薩班斯法案（2002）Sec.703.(1)

　　SEC.703.STUDY AND REPORT ON VIOLATORS AND VIOLATIONS.

　　(a)STUDY.-The Commission shall conduct a study to determine,based upon information for the period from January 1,1998,to December 31,2001-

　　(1)the number of securities professionals,defined as public accountants,public accounting firms,investment bankers,investment advisers,brokers,dealers,attorneys,and other securities professionals practicing before the Commission-

　　(A)who have been found to have aided and abetted a violation of the Federal securities laws,including rules or regulations promulgated thereunder(collectively referred to in this section as"Federal securities laws"),but who have not been sanctioned,disciplined,or otherwise penalized as a primary violator in any administrative action or civil proceeding,including in any settlement of such an action or proceeding(referred to in this section as"aiders and abettors");and

　　(B)who have been found to have been primary violators of the Federal securities laws;

　　(2)a description of the Federal securities laws violations committed by aiders and abettors and by primary violators,including-

　　(A)the specific provision of the Federal securities laws violated;

　　(B)the specific sanctions and penalties imposed upon such aiders and abettors and primary violators,including the amount of any monetary penalties assessed upon and collected from such persons;

　　(C)the occurrence of multiple violations by the same person or persons,either as an aider or abettor or as a primary violator;and

　　(D)whether,as to each such violator,disciplinary sanctions have been imposed,including any censure,suspension,temporary bar,or permanent bar to practice before the Commission;and

　　(3)the amount of disgorgement,restitution,or any other fines or payments that the Commission has assessed upon and collected from,aiders and abettors and from primary violators.