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HOUSE_OVERSIGHT_022604

House Oversight Committee
insert_drive_file IMAGES-007-HOUSE_OVERSIGHT_022604.txt description DOCUMENT text_fields 179 words · 1.0k chars

[Section 30A of the Exchange Actlof this title shall be subject to a civil penalty of not more than $10,000 imposed in an action brought

by the Commission.

(2)(A) Any officer, director, employee, or agent of an issuer, or stock- holder acting on behalf of such issuer, who willfully violates subsec- tion (a) or (g) of section 78dd-1 [Section 30A of the Exchange Act] of this title shall be fined not more than $100,000, or imprisoned not

more than 5 years, or both.

(B) Any officer, director, employee, or agent of an issuer, or stock- holder acting on behalf of such issuer, who violates subsection (a) or (g) of section 78dd-1 [Section 30A of the Exchange Act] of this title shall be subject to a civil penalty of not more than $10,000 imposed in

an action brought by the Commission.

(3) Whenever a fine is imposed under paragraph (2) upon any officer, director, employee, agent, or stockholder of an issuer, such fine may

not be paid, directly or indirectly, by such issuer.

The Foreign Corrupt Practices Act

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HOUSE_OVERSIGHT_022604