15 U.S.C. § 77x — Penalties

Any person who willfully violates any of the provisions of this subchapter, or the rules and regulations promulgated by the Commission under authority thereof, or any person who willfully, in a registration statement filed under this subchapter, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $10,000 or imprisoned not more than five years, or both. (May 27, 1933, ch. 38, title I, § 24, 48 Stat. 87 ; Pub. L. 94–29, § 27(a) , June 4, 1975 , 89 Stat. 163 .) Editorial Notes Amendments 1975— Pub. L. 94–29 substituted “$10,000” for “$5,000”. Statutory Notes and Related Subsidiaries Effective Date of 1975 Amendment Amendment by Pub. L. 94–29 effective June 4, 1975 , see section 31(a) of Pub. L. 94–29 , set out as a note under section 78b of this title . Executive Documents Transfer of Functions For transfer of functions of Securities and Exchange Commission , with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, §§ 1, 2, eff. May 24, 1950 , 15 F.R. 3175 , 64 Stat. 1265 , set out under section 78d of this title . CFR Title Parts 17 231

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