. 100–181, §323(3), struck out "The term 'securities laws' as used herein and in subsection (h) of this section includes the Securities Act of 1933 (15 U.S.C. 77a et seq.), the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.), the Public Utility Holding Company Act of 1935… · (g)

1984

• Pub. L. 98–376 designated existing provisions as par. (1) and added par. (2). · (d)

1980

• Pub. L. 96–433, §4, inserted "and in subsection (h) of this section." · (g)
• Pub. L. 96–433, §3, added subsec. (h). · (h)

1975

• Pub. L. 94–29, §17(1), expanded the Commission's power to conduct investigations to include violations of the rules of a national securities exchange, registered securities association, registered clearing agency, or the Municipal Securities Rulemaking Board. · (a)
• Pub. L. 94–29, §17(2), redesignated subsec. (e) as (d) and amended it generally, substituting "has engaged, is engaged, or is about to engage" for "is engaged or about to engage", "any provision" for "the provisions", "the rules or regulations" for "or of any rule or regulation", and "… · (d)
• Pub. L. 94–29, §17(2), redesignated subsec. (f) as (e) and amended it generally, substituting "mandamus, injunctions, and orders commanding (1) any person to comply with the provisions of this chapter, the rules, regulations, and orders thereunder, the rules of a national securities ex… · (e)
• Pub. L. 94–29, §17(3), added subsecs. (f) and (g). Former subsec. (f) redesignated (e). · (f), (g)

1970

• Pub. L. 91–452 struck out subsec. (d) which related to immunity from prosecution of any individual compelled to testify or produce evidence, documentary or otherwise, after claiming his privilege against self-incrimination. · (d)