15 U.S. Code § 80a–48 - Penalties

Any person who willfully violates any provision of this subchapter or of any rule, regulation, or order hereunder, or any person who willfully in any registration statement, application, report, account, record, or other document filed or transmitted pursuant to this subchapter or the keeping of which is required pursuant to section 80a–30 (a) of this title makes any untrue statement of a material fact or omits to state any material fact necessary in order to prevent the statements made therein from being materially misleading in the light of the circumstances under which they were made, shall upon conviction be fined not more than $10,000 or imprisoned not more than five years, or both; but no person shall be convicted under this section for the violation of any rule, regulation, or order if he proves that he had no actual knowledge of such rule, regulation, or order.

Source

(Aug. 22, 1940, ch. 686, title I, § 49,54 Stat. 846; Pub. L. 94–29, § 27(e),June 4, 1975, 89 Stat. 163.)
Amendments

1975—Pub. L. 94–29substituted “or imprisoned not more than five years” for “or imprisoned not more than two years”.
Effective Date of 1975 Amendment

Amendment by Pub. L. 94–29effective June 4, 1975, see section 31(a) ofPub. L. 94–29, set out as a note under section 78b of this title.

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15 USCDescription of ChangeSession YearPublic LawStatutes at Large

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17 CFR - Commodity and Securities Exchanges

17 CFR Part 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940

 

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