Any person who willfully violates any provision of this subchapter, or any rule, regulation, or order promulgated by the Commission under authority thereof, shall, upon conviction, be fined not more than $10,000, imprisoned for not more than five years, or both.
Structure US Code
CHAPTER 2D— INVESTMENT COMPANIES AND ADVISERS
SUBCHAPTER II— INVESTMENT ADVISERS
§ 80b–3. Registration of investment advisers
§ 80b–3a. State and Federal responsibilities
§ 80b–4. Reports by investment advisers
§ 80b–4a. Prevention of misuse of nonpublic information
§ 80b–5. Investment advisory contracts
§ 80b–6. Prohibited transactions by investment advisers
§ 80b–7. Material misstatements
§ 80b–9. Enforcement of subchapter
§ 80b–10. Disclosure of information by Commission
§ 80b–11. Rules, regulations, and orders of Commission
§ 80b–13. Court review of orders
§ 80b–14. Jurisdiction of offenses and suits
§ 80b–15. Validity of contracts
§ 80b–18. Hiring and leasing authority of Commission
§ 80b–18a. State regulation of investment advisers
§ 80b–18b. Custody of client accounts
§ 80b–18c. Rule of construction relating to the Commodities Exchange Act