Commerce and Trade - 15 USC Section 21

01/03/05

Sec. 21. Enforcement provisions

(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 serviced 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) of this section 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) of this section; 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) of this section 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.

AMENDMENTS
1995 - Subsec. (a). Pub. L. 104-88 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. 98-443, Sec. 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. 98-443, Sec. 9(m)(2), substituted
"Commission, Board, or Secretary" for "Commission or Board"
wherever appearing.
Subsecs. (c), (d). Pub. L. 98-443, Sec. 9(m)(3), substituted
"commission, board, or Secretary" for "commission or board"
wherever appearing.
Subsec. (e). Pub. L. 98-620 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. 98-443, Sec. 9(m)(3), substituted "commission, board, or
Secretary" for "commission or board".
Subsecs. (f) to (j), (l). Pub. L. 98-443, Sec. 9(m)(3),
substituted "commission, board, or Secretary" for "commission or
board" wherever appearing.
1959 - Pub. L. 86-107 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. 85-791, Sec. 4(a), struck out "a transcript of"
after "Until" in last sentence of second par.
Pub. L. 85-791, Sec. 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. 85-791, Sec. 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. 85-791, Sec. 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.

EFFECTIVE DATE OF 1995 AMENDMENT
Amendment by Pub. L. 104-88 effective Jan. 1, 1996, see section 2
of Pub. L. 104-88, set out as an Effective Date note under section
701 of Title 49, Transportation.
EFFECTIVE DATE OF 1984 AMENDMENTS
Amendment by Pub. L. 98-620 not applicable to cases pending on
Nov. 8, 1984, see section 403 of Pub. L. 98-620, set out as an
Effective Date note under section 1657 of Title 28, Judiciary and
Judicial Procedure.
Amendment by Pub. L. 98-443 effective Jan. 1, 1985, see section
9(v) of Pub. L. 98-443, set out as a note under section 5314 of
Title 5, Government Organization and Employees.
EFFECTIVE DATE OF 1959 AMENDMENT
Section 2 of Pub. L. 86-107 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."

Last modified: June 14, 2006