§78u–3. Cease-and-desist proceedings — Inbound Citations

Citations to 15 U.S.C. § 78u–3 as a whole

• 15 U.S.C. § 78j–1(d)

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  (d) If the Commission finds, after notice and opportunity for hearing in a proceeding instituted pursuant to section 78u–3 of this title, that a registered public accounting firm has willfully violated paragraph (3) or (4) of subsection (b), the Commission may, in addition to entering an order under section 78u–3 of this title, impose a civil penalty against the registered public accounting firm and any other person that the Commission finds was a cause of such violation. The determination to impose a civil penalty and the amount of the penalty shall be governed by the standards set forth in section 78u–2 of this title.
• 15 U.S.C. § 78u(d)(3)(A)

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  (A) Whenever it shall appear to the Commission that any person has violated any provision of this chapter, the rules or regulations thereunder, or a cease-and-desist order entered by the Commission pursuant to section 78u–3 of this title, other than by committing a violation subject to a penalty pursuant to section 78u–1 of this title, the Commission may bring an action in a United States district court to seek, and the court shall have jurisdiction to—

  (i) impose, upon a proper showing, a civil penalty to be paid by the person who committed such violation; and

  (ii) require disgorgement under paragraph (7) of any unjust enrichment by the person who received such unjust enrichment as a result of such violation.
• 15 U.S.C. § 78u(d)(3)(D)

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  (D) In an action to enforce a cease-and-desist order entered by the Commission pursuant to section 78u–3 of this title, each separate violation of such order shall be a separate offense, except that in the case of a violation through a continuing failure to comply with the order, each day of the failure to comply shall be deemed a separate offense.
• 15 U.S.C. § 78u–2(a)(2)

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  (2) In any proceeding instituted under section 78u–3 of this title against any person, the Commission may impose a civil penalty, if the Commission finds, on the record after notice and opportunity for hearing, that such person—

  (A) is violating or has violated any provision of this chapter, or any rule or regulation issued under this chapter; or

  (B) is or was a cause of the violation of any provision of this chapter, or any rule or regulation issued under this chapter.
• 15 U.S.C. § 78w(d)

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  (d) Within 1 year after October 15, 1990, the Commission shall establish regulations providing for the expeditious conduct of hearings and rendering of decisions under section 78u–3 of this title, section 77h–1 of this title, section 80a–9(f) of this title, and section 80b–3(k) of this title.