Legal corpus: the complete U.S. Code (59,740 sections, all 53 titles)

Ingested titles 12–51 and 54 from OLRC USLM XML @119-100 (the whole Code
now, uniform edition; Title 53 is reserved/empty). LegalText 11,221 ->
59,740; repo total 105,704 records. Deterministic (byte-identical rerun,
verified on Title 42's 8,356 sections); make check green. make
legal-us-code default now covers every title.

Co-Authored-By: Claude Opus 4.8 <noreply@anthropic.com>
This commit is contained in:
Fabio
2026-07-06 10:51:44 -04:00
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# 15 U.S.C. § 10 - Bringing in additional parties
## Text
Whenever it shall appear to the court before which any proceeding under section 9 of this title may be pending, that the ends of justice require that other parties should be brought before the court, the court may cause them to be summoned, whether they reside in the district in which the court is held or not; and subpoenas to that end may be served in any district by the marshal thereof.
(Aug. 27, 1894, ch. 349, § 75, 28 Stat. 570.)
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description: "Forfeiture of property in transit"
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# 15 U.S.C. § 11 - Forfeiture of property in transit
## Text
Any property owned under any contract or by any combination, or pursuant to any conspiracy, and being the subject thereof, mentioned in section 8 of this title, imported into and being within the United States or being in the course of transportation from one State to another, or to or from a Territory or the District of Columbia, shall be forfeited to the United States, and may be seized and condemned by like proceedings as those provided by law for the forfeiture, seizure, and condemnation of property imported into the United States contrary to law.
(Aug. 27, 1894, ch. 349, § 76, 28 Stat. 570; Feb. 12, 1913, ch. 40, 37 Stat. 667.)
## Notes
Editorial Notes
Amendments1913—Act Feb. 12, 1913, substituted “imported into and being within the United States or” for “and”.
@@ -0,0 +1,51 @@
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# 15 U.S.C. § 12 - Definitions; short title
## Text
(a) “Antitrust laws,” as used herein, includes the Act entitled “An Act to protect trade and commerce against unlawful restraints and monopolies,” approved July second, eighteen hundred and ninety; sections seventy-three to seventy-six, inclusive, of an Act entitled “An Act to reduce taxation, to provide revenue for the Government, and for other purposes,” of August twenty-seventh, eighteen hundred and ninety-four; an Act entitled “An Act to amend sections seventy-three and seventy-six of the Act of August twenty-seventh, eighteen hundred and ninety-four, entitled An Act to reduce taxation, to provide revenue for the Government, and for other purposes, ” approved February twelfth, nineteen hundred and thirteen; and also this Act.“Commerce,” as used herein, means trade or commerce among the several States and with foreign nations, or between the District of Columbia or any Territory of the United States and any State, Territory, or foreign nation, or between any insular possessions or other places under the jurisdiction of the United States, or between any such possession or place and any State or Territory of the United States or the District of Columbia or any foreign nation, or within the District of Columbia or any Territory or any insular possession or other place under the jurisdiction of the United States: Provided, That nothing in this Act contained shall apply to the Philippine Islands. The word “person” or “persons” wherever used in this Act shall be deemed to include corporations and associations existing under or authorized by the laws of either the United States, the laws of any of the Territories, the laws of any State, or the laws of any foreign country.
(b) This Act may be cited as the “Clayton Act”.
(Oct. 15, 1914, ch. 323, § 1, 38 Stat. 730; Pub. L. 94435, title III, § 305(b), Sept. 30, 1976, 90 Stat. 1397; Pub. L. 107273, div. C, title IV, § 14102(c)(2)(A), Nov. 2, 2002, 116 Stat. 1921.)
## Notes
Editorial Notes
References in TextWords “herein” and “this Act”, referred to in the three paragraphs of subsec. (a), mean the Clayton Act. For classification of the Clayton Act to the Code, see last paragraph hereunder. The Act entitled “An Act to protect trade and commerce against unlawful restraints and monopolies,” approved July second, eighteen hundred and ninety, referred to in subsec. (a), is act July 2, 1890, ch. 647, 26 Stat. 209, known as the Sherman Act, which is classified to sections 1 to 7 of this title. The Act entitled “An Act to reduce taxation, to provide revenue for the Government, and for other purposes,” of August twenty-seventh, eighteen hundred and ninety-four, referred to in subsec. (a), is act Aug. 27, 1894, ch. 349, 28 Stat. 509, known as the Wilson Tariff Act. Sections seventy-three to seventy-six thereof are set out as sections 8 to 11 of this title. The Act entitled “An Act to amend sections seventy-three and seventy-six of the Act of August twenty-seventh, eighteen hundred and ninety-four, entitled An Act to reduce taxation, to provide revenue for the Government, and for other purposes,” approved February twelfth, nineteen hundred and thirteen, referred to in subsec. (a), is act Feb. 12, 1913, ch. 40, 37 Stat. 667, which is classified to sections 8 and 11 of this title. The Clayton Act, referred to in subsec. (b), is act Oct. 15, 1914, ch. 323, 38 Stat. 730, which is classified to sections 12, 13, 14 to 19, 21, and 22 to 27 of this title, and sections 52 and 53 of Title 29, Labor. Sections 9 and 21 to 25 of the act were repealed by act June 25, 1948, ch. 645, § 21, 62 Stat. 862, eff. Sept. 1, 1948, and their provisions are now covered by sections 402, 660, 3285 and 3691 of Title 18, Crimes and Criminal Procedure, except that former section 23 of the act is obsolete and not now covered. Sections 17 to 19 of the act were repealed by act June 25, 1948, ch. 646, § 39, 62 Stat. 992, eff. Sept. 1, 1948, and their provisions are now covered by rule 65 of the Federal Rules of Civil Procedure, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. For complete classification of this Act to the Code, see Tables.
Codification The 3d par. of subsec. (a) is also classified to section 53 of Title 29, Labor.
Amendments2002—Subsec. (a). Pub. L. 107273 substituted “seventy-three to seventy-six” for “seventy-three to seventy-seven” in first par. 1976—Pub. L. 94435 designated existing provisions as subsec. (a) and added subsec. (b).
Statutory Notes and Related Subsidiaries
Effective Date of 2002 AmendmentAmendment by Pub. L. 107273 effective Nov. 2, 2002, and applicable only with respect to cases commenced on or after Nov. 2, 2002, see section 14103 of Pub. L. 107273, set out as a note under section 3 of this title.
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# 15 U.S.C. § 13 - Discrimination in price, services, or facilities
## Text
(a) Price; selection of customers It shall be unlawful for any person engaged in commerce, in the course of such commerce, either directly or indirectly, to discriminate in price between different purchasers of commodities of like grade and quality, where either or any of the purchases involved in such discrimination are in commerce, where such commodities are sold for use, consumption, or resale within the United States or any Territory thereof or the District of Columbia or any insular possession or other place under the jurisdiction of the United States, and where the effect of such discrimination may be substantially to lessen competition or tend to create a monopoly in any line of commerce, or to injure, destroy, or prevent competition with any person who either grants or knowingly receives the benefit of such discrimination, or with customers of either of them: Provided, That nothing herein contained shall prevent differentials which make only due allowance for differences in the cost of manufacture, sale, or delivery resulting from the differing methods or quantities in which such commodities are to such purchasers sold or delivered: Provided, however, That the Federal Trade Commission may, after due investigation and hearing to all interested parties, fix and establish quantity limits, and revise the same as it finds necessary, as to particular commodities or classes of commodities, where it finds that available purchasers in greater quantities are so few as to render differentials on account thereof unjustly discriminatory or promotive of monopoly in any line of commerce; and the foregoing shall then not be construed to permit differentials based on differences in quantities greater than those so fixed and established: And provided further, That nothing herein contained shall prevent persons engaged in selling goods, wares, or merchandise in commerce from selecting their own customers in bona fide transactions and not in restraint of trade: And provided further, That nothing herein contained shall prevent price changes from time to time where in response to changing conditions affecting the market for or the marketability of the goods concerned, such as but not limited to actual or imminent deterioration of perishable goods, obsolescence of seasonal goods, distress sales under court process, or sales in good faith in discontinuance of business in the goods concerned.
(b) Burden of rebutting prima-facie case of discrimination Upon proof being made, at any hearing on a complaint under this section, that there has been discrimination in price or services or facilities furnished, the burden of rebutting the prima-facie case thus made by showing justification shall be upon the person charged with a violation of this section, and unless justification shall be affirmatively shown, the Commission is authorized to issue an order terminating the discrimination: Provided, however, That nothing herein contained shall prevent a seller rebutting the prima-facie case thus made by showing that his lower price or the furnishing of services or facilities to any purchaser or purchasers was made in good faith to meet an equally low price of a competitor, or the services or facilities furnished by a competitor.
(c) Payment or acceptance of commission, brokerage, or other compensation It shall be unlawful for any person engaged in commerce, in the course of such commerce, to pay or grant, or to receive or accept, anything of value as a commission, brokerage, or other compensation, or any allowance or discount in lieu thereof, except for services rendered in connection with the sale or purchase of goods, wares, or merchandise, either to the other party to such transaction or to an agent, representative, or other intermediary therein where such intermediary is acting in fact for or in behalf, or is subject to the direct or indirect control, of any party to such transaction other than the person by whom such compensation is so granted or paid.
(d) Payment for services or facilities for processing or sale It shall be unlawful for any person engaged in commerce to pay or contact for the payment of anything of value to or for the benefit of a customer of such person in the course of such commerce as compensation or in consideration for any services or facilities furnished by or through such customer in connection with the processing, handling, sale, or offering for sale of any products or commodities manufactured, sold, or offered for sale by such person, unless such payment or consideration is available on proportionally equal terms to all other customers competing in the distribution of such products or commodities.
(e) Furnishing services or facilities for processing, handling, etc. It shall be unlawful for any person to discriminate in favor of one purchaser against another purchaser or purchasers of a commodity bought for resale, with or without processing, by contracting to furnish or furnishing, or by contributing to the furnishing of, any services or facilities connected with the processing, handling, sale, or offering for sale of such commodity so purchased upon terms not accorded to all purchasers on proportionally equal terms.
(f) Knowingly inducing or receiving discriminatory price It shall be unlawful for any person engaged in commerce, in the course of such commerce, knowingly to induce or receive a discrimination in price which is prohibited by this section.
(Oct. 15, 1914, ch. 323, § 2, 38 Stat. 730; June 19, 1936, ch. 592, § 1, 49 Stat. 1526.)
## Notes
Editorial Notes
Amendments1936—Act June 19, 1936, amended section generally.
Statutory Notes and Related Subsidiaries
Short TitleAct June 19, 1936, which amended this section and added sections 13a, 13b, and 21a of this title, is popularly known as the Robinson-Patman Act, as the Robinson-Patman Antidiscrimination Act, and also as the Robinson-Patman Price Discrimination Act.
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# 15 U.S.C. § 13a - Discrimination in rebates, discounts, or advertising service charges; underselling in particular localities; penalties
## Text
It shall be unlawful for any person engaged in commerce, in the course of such commerce, to be a party to, or assist in, any transaction of sale, or contract to sell, which discriminates to his knowledge against competitors of the purchaser, in that, any discount, rebate, allowance, or advertising service charge is granted to the purchaser over and above any discount, rebate, allowance, or advertising service charge available at the time of such transaction to said competitors in respect of a sale of goods of like grade, quality, and quantity; to sell, or contract to sell, goods in any part of the United States at prices lower than those exacted by said person elsewhere in the United States for the purpose of destroying competition, or eliminating a competitor in such part of the United States; or, to sell, or contract to sell, goods at unreasonably low prices for the purpose of destroying competition or eliminating a competitor. Any person violating any of the provisions of this section shall, upon conviction thereof, be fined not more than $5,000 or imprisoned not more than one year, or both.
(June 19, 1936, ch. 592, § 3, 49 Stat. 1528.)
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# 15 U.S.C. § 13b - Cooperative association; return of net earnings or surplus
## Text
Nothing in this Act shall prevent a cooperative association from returning to its members, producers, or consumers the whole, or any part of, the net earnings or surplus resulting from its trading operations, in proportion to their purchases or sales from, to, or through the association.
(June 19, 1936, ch. 592, § 4, 49 Stat. 1528.)
## Notes
Editorial Notes
References in TextThis Act, referred to in text, is act June 19, 1936, ch. 592, 49 Stat. 1526, popularly known as the Robinson-Patman Antidiscrimination Act and also as the Robinson-Patman Price Discrimination Act, which enacted sections 13a, 13b, and 21a of this title and amended section 13 of this title. For complete classification of this Act to the Code, see Short Title note set out under section 13 of this title and Tables.
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# 15 U.S.C. § 13c - Exemption of non-profit institutions from price discrimination provisions
## Text
Nothing in the Act approved June 19, 1936, known as the Robinson-Patman Antidiscrimination Act, shall apply to purchases of their supplies for their own use by schools, colleges, universities, public libraries, churches, hospitals, and charitable institutions not operated for profit.
(May 26, 1938, ch. 283, 52 Stat. 446.)
## Notes
Editorial Notes
References in TextThe Act approved June 19, 1936, known as the Robinson-Patman Antidiscrimination Act, referred to in text, is act June 19, 1936, ch. 592, 49 Stat. 1526, also known as the Robinson-Patman Price Discrimination Act, which enacted sections 13a, 13b, and 21a of this title and amended section 13 of this title. For complete classification of this Act to the Code, see Short Title note set out under section 13 of this title and Tables.
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# 15 U.S.C. § 14 - Sale, etc., on agreement not to use goods of competitor
## Text
It shall be unlawful for any person engaged in commerce, in the course of such commerce, to lease or make a sale or contract for sale of goods, wares, merchandise, machinery, supplies, or other commodities, whether patented or unpatented, for use, consumption, or resale within the United States or any Territory thereof or the District of Columbia or any insular possession or other place under the jurisdiction of the United States, or fix a price charged therefor, or discount from, or rebate upon, such price, on the condition, agreement, or understanding that the lessee or purchaser thereof shall not use or deal in the goods, wares, merchandise, machinery, supplies, or other commodities of a competitor or competitors of the lessor or seller, where the effect of such lease, sale, or contract for sale or such condition, agreement, or understanding may be to substantially lessen competition or tend to create a monopoly in any line of commerce.
(Oct. 15, 1914, ch. 323, § 3, 38 Stat. 731.)
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# 15 U.S.C. § 15 - Suits by persons injured
## Text
(a) Amount of recovery; prejudgment interest Except as provided in subsection (b), any person who shall be injured in his business or property by reason of anything forbidden in the antitrust laws may sue therefor in any district court of the United States in the district in which the defendant resides or is found or has an agent, without respect to the amount in controversy, and shall recover threefold the damages by him sustained, and the cost of suit, including a reasonable attorneys fee. The court may award under this section, pursuant to a motion by such person promptly made, simple interest on actual damages for the period beginning on the date of service of such persons pleading setting forth a claim under the antitrust laws and ending on the date of judgment, or for any shorter period therein, if the court finds that the award of such interest for such period is just in the circumstances. In determining whether an award of interest under this section for any period is just in the circumstances, the court shall consider only—
(1) whether such person or the opposing party, or either partys representative, made motions or asserted claims or defenses so lacking in merit as to show that such party or representative acted intentionally for delay, or otherwise acted in bad faith;
(2) whether, in the course of the action involved, such person or the opposing party, or either partys representative, violated any applicable rule, statute, or court order providing for sanctions for dilatory behavior or otherwise providing for expeditious proceedings; and
(3) whether such person or the opposing party, or either partys representative, engaged in conduct primarily for the purpose of delaying the litigation or increasing the cost thereof.
(b) Amount of damages payable to foreign states and instrumentalities of foreign states (1) Except as provided in paragraph (2), any person who is a foreign state may not recover under subsection (a) an amount in excess of the actual damages sustained by it and the cost of suit, including a reasonable attorneys fee.
(2) Paragraph (1) shall not apply to a foreign state if—
(A) such foreign state would be denied, under section 1605(a)(2) of title 28, immunity in a case in which the action is based upon a commercial activity, or an act, that is the subject matter of its claim under this section;
(B) such foreign state waives all defenses based upon or arising out of its status as a foreign state, to any claims brought against it in the same action;
(C) such foreign state engages primarily in commercial activities; and
(D) such foreign state does not function, with respect to the commercial activity, or the act, that is the subject matter of its claim under this section as a procurement entity for itself or for another foreign state.
(c) Definitions For purposes of this section—
(1) the term “commercial activity” shall have the meaning given it in section 1603(d) of title 28, and
(2) the term “foreign state” shall have the meaning given it in section 1603(a) of title 28.
(Oct. 15, 1914, ch. 323, § 4, 38 Stat. 731; Pub. L. 96349, § 4(a)(1), Sept. 12, 1980, 94 Stat. 1156; Pub. L. 97393, Dec. 29, 1982, 96 Stat. 1964.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in subsec. (a), are defined in section 12 of this title.
Prior ProvisionsSection supersedes two former similar sections enacted by act July 2, 1890, ch. 647, § 7, 26 Stat. 210, and act Aug. 27, 1894, ch. 349, § 77, 28 Stat. 570, each of which were restricted in operation to the particular act cited. Section 7 of act July 2, 1890, was repealed by act July 7, 1955, ch. 283, § 3, 69 Stat. 283, effective six months after July 7, 1955. Section 77 of act Aug. 27, 1894, was repealed by Pub. L. 107273, div. C, title IV, §§ 14102(c)(1)(A), 14103, Nov. 2, 2002, 116 Stat. 1921, 1922, effective Nov. 2, 2002, and applicable only with respect to cases commenced on or after Nov. 2, 2002.
Amendments1982—Pub. L. 97393 designated existing provisions as subsec. (a), inserted “Except as provided in subsection (b),”, and added subsecs. (b) and (c). 1980—Pub. L. 96349 inserted provisions respecting award of prejudgment interest including considerations for the court in determining whether an award is just under the circumstances.
Statutory Notes and Related Subsidiaries
Effective Date of 1980 AmendmentPub. L. 96349, § 4(b), Sept. 12, 1980, 94 Stat. 1157, provided that: “The amendments made by this section [amending this section and sections 15a and 15c of this title] shall apply only with respect to actions commenced after the date of the enactment of this Act [Sept 12, 1980].”
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# 15 U.S.C. § 15a - Suits by United States; amount of recovery; prejudgment interest
## Text
Whenever the United States is hereafter injured in its business or property by reason of anything forbidden in the antitrust laws it may sue therefor in the United States district court for the district in which the defendant resides or is found or has an agent, without respect to the amount in controversy, and shall recover threefold the damages by it sustained and the cost of suit. The court may award under this section, pursuant to a motion by the United States promptly made, simple interest on actual damages for the period beginning on the date of service of the pleading of the United States setting forth a claim under the antitrust laws and ending on the date of judgment, or for any shorter period therein, if the court finds that the award of such interest for such period is just in the circumstances. In determining whether an award of interest under this section for any period is just in the circumstances, the court shall consider only—
(1) whether the United States or the opposing party, or either partys representative, made motions or asserted claims or defenses so lacking in merit as to show that such party or representative acted intentionally for delay or otherwise acted in bad faith;
(2) whether, in the course of the action involved, the United States or the opposing party, or either partys representative, violated any applicable rule, statute, or court order providing for sanctions for dilatory behavior or otherwise providing for expeditious proceedings;
(3) whether the United States or the opposing party, or either partys representative, engaged in conduct primarily for the purpose of delaying the litigation or increasing the cost thereof; and
(4) whether the award of such interest is necessary to compensate the United States adequately for the injury sustained by the United States.
(Oct. 15, 1914, ch. 323, § 4A, as added July 7, 1955, ch. 283, § 1, 69 Stat. 282; amended Pub. L. 96349, § 4(a)(2), Sept. 12, 1980, 94 Stat. 1156; Pub. L. 101588, § 5, Nov. 16, 1990, 104 Stat. 2880.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in text, are defined in section 12 of this title.
Amendments1990—Pub. L. 101588 substituted “threefold the” for “actual”. 1980—Pub. L. 96349 inserted provisions respecting award of prejudgment interest including considerations for the court in determining whether an award is just under the circumstances.
Statutory Notes and Related Subsidiaries
Effective Date of 1980 AmendmentAmendment by Pub. L. 96349 applicable only with respect to actions commenced after Sept. 12, 1980, see section 4(b) of Pub. L. 96349, set out as a note under section 15 of this title.
Effective DateSection effective six months after July 7, 1955, see note set out under section 15b of this title.
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# 15 U.S.C. § 15b - Limitation of actions
## Text
Any action to enforce any cause of action under section 15, 15a, or 15c of this title shall be forever barred unless commenced within four years after the cause of action accrued. No cause of action barred under existing law on the effective date of this Act shall be revived by this Act.
(Oct. 15, 1914, ch. 323, § 4B, as added July 7, 1955, ch. 283, § 1, 69 Stat. 283; amended Pub. L. 94435, title III, § 302(1), Sept. 30, 1976, 90 Stat. 1396.)
## Notes
Editorial Notes
References in TextThe effective date of this Act, referred to in text, probably refers to the effective date of act July 7, 1955, ch. 283, 69 Stat. 282, which was six months after July 7, 1955. This Act, referred to in text, probably refers to act July 7, 1955.
Amendments1976—Pub. L. 94435 substituted “section 15, 15a, or 15c” for “sections 15 or 15a”.
Statutory Notes and Related Subsidiaries
Effective DateAct July 7, 1955, ch. 283, § 4, 69 Stat. 283, provided: “This Act [enacting this section and section 15a of this title, amending section 16 of this title, and repealing provisions set out as a note under section 15 of this title] shall take effect six months after its enactment [July 7, 1955].”
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# 15 U.S.C. § 15c - Actions by State attorneys general
## Text
(a) Parens patriae; monetary relief; damages; prejudgment interest (1) Any attorney general of a State may bring a civil action in the name of such State, as parens patriae on behalf of natural persons residing in such State, in any district court of the United States having jurisdiction of the defendant, to secure monetary relief as provided in this section for injury sustained by such natural persons to their property by reason of any violation of sections 1 to 7 of this title. The court shall exclude from the amount of monetary relief awarded in such action any amount of monetary relief (A) which duplicates amounts which have been awarded for the same injury, or (B) which is properly allocable to (i) natural persons who have excluded their claims pursuant to subsection (b)(2) of this section, and (ii) any business entity.
(2) The court shall award the State as monetary relief threefold the total damage sustained as described in paragraph (1) of this subsection, and the cost of suit, including a reasonable attorneys fee. The court may award under this paragraph, pursuant to a motion by such State promptly made, simple interest on the total damage for the period beginning on the date of service of such States pleading setting forth a claim under the antitrust laws and ending on the date of judgment, or for any shorter period therein, if the court finds that the award of such interest for such period is just in the circumstances. In determining whether an award of interest under this paragraph for any period is just in the circumstances, the court shall consider only—
(A) whether such State or the opposing party, or either partys representative, made motions or asserted claims or defenses so lacking in merit as to show that such party or representative acted intentionally for delay or otherwise acted in bad faith;
(B) whether, in the course of the action involved, such State or the opposing party, or either partys representative, violated any applicable rule, statute, or court order providing for sanctions for dilatory behavior or other wise providing for expeditious proceedings; and
(C) whether such State or the opposing party, or either partys representative, engaged in conduct primarily for the purpose of delaying the litigation or increasing the cost thereof.
(b) Notice; exclusion election; final judgment (1) In any action brought under subsection (a)(1) of this section, the State attorney general shall, at such times, in such manner, and with such content as the court may direct, cause notice thereof to be given by publication. If the court finds that notice given solely by publication would deny due process of law to any person or persons, the court may direct further notice to such person or persons according to the circumstances of the case.
(2) Any person on whose behalf an action is brought under subsection (a)(1) may elect to exclude from adjudication the portion of the State claim for monetary relief attributable to him by filing notice of such election with the court within such time as specified in the notice given pursuant to paragraph (1) of this subsection.
(3) The final judgment in an action under subsection (a)(1) shall be res judicata as to any claim under section 15 of this title by any person on behalf of whom such action was brought and who fails to give such notice within the period specified in the notice given pursuant to paragraph (1) of this subsection.
(c) Dismissal or compromise of action An action under subsection (a)(1) shall not be dismissed or compromised without the approval of the court, and notice of any proposed dismissal or compromise shall be given in such manner as the court directs.
(d) Attorneys fees In any action under subsection (a)—
(1) the amount of the plaintiffs attorneys fee, if any, shall be determined by the court; and
(2) the court may, in its discretion, award a reasonable attorneys fee to a prevailing defendant upon a finding that the State attorney general has acted in bad faith, vexatiously, wantonly, or for oppressive reasons.
(Oct. 15, 1914, ch. 323, § 4C, as added Pub. L. 94435, title III, § 301, Sept. 30, 1976, 90 Stat. 1394; amended Pub. L. 96349, § 4(a)(3), Sept. 12, 1980, 94 Stat. 1157.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in subsec. (a)(2), are defined in section 12 of this title.
Amendments1980—Subsec. (a)(2). Pub. L. 96349 inserted provisions respecting award of prejudgment interest including considerations for the court in determining whether an award is just under the circumstances.
Statutory Notes and Related Subsidiaries
Effective Date of 1980 AmendmentAmendment by Pub. L. 96349 applicable only with respect to actions commenced after Sept. 12, 1980, see section 4(b) of Pub. L. 96349, set out as a note under section 15 of this title.
Effective DatePub. L. 94435, title III, § 304, Sept. 30, 1976, 90 Stat. 1396, provided that: “The amendments to the Clayton Act made by section 301 of this Act [enacting this section and sections 15d to 15h of this title] shall not apply to any injury sustained prior to the date of enactment of this Act [Sept. 30, 1976].”
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# 15 U.S.C. § 15d - Measurement of damages
## Text
In any action under section 15c(a)(1) of this title, in which there has been a determination that a defendant agreed to fix prices in violation of sections 1 to 7 of this title, damages may be proved and assessed in the aggregate by statistical or sampling methods, by the computation of illegal overcharges, or by such other reasonable system of estimating aggregate damages as the court in its discretion may permit without the necessity of separately proving the individual claim of, or amount of damage to, persons on whose behalf the suit was brought.
(Oct. 15, 1914, ch. 323, § 4D, as added Pub. L. 94435, title III, § 301, Sept. 30, 1976, 90 Stat. 1395.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DateInjuries sustained prior to Sept. 30, 1976, not covered by this section, see section 304 of Pub. L. 94435, set out as a note under section 15c of this title.
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# 15 U.S.C. § 15e - Distribution of damages
## Text
Monetary relief recovered in an action under section 15c(a)(1) of this title shall—
(1) be distributed in such manner as the district court in its discretion may authorize; or
(2) be deemed a civil penalty by the court and deposited with the State as general revenues;
subject in either case to the requirement that any distribution procedure adopted afford each person a reasonable opportunity to secure his appropriate portion of the net monetary relief.
(Oct. 15, 1914, ch. 323, § 4E, as added Pub. L. 94435, title III, § 301, Sept. 30, 1976, 90 Stat. 1395.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DateInjuries sustained prior to Sept. 30, 1976, not covered by this section, see section 304 of Pub. L. 94435, set out as a note under section 15c of this title.
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# 15 U.S.C. § 15f - Actions by Attorney General
## Text
(a) Notification to State attorney general Whenever the Attorney General of the United States has brought an action under the antitrust laws, and he has reason to believe that any State attorney general would be entitled to bring an action under this Act based substantially on the same alleged violation of the antitrust laws, he shall promptly give written notification thereof to such State attorney general.
(b) Availability of files and other materials To assist a State attorney general in evaluating the notice or in bringing any action under this Act, the Attorney General of the United States shall, upon request by such State attorney general, make available to him, to the extent permitted by law, any investigative files or other materials which are or may be relevant or material to the actual or potential cause of action under this Act.
(Oct. 15, 1914, ch. 323, § 4F, as added Pub. L. 94435, title III, § 301, Sept. 30, 1976, 90 Stat. 1395.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in subsec. (a), are defined in section 12 of this title. This Act, referred to in text, is act Oct. 15, 1914, ch. 323, 38 Stat. 730, known as the Clayton Act, which is classified generally to sections 12, 13, 14 to 19, 21, and 22 to 27 of this title, and sections 52 and 53 of Title 29, Labor. For further details and complete classification of this Act to the Code, see References in Text note set out under section 12 of this title and Tables.
Statutory Notes and Related Subsidiaries
Effective DateInjuries sustained prior to Sept. 30, 1976, not covered by this section, see section 304 of Pub. L. 94435, set out as a note under section 15c of this title.
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# 15 U.S.C. § 15g - Definitions
## Text
For the purposes of sections 15c, 15d, 15e, and 15f of this title:
(1) The term “State attorney general” means the chief legal officer of a State, or any other person authorized by State law to bring actions under section 15c of this title, and includes the Corporation Counsel of the District of Columbia, except that such term does not include any person employed or retained on—
(A) a contingency fee based on a percentage of the monetary relief awarded under this section; or
(B) any other contingency fee basis, unless the amount of the award of a reasonable attorneys fee to a prevailing plaintiff is determined by the court under section 15c(d)(1) of this title.
(2) The term “State” means a State, the District of Columbia, the Commonwealth of Puerto Rico, and any other territory or possession of the United States.
(3) The term “natural persons” does not include proprietorships or partnerships.
(Oct. 15, 1914, ch. 323, § 4G, as added Pub. L. 94435, title III, § 301, Sept. 30, 1976, 90 Stat. 1396.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DateInjuries sustained prior to Sept. 30, 1976, not covered by this section, see section 304 of Pub. L. 94435, set out as a note under section 15c of this title.
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# 15 U.S.C. § 15h - Applicability of parens patriae actions
## Text
Sections 15c, 15d, 15e, 15f, and 15g of this title shall apply in any State, unless such State provides by law for its nonapplicability in such State.
(Oct. 15, 1914, ch. 323, § 4H, as added Pub. L. 94435, title III, § 301, Sept. 30, 1976, 90 Stat. 1396.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DateInjuries sustained prior to Sept. 30, 1976, not covered by this section, see section 304 of Pub. L. 94435, set out as a note under section 15c of this title.
@@ -0,0 +1,101 @@
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# 15 U.S.C. § 16 - Judgments
## Text
(a) Prima facie evidence; collateral estoppel A final judgment or decree heretofore or hereafter rendered in any civil or criminal proceeding brought by or on behalf of the United States under the antitrust laws to the effect that a defendant has violated said laws shall be prima facie evidence against such defendant in any action or proceeding brought by any other party against such defendant under said laws as to all matters respecting which said judgment or decree would be an estoppel as between the parties thereto: Provided, That this section shall not apply to consent judgments or decrees entered before any testimony has been taken. Nothing contained in this section shall be construed to impose any limitation on the application of collateral estoppel, except that, in any action or proceeding brought under the antitrust laws, collateral estoppel effect shall not be given to any finding made by the Federal Trade Commission under the antitrust laws or under section 45 of this title which could give rise to a claim for relief under the antitrust laws.
(b) Consent judgments and competitive impact statements; publication in Federal Register; availability of copies to the public Any proposal for a consent judgment submitted by the United States for entry in any civil proceeding brought by or on behalf of the United States under the antitrust laws shall be filed with the district court before which such proceeding is pending and published by the United States in the Federal Register at least 60 days prior to the effective date of such judgment. Any written comments relating to such proposal and any responses by the United States thereto, shall also be filed with such district court and published by the United States in the Federal Register within such sixty-day period. Copies of such proposal and any other materials and documents which the United States considered determinative in formulating such proposal, shall also be made available to the public at the district court and in such other districts as the court may subsequently direct. Simultaneously with the filing of such proposal, unless otherwise instructed by the court, the United States shall file with the district court, publish in the Federal Register, and thereafter furnish to any person upon request, a competitive impact statement which shall recite—
(1) the nature and purpose of the proceeding;
(2) a description of the practices or events giving rise to the alleged violation of the antitrust laws;
(3) an explanation of the proposal for a consent judgment, including an explanation of any unusual circumstances giving rise to such proposal or any provision contained therein, relief to be obtained thereby, and the anticipated effects on competition of such relief;
(4) the remedies available to potential private plaintiffs damaged by the alleged violation in the event that such proposal for the consent judgment is entered in such proceeding;
(5) a description of the procedures available for modification of such proposal; and
(6) a description and evaluation of alternatives to such proposal actually considered by the United States.
(c) Publication of summaries in newspapers The United States shall also cause to be published, commencing at least 60 days prior to the effective date of the judgment described in subsection (b) of this section, for 7 days over a period of 2 weeks in newspapers of general circulation of the district in which the case has been filed, in the District of Columbia, and in such other districts as the court may direct—
(i) a summary of the terms of the proposal for consent judgment,
(ii) a summary of the competitive impact statement filed under subsection (b),
(iii) and a list of the materials and documents under subsection (b) which the United States shall make available for purposes of meaningful public comment, and the place where such materials and documents are available for public inspection.
(d) Consideration of public comments by Attorney General and publication of response During the 60-day period as specified in subsection (b) of this section, and such additional time as the United States may request and the court may grant, the United States shall receive and consider any written comments relating to the proposal for the consent judgment submitted under subsection (b). The Attorney General or his designee shall establish procedures to carry out the provisions of this subsection, but such 60-day time period shall not be shortened except by order of the district court upon a showing that (1) extraordinary circumstances require such shortening and (2) such shortening is not adverse to the public interest. At the close of the period during which such comments may be received, the United States shall file with the district court and cause to be published in the Federal Register a response to such comments. Upon application by the United States, the district court may, for good cause (based on a finding that the expense of publication in the Federal Register exceeds the public interest benefits to be gained from such publication), authorize an alternative method of public dissemination of the public comments received and the response to those comments.
(e) Public interest determination (1) Before entering any consent judgment proposed by the United States under this section, the court shall determine that the entry of such judgment is in the public interest. For the purpose of such determination, the court shall consider—
(A) the competitive impact of such judgment, including termination of alleged violations, provisions for enforcement and modification, duration of relief sought, anticipated effects of alternative remedies actually considered, whether its terms are ambiguous, and any other competitive considerations bearing upon the adequacy of such judgment that the court deems necessary to a determination of whether the consent judgment is in the public interest; and
(B) the impact of entry of such judgment upon competition in the relevant market or markets, upon the public generally and individuals alleging specific injury from the violations set forth in the complaint including consideration of the public benefit, if any, to be derived from a determination of the issues at trial.
(2) Nothing in this section shall be construed to require the court to conduct an evidentiary hearing or to require the court to permit anyone to intervene.
(f) Procedure for public interest determination In making its determination under subsection (e), the court may—
(1) take testimony of Government officials or experts or such other expert witnesses, upon motion of any party or participant or upon its own motion, as the court may deem appropriate;
(2) appoint a special master and such outside consultants or expert witnesses as the court may deem appropriate; and request and obtain the views, evaluations, or advice of any individual, group or agency of government with respect to any aspects of the proposed judgment or the effect of such judgment, in such manner as the court deems appropriate;
(3) authorize full or limited participation in proceedings before the court by interested persons or agencies, including appearance amicus curiae, intervention as a party pursuant to the Federal Rules of Civil Procedure, examination of witnesses or documentary materials, or participation in any other manner and extent which serves the public interest as the court may deem appropriate;
(4) review any comments including any objections filed with the United States under subsection (d) concerning the proposed judgment and the responses of the United States to such comments and objections; and
(5) take such other action in the public interest as the court may deem appropriate.
(g) Filing of written or oral communications with the district court Not later than 10 days following the date of the filing of any proposal for a consent judgment under subsection (b), each defendant shall file with the district court a description of any and all written or oral communications by or on behalf of such defendant, including any and all written or oral communications on behalf of such defendant by any officer, director, employee, or agent of such defendant, or other person, with any officer or employee of the United States concerning or relevant to such proposal, except that any such communications made by counsel of record alone with the Attorney General or the employees of the Department of Justice alone shall be excluded from the requirements of this subsection. Prior to the entry of any consent judgment pursuant to the antitrust laws, each defendant shall certify to the district court that the requirements of this subsection have been complied with and that such filing is a true and complete description of such communications known to the defendant or which the defendant reasonably should have known.
(h) Inadmissibility as evidence of proceedings before the district court and the competitive impact statement Proceedings before the district court under subsections (e) and (f) of this section, and the competitive impact statement filed under subsection (b) of this section, shall not be admissible against any defendant in any action or proceeding brought by any other party against such defendant under the antitrust laws or by the United States under section 15a of this title nor constitute a basis for the introduction of the consent judgment as prima facie evidence against such defendant in any such action or proceeding.
(i) Suspension of limitations Whenever any civil or criminal proceeding is instituted by the United States to prevent, restrain, or punish violations of any of the antitrust laws, but not including an action under section 15a of this title, the running of the statute of limitations in respect to every private or State right of action arising under said laws and based in whole or in part on any matter complained of in said proceeding shall be suspended during the pendency thereof and for one year thereafter: Provided, however, That whenever the running of the statute of limitations in respect of a cause of action arising under section 15 or 15c of this title is suspended hereunder, any action to enforce such cause of action shall be forever barred unless commenced either within the period of suspension or within four years after the cause of action accrued.
(Oct. 15, 1914, ch. 323, § 5, 38 Stat. 731; July 7, 1955, ch. 283, § 2, 69 Stat. 283; Pub. L. 93528, § 2, Dec. 21, 1974, 88 Stat. 1706; Pub. L. 94435, title III, § 302(2), Sept. 30, 1976, 90 Stat. 1396; Pub. L. 96349, § 5(a), Sept. 12, 1980, 94 Stat. 1157; Pub. L. 108237, title II, § 221(b), June 22, 2004, 118 Stat. 668.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in subsecs. (a), (b), and (g) to (i), are defined in section 12 of this title.
Amendments2004—Subsec. (d). Pub. L. 108237, § 221(b)(1), inserted at end “Upon application by the United States, the district court may, for good cause (based on a finding that the expense of publication in the Federal Register exceeds the public interest benefits to be gained from such publication), authorize an alternative method of public dissemination of the public comments received and the response to those comments.” Subsec. (e). Pub. L. 108237, § 221(b)(2), designated introductory provisions as par. (1), substituted “court shall” for “court may”, added subpars. (A) and (B) and par. (2), and struck out former pars. (1) and (2) which read as follows: “(1) the competitive impact of such judgment, including termination of alleged violations, provisions for enforcement and modification, duration or relief sought, anticipated effects of alternative remedies actually considered, and any other considerations bearing upon the adequacy of such judgment; “(2) the impact of entry of such judgment upon the public generally and individuals alleging specific injury from the violations set forth in the complaint including consideration of the public benefit, if any, to be derived from a determination of the issues at trial.” Subsec. (g). Pub. L. 108237, § 221(b)(3), inserted “by any officer, director, employee, or agent of such defendant” before “, or other person” in first sentence. 1980—Subsec. (a). Pub. L. 96349 made collateral estoppel inapplicable in any action or proceeding brought under the antitrust laws to any finding made by the Commission under the antitrust laws or under section 45 of this title which could give rise to a claim for relief under the antitrust laws; struck out “or by the United States under section 15a of this title,” after “under said laws”; and deleted from proviso “or to judgments or decrees entered in actions under section 15a of this title” after “testimony has been taken”. 1976—Pub. L. 94435 substituted “private or State right of action” for “private right of action” and “section 15 or 15c” for “section 15”. 1974—Subsecs. (b) to (i). Pub. L. 93528 added subsecs. (b) to (h) and redesignated former subsec. (b) as (i). 1955—Act July 7, 1955, substituted subsec. (a) for first paragraph, to provide that final judgments in actions under the antitrust laws by the United States shall be prima facie evidence in damage suits by the United States as well as in private damage suits, and substituted subsec. (b) for second paragraph, to provide for a one-year suspension of limitations.
Statutory Notes and Related Subsidiaries
Effective Date of 1980 AmendmentPub. L. 96349, § 5(b), Sept. 12, 1980, 94 Stat. 1157, provided that: “The amendments made by this section [amending this section] shall apply only with respect to actions commenced after the date of the enactment of this Act [Sept. 12, 1980].”
Suspension of LimitationAct Oct. 10, 1942, ch. 589, 56 Stat. 781, as amended June 30, 1945, ch. 213, 59 Stat. 306, provided for the suspension of any existing statutes of limitations relating to violations of antitrust laws now indictable or subject to civil proceedings under any existing statutes, until June 30, 1946.
Findings and Purposes of 2004 AmendmentPub. L. 108237, title II, § 221(a), June 22, 2004, 118 Stat. 668, provided that: “(1) Findings.—Congress finds that—“(A) the purpose of the Tunney Act [probably means section 2 of Pub. L. 93528 which amended this section] was to ensure that the entry of antitrust consent judgments is in the public interest; and “(B) it would misconstrue the meaning and Congressional intent in enacting the Tunney Act to limit the discretion of district courts to review antitrust consent judgments solely to determining whether entry of those consent judgments would make a mockery of the judicial function. “(2) Purposes.—The purpose of this section [amending this section] is to effectuate the original Congressional intent in enacting the Tunney Act and to ensure that United States settlements of civil antitrust suits are in the public interest.”
@@ -0,0 +1,41 @@
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# 15 U.S.C. § 17 - Antitrust laws not applicable to labor organizations
## Text
The labor of a human being is not a commodity or article of commerce. Nothing contained in the antitrust laws shall be construed to forbid the existence and operation of labor, agricultural, or horticultural organizations, instituted for the purposes of mutual help, and not having capital stock or conducted for profit, or to forbid or restrain individual members of such organizations from lawfully carrying out the legitimate objects thereof; nor shall such organizations, or the members thereof, be held or construed to be illegal combinations or conspiracies in restraint of trade, under the antitrust laws.
(Oct. 15, 1914, ch. 323, § 6, 38 Stat. 731.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in text, are defined in section 12 of this title.
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# 15 U.S.C. § 18 - Acquisition by one corporation of stock of another
## Text
No person engaged in commerce or in any activity affecting commerce shall acquire, directly or indirectly, the whole or any part of the stock or other share capital and no person subject to the jurisdiction of the Federal Trade Commission shall acquire the whole or any part of the assets of another person engaged also in commerce or in any activity affecting commerce, where in any line of commerce or in any activity affecting commerce in any section of the country, the effect of such acquisition may be substantially to lessen competition, or to tend to create a monopoly. No person shall acquire, directly or indirectly, the whole or any part of the stock or other share capital and no person subject to the jurisdiction of the Federal Trade Commission shall acquire the whole or any part of the assets of one or more persons engaged in commerce or in any activity affecting commerce, where in any line of commerce or in any activity affecting commerce in any section of the country, the effect of such acquisition, of such stocks or assets, or of the use of such stock by the voting or granting of proxies or otherwise, may be substantially to lessen competition, or to tend to create a monopoly. This section shall not apply to persons purchasing such stock solely for investment and not using the same by voting or otherwise to bring about, or in attempting to bring about, the substantial lessening of competition. Nor shall anything contained in this section prevent a corporation engaged in commerce or in any activity affecting commerce from causing the formation of subsidiary corporations for the actual carrying on of their immediate lawful business, or the natural and legitimate branches or extensions thereof, or from owning and holding all or a part of the stock of such subsidiary corporations, when the effect of such formation is not to substantially lessen competition. Nor shall anything herein contained be construed to prohibit any common carrier subject to the laws to regulate commerce from aiding in the construction of branches or short lines so located as to become feeders to the main line of the company so aiding in such construction or from acquiring or owning all or any part of the stock of such branch lines, nor to prevent any such common carrier from acquiring and owning all or any part of the stock of a branch or short line constructed by an independent company where there is no substantial competition between the company owning the branch line so constructed and the company owning the main line acquiring the property or an interest therein, nor to prevent such common carrier from extending any of its lines through the medium of the acquisition of stock or otherwise of any other common carrier where there is no substantial competition between the company extending its lines and the company whose stock, property, or an interest therein is so acquired. Nothing contained in this section shall be held to affect or impair any right heretofore legally acquired: Provided, That nothing in this section shall be held or construed to authorize or make lawful anything heretofore prohibited or made illegal by the antitrust laws, nor to exempt any person from the penal provisions thereof or the civil remedies therein provided. Nothing contained in this section shall apply to transactions duly consummated pursuant to authority given by the Secretary of Transportation, Federal Power Commission, Surface Transportation Board, the Securities and Exchange Commission in the exercise of its jurisdiction under section 79j of this title,11 See References in Text note below. the United States Maritime Commission, or the Secretary of Agriculture under any statutory provision vesting such power in such Commission, Board, or Secretary.
(Oct. 15, 1914, ch. 323, § 7, 38 Stat. 731; Dec. 29, 1950, ch. 1184, 64 Stat. 1125; Pub. L. 96349, § 6(a), Sept. 12, 1980, 94 Stat. 1157; Pub. L. 98443, § 9(l), Oct. 4, 1984, 98 Stat. 1708; Pub. L. 10488, title III, § 318(1), Dec. 29, 1995, 109 Stat. 949; Pub. L. 104104, title VI, § 601(b)(3), Feb. 8, 1996, 110 Stat. 143.)
## Notes
Editorial Notes
References in TextSection 79j of this title, referred to in text, was repealed by Pub. L. 10958, title XII, § 1263, Aug. 8, 2005, 119 Stat. 974.
Amendments1996—Pub. L. 104104, in sixth par., struck out “Federal Communications Commission,” after “Secretary of Transportation,”. 1995—Pub. L. 10488, in sixth par., substituted “Surface Transportation Board” for “Interstate Commerce Commission” and inserted “, Board,” after “vesting such power in such Commission”. 1984—Pub. L. 98443 substituted “Secretary of Transportation” for “Civil Aeronautics Board” and “Commission or Secretary” for “Commission, Secretary, or Board” in sixth par. 1980—Pub. L. 96349, substituted “person” for “corporation” wherever appearing in first and second pars.; substituted “persons” for “corporations” in second par. and first sentence of third par.; and inserted “or in any activity affecting commerce” after “commerce” wherever appearing in first, second, and third pars. 1950—Act Dec. 29, 1950, amended section generally so as to prohibit the acquisition of the whole or any part of the assets of another corporation when the effect of the acquisition may substantially lessen competition or tend to create a monopoly.
Statutory Notes and Related Subsidiaries
Effective Date of 1995 AmendmentAmendment by Pub. L. 10488 effective Jan. 1, 1996, see section 2 of Pub. L. 10488, set out as an Effective Date note under section 1301 of Title 49, Transportation.
Effective Date of 1984 AmendmentAmendment by Pub. L. 98443 effective Jan. 1, 1985, see section 9(v) of Pub. L. 98443, set out as a note under section 5314 of Title 5, Government Organization and Employees.
Effective Date of 1980 AmendmentPub. L. 96349, § 6(b), Sept. 12, 1980, 94 Stat. 1158, provided that: “The amendments made by this section [amending this section] shall apply only with respect to acquisitions made after the date of the enactment of this Act [Sept. 12, 1980].”
Transfer of Functions The Federal Power Commission was terminated, and its functions, personnel, property, funds, etc., were transferred to the Secretary of Energy (except for certain functions which were transferred to the Federal Energy Regulatory Commission) by sections 7151(b), 7171(a), 7172(a), 7291, and 7293 of Title 42, The Public Health and Welfare. Maritime Administration of Department of Commerce transferred to Department of Transportation, and all related functions of Secretary and other officers and offices of Department of Commerce transferred to Department of Transportation and vested in Secretary of Transportation, by Maritime Act of 1981, Pub. L. 9731, Aug. 6, 1981, 95 Stat. 151, which was repealed in part by Pub. L. 109304, § 19, Oct. 6, 2006, 120 Stat. 1710. See section 109 of Title 49, Transportation.
Executive Documents
Transfer of Functions Executive and administrative functions of Maritime Commission transferred to Chairman of Maritime Commission by Reorg. Plan No. 6 of 1949, eff. Aug. 19, 1949, 14 F.R. 5228, 63 Stat. 1069, which was repealed by Pub. L. 109304, § 19, Oct. 6, 2006, 120 Stat. 1710, and was formerly set out in the Appendix to Title 5, Government Organization and Employees. United States Maritime Commission abolished by Reorg. Plan No. 21 of 1950, eff. May 24, 1950, 15 F.R. 3178, 64 Stat. 1273, which was superseded in part by Reorg. Plan No. 7 of 1961, § 305, eff. Aug. 12, 1961, 26 F.R. 7315, 75 Stat. 840, repealed in part by Pub. L. 109304, § 19, Oct. 6, 2006, 120 Stat. 1710, and remains only partially set out in the Appendix to Title 5. Reorg. Plan No. 21 of 1950 transferred part of Commissions functions and part of functions of its Chairman, to Federal Maritime Board and Chairman thereof, such Board having been created by that Plan as an agency within Department of Commerce with an independent status in some respects, and transferred remainder of such Commissions functions and functions of its Chairman to Secretary of Commerce, with power vested in Secretary to authorize their performance by Maritime Administrator (the head of Maritime Administration, which likewise established by the Plan in Department of Commerce) with provision that Chairman of Federal Maritime Board should, ex officio, be such Administrator. Section 304 of Reorg. Plan No. 7 of 1961, eff. Aug. 12, 1961, 26 F.R. 7315, 75 Stat. 840, set out in the Appendix to Title 5, abolished Federal Maritime Board, including offices of members of Board. Functions of Board transferred either to Federal Maritime Commission, by section 103 of Reorg. Plan No. 7 of 1961, which was repealed by Pub. L. 109304, § 19, Oct. 6, 2006, 120 Stat. 1710 and formerly set out in the Appendix to Title 5, or to Secretary of Commerce, by section 202 of Reorg. Plan No. 7 of 1961, set out in the Appendix to Title 5.
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# 15 U.S.C. § 18a - Premerger notification and waiting period
## Text
(a) Filing Except as exempted pursuant to subsection (c), no person shall acquire, directly or indirectly, any voting securities or assets of any other person, unless both persons (or in the case of a tender offer, the acquiring person) file notification pursuant to rules under subsection (d)(1) and the waiting period described in subsection (b)(1) has expired, if—
(1) the acquiring person, or the person whose voting securities or assets are being acquired, is engaged in commerce or in any activity affecting commerce; and
(2) as a result of such acquisition, the acquiring person would hold an aggregate total amount of the voting securities and assets of the acquired person—
(A) in excess of $200,000,000 (as adjusted and published for each fiscal year beginning after September 30, 2004, in the same manner as provided in section 19(a)(5) of this title to reflect the percentage change in the gross national product for such fiscal year compared to the gross national product for the year ending September 30, 2003); or
(B) (i) in excess of $50,000,000 (as so adjusted and published) but not in excess of $200,000,000 (as so adjusted and published); and
(ii) (I) any voting securities or assets of a person engaged in manufacturing which has annual net sales or total assets of $10,000,000 (as so adjusted and published) or more are being acquired by any person which has total assets or annual net sales of $100,000,000 (as so adjusted and published) or more;
(II) any voting securities or assets of a person not engaged in manufacturing which has total assets of $10,000,000 (as so adjusted and published) or more are being acquired by any person which has total assets or annual net sales of $100,000,000 (as so adjusted and published) or more; or
(III) any voting securities or assets of a person with annual net sales or total assets of $100,000,000 (as so adjusted and published) or more are being acquired by any person with total assets or annual net sales of $10,000,000 (as so adjusted and published) or more.
In the case of a tender offer, the person whose voting securities are sought to be acquired by a person required to file notification under this subsection shall file notification pursuant to rules under subsection (d).
(b) Waiting period; publication; voting securities (1) The waiting period required under subsection (a) shall—
(A) begin on the date of the receipt by the Federal Trade Commission and the Assistant Attorney General in charge of the Antitrust Division of the Department of Justice (hereinafter referred to in this section as the “Assistant Attorney General”) of—
(i) the completed notification required under subsection (a), or
(ii) if such notification is not completed, the notification to the extent completed and a statement of the reasons for such noncompliance,
from both persons, or, in the case of a tender offer, the acquiring person; and
(B) end on the thirtieth day after the date of such receipt (or in the case of a cash tender offer, the fifteenth day), or on such later date as may be set under subsection (e)(2) or (g)(2).
(2) The Federal Trade Commission and the Assistant Attorney General may, in individual cases, terminate the waiting period specified in paragraph (1) and allow any person to proceed with any acquisition subject to this section, and promptly shall cause to be published in the Federal Register a notice that neither intends to take any action within such period with respect to such acquisition.
(3) As used in this section—
(A) The term “voting securities” means any securities which at present or upon conversion entitle the owner or holder thereof to vote for the election of directors of the issuer or, with respect to unincorporated issuers, persons exercising similar functions.
(B) The amount or percentage of voting securities or assets of a person which are acquired or held by another person shall be determined by aggregating the amount or percentage of such voting securities or assets held or acquired by such other person and each affiliate thereof.
(c) Exempt transactions The following classes of transactions are exempt from the requirements of this section—
(1) acquisitions of goods or realty transferred in the ordinary course of business;
(2) acquisitions of bonds, mortgages, deeds of trust, or other obligations which are not voting securities;
(3) acquisitions of voting securities of an issuer at least 50 per centum of the voting securities of which are owned by the acquiring person prior to such acquisition;
(4) transfers to or from a Federal agency or a State or political subdivision thereof;
(5) transactions specifically exempted from the antitrust laws by Federal statute;
(6) transactions specifically exempted from the antitrust laws by Federal statute if approved by a Federal agency, if copies of all information and documentary material filed with such agency are contemporaneously filed with the Federal Trade Commission and the Assistant Attorney General;
(7) transactions which require agency approval under section 1467a(e) of title 12, section 1828(c) of title 12, or section 1842 of title 12, except that a portion of a transaction is not exempt under this paragraph if such portion of the transaction (A) is subject to section 1843(k) of title 12; and (B) does not require agency approval under section 1842 of title 12;
(8) transactions which require agency approval under section 1843 of title 12 or section 1464 of title 12, if copies of all information and documentary material filed with any such agency are contemporaneously filed with the Federal Trade Commission and the Assistant Attorney General at least 30 days prior to consummation of the proposed transaction, except that a portion of a transaction is not exempt under this paragraph if such portion of the transaction (A) is subject to section 1843(k) of title 12; and (B) does not require agency approval under section 1843 of title 12;
(9) acquisitions, solely for the purpose of investment, of voting securities, if, as a result of such acquisition, the securities acquired or held do not exceed 10 per centum of the outstanding voting securities of the issuer;
(10) acquisitions of voting securities, if, as a result of such acquisition, the voting securities acquired do not increase, directly or indirectly, the acquiring persons per centum share of outstanding voting securities of the issuer;
(11) acquisitions, solely for the purpose of investment, by any bank, banking association, trust company, investment company, or insurance company, of (A) voting securities pursuant to a plan of reorganization or dissolution; or (B) assets in the ordinary course of its business; and
(12) such other acquisitions, transfers, or transactions, as may be exempted under subsection (d)(2)(B).
(d) Commission rules The Federal Trade Commission, with the concurrence of the Assistant Attorney General and by rule in accordance with section 553 of title 5, consistent with the purposes of this section—
(1) shall require that the notification required under subsection (a) be in such form and contain such documentary material and information relevant to a proposed acquisition as is necessary and appropriate to enable the Federal Trade Commission and the Assistant Attorney General to determine whether such acquisition may, if consummated, violate the antitrust laws; and
(2) may—
(A) define the terms used in this section;
(B) exempt, from the requirements of this section, classes of persons, acquisitions, transfers, or transactions which are not likely to violate the antitrust laws; and
(C) prescribe such other rules as may be necessary and appropriate to carry out the purposes of this section.
(e) Additional information; waiting period extensions (1) (A) The Federal Trade Commission or the Assistant Attorney General may, prior to the expiration of the 30-day waiting period (or in the case of a cash tender offer, the 15-day waiting period) specified in subsection (b)(1) of this section, require the submission of additional information or documentary material relevant to the proposed acquisition, from a person required to file notification with respect to such acquisition under subsection (a) of this section prior to the expiration of the waiting period specified in subsection (b)(1) of this section, or from any officer, director, partner, agent, or employee of such person.
(B) (i) The Assistant Attorney General and the Federal Trade Commission shall each designate a senior official who does not have direct responsibility for the review of any enforcement recommendation under this section concerning the transaction at issue, to hear any petition filed by such person to determine—
(I) whether the request for additional information or documentary material is unreasonably cumulative, unduly burdensome, or duplicative; or
(II) whether the request for additional information or documentary material has been substantially complied with by the petitioning person.
(ii) Internal review procedures for petitions filed pursuant to clause (i) shall include reasonable deadlines for expedited review of such petitions, after reasonable negotiations with investigative staff, in order to avoid undue delay of the merger review process.
(iii) Not later than 90 days after December 21, 2000, the Assistant Attorney General and the Federal Trade Commission shall conduct an internal review and implement reforms of the merger review process in order to eliminate unnecessary burden, remove costly duplication, and eliminate undue delay, in order to achieve a more effective and more efficient merger review process.
(iv) Not later than 120 days after December 21, 2000, the Assistant Attorney General and the Federal Trade Commission shall issue or amend their respective industry guidance, regulations, operating manuals and relevant policy documents, to the extent appropriate, to implement each reform in this subparagraph.
(v) Not later than 180 days after December 21, 2000, the Assistant Attorney General and the Federal Trade Commission shall each report to Congress—
(I) which reforms each agency has adopted under this subparagraph;
(II) which steps each has taken to implement such internal reforms; and
(III) the effects of such reforms.
(2) The Federal Trade Commission or the Assistant Attorney General, in its or his discretion, may extend the 30-day waiting period (or in the case of a cash tender offer, the 15-day waiting period) specified in subsection (b)(1) of this section for an additional period of not more than 30 days (or in the case of a cash tender offer, 10 days) after the date on which the Federal Trade Commission or the Assistant Attorney General, as the case may be, receives from any person to whom a request is made under paragraph (1), or in the case of tender offers, the acquiring person, (A) all the information and documentary material required to be submitted pursuant to such a request, or (B) if such request is not fully complied with, the information and documentary material submitted and a statement of the reasons for such noncompliance. Such additional period may be further extended only by the United States district court, upon an application by the Federal Trade Commission or the Assistant Attorney General pursuant to subsection (g)(2).
(f) Preliminary injunctions; hearings If a proceeding is instituted or an action is filed by the Federal Trade Commission, alleging that a proposed acquisition violates section 18 of this title, or section 45 of this title, or an action is filed by the United States, alleging that a proposed acquisition violates such section 18 of this title, or section 1 or 2 of this title, and the Federal Trade Commission or the Assistant Attorney General (1) files a motion for a preliminary injunction against consummation of such acquisition pendente lite, and (2) certifies the United States district court for the judicial district within which the respondent resides or carries on business, or in which the action is brought, that it or he believes that the public interest requires relief pendente lite pursuant to this subsection, then upon the filing of such motion and certification, the chief judge of such district court shall immediately notify the chief judge of the United States court of appeals for the circuit in which such district court is located, who shall designate a United States district judge to whom such action shall be assigned for all purposes.
(g) Civil penalty; compliance; power of court (1) Any person, or any officer, director, or partner thereof, who fails to comply with any provision of this section shall be liable to the United States for a civil penalty of not more than $10,000 for each day during which such person is in violation of this section. Such penalty may be recovered in a civil action brought by the United States.
(2) If any person, or any officer, director, partner, agent, or employee thereof, fails substantially to comply with the notification requirement under subsection (a) or any request for the submission of additional information or documentary material under subsection (e)(1) of this section within the waiting period specified in subsection (b)(1) and as may be extended under subsection (e)(2), the United States district court—
(A) may order compliance;
(B) shall extend the waiting period specified in subsection (b)(1) and as may have been extended under subsection (e)(2) until there has been substantial compliance, except that, in the case of a tender offer, the court may not extend such waiting period on the basis of a failure, by the person whose stock is sought to be acquired, to comply substantially with such notification requirement or any such request; and
(C) may grant such other equitable relief as the court in its discretion determines necessary or appropriate,
upon application of the Federal Trade Commission or the Assistant Attorney General.
(h) Disclosure exemption Any information or documentary material filed with the Assistant Attorney General or the Federal Trade Commission pursuant to this section shall be exempt from disclosure under section 552 of title 5, and no such information or documentary material may be made public, except as may be relevant to any administrative or judicial action or proceeding. Nothing in this section is intended to prevent disclosure to either body of Congress or to any duly authorized committee or subcommittee of the Congress.
(i) Construction with other laws (1) Any action taken by the Federal Trade Commission or the Assistant Attorney General or any failure of the Federal Trade Commission or the Assistant Attorney General to take any action under this section shall not bar any proceeding or any action with respect to such acquisition at any time under any other section of this Act or any other provision of law.
(2) Nothing contained in this section shall limit the authority of the Assistant Attorney General or the Federal Trade Commission to secure at any time from any person documentary material, oral testimony, or other information under the Antitrust Civil Process Act [15 U.S.C. 1311 et seq.], the Federal Trade Commission Act [15 U.S.C. 41 et seq.], or any other provision of law.
(j) Omitted
(k) Extensions of time If the end of any period of time provided in this section falls on a Saturday, Sunday, or legal public holiday (as defined in section 6103(a) of title 5), then such period shall be extended to the end of the next day that is not a Saturday, Sunday, or legal public holiday.
(Oct. 15, 1914, ch. 323, § 7A, as added Pub. L. 94435, title II, § 201, Sept. 30, 1976, 90 Stat. 1390; amended Pub. L. 98620, title IV, § 402(10)(A), Nov. 8, 1984, 98 Stat. 3358; Pub. L. 10173, title XII, § 1214, Aug. 9, 1989, 103 Stat. 529; Pub. L. 106102, title I, § 133(c), Nov. 12, 1999, 113 Stat. 1383; Pub. L. 106553, § 1(a)(2) [title VI, § 630(a), (c), (d)], Dec. 21, 2000, 114 Stat. 2762, 2762A108, 2762A110.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in subsecs. (c) and (d), are defined in section 12 of this title. This Act, referred to in subsec. (i)(1), is act Oct. 15, 1914, ch. 323, 38 Stat. 730, known as the Clayton Act, which is classified generally to sections 12, 13, 14 to 19, 21, and 22 to 27 of this title, and sections 52 and 53 of Title 29, Labor. For further details and complete classification of this Act to the Code, see References in Text note set out under section 12 of this title and Tables. The Federal Trade Commission Act, referred to in subsec. (i)(2), is act Sept. 26, 1914, ch. 311, 38 Stat. 717, which is classified generally to subchapter I (§ 41 et seq.) of chapter 2 of this title. For complete classification of this Act to the Code, see section 58 of this title and Tables. The Antitrust Civil Process Act, referred to in subsec. (i)(2), is Pub. L. 87664, Sept. 19, 1962, 76 Stat. 548, which is classified principally to chapter 34 (§ 1311 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set out under section 1311 of this title and Tables.
Codification December 21, 2000, referred to in subsec. (e)(1)(B), was in the original “the date of the enactment of this Act” which was translated as meaning the date of enactment of Pub. L. 106553, which enacted subsec. (e)(1)(B), to reflect the probable intent of Congress. Subsection (j), which required the Federal Trade Commission, with the concurrence of the Assistant Attorney General, to report annually to Congress on the operation of this section, terminated, effective May 15, 2000, pursuant to section 3003 of Pub. L. 10466, as amended, set out as a note under section 1113 of Title 31, Money and Finance. See, also, page 172 of House Document No. 1037.
Amendments2000—Subsec. (a). Pub. L. 106553, § 1(a)(2) [title VI, § 630(a)], amended subsec. (a) generally, reenacting introductory provisions, par. (1), and concluding provisions without change, adding par. (2), and striking out former pars. (2) and (3) which read as follows: “(2)(A) any voting securities or assets of a person engaged in manufacturing which has annual net sales or total assets of $10,000,000 or more are being acquired by any person which has total assets or annual net sales of $100,000,000 or more; “(B) any voting securities or assets of a person not engaged in manufacturing which has total assets of $10,000,000 or more are being acquired by any person which has total assets or annual net sales of $100,000,000 or more; or “(C) any voting securities or assets of a person with annual net sales or total assets of $100,000,000 or more are being acquired by any person with total assets or annual net sales of $10,000,000 or more; and “(3) as a result of such acquisition, the acquiring person would hold— “(A) 15 per centum or more of the voting securities or assets of the acquired person, or “(B) an aggregate total amount of the voting securities and assets of the acquired person in excess of $15,000,000.” Subsec. (e)(1). Pub. L. 106553, § 1(a)(2) [title VI, § 630(c)], designated existing provisions as subpar. (A) and added subpar. (B). Subsec. (e)(2). Pub. L. 106553, § 1(a)(2) [title VI, § 630(d)(1)], substituted “30 days” for “20 days”. Subsec. (k). Pub. L. 106553, § 1(a)(2) [title VI, § 630(d)(2)], added subsec. (k). 1999—Subsec. (c)(7). Pub. L. 106102, § 133(c)(1), inserted before semicolon at end “, except that a portion of a transaction is not exempt under this paragraph if such portion of the transaction (A) is subject to section 1843(k) of title 12; and (B) does not require agency approval under section 1842 of title 12”. Subsec. (c)(8). Pub. L. 106102, § 133(c)(2), inserted before semicolon at end “, except that a portion of a transaction is not exempt under this paragraph if such portion of the transaction (A) is subject to section 1843(k) of title 12; and (B) does not require agency approval under section 1843 of title 12”. 1989—Subsec. (c)(7). Pub. L. 10173, § 1214(1), inserted reference to section 1467a(e) of title 12. Subsec. (c)(8). Pub. L. 10173, § 1214(2), struck out reference to section 1726 or 1730a(e) of title 12. 1984—Subsec. (f)(2). Pub. L. 98620 struck out designation “(A)” before “upon the filing”, and struck out subpar. (B) which had provided that if the Federal Trade Commission or the Assistant Attorney General certified that he or it believed that the public interest required relief pendente lite pursuant to this subsection, the motion for a preliminary injunction had to be set down for hearing by the district judge so designated at the earliest practicable time, would take precedence over all matters except older matters of the same character and trials pursuant to section 3161 of title 18, and had to be in every way expedited.
Statutory Notes and Related Subsidiaries
Effective Date of 2000 AmendmentPub. L. 106553, § 1(a)(2) [title VI, § 630(e)], Dec. 21, 2000, 114 Stat. 2762, 2762A111, provided that: “This section [amending this section and provisions set out as a note under this section] and the amendments made by this section shall take effect on the 1st day of the 1st month that begins more than 30 days after the date of the enactment of this Act [Dec. 21, 2000].”
Effective Date of 1999 AmendmentAmendment by Pub. L. 106102 effective 120 days after Nov. 12, 1999, see section 161 of Pub. L. 106102, set out as a note under section 24 of Title 12, Banks and Banking.
Effective Date of 1984 AmendmentAmendment by Pub. L. 98620 not applicable to cases pending on Nov. 8, 1984, see section 403 of Pub. L. 98620, set out as an Effective Date note under section 1657 of Title 28, Judiciary and Judicial Procedure.
Effective DatePub. L. 94435, title II, § 202, Sept. 30, 1976, 90 Stat. 1394, provided that: “The amendment made by section 201 of this Act [enacting this section] shall take effect 150 days after the date of enactment of this Act [Sept. 30, 1976], except that subsection (d) of section 7A of the Clayton Act [subsec. (d) of this section] (as added by section 201 of this Act) shall take effect on the date of enactment of this Act.”
Department of Defense Notification of Certain TransactionsPub. L. 11831, div. A, title VIII, § 857, Dec. 22, 2023, 137 Stat. 346, provided that: “The parties to a proposed merger or acquisition that will require a review by the Department of Defense who are required to file the notification and provide supplementary information to the Department of Justice or the Federal Trade Commission under section 7A of the Clayton Act (15 U.S.C. 18a) shall concurrently provide such information to the Department of Defense during the waiting period under section 7A of the Clayton Act (15 U.S.C. 18a).”
Assessment and Collection of Filing FeesPub. L. 101162, title VI, § 605, Nov. 21, 1989, 103 Stat. 1031, as amended by Pub. L. 101302, title II, May 25, 1990, 104 Stat. 217; Pub. L. 102395, title I, Oct. 6, 1992, 106 Stat. 1847; Pub. L. 103317, title I, Aug. 26, 1994, 108 Stat. 1739; Pub. L. 106553, § 1(a)(2) [title VI, § 630(b)], Dec. 21, 2000, 114 Stat. 2762, 2762A109; Pub. L. 117328, div. GG, title I, § 101, Dec. 29, 2022, 136 Stat. 5967, provided that: “(a) Five working days after enactment of this Act [Nov. 21, 1989] and thereafter, the Federal Trade Commission shall assess and collect filing fees established in subsection (b) which shall be paid by persons acquiring voting securities or assets who are required to file premerger notifications by the [sic] section 7A of the Clayton Act (15 U.S.C. 18a) and the regulations promulgated thereunder. For purposes of said Act, no notification shall be considered filed until payment of the fee required by this section. Fees collected pursuant to this section shall be divided evenly between and credited to the appropriations, Federal Trade Commission, Salaries and Expenses and Department of Justice, Salaries and Expenses, Antitrust Division: Provided, That fees in excess of $40,000,000 in fiscal year 1990 shall be deposited to the credit of the Treasury of the United States: Provided further, That fees made available to the Federal Trade Commission and the Antitrust Division herein shall remain available until expended. “(b) The filing fees referred to in subsection (a) are—“(1) $30,000 if the aggregate total amount determined under section 7A(a)(2) of the Clayton Act (15 U.S.C. 18a(a)(2)) is less than $161,500,000 (as adjusted and published for each fiscal year beginning after September 30, 2023, in the same manner as provided in section 8(a)(5) of the Clayton Act (15 U.S.C. 19(a)(5)) to reflect the percentage change in the gross national product for such fiscal year compared to the gross national product for the year ending September 30, 2022); “(2) $100,000 if the aggregate total amount determined under section 7A(a)(2) of the Clayton Act (15 U.S.C. 18a(a)(2)) is not less than $161,500,000 (as so adjusted and published) but is less than $500,000,000 (as so adjusted and published); “(3) $250,000 if the aggregate total amount determined under section 7A(a)(2) of the Clayton Act (15 U.S.C. 18a(a)(2)) is not less than $500,000,000 (as so adjusted and published) but is less than $1,000,000,000 (as so adjusted and published); “(4) $400,000 if the aggregate total amount determined under section 7A(a)(2) of the Clayton Act (15 U.S.C. 18a(a)(2)) is not less than $1,000,000,000 (as so adjusted and published) but is less than $2,000,000,000 (as so adjusted and published); “(5) $800,000 if the aggregate total amount determined under section 7A(a)(2) of the Clayton Act (15 U.S.C. 18a(a)(2)) is not less than $2,000,000,000 (as so adjusted and published) but is less than $5,000,000,000 (as so adjusted and published); and “(6) $2,250,000 if the aggregate total amount determined under section 7A(a)(2) of the Clayton Act (15 U.S.C. 18a(a)(2)) is not less than $5,000,000,000 (as so adjusted and published). “(c)(1) For each fiscal year commencing after September 30, 2023, the filing fees in this section shall be increased by an amount equal to the percentage increase, if any, in the Consumer Price Index, as determined by the Department of Labor or its successor, for the year then ended over the level so established for the year ending September 30, 2022. “(2) As soon as practicable, but not later than January 31 of each year, the Federal Trade Commission shall publish the adjusted amounts required by paragraph (1). “(3) The Federal Trade Commission shall not adjust amounts required by paragraph (1) if the percentage increase described in paragraph (1) is less than 1 percent. “(4) An amount adjusted under this section shall be rounded to the nearest multiple of $5,000.” [Another section 101 of div. GG of Pub. L. 117328 is set out as a note under section 1 of this title.]
@@ -0,0 +1,47 @@
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# 15 U.S.C. § 18b - Mergers involving foreign government subsidies
## Text
(a) Definition In this section, the term “foreign entity of concern” has the meaning given the term in section 18741 of title 42.
(b) Accounting for foreign government subsidies A person required to file a notification under section 18a of this title that received a subsidy from a foreign entity of concern shall include in such notification content regarding such subsidy.
(c) Authority of antitrust regulators The Federal Trade Commission, with the concurrence of the Assistant Attorney General in charge of the Antitrust Division of the Department of Justice, and in consultation with the Chairperson of the Committee on Foreign Investment in the United States, the Secretary of Commerce, the Chair of the United States International Trade Commission, the United States Trade Representative, and the heads of other appropriate agencies, and by rule in accordance with section 553 of title 5, shall require that the notification required under subsection (b) be in such form and contain such documentary material and information relevant to a proposed acquisition as is necessary and appropriate to enable the Federal Trade Commission and the Assistant Attorney General in charge of the Antitrust Division of the Department of Justice to determine whether such acquisition may, if consummated, violate the antitrust laws.
(d) Effective date Subsection (b) shall take effect on the date on which the rule described in subsection (c) takes effect.
(Pub. L. 117328, div. GG, title II, § 202, Dec. 29, 2022, 136 Stat. 5970.)
## Notes
Statutory Notes and Related Subsidiaries
Findings and PurposePub. L. 117328, div. GG, title II, § 201, Dec. 29, 2022, 136 Stat. 5969, provided that: “(a) Findings.—Congress finds the following:“(1) Foreign subsidies, which can take the form of direct subsidies, grants, loans (including below-market loans), loan guarantees, tax concessions, preferential government procurement policies, or government ownership or control, can distort the competitive process by enabling the subsidized firm to submit a bid higher than other firms in the market, or otherwise change the incentives of the firm in ways that undermine competition following an acquisition. “(2) Foreign subsidies are particularly problematic when granted by countries or entities that constitute a strategic or economic threat to United States interests. “(3) The Made in China 2025 plan, states that the Chinese Communist Party will support enterprises to carry out mergers and acquisitions (M&A), equity investment, and venture capital overseas. “(4) The 2020 report to Congress from the bipartisan U.S.-China Economic and Security Review Commission concluded that the Chinese Government subsidizes companies with a goal of their expanding into the United States and other countries, finding that [t]his process assists Chinese national champions in surpassing and supplanting global market leaders. The report warns that the risk is particularly acute when it comes to emerging technologies, where China seeks to surpass and displace the United States altogether [and that] [f]ailure to appreciate the gravity of this challenge and defend U.S. competitiveness would be dire … [and] risks setting back U.S. economic and technological progress for decades. “(5) In remarks before the Hudson Institute on December 8, 2020, FTC Commissioner Noah Phillips stated, [O]ne area where antitrust needs to reckon with the strategic interests of other nations is when we scrutinize mergers or conduct involving state-owned entities … companies that are controlled, to varying degrees, by the state … [and] often are a government tool for implementing industrial policies or to protect national security. “(b) Purpose.—The purpose of this section [probably means “this title”, enacting this section and this note] is to require parties providing pre-merger notifications to include in the notification required under section 7A of the Clayton Act (15 U.S.C. 18a) information concerning subsidies they receive from countries or entities that are strategic or economic threats to the United States.”
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# 15 U.S.C. § 19 - Interlocking directorates and officers
## Text
(a) (1) No person shall, at the same time, serve as a director or officer in any two corporations (other than banks, banking associations, and trust companies) that are—
(A) engaged in whole or in part in commerce; and
(B) by virtue of their business and location of operation, competitors, so that the elimination of competition by agreement between them would constitute a violation of any of the antitrust laws;
if each of the corporations has capital, surplus, and undivided profits aggregating more than $10,000,000 as adjusted pursuant to paragraph (5) of this subsection.
(2) Notwithstanding the provisions of paragraph (1), simultaneous service as a director or officer in any two corporations shall not be prohibited by this section if—
(A) the competitive sales of either corporation are less than $1,000,000, as adjusted pursuant to paragraph (5) of this subsection;
(B) the competitive sales of either corporation are less than 2 per centum of that corporations total sales; or
(C) the competitive sales of each corporation are less than 4 per centum of that corporations total sales.
For purposes of this paragraph, “competitive sales” means the gross revenues for all products and services sold by one corporation in competition with the other, determined on the basis of annual gross revenues for such products and services in that corporations last completed fiscal year. For the purposes of this paragraph, “total sales” means the gross revenues for all products and services sold by one corporation over that corporations last completed fiscal year.
(3) The eligibility of a director or officer under the provisions of paragraph (1) shall be determined by the capital, surplus and undivided profits, exclusive of dividends declared but not paid to stockholders, of each corporation at the end of that corporations last completed fiscal year.
(4) For purposes of this section, the term “officer” means an officer elected or chosen by the Board of Directors.
(5) For each fiscal year commencing after September 30, 1990, the $10,000,000 and $1,000,000 thresholds in this subsection shall be increased (or decreased) as of October 1 each year by an amount equal to the percentage increase (or decrease) in the gross national product, as determined by the Department of Commerce or its successor, for the year then ended over the level so established for the year ending September 30, 1989. As soon as practicable, but not later than January 31 of each year, the Federal Trade Commission shall publish the adjusted amounts required by this paragraph.
(b) When any person elected or chosen as a director or officer of any corporation subject to the provisions hereof is eligible at the time of his election or selection to act for such corporation in such capacity, his eligibility to act in such capacity shall not be affected by any of the provisions hereof by reason of any change in the capital, surplus and undivided profits, or affairs of such corporation from whatever cause, until the expiration of one year from the date on which the event causing ineligibility occurred.
(Oct. 15, 1914, ch. 323, § 8, 38 Stat. 732; May 15, 1916, ch. 120, 39 Stat. 121; May 26, 1920, ch. 206, 41 Stat. 626; Mar. 9, 1928, ch. 165, 45 Stat. 253; Mar. 2, 1929, ch. 581, 45 Stat. 1536; Aug. 23, 1935, ch. 614, § 329, 49 Stat. 717; Pub. L. 101588, § 2, Nov. 16, 1990, 104 Stat. 2879; Pub. L. 103203, § 1, Dec. 17, 1993, 107 Stat. 2368.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in subsec. (a)(1)(B), are defined in section 12 of this title.
Amendments1993—Subsec. (a)(5). Pub. L. 103203 substituted “January 31” for “October 30”. 1990—Pub. L. 101588 amended section generally, completely revising it in form by substituting text divided into a subsec. (a) consisting of five numbered paragraphs and a subsec. (b) consisting of a single unnumbered paragraph for former provisions which had consisted of a series of five undesignated paragraphs, and in substance by increasing the jurisdictional threshold for application of the section to corporations from $1,000,000 in net worth to $10,000,000 in net worth, creating three “de minimis” exceptions to applications of the section in cases of insignificant competitive overlaps, and expanding the section to cover officers elected or chosen by the Board of Directors. 1935—Act Aug. 23, 1935, amended section generally. 1929—Act Mar. 2, 1929, amended second par. 1928—Act Mar. 9, 1928, amended second par.
@@ -0,0 +1,33 @@
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# 15 U.S.C. § 19a - Repealed. Aug. 23, 1935, ch. 614, § 329, 49 Stat. 717
## Notes
Section, act Oct. 15, 1914, ch. 323, § 8a, as added June 16, 1933, ch. 89, § 33, 48 Stat. 194, related to interlocking corporations or partnerships making loans on securities.
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# 15 U.S.C. § 2 - Monopolizing trade a felony; penalty
## Text
Every person who shall monopolize, or attempt to monopolize, or combine or conspire with any other person or persons, to monopolize any part of the trade or commerce among the several States, or with foreign nations, shall be deemed guilty of a felony, and, on conviction thereof, shall be punished by fine not exceeding $100,000,000 if a corporation, or, if any other person, $1,000,000, or by imprisonment not exceeding 10 years, or by both said punishments, in the discretion of the court.
(July 2, 1890, ch. 647, § 2, 26 Stat. 209; July 7, 1955, ch. 281, 69 Stat. 282; Pub. L. 93528, § 3, Dec. 21, 1974, 88 Stat. 1708; Pub. L. 101588, § 4(b), Nov. 16, 1990, 104 Stat. 2880; Pub. L. 108237, title II, § 215(b), June 22, 2004, 118 Stat. 668.)
## Notes
Editorial Notes
Amendments2004—Pub. L. 108237 substituted “$100,000,000” for “$10,000,000”, “$1,000,000” for “$350,000”, and “10” for “three”. 1990—Pub. L. 101588 substituted “$10,000,000” for “one million dollars” and “$350,000” for “one hundred thousand dollars”. 1974—Pub. L. 93528 substituted “a felony, and, on conviction thereof, shall be punished by fine not exceeding one million dollars if a corporation, or, if any other person, one hundred thousand dollars, or by imprisonment not exceeding three years” for “a misdemeanor, and, on conviction thereof, shall be punished by fine not exceeding fifty thousand dollars, or by imprisonment not exceeding one year”. 1955—Act July 7, 1955, substituted “fifty thousand dollars” for “five thousand dollars”.
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# 15 U.S.C. § 20 - Repealed. Pub. L. 101588, § 3, Nov. 16, 1990, 104 Stat. 2880
## Notes
Section, act Oct. 15, 1914, ch. 323, § 10, 38 Stat. 734, related to a $50,000 yearly, aggregate limitation on purchases and contracts between a common carrier and any entity with whom such carrier has any form of interlocking directorate, etc., required filing with ICC of a full statement of transactions excluded from such limitation, and set forth fines and penalties for violation of such limitation.
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# 15 U.S.C. § 21 - Enforcement provisions
## Text
(a) Commission, Board, or Secretary authorized to enforce compliance Authority to enforce compliance with sections 13, 14, 18, and 19 of this title by the persons respectively subject thereto is vested in the Surface Transportation Board where applicable to common carriers subject to jurisdiction under subtitle IV of title 49; in the Federal Communications Commission where applicable to common carriers engaged in wire or radio communication or radio transmission of energy; in the Secretary of Transportation where applicable to air carriers and foreign air carriers subject to part A of subtitle VII of title 49; in the Board of Governors of the Federal Reserve System where applicable to banks, banking associations, and trust companies; and in the Federal Trade Commission where applicable to all other character of commerce to be exercised as follows:
(b) Issuance of complaints for violations; hearing; intervention; filing of testimony; report; cease and desist orders; reopening and alteration of reports or orders Whenever the Commission, Board, or Secretary vested with jurisdiction thereof shall have reason to believe that any person is violating or has violated any of the provisions of sections 13, 14, 18, and 19 of this title, it shall issue and serve upon such person and the Attorney General a complaint stating its charges in that respect, and containing a notice of a hearing upon a day and at a place therein fixed at least thirty days after the service of said complaint. The person so complained of shall have the right to appear at the place and time so fixed and show cause why an order should not be entered by the Commission, Board, or Secretary requiring such person to cease and desist from the violation of the law so charged in said complaint. The Attorney General shall have the right to intervene and appear in said proceeding and any person may make application, and upon good cause shown may be allowed by the Commission, Board, or Secretary, to intervene and appear in said proceeding by counsel or in person. The testimony in any such proceeding shall be reduced to writing and filed in the office of the Commission, Board, or Secretary. If upon such hearing the Commission, Board, or Secretary, as the case may be, shall be of the opinion that any of the provisions of said sections have been or are being violated, it shall make a report in writing, in which it shall state its findings as to the facts, and shall issue and cause to be served on such person an order requiring such person to cease and desist from such violations, and divest itself of the stock, or other share capital, or assets, held or rid itself of the directors chosen contrary to the provisions of sections 18 and 19 of this title, if any there be, in the manner and within the time fixed by said order. Until the expiration of the time allowed for filing a petition for review, if no such petition has been duly filed within such time, or, if a petition for review has been filed within such time then until the record in the proceeding has been filed in a court of appeals of the United States, as hereinafter provided, the Commission, Board, or Secretary may at any time, upon such notice and in such manner as it shall deem proper, modify or set aside, in whole or in part, any report or any order made or issued by it under this section. After the expiration of the time allowed for filing a petition for review, if no such petition has been duly filed within such time, the Commission, Board, or Secretary may at any time, after notice and opportunity for hearing, reopen and alter, modify, or set aside, in whole or in part, any report or order made or issued by it under this section, whenever in the opinion of the Commission, Board, or Secretary conditions of fact or of law have so changed as to require such action or if the public interest shall so require: Provided, however, That the said person may, within sixty days after service upon him or it of said report or order entered after such a reopening, obtain a review thereof in the appropriate court of appeals of the United States, in the manner provided in subsection (c) of this section.
(c) Review of orders; jurisdiction; filing of petition and record of proceeding; conclusiveness of findings; additional evidence; modification of findings; finality of judgment and decree Any person required by such order of the commission, board, or Secretary to cease and desist from any such violation may obtain a review of such order in the court of appeals of the United States for any circuit within which such violation occurred or within which such person resides or carries on business, by filing in the court, within sixty days after the date of the service of such order, a written petition praying that the order of the commission, board, or Secretary be set aside. A copy of such petition shall be forthwith transmitted by the clerk of the court to the commission, board, or Secretary, and thereupon the commission, board, or Secretary shall file in the court the record in the proceeding, as provided in section 2112 of title 28. Upon such filing of the petition the court shall have jurisdiction of the proceeding and of the question determined therein concurrently with the commission, board, or Secretary until the filing of the record, and shall have power to make and enter a decree affirming, modifying, or setting aside the order of the commission, board, or Secretary, and enforcing the same to the extent that such order is affirmed, and to issue such writs as are ancillary to its jurisdiction or are necessary in its judgment to prevent injury to the public or to competitors pendente lite. The findings of the commission, board, or Secretary as to the facts, if supported by substantial evidence, shall be conclusive. To the extent that the order of the commission, board, or Secretary is affirmed, the court shall issue its own order commanding obedience to the terms of such order of the commission, board, or Secretary. If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the commission, board, or Secretary, the court may order such additional evidence to be taken before the commission, board, or Secretary, and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The commission, board, or Secretary may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken, and shall file such modified or new findings, which if supported by substantial evidence, shall be conclusive, and its recommendation, if any, for the modification or setting aside of its original order, with the return of such additional evidence. The judgment and decree of the court shall be final, except that the same shall be subject to review by the Supreme Court upon certiorari, as provided in section 1254 of title 28.
(d) Exclusive jurisdiction of Court of Appeals Upon the filing of the record with its jurisdiction of the court of appeals to affirm, enforce, modify, or set aside orders of the commission, board, or Secretary shall be exclusive.
(e) Liability under antitrust laws No order of the commission, board, or Secretary or judgment of the court to enforce the same shall in anywise relieve or absolve any person from any liability under the antitrust laws.
(f) Service of complaints, orders and other processes Complaints, orders, and other processes of the commission, board, or Secretary under this section may be served by anyone duly authorized by the commission, board, or Secretary, either (1) by delivering a copy thereof to the person to be served, or to a member of the partnership to be served, or to the president, secretary, or other executive officer or a director of the corporation to be served; or (2) by leaving a copy thereof at the residence or the principal office or place of business of such person; or (3) by mailing by registered or certified mail a copy thereof addressed to such person at his or its residence or principal office or place of business. The verified return by the person so serving said complaint, order, or other process setting forth the manner of said service shall be proof of the same, and the return post office receipt for said complaint, order, or other process mailed by registered or certified mail as aforesaid shall be proof of the service of the same.
(g) Finality of orders generally Any order issued under subsection (b) shall become final—
(1) upon the expiration of the time allowed for filing a petition for review, if no such petition has been duly filed within such time; but the commission, board, or Secretary may thereafter modify or set aside its order to the extent provided in the last sentence of subsection (b); or
(2) upon the expiration of the time allowed for filing a petition for certiorari, if the order of the commission, board, or Secretary has been affirmed, or the petition for review has been dismissed by the court of appeals, and no petition for certiorari has been duly filed; or
(3) upon the denial of a petition for certiorari, if the order of the commission, board, or Secretary has been affirmed or the petition for review has been dismissed by the court of appeals; or
(4) upon the expiration of thirty days from the date of issuance of the mandate of the Supreme Court, if such Court directs that the order of the commission, board, or Secretary be affirmed or the petition for review be dismissed.
(h) Finality of orders modified by Supreme Court If the Supreme Court directs that the order of the commission, board, or Secretary be modified or set aside, the order of the commission, board, or Secretary rendered in accordance with the mandate of the Supreme Court shall become final upon the expiration of thirty days from the time it was rendered, unless within such thirty days either party has instituted proceedings to have such order corrected to accord with the mandate, in which event the order of the commission, board, or Secretary shall become final when so corrected.
(i) Finality of orders modified by Court of Appeals If the order of the commission, board, or Secretary is modified or set aside by the court of appeals, and if (1) the time allowed for filing a petition for certiorari has expired and no such petition has been duly filed, or (2) the petition for certiorari has been denied, or (3) the decision of the court has been affirmed by the Supreme Court then the order of the commission, board, or Secretary rendered in accordance with the mandate of the court of appeals shall become final on the expiration of thirty days from the time such order of the commission, board, or Secretary was rendered, unless within such thirty days either party has instituted proceedings to have such order corrected so that it will accord with the mandate, in which event the order of the commission, board, or Secretary shall become final when so corrected.
(j) Finality of orders issued on rehearing ordered by Court of Appeals or Supreme Court If the Supreme Court orders a rehearing; or if the case is remanded by the court of appeals to the commission, board, or Secretary for a rehearing, and if (1) the time allowed for filing a petition for certiorari has expired, and no such petition has been duly filed, or (2) the petition for certiorari has been denied, or (3) the decision of the court has been affirmed by the Supreme Court, then the order of the commission, board, or Secretary rendered upon such rehearing shall become final in the same manner as though no prior order of the commission, board, or Secretary had been rendered.
(k) “Mandate” defined As used in this section the term “mandate”, in case a mandate has been recalled prior to the expiration of thirty days from the date of issuance thereof, means the final mandate.
(l) Penalties Any person who violates any order issued by the commission, board, or Secretary under subsection (b) after such order has become final, and while such order is in effect, shall forfeit and pay to the United States a civil penalty of not more than $5,000 for each violation, which shall accrue to the United States and may be recovered in a civil action brought by the United States. Each separate violation of any such order shall be a separate offense, except that in the case of a violation through continuing failure or neglect to obey a final order of the commission, board, or Secretary each day of continuance of such failure or neglect shall be deemed a separate offense.
(Oct. 15, 1914, ch. 323, § 11, 38 Stat. 734; June 19, 1934, ch. 652, title VII, § 702(d), formerly title VI, § 602(d), 48 Stat. 1102; renumbered Pub. L. 98549, § 6(a), Oct. 30, 1984, 98 Stat. 2804; Aug. 23, 1935, ch. 614, § 203(a), 49 Stat. 704; June 23, 1938, ch. 601, § 1107(g), 52 Stat. 1028; June 25, 1948, ch. 646, § 32(a), 62 Stat. 991; May 24, 1949, ch. 139, § 127, 63 Stat. 107; Dec. 29, 1950, ch. 1184, 64 Stat. 1125; Pub. L. 85726, title XIV, § 1401(b), Aug. 23, 1958, 72 Stat. 806; Pub. L. 85791, § 4, Aug. 28, 1958, 72 Stat. 943; Pub. L. 86107, § 1, July 23, 1959, 73 Stat. 243; Pub. L. 98443, § 9(m), Oct. 4, 1984, 98 Stat. 1708; Pub. L. 98620, title IV, § 402(10)(B), Nov. 8, 1984, 98 Stat. 3358; Pub. L. 10488, title III, § 318(2), Dec. 29, 1995, 109 Stat. 949.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in subsec. (e), are defined in section 12 of this title.
Codification In subsec. (a), “part A of subtitle VII of title 49” substituted for “the Federal Aviation Act of 1958 [49 App. U.S.C. 1301 et seq.]” on authority of Pub. L. 103272, § 6(b), July 5, 1994, 108 Stat. 1378, the first section of which enacted subtitles II, III, and V to X of Title 49.
Amendments1995—Subsec. (a). Pub. L. 10488 substituted “Surface Transportation Board where applicable to common carriers subject to jurisdiction under subtitle IV of title 49” for “Interstate Commerce Commission where applicable to common carriers subject to the Interstate Commerce Act, as amended”. 1984—Subsec. (a). Pub. L. 98443, § 9(m)(1), substituted “Secretary of Transportation where applicable to air carriers and foreign air carriers subject to the Federal Aviation Act of 1958” for “Civil Aeronautics Board where applicable to air carriers and foreign air carriers subject to the Civil Aeronautics Act of 1938”. Subsec. (b). Pub. L. 98443, § 9(m)(2), substituted “Commission, Board, or Secretary” for “Commission or Board” wherever appearing. Subsecs. (c), (d). Pub. L. 98443, § 9(m)(3), substituted “commission, board, or Secretary” for “commission or board” wherever appearing. Subsec. (e). Pub. L. 98620 struck out provision that such proceedings in the court of appeals had to be given precedence over other cases pending therein, and had to be in every way expedited. Pub. L. 98443, § 9(m)(3), substituted “commission, board, or Secretary” for “commission or board”. Subsecs. (f) to (j), (l). Pub. L. 98443, § 9(m)(3), substituted “commission, board, or Secretary” for “commission or board” wherever appearing. 1959—Pub. L. 86107 amended section generally, and among other changes, authorized the Commission or Board, upon notice and opportunity for hearing, in cases where a petition for review has not been filed within the time allowed, to reopen and alter, modify, or set aside, in whole or in part, any report or order, whenever conditions of fact or law have so changed as to require such action or if the public interest so requires, and added subsecs. (g) to (k), providing for finality of orders, and subsec. (l), prescribing the civil penalty for violation of orders. 1958—Pub. L. 85791, § 4(a), struck out “a transcript of” after “Until” in last sentence of second par. Pub. L. 85791, § 4(b), substituted in first sentence of third par., “file the record in the proceeding, as provided in section 2112 of title 28” for “certify and file with its application a transcript of the entire record in the proceeding, including all the testimony taken and the report and order of the Commission or Board”, and in second sentence of third par., struck out “and transcript” after “application”, inserted “concurrently with the Commission or Board until the filing of the record”, and struck out “upon the pleadings, testimony, and proceedings set forth in such transcript” after “make and enter”. Pub. L. 85791, § 4(c), substituted in second sentence of fourth par., “transmitted by the clerk of the court to” for “served upon” and “shall file in the court the record in the proceeding, as provided in section 2112 of title 28” for “forthwith shall certify and file in the court a transcript of the record in the proceeding, as hereinbefore provided”, and in third sentence of fourth paragraph substituted “such petition” for “the transcript” and inserted “determined as provided in section 1009(e) of title 5,”. Pub. L. 85791, § 4(d), substituted in fifth par., “Upon the filing of the record with it the” for “The”. 1950—Act Dec. 29, 1950, amended section generally to allow the Attorney General to intervene and appear in any proceeding brought by any Commission or Board to enforce sections 13, 14, 18, and 19 of this title, but the amendment in nowise affects the jurisdiction of the Department of Justice to enforce these sections in the courts. 1938—Act June 23, 1938, inserted “in the Civil Aeronautics Authority where applicable to air carriers and foreign air carriers subject to the Civil Aeronautics Act of 1938”, and “authority” after “commission” wherever appearing. 1935—Act Aug. 23, 1935, changed the name of Federal Reserve Board to Board of Governors of the Federal Reserve System. 1934—Act June 19, 1934, amended first par.
Statutory Notes and Related Subsidiaries
Change of Name Act June 25, 1948, eff. Sept. 1, 1948, as amended by act May 24, 1949, substituted “court of appeals” for “circuit court of appeals”.
Effective Date of 1995 AmendmentAmendment by Pub. L. 10488 effective Jan. 1, 1996, see section 2 of Pub. L. 10488, set out as an Effective Date note under section 1301 of Title 49, Transportation.
Effective Date of 1984 AmendmentsAmendment by Pub. L. 98620 not applicable to cases pending on Nov. 8, 1984, see section 403 of Pub. L. 98620, set out as an Effective Date note under section 1657 of Title 28, Judiciary and Judicial Procedure. Amendment by Pub. L. 98443 effective Jan. 1, 1985, see section 9(v) of Pub. L. 98443, set out as a note under section 5314 of Title 5, Government Organization and Employees.
Effective Date of 1959 AmendmentSection 2 of Pub. L. 86107 provided that: “The amendments made by section 1 [amending this section] shall have no application to any proceeding initiated before the date of enactment of this Act [July 23, 1959] under the third or fourth paragraph of section 11 of the Act entitled An Act to supplement existing laws against unlawful restraints and monopolies, and for other purposes, approved October 15, 1914 (38 Stat. 734, as amended; 15 U.S.C. 21) [this section]. Each such proceeding shall be governed by the provisions of such section as they existed on the day preceding the date of enactment of this Act.”
Executive Documents
Transfer of Functions For transfer of functions of Federal Trade Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 8 of 1950, § 1, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1264, set out under section 41 of this title.
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# 15 U.S.C. § 21a - Actions and proceedings pending prior to June 19, 1936; additional and continuing violations
## Text
Nothing herein contained shall affect rights of action arising, or litigation pending, or orders of the Federal Trade Commission issued and in effect or pending on review, based on section 13 of this title, prior to June 19, 1936: Provided, That where, prior to June 19, 1936, the Federal Trade Commission has issued an order requiring any person to cease and desist from a violation of section 13 of this title, and such order is pending on review or is in effect, either as issued or as affirmed or modified by a court of competent jurisdiction, and the Commission shall have reason to believe that such person has committed, used or carried on, since June 19, 1936, or is committing, using or carrying on, any act, practice or method in violation of any of the provisions of said section 13 of this title, it may reopen such original proceedings and may issue and serve upon such person its complaint, supplementary to the original complaint, stating its charges in that respect. Thereupon the same proceedings shall be had upon such supplementary complaint as provided in section 21 of this title. If upon such hearing the Commission shall be of the opinion that any act, practice, or method charged in said supplementary complaint has been committed, used, or carried on since June 19, 1936, or is being committed, used or carried on, in violation of said section 13 of this title, it shall make a report in writing in which it shall state its findings as to the facts and shall issue and serve upon such person its order modifying or amending its original order to include any additional violations of law so found. Thereafter the provisions of section 21 of this title, as to review and enforcement of orders of the Commission shall in all things apply to such modified or amended order. If upon review as provided in said section 21 of this title the court shall set aside such modified or amended order, the original order shall not be affected thereby, but it shall be and remain in force and effect as fully and to the same extent as if such supplementary proceedings had not been taken.
(June 19, 1936, ch. 592, § 2, 49 Stat. 1527.)
## Notes
Editorial Notes
References in TextNothing herein contained, referred to in text, probably means nothing contained in act June 19, 1936, ch. 592, 49 Stat. 1526, popularly known as the Robinson-Patman Antidiscrimination Act and also as the Robinson-Patman Price Discrimination Act, which enacted sections 13a, 13b, and 21a of this title and amended section 13 of this title. For complete classification of this Act to the Code, see Short Title note set out under section 13 of this title and Tables.
Executive Documents
Transfer of Functions For transfer of functions of Federal Trade Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 8 of 1950, § 1, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1264, set out under section 41 of this title.
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# 15 U.S.C. § 22 - District in which to sue corporation
## Text
Any suit, action, or proceeding under the antitrust laws against a corporation may be brought not only in the judicial district whereof it is an inhabitant, but also in any district wherein it may be found or transacts business; and all process in such cases may be served in the district of which it is an inhabitant, or wherever it may be found.
(Oct. 15, 1914, ch. 323, § 12, 38 Stat. 736.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in text, are defined in section 12 of this title.
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# 15 U.S.C. § 23 - Suits by United States; subpoenas for witnesses
## Text
In any suit, action, or proceeding brought by or on behalf of the United States subpoenas for witnesses who are required to attend a court of the United States in any judicial district in any case, civil or criminal, arising under the antitrust laws may run into any other district: Provided, That in civil cases no writ of subpoena shall issue for witnesses living out of the district in which the court is held at a greater distance than one hundred miles from the place of holding the same without the permission of the trial court being first had upon proper application and cause shown.
(Oct. 15, 1914, ch. 323, § 13, 38 Stat. 736.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in text, are defined in section 12 of this title.
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# 15 U.S.C. § 24 - Liability of directors and agents of corporation
## Text
Whenever a corporation shall violate any of the penal provisions of the antitrust laws, such violation shall be deemed to be also that of the individual directors, officers, or agents of such corporation who shall have authorized, ordered, or done any of the acts constituting in whole or in part such violation, and such violation shall be deemed a misdemeanor, and upon conviction therefor of any such director, officer, or agent he shall be punished by a fine of not exceeding $5,000 or by imprisonment for not exceeding one year, or by both, in the discretion of the court.
(Oct. 15, 1914, ch. 323, § 14, 38 Stat. 736.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in text, are defined in section 12 of this title.
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# 15 U.S.C. § 25 - Restraining violations; procedure
## Text
The several district courts of the United States are invested with jurisdiction to prevent and restrain violations of this Act, and it shall be the duty of the several United States attorneys, in their respective districts, under the direction of the Attorney General, to institute proceedings in equity to prevent and restrain such violations. Such proceedings may be by way of petition setting forth the case and praying that such violation shall be enjoined or otherwise prohibited. When the parties complained of shall have been duly notified of such petition, the court shall proceed, as soon as may be, to the hearing and determination of the case; and pending such petition, and before final decree, the court may at any time make such temporary restraining order or prohibition as shall be deemed just in the premises. Whenever it shall appear to the court before which any such proceeding may be pending that the ends of justice require that other parties should be brought before the court, the court may cause them to be summoned whether they reside in the district in which the court is held or not, and subpoenas to that end may be served in any district by the marshal thereof.
(Oct. 15, 1914, ch. 323, § 15, 38 Stat. 736; June 25, 1948, ch. 646, § 1, 62 Stat. 909.)
## Notes
Editorial Notes
References in TextThis Act, referred to in text, is act Oct. 15, 1914, ch. 323, 38 Stat. 730, which is classified generally to sections 12, 13, 14 to 19, 20, 21, and 22 to 27 of this title, and sections 52 and 53 of Title 29, Labor. For further details and complete classification of this Act to the Code, see References in Text note set out under section 12 of this title and Tables.
Statutory Notes and Related Subsidiaries
Change of Name Act June 25, 1948, eff. Sept. 1, 1948, substituted “United States attorneys” for “district attorneys of the United States”. See section 541 et seq. of Title 28, Judiciary and Judicial Procedure.
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# 15 U.S.C. § 26 - Injunctive relief for private parties; exception; costs
## Text
Any person, firm, corporation, or association shall be entitled to sue for and have injunctive relief, in any court of the United States having jurisdiction over the parties, against threatened loss or damage by a violation of the antitrust laws, including sections 13, 14, 18, and 19 of this title, when and under the same conditions and principles as injunctive relief against threatened conduct that will cause loss or damage is granted by courts of equity, under the rules governing such proceedings, and upon the execution of proper bond against damages for an injunction improvidently granted and a showing that the danger of irreparable loss or damage is immediate, a preliminary injunction may issue: Provided, That nothing herein contained shall be construed to entitle any person, firm, corporation, or association, except the United States, to bring suit for injunctive relief against any common carrier subject to the jurisdiction of the Surface Transportation Board under subtitle IV of title 49. In any action under this section in which the plaintiff substantially prevails, the court shall award the cost of suit, including a reasonable attorneys fee, to such plaintiff.
(Oct. 15, 1914, ch. 323, § 16, 38 Stat. 737; Pub. L. 94435, title III, § 302(3), Sept. 30, 1976, 90 Stat. 1396; Pub. L. 10488, title III, § 318(3), Dec. 29, 1995, 109 Stat. 949.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in text, are defined in section 12 of this title.
Amendments1995—Pub. L. 10488 substituted “for injunctive relief against any common carrier subject to the jurisdiction of the Surface Transportation Board under subtitle IV of title 49” for “in equity for injunctive relief against any common carrier subject to the provisions of the Act to regulate commerce, approved February fourth, eighteen hundred and eighty-seven, in respect of any matter subject to the regulation, supervision, or other jurisdiction of the Interstate Commerce Commission.” 1976—Pub. L. 94435 inserted provision authorizing court to award costs, including attorneys fees, to a successful plaintiff.
Statutory Notes and Related Subsidiaries
Effective Date of 1995 AmendmentAmendment by Pub. L. 10488 effective Jan. 1, 1996, see section 2 of Pub. L. 10488, set out as an Effective Date note under section 1301 of Title 49, Transportation.
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# 15 U.S.C. § 26a - Restrictions on the purchase of gasohol and synthetic motor fuel
## Text
(a) Limitations on the use of credit instruments; sales, resales, and transfers Except as provided in subsection (b), it shall be unlawful for any person engaged in commerce, in the course of such commerce, directly or indirectly to impose any condition, restriction, agreement, or understanding that—
(1) limits the use of credit instruments in any transaction concerning the sale, resale, or transfer of gasohol or other synthetic motor fuel of equivalent usability in any case in which there is no similar limitation on transactions concerning such persons conventional motor fuel; or
(2) otherwise unreasonably discriminates against or unreasonably limits the sale, resale, or transfer of gasohol or other synthetic motor fuel of equivalent usability in any case in which such synthetic or conventional motor fuel is sold for use, consumption, or resale within the United States.
(b) Credit fees; equivalent conventional motor fuel sales; labeling of pumps; product liability disclaimers; advertising support; furnishing facilities (1) Nothing in this section or in any other provision of law in effect on December 2, 1980, which is specifically applicable to the sale of petroleum products shall preclude any person referred to in subsection (a) from imposing a reasonable fee for credit on the sale, resale, or transfer of the gasohol or other synthetic motor fuel referred to in subsection (a) if such fee equals no more than the actual costs to such person of extending that credit.
(2) The prohibitions in this section shall not apply to any person who makes available sufficient supplies of gasohol and other synthetic motor fuels of equivalent usability to satisfy his customers needs for such products, if the gasohol and other synthetic fuels are made available on terms and conditions which are equivalent to the terms and conditions on which such persons conventional motor fuel products are made available.
(3) Nothing in this section shall—
(A) preclude any person referred to in subsection (a) from requiring reasonable labeling of pumps dispensing the gasohol or other synthetic motor fuel referred to in subsection (a) to indicate, as appropriate, that such gasohol or other synthetic motor fuel is not manufactured, distributed, or sold by such person;
(B) preclude such person from issuing appropriate disclaimers of product liability for damage resulting from use of the gasohol or other synthetic motor fuel;
(C) require such person to provide advertising support for the gasohol or other synthetic motor fuel; or
(D) require such person to furnish or provide, at such persons own expense, any additional pumps, tanks, or other related facilities required for the sale of the gasohol or other synthetic motor fuel.
(c) “United States” defined As used in this section, “United States” includes the several States, the District of Columbia, any territory of the United States, and any insular possession or other place under the jurisdiction of the United States.
(Oct. 15, 1914, ch. 323, § 26, as added Pub. L. 96493, § 2, Dec. 2, 1980, 94 Stat. 2568.)
## Notes
Statutory Notes and Related Subsidiaries
Short TitleFor short title of Pub. L. 96493 as the “Gasohol Competition Act of 1980”, see section 1 of Pub. L. 96493, set out as a Short Title of 1980 Amendment note under section 1 of this title.
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# 15 U.S.C. § 26b - Application of antitrust laws to professional major league baseball
## Text
(a) Major league baseball subject to antitrust laws Subject to subsections (b) through (d), the conduct, acts, practices, or agreements of persons in the business of organized professional major league baseball directly relating to or affecting employment of major league baseball players to play baseball at the major league level are subject to the antitrust laws to the same extent such conduct, acts, practices, or agreements would be subject to the antitrust laws if engaged in by persons in any other professional sports business affecting interstate commerce.
(b) Limitation of section No court shall rely on the enactment of this section as a basis for changing the application of the antitrust laws to any conduct, acts, practices, or agreements other than those set forth in subsection (a). This section does not create, permit or imply a cause of action by which to challenge under the antitrust laws, or otherwise apply the antitrust laws to, any conduct, acts, practices, or agreements that do not directly relate to or affect employment of major league baseball players to play baseball at the major league level, including but not limited to—
(1) any conduct, acts, practices, or agreements of persons engaging in, conducting or participating in the business of organized professional baseball relating to or affecting employment to play baseball at the minor league level, any organized professional baseball amateur or first-year player draft, or any reserve clause as applied to minor league players;
(2) the agreement between organized professional major league baseball teams and the teams of the National Association of Professional Baseball Leagues, commonly known as the “Professional Baseball Agreement”, the relationship between organized professional major league baseball and organized professional minor league baseball, or any other matter relating to organized professional baseballs minor leagues;
(3) any conduct, acts, practices, or agreements of persons engaging in, conducting or participating in the business of organized professional baseball relating to or affecting franchise expansion, location or relocation, franchise ownership issues, including ownership transfers, the relationship between the Office of the Commissioner and franchise owners, the marketing or sales of the entertainment product of organized professional baseball and the licensing of intellectual property rights owned or held by organized professional baseball teams individually or collectively;
(4) any conduct, acts, practices, or agreements protected by Public Law 87331 (15 U.S.C. § 1291 et seq.) (commonly known as the “Sports Broadcasting Act of 1961”);
(5) the relationship between persons in the business of organized professional baseball and umpires or other individuals who are employed in the business of organized professional baseball by such persons; or
(6) any conduct, acts, practices, or agreements of persons not in the business of organized professional major league baseball.
(c) Standing to sue Only a major league baseball player has standing to sue under this section. For the purposes of this section, a major league baseball player is—
(1) a person who is a party to a major league players contract, or is playing baseball at the major league level; or
(2) a person who was a party to a major league players contract or playing baseball at the major league level at the time of the injury that is the subject of the complaint; or
(3) a person who has been a party to a major league players contract or who has played baseball at the major league level, and who claims he has been injured in his efforts to secure a subsequent major league players contract by an alleged violation of the antitrust laws: Provided however, That for the purposes of this paragraph, the alleged antitrust violation shall not include any conduct, acts, practices, or agreements of persons in the business of organized professional baseball relating to or affecting employment to play baseball at the minor league level, including any organized professional baseball amateur or first-year player draft, or any reserve clause as applied to minor league players; or
(4) a person who was a party to a major league players contract or who was playing baseball at the major league level at the conclusion of the last full championship season immediately preceding the expiration of the last collective bargaining agreement between persons in the business of organized professional major league baseball and the exclusive collective bargaining representative of major league baseball players.
(d) Conduct, acts, practices, or agreements subject to antitrust laws (1) As used in this section, “person” means any entity, including an individual, partnership, corporation, trust or unincorporated association or any combination or association thereof. As used in this section, the National Association of Professional Baseball Leagues, its member leagues and the clubs of those leagues, are not “in the business of organized professional major league baseball”.
(2) In cases involving conduct, acts, practices, or agreements that directly relate to or affect both employment of major league baseball players to play baseball at the major league level and also relate to or affect any other aspect of organized professional baseball, including but not limited to employment to play baseball at the minor league level and the other areas set forth in subsection (b), only those components, portions or aspects of such conduct, acts, practices, or agreements that directly relate to or affect employment of major league players to play baseball at the major league level may be challenged under subsection (a) and then only to the extent that they directly relate to or affect employment of major league baseball players to play baseball at the major league level.
(3) As used in subsection (a), interpretation of the term “directly” shall not be governed by any interpretation of section 151 et seq. of title 29, United States Code (as amended).
(4) Nothing in this section shall be construed to affect the application to organized professional baseball of the nonstatutory labor exemption from the antitrust laws.
(5) The scope of the conduct, acts, practices, or agreements covered by subsection (b) shall not be strictly or narrowly construed.
(Oct. 15, 1914, ch. 323, § 27, as added Pub. L. 105297, § 3, Oct. 27, 1998, 112 Stat. 2824.)
## Notes
Editorial Notes
References in TextThe antitrust laws, referred to in text, are defined in section 12 of this title. Public Law 87331, referred to in subsec. (b)(4), is Pub. L. 87331, Sept. 30, 1961, 75 Stat. 732, which is classified generally to chapter 32 (§ 1291 et seq.) of this title. For complete classification of this Act to the Code, see Tables.
Codification Another section 27 of act Oct. 15, 1914, ch. 323, was renumbered section 28 and is classified to section 27 of this title.
Statutory Notes and Related Subsidiaries
PurposePub. L. 105297, § 2, Oct. 27, 1998, 112 Stat. 2824, provided that: “It is the purpose of this legislation to state that major league baseball players are covered under the antitrust laws (i.e., that major league baseball players will have the same rights under the antitrust laws as do other professional athletes, e.g., football and basketball players), along with a provision that makes it clear that the passage of this Act [enacting this section and provisions set out as a note under section 1 of this title] does not change the application of the antitrust laws in any other context or with respect to any other person or entity.”
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# 15 U.S.C. § 27 - Effect of partial invalidity
## Text
If any clause, sentence, paragraph, or part of this Act shall, for any reason, be adjudged by any court of competent jurisdiction to be in­valid, such judgment shall not affect, impair, or invalidate the remainder thereof, but shall be confined in its operation to the clause, sentence, paragraph, or part thereof directly involved in the controversy in which such judgment shall have been rendered.
(Oct. 15, 1914, ch. 323, § 28, formerly § 26, 38 Stat. 740; renumbered § 27, Pub. L. 96493, § 2, Dec. 2, 1980, 94 Stat. 2568; renumbered § 28, Pub. L. 107273, div. C, title IV, § 14102(d), Nov. 2, 2002, 116 Stat. 1922.)
## Notes
Editorial Notes
References in TextThis Act, referred to in text, is act Oct. 15, 1914, ch. 323, 38 Stat. 730, known as the Clayton Act, which is classified generally to sections 12, 13, 14 to 19, 21, and 22 to 27 of this title, and sections 52 and 53 of Title 29, Labor. For further details and complete classification of this Act to the Code, see References in Text note set out under section 12 of this title and Tables.
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# 15 U.S.C. § 27a - Transferred
## Notes
Editorial Notes
Codification Section, act Oct. 15, 1914, ch. 323, § 27, as added Pub. L. 105297, § 3, Oct. 27, 1998, 112 Stat. 2824, which related to application of antitrust laws to professional major league baseball, was transferred to section 26b of this title.
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# 15 U.S.C. § 28 - Repealed. Pub. L. 98620, title IV, § 402(11), Nov. 8, 1984, 98 Stat. 3358
## Notes
Section, acts Feb. 11, 1903, ch. 544, § 1, 32 Stat. 823; June 25, 1910, ch. 428, 36 Stat. 854; Mar. 3, 1911, ch. 231, § 291, 36 Stat. 1167; Apr. 6, 1942, ch. 210, § 1, 56 Stat. 198; June 25, 1948, ch. 646, § 32(a), 62 Stat. 991; May 24, 1949, ch. 139, § 127, 63 Stat. 107; Dec. 21, 1974, Pub. L. 93528, § 4, 88 Stat. 1708, related to expedition of actions by the United States involving general public importance.
Statutory Notes and Related Subsidiaries
Effective Date of RepealRepeal not applicable to cases pending on Nov. 8, 1984, see section 403 of Pub. L. 98620, set out as an Effective Date note under section 1657 of Title 28, Judiciary and Judicial Procedure.
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# 15 U.S.C. § 29 - Appeals
## Text
(a) Court of appeals; review by Supreme Court Except as otherwise expressly provided by this section, in every civil action brought in any district court of the United States under the Act entitled “An Act to protect trade and commerce against unlawful restraints and monopolies”, approved July 2, 1890, or any other Acts having like purpose that have been or hereafter may be enacted, in which the United States is the complainant and equitable relief is sought, any appeal from a final judgement entered in any such action shall be taken to the court of appeals pursuant to sections 1291 and 2107 of title 28. Any appeal from an interlocutory order entered in any such action shall be taken to the court of appeals pursuant to sections 1292(a)(1) and 2107 of title 28 but not otherwise. Any judgment entered by the court of appeals in any such action shall be subject to review by the Supreme Court upon a writ of certiorari as provided in section 1254(1) of title 28.
(b) Direct appeals to Supreme Court An appeal from a final judgment pursuant to subsection (a) shall lie directly to the Supreme Court, if, upon application of a party filed within fifteen days of the filing of a notice of appeal, the district judge who adjudicated the case enters an order stating that immediate consideration of the appeal by the Supreme Court is of general public importance in the administration of justice. Such order shall be filed within thirty days after the filing of a notice of appeal. When such an order is filed, the appeal and any cross appeal shall be docketed in the time and manner prescribed by the rules of the Supreme Court. The Supreme Court shall thereupon either (1) dispose of the appeal and any cross appeal in the same manner as any other direct appeal authorized by law, or (2) in its discretion, deny the direct appeal and remand the case to the court of appeals, which shall then have jurisdiction to hear and determine the same as if the appeal and any cross appeal therein had been docketed in the court of appeals in the first instance pursuant to subsection (a).
(Feb. 11, 1903, ch. 544, § 2, 32 Stat. 823; Mar. 3, 1911, ch. 231, § 291, 36 Stat. 1167; June 9, 1944, ch. 239, 58 Stat. 272; June 25, 1948, ch. 646, § 17, 62 Stat. 989; Pub. L. 93528, § 5, Dec. 21, 1974, 88 Stat. 1709.)
## Notes
Editorial Notes
References in TextThe Act entitled “An Act to protect trade and commerce against unlawful restraints and monopolies”, approved July 2, 1890, referred to in subsec. (a), is known as the Sherman Act, and is classified to sections 1 to 7 of this title.
Codification Section was previously set out in both this section and in section 45 of former Title 49, Transportation.
Amendments1974—Pub. L. 93528 substituted provisions for appeals to the court of appeals from civil actions in district courts where equitable relief is sought, review by the Supreme Court of judgments of courts of appeals, and for direct appeals to the Supreme Court of cases involving general public importance, for provisions that appeals from final judgments of district courts lie to the Supreme Court only. 1948—Act June 25, 1948, amended section generally to strike out provisions relating to time for appeal, procedure, etc. See sections 2101 and 2109 of Title 28, Judiciary and Judicial Procedure. 1944—Act June 9, 1944, provided for certification of case to circuit court of appeals when there was no quorum of Justices of the Supreme Court qualified to participate in the consideration of the case and for designation of circuit judges in the event of disqualification from hearing the case.
Statutory Notes and Related Subsidiaries
Change of Name Act Mar. 3, 1911, which transferred the powers and duties of the circuit courts to the district courts, substituted “district court” for “circuit court”.
Effective Date of 1974 AmendmentPub. L. 93528, § 7, Dec. 21, 1974, 88 Stat. 1710, provided that: “The amendment made by section 5 of this Act [amending this section] shall not apply to an action in which a notice of appeal to the Supreme Court has been filed on or before the fifteenth day following the date of enactment of this Act [Dec. 21, 1974]. Appeal in any such action shall be taken pursuant to the provisions of section 2 of the Act of February 11, 1903 (32 Stat. 823), as amended (15 U.S.C. 29; [former] 49 U.S.C. 45) which were in effect on the day preceding the date of enactment of this Act.”
Effective Date of 1948 AmendmentSection 38 of act June 25, 1948, provided that the amendment made by that act is effective Sept. 1, 1948.
Effective Date of 1944 AmendmentAct June 9, 1944, ch. 239, 58 Stat. 272, provided in part: “This Act [this section] shall apply to every case pending before the Supreme Court of the United States on the date of its enactment [June 9, 1944].”
Short TitleAct Feb. 11, 1903, which enacted sections 28 and 29 of this title, is commonly known as the “Expediting Act”.
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# 15 U.S.C. § 3 - Trusts in Territories or District of Columbia illegal; combination a felony
## Text
(a) Every contract, combination in form of trust or otherwise, or conspiracy, in restraint of trade or commerce in any Territory of the United States or of the District of Columbia, or in restraint of trade or commerce between any such Territory and another, or between any such Territory or Territories and any State or States or the District of Columbia, or with foreign nations, or between the District of Columbia and any State or States or foreign nations, is declared illegal. Every person who shall make any such contract or engage in any such combination or conspiracy, shall be deemed guilty of a felony, and, on conviction thereof, shall be punished by fine not exceeding $100,000,000 if a corporation, or, if any other person, $1,000,000, or by imprisonment not exceeding 10 years, or by both said punishments, in the discretion of the court.
(b) Every person who shall monopolize, or attempt to monopolize, or combine or conspire with any other person or persons, to monopolize any part of the trade or commerce in any Territory of the United States or of the District of Columbia, or between any such Territory and another, or between any such Territory or Territories and any State or States or the District of Columbia, or with foreign nations, or between the District of Columbia, and any State or States or foreign nations, shall be deemed guilty of a felony, and, on conviction thereof, shall be punished by fine not exceeding $100,000,000 if a corporation, or, if any other person, $1,000,000, or by imprisonment not exceeding 10 years, or by both said punishments, in the discretion of the court.
(July 2, 1890, ch. 647, § 3, 26 Stat. 209; July 7, 1955, ch. 281, 69 Stat. 282; Pub. L. 93528, § 3, Dec. 21, 1974, 88 Stat. 1708; Pub. L. 101588, § 4(c), Nov. 16, 1990, 104 Stat. 2880; Pub. L. 107273, div. C, title IV, § 14102(b), Nov. 2, 2002, 116 Stat. 1921; Pub. L. 108237, title II, § 215(c), June 22, 2004, 118 Stat. 668.)
## Notes
Editorial Notes
Amendments2004—Pub. L. 108237, which directed the substitution of “$100,000,000” for “$10,000,000”, “$1,000,000” for “$350,000”, and “10” for “three”, was executed by making each substitution in both subsecs. (a) and (b) to reflect the probable intent of Congress. 2002—Pub. L. 107273 designated existing provisions as subsec. (a) and added subsec. (b). 1990—Pub. L. 101588 substituted “$10,000,000” for “one million dollars” and “$350,000” for “one hundred thousand dollars”. 1974—Pub. L. 93528 substituted “a felony, and, on conviction thereof, shall be punished by fine not exceeding one million dollars if a corporation, or, if any other person, one hundred thousand dollars, or by imprisonment not exceeding three years” for “a misdemeanor, and, on conviction thereof, shall be punished by fine not exceeding fifty thousand dollars, or by imprisonment not exceeding one year”. 1955—Act July 7, 1955, substituted “fifty thousand dollars” for “five thousand”.
Statutory Notes and Related Subsidiaries
Effective Date of 2002 AmendmentPub. L. 107273, div. C, title IV, § 14103, Nov. 2, 2002, 116 Stat. 1922, provided that: “(a) Effective Date.—Except as provided in subsection (b), this subtitle [probably means this title, amending this section and sections 12, 27, and 44 of this title, section 225 of Title 7, Agriculture, section 1413 of Title 30, Mineral Lands and Mining, and section 2135 of Title 42, The Public Health and Welfare, repealing sections 30 and 31 of this title, enacting provisions set out as a note under section 1 of this title, amending provisions set out as notes under sections 1 and 8 of this title, and repealing provisions set out as notes under section 15 of this title and section 41309 of Title 49, Transportation] and the amendments made by this subtitle shall take effect on the date of enactment of this Act [Nov. 2, 2002]. “(b) Application to Cases.—(1) Section 14102(f) [repealing section 30 of this title] shall apply to cases pending on or after the date of the enactment of this Act. “(2) The amendments made by subsections (a), (b), and (c) of section 14102 [amending this section and sections 12 and 44 of this title, section 225 of Title 7, Agriculture, section 1413 of Title 30, Mineral Lands and Mining, and section 2135 of Title 42, The Public Health and Welfare, repealing section 31 of this title, amending provisions set out as a note under section 8 of this title, and repealing provisions set out as a note under section 15 of this title] shall apply only with respect to cases commenced on or after the date of enactment of this Act.”
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# 15 U.S.C. § 30 - Repealed. Pub. L. 107273, div. C, title IV, § 14102(f), Nov. 2, 2002, 116 Stat. 1922
## Notes
Section, act Mar. 3, 1913, ch. 114, 37 Stat. 731, provided that depositions for use in suits in equity brought under sections 1 to 7 of this title would be open to public.
Statutory Notes and Related Subsidiaries
Effective Date of RepealRepeal effective Nov. 2, 2002, and applicable to cases pending on or after Nov. 2, 2002, see section 14103 of Pub. L. 107273, set out as an Effective Date of 2002 Amendment note under section 3 of this title.
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# 15 U.S.C. § 31 - Repealed. Pub. L. 107273, div. C, title IV, § 14102(a), Nov. 2, 2002, 116 Stat. 1921
## Notes
Section, act Aug. 24, 1912, ch. 390, § 11, 37 Stat. 567, related to closure of Panama Canal to violators of antitrust laws.
Statutory Notes and Related Subsidiaries
Effective Date of RepealRepeal effective Nov. 2, 2002, and applicable only with respect to cases commenced on or after Nov. 2, 2002, see section 14103 of Pub. L. 107273, set out as a note under section 3 of this title.
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# 15 U.S.C. § 34 - Definitions applicable to sections 34 to 36
## Text
For purposes of sections 34 to 36 of this title—
(1) the term “local government” means—
(A) a city, county, parish, town, township, village, or any other general function governmental unit established by State law, or
(B) a school district, sanitary district, or any other special function governmental unit established by State law in one or more States,
(2) the term “person” has the meaning given it in subsection (a) of the first section of the Clayton Act [15 U.S.C. 12(a)], but does not include any local government as defined in paragraph (1) of this section, and
(3) the term “State” has the meaning given it in section 4G(2) of the Clayton Act (15 U.S.C. 15g(2)).
(Pub. L. 98544, § 2, Oct. 24, 1984, 98 Stat. 2750.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DatePub. L. 98544, § 6, Oct. 24, 1984, 98 Stat. 2751, provided that: “This Act [enacting this section, sections 35 and 36 of this title, and provisions set out as a note under section 1 of this title] shall take effect thirty days before the date of the enactment of this Act [Oct. 24, 1984].”
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# 15 U.S.C. § 35 - Recovery of damages, etc., for antitrust violations from any local government, or official or employee thereof acting in an official capacity
## Text
(a) Prohibition in general No damages, interest on damages, costs, or attorneys fees may be recovered under section 4, 4A, or 4C of the Clayton Act (15 U.S.C. 15, 15a, or 15c) from any local government, or official or employee thereof acting in an official capacity.
(b) Preconditions for attachment of prohibition; prima facie evidence for nonapplication of prohibition Subsection (a) shall not apply to cases commenced before the effective date of this Act unless the defendant establishes and the court determines, in light of all the circumstances, including the stage of litigation and the availability of alternative relief under the Clayton Act, that it would be inequitable not to apply this subsection to a pending case. In consideration of this section, existence of a jury verdict, district court judgment, or any stage of litigation subsequent thereto, shall be deemed to be prima facie evidence that subsection (a) shall not apply.
(Pub. L. 98544, § 3, Oct. 24, 1984, 98 Stat. 2750.)
## Notes
Editorial Notes
References in TextFor the effective date of this Act, referred to in subsec. (b), see Effective Date note below. The Clayton Act, referred to in subsecs. (a) and (b), is act Oct. 15, 1914, ch. 323, 38 Stat. 730, which is classified generally to sections 12, 13, 14 to 19, 21, and 22 to 27 of this title and to sections 52 and 53 of Title 29, Labor. For further details and complete classification of this Act to the Code, see References in Text note set out under section 12 of this title and Tables.
Statutory Notes and Related Subsidiaries
Effective DateSection effective thirty days before Oct. 24, 1984, see section 6 of Pub. L. 98544, set out as a note under section 34 of this title.
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# 15 U.S.C. § 36 - Recovery of damages, etc., for antitrust violations on claim against person based on official action directed by local government, or official or employee thereof acting in an official capacity
## Text
(a) Prohibition in general No damages, interest on damages, costs or attorneys fees may be recovered under section 4, 4A, or 4C of the Clayton Act (15 U.S.C. 15, 15a, or 15c) in any claim against a person based on any official action directed by a local government, or official or employee thereof acting in an official capacity.
(b) Nonapplication of prohibition for cases commenced before effective date of provisions Subsection (a) shall not apply with respect to cases commenced before the effective date of this Act.
(Pub. L. 98544, § 4, Oct. 24, 1984, 98 Stat. 2750.)
## Notes
Editorial Notes
References in TextFor effective date of this Act, referred to in subsec. (b), see Effective Date note below.
Statutory Notes and Related Subsidiaries
Effective DateSection effective thirty days before Oct. 24, 1984, see section 6 of Pub. L. 98544, set out as a note under section 34 of this title.
@@ -0,0 +1,63 @@
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# 15 U.S.C. § 37 - Immunity from antitrust laws
## Text
(a) Inapplicability of antitrust laws Except as provided in subsection (d), the antitrust laws, and any State law similar to any of the antitrust laws, shall not apply to charitable gift annuities or charitable remainder trusts.
(b) Immunity Except as provided in subsection (d), any person subjected to any legal proceeding for damages, injunction, penalties, or other relief of any kind under the antitrust laws, or any State law similar to any of the antitrust laws, on account of setting or agreeing to rates of return or other terms for, negotiating, issuing, participating in, implementing, or otherwise being involved in the planning, issuance, or payment of charitable gift annuities or charitable remainder trusts shall have immunity from suit under the antitrust laws, including the right not to bear the cost, burden, and risk of discovery and trial, for the conduct set forth in this subsection.
(c) Treatment of certain annuities and trusts Any annuity treated as a charitable gift annuity, or any trust treated as a charitable remainder trust, either—
(1) in any filing by the donor with the Internal Revenue Service; or
(2) in any schedule, form, or written document provided by or on behalf of the donee to the donor;
shall be conclusively presumed for the purposes of this section and section 37a of this title to be respectively a charitable gift annuity or a charitable remainder trust, unless there has been a final determination by the Internal Revenue Service that, for fraud or otherwise, the donors annuity or trust did not qualify respectively as a charitable gift annuity or charitable remainder trust when created.
(d) Limitation Subsections (a) and (b) shall not apply with respect to the enforcement of a State law similar to any of the antitrust laws, with respect to charitable gift annuities, or charitable remainder trusts, created after the State enacts a statute, not later than December 8, 1998, that expressly provides that subsections (a) and (b) shall not apply with respect to such charitable gift annuities and such charitable remainder trusts.
(Pub. L. 10463, § 2, Dec. 8, 1995, 109 Stat. 687; Pub. L. 10526, § 2(1), July 3, 1997, 111 Stat. 241.)
## Notes
Editorial Notes
References in TextFor definition of “antitrust laws”, referred to in text, see section 37a(1) of this title.
Amendments1997—Pub. L. 10526 amended section generally. Prior to amendment, section related to modification of antitrust laws to allow two or more charitable organizations to use, or to agree to use, the same annuity rate in issuing one or more charitable gift annuities and to limitations on such conduct.
Statutory Notes and Related Subsidiaries
Effective Date of 1997 AmendmentPub. L. 10526, § 3, July 3, 1997, 111 Stat. 242, provided that: “This Act [see Short Title of 1997 Amendments note set out under section 1 of this title], and the amendments made by this Act, shall apply with respect to all conduct occurring before, on, or after the date of the enactment of this Act [July 3, 1997] and shall apply in all administrative and judicial actions pending on or commenced after the date of the enactment of this Act.”
Effective DatePub. L. 10463, § 4, Dec. 8, 1995, 109 Stat. 688, provided that: “This Act [enacting this section, section 37a of this title, and provisions set out as a note under section 1 of this title] shall apply with respect to conduct occurring before, on, or after the date of the enactment of this Act [Dec. 8, 1995].”
Study and ReportPub. L. 10526, § 4, July 3, 1997, 111 Stat. 242, provided that: “(a) Study and Report.—The Attorney General shall carry out a study to determine the effect of this Act [see Short Title of 1997 Amendments note set out under section 1 of this title] on markets for noncharitable annuities, charitable gift annuities, and charitable remainder trusts. The Attorney General shall prepare a report summarizing the results of the study. “(b) Details of Study and Report.—The report referred to in subsection (a) shall include any information on possible inappropriate activity resulting from this Act and any recommendations for legislative changes, including recommendations for additional enforcement resources. “(c) Submission of Report.—The Attorney General shall submit the report referred to in subsection (a) to the Chairman and the ranking member of the Committee on the Judiciary of the House of Representatives, and to the Chairman and the ranking member of the Committee on the Judiciary of the Senate, not later than 27 months after the date of the enactment of this Act [July 3, 1997].”
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# 15 U.S.C. § 37a - Definitions
## Text
For purposes of this section and section 37 of this title:
(1) Antitrust laws The term “antitrust laws” has the meaning given it in subsection (a) of section 12 of this title, except that such term includes section 45 of this title to the extent that such section 45 applies to unfair methods of competition.
(2) Charitable remainder trust The term “charitable remainder trust” has the meaning given it in section 664(d) of title 26.
(3) Charitable gift annuity The term “charitable gift annuity” has the meaning given it in section 501(m)(5) of title 26.
(4) Final determination The term “final determination” includes an Internal Revenue Service determination, after exhaustion of donors and donees administrative remedies, disallowing the donors charitable deduction for the year in which the initial contribution was made because of the donees failure to comply at such time with the requirements of section 501(m)(5) or 664(d), respectively, of title 26.
(5) Person The term “person” has the meaning given it in subsection (a) of section 12 of this title.
(6) State The term “State” has the meaning given it in section 15g(2) of this title.
(Pub. L. 10463, § 3, Dec. 8, 1995, 109 Stat. 687; Pub. L. 10526, § 2(2), July 3, 1997, 111 Stat. 242.)
## Notes
Editorial Notes
Amendments1997—Pars. (1), (2). Pub. L. 10526, § 2(2)(A)(C), added par. (2), redesignated former par. (2) as (1), and struck out heading and text of former par. (1). Text read as follows: “The term annuity rate means the percentage of the fair market value of a gift (determined as of the date of the gift) given in exchange for a charitable gift annuity, that represents the amount of the annual payment to be made to 1 or 2 annuitants over the life of either or both under the terms of the agreement to give such gift in exchange for such annuity.” Pars. (4) to (6). Pub. L. 10526, § 2(2)(D), (E), added par. (4) and redesignated former pars. (4) and (5) as (5) and (6), respectively.
Statutory Notes and Related Subsidiaries
Effective Date of 1997 AmendmentAmendment by Pub. L. 10526 applicable with respect to all conduct occurring before, on, or after July 3, 1997, and applicable in all administrative and judicial actions pending on or commenced after July 3, 1997, see section 3 of Pub. L. 10526, set out as a note under section 37 of this title.
Effective DateSection applicable with respect to conduct occurring before, on, or after Dec. 8, 1995, see section 4 of Pub. L. 10463, set out as a note under section 37 of this title.
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# 15 U.S.C. § 37b - Confirmation of antitrust status of graduate medical resident matching programs
## Text
(a) Findings and purposes (1) Findings Congress makes the following findings:
(A) For over 50 years, most United States medical school seniors and the large majority of graduate medical education programs (popularly known as “residency programs”) have chosen to use a matching program to match medical students with residency programs to which they have applied. These matching programs have been an integral part of an educational system that has produced the finest physicians and medical researchers in the world.
(B) Before such matching programs were instituted, medical students often felt pressure, at an unreasonably early stage of their medical education, to seek admission to, and accept offers from, residency programs. As a result, medical students often made binding commitments before they were in a position to make an informed decision about a medical specialty or a residency program and before residency programs could make an informed assessment of students qualifications. This situation was inefficient, chaotic, and unfair and it often led to placements that did not serve the interests of either medical students or residency programs.
(C) The original matching program, now operated by the independent non-profit National Resident Matching Program and popularly known as “the Match”, was developed and implemented more than 50 years ago in response to widespread student complaints about the prior process. This Program includes on its board of directors individuals nominated by medical student organizations as well as by major medical education and hospital associations.
(D) The Match uses a computerized mathematical algorithm, as students had recommended, to analyze the preferences of students and residency programs and match students with their highest preferences from among the available positions in residency programs that listed them. Students thus obtain a residency position in the most highly ranked program on their list that has ranked them sufficiently high among its preferences. Each year, about 85 percent of participating United States medical students secure a place in one of their top 3 residency program choices.
(E) Antitrust lawsuits challenging the matching process, regardless of their merit or lack thereof, have the potential to undermine this highly efficient, pro-competitive, and long-standing process. The costs of defending such litigation would divert the scarce resources of our countrys teaching hospitals and medical schools from their crucial missions of patient care, physician training, and medical research. In addition, such costs may lead to abandonment of the matching process, which has effectively served the interests of medical students, teaching hospitals, and patients for over half a century.
(2) Purposes It is the purpose of this section to—
(A) confirm that the antitrust laws do not prohibit sponsoring, conducting, or participating in a graduate medical education residency matching program, or agreeing to do so; and
(B) ensure that those who sponsor, conduct or participate in such matching programs are not subjected to the burden and expense of defending against litigation that challenges such matching programs under the antitrust laws.
(b) Application of antitrust laws to graduate medical education residency matching programs (1) Definitions In this subsection:
(A) Antitrust laws The term “antitrust laws”—
(i) has the meaning given such term in subsection (a) of section 12 of this title, except that such term includes section 45 of this title to the extent such section 45 applies to unfair methods of competition; and
(ii) includes any State law similar to the laws referred to in clause (i).
(B) Graduate medical education program The term “graduate medical education program” means—
(i) a residency program for the medical education and training of individuals following graduation from medical school;
(ii) a program, known as a specialty or subspecialty fellowship program, that provides more advanced training; and
(iii) an institution or organization that operates, sponsors or participates in such a program.
(C) Graduate medical education residency matching program The term “graduate medical education residency matching program” means a program (such as those conducted by the National Resident Matching Program) that, in connection with the admission of students to graduate medical education programs, uses an algorithm and matching rules to match students in accordance with the preferences of students and the preferences of graduate medical education programs.
(D) Student The term “student” means any individual who seeks to be admitted to a graduate medical education program.
(2) Confirmation of antitrust status It shall not be unlawful under the antitrust laws to sponsor, conduct, or participate in a graduate medical education residency matching program, or to agree to sponsor, conduct, or participate in such a program. Evidence of any of the conduct described in the preceding sentence shall not be admissible in Federal court to support any claim or action alleging a violation of the antitrust laws.
(3) Applicability Nothing in this section shall be construed to exempt from the antitrust laws any agreement on the part of 2 or more graduate medical education programs to fix the amount of the stipend or other benefits received by students participating in such programs.
(c) Effective date This section shall take effect on April 10, 2004, shall apply to conduct whether it occurs prior to, on, or after April 10, 2004, and shall apply to all judicial and administrative actions or other proceedings pending on April 10, 2004.
(Pub. L. 108218, title II, § 207, Apr. 10, 2004, 118 Stat. 611.)
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# 15 U.S.C. § 38 - Association of marine insurance companies; application of antitrust laws
## Text
(a) Whenever used in this section—
(1) The term “association” means any association, exchange, pool, combination, or other arrangement for concerted action; and
(2) The term “marine insurance companies” means any persons, companies, or associations, authorized to write marine insurance or reinsurance under the laws of the United States or of a State, Territory, District, or possession thereof.
(b) Nothing contained in the “antitrust laws” as designated in section 12 of this title, shall be construed as declaring illegal an association entered into by marine insurance companies for the following purposes: To transact a marine insurance and reinsurance business in the United States and in foreign countries and to reinsure or otherwise apportion among its membership the risks undertaken by such association or any of the component members.
(June 5, 1920, ch. 250, § 29, 41 Stat. 1000.)
## Notes
Editorial Notes
Codification Section was classified to section 885 of the former Appendix to Title 46, prior to the completion of the enactment of Title 46, Shipping, by Pub. L. 109304, Oct. 6, 2006, 120 Stat. 1485.
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# 15 U.S.C. § 4 - Jurisdiction of courts; duty of United States attorneys; procedure
## Text
The several district courts of the United States are invested with jurisdiction to prevent and restrain violations of sections 1 to 7 of this title; and it shall be the duty of the several United States attorneys, in their respective districts, under the direction of the Attorney General, to institute proceedings in equity to prevent and restrain such violations. Such proceedings may be by way of petition setting forth the case and praying that such violation shall be enjoined or otherwise prohibited. When the parties complained of shall have been duly notified of such petition the court shall proceed, as soon as may be, to the hearing and determination of the case; and pending such petition and before final decree, the court may at any time make such temporary restraining order or prohibition as shall be deemed just in the premises.
(July 2, 1890, ch. 647, § 4, 26 Stat. 209; Mar. 3, 1911, ch. 231, § 291, 36 Stat. 1167; June 25, 1948, ch. 646, § 1, 62 Stat. 909.)
## Notes
Editorial Notes
Codification Act Mar. 3, 1911, vested jurisdiction in “district” courts, instead of “circuit” courts.
Statutory Notes and Related Subsidiaries
Change of Name Act June 25, 1948, eff. Sept. 1, 1948, substituted “United States attorneys” for “district attorneys of the United States”. See section 541 et seq. of Title 28, Judiciary and Judicial Procedure.
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# 15 U.S.C. § 5 - Bringing in additional parties
## Text
Whenever it shall appear to the court before which any proceeding under section 4 of this title may be pending, that the ends of justice require that other parties should be brought before the court, the court may cause them to be summoned, whether they reside in the district in which the court is held or not; and subpoenas to that end may be served in any district by the marshal thereof.
(July 2, 1890, ch. 647, § 5, 26 Stat. 210.)
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# 15 U.S.C. § 6 - Forfeiture of property in transit
## Text
Any property owned under any contract or by any combination, or pursuant to any conspiracy (and being the subject thereof) mentioned in section 1 of this title, and being in the course of transportation from one State to another, or to a foreign country, shall be forfeited to the United States, and may be seized and condemned by like proceedings as those provided by law for the forfeiture, seizure, and condemnation of property imported into the United States contrary to law.
(July 2, 1890, ch. 647, § 6, 26 Stat. 210.)
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# 15 U.S.C. § 6a - Conduct involving trade or commerce with foreign nations
## Text
Sections 1 to 7 of this title shall not apply to conduct involving trade or commerce (other than import trade or import commerce) with foreign nations unless—
(1) such conduct has a direct, substantial, and reasonably foreseeable effect—
(A) on trade or commerce which is not trade or commerce with foreign nations, or on import trade or import commerce with foreign nations; or
(B) on export trade or export commerce with foreign nations, of a person engaged in such trade or commerce in the United States; and
(2) such effect gives rise to a claim under the provisions of sections 1 to 7 of this title, other than this section.
If sections 1 to 7 of this title apply to such conduct only because of the operation of paragraph (1)(B), then sections 1 to 7 of this title shall apply to such conduct only for injury to export business in the United States.
(July 2, 1890, ch. 647, § 7, as added Pub. L. 97290, title IV, § 402, Oct. 8, 1982, 96 Stat. 1246.)
## Notes
Editorial Notes
Prior ProvisionsA prior section 7 of act July 2, 1890, ch. 647, 26 Stat. 210, related to suits by persons injured by acts in violation of sections 1 to 7 of this title and was classified as a note under section 15 of this title, prior to repeal by act July 7, 1955, ch. 283, § 3, 69 Stat. 283, effective six months after July 7, 1955.
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# 15 U.S.C. § 7 - “Person” or “persons” defined
## Text
The word “person”, or “persons”, wherever used in sections 1 to 7 of this title shall be deemed to include corporations and associations existing under or authorized by the laws of either the United States, the laws of any of the Territories, the laws of any State, or the laws of any foreign country.
(July 2, 1890, ch. 647, § 8, 26 Stat. 210.)
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# 15 U.S.C. § 7a1 - Limitation on recovery
## Text
(a) In general Subject to subsection (d), in any civil action alleging a violation of section 1 or 3 of this title, or alleging a violation of any similar State law, based on conduct covered by a currently effective antitrust leniency agreement, the amount of damages recovered by or on behalf of a claimant from an antitrust leniency applicant who satisfies the requirements of subsection (b), together with the amounts so recovered from cooperating individuals who satisfy such requirements, shall not exceed that portion of the actual damages sustained by such claimant which is attributable to the commerce done by the applicant in the goods or services affected by the violation.
(b) Requirements Subject to subsection (c), an antitrust leniency applicant or cooperating individual satisfies the requirements of this subsection with respect to a civil action described in subsection (a) if the court in which the civil action is brought determines, after considering any appropriate pleadings from the claimant, that the applicant or cooperating individual, as the case may be, has provided satisfactory cooperation to the claimant with respect to the civil action, which cooperation shall include—
(1) providing a full account to the claimant of all facts known to the applicant or cooperating individual, as the case may be, that are potentially relevant to the civil action;
(2) furnishing all documents or other items potentially relevant to the civil action that are in the possession, custody, or control of the applicant or cooperating individual, as the case may be, wherever they are located; and
(3) (A) in the case of a cooperating individual—
(i) making himself or herself available for such interviews, depositions, or testimony in connection with the civil action as the claimant may reasonably require; and
(ii) responding completely and truthfully, without making any attempt either falsely to protect or falsely to implicate any person or entity, and without intentionally withholding any potentially relevant information, to all questions asked by the claimant in interviews, depositions, trials, or any other court proceedings in connection with the civil action; or
(B) in the case of an antitrust leniency applicant, using its best efforts to secure and facilitate from cooperating individuals covered by the agreement the cooperation described in clauses (i) and (ii) and subparagraph (A).
(c) Timeliness The court shall consider, in making the determination concerning satisfactory cooperation described in subsection (b), the timeliness of the applicants or cooperating individuals cooperation with the claimant.
(d) Cooperation after expiration of stay or protective order If the Antitrust Division does obtain a stay or protective order in a civil action based on conduct covered by an antitrust leniency agreement, once the stay or protective order, or a portion thereof, expires or is terminated, the antitrust leniency applicant and cooperating individuals shall provide without unreasonable delay any cooperation described in paragraphs (1) and (2) of subsection (b) that was prohibited by the expired or terminated stay or protective order, or the expired or terminated portion thereof, in order for the cooperation to be deemed satisfactory under such paragraphs.
(e) Continuation Nothing in this section shall be construed to modify, impair, or supersede the provisions of sections 15, 15a, and 15c of this title relating to the recovery of costs of suit, including a reasonable attorneys fee, and interest on damages, to the extent that such recovery is authorized by such sections.
(Pub. L. 108237, title II, § 213, June 22, 2004, 118 Stat. 666; Pub. L. 111190, § 3, June 9, 2010, 124 Stat. 1275.)
## Notes
Editorial Notes
Codification Section was formerly set out in a note under section 1 of this title, prior to transfer to this section upon repeal of sunset provision.
Amendments2010—Subsec. (c). Pub. L. 111190, § 3(a), amended subsec. (c) generally. Prior to amendment, text read as follows: “If the initial contact by the antitrust leniency applicant with the Antitrust Division regarding conduct covered by the antitrust leniency agreement occurs after a State, or subdivision of a State, has issued compulsory process in connection with an investigation of allegations of a violation of section 1 or 3 of this title or any similar State law based on conduct covered by the antitrust leniency agreement or after a civil action described in subsection (a) has been filed, then the court shall consider, in making the determination concerning satisfactory cooperation described in subsection (b), the timeliness of the applicants initial cooperation with the claimant.” Subsecs. (d), (e). Pub. L. 111190, § 3(b), added subsec. (d) and redesignated former subsec. (d) as (e).
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# 15 U.S.C. § 7a2 - Rights, authorities, and liabilities not affected
## Text
Nothing in sections 7a to 7a3 of this title shall be construed to—
(1) affect the rights of the Antitrust Division to seek a stay or protective order in a civil action based on conduct covered by an antitrust leniency agreement to prevent the cooperation described in section 7a1(b) of this title from impairing or impeding the investigation or prosecution by the Antitrust Division of conduct covered by the agreement;
(2) create any right to challenge any decision by the Antitrust Division with respect to an antitrust leniency agreement; or
(3) affect, in any way, the joint and several liability of any party to a civil action described in section 7a1(a) of this title, other than that of the antitrust leniency applicant and cooperating individuals as provided in section 7a1(a) of this title.
(Pub. L. 108237, title II, § 214, June 22, 2004, 118 Stat. 667; Pub. L. 111190, § 4, June 9, 2010, 124 Stat. 1276.)
## Notes
Editorial Notes
References in TextSections 7a to 7a3 of this title, referred to in text, was in the original “this subtitle”, meaning subtitle A (§§ 211216) of title II of Pub. L. 108237, June 22, 2004, 118 Stat. 666, which enacted this section and sections 7a, 7a1, and 7a3 of this title, amended sections 1, 2, and 3 of this title, and enacted provisions formerly set out in a note under section 1 of this title. For complete classification of subtitle A to the Code, see Tables.
Codification Section was formerly set out in a note under section 1 of this title, prior to transfer to this section upon repeal of sunset provision.
Amendments2010—Par. (1). Pub. L. 111190, § 4(1), made technical amendment to reference in original act which appears in text as reference to section 7a1(b) of this title. Par. (3). Pub. L. 111190, § 4(2), made technical amendment to references in original act which appear in two places in text as references to section 7a1(a) of this title.
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# 15 U.S.C. § 7a3 - Anti-retaliation protection for whistleblowers
## Text
(a) Whistleblower protections for employees, contractors, subcontractors, and agents (1) In general No employer may discharge, demote, suspend, threaten, harass, or in any other manner discriminate against a covered individual in the terms and conditions of employment of the covered individual because of any lawful act done by the covered individual—
(A) to provide or cause to be provided to the Federal Government or a person with supervisory authority over the covered individual (or such other person working for the employer who has the authority to investigate, discover, or terminate misconduct) information relating to—
(i) any violation of, or any act or omission the covered individual reasonably believes to be a violation of, the antitrust laws; or
(ii) any violation of, or any act or omission the covered individual reasonably believes to be a violation of, another criminal law committed in conjunction with a potential violation of the antitrust laws or in conjunction with an investigation by the Department of Justice of a potential violation of the antitrust laws; or
(B) to cause to be filed, testify in, participate in, or otherwise assist a Federal Government investigation or a Federal Government proceeding filed or about to be filed (with any knowledge of the employer) relating to—
(i) any violation of, or any act or omission the covered individual reasonably believes to be a violation of, the antitrust laws; or
(ii) any violation of, or any act or omission the covered individual reasonably believes to be a violation of, another criminal law committed in conjunction with a potential violation of the antitrust laws or in conjunction with an investigation by the Department of Justice of a potential violation of the antitrust laws.
(2) Limitation on protections Paragraph (1) shall not apply to any covered individual if—
(A) the covered individual planned and initiated a violation or attempted violation of the antitrust laws;
(B) the covered individual planned and initiated a violation or attempted violation of another criminal law in conjunction with a violation or attempted violation of the antitrust laws; or
(C) the covered individual planned and initiated an obstruction or attempted obstruction of an investigation by the Department of Justice of a violation of the antitrust laws.
(3) Definitions In this section:
(A) Antitrust laws The term “antitrust laws” means section 1 or 3 of this title.
(B) Covered individual The term “covered individual” means an employee, contractor, subcontractor, or agent of an employer.
(C) Employer The term “employer” means a person, or any officer, employee, contractor, subcontractor, or agent of such person.
(D) Federal Government The term “Federal Government” means—
(i) a Federal regulatory or law enforcement agency; or
(ii) any Member of Congress or committee of Congress.
(E) Person The term “person” has the same meaning as in subsection (a) of section 12 of this title.
(4) Rule of construction The term “violation”, with respect to the antitrust laws, shall not be construed to include a civil violation of any law that is not also a criminal violation.
(b) Enforcement action (1) In general A covered individual who alleges discharge or other discrimination by any employer in violation of subsection (a) may seek relief under subsection (c) by—
(A) filing a complaint with the Secretary of Labor; or
(B) if the Secretary of Labor has not issued a final decision within 180 days of the filing of the complaint and there is no showing that such delay is due to the bad faith of the claimant, bringing an action at law or equity for de novo review in the appropriate district court of the United States, which shall have jurisdiction over such an action without regard to the amount in controversy.
(2) Procedure (A) In general A complaint filed with the Secretary of Labor under paragraph (1)(A) shall be governed under the rules and procedures set forth in section 42121(b) of title 49.
(B) Exception Notification made under section 42121(b)(1) of title 49 shall be made to any individual named in the complaint and to the employer.
(C) Burdens of proof An action brought under paragraph (1)(B) shall be governed by the legal burdens of proof set forth in section 42121(b) of title 49.
(D) Statute of limitations A complaint under paragraph (1)(A) shall be filed with the Secretary of Labor not later than 180 days after the date on which the violation occurs.
(E) Civil actions to enforce If a person fails to comply with an order or preliminary order issued by the Secretary of Labor pursuant to the procedures set forth in section 42121(b) of title 49, the Secretary of Labor or the person on whose behalf the order was issued may bring a civil action to enforce the order in the district court of the United States for the judicial district in which the violation occurred.
(c) Remedies (1) In general A covered individual prevailing in any action under subsection (b)(1) shall be entitled to all relief necessary to make the covered individual whole.
(2) Compensatory damages Relief for any action under paragraph (1) shall include—
(A) reinstatement with the same seniority status that the covered individual would have had, but for the discrimination;
(B) the amount of back pay, with interest; and
(C) compensation for any special damages sustained as a result of the discrimination including litigation costs, expert witness fees, and reasonable attorneys fees.
(d) Rights retained by whistleblowers Nothing in this section shall be deemed to diminish the rights, privileges, or remedies of any covered individual under any Federal or State law, or under any collective bargaining agreement.
(Pub. L. 108237, title II, § 216, as added Pub. L. 116257, § 2, Dec. 23, 2020, 134 Stat. 1147.)
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# 15 U.S.C. § 7a - Definitions
## Text
In sections 7a to 7a3 of this title:
(1) Antitrust Division The term “Antitrust Division” means the United States Department of Justice Antitrust Division.
(2) Antitrust leniency agreement The term “antitrust leniency agreement,” or “agreement,” means a leniency letter agreement, whether conditional or final, between a person and the Antitrust Division pursuant to the Corporate Leniency Policy of the Antitrust Division in effect on the date of execution of the agreement.
(3) Antitrust leniency applicant The term “antitrust leniency applicant,” or “applicant,” means, with respect to an antitrust leniency agreement, the person that has entered into the agreement.
(4) Claimant The term “claimant” means a person or class, that has brought, or on whose behalf has been brought, a civil action alleging a violation of section 1 or 3 of this title or any similar State law, except that the term does not include a State or a subdivision of a State with respect to a civil action brought to recover damages sustained by the State or subdivision.
(5) Cooperating individual The term “cooperating individual” means, with respect to an antitrust leniency agreement, a current or former director, officer, or employee of the antitrust leniency applicant who is covered by the agreement.
(6) Person The term “person” has the meaning given it in subsection (a) of section 12 of this title.
(Pub. L. 108237, title II, § 212, June 22, 2004, 118 Stat. 666; Pub. L. 111190, § 2, June 9, 2010, 124 Stat. 1275; Pub. L. 116159, div. D, title III, § 4303(b)(2), Oct. 1, 2020, 134 Stat. 742.)
## Notes
Editorial Notes
References in TextSections 7a to 7a3 of this title, referred to in text, was in the original “this subtitle”, meaning subtitle A (§§ 211216) of title II of Pub. L. 108237, June 22, 2004, 118 Stat. 666, which enacted this section and sections 7a1 to 7a3 of this title, amended sections 1, 2, and 3 of this title, and enacted provisions formerly set out in a note under section 1 of this title. For complete classification of subtitle A to the Code, see Tables.
Codification Section was formerly set out in a note under section 1 of this title, prior to transfer to this section upon repeal of sunset provision.
Amendments2020—Pars. (6), (7). Pub. L. 116159 redesignated par. (7) as (6) and struck out former par. (6). Prior to amendment, text of par. (6) read as follows: “The term marker means an assurance given by the Antitrust Division to a candidate for corporate leniency that no other company will be considered for leniency, for some finite period of time, while the candidate is given an opportunity to perfect its leniency application.” 2010—Pars. (6), (7). Pub. L. 111190 added par. (6) and redesignated former par. (6) as (7).
Statutory Notes and Related Subsidiaries
Findings; Purpose of 2020 AmendmentPub. L. 116159, div. D, title III, § 4302, Oct. 1, 2020, 134 Stat. 742, provided that: “(a) Findings.—Congress finds the following:“(1) Conspiracies among competitors to fix prices, rig bids, and allocate markets are categorically and irredeemably anticompetitive and contravene the competition policy of the United States. “(2) Cooperation incentives are important to the efforts of the Antitrust Division of the Department of Justice to prosecute and deter the offenses described in paragraph (1). “(b) Purpose.—The purpose of this Act [probably means title III of div. D (§ 4301 et seq.) of Pub. L. 116159, see Tables for classification], and the amendments made by this Act, is to strengthen public and private antitrust enforcement by providing incentives for antitrust violators to cooperate fully with government prosecutors and private litigants through the repeal of the sunset provision of the Antitrust Criminal Penalty Enhancement and Reform Act of 2004 [section 211 of Pub. L. 108237] ([former] 15 U.S.C. 1 note).”
Technical and Conforming AmendmentsPub. L. 116159, div. D, title III, § 4303(b)(1), Oct. 1, 2020, 134 Stat. 742, provided that: “(1) Revival and restoration.—“(A) In general.—Sections 212, 213, and 214 of the Antitrust Criminal Penalty Enhancement and Reform Act of 2004 [title II of Pub. L. 108237] ([former] 15 U.S.C. 1 note [now 15 U.S.C. 7a, 7a1, 7a2, respectively]) as in effect on June 21, 2020, and as amended by the laws described in subparagraph (B), are revived and restored. “(B) Laws.—The laws described in this subparagraph are:“(i) Antitrust Criminal Penalty Enhancement and Reform Act of 2004 Extension Act (Public Law 11130; 123 Stat. 1775) [amending former section 211 of Pub. L. 108237]. “(ii) The Act entitled An Act to amend the Antitrust Criminal Penalty Enhancement and Reform Act of 2004 to extend the operation of such Act, and for other purposes, approved June 9, 2010 (Public Law 11190 [sic, probably should be “111190”]; 124 Stat. 1275) [amending this section, sections 7a1 and 7a2 of this title, and former section 211 of Pub. L. 108237].”
Applicability of 2020 AmendmentPub. L. 116159, div. D, title III, § 4303(c), Oct. 1, 2020, 134 Stat. 742, provided that: “(1) Markers and agreements before sunset.—Notwithstanding the repeal under subsection (a) [repealing section 211 of Pub. L. 108237], section 211(b) of the Antitrust Criminal Penalty Enhancement and Reform Act of 2004 [Pub. L. 108237] ([former] 15 U.S.C. 1 note), as in effect on the day before the date of enactment of this Act [Oct. 1, 2020], shall continue to apply to any person who received a marker or entered into an antitrust leniency agreement on or before June 22, 2020. “(2) Markers and agreements after sunset.—The repeal under subsection (a) shall apply to any person who received a marker or entered into an antitrust leniency agreement on or after June 23, 2020.”
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# 15 U.S.C. § 8 - Trusts in restraint of import trade illegal; penalty
## Text
Every combination, conspiracy, trust, agreement, or contract is declared to be contrary to public policy, illegal, and void when the same is made by or between two or more persons or corporations, either of whom, as agent or principal, is engaged in importing any article from any foreign country into the United States, and when such combination, conspiracy, trust, agreement, or contract is intended to operate in restraint of lawful trade, or free competition in lawful trade or commerce, or to increase the market price in any part of the United States of any article or articles imported or intended to be imported into the United States, or of any manufacture into which such imported article enters or is intended to enter. Every person who shall be engaged in the importation of goods or any commodity from any foreign country in violation of this section, or who shall combine or conspire with another to violate the same, is guilty of a misdemeanor, and on conviction thereof in any court of the United States such person shall be fined in a sum not less than $100 and not exceeding $5,000, and shall be further punished by imprisonment, in the discretion of the court, for a term not less than three months nor exceeding twelve months.
(Aug. 27, 1894, ch. 349, § 73, 28 Stat. 570; Feb. 12, 1913, ch. 40, 37 Stat. 667.)
## Notes
Editorial Notes
Amendments1913—Act Feb. 12, 1913, inserted “as agent or principal”.
Statutory Notes and Related Subsidiaries
Short TitleSection 77, formerly § 78, of act Aug. 27, 1894, as added by Pub. L. 94435, title III, § 305(d), Sept. 30, 1976, 90 Stat. 1397; renumbered § 77 and amended Pub. L. 107273, div. C, title IV, § 14102(c)(1)(B), Nov. 2, 2002, 116 Stat. 1921, provided that: “Sections 73, 74, 75, and 76 of this Act [enacting sections 8 to 11 of this title] may be cited as the Wilson Tariff Act.”
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# 15 U.S.C. § 9 - Jurisdiction of courts; duty of United States attorneys; procedure
## Text
The several district courts of the United States are invested with jurisdiction to prevent and restrain violations of section 8 of this title; and it shall be the duty of the several United States attorneys, in their respective districts, under the direction of the Attorney General, to institute proceedings in equity to prevent and restrain such violations. Such proceedings may be by way of petitions setting forth the case and praying that such violations shall be enjoined or otherwise prohibited. When the parties complained of shall have been duly notified of such petition the court shall proceed, as soon as may be, to the hearing and determination of the case; and pending such petition and before final decree, the court may at any time make such temporary restraining order or prohibition as shall be deemed just in the premises.
(Aug. 27, 1894, ch. 349, § 74, 28 Stat. 570; Mar. 3, 1911, ch. 231, § 291, 36 Stat. 1167; June 25, 1948, ch. 646, § 1, 62 Stat. 909.)
## Notes
Editorial Notes
Codification Act Mar. 3, 1911, vested jurisdiction in “district” courts, instead of “circuit” courts.
Statutory Notes and Related Subsidiaries
Change of Name Act June 25, 1948, eff. Sept. 1, 1948, substituted “United States attorneys” for “district attorneys of the United States”. See section 541 et seq. of Title 28, Judiciary and Judicial Procedure.
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# 15 U.S.C. § 331 to 374 - Omitted
## Notes
Editorial Notes
Codification Sections referred to War Finance Corporation. They were derived from acts Apr. 5, 1918, ch. 45, §§ 119, 2428, 300, 302304, 40 Stat. 506512, 514, 515; Mar. 3, 1919, ch. 100, § 10, 40 Stat. 1314; Jan. 4, 1921, ch. 9, 41 Stat. 1084; Aug. 24, 1921, ch. 80, §§ 13, 57, 42 Stat. 181184; June 10, 1922, ch. 215, §§ 2, 3, 42 Stat. 634; Mar. 4, 1923, ch. 252, title V, §§ 502, 503, 42 Stat. 1481; Feb. 20, 1924, ch. 37, §§ 14, 43 Stat. 14, 15; Apr. 4, 1928, ch. 315, 45 Stat. 405; May 29, 1928, ch. 901, § 1(116), 45 Stat. 995; Mar. 1, 1929, ch. 444, 45 Stat. 1442; Aug. 23, 1935, ch. 614, § 203(a), 49 Stat. 704. War Finance Corporation was abolished and Secretary of Treasury was directed to complete and wind up its affairs and dispose of its assets in accordance with act Mar. 1, 1929, ch. 444, 45 Stat. 1442, not later than Dec. 31, 1939. All its functions, property, and obligations not previously transferred by statute to Secretary of Treasury were transferred to Department of Treasury by Reorg. Plan No. II, of 1939, § 2(c), eff. July 1, 1939, 4 F.R. 2731, 53 Stat. 1432, set out in the Appendix to Title 5, Government Organization and Employees. See also sections 401 to 404 of Reorg. Plan No. II of 1939 for provisions relating to transfer of functions, records, property, personnel, and funds. In a letter addressed to the Speaker of the House of Representatives and dated October 26, 1942, the Acting Secretary of the Treasury transmitted the final report of the affairs of the War Finance Corporation covering the period of its existence from April 5, 1918 through June 30, 1939.
Statutory Notes and Related Subsidiaries
RepealsSections 1, 2, 5 to 19, 200 to 206, 300 and 302 to 306 of act Apr. 5, 1918, ch. 45, 40 Stat. 506 to 512, 514, 515, formerly classified to sections 331 to 347 and 361 to 365 of this title, were repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 643. Sections 3 and 4 of act Apr. 5, 1918, ch. 45, 40 Stat. 507, which authorized the appointment of Government employees to membership on the Board of Directors of the War Finance Corporation and provided for their compensation, previously omitted from this Code, were repealed by Pub. L. 88448, title IV, § 402(a)(16), Aug. 19, 1964, 78 Stat. 493. Sections 9 and 10 of act Mar. 3, 1919, ch. 100, 40 Stat. 1313, 1314, formerly classified to section 343 of this title, were repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 644. Act Jan. 4, 1921, ch. 9, 41 Stat. 1084, formerly classified to section 373 of this title, was repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 644. Act Aug. 24, 1921, ch. 80, 42 Stat. 181, formerly classified to sections 331, 340, 341, 343, 348 to 352 and 364 of this title, was repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 645. Act June 10, 1922, ch. 215, 42 Stat. 634, formerly classified to sections 340 and 343 of this title, was repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 645. Sections 501 to 503 of act Mar. 4, 1923, ch. 252, 42 Stat. 1480, 1481, formerly classified to sections 340 and 343 of this title, were repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 645. Act Feb. 20, 1924, ch. 37, 43 Stat. 14, formerly classified to sections 343, 371 and 372 of this title, was repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 645. Act Apr. 4, 1928, ch. 315, 45 Stat. 405, formerly classified to section 331 of this title, was repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 647. Act May 29, 1928, ch. 901, § 1(116), 45 Stat. 995, formerly classified to section 347 of this title, was repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 647. Act Mar. 1, 1929, ch. 444, 45 Stat. 1442, formerly classified to section 374 of this title, was repealed by Pub. L. 89554, § 8(a), Sept. 6, 1966, 80 Stat. 647.
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# 15 U.S.C. § 7401 - Findings
## Text
The Congress finds the following:
(1) Revolutionary advancements in computing and communications technology have interconnected government, commercial, scientific, and educational infrastructures—including critical infrastructures for electric power, natural gas and petroleum production and distribution, telecommunications, transportation, water supply, banking and finance, and emergency and government services—in a vast, interdependent physical and electronic network.
(2) Exponential increases in interconnectivity have facilitated enhanced communications, economic growth, and the delivery of services critical to the public welfare, but have also increased the consequences of temporary or prolonged failure.
(3) A Department of Defense Joint Task Force concluded after a 1997 United States information warfare exercise that the results “clearly demonstrated our lack of preparation for a coordinated cyber and physical attack on our critical military and civilian infrastructure”.
(4) Computer security technology and systems implementation lack—
(A) sufficient long term research funding;
(B) adequate coordination across Federal and State government agencies and among government, academia, and industry; and
(C) sufficient numbers of outstanding researchers in the field.
(5) Accordingly, Federal investment in computer and network security research and development must be significantly increased to—
(A) improve vulnerability assessment and technological and systems solutions;
(B) expand and improve the pool of information security professionals, including researchers, in the United States workforce; and
(C) better coordinate information sharing and collaboration among industry, government, and academic research projects.
(6) While African-Americans, Hispanics, and Native Americans constitute 25 percent of the total United States workforce and 30 percent of the college-age population, members of these minorities comprise less than 7 percent of the United States computer and information science workforce.
(Pub. L. 107305, § 2, Nov. 27, 2002, 116 Stat. 2367.)
## Notes
Statutory Notes and Related Subsidiaries
Short TitlePub. L. 107305, § 1, Nov. 27, 2002, 116 Stat. 2367, provided that: “This Act [enacting this chapter and section 278h of this title, amending sections 278g3, 1511e, and 7301 of this title and section 1862 of Title 42, The Public Health and Welfare, and redesignating section 278h of this title as 278q of this title] may be cited as the Cyber Security Research and Development Act.”
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# 15 U.S.C. § 7402 - Definitions
## Text
In this chapter:
(1) Director The term “Director” means the Director of the National Science Foundation.
(2) Institution of higher education The term “institution of higher education” has the meaning given that term in section 1001(a) of title 20.
(Pub. L. 107305, § 3, Nov. 27, 2002, 116 Stat. 2368.)
## Notes
Editorial Notes
References in TextThis chapter, referred to in text, was in the original “this Act”, meaning Pub. L. 107305, Nov. 27, 2002, 116 Stat. 2367, known as the Cyber Security Research and Development Act, which is classified principally to this chapter. For complete classification of this Act to the Code, see Short Title note set out under section 7401 of this title and Tables.
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# 15 U.S.C. § 7403 - National Science Foundation research
## Text
(a) Computer and network security research grants (1) In general The Director shall award grants for basic research on innovative approaches to the structure of computer and network hardware and software that are aimed at enhancing computer security. Research areas may include—
(A) authentication, cryptography, and other secure data communications technology;
(B) computer forensics and intrusion detection;
(C) reliability of computer and network applications, middleware, operating systems, control systems, and communications infrastructure;
(D) privacy and confidentiality;
(E) network security architecture, including tools for security administration and analysis;
(F) emerging threats;
(G) vulnerability assessments and techniques for quantifying risk;
(H) remote access and wireless security;
(I) enhancement of law enforcement ability to detect, investigate, and prosecute cyber-crimes, including those that involve piracy of intellectual property;
(J) secure fundamental protocols that are integral to inter-network communications and data exchange;
(K) secure software engineering and software assurance, including—
(i) programming languages and systems that include fundamental security features;
(ii) portable or reusable code that remains secure when deployed in various environments;
(iii) verification and validation technologies to ensure that requirements and specifications have been implemented; and
(iv) models for comparison and metrics to assure that required standards have been met;
(L) holistic system security that—
(i) addresses the building of secure systems from trusted and untrusted components;
(ii) proactively reduces vulnerabilities;
(iii) addresses insider threats; and
(iv) supports privacy in conjunction with improved security;
(M) monitoring and detection;
(N) mitigation and rapid recovery methods;
(O) security of wireless networks and mobile devices;
(P) security of cloud infrastructure and services;
(Q) security of election-dedicated voting system software and hardware; and
(R) role of the human factor in cybersecurity and the interplay of computers and humans and the physical world.
(2) Merit review; competition Grants shall be awarded under this section on a merit-reviewed competitive basis.
(3) Authorization of appropriations There are authorized to be appropriated to the National Science Foundation to carry out this subsection—
(A) $35,000,000 for fiscal year 2003;
(B) $40,000,000 for fiscal year 2004;
(C) $46,000,000 for fiscal year 2005;
(D) $52,000,000 for fiscal year 2006; and
(E) $60,000,000 for fiscal year 2007.
(b) Computer and network security research centers (1) In general The Director shall award multiyear grants, subject to the availability of appropriations, to institutions of higher education, nonprofit research institutions, or consortia thereof to establish multidisciplinary Centers for Computer and Network Security Research. Institutions of higher education, nonprofit research institutions, or consortia thereof receiving such grants may partner with 1 or more government laboratories or for-profit institutions, or other institutions of higher education or nonprofit research institutions.
(2) Merit review; competition Grants shall be awarded under this subsection on a merit-reviewed competitive basis.
(3) Purpose The purpose of the Centers shall be to generate innovative approaches to computer and network security by conducting cutting-edge, multidisciplinary research in computer and network security, including improving the security and resiliency of information technology, reducing cyber vulnerabilities, and anticipating and mitigating consequences of cyber attacks on critical infrastructure, by conducting research in the areas described in subsection (a)(1).
(4) Applications An institution of higher education, nonprofit research institution, or consortia thereof seeking funding under this subsection shall submit an application to the Director at such time, in such manner, and containing such information as the Director may require. The application shall include, at a minimum, a description of—
(A) the research projects that will be undertaken by the Center and the contributions of each of the participating entities;
(B) how the Center will promote active collaboration among scientists and engineers from different disciplines, such as computer scientists, engineers, mathematicians, and social science researchers;
(C) how the Center will contribute to increasing the number and quality of computer and network security researchers and other professionals, including individuals from groups historically underrepresented in these fields; and
(D) how the Center will disseminate research results quickly and widely to improve cyber security in information technology networks, products, and services.
(5) Criteria In evaluating the applications submitted under paragraph (4), the Director shall consider, at a minimum—
(A) the ability of the applicant to generate innovative approaches to computer and network security and effectively carry out the research program;
(B) the experience of the applicant in conducting research on computer and network security and the capacity of the applicant to foster new multidisciplinary collaborations;
(C) the capacity of the applicant to attract and provide adequate support for a diverse group of undergraduate and graduate students and postdoctoral fellows to pursue computer and network security research;
(D) the extent to which the applicant will partner with government laboratories, for-profit entities, other institutions of higher education, or nonprofit research institutions, and the role the partners will play in the research undertaken by the Center;
(E) the demonstrated capability of the applicant to conduct high performance computation integral to complex computer and network security research, through on-site or off-site computing;
(F) the applicants affiliation with private sector entities involved with industrial research described in subsection (a)(1);
(G) the capability of the applicant to conduct research in a secure environment;
(H) the applicants affiliation with existing research programs of the Federal Government;
(I) the applicants experience managing public-private partnerships to transition new technologies into a commercial setting or the government user community;
(J) the capability of the applicant to conduct interdisciplinary cybersecurity research, basic and applied, such as in law, economics, or behavioral sciences; and
(K) the capability of the applicant to conduct research in areas such as systems security, wireless security, networking and protocols, formal methods and networking and information technology, nanotechnology, or industrial control systems.
(6) Annual meeting The Director shall convene an annual meeting of the Centers in order to foster collaboration and communication between Center participants.
(7) Authorization of appropriations There are authorized to be appropriated for the National Science Foundation to carry out this subsection—
(A) $12,000,000 for fiscal year 2003;
(B) $24,000,000 for fiscal year 2004;
(C) $36,000,000 for fiscal year 2005;
(D) $36,000,000 for fiscal year 2006; and
(E) $36,000,000 for fiscal year 2007.
(Pub. L. 107305, § 4, Nov. 27, 2002, 116 Stat. 2368; Pub. L. 113274, title II, §§ 201(e), 202, Dec. 18, 2014, 128 Stat. 2978; Pub. L. 114329, title I, §§ 104(a), 105(r), Jan. 6, 2017, 130 Stat. 2975, 2984.)
## Notes
Editorial Notes
Amendments2017—Subsec. (a)(1)(Q), (R). Pub. L. 114329, § 104(a), added subpars. (Q) and (R). Subsec. (b)(5)(K). Pub. L. 114329, § 105(r), substituted “networking and information technology” for “high-performance computing”. 2014—Subsec. (a)(1)(J) to (P). Pub. L. 113274, § 201(e), added subpars. (J) to (P). Subsec. (b)(3). Pub. L. 113274, § 202(1), substituted “improving the security and resiliency of information technology, reducing cyber vulnerabilities, and anticipating and mitigating consequences of cyber attacks on critical infrastructure, by conducting research in the areas” for “the research areas”. Subsec. (b)(4)(D). Pub. L. 113274, § 202(2), substituted “the Center” for “the center”. Subsec. (b)(5)(E) to (K). Pub. L. 113274, § 202(3), added subpars. (E) to (K).
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# 15 U.S.C. § 7404 - National Science Foundation computer and network security programs
## Text
(a) Computer and network security capacity building grants (1) In general The Director shall establish a program to award grants to institutions of higher education (or consortia thereof) to establish or improve undergraduate and masters degree programs in computer and network security, to increase the number of students, including the number of students from groups historically underrepresented in these fields and students who are veterans, who pursue undergraduate or masters degrees in fields related to computer and network security, and to provide students with experience in government or industry related to their computer and network security studies.
(2) Merit review Grants shall be awarded under this subsection on a merit-reviewed competitive basis.
(3) Use of funds Grants awarded under this subsection shall be used for activities that enhance the ability of an institution of higher education (or consortium thereof) to provide high-quality undergraduate and masters degree programs in computer and network security and to recruit and retain increased numbers of students to such programs. Activities may include—
(A) revising curriculum to better prepare undergraduate and masters degree students for careers in computer and network security;
(B) establishing degree and certificate programs in computer and network security;
(C) creating opportunities for undergraduate students to participate in computer and network security research projects;
(D) acquiring equipment necessary for student instruction in computer and network security, including the installation of testbed networks for student use;
(E) providing opportunities for faculty to work with local or Federal Government agencies, private industry, nonprofit research institutions, or other academic institutions to develop new expertise or to formulate new research directions in computer and network security;
(F) establishing collaborations with other academic institutions or academic departments that seek to establish, expand, or enhance programs in computer and network security;
(G) establishing student internships in computer and network security at government agencies or in private industry;
(H) establishing collaborations with other academic institutions to establish or enhance a web-based collection of computer and network security courseware and laboratory exercises for sharing with other institutions of higher education, including community colleges;
(I) establishing or enhancing bridge programs in computer and network security between community colleges and universities;
(J) creating opportunities for veterans to transition to careers in computer and network security; and
(K) any other activities the Director determines will accomplish the goals of this subsection.
(4) Selection process (A) Application An institution of higher education (or a consortium thereof) seeking funding under this subsection shall submit an application to the Director at such time, in such manner, and containing such information as the Director may require. The application shall include, at a minimum—
(i) a description of the applicants computer and network security research and instructional capacity, and in the case of an application from a consortium of institutions of higher education, a description of the role that each member will play in implementing the proposal;
(ii) a comprehensive plan by which the institution or consortium will build instructional capacity in computer and information security;
(iii) a description of relevant collaborations with government agencies or private industry that inform the instructional program in computer and network security;
(iv) a survey of the applicants historic student enrollment and placement data in fields related to computer and network security and a study of potential enrollment and placement for students enrolled in the proposed computer and network security program; and
(v) a plan to evaluate the success of the proposed computer and network security program, including post-graduation assessment of graduate school and job placement and retention rates as well as the relevance of the instructional program to graduate study and to the workplace.
(B) Awards (i) The Director shall ensure, to the extent practicable, that grants are awarded under this subsection in a wide range of geographic areas and categories of institutions of higher education, including minority serving institutions.
(ii) The Director shall award grants under this subsection for a period not to exceed 5 years.
(5) Assessment required The Director shall evaluate the program established under this subsection no later than 6 years after the establishment of the program. At a minimum, the Director shall evaluate the extent to which the program achieved its objectives of increasing the quality and quantity of students, including students from groups historically underrepresented in computer and network security related disciplines, pursuing undergraduate or masters degrees in computer and network security.
(6) Authorization of appropriations There are authorized to be appropriated to the National Science Foundation to carry out this subsection—
(A) $15,000,000 for fiscal year 2003;
(B) $20,000,000 for fiscal year 2004;
(C) $20,000,000 for fiscal year 2005;
(D) $20,000,000 for fiscal year 2006; and
(E) $20,000,000 for fiscal year 2007.
(b) Scientific and Advanced Technology Act of 1992 (1) Grants The Director shall provide grants under the Scientific and Advanced Technology Act of 1992 (42 U.S.C. 1862i) [42 U.S.C. 1862h et seq.] for the purposes of section 3(a) and (b) of that Act [42 U.S.C. 1862i(a), (b)], except that the activities supported pursuant to this subsection shall be limited to improving education in fields related to computer and network security.
(2) Authorization of appropriations There are authorized to be appropriated to the National Science Foundation to carry out this subsection—
(A) $1,000,000 for fiscal year 2003;
(B) $1,250,000 for fiscal year 2004;
(C) $1,250,000 for fiscal year 2005;
(D) $1,250,000 for fiscal year 2006; and
(E) $1,250,000 for fiscal year 2007.
(c) Graduate traineeships in computer and network security research (1) In general The Director shall establish a program to award grants to institutions of higher education to establish traineeship programs for graduate students who pursue computer and network security research leading to a doctorate degree by providing funding and other assistance, and by providing graduate students with research experience in government or industry related to the students computer and network security studies.
(2) Merit review Grants shall be provided under this subsection on a merit-reviewed competitive basis.
(3) Use of funds An institution of higher education shall use grant funds for the purposes of—
(A) providing traineeships to students who are citizens, nationals, or lawfully admitted permanent resident aliens of the United States and are pursuing research in computer or network security leading to a doctorate degree;
(B) paying tuition and fees for students receiving traineeships under subparagraph (A);
(C) establishing scientific internship programs for students receiving traineeships under subparagraph (A) in computer and network security at for-profit institutions, nonprofit research institutions, or government laboratories; and
(D) other costs associated with the administration of the program.
(4) Traineeship amount Traineeships provided under paragraph (3)(A) shall be in the amount of $25,000 per year, or the level of the National Science Foundation Graduate Research Fellowships, whichever is greater, for up to 3 years.
(5) Selection process An institution of higher education seeking funding under this subsection shall submit an application to the Director at such time, in such manner, and containing such information as the Director may require. The application shall include, at a minimum, a description of—
(A) the instructional program and research opportunities in computer and network security available to graduate students at the applicants institution; and
(B) the internship program to be established, including the opportunities that will be made available to students for internships at for-profit institutions, nonprofit research institutions, and government laboratories.
(6) Review of applications In evaluating the applications submitted under paragraph (5), the Director shall consider—
(A) the ability of the applicant to effectively carry out the proposed program;
(B) the quality of the applicants existing research and education programs;
(C) the likelihood that the program will recruit increased numbers of students, including students from groups historically underrepresented in computer and network security related disciplines or veterans, to pursue and earn doctorate degrees in computer and network security;
(D) the nature and quality of the internship program established through collaborations with government laboratories, nonprofit research institutions, and for-profit institutions;
(E) the integration of internship opportunities into graduate students research; and
(F) the relevance of the proposed program to current and future computer and network security needs.
(7) Authorization of appropriations There are authorized to be appropriated to the National Science Foundation to carry out this subsection—
(A) $10,000,000 for fiscal year 2003;
(B) $20,000,000 for fiscal year 2004;
(C) $20,000,000 for fiscal year 2005;
(D) $20,000,000 for fiscal year 2006; and
(E) $20,000,000 for fiscal year 2007.
(d) Graduate Research Fellowships program support Computer and network security shall be included among the fields of specialization supported by the National Science Foundations Graduate Research Fellowships program under section 1869 of title 42.
(e) Cyber security faculty development traineeship program (1) In general The Director shall establish a program to award grants to institutions of higher education to establish traineeship programs to enable graduate students to pursue academic careers in cyber security upon completion of doctoral degrees.
(2) Merit review; competition Grants shall be awarded under this section on a merit-reviewed competitive basis.
(3) Application Each institution of higher education desiring to receive a grant under this subsection shall submit an application to the Director at such time, in such manner, and containing such information as the Director shall require.
(4) Use of funds Funds received by an institution of higher education under this paragraph shall—
(A) be made available to individuals on a merit-reviewed competitive basis and in accordance with the requirements established in paragraph (7);
(B) be in an amount that is sufficient to cover annual tuition and fees for doctoral study at an institution of higher education for the duration of the graduate traineeship, and shall include, in addition, an annual living stipend of $25,000; and
(C) be provided to individuals for a duration of no more than 5 years, the specific duration of each graduate traineeship to be determined by the institution of higher education, on a case-by-case basis.
(5) Repayment Each graduate traineeship shall—
(A) subject to paragraph (5)(B), be subject to full repayment upon completion of the doctoral degree according to a repayment schedule established and administered by the institution of higher education;
(B) be forgiven at the rate of 20 percent of the total amount of the graduate traineeship assistance received under this section for each academic year that a recipient is employed as a full-time faculty member at an institution of higher education for a period not to exceed 5 years; and
(C) be monitored by the institution of higher education receiving a grant under this subsection to ensure compliance with this subsection.
(6) Exceptions The Director may provide for the partial or total waiver or suspension of any service obligation or payment by an individual under this section whenever compliance by the individual is impossible or would involve extreme hardship to the individual, or if enforcement of such obligation with respect to the individual would be unconscionable.
(7) Eligibility To be eligible to receive a graduate traineeship under this section, an individual shall—
(A) be a citizen, national, or lawfully admitted permanent resident alien of the United States; and
(B) demonstrate a commitment to a career in higher education.
(8) Consideration In making selections for graduate traineeships under this paragraph, an institution receiving a grant under this subsection shall consider, to the extent possible, a diverse pool of applicants whose interests are of an interdisciplinary nature, encompassing the social scientific as well as the technical dimensions of cyber security.
(9) Authorization of appropriations There are authorized to be appropriated to the National Science Foundation to carry out this paragraph $5,000,000 for each of fiscal years 2003 through 2007.
(Pub. L. 107305, § 5, Nov. 27, 2002, 116 Stat. 2370; Pub. L. 116115, § 3(f), (g), Feb. 11, 2020, 134 Stat. 107.)
## Notes
Editorial Notes
References in TextThe Scientific and Advanced Technology Act of 1992, referred to in subsec. (b)(1), is Pub. L. 102476, Oct. 23, 1992, 106 Stat. 2297, which enacted sections 1862h to 1862j of Title 42, The Public Health and Welfare, and amended section 1862 of Title 42. For complete classification of this Act to the Code, see Short Title of 1992 Amendment note set out under section 1861 of Title 42 and Tables.
Amendments2020—Subsec. (a)(1). Pub. L. 116115, § 3(f)(1), inserted “and students who are veterans” after “these fields”. Subsec. (a)(3)(J), (K). Pub. L. 116115, § 3(f)(2), added subpar. (J) and redesignated former subpar. (J) as (K). Subsec. (c)(6)(C). Pub. L. 116115, § 3(g), inserted “or veterans” after “disciplines”.
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# 15 U.S.C. § 7405 - Consultation
## Text
In carrying out sections 7403 and 7404 of this title, the Director shall consult with other Federal agencies.
(Pub. L. 107305, § 6, Nov. 27, 2002, 116 Stat. 2374.)
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# 15 U.S.C. § 7406 - National Institute of Standards and Technology programs
## Text
(a) , (b) Omitted
(c) Security automation and checklists for Government systems (1) In general The Director of the National Institute of Standards and Technology shall, as necessary, develop and revise security automation standards, associated reference materials (including protocols), and checklists providing settings and option selections that minimize the security risks associated with each information technology hardware or software system and security tool that is, or is likely to become, widely used within the Federal Government, thereby enabling standardized and interoperable technologies, architectures, and frameworks for continuous monitoring of information security within the Federal Government.
(2) Priorities for development The Director of the National Institute of Standards and Technology shall establish priorities for the development of standards, reference materials, and checklists under this subsection on the basis of—
(A) the security risks associated with the use of the system;
(B) the number of agencies that use a particular system or security tool;
(C) the usefulness of the standards, reference materials, or checklists to Federal agencies that are users or potential users of the system;
(D) the effectiveness of the associated standard, reference material, or checklist in creating or enabling continuous monitoring of information security; or
(E) such other factors as the Director of the National Institute of Standards and Technology determines to be appropriate.
(3) Excluded systems The Director of the National Institute of Standards and Technology may exclude from the application of paragraph (1) any information technology hardware or software system or security tool for which such Director determines that the development of a standard, reference material, or checklist is inappropriate because of the infrequency of use of the system, the obsolescence of the system, or the lack of utility or impracticability of developing a standard, reference material, or checklist for the system.
(4) Dissemination of standards and related materials The Director of the National Institute of Standards and Technology shall ensure that Federal agencies are informed of the availability of any standard, reference material, checklist, or other item developed under this subsection.
(5) Agency use requirements The development of standards, reference materials, and checklists under paragraph (1) for an information technology hardware or software system or tool does not—
(A) require any Federal agency to select the specific settings or options recommended by the standard, reference material, or checklist for the system;
(B) establish conditions or prerequisites for Federal agency procurement or deployment of any such system;
(C) imply an endorsement of any such system by the Director of the National Institute of Standards and Technology; or
(D) preclude any Federal agency from procuring or deploying other information technology hardware or software systems for which no such standard, reference material, or checklist has been developed or identified under paragraph (1).
(d) Federal agency information security programs (1) In general In developing the agencywide information security program required by section 3554(b) of title 44, an agency that deploys a computer hardware or software system for which the Director of the National Institute of Standards and Technology has developed a checklist under subsection (c) of this section—
(A) shall include in that program an explanation of how the agency has considered such checklist in deploying that system; and
(B) may treat the explanation as if it were a portion of the agencys annual performance plan properly classified under criteria established by an Executive Order (within the meaning of section 1115(d) of title 31).
(2) Limitation Paragraph (1) does not apply to any computer hardware or software system for which the National Institute of Standards and Technology does not have responsibility under section 278g3(a)(3) of this title.
(Pub. L. 107305, § 8, Nov. 27, 2002, 116 Stat. 2375; Pub. L. 113274, title II, § 203, Dec. 18, 2014, 128 Stat. 2979; Pub. L. 113283, § 2(e)(2), Dec. 18, 2014, 128 Stat. 3086.)
## Notes
Editorial Notes
Codification Section is comprised of section 8 of Pub. L. 107305. Subsec. (a) of section 8 of Pub. L. 107305 enacted section 278h of this title and renumbered former section 278h of this title as section 278q of this title. Subsec. (b) of section 8 of Pub. L. 107305 amended section 278g3 of this title.
Amendments2014—Subsec. (c). Pub. L. 113274 amended subsec. (c) generally. Prior to amendment, text related to checklists setting forth settings and option selections that minimize the security risks associated with computer hardware or software systems likely to become widely used within the Federal Government. Subsec. (d)(1). Pub. L. 113283, which directed amendment of section 8 of the Cybersecurity Research and Development Act by substituting “section 3554” for “section 3534” in subsec. (d)(1), was executed to this section, which is section 8 of the Cyber Security Research and Development Act, to reflect the probable intent of Congress.
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# 15 U.S.C. § 7407 - Authorization of appropriations
## Text
There are authorized to be appropriated to the Secretary of Commerce for the National Institute of Standards and Technology—
(1) for activities under section 278h of this title—
(A) $25,000,000 for fiscal year 2003;
(B) $40,000,000 for fiscal year 2004;
(C) $55,000,000 for fiscal year 2005;
(D) $70,000,000 for fiscal year 2006;
(E) $85,000,000 for fiscal year 2007; and
(2) for activities under section 278g3(f) 11 See References in Text note below. of this title—
(A) $6,000,000 for fiscal year 2003;
(B) $6,200,000 for fiscal year 2004;
(C) $6,400,000 for fiscal year 2005;
(D) $6,600,000 for fiscal year 2006; and
(E) $6,800,000 for fiscal year 2007.
(Pub. L. 107305, § 11, Nov. 27, 2002, 116 Stat. 2379.)
## Notes
Editorial Notes
References in TextSection 278g3 of this title, referred to in par. (2), was amended by Pub. L. 107347, title III, § 303, Dec. 17, 2002, 116 Stat. 2957, and, as so amended, did not contain a subsec. (f). A later amendment by Pub. L. 113274, title II, § 204(1), Dec. 18, 2014, 128 Stat. 2980, redesignated subsec. (e) of section 278g3 of this title, relating to definitions, as (f).
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# 15 U.S.C. § 7408 - National Academy of Sciences study on computer and network security in critical infrastructures
## Text
(a) Study Not later than 3 months after November 27, 2002, the Director of the National Institute of Standards and Technology shall enter into an arrangement with the National Research Council of the National Academy of Sciences to conduct a study of the vulnerabilities of the Nations network infrastructure and make recommendations for appropriate improvements. The National Research Council shall—
(1) review existing studies and associated data on the architectural, hardware, and software vulnerabilities and interdependencies in United States critical infrastructure networks;
(2) identify and assess gaps in technical capability for robust critical infrastructure network security and make recommendations for research priorities and resource requirements; and
(3) review any and all other essential elements of computer and network security, including security of industrial process controls, to be determined in the conduct of the study.
(b) Report The Director of the National Institute of Standards and Technology shall transmit a report containing the results of the study and recommendations required by subsection (a) to the Senate Committee on Commerce, Science, and Transportation and the House of Representatives Committee on Science not later than 21 months after November 27, 2002.
(c) Security The Director of the National Institute of Standards and Technology shall ensure that no information that is classified is included in any publicly released version of the report required by this section.
(d) Authorization of appropriations There are authorized to be appropriated to the Secretary of Commerce for the National Institute of Standards and Technology for the purposes of carrying out this section, $700,000.
(Pub. L. 107305, § 12, Nov. 27, 2002, 116 Stat. 2380.)
## Notes
Statutory Notes and Related Subsidiaries
Change of Name Committee on Science of House of Representatives changed to Committee on Science and Technology of House of Representatives by House Resolution No. 6, One Hundred Tenth Congress, Jan. 5, 2007. Committee on Science and Technology of House of Representatives changed to Committee on Science, Space, and Technology of House of Representatives by House Resolution No. 5, One Hundred Twelfth Congress, Jan. 5, 2011.
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# 15 U.S.C. § 7409 - Coordination of Federal cyber security research and development
## Text
The Director of the National Science Foundation and the Director of the National Institute of Standards and Technology shall coordinate the research programs authorized by this chapter or pursuant to amendments made by this chapter. The Director of the Office of Science and Technology Policy shall work with the Director of the National Science Foundation and the Director of the National Institute of Standards and Technology to ensure that programs authorized by this chapter or pursuant to amendments made by this chapter are taken into account in any government-wide cyber security research effort.
(Pub. L. 107305, § 13, Nov. 27, 2002, 116 Stat. 2380.)
## Notes
Editorial Notes
References in TextThis chapter, referred to in text, was in the original “this Act”, meaning Pub. L. 107305, Nov. 27, 2002, 116 Stat. 2367, known as the Cyber Security Research and Development Act, which is classified principally to this chapter. For complete classification of this Act to the Code, see Short Title note set out under section 7401 of this title.
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# 15 U.S.C. § 7410 - Grant eligibility requirements and compliance with immigration laws
## Text
(a) Immigration status No grant or fellowship may be awarded under this chapter, directly or indirectly, to any individual who is in violation of the terms of his or her status as a nonimmigrant under section 1101(a)(15)(F), (M), or (J) of title 8.
(b) Aliens from certain countries No grant or fellowship may be awarded under this chapter, directly or indirectly, to any alien from a country that is a state sponsor of international terrorism, as defined under section 1735(b) of title 8, unless the Secretary of State determines, in consultation with the Attorney General and the heads of other appropriate agencies, that such alien does not pose a threat to the safety or national security of the United States.
(c) Non-complying institutions No grant or fellowship may be awarded under this chapter, directly or indirectly, to any institution of higher education or non-profit institution (or consortia thereof) that has—
(1) materially failed to comply with the recordkeeping and reporting requirements to receive nonimmigrant students or exchange visitor program participants under section 1101(a)(15)(F), (M), or (J) of title 8, or section 1372 of title 8, as required by section 1762 of title 8; or
(2) been suspended or terminated pursuant to section 1762(c) of title 8.
(Pub. L. 107305, § 16, Nov. 27, 2002, 116 Stat. 2381.)
## Notes
Editorial Notes
References in TextThis chapter, referred to in text, was in the original “this Act”, meaning Pub. L. 107305, Nov. 27, 2002, 116 Stat. 2367, known as the Cyber Security Research and Development Act, which is classified principally to this chapter. For complete classification of this Act to the Code, see Short Title note set out under section 7401 of this title and Tables.
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# 15 U.S.C. § 7411 - Report on grant and fellowship programs
## Text
Within 24 months after November 27, 2002, the Director, in consultation with the Assistant to the President for National Security Affairs, shall submit to Congress a report reviewing this chapter to ensure that the programs and fellowships are being awarded under this chapter to individuals and institutions of higher education who are in compliance with the Immigration and Nationality Act (8 U.S.C. 1101 et seq.) in order to protect our national security.
(Pub. L. 107305, § 17, Nov. 27, 2002, 116 Stat. 2381.)
## Notes
Editorial Notes
References in TextThis chapter, referred to in text, was in the original “this Act”, meaning Pub. L. 107305, Nov. 27, 2002, 116 Stat. 2367, known as the Cyber Security Research and Development Act, which is classified principally to this chapter. For complete classification of this Act to the Code, see Short Title note set out under section 7401 of this title and Tables. The Immigration and Nationality Act, referred to in text, is act June 27, 1952, ch. 477, 66 Stat. 163, which is classified principally to chapter 12 (§ 1101 et seq.) of Title 8, Aliens and Nationality. For complete classification of this Act to the Code, see Short Title note set out under section 1101 of Title 8 and Tables.
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# 15 U.S.C. § 7422 - No regulatory authority
## Text
Nothing in this chapter shall be construed to confer any regulatory authority on any Federal, State, tribal, or local department or agency.
(Pub. L. 113274, § 3, Dec. 18, 2014, 128 Stat. 2972.)
## Notes
Editorial Notes
References in TextThis chapter, referred to in text, was in the original “this Act”, meaning Pub. L. 113274, Dec. 18, 2014, 128 Stat. 2971, which is classified principally to this chapter. For complete classification of this Act to the Code, see Short Title note set out under section 7421 of this title and Tables.
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# 15 U.S.C. § 7423 - No additional funds authorized
## Text
No additional funds are authorized to carry out this Act, and the amendments made by this Act. This Act, and the amendments made by this Act, shall be carried out using amounts otherwise authorized or appropriated.
(Pub. L. 113274, § 4, Dec. 18, 2014, 128 Stat. 2972.)
## Notes
Editorial Notes
References in TextThis Act, and the amendments made by this Act, referred to in text, is Pub. L. 113274, Dec. 18, 2014, 128 Stat. 2971, which enacted this chapter and amended sections 272, 278g3, 7403, and 7406 of this title. For complete classification of this Act to the Code, see Short Title note set out under section 7421 of this title and Tables.
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# 15 U.S.C. § 7431 - Federal cybersecurity research and development
## Text
(a) Fundamental cybersecurity research (1) Federal cybersecurity research and development strategic plan The heads of the applicable agencies and departments, working through the National Science and Technology Council and the Networking and Information Technology Research and Development Program, shall develop and update every 4 years a Federal cybersecurity research and development strategic plan (referred to in this subsection as the “strategic plan”) based on an assessment of cybersecurity risk to guide the overall direction of Federal cybersecurity and information assurance research and development for information technology and networking systems. The heads of the applicable agencies and departments shall build upon existing programs and plans to develop the strategic plan to meet objectives in cybersecurity, such as—
(A) how to design and build complex software-intensive systems that are secure and reliable when first deployed;
(B) how to test and verify that software and hardware, whether developed locally or obtained from a third party, is free of significant known security flaws;
(C) how to test and verify that software and hardware obtained from a third party correctly implements stated functionality, and only that functionality;
(D) how to guarantee the privacy of an individual, including that individuals identity, information, and lawful transactions when stored in distributed systems or transmitted over networks;
(E) how to build new protocols to enable the Internet to have robust security as one of the key capabilities of the Internet;
(F) how to determine the origin of a message transmitted over the Internet;
(G) how to support privacy in conjunction with improved security;
(H) how to address the problem of insider threats;
(I) how improved consumer education and digital literacy initiatives can address human factors that contribute to cybersecurity;
(J) how to protect information processed, transmitted, or stored using cloud computing or transmitted through wireless services;
(K) implementation of section 7432 of this title through research and development on the topics identified under subsection (a) of such section; and
(L) any additional objectives the heads of the applicable agencies and departments, in coordination with the head of any relevant Federal agency and with input from stakeholders, including appropriate national laboratories, industry, and academia, determine appropriate.
(2) Requirements (A) Contents of plan The strategic plan shall—
(i) specify and prioritize near-term, mid-term, and long-term research objectives, including objectives associated with the research identified in section 7403(a)(1) of this title;
(ii) specify how the near-term objectives described in clause (i) complement research and development areas in which the private sector is actively engaged;
(iii) describe how the heads of the applicable agencies and departments will focus on innovative, transformational technologies with the potential to enhance the security, reliability, resilience, and trustworthiness of the digital infrastructure, and to protect consumer privacy;
(iv) describe how the heads of the applicable agencies and departments will foster the rapid transfer of research and development results into new cybersecurity technologies and applications for the timely benefit of society and the national interest, including through the dissemination of best practices and other outreach activities;
(v) describe how the heads of the applicable agencies and departments will establish and maintain a national research infrastructure for creating, testing, and evaluating the next generation of secure networking and information technology systems; and
(vi) describe how the heads of the applicable agencies and departments will facilitate access by academic researchers to the infrastructure described in clause (v), as well as to relevant data, including event data.
(B) Private sector efforts In developing, implementing, and updating the strategic plan, the heads of the applicable agencies and departments, working through the National Science and Technology Council and Networking and Information Technology Research and Development Program, shall work in close cooperation with industry, academia, and other interested stakeholders to ensure, to the extent possible, that Federal cybersecurity research and development is not duplicative of private sector efforts.
(C) Recommendations In developing and updating the strategic plan the heads of the applicable agencies and departments shall solicit recommendations and advice from—
(i) the advisory committee established under section 5511(b)(1) of this title; and
(ii) a wide range of stakeholders, including industry, academia, including representatives of minority serving institutions and community colleges, National Laboratories, and other relevant organizations and institutions.
(D) Implementation roadmap The heads of the applicable agencies and departments, working through the National Science and Technology Council and Networking and Information Technology Research and Development Program, shall develop and annually update an implementation roadmap for the strategic plan. The implementation roadmap shall—
(i) specify the role of each Federal agency in carrying out or sponsoring research and development to meet the research objectives of the strategic plan, including a description of how progress toward the research objectives will be evaluated;
(ii) specify the funding allocated to each major research objective of the strategic plan and the source of funding by agency for the current fiscal year;
(iii) estimate the funding required for each major research objective of the strategic plan for the following 3 fiscal years; and
(iv) track ongoing and completed Federal cybersecurity research and development projects.
(3) Reports to Congress The heads of the applicable agencies and departments, working through the National Science and Technology Council and Networking and Information Technology Research and Development Program, shall submit to the Committee on Commerce, Science, and Transportation of the Senate and the Committee on Science, Space, and Technology of the House of Representatives—
(A) the strategic plan not later than 1 year after December 18, 2014;
(B) each quadrennial update to the strategic plan; and
(C) the implementation roadmap under subparagraph (D), and its annual updates, which shall be appended to the annual report required under section 5511(a)(2)(D) of this title.
(4) Definition of applicable agencies and departments In this subsection, the term “applicable agencies and departments” means the agencies and departments identified in clauses (i) through (xi) of section 5511(a)(3)(B) 11 See References in Text note below. of this title or designated under clause (xii) of that section.
(b) Cybersecurity practices research The Director of the National Science Foundation shall support research that—
(1) develops, evaluates, disseminates, and integrates new cybersecurity practices and concepts into the core curriculum of computer science programs and of other programs where graduates of such programs have a substantial probability of developing software after graduation, including new practices and concepts relating to secure coding education and improvement programs; and
(2) develops new models for professional development of faculty in cybersecurity education, including secure coding development.
(c) Cybersecurity modeling and test beds (1) Review Not later than 1 year after December 18, 2014, the Director of the National Science Foundation, in coordination with the Director of the Office of Science and Technology Policy, shall conduct a review of cybersecurity test beds in existence on December 18, 2014, to inform the grants under paragraph (2). The review shall include an assessment of whether a sufficient number of cybersecurity test beds are available to meet the research needs under the Federal cybersecurity research and development strategic plan. Upon completion, the Director shall submit the review to the Committee on Commerce, Science, and Transportation of the Senate and the Committee on Science, Space, and Technology of the House of Representatives.
(2) Additional cybersecurity modeling and test beds (A) In general If the Director of the National Science Foundation, after the review under paragraph (1), determines that the research needs under the Federal cybersecurity research and development strategic plan require the establishment of additional cybersecurity test beds, the Director of the National Science Foundation, in coordination with the Secretary of Commerce and the Secretary of Homeland Security, may award grants to institutions of higher education or research and development non-profit institutions to establish cybersecurity test beds.
(B) Requirement The cybersecurity test beds under subparagraph (A) shall be sufficiently robust in order to model the scale and complexity of real-time cyber attacks and defenses on real world networks and environments.
(C) Assessment required The Director of the National Science Foundation, in coordination with the Secretary of Commerce and the Secretary of Homeland Security, shall evaluate the effectiveness of any grants awarded under this subsection in meeting the objectives of the Federal cybersecurity research and development strategic plan not later than 2 years after the review under paragraph (1) of this subsection, and periodically thereafter.
(d) Coordination with other research initiatives In accordance with the responsibilities under section 5511 of this title, the Director of the Office of Science and Technology Policy shall coordinate, to the extent practicable, Federal research and development activities under this section with other ongoing research and development security-related initiatives, including research being conducted by—
(1) the National Science Foundation;
(2) the National Institute of Standards and Technology;
(3) the Department of Homeland Security;
(4) other Federal agencies;
(5) other Federal and private research laboratories, research entities, and universities;
(6) institutions of higher education;
(7) relevant nonprofit organizations; and
(8) international partners of the United States.
(e) Omitted
(f) Research on the science of cybersecurity The head of each agency and department identified under section 5511(a)(3)(B) 1 of this title, through existing programs and activities, shall support research that will lead to the development of a scientific foundation for the field of cybersecurity, including research that increases understanding of the underlying principles of securing complex networked systems, enables repeatable experimentation, and creates quantifiable security metrics.
(Pub. L. 113274, title II, § 201, Dec. 18, 2014, 128 Stat. 2974; Pub. L. 114329, title I, § 105(t), Jan. 6, 2017, 130 Stat. 2985; Pub. L. 116283, div. H, title XCIV, § 9407(b), Jan. 1, 2021, 134 Stat. 4814.)
## Notes
Editorial Notes
References in TextSection 5511(a)(3)(B) of this title, referred to in subsecs. (a)(4) and (f), was redesignated section 5511(a)(3)(C) of this title by Pub. L. 114329, title I, § 105(f)(2)(D)(i), Jan. 6, 2017, 130 Stat. 2979.
Codification Section is comprised of section 201 of Pub. L. 113274. Subsec. (e) of section 201 of Pub. L. 113274 amended section 7403 of this title.
Amendments2021—Subsec. (a)(1)(K), (L). Pub. L. 116283 added subpar. (K) and redesignated former subpar. (K) as (L). 2017—Subsec. (a)(4). Pub. L. 114329 substituted “clauses (i) through (xi)” for “clauses (i) through (x)” and “under clause (xii)” for “under clause (xi)”.
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# 15 U.S.C. § 7432 - National cybersecurity challenges
## Text
(a) Establishment of national cybersecurity challenges (1) In general To achieve high-priority breakthroughs in cybersecurity by 2028, the Secretary of Commerce shall establish the following national cybersecurity challenges:
(A) Economics of a cyber attack Building more resilient systems that measurably and exponentially raise adversary costs of carrying out common cyber attacks.
(B) Cyber training (i) Empowering the people of the United States with an appropriate and measurably sufficient level of digital literacy to make safe and secure decisions online.
(ii) Developing a cybersecurity workforce with measurable skills to protect and maintain information systems.
(C) Emerging technology Advancing cybersecurity efforts in response to emerging technology, such as artificial intelligence, quantum science, next generation communications, autonomy, data science, and computational technologies.
(D) Reimagining digital identity Maintaining a high sense of usability while improving the privacy, security, and safety of online activity of individuals in the United States.
(E) Federal agency resilience Reducing cybersecurity risks to Federal networks and systems, and improving the response of Federal agencies to cybersecurity incidents on such networks and systems.
(2) Coordination In establishing the challenges under paragraph (1), the Secretary shall coordinate with the Secretary of Homeland Security on the challenges under subparagraphs (B) and (E) of such paragraph.
(b) Pursuit of national cybersecurity challenges (1) In general Not later than 180 days after January 1, 2021, the Secretary, acting through the Under Secretary of Commerce for Standards and Technology, shall commence efforts to pursue the national cybersecurity challenges established under subsection (a).
(2) Competitions The efforts required by paragraph (1) shall include carrying out programs to award prizes, including cash and noncash prizes, competitively pursuant to the authorities and processes established under section 3719 of this title or any other applicable provision of law.
(3) Additional authorities In carrying out paragraph (1), the Secretary may enter into and perform such other transactions as the Secretary considers necessary and on such terms as the Secretary considers appropriate.
(4) Coordination In pursuing national cybersecurity challenges under paragraph (1), the Secretary shall coordinate with the following:
(A) The Director of the National Science Foundation.
(B) The Secretary of Homeland Security.
(C) The Director of the Defense Advanced Research Projects Agency.
(D) The Director of the Office of Science and Technology Policy.
(E) The Director of the Office of Management and Budget.
(F) The Administrator of the General Services Administration.
(G) The Federal Trade Commission.
(H) The heads of such other Federal agencies as the Secretary of Commerce considers appropriate for purposes of this section.
(5) Solicitation of acceptance of funds (A) In general Pursuant to section 3719 of this title, the Secretary shall request and accept funds from other Federal agencies, State, United States territory, local, or Tribal government agencies, private sector for-profit entities, and nonprofit entities to support efforts to pursue a national cybersecurity challenge under this section.
(B) Rule of construction Nothing in subparagraph (A) may be construed to require any person or entity to provide funds or otherwise participate in an effort or competition under this section.
(c) Recommendations (1) In general In carrying out this section, the Secretary of Commerce shall designate an advisory council to seek recommendations.
(2) Elements The recommendations required by paragraph (1) shall include the following:
(A) A scope for efforts carried out under subsection (b).
(B) Metrics to assess submissions for prizes under competitions carried out under subsection (b) as the submissions pertain to the national cybersecurity challenges established under subsection (a).
(3) No additional compensation The Secretary may not provide any additional compensation, except for travel expenses, to a member of the advisory council designated under paragraph (1) for participation in the advisory council.
(Pub. L. 113274, title II, § 205, as added Pub. L. 116283, div. H, title XCIV, § 9407(a), Jan. 1, 2021, 134 Stat. 4813.)
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# 15 U.S.C. § 7441 - Cybersecurity competitions and challenges
## Text
(a) In general The Secretary of Commerce, Director of the National Science Foundation, and Secretary of Homeland Security, in consultation with the Director of the Office of Personnel Management, shall—
(1) support competitions and challenges under section 3719 of this title (as amended by section 105 of the America COMPETES Reauthorization Act of 2010 (124 Stat. 3989)) or any other provision of law, as appropriate—
(A) to identify, develop, and recruit talented individuals to perform duties relating to the security of information technology in Federal, State, local, and tribal government agencies, and the private sector; or
(B) to stimulate innovation in basic and applied cybersecurity research, technology development, and prototype demonstration that has the potential for application to the information technology activities of the Federal Government; and
(2) ensure the effective operation of the competitions and challenges under this section.
(b) Participation Participants in the competitions and challenges under subsection (a)(1) may include—
(1) students enrolled in grades 9 through 12;
(2) students enrolled in a postsecondary program of study leading to a baccalaureate degree at an institution of higher education;
(3) students enrolled in a postbaccalaureate program of study at an institution of higher education;
(4) institutions of higher education and research institutions;
(5) veterans; and
(6) other groups or individuals that the Secretary of Commerce, Director of the National Science Foundation, and Secretary of Homeland Security determine appropriate.
(c) Affiliation and cooperative agreements Competitions and challenges under this section may be carried out through affiliation and cooperative agreements with—
(1) Federal agencies;
(2) regional, State, or school programs supporting the development of cyber professionals;
(3) State, local, and tribal governments; or
(4) other private sector organizations.
(d) Areas of skill Competitions and challenges under subsection (a)(1)(A) shall be designed to identify, develop, and recruit exceptional talent relating to—
(1) ethical hacking;
(2) penetration testing;
(3) vulnerability assessment;
(4) continuity of system operations;
(5) security in design;
(6) cyber forensics;
(7) offensive and defensive cyber operations; and
(8) other areas the Secretary of Commerce, Director of the National Science Foundation, and Secretary of Homeland Security consider necessary to fulfill the cybersecurity mission.
(e) Topics In selecting topics for competitions and challenges under subsection (a)(1), the Secretary of Commerce, Director of the National Science Foundation, and Secretary of Homeland Security—
(1) shall consult widely both within and outside the Federal Government; and
(2) may empanel advisory committees.
(f) Internships The Director of the Office of Personnel Management may support, as appropriate, internships or other work experience in the Federal Government to the winners of the competitions and challenges under this section.
(Pub. L. 113274, title III, § 301, Dec. 18, 2014, 128 Stat. 2981.)
## Notes
Editorial Notes
References in TextSection 3719 of this title (as amended by section 105 of the America COMPETES Reauthorization Act of 2010 (124 Stat. 3989)), referred to in subsec. (a)(1), probably means section 3719 of this title as enacted by section 105(a) of Pub. L. 111358.
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# 15 U.S.C. § 7442 - Federal Cyber Scholarship-for-Service Program
## Text
(a) In general The Director of the National Science Foundation, in coordination with the Director of the Office of Personnel Management and Secretary of Homeland Security, shall continue a Federal cyber scholarship-for-service program to recruit and train the next generation of information technology professionals, industrial control system security professionals, and security managers to meet the needs of the cybersecurity mission for Federal, State, local, and tribal governments.
(b) Program description and components The Federal Cyber Scholarship-for-Service Program shall—
(1) provide scholarships through qualified institutions of higher education, including community colleges, to students who are enrolled in programs of study at institutions of higher education leading to degrees or specialized program certifications in the cybersecurity field and cybersecurity-related aspects of other related fields as appropriate, including artificial intelligence, quantum computing and aerospace;
(2) provide the scholarship recipients with summer internship opportunities or other meaningful temporary appointments in the Federal information technology and cybersecurity workforce;
(3) prioritize the placement of scholarship recipients fulfilling the post-award employment obligation under this section to ensure that—
(A) not less than 70 percent of such recipients are placed in an executive agency (as defined in section 105 of title 5);
(B) not more than 10 percent of such recipients are placed as educators in the field of cybersecurity at qualified institutions of higher education that provide scholarships under this section; and
(C) not more than 20 percent of such recipients are placed in positions described in paragraphs (2) through (5) of subsection (d); and
(4) provide awards to improve cybersecurity education, including by seeking to provide awards in coordination with other relevant agencies for summer cybersecurity camp or other experiences, including teacher training, in each of the 50 States, at the kindergarten through grade 12 level—
(A) to increase interest in cybersecurity careers;
(B) to help students practice correct and safe online behavior and understand the foundational principles of cybersecurity;
(C) to improve teaching methods for delivering cybersecurity content for kindergarten through grade 12 computer science curricula; and
(D) to promote teacher recruitment in the field of cybersecurity.
(c) Scholarship amounts Each scholarship under subsection (b) shall be in an amount that covers the students tuition and fees at the institution under subsection (b)(1) for not more than 3 years and provides the student with an additional stipend.
(d) Post-award employment obligations Each scholarship recipient, as a condition of receiving a scholarship under the program, shall enter into an agreement under which the recipient agrees to work for a period equal to the length of the scholarship, following receipt of the students degree, in the cybersecurity mission of—
(1) an executive agency (as defined in section 105 of title 5);
(2) Congress, including any agency, entity, office, or commission established in the legislative branch;
(3) an interstate agency;
(4) a State, local, or Tribal government;
(5) a State, local, or Tribal government-affiliated non-profit that is considered to be critical infrastructure (as defined in section 5195c(e) of title 42); or
(6) as provided by subsection (b)(3)(B), a qualified institution of higher education.
(e) Hiring authority (1) Appointment in excepted service Notwithstanding any provision of chapter 33 of title 5 governing appointments in the competitive service, an agency shall appoint in the excepted service an individual who has completed the eligible degree program for which a scholarship was awarded.
(2) Noncompetitive conversion Except as provided in paragraph (4), upon fulfillment of the service term, an employee appointed under paragraph (1) may be converted noncompetitively to term, career-conditional or career appointment.
(3) Timing of conversion An agency may noncompetitively convert a term employee appointed under paragraph (2) to a career-conditional or career appointment before the term appointment expires.
(4) Authority to decline conversion An agency may decline to make the noncompetitive conversion or appointment under paragraph (2) for cause.
(f) Eligibility To be eligible to receive a scholarship under this section, an individual shall—
(1) be a citizen or lawful permanent resident of the United States;
(2) demonstrate a commitment to a career in improving the security of information technology;
(3) have demonstrated a high level of competency in relevant knowledge, skills, and abilities, as defined by the national cybersecurity awareness and education program under section 7443 of this title;
(4) be a full-time student in an eligible degree program at a qualified institution of higher education, as determined by the Director of the National Science Foundation, except that in the case of a student who is enrolled in a community college, be a student pursuing a degree on a less than full-time basis, but not less than half-time basis;
(5) enter into an agreement accepting and acknowledging the post award employment obligations, pursuant to section 11 So in original. Probably should be “subsection”. (d);
(6) accept and acknowledge the conditions of support under section 1 (g); and
(7) accept all terms and conditions of a scholarship under this section.
(g) Conditions of support (1) In general As a condition of receiving a scholarship under this section, a recipient shall agree to provide the Office of Personnel Management (in coordination with the National Science Foundation) and the qualified institution of higher education with annual verifiable documentation of post-award employment and up-to-date contact information.
(2) Terms A scholarship recipient under this section shall be liable to the United States as provided in subsection (i) if the individual—
(A) fails to maintain an acceptable level of academic standing at the applicable institution of higher education, as determined by the Director of the National Science Foundation;
(B) is dismissed from the applicable institution of higher education for disciplinary reasons;
(C) withdraws from the eligible degree program before completing the program;
(D) declares that the individual does not intend to fulfill the post-award employment obligation under this section;
(E) fails to maintain or fulfill any of the post-graduation or post-award obligations or requirements of the individual; or
(F) fails to fulfill the requirements of paragraph (1).
(h) Monitoring compliance As a condition of participating in the program, a qualified institution of higher education shall—
(1) enter into an agreement with the Director of the National Science Foundation, to monitor the compliance of scholarship recipients with respect to their post-award employment obligations; and
(2) provide to the Director of the National Science Foundation and the Director of the Office of Personnel Management, on an annual basis, the post-award employment documentation required under subsection (g)(1) for scholarship recipients through the completion of their post-award employment obligations.
(i) Amount of repayment (1) Less than 1 year of service If a circumstance described in subsection (g)(2) occurs before the completion of 1 year of a post-award employment obligation under this section, the total amount of scholarship awards received by the individual under this section shall—
(A) be repaid; or
(B) be treated as a loan to be repaid in accordance with subsection (j).
(2) 1 or more years of service If a circumstance described in subparagraph (D) or (E) of subsection (g)(2) occurs after the completion of 1 or more years of a post-award employment obligation under this section, the total amount of scholarship awards received by the individual under this section, reduced by the ratio of the number of years of service completed divided by the number of years of service required, shall—
(A) be repaid; or
(B) be treated as a loan to be repaid in accordance with subsection (j).
(j) Repayments A loan described subsection (i) shall—
(1) be treated as a Federal Direct Unsubsidized Stafford Loan under part D of title IV of the Higher Education Act of 1965 (20 U.S.C. 1087a et seq.); and
(2) be subject to repayment, together with interest thereon accruing from the date of the scholarship award, in accordance with terms and conditions specified by the Director of the National Science Foundation (in consultation with the Secretary of Education) in regulations promulgated to carry out this subsection.
(k) Collection of repayment (1) In general In the event that a scholarship recipient is required to repay the scholarship award under this section, the qualified institution of higher education providing the scholarship shall—
(A) determine the repayment amounts and notify the recipient, the Director of the National Science Foundation, and the Director of the Office of Personnel Management of the amounts owed; and
(B) collect the repayment amounts within a period of time as determined by the Director of the National Science Foundation, or the repayment amounts shall be treated as a loan in accordance with subsection (j).
(2) Returned to Treasury Except as provided in paragraph (3), any repayment under this subsection shall be returned to the Treasury of the United States.
(3) Retain percentage A qualified institution of higher education may retain a percentage of any repayment the institution collects under this subsection to defray administrative costs associated with the collection. The Director of the National Science Foundation shall establish a single, fixed percentage that will apply to all eligible entities.
(l) Exceptions The Director of the National Science Foundation may provide for the partial or total waiver or suspension of any service or payment obligation by an individual under this section whenever compliance by the individual with the obligation is impossible or would involve extreme hardship to the individual, or if enforcement of such obligation with respect to the individual would be unconscionable.
(m) Public information (1) Evaluation The Director of the National Science Foundation, in coordination with the Director of the Office of Personnel Management, shall periodically evaluate and make public, in a manner that protects the personally identifiable information of scholarship recipients, information on the success of recruiting individuals for scholarships under this section and on hiring and retaining those individuals in the public sector cybersecurity workforce, including information on—
(A) placement rates;
(B) where students are placed, including job titles and descriptions;
(C) salary ranges for students not released from obligations under this section;
(D) how long after graduation students are placed;
(E) how long students stay in the positions they enter upon graduation;
(F) how many students are released from obligations; and
(G) what, if any, remedial training is required.
(2) Reports The Director of the National Science Foundation, in coordination with the Office of Personnel Management, shall submit, not less frequently than once every two years, to the Committee on Commerce, Science, and Transportation and the Committee on Homeland Security and Governmental Affairs of the Senate and the Committee on Science, Space, and Technology and the Committee on Oversight and Reform of the House of Representatives a report, including—
(A) the results of the evaluation under paragraph (1);
(B) the disparity in any reporting between scholarship recipients and their respective institutions of higher education; and
(C) any recent statistics regarding the size, composition, and educational requirements of the Federal cyber 22 So in original. Probably should be “cybersecurity”. See 2021 Amendment notes below. workforce..33 So in original.
(3) Resources The Director of the National Science Foundation, in coordination with the Director of the Office of Personnel Management, shall provide consolidated and user-friendly online resources for prospective scholarship recipients, including, to the extent practicable—
(A) searchable, up-to-date, and accurate information about participating institutions of higher education and job opportunities related to the field of cybersecurity; and
(B) a modernized description of cybersecurity careers.
(Pub. L. 113274, title III, § 302, Dec. 18, 2014, 128 Stat. 2982; Pub. L. 11591, div. A, title XVI, § 1649B(a), Dec. 12, 2017, 131 Stat. 1754; Pub. L. 116283, div. H, title XCIV, §§ 9401(g)(4)(C), 9403, 9404, Jan. 1, 2021, 134 Stat. 4810, 4811; Pub. L. 117167, div. B, title III, § 10316(b), Aug. 9, 2022, 136 Stat. 1531.)
## Notes
Editorial Notes
References in TextThe Higher Education Act of 1965, referred to in subsec. (j)(1), is Pub. L. 89329, Nov. 8, 1965, 79 Stat. 1219. Part D of title IV of the Act is classified to part D (§ 1087a et seq.) of subchapter IV of chapter 28 of Title 20, Education. For complete classification of this Act to the Code, see Short Title note set out under section 1001 of Title 20 and Tables.
Amendments2022—Subsec. (b)(1). Pub. L. 117167 substituted “and cybersecurity-related aspects of other related fields as appropriate, including artificial intelligence, quantum computing and aerospace;” for semicolon at end. 2021—Subsec. (b)(2). Pub. L. 116283, § 9403(1)(A), substituted “information technology and cybersecurity” for “information technology”. Subsec. (b)(3). Pub. L. 116283, § 9403(1)(B), amended par. (3) generally. Prior to amendment, par. (3) read as follows: “prioritize the employment placement of at least 80 percent of scholarship recipients in an executive agency (as defined in section 105 of title 5); and”. Subsec. (b)(4). Pub. L. 116283, § 9403(1)(C), inserted “, including by seeking to provide awards in coordination with other relevant agencies for summer cybersecurity camp or other experiences, including teacher training, in each of the 50 States,” after “cybersecurity education” in introductory provisions. Subsec. (d)(6). Pub. L. 116283, § 9403(2), added par. (6). Subsec. (f)(3). Pub. L. 116283, § 9401(g)(4)(C), substituted “under section 7443” for “under section 7451”. Subsec. (f)(5) to (7). Pub. L. 116283, § 9404(1), added pars. (5) to (7) and struck out former par. (5) which read as follows: “accept the terms of a scholarship under this section.” Subsec. (g)(1). Pub. L. 116283, § 9404(2)(A), inserted “the Office of Personnel Management (in coordination with the National Science Foundation) and” before “the qualified institution”. Subsec. (g)(2)(E), (F). Pub. L. 116283, § 9404(2)(B), added subpars. (E) and (F) and struck out former subpar. (E) which read as follows: “fails to fulfill the post-award employment obligation of the individual under this section.” Subsec. (h)(2). Pub. L. 116283, § 9404(3), inserted “and the Director of the Office of Personnel Management” after “Foundation”. Subsec. (k)(1)(A). Pub. L. 116283, § 9404(4), substituted “, the Director of the National Science Foundation, and the Director of the Office of Personnel Management of the amounts owed” for “and the Director of the National Science Foundation of the amounts owed”. Subsec. (m)(1). Pub. L. 116283, § 9403(3)(A), substituted “cybersecurity” for “cyber” in introductory provisions. Subsec. (m)(2). Pub. L. 116283, § 9404(5), substituted “once every two years, to the Committee on Commerce, Science, and Transportation and the Committee on Homeland Security and Governmental Affairs of the Senate and the Committee on Science, Space, and Technology and the Committee on Oversight and Reform of the House of Representatives a report, including—” and subpars. (A) to (C) for “once every 3 years, to the Committee on Commerce, Science, and Transportation of the Senate and the Committee on Science, Space, and Technology of the House of Representatives a report, including the results of the evaluation under paragraph (1) and any recent statistics regarding the size, composition, and educational requirements of the Federal cybersecurity workforce”. Pub. L. 116283, § 9403(3)(B), substituted “cybersecurity” for “cyber”. Subsequent amendment by Pub. L. 116283, § 9404(5), reenacted the word “cyber” in subsec. (m)(2)(C). 2017—Subsec. (b)(3), (4). Pub. L. 11591, § 1649B(a)(1), added pars. (3) and (4) and struck out former par. (3) which read as follows: “prioritize the employment placement of scholarship recipients in the Federal Government.” Subsec. (d). Pub. L. 11591, § 1649B(a)(2), amended subsec. (d) generally. Prior to amendment, text read as follows: “Each scholarship recipient, as a condition of receiving a scholarship under the program, shall enter into an agreement under which the recipient agrees to work in the cybersecurity mission of a Federal, State, local, or tribal agency for a period equal to the length of the scholarship following receipt of the students degree.” Subsec. (f)(3). Pub. L. 11591, § 1649B(a)(3)(A), amended par. (3) generally. Prior to amendment, par. (3) read as follows: “have demonstrated a high level of proficiency in mathematics, engineering, or computer sciences;”. Subsec. (f)(4). Pub. L. 11591, § 1649B(a)(3)(B), amended par. (4) generally. Prior to amendment, par. (4) read as follows: “be a full-time student in an eligible degree program at a qualified institution of higher education, as determined by the Director of the National Science Foundation; and”. Subsec. (m). Pub. L. 11591, § 1649B(a)(4), amended subsec. (m) generally. Prior to amendment, text read as follows: “The Director of the National Science Foundation shall evaluate and report periodically to Congress on the success of recruiting individuals for scholarships under this section and on hiring and retaining those individuals in the public sector workforce.”
Statutory Notes and Related Subsidiaries
Change of Name Committee on Oversight and Reform of House of Representatives changed to Committee on Oversight and Accountability of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Savings ProvisionPub. L. 11591, div. A, title XVI, § 1649B(b), Dec. 12, 2017, 131 Stat. 1755, provided that: “Nothing in this section [amending this section], or an amendment made by this section, shall affect any agreement, scholarship, loan, or repayment, under section 302 of the Cybersecurity Enhancement Act of 2014 (15 U.S.C. 7442), in effect on the day before the date of enactment of this subtitle [Dec. 12, 2017].”
Community College Cyber Pilot Program and AssessmentPub. L. 11591, div. A, title XVI, § 1649A, Dec. 12, 2017, 131 Stat. 1753, provided that: “(a) Pilot Program.—Not later than 1 year after the date of enactment of this subtitle [Dec. 12, 2017], as part of the Federal Cyber Scholarship-for-Service program established under section 302 of the Cybersecurity Enhancement Act of 2014 (15 U.S.C. 7442), the Director of the National Science Foundation, in coordination with the Director of the Office of Personnel Management, shall develop and implement a pilot program at not more than 10, but at least 5, community colleges to provide scholarships to eligible students who—“(1) are pursuing associate degrees or specialized program certifications in the field of cybersecurity; and “(2)(A) have bachelors degrees; or “(B) are veterans of the Armed Forces. “(b) Assessment.—Not later than 1 year after the date of enactment of this subtitle, as part of the Federal Cyber Scholarship-for-Service program established under section 302 of the Cybersecurity Enhancement Act of 2014 (15 U.S.C. 7442), the Director of the National Science Foundation, in coordination with the Director of the Office of Personnel Management, shall assess the potential benefits and feasibility of providing scholarships through community colleges to eligible students who are pursuing associate degrees, but do not have bachelors degrees.”
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# 15 U.S.C. § 7443 - National cybersecurity awareness and education program
## Text
(a) National cybersecurity awareness and education program The Director of the National Institute of Standards and Technology (referred to in this section as the “Director”), in consultation with appropriate Federal agencies, industry, educational institutions, National Laboratories, the Networking and Information Technology Research and Development program, and other organizations shall continue to coordinate a national cybersecurity awareness and education program, that includes activities such as—
(1) the widespread dissemination of cybersecurity technical standards and best practices identified by the Director;
(2) efforts to make cybersecurity best practices usable by individuals, small to medium-sized businesses, educational institutions, and State, local, and tribal governments;
(3) increasing public awareness of cybersecurity, cyber safety, and cyber ethics;
(4) increasing the understanding of State, local, and tribal governments, institutions of higher education, and private sector entities of—
(A) the benefits of ensuring effective risk management of information technology versus the costs of failure to do so; and
(B) the methods to mitigate and remediate vulnerabilities;
(5) supporting formal cybersecurity education programs at all education levels to prepare and improve a skilled cybersecurity and computer science workforce for the private sector and Federal, State, local, and tribal government;
(6) supporting efforts to identify cybersecurity workforce skill gaps in public and private sectors;
(7) facilitating Federal programs to advance cybersecurity education, training, and workforce development;
(8) in coordination with the Department of Defense, the Department of Homeland Security, and other appropriate agencies, considering any specific needs of the cybersecurity workforce of critical infrastructure, including cyber physical systems and control systems;
(9) advising the Director of the Office of Management and Budget, as needed, in developing metrics to measure the effectiveness and effect of programs and initiatives to advance the cybersecurity workforce; and
(10) promoting initiatives to evaluate and forecast future cybersecurity workforce needs of the Federal Government and develop strategies for recruitment, training, and retention.
(b) Considerations In carrying out the authority described in subsection (a), the Director, in consultation with appropriate Federal agencies, shall leverage existing programs designed to inform the public of safety and security of products or services, including self-certifications and independently verified assessments regarding the quantification and valuation of information security risk.
(c) Strategic plan (1) In general The Director, in cooperation with relevant Federal agencies and other stakeholders, shall build upon programs and plans in effect as of December 18, 2014, to develop and implement a strategic plan to guide Federal programs and activities in support of the national cybersecurity awareness and education program under subsection (a).
(2) Requirement The strategic plan developed and implemented under paragraph (1) shall include an indication of how the Director will carry out this section.
(d) Report Not later than 1 year after December 18, 2014, and every 5 years thereafter, the Director shall transmit the strategic plan under subsection (c) to the Committee on Commerce, Science, and Transportation of the Senate and the Committee on Science, Space, and Technology of the House of Representatives.
(e) Cybersecurity metrics In carrying out subsection (a), the Director of the Office of Management and Budget may seek input from the Director of the National Institute of Standards and Technology, in coordination with the Department of Homeland Security, the Department of Defense, the Office of Personnel Management, and such agencies as the Director of the National Institute of Standards and Technology considers relevant, to develop quantifiable metrics for evaluating Federally funded cybersecurity workforce programs and initiatives based on the outcomes of such programs and initiatives.
(f) Regional alliances and multistakeholder partnerships (1) In general Pursuant to section 272(b)(4) of this title, the Director shall establish cooperative agreements between the National Initiative for Cybersecurity Education (NICE) of the Institute and regional alliances or partnerships for cybersecurity education and workforce.
(2) Agreements The cooperative agreements established under paragraph (1) shall advance the goals of the National Initiative for Cybersecurity Education Cybersecurity Workforce Framework (NIST Special Publication 800181), or successor framework, by facilitating local and regional partnerships to—
(A) identify the workforce needs of the local economy and classify such workforce in accordance with such framework;
(B) identify the education, training, apprenticeship, and other opportunities available in the local economy; and
(C) support opportunities to meet the needs of the local economy.
(3) Financial assistance (A) Financial assistance authorized The Director may award financial assistance to a regional alliance or partnership with whom the Director enters into a cooperative agreement under paragraph (1) in order to assist the regional alliance or partnership in carrying out the terms of the cooperative agreement.
(B) Amount of assistance The aggregate amount of financial assistance awarded under subparagraph (A) per cooperative agreement shall not exceed $200,000.
(C) Matching requirement The Director may not award financial assistance to a regional alliance or partnership under subparagraph (A) unless the regional alliance or partnership agrees that, with respect to the costs to be incurred by the regional alliance or partnership in carrying out the cooperative agreement for which the assistance was awarded, the regional alliance or partnership will make available (directly or through donations from public or private entities) non-Federal contributions, including in-kind contributions, in an amount equal to 50 percent of Federal funds provided under the award.
(4) Application (A) In general A regional alliance or partnership seeking to enter into a cooperative agreement under paragraph (1) and receive financial assistance under paragraph (3) shall submit to the Director an application therefore at such time, in such manner, and containing such information as the Director may require.
(B) Requirements Each application submitted under subparagraph (A) shall include the following:
(i) (I) A plan to establish (or identification of, if it already exists) a multistakeholder workforce partnership that includes—
(aa) at least one institution of higher education or nonprofit training organization; and
(bb) at least one local employer or owner or operator of critical infrastructure.
(II) Participation from academic institutions in the Federal Cyber Scholarships for Service Program, the National Centers of Academic Excellence in Cybersecurity Program, or advanced technological education programs, as well as elementary and secondary schools, training and certification providers, State and local governments, economic development organizations, or other community organizations is encouraged.
(ii) A description of how the workforce partnership would identify the workforce needs of the local economy.
(iii) A description of how the multistakeholder workforce partnership would leverage the programs and objectives of the National Initiative for Cybersecurity Education, such as the Cybersecurity Workforce Framework and the strategic plan of such initiative.
(iv) A description of how employers in the community will be recruited to support internships, externships, apprenticeships, or cooperative education programs in conjunction with providers of education and training. Inclusion of programs that seek to include veterans, Indian Tribes, and underrepresented groups, including women, minorities, persons from rural and underserved areas, and persons with disabilities is encouraged.
(v) A definition of the metrics to be used in determining the success of the efforts of the regional alliance or partnership under the agreement.
(C) Priority consideration In awarding financial assistance under paragraph (3)(A), the Director shall give priority consideration to a regional alliance or partnership that includes an institution of higher education that is designated as a National Center of Academic Excellence in Cybersecurity or which received an award under the Federal Cyber Scholarship for Service program located in the State or region of the regional alliance or partnership.
(5) Audits Each cooperative agreement for which financial assistance is awarded under paragraph (3) shall be subject to audit requirements under part 200 of title 2, Code of Federal Regulations (relating to uniform administrative requirements, cost principles, and audit requirements for Federal awards), or successor regulation.
(6) Reports (A) In general Upon completion of a cooperative agreement under paragraph (1), the regional alliance or partnership that participated in the agreement shall submit to the Director a report on the activities of the regional alliance or partnership under the agreement, which may include training and education outcomes.
(B) Contents Each report submitted under subparagraph (A) by a regional alliance or partnership shall include the following:
(i) An assessment of efforts made by the regional alliance or partnership to carry out paragraph (2).
(ii) The metrics used by the regional alliance or partnership to measure the success of the efforts of the regional alliance or partnership under the cooperative agreement.
(Pub. L. 113274, title III, § 303, formerly title IV, § 401, Dec. 18, 2014, 128 Stat. 2985; renumbered title III, § 303, and amended Pub. L. 116283, div. H, title XCIV, § 9401(a), (b), (e)(g)(1), Jan. 1, 2021, 134 Stat. 48054807, 4809.)
## Notes
Editorial Notes
Codification Section was classified to section 7451 of this title prior to renumbering by Pub. L. 116283.
Amendments2021—Subsec. (a)(6) to (10). Pub. L. 116283, § 9401(a), added pars. (6) to (9) and redesignated former par. (6) as (10). Subsec. (c). Pub. L. 116283, § 9401(b), designated existing provisions as par. (1), inserted heading, and added par. (2). Subsec. (e). Pub. L. 116283, § 9401(e), added subsec. (e). Subsec. (f). Pub. L. 116283, § 9401(f), added subsec. (f).
Statutory Notes and Related Subsidiaries
Cybersecurity Career PathwaysPub. L. 116283, div. H, title XCIV, § 9401(c), Jan. 1, 2021, 134 Stat. 4806, provided that: “(1) Identification of multiple cybersecurity career pathways.—In carrying out subsection (a) of such section [meaning 15 U.S.C. 7451(a), now 15 U.S.C. 7443(a)] and not later than 540 days after the date of the enactment of this Act [Jan. 1, 2021], the Director of the National Institute of Standards and Technology shall, in coordination with the Secretary of Defense, the Secretary of Homeland Security, the Director of the Office of Personnel Management, and the heads of other appropriate agencies, use a consultative process with other Federal agencies, academia, and industry to identify multiple career pathways for cybersecurity work roles that can be used in the private and public sectors. “(2) Requirements.—The Director shall ensure that the multiple cybersecurity career pathways identified under paragraph (1) indicate the knowledge, skills, and abilities, including relevant education, training, internships, apprenticeships, certifications, and other experiences, that—“(A) align with employers cybersecurity skill needs, including proficiency level requirements, for its workforce; and “(B) prepare an individual to be successful in entering or advancing in a cybersecurity career. “(3) Exchange program.—Consistent with requirements under chapter 37 of title 5, United States Code, the Director of the National Institute of Standards and Technology, in coordination with the Director of the Office of Personnel Management, may establish a voluntary program for the exchange of employees engaged in one of the cybersecurity work roles identified in the National Initiative for Cybersecurity Education (NICE) Cybersecurity Workforce Framework (NIST Special Publication 800181), or successor framework, between the National Institute of Standards and Technology and private sector institutions, including nonpublic or commercial businesses, research institutions, or institutions of higher education, as the Director of the National Institute of Standards and Technology considers feasible.”
Proficiency to Perform Cybersecurity TasksPub. L. 116283, div. H, title XCIV, § 9401(d), Jan. 1, 2021, 134 Stat. 4806, provided that: “Not later than 540 days after the date of the enactment of this Act [Jan. 1, 2021], the Director of the National Institute of Standards and Technology shall, in coordination with the Secretary of Defense, the Secretary of Homeland Security, and the heads of other appropriate agencies— “(1) in carrying out subsection (a) of such section [meaning 15 U.S.C. 7451(a), now 15 U.S.C. 7443(a)], assess the scope and sufficiency of efforts to measure an individuals capability to perform specific tasks found in the National Initiative for Cybersecurity Education (NICE) Cybersecurity Workforce Framework (NIST Special Publication 800181) at all proficiency levels; and “(2) submit to Congress a report—“(A) on the findings of the Director with respect to the assessment carried out under paragraph (1); and “(B) with recommendations for effective methods for measuring the cybersecurity proficiency of learners.”
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# 15 U.S.C. § 7451 - Transferred
## Notes
Editorial Notes
Codification Section, Pub. L. 113274, title IV, § 401, Dec. 18, 2014, 128 Stat. 2985, which related to national cybersecurity awareness and education program, was renumbered § 303 of title III of Pub. L. 113274, by Pub. L. 116283, div. H, title XCIV, § 9401(g)(1), Jan. 1, 2021, 134 Stat. 4809, and transferred to section 7443 of this title.
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# 15 U.S.C. § 7461 - Definitions
## Text
In this subchapter:
(1) Director The term “Director” means the Director of the National Institute of Standards and Technology.
(2) Institute The term “Institute” means the National Institute of Standards and Technology.
(Pub. L. 113274, title V, § 501, Dec. 18, 2014, 128 Stat. 2986.)
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# 15 U.S.C. § 7462 - International cybersecurity technical standards
## Text
(a) In general The Director, in coordination with appropriate Federal authorities, shall—
(1) as appropriate, ensure coordination of Federal agencies engaged in the development of international technical standards related to information system security; and
(2) not later than 1 year after December 18, 2014, develop and transmit to Congress a plan for ensuring such Federal agency coordination.
(b) Consultation with the private sector In carrying out the activities specified in subsection (a)(1), the Director shall ensure consultation with appropriate private sector stakeholders.
(Pub. L. 113274, title V, § 502, Dec. 18, 2014, 128 Stat. 2986.)
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# 15 U.S.C. § 7463 - Cloud computing strategy
## Text
(a) In general The Director, in coordination with the Office of Management and Budget, in collaboration with the Federal Chief Information Officers Council, and in consultation with other relevant Federal agencies and stakeholders from the private sector, shall continue to develop and encourage the implementation of a comprehensive strategy for the use and adoption of cloud computing services by the Federal Government.
(b) Activities In carrying out the strategy described under subsection (a), the Director shall give consideration to activities that—
(1) accelerate the development, in collaboration with the private sector, of standards that address interoperability and portability of cloud computing services;
(2) advance the development of conformance testing performed by the private sector in support of cloud computing standardization; and
(3) support, in coordination with the Office of Management and Budget, and in consultation with the private sector, the development of appropriate security frameworks and reference materials, and the identification of best practices, for use by Federal agencies to address security and privacy requirements to enable the use and adoption of cloud computing services, including activities—
(A) to ensure the physical security of cloud computing data centers and the data stored in such centers;
(B) to ensure secure access to the data stored in cloud computing data centers;
(C) to develop security standards as required under section 278g3 of this title; and
(D) to support the development of the automation of continuous monitoring systems.
(Pub. L. 113274, title V, § 503, Dec. 18, 2014, 128 Stat. 2986.)
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# 15 U.S.C. § 7464 - Identity management research and development
## Text
(a) In general The Director shall carry out a program of research to support the development of voluntary, consensus-based technical standards, best practices, benchmarks, methodologies, metrology, testbeds, and conformance criteria for identity management, taking into account appropriate user concerns to—
(1) improve interoperability and portability among identity management technologies;
(2) strengthen identity proofing and verification methods used in identity management systems commensurate with the level of risk, including identity and attribute validation services provided by Federal, State, and local governments;
(3) improve privacy protection in identity management systems; and
(4) improve the accuracy, usability, and inclusivity of identity management systems.
(b) Digital identity technical roadmap The Director, in consultation with other relevant Federal agencies and stakeholders from the private sector, shall develop and maintain a technical roadmap for digital identity management research and development focused on enabling the voluntary use and adoption of modern digital identity solutions that align with the four criteria in subsection (a).
(c) Digital identity management guidance (1) In general The Director shall develop, and periodically update, in collaboration with other public and private sector organizations, common definitions and voluntary guidance for digital identity management systems, including identity and attribute validation services provided by Federal, State, and local governments.
(2) Guidance The Guidance shall—
(A) align with the four criteria in subsection (a), as practicable;
(B) provide case studies of implementation of guidance;
(C) incorporate voluntary technical standards and industry best practices; and
(D) not prescribe or otherwise require the use of specific technology products or services.
(3) Consultation In carrying out this subsection, the Director shall consult with—
(A) Federal and State agencies;
(B) industry;
(C) potential end-users and individuals that will use services related to digital identity verification; and
(D) experts with relevant experience in the systems that enable digital identity verification, as determined by the Director.
(Pub. L. 113274, title V, § 504, Dec. 18, 2014, 128 Stat. 2987; Pub. L. 117167, div. B, title II, § 10225, Aug. 9, 2022, 136 Stat. 1478.)
## Notes
Editorial Notes
Amendments2022—Pub. L. 117167 amended section generally. Prior to amendment, section related to Directors continuance of program to support development of voluntary and cost-effective technical standards, metrology, testbeds, and conformance criteria, taking into account appropriate user concerns.
@@ -0,0 +1,143 @@
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# 15 U.S.C. § 7501 - National Nanotechnology Program
## Text
(a) National Nanotechnology Program The President shall implement a National Nanotechnology Program. Through appropriate agencies, councils, and the National Nanotechnology Coordination Office established in section 7502 of this title, the Program shall—
(1) establish the goals, priorities, and metrics for evaluation for Federal nanotechnology research, development, and other activities;
(2) invest in Federal research and development programs in nanotechnology and related sciences to achieve those goals; and
(3) provide for interagency coordination of Federal nanotechnology research, development, and other activities undertaken pursuant to the Program.
(b) Program activities The activities of the Program shall include—
(1) developing a fundamental understanding of matter that enables control and manipulation at the nanoscale;
(2) providing grants to individual investigators and interdisciplinary teams of investigators;
(3) establishing a network of advanced technology user facilities and centers;
(4) establishing, on a merit-reviewed and competitive basis, interdisciplinary nanotechnology research centers, which shall—
(A) interact and collaborate to foster the exchange of technical information and best practices;
(B) involve academic institutions or national laboratories and other partners, which may include States and industry;
(C) make use of existing expertise in nanotechnology in their regions and nationally;
(D) make use of ongoing research and development at the micrometer scale to support their work in nanotechnology; and
(E) to the greatest extent possible, be established in geographically diverse locations, encourage the participation of Historically Black Colleges and Universities that are part B institutions as defined in section 1061(2) of title 20 and minority institutions (as defined in section 1067k(3) of title 20), and include institutions located in States participating in the Experimental Program to Stimulate Competitive Research (EPSCoR);
(5) ensuring United States global leadership in the development and application of nanotechnology;
(6) advancing the United States productivity and industrial competitiveness through stable, consistent, and coordinated investments in long-term scientific and engineering research in nanotechnology;
(7) accelerating the deployment and application of nanotechnology research and development in the private sector, including startup companies;
(8) encouraging interdisciplinary research, and ensuring that processes for solicitation and evaluation of proposals under the Program encourage interdisciplinary projects and collaborations;
(9) providing effective education and training for researchers and professionals skilled in the interdisciplinary perspectives necessary for nanotechnology so that a true interdisciplinary research culture for nanoscale science, engineering, and technology can emerge;
(10) ensuring that ethical, legal, environmental, and other appropriate societal concerns, including the potential use of nanotechnology in enhancing human intelligence and in developing artificial intelligence which exceeds human capacity, are considered during the development of nanotechnology by—
(A) establishing a research program to identify ethical, legal, environmental, and other appropriate societal concerns related to nanotechnology, and ensuring that the results of such research are widely disseminated;
(B) requiring that interdisciplinary nanotechnology research centers established under paragraph (4) include activities that address societal, ethical, and environmental concerns;
(C) insofar as possible, integrating research on societal, ethical, and environmental concerns with nanotechnology research and development, and ensuring that advances in nanotechnology bring about improvements in quality of life for all Americans; and
(D) providing, through the National Nanotechnology Coordination Office established in section 7502 of this title, for public input and outreach to be integrated into the Program by the convening of regular and ongoing public discussions, through mechanisms such as citizens panels, consensus conferences, and educational events, as appropriate; and
(11) encouraging research on nanotechnology advances that utilize existing processes and technologies.
(c) Program management The National Science and Technology Council shall oversee the planning, management, and coordination of the Program. The Council, itself or through an appropriate subgroup it designates or establishes, shall—
(1) establish goals and priorities for the Program, based on national needs for a set of broad applications of nanotechnology;
(2) establish program component areas, with specific priorities and technical goals, that reflect the goals and priorities established for the Program;
(3) oversee interagency coordination of the Program, including with the activities of the Defense Nanotechnology Research and Development Program established under section 246 of the Bob Stump National Defense Authorization Act for Fiscal Year 2003 (Public Law 107314) and the National Institutes of Health;
(4) develop, not later than 5 years after the date of the release of the most-recent strategic plan, and update every 5 years thereafter, a strategic plan to guide the activities described under subsection (b) that describes—
(A) the near-term and long-term objectives for the Program;
(B) the anticipated schedule for achieving the near-term objectives; and 11 So in original. The word “and” probably should not appear.
(C) the metrics that will be used to assess progress toward the near-term and long-term objectives;
(D) how the Program will move results out of the laboratory and into application for the benefit of society;
(E) the Programs support for long-term funding for interdisciplinary research and development in nanotechnology; and
(F) the allocation of funding for interagency nanotechnology projects;
(5) propose a coordinated interagency budget for the Program to the Office of Management and Budget to ensure the maintenance of a balanced nanotechnology research portfolio and an appropriate level of research effort;
(6) exchange information with academic, industry, State and local government (including State and regional nanotechnology programs), and other appropriate groups conducting research on and using nanotechnology;
(7) develop a plan to utilize Federal programs, such as the Small Business Innovation Research Program and the Small Business Technology Transfer Research Program, in support of the activity stated in subsection (b)(7);
(8) identify research areas that are not being adequately addressed by the agencies current research programs and address such research areas;
(9) encourage progress on Program activities through the utilization of existing manufacturing facilities and industrial infrastructures such as, but not limited to, the employment of underutilized manufacturing facilities in areas of high unemployment as production engineering and research testbeds; and
(10) in carrying out its responsibilities under paragraphs (1) through (9), take into consideration the recommendations of the Advisory Panel, suggestions or recommendations developed pursuant to subsection (b)(10)(D), and the views of academic, State, industry, and other appropriate groups conducting research on and using nanotechnology.
(d) Annual report The Council shall prepare an annual report, to be submitted to the Senate Committee on Commerce, Science, and Transportation and the House of Representatives Committee on Science, and other appropriate committees, at the time of the Presidents budget request to Congress, that includes—
(1) the Program budget, for the current fiscal year, for each agency that participates in the Program, including a breakout of spending for the development and acquisition of research facilities and instrumentation, for each program component area, and for all activities pursuant to subsection (b)(10);
(2) the proposed Program budget for the next fiscal year, for each agency that participates in the Program, including a breakout of spending for the development and acquisition of research facilities and instrumentation, for each program component area, and for all activities pursuant to subsection (b)(10);
(3) an analysis of the progress made toward achieving the goals and priorities established for the Program;
(4) an analysis of the extent to which the Program has incorporated the recommendations of the Advisory Panel; and
(5) an assessment of how Federal agencies are implementing the plan described in subsection (c)(7), and a description of the amount of Small Business Innovative Research and Small Business Technology Transfer Research funds supporting the plan.
(Pub. L. 108153, § 2, Dec. 3, 2003, 117 Stat. 1923; Pub. L. 114329, title II, § 204(b)(1), Jan. 6, 2017, 130 Stat. 2999.)
## Notes
Editorial Notes
References in TextSection 246 of the Bob Stump National Defense Authorization Act for Fiscal Year 2003, referred to in subsec. (c)(3), is section 246 of Pub. L. 107314, which is set out as a note under section 2358 of Title 10, Armed Forces.
Amendments2017—Subsec. (c)(4). Pub. L. 114329 amended par. (4) generally. Prior to amendment, par. (4) read as follows: “develop, within 12 months after December 3, 2003, and update every 3 years thereafter, a strategic plan to guide the activities described under subsection (b), meet the goals, priorities, and anticipated outcomes of the participating agencies, and describe— “(A) how the Program will move results out of the laboratory and into application for the benefit of society; “(B) the Programs support for long-term funding for interdisciplinary research and development in nanotechnology; and “(C) the allocation of funding for interagency nanotechnology projects;”.
Statutory Notes and Related Subsidiaries
Change of Name Committee on Science of House of Representatives changed to Committee on Science and Technology of House of Representatives by House Resolution No. 6, One Hundred Tenth Congress, Jan. 5, 2007. Committee on Science and Technology of House of Representatives changed to Committee on Science, Space, and Technology of House of Representatives by House Resolution No. 5, One Hundred Twelfth Congress, Jan. 5, 2011.
Short TitlePub. L. 108153, § 1, Dec. 3, 2003, 117 Stat. 1923, provided that: “This Act [enacting this chapter] may be cited as the 21st Century Nanotechnology Research and Development Act.”
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# 15 U.S.C. § 7502 - Program coordination
## Text
(a) In general The President shall establish a National Nanotechnology Coordination Office, with a Director and full-time staff, which shall—
(1) provide technical and administrative support to the Council and the Advisory Panel;
(2) serve as the point of contact on Federal nanotechnology activities for government organizations, academia, industry, professional societies, State nanotechnology programs, interested citizen groups, and others to exchange technical and programmatic information;
(3) conduct public outreach, including dissemination of findings and recommendations of the Advisory Panel, as appropriate; and
(4) promote access to and early application of the technologies, innovations, and expertise derived from Program activities to agency missions and systems across the Federal Government, and to United States industry, including startup companies.
(b) Funding The National Nanotechnology Coordination Office shall be funded through interagency funding in accordance with section 631 of Public Law 1087.
(c) Report Within 90 days after December 3, 2003, the Director of the Office of Science and Technology Policy shall report to the Senate Committee on Commerce, Science, and Transportation, and the House of Representatives Committee on Science on the funding of the National Nanotechnology Coordination Office. The report shall include—
(1) the amount of funding required to adequately fund the Office;
(2) the adequacy of existing mechanisms to fund this Office; and
(3) the actions taken by the Director to ensure stable funding of this Office.
(Pub. L. 108153, § 3, Dec. 3, 2003, 117 Stat. 1926.)
## Notes
Editorial Notes
References in TextSection 631 of Public Law 1087, referred to in subsec. (b), is section 631 of Pub. L. 1087, div. J, title VI, Feb. 20, 2003, 117 Stat. 471, which is not classified to the Code.
Statutory Notes and Related Subsidiaries
Change of Name Committee on Science of House of Representatives changed to Committee on Science and Technology of House of Representatives by House Resolution No. 6, One Hundred Tenth Congress, Jan. 5, 2007. Committee on Science and Technology of House of Representatives changed to Committee on Science, Space, and Technology of House of Representatives by House Resolution No. 5, One Hundred Twelfth Congress, Jan. 5, 2011.
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# 15 U.S.C. § 7503 - Advisory Panel
## Text
(a) In general The President shall establish or designate a National Nanotechnology Advisory Panel.
(b) Qualifications The Advisory Panel established or designated by the President under subsection (a) shall consist primarily of members from academic institutions and industry. Members of the Advisory Panel shall be qualified to provide advice and information on nanotechnology research, development, demonstrations, education, technology transfer, commercial application, or societal and ethical concerns. In selecting or designating an Advisory Panel, the President may also seek and give consideration to recommendations from the Congress, industry, the scientific community (including the National Academy of Sciences, scientific professional societies, and academia), the defense community, State and local governments, regional nanotechnology programs, and other appropriate organizations.
(c) Duties The Advisory Panel shall advise the President and the Council on matters relating to the Program, including assessing—
(1) trends and developments in nanotechnology science and engineering;
(2) progress made in implementing the Program;
(3) the need to revise the Program;
(4) the balance among the components of the Program, including funding levels for the program component areas;
(5) whether the program component areas, priorities, and technical goals developed by the Council are helping to maintain United States leadership in nanotechnology;
(6) the management, coordination, implementation, and activities of the Program; and
(7) whether societal, ethical, legal, environmental, and workforce concerns are adequately addressed by the Program.
(d) Reports Not later than 4 years after the date of the most recent assessment under subsection (c), and quadrennially thereafter, the Advisory Panel shall submit to the President, the Committee on Commerce, Science, and Transportation of the Senate, and the Committee on Science, Space, and Technology of the House of Representatives a report its 11 So in original. assessments under subsection (c) and its recommendations for ways to improve the Program.
(e) Travel expenses of non-Federal members Non-Federal members of the Advisory Panel, while attending meetings of the Advisory Panel or while otherwise serving at the request of the head of the Advisory Panel away from their homes or regular places of business, may be allowed travel expenses, including per diem in lieu of subsistence, as authorized by section 5703 of title 5 for individuals in the government serving without pay. Nothing in this subsection shall be construed to prohibit members of the Advisory Panel who are officers or employees of the United States from being allowed travel expenses, including per diem in lieu of subsistence, in accordance with existing law.
(f) Exemption from sunset Section 1013 of title 5 shall not apply to the Advisory Panel.
(Pub. L. 108153, § 4, Dec. 3, 2003, 117 Stat. 1927; Pub. L. 114329, title II, § 204(b)(2), Jan. 6, 2017, 130 Stat. 2999; Pub. L. 117286, § 4(a)(78), Dec. 27, 2022, 136 Stat. 4314.)
## Notes
Editorial Notes
Amendments2022—Subsec. (f). Pub. L. 117286 substituted “Section 1013 of title 5” for “Section 14 of the Federal Advisory Committee Act”. 2017—Subsec. (d). Pub. L. 114329 amended subsec. (d) generally. Prior to amendment, text read as follows: “The Advisory Panel shall report, not less frequently than once every 2 fiscal years, to the President on its assessments under subsection (c) and its recommendations for ways to improve the Program. The first report under this subsection shall be submitted within 1 year after December 3, 2003. The Director of the Office of Science and Technology Policy shall transmit a copy of each report under this subsection to the Senate Committee on Commerce, Science, and Technology, the House of Representatives Committee on Science, and other appropriate committees of the Congress.”
Executive Documents
Transfer of Functions Presidents Council of Advisors on Science and Technology to serve as the advisory panel identified in this section and to be known as the National Nanotechnology Advisory Panel when performing the functions of such advisory committee, see section 3(b)(iv) of Ex. Ord. No. 14007, set out in a note under section 6601 of Title 42, The Public Health and Welfare.
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# 15 U.S.C. § 7504 - Quadrennial external review of the National Nanotechnology Program
## Text
(a) In general The Director of the National Nanotechnology Coordination Office shall enter into an arrangement with the National Research Council of the National Academy of Sciences to conduct a quadrennial evaluation of the Program, including—
(1) an evaluation of the technical accomplishments of the Program, including a review of whether the Program has achieved the goals under the metrics established by the Council;
(2) a review of the Programs management and coordination across agencies and disciplines;
(3) a review of the funding levels at each agency for the Programs activities and the ability of each agency to achieve the Programs stated goals with that funding;
(4) an evaluation of the Programs success in transferring technology to the private sector;
(5) an evaluation of whether the Program has been successful in fostering interdisciplinary research and development;
(6) an evaluation of the extent to which the Program has adequately considered ethical, legal, environmental, and other appropriate societal concerns;
(7) recommendations for new or revised Program goals;
(8) recommendations for new research areas, partnerships, coordination and management mechanisms, or programs to be established to achieve the Programs stated goals;
(9) recommendations on policy, program, and budget changes with respect to nanotechnology research and development activities;
(10) recommendations for improved metrics to evaluate the success of the Program in accomplishing its stated goals;
(11) a review of the performance of the National Nanotechnology Coordination Office and its efforts to promote access to and early application of the technologies, innovations, and expertise derived from Program activities to agency missions and systems across the Federal Government and to United States industry;
(12) an analysis of the relative position of the United States compared to other nations with respect to nanotechnology research and development, including the identification of any critical research areas where the United States should be the world leader to best achieve the goals of the Program; and
(13) an analysis of the current impact of nanotechnology on the United States economy and recommendations for increasing its future impact.
(b) Study on molecular self-assembly As part of the first quadrennial review conducted in accordance with subsection (a), the National Research Council shall conduct a one-time study to determine the technical feasibility of molecular self-assembly for the manufacture of materials and devices at the molecular scale.
(c) Study on the responsible development of nanotechnology As part of the first quadrennial review conducted in accordance with subsection (a), the National Research Council shall conduct a one-time study to assess the need for standards, guidelines, or strategies for ensuring the responsible development of nanotechnology, including, but not limited to—
(1) self-replicating nanoscale machines or devices;
(2) the release of such machines in natural environments;
(3) encryption;
(4) the development of defensive technologies;
(5) the use of nanotechnology in the enhancement of human intelligence; and
(6) the use of nanotechnology in developing artificial intelligence.
(d) Report (1) In general Not later than 30 days after the date the first evaluation under subsection (a) is received, and quadrennially thereafter, the Director of the National Nanotechnology Coordination Office shall report to the President its assessments under subsection (c) and its recommendations for ways to improve the Program.
(2) Congress Not later than 30 days after the date the President receives the report under paragraph (1), the Director of the Office of Science and Technology Policy shall transmit a copy of the report to Congress.
(Pub. L. 108153, § 5, Dec. 3, 2003, 117 Stat. 1928; Pub. L. 114329, title II, § 204(b)(3), Jan. 6, 2017, 130 Stat. 2999.)
## Notes
Editorial Notes
Amendments2017—Pub. L. 114329, § 204(b)(3)(A)(D), substituted “Quadrennial” for “Triennial” in section catchline and “quadrennial” for “triennial” in subsecs. (a) to (c). Subsec. (d). Pub. L. 114329, § 204(b)(3)(E), amended subsec. (d) generally. Prior to amendment, text read as follows: “The Director of the National Nanotechnology Coordination Office shall transmit the results of any evaluation for which it made arrangements under subsection (a) to the Advisory Panel, the Senate Committee on Commerce, Science, and Transportation and the House of Representatives Committee on Science upon receipt. The first such evaluation shall be transmitted no later than June 10, 2005, with subsequent evaluations transmitted to the Committees every 3 years thereafter.”
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# 15 U.S.C. § 7505 - Authorization of appropriations
## Text
(a) National Science Foundation There are authorized to be appropriated to the Director of the National Science Foundation to carry out the Directors responsibilities under this chapter—
(1) $385,000,000 for fiscal year 2005;
(2) $424,000,000 for fiscal year 2006;
(3) $449,000,000 for fiscal year 2007; and
(4) $476,000,000 for fiscal year 2008.
(b) Department of Energy There are authorized to be appropriated to the Secretary of Energy to carry out the Secretarys responsibilities under this chapter—
(1) $317,000,000 for fiscal year 2005;
(2) $347,000,000 for fiscal year 2006;
(3) $380,000,000 for fiscal year 2007; and
(4) $415,000,000 for fiscal year 2008.
(c) National Aeronautics and Space Administration There are authorized to be appropriated to the Administrator of the National Aeronautics and Space Administration to carry out the Administrators responsibilities under this chapter—
(1) $34,100,000 for fiscal year 2005;
(2) $37,500,000 for fiscal year 2006;
(3) $40,000,000 for fiscal year 2007; and
(4) $42,300,000 for fiscal year 2008.
(d) National Institute of Standards and Technology There are authorized to be appropriated to the Director of the National Institute of Standards and Technology to carry out the Directors responsibilities under this chapter—
(1) $68,200,000 for fiscal year 2005;
(2) $75,000,000 for fiscal year 2006;
(3) $80,000,000 for fiscal year 2007; and
(4) $84,000,000 for fiscal year 2008.
(e) Environmental Protection Agency There are authorized to be appropriated to the Administrator of the Environmental Protection Agency to carry out the Administrators responsibilities under this chapter—
(1) $5,500,000 for fiscal year 2005;
(2) $6,050,000 for fiscal year 2006;
(3) $6,413,000 for fiscal year 2007; and
(4) $6,800,000 for fiscal year 2008.
(Pub. L. 108153, § 6, Dec. 3, 2003, 117 Stat. 1929.)
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# 15 U.S.C. § 7506 - Department of Commerce programs
## Text
(a) NIST programs The Director of the National Institute of Standards and Technology shall—
(1) as part of the Program activities under section 7501(b)(7) of this title, establish a program to conduct basic research on issues related to the development and manufacture of nanotechnology, including metrology; reliability and quality assurance; processes control; and manufacturing best practices; and
(2) utilize the Manufacturing Extension Partnership program 11 See Change of Name note below. to the extent possible to ensure that the research conducted under paragraph (1) reaches small- and medium-sized manufacturing companies.
(b) Clearinghouse The Secretary of Commerce or his designee, in consultation with the National Nanotechnology Coordination Office and, to the extent possible, utilizing resources at the National Technical Information Service, shall establish a clearinghouse of information related to commercialization of nanotechnology research, including information relating to activities by regional, State, and local commercial nanotechnology initiatives; transition of research, technologies, and concepts from Federal nanotechnology research and development programs into commercial and military products; best practices by government, universities and private sector laboratories transitioning technology to commercial use; examples of ways to overcome barriers and challenges to technology deployment; and use of manufacturing infrastructure and workforce.
(Pub. L. 108153, § 7, Dec. 3, 2003, 117 Stat. 1930.)
## Notes
Statutory Notes and Related Subsidiaries
Change of Name The Manufacturing Extension Partnership Program, referred to in subsec. (a), redesignated the Hollings Manufacturing Partnership Program by a provision of title II of div. B of Pub. L. 108447, formerly set out as a note under section 278k of this title. Program subsequently designated the Hollings Manufacturing Extension Partnership by former section 278k(i) of this title, as added by Pub. L. 111358, and by section 278k of this title, as generally amended by Pub. L. 114329.
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# 15 U.S.C. § 7507 - Department of Energy programs
## Text
(a) Research consortia (1) Department of Energy program The Secretary of Energy shall establish a program to support, on a merit-reviewed and competitive basis, consortia to conduct interdisciplinary nanotechnology research and development designed to integrate newly developed nanotechnology and microfluidic tools with systems biology and molecular imaging.
(2) Authorization of appropriations Of the sums authorized for the Department of Energy under section 7505(b) of this title, $25,000,000 shall be used for each fiscal year 2005 through 2008 to carry out this section. Of these amounts, not less than $10,000,000 shall be provided to at least 1 consortium for each fiscal year.
(b) Research centers and major instrumentation The Secretary of Energy shall carry out projects to develop, plan, construct, acquire, operate, or support special equipment, instrumentation, or facilities for investigators conducting research and development in nanotechnology.
(Pub. L. 108153, § 8, Dec. 3, 2003, 117 Stat. 1930.)
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# 15 U.S.C. § 7508 - Additional centers
## Text
(a) American Nanotechnology Preparedness Center The Program shall provide for the establishment, on a merit-reviewed and competitive basis, of an American Nanotechnology Preparedness Center which shall—
(1) conduct, coordinate, collect, and disseminate studies on the societal, ethical, environmental, educational, legal, and workforce implications of nanotechnology; and
(2) identify anticipated issues related to the responsible research, development, and application of nanotechnology, as well as provide recommendations for preventing or addressing such issues.
(b) Center for nanomaterials manufacturing The Program shall provide for the establishment, on a merit reviewed and competitive basis, of a center to—
(1) encourage, conduct, coordinate, commission, collect, and disseminate research on new manufacturing technologies for materials, devices, and systems with new combinations of characteristics, such as, but not limited to, strength, toughness, density, conductivity, flame resistance, and membrane separation characteristics; and
(2) develop mechanisms to transfer such manufacturing technologies to United States industries.
(c) Reports The Council, through the Director of the National Nanotechnology Coordination Office, shall submit to the Senate Committee on Commerce, Science, and Transportation and the House of Representatives Committee on Science—
(1) within 6 months after December 3, 2003, a report identifying which agency shall be the lead agency and which other agencies, if any, will be responsible for establishing the Centers described in this section; and
(2) within 18 months after December 3, 2003, a report describing how the Centers described in this section have been established.
(Pub. L. 108153, § 9, Dec. 3, 2003, 117 Stat. 1930.)
## Notes
Statutory Notes and Related Subsidiaries
Change of Name Committee on Science of House of Representatives changed to Committee on Science and Technology of House of Representatives by House Resolution No. 6, One Hundred Tenth Congress, Jan. 5, 2007. Committee on Science and Technology of House of Representatives changed to Committee on Science, Space, and Technology of House of Representatives by House Resolution No. 5, One Hundred Twelfth Congress, Jan. 5, 2011.
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# 15 U.S.C. § 7509 - Definitions
## Text
In this chapter:
(1) Advisory Panel The term “Advisory Panel” means the Presidents National Nanotechnology Advisory Panel established or designated under section 7503 of this title.
(2) Nanotechnology The term “nanotechnology” means the science and technology that will enable one to understand, measure, manipulate, and manufacture at the atomic, molecular, and supramolecular levels, aimed at creating materials, devices, and systems with fundamentally new molecular organization, properties, and functions.
(3) Program The term “Program” means the National Nanotechnology Program established under section 7501 of this title.
(4) Council The term “Council” means the National Science and Technology Council or an appropriate subgroup designated by the Council under section 7501(c) of this title.
(5) Advanced technology user facility The term “advanced technology user facility” means a nanotechnology research and development facility supported, in whole or in part, by Federal funds that is open to all United States researchers on a competitive, merit-reviewed basis.
(6) Program component area The term “program component area” means a major subject area established under section 7501(c)(2) of this title under which is 11 So in original. Probably should be “are”. grouped related individual projects and activities carried out under the Program.
(Pub. L. 108153, § 10, Dec. 3, 2003, 117 Stat. 1931.)
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# 15 U.S.C. § 7601 - Availability of contact lens prescriptions to patients
## Text
(a) In general When a prescriber completes a contact lens fitting, the prescriber—
(1) whether or not requested by the patient, shall provide to the patient a copy of the contact lens prescription; and
(2) shall, as directed by any person designated to act on behalf of the patient, provide or verify the contact lens prescription by electronic or other means.
(b) Limitations A prescriber may not—
(1) require purchase of contact lenses from the prescriber or from another person as a condition of providing a copy of a prescription under subsection (a)(1) or (a)(2) or verification of a prescription under subsection (a)(2);
(2) require payment in addition to, or as part of, the fee for an eye examination, fitting, and evaluation as a condition of providing a copy of a prescription under subsection (a)(1) or (a)(2) or verification of a prescription under subsection (a)(2); or
(3) require the patient to sign a waiver or release as a condition of verifying or releasing a prescription.
(Pub. L. 108164, § 2, Dec. 6, 2003, 117 Stat. 2024.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DatePub. L. 108164, § 12, Dec. 6, 2003, 117 Stat. 2028, provided that: “This Act [enacting this chapter and provisions set out as a note below] shall take effect 60 days after the date of the enactment of this Act [Dec. 6, 2003].”
Short TitlePub. L. 108164, § 1, Dec. 6, 2003, 117 Stat. 2024, provided that: “This Act [enacting this chapter and provisions set out as a note above] may be cited as the Fairness to Contact Lens Consumers Act.”
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# 15 U.S.C. § 7602 - Immediate payment of fees in limited circumstances
## Text
A prescriber may require payment of fees for an eye examination, fitting, and evaluation before the release of a contact lens prescription, but only if the prescriber requires immediate payment in the case of an examination that reveals no requirement for ophthalmic goods. For purposes of the preceding sentence, presentation of proof of insurance coverage for that service shall be deemed to be a payment.
(Pub. L. 108164, § 3, Dec. 6, 2003, 117 Stat. 2024.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DateSection effective 60 days after Dec. 6, 2003, see section 12 of Pub. L. 108164, set out as a note under section 7601 of this title.
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# 15 U.S.C. § 7603 - Prescriber verification
## Text
(a) Prescription requirement A seller may sell contact lenses only in accordance with a contact lens prescription for the patient that is—
(1) presented to the seller by the patient or prescriber directly or by facsimile; or
(2) verified by direct communication.
(b) Record requirement A seller shall maintain a record of all direct communications referred to in subsection (a).
(c) Information When seeking verification of a contact lens prescription, a seller shall provide the prescriber with the following information:
(1) Patients full name and address.
(2) Contact lens power, manufacturer, base curve or appropriate designation, and diameter when appropriate.
(3) Quantity of lenses ordered.
(4) Date of patient request.
(5) Date and time of verification request.
(6) Name of contact person at sellers company, including facsimile and telephone number.
(d) Verification events A prescription is verified under this chapter only if one of the following occurs:
(1) The prescriber confirms the prescription is accurate by direct communication with the seller.
(2) The prescriber informs the seller that the prescription is inaccurate and provides the accurate prescription.
(3) The prescriber fails to communicate with the seller within 8 business hours, or a similar time as defined by the Federal Trade Commission, after receiving from the seller the information described in subsection (c).
(e) Invalid prescription If a prescriber informs a seller before the deadline under subsection (d)(3) that the contact lens prescription is inaccurate, expired, or otherwise invalid, the seller shall not fill the prescription. The prescriber shall specify the basis for the inaccuracy or invalidity of the prescription. If the prescription communicated by the seller to the prescriber is inaccurate, the prescriber shall correct it.
(f) No alteration A seller may not alter a contact lens prescription. Notwithstanding the preceding sentence, if the same contact lens is manufactured by the same company and sold under multiple labels to individual providers, the seller may fill the prescription with a contact lens manufactured by that company under another label.
(g) Direct communication As used in this section, the term “direct communication” includes communication by telephone, facsimile, or electronic mail.
(Pub. L. 108164, § 4, Dec. 6, 2003, 117 Stat. 2024.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DateSection effective 60 days after Dec. 6, 2003, see section 12 of Pub. L. 108164, set out as a note under section 7601 of this title.
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# 15 U.S.C. § 7604 - Expiration of contact lens prescriptions
## Text
(a) In general A contact lens prescription shall expire—
(1) on the date specified by the law of the State in which the prescription was written, if that date is one year or more after the issue date of the prescription;
(2) not less than one year after the issue date of the prescription if such State law specifies no date or a date that is less than one year after the issue date of the prescription; or
(3) notwithstanding paragraphs (1) and (2), on the date specified by the prescriber, if that date is based on the medical judgment of the prescriber with respect to the ocular health of the patient.
(b) Special rules for prescriptions of less than 1 year If a prescription expires in less than 1 year, the reasons for the judgment referred to in subsection (a)(3) shall be documented in the patients medical record. In no circumstance shall the prescription expiration date be less than the period of time recommended by the prescriber for a reexamination of the patient that is medically necessary.
(c) Definition As used in this section, the term “issue date” means the date on which the patient receives a copy of the prescription.
(Pub. L. 108164, § 5, Dec. 6, 2003, 117 Stat. 2025.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DateSection effective 60 days after Dec. 6, 2003, see section 12 of Pub. L. 108164, set out as a note under section 7601 of this title.
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source_identifier: "/us/usc/t15/s7605"
source_file: "data/legal/raw/us/code/title-15/usc15.xml"
source_hash: "1c16da8a69a0f6fbf81ffd427a30b6c42b43924c281cf76915a42c563482b757"
raw_snapshot_hash: "6982338d990ef19d6b52bff6825089bdd6d0ee1233d9382673faf533decd5059"
text_hash: "d73256a10875e51b1d2fe283f65561a0fbbd98125dd634d59e7b8c13f5f4d54d"
retrieved_at: "2026-07-04"
confidence: "official"
tags: ["legal", "us-code"]
---
# 15 U.S.C. § 7605 - Content of advertisements and other representations
## Text
Any person that engages in the manufacture, processing, assembly, sale, offering for sale, or distribution of contact lenses may not represent, by advertisement, sales presentation, or otherwise, that contact lenses may be obtained without a prescription.
(Pub. L. 108164, § 6, Dec. 6, 2003, 117 Stat. 2026.)
## Notes
Statutory Notes and Related Subsidiaries
Effective DateSection effective 60 days after Dec. 6, 2003, see section 12 of Pub. L. 108164, set out as a note under section 7601 of this title.

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