东方涉外律师网
中文版 | English     
  当前位置: 首页 >> 法律英语 >> 国际投资法
克莱顿法(Clayton Act)中英文对照
[ 作者: 来源: 点击次数:6597 发布时间:2007-07-04 15:50:57 ]
                           克莱顿法(Clayton Act)中英文对照 
15 U.S.C. §12: Definitions; short title Antitrust laws,as used herein, includes the Act entitled "An Act to protect trade and commerce against unlawful restraints and monopolies," approved July second, eighteen hundred and ninety; sections seventy-three to seventy-seven, inclusive, of an Act entitled "An Act to reduce taxation, to provide revenue for the Government, and for other purposes," of August twenty- seventh, eighteen hundred and ninety-four; an Act entitled "An Act to amend sections seventy-three and seventy-six of the Act of August twenty-seventh, eighteen hundred and ninety-four, entitled An Act to reduce taxation, to provide revenue for the Government, and for other purposes, " approved February twelfth, nineteen hundred and thirteen; and also this Act.
第一条 (a)这里所用的“反托拉斯法”是指:①1890年7月2日通过的《保护贸易和商业免于非法限制和垄断法》;②1894年8月27日通过的《为了政府收入和其它目的、减少税收法》第73至77条;③《1894年8月27日法第73和76条的修正案》,即1913年2月12日通过的《为了国家收入和其它目的、减少税收法》;④本法。
"Commerce," as used herein, means trade or commerce among the several States and with foreign nations, or between the District of Columbia or any Territory of the United States and any State, Territory, or foreign nation, or between any insular possessions or other places under the jurisdiction of the United States, or between any such possession or place and any State or Territory of the United States or the District of Columbia or any foreign nation, or within the District of Columbia or any Territory or any insular possession or other place under the jurisdiction of the United States: Provided, That nothing in this Act contained shall apply to the Philippine Islands.
这里的“商业”是指州际间或与外国的商业和贸易,或哥伦比亚区、美国准州同其它州、准州、外国的商业和贸易,或美国司法管辖权下的属地之间或其它地方之间的商业和贸易,或哥伦比亚区内、准州内、美国司法管辖权下的任何属地及其它地区内的商业和贸易。
本法不适用于菲律宾群岛。
The word "person" or "persons" wherever used in this Act shall be deemed to include corporations and associations existing under or authorized by the laws of either the United States, the laws of any of the Territories, the laws of any State, or the laws of any foreign country.
(b) This Act may be cited as the "Clayton Act".
这里的“人”包括依据美国联邦法律、州法、准州法或外国法成立的或经上述法律授权的现存公司和组织。
(b)本法名为《克莱顿法》。
15 U.S.C. §13: Discrimination in price, services, or facilities
(a) Price; selection of customers
It shall be unlawful for any person engaged in commerce, in the course of such commerce, either directly or indirectly, to discriminate in price between different purchasers of commodities of like grade and quality, where either or any of the purchases involved in such discrimination are in commerce, where such commodities are sold for use, consumption, or resale within the United States or any Territory thereof or the District of Columbia or any insular possession or other place under the jurisdiction of the United States, and where the effect of such discrimination may be substantially to lessen competition or tend to create a monopoly in any line of commerce, or to injure, destroy, or prevent competition with any person who either grants or knowingly receives the benefit of such discrimination, or with customers of either of them: Provided, That nothing herein contained shall prevent differentials which make only due allowance for differences in the cost of manufacture, sale, or delivery resulting from the differing methods or quantities in which such commodities are to such purchasers sold or delivered: Provided, however, That the Federal Trade Commission may, after due investigation and hearing to all interested parties, fix and establish quantity limits, and revise the same as it finds necessary, as to particular commodities or classes of commodities, where it finds that available purchasers in greater quantities are so few as to render differentials on account thereof unjustly discriminatory or promotive of monopoly in any line of commerce; and the foregoing shall then not be construed to permit differentials based on differences in quantities greater than those so fixed and established: And provided further, That nothing herein contained shall prevent persons engaged in selling goods, wares, or merchandise in commerce from selecting their own customers in bona fide transactions and not in restraint of trade: And provided further, That nothing herein contained shall prevent price changes from time to time where in response to changing conditions affecting the market for or the marketability of the goods concerned, such as but not limited to actual or imminent deterioration of perishable goods, obsolescence of seasonal goods, distress sales under court process, or sales in good faith in discontinuance of business in the goods concerned.
第二条 (a)从事商业的人在其商业过程中,直接或间接地对同一等级和质量商品的买者实行价格歧视,如果价格歧视的结果实质上减少竞争或旨在形成对商业的垄断,或妨害、破坏、阻止同那些准许或故意接受该歧视利益的人之间的竞争,或者是同他们的顾客之间的竞争,是非法的。这里歧视所涉及的购买是在商业过程中,商品是为了在美国内、准州内、哥伦比亚区内、或美国司法管辖权下的属地及其它地域内的使用、消费和销售。
本规定不适用于那些因制造、销售、运输成本不同所做的合理补贴。
联邦贸易委员会认为某商品或各类商品中,大量购买者是如此少,以至于根据购买数量提出价格差异是歧视性的或旨在促成商业垄断时,经过对所有利益各方当事人的适当调查和审理后,可确定一个数量标准,并在必要时予以修改。
前款不适用于超过联邦贸易委员会规定的数量标准的数量差异所准许的差价。
本规定不限制销售商在善意的而不是限制贸易的交易中,挑选顾客。
本规定不限制随着影响市场的条件的变化而产生的价格变化,或随有关商品的可销售性产生的价格变化,这包括但不限于易腐烂商品在或即将变质、季节性商品的过时、司法程序下扣押品的拍卖以及停业中善意的商品销售。
(b) Burden of rebutting prima-facie case of discrimination
Upon proof being made, at any hearing on a complaint under this section, that there has been discrimination in price or services or facilities furnished, the burden of rebutting the prima-facie case thus made by showing justification shall be upon the person charged with a violation of this section, and unless justification shall be affirmatively shown, the Commission is authorized to issue an order terminating the discrimination: Provided, however, That nothing herein contained shall prevent a seller rebutting the prima-facie case thus made by showing that his lower price or the furnishing of services or facilities to any purchaser or purchasers was made in good faith to meet an equally low price of a competitor, or the services or facilities furnished by a competitor.
(b)在对依据本节提起的价格歧视诉状或已完成的劳务、设施歧视诉状审理中,根据歧视的公正性证据对初步立案进行辩驳的责任,在被诉违反本节的一方,除非歧视的公正性得以充分说明,否则,将授权委员会发布中止歧视令。
本规定并不限制卖者通过证明,他的低价或劳务及设施的提供是以良好信誉,平等地同竞争者的低价,或由竞争者提供的劳务、设施相适应,来对初步立案加以辩驳。
(c) Payment or acceptance of commission, brokerage, or other compensation
It shall be unlawful for any person engaged in commerce, in the course of such commerce, to pay or grant, or to receive or accept, anything of value as a commission, brokerage, or other compensation, or any allowance or discount in lieu thereof, except for services rendered in connection with the sale or purchase of goods, wares, or merchandise, either to the other party to such transaction or to an agent, representative, or other intermediary therein where such intermediary is acting in fact for or in behalf, or is subject to the direct or indirect control, of any party to such transaction other than the person by whom such compensation is so granted or paid.
(c)商人在其商业过程中,支付、准许、收取、接受佣金、回扣或其它补偿,或作为替代的任何补贴或折扣是非法的。但对同商品购销相关的,提供给另一方当事人或代理机构、或代表人、或其它中间机构的劳务除外。这里的其它中间机构是事实上、或代表或服从于该交易一方的直接、间接控制,而不是受准许支付回扣或支付回扣一方所控制。
(d) Payment for services or facilities for processing or sale
It shall be unlawful for any person engaged in commerce to pay or contract for the payment of anything of value to or for the benefit of a customer of such person in the course of such commerce as compensation or in consideration for any services or facilities furnished by or through such customer in connection with the processing, handling, sale, or offering for sale of any products or commodities manufactured, sold, or offered for sale by such person, unless such payment or consideration is available on proportionally equal terms to all other customers competing in the distribution of such products or commodities.
(d)商人在其商业过程中,除依据同等条件对所有在商品销售中竞争的其它顾客支付佣金或对价外,对因同该商人生产、销售商品的加工、处理、销售相关的劳务是由某顾客提供或通过该顾客提供的,而作为补偿或对价支付佣金或签订佣金支付合同是非法的。
(e) Furnishing services or facilities for processing, handling, etc.
It shall be unlawful for any person to discriminate in favor of one purchaser against another purchaser or purchasers of a commodity bought for resale, with or without processing, by contracting to furnish or furnishing, or by contributing to the furnishing of, any services or facilities connected with the processing, handling, sale, or offering for sale of such commodity so purchased upon terms not accorded to all purchasers on proportionally equal terms.
(e)任何人通过按并非同等给予所有购买者的条件签订合同提供或提供,或协助提供与所购商品的加工、处理、销售有关的劳务、设施,进行有利于一个购买者而不利于其他购买者(购买是为了转售,进行或不进行加工)的歧视,是非法的。
(f) Knowingly inducing or receiving discriminatory price
It shall be unlawful for any person engaged in commerce, in the course of such commerce, knowingly to induce or receive a discrimination in price which is prohibited by this section.
(f)商人在其商业过程中,故意引诱或接受本节禁止的价格歧视,是非法的。
15 U.S.C. §13a: Discrimination in rebates, discounts, or advertising service charges; underselling in particular localities; penalties
It shall be unlawful for any person engaged in commerce, in the course of such commerce, to be a party to, or assist in, any transaction of sale, or contract to sell, which discriminates to his knowledge against competitors of the purchaser, in that, any discount, rebate, allowance, or advertising service charge is granted to the purchaser over and above any discount, rebate, allowance, or advertising service charge available at the time of such transaction to said competitors in respect of a sale of goods of like grade, quality, and quantity; to sell, or contract to sell, goods in any part of the United States at prices lower than those exacted by said person elsewhere in the United States for the purpose of destroying competition, or eliminating a competitor in such part of the United States; or, to sell, or contract to sell, goods at unreasonably low prices for the purpose of destroying competition or eliminating a competitor.
Any person violating any of the provisions of this section shall, upon conviction thereof, be fined not more than $5,000 or imprisoned not more than one year, or both.
第二条A 商人在其商业过程中,参与或作为据其所知歧视购买者的竞争者的销售或销售合同的一方,因为给予该购买者的折扣、回扣、补贴或广告费高于此交易同时上述竞争者就相同等级、质量和数量的货物的销售可以获得的折扣、回扣、补贴或广告费;在美国任何地方以低于美国其他地方上述竞争者要求的价格销售、签订销售合同其目的为破坏竞争或铲除美国该地方的竞争者;或以不合理的低价销售、签订销售合同其目的为破坏竞争或铲除的竞争者,是非法的。
15 U.S.C. §13b: Cooperative association; return of net earnings or surplus
Nothing in sections 13 to 13b and 21a of this title shall prevent a cooperative association from returning to its members, producers, or consumers the whole, or any part of, the net earnings or surplus resulting from its trading operations, in proportion to their purchases or sales from, to, or through the association.
第二条B 本法第二条至第二条B以及第二十一条A不限制合作社根据其成员、生产者或顾客与合作社之间买卖或通过合作社买卖的比例给予他们全部或部分因商业运营产生的净收入或盈余
15 U.S.C. §13c: Exemption of non-profit institutions from price discrimination provisions
Nothing in sections 13 to 13b and 21a of this title, shall apply to purchases of their supplies for their own use by schools, colleges, universities, public libraries, churches, hospitals, and charitable institutions not operated for profit.
第二条C 本法第二条至第二条B以及第二十一条A不适用于学校、公共图书馆、教堂、医院和不盈利的慈善机构购买自用补给品。
15 U.S.C. §14: Sale, etc., on agreement not to use goods of competitor
It shall be unlawful for any person engaged in commerce, in the course of such commerce, to lease or make a sale or contract for sale of goods, wares, merchandise, machinery, supplies, or other commodities, whether patented or unpatented, for use, consumption, or resale within the United States or any Territory thereof or the District of Columbia or any insular possession or other place under the jurisdiction of the United States, or fix a price charged therefor, or discount from, or rebate upon, such price, on the condition, agreement, or understanding that the lessee or purchaser thereof shall not use or deal in the goods, wares, merchandise, machinery, supplies, or other commodities of a competitor or competitors of the lessor or seller, where the effect of such lease, sale, or contract for sale or such condition, agreement, or understanding may be to substantially lessen competition or tend to create a monopoly in any line of commerce.
第三条 商人在其商业过程中,不管商品是否授予专利,商品是为了在美国内、准州内、哥伦比亚区及美国司法管辖权下的属地及其它地域内使用、消费或零售、出租、销售或签订销售合同,是以承租人、买者不使用其竞争者的商品作为条件,予以固定价格,给予回扣,折扣,如果该行为实质上减少竞争或旨在形成商业垄断,是非法的。
15 U.S.C. §15: Suits by persons injured
(a) Amount of recovery; prejudgment interest
Except as provided in subsection (b) of this section, any person who shall be injured in his business or property by reason of anything forbidden in the antitrust laws may sue therefor in any district court of the United States in the district in which the defendant resides or is found or has an agent, without respect to the amount in controversy, and shall recover threefold the damages by him sustained, and the cost of suit, including a reasonable attorneys fee. The court may award under this section, pursuant to a motion by such person promptly made, simple interest on actual damages for the period beginning on the date of service of such persons pleading setting forth a claim under the antitrust laws and ending on the date of judgment, or for any shorter period therein, if the court finds that the award of such interest for such period is just in the circumstances. In determining whether an award of interest under this section for any period is just in the circumstances, the court shall consider only—whether such person or the opposing party, or either partys representative, made motions or asserted claims or defenses so lacking in merit as to show that such party or representative acted intentionally for delay, or otherwise acted in bad faith; whether, in the course of the action involved, such person or the opposing party, or either partys representative, violated any applicable rule, statute, or court order providing for sanctions for dilatory behavior or otherwise providing for expeditious proceedings; and
whether such person or the opposing party, or either partys representative, engaged in conduct primarily for the purpose of delaying the litigation or increasing the cost thereof.
第四条 (a)除本条(b)中另有规定,任何因反托拉斯法所禁止的事项而遭受财产或营业损害的人,可在被告居住的、被发现的、或有代理机构的区向美国区法院提起诉讼,不论损害大小,一律给予其损害额的三倍赔偿、诉讼费和合理的律师费。 法院可根据本条,就该人及时提出请求在其认为公正的情况下,裁定就实际损失支付单利,期间为自该人送达提出依据反垄断法请求的起诉书之日到判决之日,或更短的时间。在决定根据本条依情况就一定期间的利息裁定是否公正,法院应考虑:
(1)该人或其向对方,或任一方的代表是否提出毫无根据的请求或主张或抗辩显示出该方或代表是故意拖延或恶意行事;
(2)在诉讼当中,该人或其向对方,或任一方的代表是否违反任何适用的规定对迟延行为处罚或规定迅速进行程序的规则、法律或法院命令;和
(3)该人或其向对方,或任一方的代表是否进行主要目的为拖延诉讼或增加成本的行为。
(b) Amount of damages payable to foreign states and instrumentalities of foreign states
Except as provided in paragraph (2), any person who is a foreign state may not recover under subsection (a) of this section an amount in excess of the actual damages sustained by it and the cost of suit, including a reasonable attorneys fee.
Paragraph (1) shall not apply to a foreign state if—such foreign state would be denied, under section 1605(a) (2) of Title 28, immunity in a case in which the action is based upon a commercial activity, or an act, that is the subject matter of its claim under this section; such foreign state waives all defenses based upon or arising out of its status as a foreign state, to any claims brought against it in the same action;
such foreign state engages primarily in commercial activities; and
such foreign state does not function, with respect to the commercial activity, or the act, that is the subject matter of its claim under this section as a procurement entity for itself or for another foreign state.
(b)(1)除(2)中另有规定,外国不能根据本条(a)获得超过实际损失、诉讼费和合理的律师费的数额。
(2)(1)不应适用于外国,如:
(A)根据法28,1605(a) (2)条,该外国被拒绝就基于商业行为或其在本条下提出请求的行为提起诉讼的案件给予豁免权;
(B)在同一诉讼中,就针对它提起的任何请求,该外国放弃基于或由其作为外国的地位而产生的所有抗辩;
(C)该外国主要从事商业活动;和
(D)该外国就商业行为或其在本条下提出请求的行为不作为一个采购主体为自己或另一个外国行事。
(c) Definitions
For purposes of this section—the term "commercial activity" shall have the meaning given it in section 1603(d) of Title 28, and the term "foreign state" shall have the meaning given it in section 1603(a) of Title 28.
(c)为本条之目的,
(1)“商业活动”应为法28,1603(d)条赋予的意义,和
(2)“外国” 应为法28,1603(a)条赋予的意义。
15 U.S.C. §15a: Suits by United States; amount of recovery; prejudgment interest
Whenever the United States is hereafter injured in its business or property by reason of anything forbidden in the antitrust laws it may sue therefor in the United States district court for the district in which the defendant resides or is found or has an agent, without respect to the amount in controversy, and shall recover threefold the damages by it sustained and the cost of suit. The court may award under this section, pursuant to a motion by the United States promptly made, simple interest on threefold the damages for the period beginning on the date of service of the pleading of the United States setting forth a claim under the antitrust laws and ending on the date of judgment, or for any shorter period therein, if the court finds that the award of such interest for such period is just in the circumstances. In determining whether an award of interest under this section for any period is just in the circumstances, the court shall consider only—whether the United States or the opposing party, or either partys representative, made motions or asserted claims or defenses so lacking in merit as to show that such party or representative acted intentionally for delay or otherwise acted in bad faith; whether, in the course of the action involved, the United States or the opposing party, or either partys representative, violated any applicable rule, statute, or court order providing for sanctions for dilatory behavior or otherwise providing for expeditious proceedings;
whether the United States or the opposing party, or either partys representative, engaged in conduct primarily for the purpose of delaying the litigation or increasing the cost thereof; and
whether the award of such interest is necessary to compensate the United States adequately for the injury sustained by the United States.
第四条 A 无论何时美国因反托拉斯法所禁止的事项而遭受财产及事业的损害时,美国可在被告居住的、被发现的,或有代理机构的区向美国区法院提起诉讼,不论损害数额大小一律予以赔偿其遭受的实际损失和诉讼费。
15 U.S.C. §15b: Limitation of actions
Any action to enforce any cause of action under sections 15, 15a, or 15c of this title shall be forever barred unless commenced within four years after the cause of action accrued. No cause of action barred under existing law on the effective date of this Act shall be revived by this Act.
第四条 B 任何依据本法第四条、第四条A、或第四条C提起的诉讼,必须在诉讼事由产生后的四年内提出,否则,一律不予受理。 在本法生效之日根据现有法律不予受理的诉讼事由不因本法而成为可予以受理。
15 U.S.C. §15c: Actions by State attorneys general
(a) Parens patriae; monetary relief; damages; prejudgment interest. Any attorney general of a State may bring a civil action in the name of such State, as parens patriae on behalf of natural persons residing in such State, in any district court of the United States having jurisdiction of the defendant, to secure monetary relief as provided in this section for injury sustained by such natural persons to their property by reason of any violation of sections 1 to 7 of this title. The court shall exclude from the amount of monetary relief awarded in such action any amount of monetary relief (A) which duplicates amounts which have been awarded for the same injury, or (B) which is properly allocable to (i) natural persons who have excluded their claims pursuant to subsection (b) (2) of this section, and (ii) any business entity.
The court shall award the State as monetary relief threefold the total damage sustained as described in paragraph (1) of this subsection, and the cost of suit, including a reasonable attorneys fee. The court may award under this paragraph, pursuant to a motion by such State promptly made, simple interest on the total damage for the period beginning on the date of service of such States pleading setting forth a claim under the antitrust laws and ending on the date of judgment, or for any shorter period therein, if the court finds that the award of such interest for such period is just in the circumstances. In determining whether an award of interest under this paragraph for any period is just in the circumstances, the court shall consider only—whether such State or the opposing party, or either partys representative, made motions or asserted claims or defenses so lacking in merit as to show that such party or representative acted intentionally for delay or otherwise acted in bad faith; whether, in the course of the action involved, such State or the opposing party, or either partys representative, violated any applicable rule, statute, or court order providing for sanctions for dilatory behavior or otherwise providing for expeditious proceedings; and
whether such State or the opposing party, or either partys representative, engaged in conduct primarily for the purpose of delaying the litigation or increasing the cost thereof.
第四条 C (a)(1)州司法长作为政府监护人,代表其州内自然人的利益,可以本州的名义,向对被告有司法管辖权的美国区法院提起民事诉讼,以确保其自然人因他人违反谢尔曼法遭受的财产损失获得本节规定的金钱救济。法院将从该诉讼获得的金钱救济中,排除下列部分:(A)重复损害赔偿部分;(B)(i)归于自然人的部分,该自然人依据本节(b)(2)已放弃;(ii)归于任何商业实体的部分。
(2)作为金钱救济,法院将判给该州在本款(1)规定的总损害金额的三倍赔偿金,及诉讼费和合理的律师费。法院可根据本款,就该州及时提出请求在其认为公正的情况下,裁定就实际损失支付单利,期间为自该州送达提出依据反垄断法请求的起诉书之日到判决之日,或更短的时间。在决定根据本条依情况就一定期间的利息裁定是否公正,法院应考虑:
(A)该州或其向对方,或任一方的代表是否提出毫无根据的请求或主张或抗辩显示出该方或代表是故意拖延或恶意行事;
(B)在诉讼当中,该州或其向对方,或任一方的代表是否违反任何适用的规定对迟延行为处罚或规定迅速进行程序的规则、法律或法院命令;和
(C)该州或其向对方,或任一方的代表是否进行主要目的为拖延诉讼或增加成本的行为。
(b) Notice; exclusion election; final judgment. In any action brought under subsection (a) (1) of this section, the State attorney general shall, at such times, in such manner, and with such content as the court may direct, cause notice thereof to be given by publication. If the court finds that notice given solely by publication would deny due process of law to any person or persons, the court may direct further notice to such person or persons according to the circumstances of the case.
Any person on whose behalf an action is brought under subsection (a) (1) of this section may elect to exclude from adjudication the portion of the State claim for monetary relief attributable to him by filing notice of such election with the court within such time as specified in the notice given pursuant to paragraph (1) of this subsection.
The final judgment in an action under subsection (a) (1) of this section shall be res judicata as to any claim under section 15 of this title by any person on behalf of whom such action was brought and who fails to give such notice within the period specified in the notice given pursuant to paragraph (1) of this subsection.
(b)(1)在根据本节(a)(1)提起的诉讼中,州司法长要按照法院指定的时间、方式、内容,公开发布通知。若法院认为通知仅采用公开发布的形式使当事人不能享有法律的正当程序,法院可视案件的情况,指示对当事人再发通知。
(2)任何人对依本节(a)(1)代表其提起的诉讼中的利益,可按照(b)(1)制作的通知中规定的时间内,向法院提出选择通知,要求将州司法长所请求的金钱救济中归本人的那部分,免于判决。
(3)依据本节(a)(1)提起的诉讼的最终判决,将是对代表某人提出诉讼,该人却没有在本款(1)制作的通知中规定时间内提出选择通知的任何第15节项下诉讼请求的最终判决。
(c) Dismissal or compromise of action. An action under subsection (a) (1) of this section shall not be dismissed or compromised without the approval of the court, and notice of any proposed dismissal or compromise shall be given in such manner as the court directs.
(c)任何依据本节(a)(1)提起的诉讼,未经其法院批准,不能驳回或和解,上述意图诉讼驳回或和解的通知,要按照法院规定的方式给出。
(d) Attorneys fees. In any action under subsection (a) of this section—the amount of the plaintiffs attorneys fee, if any, shall be determined by the court; and the court may, in its discretion, award a reasonable attorneys fee to a prevailing defendant upon a finding that the State attorney general has acted in bad faith, vexatiously, wantonly, or for oppressive reasons.
(d)在任何依据本节(a)提起的诉讼中
(1)原告的律师费,如果有,将由法院决定。
(2)法院在其自由裁量权内,依据州司法长表现极差且任意无根据,或压制性原因,对于明显占优势的被告,给予合理的律师费。
15 U.S.C. §15d: Measurement of damages
In any action under section 15c(a) (1) of this title, in which there has been a determination that a defendant agreed to fix prices in violation of sections 1 to 7 of this title, damages may be proved and assessed in the aggregate by statistical or sampling methods, by the computation of illegal overcharges, or by such other reasonable system of estimating aggregate damages as the court in its discretion may permit without the necessity of separately proving the individual claim of, or amount of damage to, persons on whose behalf the suit was brought.
15 U.S.C. §15d: Measurement of damages
In any action under section 15c(a) (1) of this title, in which there has been a determination that a defendant agreed to fix prices in violation of sections 1 to 7 of this title, damages may be proved and assessed in the aggregate by statistical or sampling methods, by the computation of illegal overcharges, or by such other reasonable system of estimating aggregate damages as the court in its discretion may permit without the necessity of separately proving the individual claim of, or amount of damage to, persons on whose behalf the suit was brought.
第四条 D 在依据第四条c(a)(1)提起的任何诉讼中,要测定被告违反谢尔曼法,固定价格造成的损失,可通过统计的或抽样的方法累计计算,计算非法的过度收费,或采用法院在其自由裁量权内准许的、其它合理的估计累积损失的方法,不必单独证明个人请求的损失数量。
15 U.S.C. §15e: Distribution of damages
Monetary relief recovered in an action under section 15c(a) (1) of this title shall—be distributed in such manner as the district court in its discretion may authorize; orbe deemed a civil penalty by the court and deposited with the State as general revenues;
subject in either case to the requirement that any distribution procedure adopted afford each person a reasonable opportunity to secure his appropriate portion of the net monetary relief.
第四条 E 依据第四条(a)(1)提起诉讼,获得的金钱救济
(1)按照区法院在其自由裁量权内授权的方式分配。或
(2)由法院推定为民事处罚,作为一般收入由州存储。
上述每种情况所采用的分配方式要使每人都有合理的机会,以确保其能获得净金钱救济额的适当部分。
15 U.S.C. §15f: Actions by Attorney General
(a) Notification to State attorney general. Whenever the Attorney General of the United States has brought an action under the antitrust laws, and he has reason to believe that any State attorney general would be entitled to bring an action under this Act based substantially on the same alleged violation of the antitrust laws, he shall promptly give written notification thereof to such State attorney general.
(b) Availability of files and other materials. To assist a State attorney general in evaluating the notice or in bringing any action under this Act, the Attorney General of the United States shall, upon request by such State attorney general, make available to him, to the extent permitted by law, any investigative files or other materials which are or may be relevant or material to the actual or potential cause of action under this Act.
第四条 F (a)无论何时,美国司法部长根据反托拉斯法提起诉讼,并有理由确信州司法长有权依据本法,实质上基于已宣布的违反托拉斯法行为提起诉讼时,要立即向州司法长发出书面通知。
(b)为支持州司法长对通知进行评判或依据本法提起诉讼,美国司法部长应州司法长的要求,在法律准许的范围内,提供同该诉讼实际或潜在诉因相关或对其关系重大的调查性文件及其它材料。
15 U.S.C. §15g: Definitions
For the purposes of sections 15c, 15d, 15e, and 15f of this title:
The term "State attorney general" means the chief legal officer of a State, or any other person authorized by State law to bring actions under section 15c of this title, and includes the Corporation Counsel of the District of Columbia, except that such term does not include any person employed or retained on—a contingency fee based on a percentage of the monetary relief awarded under this section; or any other contingency fee basis, unless the amount of the award of a reasonable attorneys fee to a prevailing plaintiff is determined by the court under section 15c(d) (1) of this title.
The term "State" means a State, the District of Columbia, the Commonwealth of Puerto Rico, and any other territory or possession of the United States.
(3) The term "natural persons" does not include proprietorships or partnerships.
第四条 G 本法第四条C、第四条D、第四条E及第四条F中涉及的
(1)“州司法长”是指州的法律事务主要首长,或由州法授予依据本法第四条C提起诉讼的其他人,包括哥伦比亚区的公司顾问,下列人员不包括在内:
(A)用根据本节获得的金钱救济比例确定的胜诉酬金所雇佣、聘请的人。
(B)除去由法院根据第四条C(d)(1)决定的,对明显占优势原告的合理律师费外,根据其它胜诉酬金所雇佣或聘请的人。
(2)“州”是指美国各州、哥伦比亚区、波多黎各公共福利区、美国的准州及属地。
(3)“自然人”并不包括所有权和合伙关系。
15 U.S.C. §15h: Applicability of parens patriae actions
Sections 15c, 15d, 15e, 15f, and 15g of this title shall apply in any State, unless such State provides by law for its nonapplicability in such State.
第四条H 除非州法规定了该法在其州的不适用外,本法第四条C、D、E、F和G适用任何州。
15 U.S.C. §16 (Tunney Act): Judgments
(a) Prima facie evidence; collateral estoppel. A final judgment or decree heretofore or hereafter rendered in any civil or criminal proceeding brought by or on behalf of the United States under the antitrust laws to the effect that a defendant has violated said laws shall be prima facie evidence against such defendant in any action or proceeding brought by any other party against such defendant under said laws as to all matters respecting which said judgment or decree would be an estoppel as between the parties thereto: Provided, That this section shall not apply to consent judgments or decrees entered before any testimony has been taken. Nothing contained in this section shall be construed to impose any limitation on the application of collateral estoppel, except that, in any action or proceeding brought under the antitrust laws, collateral estoppel effect shall not be given to any finding made by the Federal Trade Commission under the antitrust laws or under section 45 of this title which could give rise to a claim for relief under the antitrust laws.
第五条 (a)由美国或代表美国提起的民事、刑事诉讼中,做出的被告违反反托拉斯法的最终判决或禁令,是由其他个人对上述被告依据上述法律提起的诉讼中的最初证据。当事人间对上述判决或禁令的各方面不能翻供。
本节不适用在听取证言以前做出的一致判决或禁令。
除了在依据反托拉斯法提起的任何诉讼或程序中,间接翻供效果不能用于联邦贸易委员会依据反托拉斯法和联邦贸易委员会法第五条所做的可以提起依据反垄断法的救济请求的决定外,本节不能用于对间接翻供施加限制。
(b) Consent judgments and competitive impact statements; publication in Federal Register; availability of copies to the public. Any proposal for a consent judgment submitted by the United States for entry in any civil proceeding brought by or on behalf of the United States under the antitrust laws shall be filed with the district court before which such proceeding is pending and published by the United States in the Federal Register at least 60 days prior to the effective date of such judgment. Any written comments relating to such proposal and any responses by the United States thereto, shall also be filed with such district court and published by the United States in the Federal Register within such sixty-day period. Copies of such proposal and any other materials and documents which the United States considered determinative in formulating such proposal, shall also be made available to the public at the district court and in such other districts as the court may subsequently direct. Simultaneously with the filing of such proposal, unless otherwise instructed by the court, the United States shall file with the district court, publish in the Federal Register, and thereafter furnish to any person upon request, a competitive impact statement which shall recite—the nature and purpose of the proceeding; a description of the practices or events giving rise to the alleged violation of the antitrust laws;
an explanation of the proposal for a consent judgment, including an explanation of any unusual circumstances giving rise to such proposal or any provision contained therein, relief to be obtained thereby, and the anticipated effects on competition of such relief;
the remedies available to potential private plaintiffs damaged by the alleged violation in the event that such proposal for the consent judgment is entered in such proceeding;
a description of the procedures available for modification of such proposal; and
a description and evaluation of alternatives to such proposal actually considered by the United States.
(b)在由美国提起或代表美国提起的民事诉讼中,美国向民事诉讼参加者提出的一致判决建议,应当在该判决生效之日的60天前,送至正在审理该案的区法院,并由美国在联邦注册簿上公布,任何对该建议的书面评论和美国对此评论做出的反应,也要送达区法院,由美国在该60天内,在联邦注册簿上予以公布,该建议和其它材料以及美国认为对形成该建议有决定性作用的文件,应当在该区法院使公众得以利用,或在法院随后指定的其它区使公众能够利用。随着建议的送达,除非有法院的其它指示,美国将向区法院送达竞争性影响说明书,并在联邦注册簿上予以公布,并应任何人的要求,提供给竞争性影响说明书。
该说明书包括
(1)诉讼的性质、目的。
(2)导致宣布违犯反托拉斯法的事件及行为。
(3)对一致判决建议的解释,包括导致该建议的不同寻常事件的解释、内容所包括的法律条款,由此所获得的救济,以及该救济对竞争的预期性影响。
(4)对因一致判决建议中涉及的事件而遭受损害的潜在私人原告的有效救济。
(5)修正上述建议的有效程序说明。
(6)由美国实际考虑的、该建议的其他替代的评价和说明。
(c) Publication of summaries in newspapers. The United States shall also cause to be published, commencing at least 60 days prior to the effective date of the judgment described in subsection (b) of this section, for 7 days over a period of 2 weeks in newspapers of general circulation of the district in which the case has been filed, in the District of Columbia, and in such other districts as the court may direct—a summary of the terms of the proposal for the consent judgment, a summary of the competitive impact statement filed under subsection (b) of this section,
and a list of the materials and documents under subsection (b) of this section which the United States shall make available for purposes of meaningful public comment, and the place where such materials and documents are available for public inspection.
(c)美国要至少在本节(b)所述判决生效之日前的60天内开始,在案件受理区、哥伦比亚区和法院指定的其它地区、在其普遍发行的报纸上,集中在两周的7天内登出。
对于(i)一致判决建议的条件总结;(ii)依据本节(b)提出的竞争性影响说明的总结;(iii)美国可以提供的使公众进行有目的的评论的本节(b)项下的材料及文件的清单,以及公众能够对这些材料及文件进行有效查阅的地方。
(d) Consideration of public comments by Attorney General and publication of response. During the 60-day period as specified in subsection (b) of this section, and such additional time as the United States may request and the court may grant, the United States shall receive and consider any written comments relating to the proposal for the consent judgment submitted under subsection (b) of this section. The Attorney General or his designee shall establish procedures to carry out the provisions of this subsection, but such 60-day time period shall not be shortened except by order of the district court upon a showing that (1) extraordinary circumstances require such shortening and (2) such shortening is not adverse to the public interest. At the close of the period during which such comments may be received, the United States shall file with the district court and cause to be published in the Federal Register a response to such comments.
(d)在本节(b)规定的60天内及美国要求和法院准许的额外时间内,美国将接受和考虑任何以书面形式提出的,同本节(b)规定的一致判决建议有关的评论。司法部长或其助理将确定执行本节规定的程序,但除了区法院依据(1)特别情形要求缩短时间;(2)该缩短同公众利益不矛盾外,60天的期限不能缩短。在接受评论期间届满,美国将该评论送达区法院,并在联邦注册簿上公布政府对此评论的反映。
(e) Public interest determination. Before entering any consent judgment proposed by the United States under this section, the court shall determine that the entry of such judgment is in the public interest. For the purpose of such determination, the court may consider—the competitive impact of such judgment, including termination of alleged violations, provisions for enforcement and modification, duration or relief sought, anticipated effects of alternative remedies actually considered, and any other considerations bearing upon the adequacy of such judgment; the impact of entry of such judgment upon the public generally and individuals alleging specific injury from the violations set forth in the complaint including consideration of the public benefit, if any, to be derived from a determination of the issues at trial.
(e)在做出由美国依据本节提出的一致判决之前,法院要确定该判决的发出是为了公众的利益。在确定中,法院可考虑:
(1)该判决的竞争性影响,包括宣布的违法行为的终止、执行和修正条款、寻求的救济和救济期间、实际考虑的替代性救济方法的预期效果、基于判决的适当性而做的其它考虑。
(2)作出该判决对公众的影响,对称因诉状中列明的违法行为而遭受损害的个人的影响,包括对通过庭审对争议作出决定而取得的公众利益(如有)的考虑。
(f) Procedure for public interest determination. In making its determination under subsection (e) of this section, the court may—take testimony of Government officials or experts or such other expert witnesses, upon motion of any party or participant or upon its own motion, as the court may deem appropriate; appoint a special master and such outside consultants or expert witnesses as the court may deem appropriate; and request and obtain the views, evaluations, or advice of any individual, group or agency of government with respect to any aspects of the proposed judgment or the effect of such judgment, in such manner as the court deems appropriate;
authorize full or limited participation in proceedings before the court by interested persons or agencies, including appearance amicus curiae, intervention as a party pursuant to the Federal Rules of Civil Procedure, examination of witnesses or documentary materials, or participation in any other manner and extent which serves the public interest as the court may deem appropriate;
review any comments including any objections filed with the United States under subsection (d) of this section concerning the proposed judgment and the responses of the United States to such comments and objections; and
take such other action in the public interest as the court may deem appropriate.
(f)在制作本节(e)规定的决定中,法院可以
(1)应当事人、参加者及法院的要求,法院如果认为合适,可获取政府官员,专家及其他证人的证词。
(2)法院认为合适,指定一专门负责人或专家和法院外的顾问,按照法院认定的适当方式、要求,获得任何人、集团、政府机构对上述判决及判决影响的各方面的观点评估及建议。
(3)授权利益相关的个人、机构全部或限制性地出席诉讼,包括协助法庭解释法律的人出庭,作为联邦民事程序规则规定的一方当事人的干预,文件材料的检查,或由法院认定的以其它方式和内容参加的诉讼。
(4)复审评论,包括对上述判决的目的,以及美国对该评论和目的反应。
(5)为了公众利益提起由法院认为合适的其它诉讼。
(g) Filing of written or oral communications with the district court. Not later than 10 days following the date of the filing of any proposal for a consent judgment under subsection (b) of this section, each defendant shall file with the district court a description of any and all written or oral communications by or on behalf of such defendant, including any and all written or oral communications on behalf of such defendant, or other person, with any officer or employee of the United States concerning or relevant to such proposal, except that any such communications made by counsel of record alone with the Attorney General or the employees of the Department of Justice alone shall be excluded from the requirements of this subsection. Prior to the entry of any consent judgment pursuant to the antitrust laws, each defendant shall certify to the district court that the requirements of this subsection have been complied with and that such filing is a true and complete description of such communications known to the defendant or which the defendant reasonably should have known.
(g)不迟于作出一致判决建议提出后10天内,每一被告要向区法院提供其本人或代表本人,同与该建议有关或负责该建议的美国官员及职员的通信说明(包括口头交换意见说明),但对由书记员同司法部长及司法部职员的通信除外。在一致判决作出之前,每一被告要向区法院证明该说明已编成,而且是被告已知或应该知道的通信的完全真实的说明。
(h) Inadmissibility as evidence of proceedings before the district court and the competitive impact statement. Proceedings before the district court under subsections (e) and (f) of this section, and the competitive impact statement filed under subsection (b) of this section, shall not be admissible against any defendant in any action or proceeding brought by any other party against such defendant under the antitrust laws or by the United States under section 15a of this title nor constitute a basis for the introduction of the consent judgment as prima facie evidence against such defendant in any such action or proceeding.
(h)根据本节(e)(f)在区法院进行的诉讼和根据本节(b)提出的竞争性影响说明,不能用来反对由任何其他当事人依据反托拉斯法提起的诉讼中、或由美国根据第四条A提起的诉讼中的原告,也不能用作反对该被告的初步证据,形成一致判决产生的基础。
(i) Suspension of limitations. Whenever any civil or criminal proceeding is instituted by the United States to prevent, restrain, or punish violations of any of the antitrust laws, but not including an action under section 15a of this title, the running of the statute of limitations in respect of every private or State right of action arising under said laws and based in whole or in part on any matter complained of in said proceeding shall be suspended during the pendency thereof and for one year thereafter: Provided, however, That whenever the running of the statute of limitations in respect of a cause of action arising under section 15 or 15c of this title is suspended hereunder, any action to enforce such cause of action shall be forever barred unless commenced either within the period of suspension or within four years after the cause of action accrued.
(i)无论何时,美国提起防止、限制、惩罚违反反托拉斯法行为的民事、刑事诉讼,但不包括依据本法第四条A提起的诉讼,在诉讼期间及其后一年,将中止限制性成文法对私人诉权、州诉权的运用,该诉权是基于上述反托拉斯法形成的,或部分上、全部地基于上述诉讼对象的各方面内容产生的。
但是,无论何时,在依据本法第四条或第四条C产生的诉因方面的限制性成文法,中止运用时,除非在中止期间或诉因产生后的4年内,任何要求执行诉因的起诉将不予受理。
15 U.S.C. §17: Antitrust laws not applicable to labor organizations
The labor of a human being is not a commodity or article of commerce. Nothing contained in the antitrust laws shall be construed to forbid the existence and operation of labor, agricultural, or horticultural organizations, instituted for the purposes of mutual help, and not having capital stock or conducted for profit, or to forbid or restrain individual members of such organizations from lawfully carrying out the legitimate objects thereof; nor shall such organizations, or the members thereof, be held or construed to be illegal combinations or conspiracies in restraint of trade, under the antitrust laws.
第六条 人的劳动不是商品或商业物品。反托拉斯法不限制那些为了互助、没有资本、不盈利的劳动组织、农业组织、园艺组织的存在和活动,也不限制或禁止其成员合法地实现该组织的合法目的。依据反托拉斯法,这些组织或成员,不是限制贸易的非法联合或共谋。
15 U.S.C. §18: Acquisition by one corporation of stock of another
No person engaged in commerce or in any activity affecting commerce shall acquire, directly or indirectly, the whole or any part of the stock or other share capital and no person subject to the jurisdiction of the Federal Trade Commission shall acquire the whole or any part of the assets of another person engaged also in commerce or in any activity affecting commerce, where in any line of commerce or in any activity affecting commerce in any section of the country, the effect of such acquisition may be substantially to lessen competition, or to tend to create a monopoly.
No person shall acquire, directly or indirectly, the whole or any part of the stock or other share capital and no person subject to the jurisdiction of the Federal Trade Commission shall acquire the whole or any part of the assets of one or more persons engaged in commerce or in any activity affecting commerce, where in any line of commerce or in any activity affecting commerce in any section of the country, the effect of such acquisition, of such stocks or assets, or of the use of such stock by the voting or granting of proxies or otherwise, may be substantially to lessen competition, or to tend to create a monopoly.
This section shall not apply to persons purchasing such stock solely for investment and not using the same by voting or otherwise to bring about, or in attempting to bring about, the substantial lessening of competition. Nor shall anything contained in this section prevent a corporation engaged in commerce or in any activity affecting commerce from causing the formation of subsidiary corporations for the actual carrying on of their immediate lawful business, or the natural and legitimate branches or extensions thereof, or from owning and holding all or a part of the stock of such subsidiary corporations, when the effect of such formation is not to substantially lessen competition.
Nor shall anything herein contained be construed to prohibit any common carrier subject to the laws to regulate commerce from aiding in the construction of branches or short lines so located as to become feeders to the main line of the company so aiding in such construction or from acquiring or owning all or any part of the stock of such branch lines, nor to prevent any such common carrier from acquiring and owning all or any part of the stock of a branch or short line constructed by an independent company where there is no substantial competition between the company owning the branch line so constructed and the company owning the main line acquiring the property or an interest therein, nor to prevent such common carrier from extending any of its lines through the medium of the acquisition of stock or otherwise of any other common carrier where there is no substantial competition between the company extending its lines and the company whose stock, property, or an interest therein is so acquired.
Nothing contained in this section shall be held to affect or impair any right heretofore legally acquired: Provided, That nothing in this section shall be held or construed to authorize or make lawful anything heretofore prohibited or made illegal by the antitrust laws, nor to exempt any person from the penal provisions thereof or the civil remedies therein provided.
Nothing contained in this section shall apply to transactions duly consummated pursuant to authority given by the Secretary of Transportation, Federal Power Commission, Surface Transportation Board, the Securities and Exchange Commission in the exercise of its jurisdiction under section 79j of this title, the United States Maritime Commission, or the Secretary of Agriculture under any statutory provision vesting such power in such Commission, Board, or Secretary.
第七条 从事商业或从事影响商业活动的任何人,不能直接间接取得其他从事商业或影响商业活动的人的全部或部分股票或其它资本份额。联邦贸易委员会管辖权下的任何人,不能取得其他从事商业或影响商业活动的人的全部或一部分资产,如果在该国任何商业领域或影响任何部门商业的活动中,该取得实质上减少竞争或旨在形成垄断。
如果股票、资产的取得,或通过投票或代理权的准许或其他方式而取得股票使用权,实质上减少竞争或旨在形成垄断,则任何人不得直接或间接地占有其他从事商业或影响商业活动的人(一人或一人以上)的股票或资本份额。联邦贸易委员会管辖权下的任何人,不能直接或间接地占有其他从事商业或影响商业活动的一人或数人的资产。
对于仅为了投资购买股票,而不是通过投票或其它方式使用该股票造成或企图造成竞争的实质性减少,本节不予适用。
如果从事商业或影响商业活动的公司,为了实际上,实现其合法经营组建子公司,或其自然的合法的分支机构,或予以扩大规模;或拥有子公司资产的一部或全部,其组建结果未在实质上减少竞争,本节将不予限制。
本节不禁止受管理商业法律控制的公共运输商资助建立作为公司主要干线的支线的分支或短线,也不禁止其拥有该分支或短线的部分或全部股票。
如果拥有主线的公司和拥有分支、短线的独立公司之间,不存在实质性竞争,本节不限制公共运输商取得或拥有由独立公司建立的分支或短线的部分或全部股票。
如果扩大其运输线的公司和其股票、财产、利息被取得的公司之间,不存在实质性竞争,公共运输商可通过对另一公共运输商股票及其它资产的取得,扩大其运输线。
本节不影响或侵害依法获取的权利。本节不能用来将从前由反托拉斯法禁止或定为非法的变为合法,也不能使任何人免于反托拉斯法的处罚或获得民事救济。
对于基于下列委员会(局)授权完成的交易,本节不适用:交通部部长、联邦电力委员会、地面交通委员会、证券交易委员会依据《1935年公共设施控股公司法》第10条在其管辖权内的授权、美国海运委员会、农业局根据任何对上述委员会、局等授权的成文法的规定。
15 U.S.C. §18a: Premerger notification and waiting period
(a) Filing except as exempted pursuant to subsection (c) of this section, no person shall acquire, directly or indirectly, any voting securities or assets of any other person, unless both persons (or in the case of a tender offer, the acquiring person) file notification pursuant to rules under subsection (d) (1) of this section and the waiting period described in subsection (b) (1) of this section has expired, if—the acquiring person, or the person whose voting securities or assets are being acquired, is engaged in commerce or in any activity affecting commerce;
any voting securities or assets of a person engaged in manufacturing which has annual net sales or total assets of $10,000,000 or more are being acquired by any person which has total assets or annual net sales of $100,000,000 or more;
any voting securities or assets of a person not engaged in manufacturing which has total assets of $10,000,000 or more are being acquired by any person which has total assets or annual net sales of $100,000,000 or more; or
any voting securities or assets of a person with annual net sales or total assets of $100,000,000 or more are being acquired by any person with total assets or annual net sales of $10,000,000 or more; and
as a result of such acquisition, the acquiring person would hold—15 per centum or more of the voting securities or assets of the acquired person, or an aggregate total amount of the voting securities and assets of the acquired person in excess of $15,000,000.
In the case of a tender offer, the person whose voting securities are sought to be acquired by a person required to file notification under this subsection shall file notification pursuant to rules under subsection (d) of this section.
第七条A (a)除本节(c)规定的豁免外,任何人除双方(若是招标则取得方)依据本节(d)(1)规定的准则提出说明并且本节(b)(1)规定的等待期已过外,下述情形下不得直接或间接地取得其他人的投票权证券或资产,如果(1)取得人或投票权证券、资产被取得的人是从事商业或从事影响商业的活动。(2)(A)拥有总资产或年净销售额1亿美元以上的人,取得另一家年净销售额或总资产1千万美元以上的制造业公司的投票权证券或资产;(2)(B)拥有总资产或年净销售额1亿美元以上的人,取得另一家总资产1千万美元以上的非制造业公司的投票或证券或资产。(2)(C)拥有总资产或年净销售额1千万美元以上的人,取得另一家总资产或年净销售额1亿美元以上的人的投票权证券或资产。(3)由于上述取得,取得方将拥有(A)被占有人的15%以上的投票权证券或资产。 或
(B)被取得人累积的投票权证券或资产总额超过一千五百万美元。
在招标中,一人的投票权证券被依据本款需提出说明的人取得,被取得方应根据本节(1)提出说明。
(b) Waiting period; publication; voting securities. The waiting period required under subsection (a) of this section shall—begin on the date of the receipt by the Federal Trade Commission and the Assistant Attorney General in charge of the Antitrust Division of the Department of Justice (hereinafter referred to in this section as the "Assistant Attorney General") of—i. the completed notification required under subsection (a) of this section, or; ii. if such notification is not completed, the notification to the extent completed and a statement of the reasons for such noncompliance,
from both persons, or, in the case of a tender offer, the acquiring person; and
end on the thirtieth day after the date of such receipt (or in the case of a cash tender offer, the fifteenth day), or on such later date as may be set under subsection (e) (2) or (g) (2) of this section.
The Federal Trade Commission and the Assistant Attorney General may, in individual cases, terminate the waiting period specified in paragraph (1) and allow any person to proceed with any acquisition subject to this section, and promptly shall cause to be published in the Federal Register a notice that neither intends to take any action within such period with respect to such acquisition.
(3) As used in this section--
The term "voting securities" means any securities which at present or upon conversion entitle the owner or holder thereof to vote for the election of directors of the issuer or, with respect to unincorporated issuers, persons exercising similar functions.
The amount or percentage of voting securities or assets of a person which are acquired or held by another person shall, be determined by aggregating the amount or percentage of such voting securities or assets held or acquired by such other person and each affiliate thereof.
(b)(1)本节(a)规定的等待期
(A)从联邦贸易委员会和负责司法部反托拉斯处的司法部长助理(本节以下称“司法部长助理”)收到双方(i)根据本节(a)已完成的说明开始;(ii)如果该说明没有完成,从收到完成的程度和未完成的原因的说明时开始。如果是招标,从收到受购人的上述说明开始。
(B)在收到上述说明后的30天(现金招标情形,为15天)结束,或根据本节(e)(2)或(g)(2)确定的更迟日期。
(2)在个案中,联邦贸易委员会和司法部长助理可以终止本节(b)(1)规定的等待期。准许任何人在本节的约束下进行任何取得,并迅速地在联邦注册簿上发布通知:指明两方均不准备对上述取得在上述期间内采取任何行动。
(3)本节所用的
(A)“投票权证券”是指在目前或将来转换后,赋予证券所有人、持有人,有权选举发行者的董事,或在非公司发行者的情况下具有相同职能的人。
(B)根据取得人和每个分支机构所取得他人资产或投票权证券的累计数量、比例,来确定其取得量。
(c) Exempt transactions. The following classes of transactions are exempt from the requirements of this section--
acquisitions of goods or realty transferred in the ordinary course of business;
acquisitions of bonds, mortgages, deeds of trust, or other obligations which are not voting securities;
acquisitions of voting securities of an issuer at least 50 per centum of the voting securities of which are owned by the acquiring person prior to such acquisition;
transfers to or from a Federal agency or a State or political subdivision thereof;
transactions specifically exempted from the antitrust laws by Federal statute;
transactions specifically exempted from the antitrust laws by Federal statute if approved by a Federal agency, if copies of all information and documentary material filed with such agency are contemporaneously filed with the Federal Trade Commission and the Assistant Attorney General;
transactions which require agency approval under section 1467a(e) of Title 12, section 1828(c) of Title 12, or section 1842 of Title 12;
transactions which require agency approval under section 1843 of Title 12 or section 1464 of Title 12, if copies of all information and documentary material filed with any such agency are contemporaneously filed with the Federal Trade Commission and the Assistant Attorney General at least 30 days prior to consummation of the proposed transaction;
acquisitions, solely for the purpose of investment, of voting securities, if, as a result of such acquisition, the securities acquired or held do not exceed 10 per centum of the outstanding voting securities of the issuer;
acquisitions of voting securities, if, as a result of such acquisition, the voting securities acquired do not increase, directly or indirectly, the acquiring persons per centum share of outstanding voting securities of the issuer;
acquisitions, solely for the purpose of investment, by any bank, banking association, trust company, investment company, or insurance company, of (A) voting securities pursuant to a plan of reorganization or dissolution; or (B) assets in the ordinary course of its business; and
such other acquisitions, transfers, or transactions, as may be exempted under subsection (d) (2) (B) of this section.
(C)本节不适用下列交易。
(1)通过一般商业渠道交易取得不动产及货物。
(2)债券、抵押权、信托契约或其它不是投票权证券的取得。
(3)对发行人投票权证券的取得,在取得之前,至少该投票权证券的50%由取得人所有。
(4)从联邦机构、或州及其政治性分支机构转进转出的转让交易。
(5)联邦成文法规定的免于反托拉斯法的交易。
(6)联邦成文法规定的如经联邦机构批准、如提供给该机构的所有信息,文件性资料,同时地提交联邦贸易委员会和司法部长助理,就免于反托拉斯法的交易。
(7)联邦储备保险法第18条C规定的机构所要求的交易,或1935年银行控股法规定的机构所批准的交易。
(8)经下列机构批准的交易,提供给上述机构的所有信息和文件性证据,副本要同时在上述交易完成前的30天送交联邦贸易委员会和司法部长助理。1956年银行控股法第4节;全国住宅法第403节或408节(e),或1933年住宅所有者贷款法案第5节规定的机构。
(9)仅为了投资而取得投资权证券,取得的结果并未使所拥有或持有的证券超过发行者在外发行投票权证券的10%。
(10)投票权证券取得的结果,并不直接或间接地增加取得人占发行者投票权证券数额的百分比的交易。
(11)仅仅为了投资,由银行、银行协会、信托公司、投资公司或保险公司(A)依据重组或解散计划取得的投票权证券;(B)按照其一般商业渠道取得的资产。
(12)依据本节(d)(2)(B)豁免的其它取得、转让,或交易。
(d) Commission rules. The Federal Trade Commission, with the concurrence of the Assistant Attorney General and by rule in accordance with section 553 of Title 5, consistent with the purposes of this section—shall require that the notification required under subsection (a) of this section be in such form and contain such documentary material and information relevant to a proposed acquisition as is necessary and appropriate to enable the Federal Trade Commission and the Assistant Attorney General to determine whether such acquisition may, if consummated, violate the antitrust laws; and may—define the terms used in this section; exempt, from the requirements of this section, classes of persons, acquisitions, transfers, or transactions which are not likely to violate the antitrust laws; and
prescribe such other rules as may be necessary and appropriate to carry out the purposes of this section.
(d)联邦贸易委员会,经司法部长助理同意和依据《美国法典》第五篇第553节确定的原则,为实施本节
(1)为了使联邦贸易委员会和司法部长助理能够决定,上述取得是否违反反托拉斯法,联邦贸易委员会应规定依据本节(a)提出的说明的形式、内容,同上述取得相关的文件性材料及信息。
(2)可以:
(A)决定使用的术语的含义。
(B)使那些不可能违反反托拉斯法的交易、转让、取得及个人免于本节的管辖。
(C)为实现本节的目地,制定必需的和适宜的规则。
(e) Additional information; waiting period extensions. The Federal Trade Commission or the Assistant Attorney General may, prior to the expiration of the 30-day waiting period (or in the case of a cash tender offer, the 15-day waiting period) specified in subsection (b) (1) of this section, require the submission of additional information or documentary material relevant to the proposed acquisition, from a person required to file notification with respect to such acquisition under subsection (a) of this section prior to the expiration of the waiting period specified in subsection (b) (1) of this section, or from any officer, director, partner, agent, or employee of such person.
The Federal Trade Commission or the Assistant Attorney General, in its or his discretion, may extend the 30-day waiting period (or in the case of a cash tender offer, the 15-day waiting period) specified in subsection (b) (1) of this section for an additional period of not more than 20 days (or in the case of a cash tender offer, 10 days) after the date on which the Federal Trade Commission or the Assistant Attorney General, as the case may be, receives from any person to whom a request is made under paragraph (1), or in the case of tender offers, the acquiring person, (A) all the information and documentary material required to be submitted pursuant to such a request, or (B) if such request is not fully complied with, the information and documentary material submitted and a statement of the reasons for such noncompliance. Such additional period may be further extended only by the United States district court, upon an application by the Federal Trade Commission or the Assistant Attorney General pursuant to subsection (g) (2) of this section.
(e)(1)联邦贸易委员会或司法部长助理,在本节(b)(1)规定的30天等待期(现金招标是15天的等待期)结束之前,可要求被要求就本节(a)的取得提出说明的人,或该人的管理人员、董事、合伙人、代理人、雇员,在本节(b)(1)规定的等待期结束之前提供同上述取得相关的其它信息和文件性材料。
(2)联邦贸易委员会和司法部长助理,在其自由裁量权内,在收到根据上段被要求的人(现金招标中、取得人)
(A)根据该要求提供的所有的被要求信息及文件性材料。
(B)如果所要提供的信息和材料没有编完,收到提供的信息、文件性材料及未完成的原因说明。
可以将本节(b)(1)规定的30天等待期(现金招标是15天的等待期)予以增加,但不应超过20天(现金招标中,不超过10天)。联邦贸易委员会或司法部长助理依据本节(g)(2)请求,该期限经美国区法院批准可进一步增加。
(f) Preliminary injunctions; hearings. If a proceeding is instituted or an action is filed by the Federal Trade Commission, alleging that a proposed acquisition violates section 18 of this title, or section 45 of this title, or an action is filed by the United States, alleging that a proposed acquisition violates such section 18 of this title, or section 1 or 2 of this title, and the Federal Trade Commission or the Assistant Attorney General (1) files a motion for a preliminary injunction against consummation of such acquisition pendente lite, and (2) certifies the United States district court for the judicial district within which the respondent resides or carries on business, or in which the action is brought, that it or he believes that the public interest requires relief pendente lite pursuant to this subsection, then upon the filing of such motion and certification, the chief judge of such district court shall immediately notify the chief judge of the United States court of appeals for the circuit in which such district court is located, who shall designate a United States district judge to whom such action shall be assigned for all purposes.
(f)如果联邦贸易委员会起诉,宣布上述取得违反了本法第7条,联邦贸易委员会法第5条;或美国起诉,上述取得违反了本法第7条和谢尔曼法第1条或第2条,联邦贸易委员会和司法部长助理要(1)在待决诉讼期间,请求对该取得的完成预先禁止;(2)向被诉人居住、经营、或诉讼提起的区法院证明,在待决诉讼期间,依据本节公众利益需要救济。依据联邦贸易委员会或司法部长助理的请求和证明,区法院的首席法官要迅速通知该法院所在的区巡回上诉法院的大法官,该法官指定一名区法官全权负责该诉讼。
(g) Civil penalty; compliance; power of court. Any person, or any officer, director, or partner thereof, who fails to comply with any provision of this section shall be liable to the United States for a civil penalty of not more than $10,000 for each day during which such person is in violation of this section. Such penalty may be recovered in a civil action brought by the United States.
If any person, or any officer, director, partner, agent, or employee thereof, fails substantially to comply with the notification requirement under subsection (a) of this section or any request for the submission of additional information or documentary material under subsection (e) (1) of this section within the waiting period specified in subsection (b) (1) of this section and as may be extended under subsection (e) (2) of this section, the United States district court—may order compliance; shall extend the waiting period specified in subsection (b) (1) of this section and as may have been extended under subsection (e) (2) of this section until there has been substantial compliance, except that, in the case of a tender offer, the court may not extend such waiting period on the basis of a failure, by the person whose stock is sought to be acquired, to comply substantially with such notification requirement or any such request; and
may grant such other equitable relief as the court in its discretion determines necessary or appropriate,
upon application of the Federal Trade Commission or the Assistant Attorney General.
(g)(1)任何人、或其管理人员、董事、合伙人等,若不遵守本规定,对其违反本法的每一天罚以10000美元以下的民事处罚,该处罚可由美国以民事诉讼方式获得。
(2)如果任何人、或其管理人员、合伙人、代理人或雇员等,实质上不遵守本节(a)规定的说明的要求,或其它依据本节(e)(1),在本节(b)(1)特别规定的等待期内提供其它信息及文件性材料的要求,以及在依据本节(e)(2)延长等待期后又不能的,美国区法院在联邦贸易委员会或司法部长助理申请时:
(A)可命令服从。
(B)应延长本节(b)(1)规定的等待期或根据(e)(2)可予以延长等待期,至到实质性完成上(g)(2)述要求。但是在现金招标中法院不能根据被取得方不能实质性地完成(规定的)说明或要求,而予以延长等待期。
(C)依据其自由裁量权,准许其它方式的衡平救济。
(h) Disclosure exemption. Any information or documentary material filed with the Assistant Attorney General or the Federal Trade Commission pursuant to this section shall be exempt from disclosure under section 552 of Title 5, and no such information or documentary material may be made public, except as may be relevant to any administrative or judicial action or proceeding. Nothing in this section is intended to prevent disclosure to either body of Congress or to any duly authorized committee or subcommittee of the Congress.
(h)根据本节提供给联邦贸易委员会或司法部长助理的任何信息、文件性材料,依据《美国法典》第五篇第552条免于泄露、公开,同行政诉讼或司法诉讼相关的部分除外。该规定不限制将上述材料向国会、经依法授权的国会下属委员会及的委员会公开。
(i) Construction with other laws. Any action taken by the Federal Trade Commission or the Assistant Attorney General or any failure of the Federal Trade Commission or the Assistant Attorney General to take any action under this section shall not bar any proceeding or any action with respect to such acquisition at any time under any other section of this Act or any other provision of law.
Nothing contained in this section shall limit the authority of the Assistant Attorney General or the Federal Trade Commission to secure at any time from any person documentary material, oral testimony, or other information under the Antitrust Civil Process Act [15 U.S.C.A. § 1311 et seq.], the Federal Trade Commission Act [15 U.S.C.A. § 41 et seq.], or any other provision of law.
(i)(1)联邦贸易委员会和司法部长助理依据本节提起诉讼与否,并不限制、取消,依据本法的其它条或其它法律规定,随时对该取得提起诉讼。
(2)本节规定不限制联邦贸易委员会,司法部长助理随时依据《反托拉斯民事诉讼法》,《联邦贸易委员会法》或其它法律规定,向任何人随时获取文件性材料、口头证据或其它信息。
(j) Report to Congress; legislative recommendations. Beginning not later than January 1, 1978, the Federal Trade Commission, with the concurrence of the Assistant Attorney General, shall annually report to the Congress on the operation of this section. Such report shall include an assessment of the effects of this section, of the effects, purpose, and need for any rules promulgated pursuant thereto, and any recommendations for revisions of this section.
(j)不迟于1978年1月1日始,联邦贸易委员会经司法部长助理同意,每年向国会报告本节的运用情况。该报告包括对本节效果的估计、依据本节制定的规则的目的、效果及必要性,修改本节的任何建议。
15 U.S.C. §19: Interlocking directorates and officers
(a)(1) No person shall, at the same time, serve as a director or officer in any two corporations (other than banks, banking associations, and trust companies) that are—engaged in whole or in part in commerce; and by virtue of their business and location of operation, competitors, so that the elimination of competition by agreement between them would constitute a violation of any of the antitrust laws;
if each of the corporations has capital, surplus, and undivided profits aggregating more than $10,000,000 as adjusted pursuant to paragraph (5) of this subsection.
(2) Notwithstanding the provisions of paragraph (1), simultaneous service as a director or officer in any two corporations shall not be prohibited by this section if—the competitive sales of either corporation are less than $1,000,000, as adjusted pursuant to paragraph (5) of this subsection; the competitive sales of either corporation are less than 2 per centum of that corporations total sales; or
the competitive sales of each corporation are less than 4 per centum of that corporations total sales.
For purposes of this paragraph, "competitive sales" means the gross revenues for all products and services sold by one corporation in competition with the other, determined on the basis of annual gross revenues for such products and services in that corporations last completed fiscal year. For the purposes of this paragraph, "total sales" means the gross revenues for all products and services sold by one corporation over that corporations last completed fiscal year.
The eligibility of a director or officer under the provisions of paragraph (1) shall be determined by the capital, surplus and undivided profits, exclusive of dividends declared but not paid to stockholders, of each corporation at the end of that corporations last completed fiscal year.
For purposes of this section, the term "officer" means an officer elected or chosen by the Board of Directors.
For each fiscal year commencing after September 30, 1990, the $10,000,000 and $1,000,000 thresholds in this subsection shall be increased (or decreased) as of October 1 each year by an amount equal to the percentage increase (or decrease) in the gross national product, as determined by the Department of Commerce or its successor, for the year then ended over the level so established for the year ending September 30, 1989. As soon as practicable, but not later than January 31 of each year, the Federal Trade Commission shall publish the adjusted amounts required by this paragraph.
第八条 (a)(1)任何人不得同时任两家或多家公司(除银行、银行联合会,信托公司)的董事或管理人员,如依据本款(5)调整后,每家公司其资产、盈余、未分配的利润累计超过一千万美元,且。
(A)其中任何一家上述公司部分地或整体的从事商业;和
(B)根据公司的业务、经营地点、竞争者,它们间任何消灭竞争的协议,将构成是对反托拉斯法的任何条款的违反。
(2)尽管有(1)的规定,同时任两家或多家公司的董事或管理人员不应被本节禁止,如
(A)如依据本款(5)调整后,任一公司的竞争规模小于一百万美元;
(B)任一公司的竞争规模少于该公司的总销售额2%;或
(C)每个公司的竞争规模少于该公司的总销售额4%。
为本段之目的,“竞争规模”指一公司出售的与另一个公司竞争的所有产品和服务的毛收入,这根据该公司上一个完整会计年度上述产品和服务的年毛收入确定。部分地或整体地从事商业。银行、银行联合会,信托公司
(3)(1)规定的根据公司的性质、经营位置,如果公司是或将成为竞争者,那么公司间任何消灭竞争的协议,将构成是对任何反托拉斯法的任何条款的违反。董事或管理人员的合适人选应当由每个公司的上一个完整会计年度未累计的资本、盈余、未分配的利润,已宣布却未支付给股票持有者的红利除外来决定。
(4)为本节之目的,“管理人员”指董事会选任的管理人员。
(5)1990年9月30日后的每个财政年度,本款一千万和一百万的临界应在每年的10月1日进行提高(或降低),其数额相当于国民生产总值增加或减少的百分,这由商务部或其承继者为将结束的该年基于1989年9月30日的水平确定。在实际可行的最早日期,但不迟于每年的1月31日,联邦贸易委员会应公布本段要求调整的数额。
(b) When any person elected or chosen as a director or officer of any corporation subject to the provisions hereof is eligible at the time of his election or selection to act for such corporation in such capacity, his eligibility to act in such capacity shall not be affected by any of the provisions hereof by reason of any change in the capital, surplus and undivided profits, or affairs of such corporation from whatever cause, until the expiration of one year from the date on which the event causing ineligibility occurred.
(b)依据本法规定已选举为或被指定为公司董事或管理人员的人,如在其选举期内为该公司以该身份工作是合适的。在造成不适宜的事由发生后一年之后,其任职的适宜性不因任何原因导致的资本、盈余、未分配的利润的变化受本规定的影响。
第九条 从事商业的公共运输商,其董事会董事长、董事、经理、经销主任或特定交易的代理人,若同时是另一家公司、合伙、协会的董事、经理、经销主任,或有其实质性的利益,则公共运输商不得与另一家公司进行年累计额超过50,000美元的任何建筑、保修合同。不得进行证券交易,供应商品交易或其它商业物品交易。若上述交易是同最有利于公共运输商的投标人做的,或由该投标人完成的,依据竞争性投标规则或由州际商业委员会查明,则上述交易除外。除了投标人的名字、地址,或者公司投标人的董事、经理、总经理的名字地址(若合伙投标,其成员的名字和地址)随标给出外,不能接受投标。
任何人直接或间接地阻止或企图阻止投标人之间的公平竞争,或想投标人之间的公平竞争,或者阻止投标,将对其施以与本节规定的对董事或行政官员的相同处罚。
公共运输商,拥有上述交易或进行这种购买,要在该交易完成后的30天内,向州际商业委员会,提交一份全面详尽的报告,证明该交易是竞争性投标交易,其内容包括投标人、公司董事、经理及其他负责人的名字、地址、公司的成员及合伙投标,州际商业委员会在调查、听证后,确信上述交易违反法律时,要把关于上述交易的所有文件、自己的意见或调查,送达司法部长。
公共运输商违反本节,将处以不超过25,000美元的罚款,经理、代理人、部门经理等,若投票支持,帮助或直接参加这一违法行为,以轻罪论处,其罚款不超过5000美元,监禁不超过一年,或由法院酌情两种处罚并用。
15 U.S.C. §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 the Federal Aviation Act of 1958 [49 App. U.S.C.A. § 1301 et seq.]; 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:
第十条(a)依据本法第二、三、七、八条提起诉讼的权力,分别授予:
州际商业委员会负责《州际商业法》规定的公共运输商。
联邦通讯委员会负责无线电通讯、电缆通讯、能源的无线传输。
国内民航局负责空运公司、依据《1938年国内民航法》规定的外国空运商。
联邦储备委员会负责银行、银行联合会、信托公司。
联邦贸易委员会负责其它起诉。
(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.
(b)当具有司法管辖权的委员会、局,有理由确信某人正在违反或已违反本法第二、三、七、八条时,将发出和送达此人和司法部长起诉状,说明起诉的内容,内含在诉状送达后的30天内某天某地进行审理的通知。被告有权在确定的时间、地点出庭标明,为什么委员会(局)不该要求此人停止起诉的违反行为、司法部长有权出庭和干预该诉讼,任何人依据经委员会(局)批准的充足理由,提出申请,依本人或律师身份出庭和参与该诉讼。依据审理,如果委员会(局)认为此人已违反或正在违反本法,将提出书面报告,讲明其对事实的调查结果,同时向此人发布命令,要求停止违反,并按照命令规定的方式、时间剥夺此人所拥有的股票、资产、资本份额,或免除同本法第七、八条规定相抵触选定的经理的职务。在准许提请复审期结束之前,如果在该期内未提出申请,或复审请求是在诉讼记录上交上诉法院之前,委员会(局)可随时依据上述通知和其认为合适的方式,部分或全部地修改、废止其依据本节发出的报告或命令。若申请复审期已过,没有提出复审请求的,委员会(局),认为事件条件和法律变化要求重审,或公众利益要求重审在安排审理的机会及通知发出后,可随时重新制作改变、修正、或废止其根据本节所做报告、命令的一部分或全部。上述当事人,在传票送达后的60天内或重新审理的报告、命令送达后60天内,可依据本节(c)的规定,获得美国上诉法院的复审。
(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.
(c)委员会(局)命令要求停止侵犯行为的人,在停止令送达后的60天,用书面形式,在其居住、经营、侵犯行为发生地,向该区的美国巡回上诉法院提出申辩书,要求废止委员会(局)的命令。申辩书副本应由法院职员送达委员会(局),依据申辩书,法院有诉讼管辖权,并在诉讼记录提出之前,同委员会(局)共同裁决,法院有权发布确认、修正、废止委员会命令或禁令。有权执行已经确认了的命令,也可发传票作为其司法管辖权的附属,也可在诉讼期间防止违法行为对公众及竞争者的伤害。
关于事实,如果有实质性证据的支持,委员会的调查是终局调查。
当委员会(局)的命令被确认时,法院将发布自己的命令,要求当事人遵守委员会的命令,如果当事人提出申请,要求增加证据,并已向法院标明,增加的证据是有关的,以及为什么在诉讼之前去提出该证据的合理理由,法院可命令将增加的证据提交委员会(局),并加到委员会(局)进行的审理中。根据新增的证据委员会可修正其事实方面的调查,或重新进行调查,该调查若有实质性证据的支持,将是终局性的。关于修改或废止原先调查的建议,以及新增加的证据也是终局性的,除了最高法院依据《美国法典》第28篇第1254节复审外,法院的审理判决和禁令是终局性的。
(d) Exclusive jurisdiction of Court of Appeals. Upon the filing of the record with it the jurisdiction of the court of appeals to affirm, enforce, modify, or set aside orders of the commission, board, or Secretary shall be exclusive.
(d)上诉法院确认、执行、修正或废止委员会(局)命令的司法管辖权,是排它性的、专有的。
(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.
(e)上诉法院对上述诉讼要(比其它诉讼)优先处理,并加快处理。委员会(局)命令或法院执行委员会命令的判决,不能免于任何人基于反托拉斯法所承担的责任。
(f) Service of complaints, orders and other processes. Complaints, orders, and other processes of the commission, board, or Secretary under this section may be served 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.
(f)委员会(局)的诉状、命令或其它诉讼材料,可由委员会(局)授权的人送达下列人员:①把副本送达当事人、合伙成员、总经理、主任或其他高级职员;②把副本送达当事人的主要营业所、居住所;③邮寄到当事人的居所或主要营业所。上述副本的送达回执是副本已送达的证据,邮局开的收据也是上述诉状、命令,其它文件送达的证据。
(g) Finality of orders generally. Any order issued under subsection (b) of this section shall become final—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 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
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
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.
(g)任何依据本条(b)发布的命令,在下列条件下是终局性的。
(1)申请复审期内,没有提出申请的。
(2)申请调取下级法院卷宗期内,委员会(局)的命令已得到确认,或复审申请已被上诉法院驳回,且没有提出申请,要调取下级法院的卷宗。
(3)委员会的命令已被确认,或复审请求已被驳回,委员会作出的否认申请调取卷宗的命令。
(4)如果最高法院指示,委员会(局)的命令已被确认,或复审请求被驳回,在最高法院发布训令的30天内,委员会(局)做出的命令。
(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.
(h)如果最高法院指示,委员会的命令已被确认或废止,委员会(局)根据最高法院训令、作出的命令在其作出30天后,成为终局性的;但如果在此30天内,当事人提出诉讼,要求根据最高法院的训令纠正该命令,则委员会(局)因此修改后的命令,是终局性的。
(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.
(i)如果最高法院要求重审,或上诉法院将案件发回委员会重审,如果①准许申请调取下级法院卷宗的期限已过,且没有提出此类申请;②申请已被否决;③法院的判决已由最高法院确认,由此依据重审令提出的委员会(局)的命令是终局性的,即使委员会先前没有发布命令。
(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.
(j)这里的“训令”,若在其发出后的30天内收回,是指最后训令。
(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.
(k)任何人违反委员会发布的已生效的终局性命令,对其每一违反行为将处以500美元以下的民事处罚,该处罚可以美国的民事诉讼方式提起。除由于持续性不遵从或忽视委员会(局)的最终命令,每持续一天指定为单独违反外,对该命令的每一单独违反,都是一单独的罪行。
15 U.S.C. §22: District in which to sue corporation
Any suit, action, or proceeding under the antitrust laws against a corporation may be brought not only in the judicial district whereof it is an inhabitant, but also in any district wherein it may be found or transacts business; and all process in such cases may be served in the district of which it is an inhabitant, or wherever it may be found.
第十一条 依据反托拉斯法对公司提起的诉讼,不仅可以在其作为居民的司法区,也可在公司违反行为被发现或经营的区提起,所有诉讼材料(诉状)可以送达其作为居民的区,也可送达其行为被发现的区。
15 U.S.C. §23: Suits by United States; subpoenas for witnesses
In any suit, action, or proceeding brought by or on behalf of the United States subpoenas for witnesses who are required to attend a court of the United States in any judicial district in any case, civil or criminal, arising under the antitrust laws may run into any other district: Provided, That in civil cases no writ of subpoena shall issue for witnesses living out of the district in which the court is held at a greater distance than one hundred miles from the place of holding the same without the permission of the trial court being first had upon proper application and cause shown.
第十二条 在由美国或代理提起的任何诉讼中,证人传票可以送达其它区。该证人可被要求在依据反托拉斯法提起的民事或刑事案中,在任何司法区出庭。
在任何民事诉讼中,对于居住在法院所在区一百英里以外的证人,未经审理法院根据适当的申请和表明的原因,所做的批准,不得向证人发传票。
15 U.S.C. §24: Liability of directors and agents of corporation
Whenever a corporation shall violate any of the penal provisions of the antitrust laws, such violation shall be deemed to be also that of the individual directors, officers, or agents of such corporation who shall have authorized, ordered, or done any of the acts constituting in whole or in part such violation, and such violation shall be deemed a misdemeanor, and upon conviction therefor of any such director, officer, or agent he shall be punished by a fine of not exceeding $5,000 or by imprisonment for not exceeding one year, or by both, in the discretion of the court.
第十三条 当公司违反反托拉斯法的刑事规定时,整体上或部分上,授权、命令、直接参加违反反托拉斯法的公司经理、行政官员、代理人,也是违法的,犯有轻罪,将处以5000美元以下的罚款,或一年以下的监禁或由法院酌情两者并用。
15 U.S.C. §25: Restraining violations; procedure
The several district courts of the United States are invested with jurisdiction to prevent and restrain violations of this Act, and it shall be the duty of the several United States attorneys, in their respective districts, under the direction of the Attorney General, to institute proceedings in equity to prevent and restrain such violations. Such proceedings may be by way of petition setting forth the case and praying that such violation shall be enjoined or otherwise prohibited. When the parties complained of shall have been duly notified of such petition, the court shall proceed, as soon as may be, to the hearing and determination of the case; and pending such petition, and before final decree, the court may at any time make such temporary restraining order or prohibition as shall be deemed just in the premises. Whenever it shall appear to the court before which any such proceeding may be pending that the ends of justice require that other parties should be brought before the court, the court may cause them to be summoned whether they reside in the district in which the court is held or not, and subpoenas to that end may be served in any district by the marshal thereof.
第十四条 授权美国区法院司法权来防止和限制违反本法,各区的检查官,依据司法部长的指示,在其各自区内提起衡平诉讼,以防止和限制违反本法行为。起诉可以诉状形式,要求禁止违反行为。当诉状已送达被起诉的人时,法院要尽快予以审理和判决。在诉状审理期间和禁令发出之前,法院可随时发布暂时停止令或暂时限制令。不管证人是否在审理法院区居住,法院都可传票传唤证人、传票由法院执行官送达。
15 U.S.C. §26: Injunctive relief for private parties; exception; costs
Any person, firm, corporation, or association shall be entitled to sue for and have injunctive relief, in any court of the United States having jurisdiction over the parties, against threatened loss or damage by a violation of the antitrust laws, including sections 13, 14, 18, and 19 of this title, when and under the same conditions and principles as injunctive relief against threatened conduct that will cause loss or damage is granted by courts of equity, under the rules governing such proceedings, and upon the execution of proper bond against damages for an injunction improvidently granted and a showing that the danger of irreparable loss or damage is immediate, a preliminary injunction may issue: Provided, That nothing herein contained shall be construed to entitle any person, firm, corporation, or association, except the United States, to bring suit for injunctive relief against any common carrier subject to the jurisdiction of the Surface Transportation Board under subtitle IV of Title 49. In any action under this section in which the plaintiff substantially prevails, the court shall award the cost of suit, including a reasonable attorneys fee, to such plaintiff.
第十五条 对违反反托拉斯法(包括本法第二、三、七、八条)造成的威胁性损失或损害,任何人、商号、公司、联合会都可向对当事人有管辖权的法院起诉和获得禁止性救济。当作为反对威胁性行为的禁止性救济条件、原则,由衡平法院准许时,依据进行此类诉讼的原则,依据保证人对上述损害的请求和证明不可弥补的损害很快发生,法院可签发预先禁止令。
本规定并不授权个人、商号、公司、联合会(美国除外),就州际商业委员会管理、监督、司法管辖下各方面的问题,向公共运输商提出衡平起诉,要求禁止性救济。
依据本条提出的任何诉讼中,若原告实质上占有优势,法院将奖励原告诉讼费、包括合理的律师费。
15 U.S.C. §26a: Restrictions on the purchase of gasohol and synthetic motor fuel
(a) Limitations on the use of credit instruments; sales, resales, and transfers. Except as provided in subsection (b) of this section, it shall be unlawful for any person engaged in commerce, in the course of such commerce, directly or indirectly to impose any condition, restriction, agreement, or understanding that--
(1) limits the use of credit instruments in any transaction concerning the sale, resale, or transfer of gasohol or other synthetic motor fuel of equivalent usability in any case in which there is no similar limitation on transactions concerning such persons conventional motor fuel; or
(2) otherwise unreasonably discriminates against or unreasonably limits the sale, resale, or transfer of gasohol or other synthetic motor fuel of equivalent usability in any case in which such synthetic or conventional motor fuel is sold for use, consumption, or resale within the United States.
(b) Credit fees; equivalent conventional motor fuel sales; labeling of pumps; product liability disclaimers; advertising support; furnishing facilities. Nothing in this section or in any other provision of law in effect on December 2, 1980, which is specifically applicable to the sale of petroleum products shall preclude any person referred to in subsection (a) of this section from imposing a reasonable fee for credit on the sale, resale, or transfer of the gasohol or other synthetic motor fuel referred to in subsection (a) of this section if such fee equals no more than the actual costs to such person of extending that credit.
The prohibitions in this section shall not apply to any person who makes available sufficient supplies of gasohol and other synthetic motor fuels of equivalent usability to satisfy his customers needs for such products, if the gasohol and other synthetic fuels are made available on terms and conditions which are equivalent to the terms and conditions on which such persons conventional motor fuel products are made available.
Nothing in this section shall—preclude any person referred to in subsection (a) of this section from requiring reasonable labeling of pumps dispensing the gasohol or other synthetic motor fuel referred to in subsection (a) of this section to indicate, as appropriate, that such gasohol or other synthetic motor fuel is not manufactured, distributed, or sold by such person; preclude such person from issuing appropriate disclaimers of product liability for damage resulting from use of the gasohol or other synthetic motor fuel;
require such person to provide advertising support for the gasohol or other synthetic motor fuel; or
require such person to furnish or provide, at such persons own expense, any additional pumps, tanks, or other related facilities required for the sale of the gasohol or other synthetic motor fuel.
(c) "United States" defined. As used in this section, "United States" includes the several States, the District of Columbia, any territory of the United States and any insular possession or other place under the jurisdiction of the United States.
第十六条 本法的任何句子、段、或节,由于某些原因,由享有完全司法权的法院判为无效,并不影响本法其余部分的效力。法院判为无效的部分,仅限于由判决的论点直接涉及到的句子、段、节。
15 U.S.C. §27: Effect of partial invalidity
If any clause, sentence, paragraph, or part of this Act shall, for any reason, be adjudged by any court of competent jurisdiction to be invalid, such judgment shall not affect, impair, or invalidate the remainder thereof, but shall be confined in its operation to the clause, sentence, paragraph, or part thereof directly involved in the controversy in which such judgment shall have been rendered.
第十七条 美国法院或其法院法官,对雇主之间、雇员与雇主之间,雇员之间因雇佣条件而产生的争议,不能作出限制令或禁止令。
但防止财产及财产权免受不可避免的侵害而发布的禁令或限制令除外,该侵害必须是法律没有详细的救济,当事人提出书面申请,并经申请人,或其代理人、或律师发誓,并对财产及财产权作了特别说明。
 
打印此文 】【 关闭窗口 】  

下一篇:  LAW OF THE PEOPLES REPUBLIC OF CHINA ON FOREIGNCAPITAL ENTERPRISES   
关于我们 | 联系我们 | 使用条款 | 隐私政策 | 诚聘英才 | 网站地图
版权所有 (C) 东方涉外律师网 (C) Copyright 2008 Exlaw.cn All Rights Reserved
沪ICP备2023039966号 客服电话:+86 21 135 8597 7056 客服邮箱:kingward.gan@foxmail.com