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15 U.S.C. 78u-3: Cease-and-desist proceedings

Created in 1990 by Public Law 101-429. Changed by 2 later laws. No bill we track in this Congress changes it.

4 parts of federal rules cite it as their authority, written by Securities and Exchange Commission (2), Comptroller of the Currency, Department of the Treasury (1), Federal Deposit Insurance Corporation (1).

How it got hereLaws that created or changed it, newest first

2010Dodd-Frank Wall Street Reform and Consumer Protection Act

2002Sarbanes-Oxley Act of 2002

1990Pub. L. 101-429added it

15 U.S.C. 78u-3Cease-and-desist proceedings

(a)Authority of Commission

(b)Hearing

(c)Temporary order

(d)Review of temporary orders

(e)Authority to enter order requiring accounting and disgorgement

(f)Authority of the Commission to prohibit persons from serving as officers or directors

This CongressBills that change it or would

None we track

past change
enacted this Congress
proposed

This Congress

No bill we track in the 119th Congress changes this section.

How it got here

2010

Pub. L. 111–203 substituted "Paragraph (1)" for "paragraph (1) subsection". (Dodd-Frank Wall Street Reform and Consumer Protection Act) Law text · (c)

2002

Pub. L. 107–204, §1103(b), substituted "paragraph (1)" for "This". (Sarbanes-Oxley Act of 2002) Law text · (c)
Pub. L. 107–204, §3(b)(3), inserted "registered public accounting firm (as defined in section 7201 of this title)," after "government securities dealer,". (Sarbanes-Oxley Act of 2002) Law text · (c)
Pub. L. 107–204, §1103(a), added par. (3). (Sarbanes-Oxley Act of 2002) Law text · (c)
Pub. L. 107–204, §1105(a), added subsec. (f). (Sarbanes-Oxley Act of 2002) Law text · (f)

Text, outline and history from the official U.S. Code (2024 edition) on GovInfo, published by the Office of the Law Revision Counsel. Changes made after that edition appear under This Congress.