Fabio
76b8ec33a7
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>
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| LegalText | 15 U.S.C. § 78d–3 | Appearance and practice before the Commission | us | united_states_code | code_section | 15 | COMMERCE AND TRADE | 2B | SECURITIES EXCHANGES | 78d–3 | 15 U.S.C. § 78d–3 | current | 119-100 | 2026-06-26 | official | https://uscode.house.gov/download/releasepoints/us/pl/119/100/xml_usc15@119-100.zip | /us/usc/t15/s78d–3 | data/legal/raw/us/code/title-15/usc15.xml | 315b33486d29bb22f1419a440969a84baa2bf3b4d8d6b3ef8ccf0e70db3aa281 | 6982338d990ef19d6b52bff6825089bdd6d0ee1233d9382673faf533decd5059 | 9f6f923b3aaf819d84b4ae8711c103a4c3e2fdde5bb4f0c6bbbbb1c1e76fffb3 | 2026-07-04 | official |
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15 U.S.C. § 78d–3 - Appearance and practice before the Commission
Text
(a) Authority to censure The Commission may censure any person, or deny, temporarily or permanently, to any person the privilege of appearing or practicing before the Commission in any way, if that person is found by the Commission, after notice and opportunity for hearing in the matter—
(1) not to possess the requisite qualifications to represent others;
(2) to be lacking in character or integrity, or to have engaged in unethical or improper professional conduct; or
(3) to have willfully violated, or willfully aided and abetted the violation of, any provision of the securities laws or the rules and regulations issued thereunder.
(b) Definition With respect to any registered public accounting firm or associated person, for purposes of this section, the term “improper professional conduct” means—
(1) intentional or knowing conduct, including reckless conduct, that results in a violation of applicable professional standards; and
(2) negligent conduct in the form of—
(A) a single instance of highly unreasonable conduct that results in a violation of applicable professional standards in circumstances in which the registered public accounting firm or associated person knows, or should know, that heightened scrutiny is warranted; or
(B) repeated instances of unreasonable conduct, each resulting in a violation of applicable professional standards, that indicate a lack of competence to practice before the Commission.
(June 6, 1934, ch. 404, title I, § 4C, as added Pub. L. 107–204, title VI, § 602, July 30, 2002, 116 Stat. 794.)