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 981(a) – US Criminal Code – Civil Forfeiture

Cryptocurrency, US Code

Title 18 United States Code - Crimes and Criminal Procedure Part 1 - Crimes Chapter 46 - Forfeiture Sec. 981(a)  - Civil Forfeiture (a)(1) The following property is subject to forfeiture to the United States: (A) Any property, real or personal, involved in a transaction or attempted transaction in violation of section 1956, 1957 or 1960 of this title, or any property traceable to such property. (B) Any property, real or personal, within the jurisdiction of the United States, constituting, derived from, or traceable to,... Read More

17 CFR 240.10b-5 – Employment of manipulative and deceptive devices

Compliance, Cryptocurrency, US Code

Title 17 - Commodity and Securities Exchange Chapter II - Securities and Exchange Commission Part 240 - General Rules and Regulations, Securities Exchange Act of 1934 Manipulative and Deceptive Devices and Contrivances §§240.10-b1 to 240.10b-21 Sec. 240.10b-5 - Employment of manipulative and deceptive devices.   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) To employ any device, scheme, or... Read More

15 USC 77q – Securities Act of 1933 – Fraudulent Interstate Transactions

Compliance, Cryptocurrency, US Code

Title 15 - United States Code - Commerce and Trade Chapter 2A - Securities and Trust Indentures (§§77a - 77bbbb) Subchapter I - Domestic Securities Sec. 77q. Fraudulent Interstate Transactions [from the Securities Act of May 27, 1933, ch. 38, as amended, and codified at 15 USC §77a to 77z-3]   (a) Use of interstate commerce for purpose of fraud or deceit It shall be unlawful for any person in the offer or sale of any securities (including security-based swaps) or any security-based swap agreement (as... Read More

15 USC 77h-1 – Securities Act of 1933 – Cease and Desist Proceedings

Compliance, Cryptocurrency, Cybersecurity, US Code

Title 15 - United States Code - Commerce and Trade Chapter 2A - Securities and Trust Indentures (§§77a - 77bbbb) Subchapter I - Domestic Securities Sec. 77h-1 Cease and Desist Proceedings [by the SEC] [from the Securities Act of May 27, 1933, ch. 38, as amended, and codified at 15 USC §77a to 77z-3] (a) Authority of Commission If the Commission finds, after notice and opportunity for hearing, that any person is violating, has violated, or is about to violate any provision of this subchapter,... Read More

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