§ 21. Enforcement provisions

Legislative history

Reconstructed from this section’s Code source credit and amendment notes, resolved against the local Statutes at Large. Editorial notes are evidence, not the law that made the change.

1. 1914

   Pub. L. 63–323 § 11 · 38 Stat. 730

   Enacted · 15 U.S.C. § 21

   Oct. 15, 1914, ch. 323, § 11, 38 Stat. 734

   Source evidence

   Code source credit
   Oct. 15, 1914, ch. 323, § 11, 38 Stat. 734

   Enacted provision · exact public law section
   Sec. 11. That authority to enforce compliance with sections two, three, seven and eight of this Act by the persons respectively subject Interstate Commerce Commission. Federal Reserve Board. thereto is hereby vested: in the Interstate Commerce Commission where applicable to common carriers, in the Federal Reserve Board where applicable to banks, banking associations and trust companies, Federal Trade Commission. and in the Federal Trade Commission where applicable to all other character of commerce, to be exercised as follows: Procedure. Service of complaints alleging violations. Whenever the commission or board vested with jurisdiction thereof shall have reason to believe that any person is violating or has violated any of the provisions of sections two, three, seven and eight of this Act, it shall issue and serve upon such person 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 Appearance of accused. 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 or board requiring such person to cease and desist from the violation of the law so charged in said complaint. Any person may make application, and upon good Other parties may intervene. cause shown may be allowed by the commission or board, 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 or board. If upon such hearing the commission Statement of findings and issue of order to cease violations. or board, 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 held or rid itself of the directors chosen contrary to the provisions of sections seven and eight of this Act, if any there be, in the manner and within the time fixed by said order. Until a transcript of the record in such hearing shall have been filed Modification of report or order. in a circuit court of appeals of the United States, as hereinafter provided, the commission or board 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. If such person fails or neglects to obey such order of the commission Circuit court of appeals to enforce order. Application, etc. or board while the same is in effect, the commission or board may apply to the circuit court of appeals of the United States, within any circuit where the violation complained of was or is being committed or where such person resides or carries on business, for the enforcement of its order, and shall 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. Upon such filing of the application and transcript the court shall Jurisdiction of court, etc. cause notice thereof to be served upon such person and thereupon shall have jurisdiction of the proceeding and of the question determined therein, and shall have power to make and enter upon the pleadings, testimony, and proceedings set forth in such transcript a decree affirming, modifying, or setting aside the order of the commission or board. The findings of the commission or board as to the Findings conclusive of facts. Production of additional evidence. facts, if supported by testimony, shall be conclusive. 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 or board, the court may order such additional evidence to be taken before the commission or board 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 or board may modify Modification, etc., of findings. its findings as to the facts, or make new findings, by reason of the additional evidence so taken, and it shall file such modified or new findings, which, if supported by testimony, 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 final. judgment and decree of the court shall be final, except that the same Review by Supreme Court. Vol. 36, p. 1157. shall be subject to review by the Supreme Court upon certiorari as provided in section two hundred and forty of the Judicial Code. Any party required by such order of the commission or board to Applications to set aside orders. cease and desist from a violation charged may obtain a review of such order in said circuit court of appeals by filing in the court a written petition praying that the order of the commission or board be set aside. A copy of such petition shall be forthwith served upon the Procedure, etc. commission or board, and thereupon the commission or board forthwith shall certify and file in the court a transcript of the record as hereinbefore provided. Upon the filing of the transcript the court shall have the same jurisdiction to affirm, set aside, or modify the order of the commission or board as in the case of an application by the commission or board for the enforcement of its order, and the findings of the commission or board as to the facts, if supported by testimony, shall in like manner be conclusive. Exclusive jurisdiction of court. The jurisdiction of the circuit court of appeals of the United States to enforce, set aside, or modify orders of the commission or board shall be exclusive. Precedence and expediting. Such proceedings in the circuit court of appeals shall be given precedence over other cases pending therein, and shall be in every No antitrust liability impaired. way expedited. No order of the commission or board or the judgment of the court to enforce the same shall in any wise relieve or absolve any person from any liability under the antitrust Acts. Service of process. Complaints, orders, and other processes of the Personal. commission or board under this section may be served by anyone duly authorized by the commission or board, either (a) 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 At place of business. of the corporation to be served; or (b) by leaving a copy thereof at By registered mail. the principal office or place of business of such person; or (c) by registering and mailing a copy thereof addressed to such person at his Proof of return. 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 registered and mailed as aforesaid shall be proof of the service of the same.

2. 1958

   Pub. L. 85–791 § 4(a) · 72 Stat. 941

   Struck · 15 U.S.C. § 21

   Pub. L. 85–791, § 4(a), struck out “a transcript of” after “Until” in last sentence of second par

   Source evidence

   Code amendment note
   Pub. L. 85–791, § 4(a), struck out “a transcript of” after “Until” in last sentence of second par.

   Enacted provision · exact public law section
   (a) The sixth sentence of the second paragraph of section ICC, FCC, CAB and Federal Reserve. 15 USC 21. 11 of the Act of October 15, 1914, as amended (64 Stat. 1127), is amended to read as follows: “Until the record in such hearing shall have been filed in a United States court of appeals, as hereinafter provided, the. Commission or Board 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.”

3. 1958

   Pub. L. 85–791 § 4(b) · 72 Stat. 941

   1. Substituted · 15 U.S.C. § 21

      Pub. L. 85–791, § 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.

   2. Struck · 15 U.S.C. § 21

      Pub. L. 85–791, § 4(b), struck out “and transcript” after “application”

   3. Inserted · 15 U.S.C. § 21

      Pub. L. 85–791, § 4(b), inserted “concurrently with the Commission or Board until the filing of the record”

   4. Struck · 15 U.S.C. § 21

      Pub. L. 85–791, § 4(b), struck out “upon the pleadings, testimony, and proceedings set forth in such transcript” after “make and enter”

   Target inherited from the preceding amendment note.

   Source evidence

   Code amendment note
   Pub. L. 85–791, § 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”.

   Enacted provision · exact public law section
   (b) The first and second sentences of the third paragraph of section 11 of the Act of October 15, 1914, as amended (64 Stat. 1127), are 15 USC 21. amended to read as follows: “If such person fails or neglects to obey such order of the Commission or Board while the same is in effect, the Commission or Board may apply to the United States court of appeals, within any circuit where the violation complained of was or is being committed or where such person resides or carries on business, for the enforcement of its order, and shall file the record in the proceeding, as provided in section 2112 of title 28, United States Code. Upon such filing of the application the court shall cause notice thereof to be served upon such person, and thereupon shall have jurisdiction of the proceeding and of the question determined therein concurrently with the Commission or Board 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 or Board.”

4. 1958

   Pub. L. 85–791 § 4(c) · 72 Stat. 941

   1. Substituted · 15 U.S.C. § 21

      Pub. L. 85–791, § 4(c), substituted in second sentence of fourth par., “transmitted by the clerk of the court to” for “served upon”

   2. Substituted · 15 U.S.C. § 21

      Pub. L. 85–791, § 4(c), substituted in second sentence of fourth par., “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”

   3. Substituted · 15 U.S.C. § 21

      Pub. L. 85–791, § 4(c), substituted in second sentence of fourth par., “such petition” for “the transcript”

   4. Inserted · 15 U.S.C. § 21

      Pub. L. 85–791, § 4(c), inserted “determined as provided in section 1009(e) of title 5,”

   Target inherited from the preceding amendment note.

   Source evidence

   Code amendment note
   Pub. L. 85–791, § 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,”.

   Enacted provision · exact public law section
   (c) The second and third sentences of the fourth paragraph of section 15 USC 21. 11 of the Act of October 15, 1914, as amended (64 Stat. 1128), are amended to read as follows: “A copy of such petition shall be forthwith transmitted by the clerk of the court to the Commission or Board and thereupon the Commission or Board shall file in the court the record in the proceeding, as provided in section 2112 of title 28, United States Code. Upon the filing of such petition the court shall have the same jurisdiction to affirm, set aside, or modify the order of the Commission or Board as in the case of an application by the Commission or Board for the enforcement of its order, and the findings of the Commission or Board as to the facts, if supported by substantial evidence, determined as provided in section 10 (e) of the Administrative 60 Stat. 243. 5 USC 1009. Procedure Act, shall in like manner be conclusive.”

5. 1958

   Pub. L. 85–791 § 4(d) · 72 Stat. 941

   Substituted · 15 U.S.C. § 21

   Pub. L. 85–791, § 4(d), substituted in fifth par., “Upon the filing of the record with it the” for “The”

   Target inherited from the preceding amendment note.

   Source evidence

   Code amendment note
   Pub. L. 85–791, § 4(d), substituted in fifth par., “Upon the filing of the record with it the” for “The”.

   Enacted provision · exact public law section
   (d) The fifth paragraph of section 11 of the Act of October 15, 15 USC 21. 1914, as amended (64 Stat. 1128), is amended to read as follows: “Upon the filing of the record with it the jurisdiction of the United States court of appeals to enforce, set aside, or modify orders of the Commission or Board shall be exclusive.”

6. 1959

   Pub. L. 86–107 § 1 · 73 Stat. 243

   1. Amended · 15 U.S.C. § 21

      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

   2. Added · 15 U.S.C. § 21

      Pub. L. 86–107 added subsecs. (g) to (k), providing for finality of orders, and subsec. (l), prescribing the civil penalty for violation of orders

   Source evidence

   Code amendment note
   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.

7. 1984

   Pub. L. 98–443 § 9(m)(1) · 98 Stat. 1703

   Substituted · 15 U.S.C. § 21(a)

   Pub. L. 98–443, § 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”

   Source evidence

   Code amendment note
   Subsec. (a). Pub. L. 98–443, § 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”.

   Enacted provision · exact public law section
   (1) in subsection (a), by striking out “Civil Aeronautics Board” and inserting in lieu thereof “Secretary of Transportation” and by striking out “Civil Aeronautics Act of 1938” and inserting in lieu thereof “Federal Aviation Act of 1958”;

8. 1984

   Pub. L. 98–443 § 9(m)(2) · 98 Stat. 1703

   Substituted · 15 U.S.C. § 21(b)

   Pub. L. 98–443, § 9(m)(2), substituted “Commission, Board, or Secretary” for “Commission or Board” wherever appearing

   Source evidence

   Code amendment note
   Subsec. (b). Pub. L. 98–443, § 9(m)(2), substituted “Commission, Board, or Secretary” for “Commission or Board” wherever appearing.

   Enacted provision · exact public law section
   (2) in subsection (b), by striking out “Commission or Board” each place it appears and inserting in lieu thereof “Commission, Board, or Secretary”; and

9. 1984

   Pub. L. 98–443 § 9(m)(3) · 98 Stat. 1703

   Substituted · 15 U.S.C. § 21(c); 15 U.S.C. § 21(d)

   Pub. L. 98–443, § 9(m)(3), substituted “commission, board, or Secretary” for “commission or board” wherever appearing

   Source evidence

   Code amendment note
   Subsecs. (c), (d). Pub. L. 98–443, § 9(m)(3), substituted “commission, board, or Secretary” for “commission or board” wherever appearing.

   Enacted provision · exact public law section
   (3) by striking out “commission or board” each place it appears in such section and inserting in lieu thereof “commission, board, or Secretary”.

10. 1984

    Pub. L. 98–443 § 9(m)(3) · 98 Stat. 1703

    Substituted · 15 U.S.C. § 21(e)

    Pub. L. 98–443, § 9(m)(3), substituted “commission, board, or Secretary” for “commission or board”

    Target inherited from the preceding amendment note.

    Source evidence

    Code amendment note
    Pub. L. 98–443, § 9(m)(3), substituted “commission, board, or Secretary” for “commission or board”.

    Enacted provision · exact public law section
    (3) by striking out “commission or board” each place it appears in such section and inserting in lieu thereof “commission, board, or Secretary”.

11. 1984

    Pub. L. 98–443 § 9(m)(3) · 98 Stat. 1703

    Substituted · 15 U.S.C. § 21(f)(j)(l)

    Pub. L. 98–443, § 9(m)(3), substituted “commission, board, or Secretary” for “commission or board” wherever appearing

    Source evidence

    Code amendment note
    Subsecs. (f) to (j), (l). Pub. L. 98–443, § 9(m)(3), substituted “commission, board, or Secretary” for “commission or board” wherever appearing.

    Enacted provision · exact public law section
    (3) by striking out “commission or board” each place it appears in such section and inserting in lieu thereof “commission, board, or Secretary”.

12. 1984

    Pub. L. 98–620 title IV § 402(10)(B) · 98 Stat. 3335

    Struck · 15 U.S.C. § 21(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

    Source evidence

    Code amendment note
    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.

    Enacted provision · exact public law section
    (B) Section 11(e) of the Clayton Act (15 U.S.C. 21(e)) is amended by striking out the first sentence.

13. 1995

    ICC Termination Act of 1995

    Pub. L. 104–88 title III § 318(2) · 109 Stat. 803

    Substituted · 15 U.S.C. § 21(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”

    Source evidence

    Code amendment note
    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”.

    Enacted provision · exact public law section
    (2) in section 11(a) (15 U.S.C. 21(a)) by striking “Interstate Commerce Commission where applicable to common carriers subject to the Interstate Commerce Act, as amended” and inserting in lieu thereof “Surface Transportation Board where applicable to common carriers subject to jurisdiction under subtitle IV of title 49, United States Code”; and

    Effective date note
    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 1301 of Title 49, Transportation.

18 of 20 references resolved to an enrolled provision · 2 partial