专业文献阅读中英版11

2020/1/171TITLEXI—CORPORATEFRAUDACCOUNTABILITY第十一章公司欺诈责任SEC.1101.SHORTTITLE.Thistitlemaybecitedasthe‘‘CorporateFraudAccountabilityActof2002’’.第1101节小标题本章标题也可为“2002年公司欺诈责任法案”。2020/1/172SEC.1102.TAMPERINGWITHARECORDOROTHERWISEIMPEDINGANOFFICIALPROCEEDING.Section1512oftitle18,UnitedStatesCode,isamended—第1102节篡改记录或者阻止官方调查修订美国法典第1512节第18章——2020/1/173(1)byredesignatingsubsections(c)through(i)assubsections(d)through(j),respectively;and(1)分别将小节(c)到(i)重排成(d)到(j)；和(2)byinsertingaftersubsection(b)thefollowingnewsubsection:(2)在(b)小节后插入新小节：2020/1/174‘‘(c)Whoevercorruptly—“(c)无论是谁卑劣地——‘‘(1)alters,destroys,mutilates,orconcealsarecord,document,orotherobject,orattemptstodoso,withtheintenttoimpairtheobject’sintegrityoravailabilityforuseinanofficialproceeding;or(1)改变、销毁、篡改或隐匿记录、文件或其它对象，或企图这样做，以阻碍官方调查中得到对象和破坏对象的完整性为目的；或2020/1/175‘‘(2)otherwiseobstructs,influences,orimpedesanyofficialproceeding,orattemptstodoso,shallbefinedunderthistitleorimprisonednotmorethan20years,orboth.’’(2)其它的妨碍、影响或阻止官方调查，或企图这样做，应该被处以罚款，最多20年的监禁，或并罚。”2020/1/176SEC.1103.TEMPORARYFREEZEAUTHORITYFORTHESECURITIESANDEXCHANGECOMMISSION.第1103节SEC的暂时冻结权(a)INGENERAL.—Section21C(c)oftheSecuritiesExchangeActof1934(15U.S.C.78u–3(c))isamendedbyaddingattheendthefollowing:（a）总论。——修订1934年证券交易法第21C(c)节，在结尾增加：2020/1/177‘‘(3)TEMPORARYFREEZE.—“(3)暂时冻结。——‘‘(A)INGENERAL.—(A)总论。——‘‘(i)ISSUANCEOFTEMPORARYORDER.—Whenever,duringthecourseofalawfulinvestigationinvolvingpossibleviolationsoftheFederalsecuritieslawsbyanissuerofpubliclytradedsecuritiesoranyofitsdirectors,officers,partners,controllingpersons,agents,oremployees,(i)临时命令的签发——在对公众证券的发行人和它的董事、管理人员、合伙人、主管、代理人或雇员进行可能涉及违反联邦证券法的司法调查过程中，2020/1/178itshallappeartotheCommissionthatitislikelythattheissuerwillmakeextraordinarypayments(whethercompensationorotherwise)toanyoftheforegoingpersons,theCommissionmaypetitionaFederaldistrictcourtforatemporaryorderrequiringtheissuertoescrow,subjecttocourtsupervision,thosepaymentsinaninterest-bearingaccountfor45days.发行人等应主动向SEC请求在可能公司对前述相关人有额外支付（不管是报酬或其它）时，SEC有权提请联邦地区法院签发临时命令要求公司在法庭监督下，将支付先存入生息的第三方帐户45天。2020/1/179‘‘(ii)STANDARD.—Atemporaryordershallbeenteredunderclause(i),onlyafternoticeandopportunityforahearing,unlessthecourtdeterminesthatnoticeandhearingpriortoentryoftheorderwouldbeimpracticableorcontrarytothepublicinterest.(ii)标准。——(i)条规定的临时命令应该在通知和听证后签发，除非法庭认为执行命令前的通知和听证不实际或违反公共利益。2020/1/1710‘‘(iii)EFFECTIVEPERIOD.—Atemporaryorderissuedunderclause(i)shall—‘‘(I)becomeeffectiveimmediately;‘‘(II)beserveduponthepartiessubjecttoit;and(iii)有效期。——(i)条规定的临时命令应该—(I)立即生效；(II)向有关方出示传票；和2020/1/1711‘‘(III)unlesssetaside,limitedorsuspendedbyacourtofcompetentjurisdiction,shallremaineffectiveandenforceablefor45days.(III)除非取消，否则法院的法定限制和中止行为一直有效并持续45天。2020/1/1712‘‘(iv)EXTENSIONSAUTHORIZED.—Theeffectiveperiodofanorderunderthissubparagraphmaybeextendedbythecourtupongoodcauseshownfornotlongerthan45additionaldays,providedthatthecombinedperiodoftheordershallnotexceed90days.(iv)延期权力。——本段所述命令的有效期可以由法院根据出现的合适的理由最多延长45天，只要总共期限不超过90天。‘‘(B)PROCESSONDETERMINATIONOFVIOLATIONS.—(B)判定有罪时的程序。——2020/1/1713‘‘(i)VIOLATIONSCHARGED.—Iftheissuerorotherpersondescribedinsubparagraph(A)ischargedwithanyviolationoftheFederalsecuritieslawsbeforetheexpirationoftheeffectiveperiodofatemporaryorderundersubparagraph(A)(includinganyapplicableextensionperiod),theordershallremainineffect,subjecttocourtapproval,untiltheconclusionofanylegalproceedingsrelatedthereto,andtheaffectedissuerorotherperson,shallhavetherighttopetitionthecourtforreviewoftheorder.(i)判定有罪。——如果在(A)段中的临时命令过期之前（包括延长期）。发行人或(A)段中的其他有关人被认定违反联邦证券法，命令在法庭的批准下继续有效，直到经过其它司法程序得出结论。并且发行人和其他相关人有权申请对命令的复议。2020/1/1714‘‘(ii)VIOLATIONSNOTCHARGED.—Iftheissuerorotherpersondescribedinsubparagraph(A)isnotchargedwithanyviolationoftheFederalsecuritieslawsbeforetheexpirationoftheeffectiveperiodofatemporaryorderundersubparagraph(A)(includinganyapplicableextensionperiod),theescrowshallterminateattheexpirationofthe45-dayeffectiveperiod(ortheexpirationofanyextensionperiod,asapplicable),andthedisputedpayments(withaccruedinterest)shallbereturnedtotheissuerorotheraffectedperson.’’(ii)判定无罪。——如果在(A)段中的临时命令过期之前（包括延长期）。发行人或(A)段中的其他有关人被认定没有违反联邦证券法，涉及第三方的契约应该在45天期满时停止（或在延长期满后），引起争论的支付（和利息）应归还发行人和其他相关人。”2020/1/1715(b)TECHNICALAMENDMENT.—Section21C(c)(2)oftheSecuritiesExchangeActof1934(15U.S.C.78u–3(c)(2))isamendedbystriking‘‘This’’andinserting‘‘paragraph(1)’’.（b）技术性修订。——修订1934年证券交易法第21C(c)(2)节，删去“这个”，插入“段(1)”。2020/1/1716SEC.1104.AMENDMENTTOTHEFEDERALSENTENCINGGUIDELINES.第1104节联邦判决指南的修改(a)REQUESTFORIMMEDIATECONSIDERATIONBYTHEUNITEDSTATESSENTENCINGCOMMISSION.—Pursuanttoitsauthorityundersection994(p)oftitle28,UnitedStatesCode,andinaccordancewiththissection,theUnitedStateSentencingCommissionisrequestedto—(a)美国参议院审判委员会要求要求立刻进行研究。——依照美国法典第994(p)节第18章的授权和本节的精神，美国宣判委员会被要求——2020/1/1717(1)promptlyreviewthesentencingguidelinesapplicabletosecuritiesandaccountingfraudandrelatedoffenses;(2)expeditiouslyconsiderthepromulgationofnewsentencingguidelinesoramendmentstoexistingsente