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d-34220House OversightOther

Excerpt from House Oversight document citing Exchange Act penalties and FCPA reference

The passage merely restates statutory penalty provisions without naming any individuals, entities, transactions, or allegations. It offers no actionable leads, novel information, or connections to pow Specifies civil and criminal penalties for violations of Section 30A of the Exchange Act. Mentions that fines cannot be paid by the issuer. References the Foreign Corrupt Practices Act (FCPA) without

Date
November 11, 2025
Source
House Oversight
Reference
House Oversight #022604
Pages
1
Persons
0
Integrity
No Hash Available

Summary

The passage merely restates statutory penalty provisions without naming any individuals, entities, transactions, or allegations. It offers no actionable leads, novel information, or connections to pow Specifies civil and criminal penalties for violations of Section 30A of the Exchange Act. Mentions that fines cannot be paid by the issuer. References the Foreign Corrupt Practices Act (FCPA) without

Tags

foreign-corrupt-practices-actpenaltieshouse-oversightsecurities-lawregulatory-compliance
View on oversight.house.gov
Browse House Oversight Committee ReleasesHouse Oversight #022604

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Extracted Text (OCR)

EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
[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 102

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