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U.S. Code as of:
01/19/04
Section 79z-3. Penalties
Any person who willfully violates any provision of this chapter
or any rule, regulation, or order thereunder (other than an order
of the Commission under subsections (b), (d), (e), or (f) of
section 79k of this title), or any person who willfully makes any
statement or entry in any application, report, document, account,
or record filed or kept or required to be filed or kept under the
provisions of this chapter or any rule, regulation, or order
thereunder, knowing such statement or entry to be false or
misleading in any material respect, or any person who willfully
destroys (except after such time as may be prescribed under any
rules or regulations under this chapter), mutilates, alters, or by
any means or device falsifies any account, correspondence,
memorandum, book, paper, or other record kept or required to be
kept under the provisions of this chapter or any rule, regulation,
or order thereunder, shall upon conviction be fined not more than
$10,000 or imprisoned not more than five years, or both, except
that in the case of a violation of a provision of subsection (a) or
(b) of section 79d of this title by a holding company which is not
an individual, the fine imposed upon such holding company shall be
a fine not exceeding $200,000; 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 knowledge of such rule,
regulation, or order.
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