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The
Investment Advisers Act of 1940





Section 217 -- Penalties


Any person who willfully violates any provision of this title, 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.

Legislative History


Aug. 22, 1940, ch 686, Title II, § 217, 54 Stat. 857; Sept. 13, 1960, P.L. 86-750, § 15, 74 Stat. 888; June 4, 1975, P.L. 94-29, § 27(f), 89 Stat. 163.

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