15 U.S.C 78s – Registration, responsibilities and oversight of self-regulatory organizations

US Code

Title 15 - United States Code - Commerce and Trade Chapter 2B - Securities Exchanges §78s. Registration, responsibilities, and oversight of self-regulatory organizations [optional link to  www.govinfo.gov  - details of statute history and downloads] [optional link to  www.govinfo.gov  - text of statute] [optional link to www.govinfo.gov - pdf of statute] [derived from Section 19 of the Securities Exchange Act of 1934, and SEC time limits in 78s(b)(2)]   (a) Registration procedures; notice of filing; other regulatory agencies (1) The Commission shall, upon the filing of an application for... Read More

28 U.S.C. 2466 – Fugitive disentitlement

US Code

Title 28 - United States Code - Judicial Procedure Part VI - Proceedings Chapter 163 - Fines, Penalties and Forfeitures Sec. 2466. Fugitive disentitlement [optional link to  www.govinfo.gov  - details of statute history and downloads] [optional link to  www.govinfo.gov  - text of statute] [optional link to www.govinfo.gov - pdf of statute] (a) A judicial officer may disallow a person from using the resources of the courts of the United States in furtherance of a claim in any related civil forfeiture action or a claim in third... Read More

15 USC 77b – Securities Act of 1933 – Definitions; promotion of efficiency, competition, and capital formation

US Code

Title 15 - United States Code - Commerce and Trade Chapter 2A - Securities and Trust Indentures (§§77a - 77bbbb) Subchapter I - Domestic Securities Sec. 77b. Definitions; promotion of efficiency, competition, and capital formation Derived from Section 2 of the Securities Act of 1933. (a) Definitions When used in this subchapter, unless the context otherwise requires— (1) The term "security" means any note, stock, treasury stock, security future, security-based swap, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust... Read More

CCPA – Consumer Credit Protection Act of 1968

Cybersecurity, US Code

CCPA - Consumer Credit Protection (Truth in Lending) Act of 1968, Pub. L. No. 90-231 “An Act … To safeguard the consumer in connection with the utilization of credit by requiring full disclosure of the terms and conditions of finance charges in credit transactions or in offers to extend credit; by restricting the garnishment of wages; and by creating the National Commission on Consumer Finance to study and make recommendations on the need for further regulation of the consumer finance... Read More

Federal Rules of Criminal Procedure – Rule 7 Indictment Information

US Code

US Federal Rules of Criminal Procedure Title III The Grand Jury Rule 7. The Indictment and the Information a) When Used. (1) Felony. An offense (other than criminal contempt) must be prosecuted by an indictment if it is punishable: (A) by death; or (B) by imprisonment for more than one year. (2) Misdemeanor. An offense punishable by imprisonment for one year or less may be prosecuted in accordance with Rule 58(b)(1). (b) Waiving Indictment. An offense punishable by imprisonment for more than one year may be prosecuted... Read More

15 U.S.C. Sec. 78c. Securities Exchange Act of 1934 – Definitions and application

US Code

Title 15 - United States Code - Commerce and Trade Chapter 2B - Securities Exchanges (§§78a - 78qq) Sec. 78c. Definitions and application [from Section 3 of the Securities Exchange Act of 1934, ch. 404,  as amended, and codified at 15 USC §78a to §78qq] [Ed. note - Due to the length of the statute only a few of the paragraphs are included below. The reader is directed to follow the link above to www.govinfo.gov for the complete text.] (a) Definitions When used in this... Read More

15 USC 78o – Registration and regulation of brokers and dealers

Cryptocurrency, US Code

Title 15 - United States Code - Commerce and Trade Chapter 2B - Securities Exchanges (§§78a - 78qq) Sec. 78o. Registration and regulation of brokers and dealers [from the Securities Exchange Act of 1934, ch. 404,  as amended, and codified at 15 USC §78a to §78qq] [Ed. note - Due to the length of the statute only a few of the paragraphs are included below. The reader is directed to follow the link above to www.govinfo.gov for the complete text.] (a) Registration of all... Read More

15 U.S.C. 78ff – Securities Exchange Act of 1934 – Penalties

Compliance, Cryptocurrency, US Code

Title 15 - United States Code - Commerce and Trade Chapter 2B - Securities Exchanges (§§78a - 78qq) Sec. 78ff . Penalties [from the Securities Exchange Act of 1934, ch. 404,  as amended, and codified at 15 USC §78a to §78qq] (a) Willful violations; false and misleading statements Any person who willfully violates any provision of this chapter (other than section 78dd–1 of this title), or any rule or regulation thereunder the violation of which is made unlawful or the observance of which is... Read More

15 USC 78j – Securities Exchange Act of 1934 – Manipulative and Deceptive Devices

Compliance, Cryptocurrency, US Code

Title 15 - United States Code - Commerce and Trade Chapter 2B - Securities Exchanges (§§78a - 78qq) Sec. 78j. Manipulative and deceptive devices [from the Securities Exchange Act of 1934, ch. 404,  as amended, and codified at 15 USC §78a to §78qq] It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange— (a)(1) To effect a short sale, or... Read More

18 USC 3553 – US Criminal Code – Imposition of a Sentence

cybercrime, US Code

Title 18 United States Code - Crimes and Criminal Procedure Part II - Criminal Procedure Chapter 227 - Sentences Subchapter A - General Provisions Sec. 3553 - Imposition of a Sentence (a)Factors To Be Considered in Imposing a Sentence.— The court shall impose a sentence sufficient, but not greater than necessary, to comply with the purposes set forth in paragraph (2) of this subsection. The court, in determining the particular sentence to be imposed, shall consider— (1)the nature and circumstances of the offense and the history... Read More

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