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Code of Federal Regulations (Last Updated: May 6, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter II - Securities and Exchange Commission |
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Part 201 - Rules of Practice |
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Subpart E - Adjustment of Civil Monetary Penalties |
Table 1 to Subpart E - Civil Monetary Penalty Inflation Adjustments
Latest version.
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U.S. code citation Civil monetary penalty description Year penalty amount was last set by law Original statutory maximum penalty amount Adjusted maximum penalty amount SECURITIES AND EXCHANGE COMMISSION: 15 USC 77t(d) FOR NATURAL PERSON 1990 $5,000 $5,500 FOR ANY OTHER PERSON 1990 50,000 55,000 FOR NATURAL PERSON/FRAUD 1990 50,000 55,000 FOR ANY OTHER PERSON/FRAUD 1990 250,000 275,000 FOR NATURAL PERSON/SUBSTANTIAL LOSSES OR RISK OF LOSSES TO OTHERS 1990 100,000 110,000 FOR ANY OTHER PERSON/SUBSTANTIAL LOSSES OR RISK OF LOSSES TO OTHERS 1990 500,000 550,000 15 USC 78ff(b) EXCHANGE ACT/FAILURE TO FILE INFORMATION DOCUMENTS, REPORTS 1936 100 110 15 USC 78ff(c)(1)(B) FOREIGN CORRUPT PRACTICES—ANY ISSUER 1988 10,000 11,000 15 USC 78ff(c)(2)(C) FOREIGN CORRUPT PRACTICES—ANY AGENT OR STOCKHOLDER ACTING ON BEHALF OF ISSUER 1988 10,000 11,000 15 USC 78u-1(a)(3) INSIDER TRADING—CONTROLLING PERSONS 1988 1,000,000 1,100,000 15 USC 78u-2 FOR NATURAL PERSON 1990 5,000 5,500 FOR ANY OTHER PERSON 1990 50,000 55,000 FOR NATURAL PERSON/FRAUD 1990 50,000 55,000 FOR ANY OTHER PERSON/FRAUD 1990 250,000 275,000 FOR NATURAL PERSON/SUBSTANTIAL LOSSES TO OTHERS/GAINS TO SELF 1990 100,000 110,000 FOR ANY OTHER PERSONS/SUBSTANTIAL LOSSES TO OTHERS/GAIN TO SELF 1990 500,000 550,000 15 USC 78u(d)(3) FOR NATURAL PERSON 1990 5,000 5,500 FOR ANY OTHER PERSON 1990 50,000 55,000 FOR NATURAL PERSON/FRAUD 1990 50,000 55,000 FOR ANY OTHER PERSON/FRAUD 1990 250,000 275,000 FOR NATURAL PERSON/SUBSTANTIAL LOSSES OR RISK OF LOSSES TO OTHERS 1990 100,000 110,000 FOR ANY OTHER PERSON/SUBSTANTIAL LOSSES OR RISK OF LOSSES TO OTHERS 1990 500,000 550,000 15 USC 80a-9(d) FOR NATURAL PERSON 1990 5,000 5,500 FOR ANY OTHER PERSON 1990 50,000 55,000 FOR NATURAL PERSON/FRAUD 1990 50,000 55,000 FOR ANY OTHER PERSON/FRAUD 1990 250,000 275,000 FOR NATURAL PERSON/SUBSTANTIAL LOSSES TO OTHERS/GAINS TO SELF 1990 100,000 110,000 FOR ANY OTHER PERSON/SUBSTANTIAL LOSSES TO OTHER/GAINS TO SELF 1990 500,000 550,000 15 USC 80a-41(e) FOR NATURAL PERSON 1990 5,000 5,500 FOR ANY OTHER PERSON 1990 50,000 55,000 FOR NATURAL PERSON/FRAUD 1990 50,000 55,000 FOR ANY OTHER PERSON/FRAUD 1990 250,000 275,000 FOR NATURAL PERSON/SUBSTANTIAL LOSSES OR RISK OF LOSSES TO OTHERS 1990 100,000 110,000 FOR ANY OTHER PERSON/SUBSTANTIAL LOSSES OR RISK OF LOSSES TO OTHERS 1990 500,000 550,000 15 USC 80b-3(i) FOR NATURAL PERSON 1990 5,000 5,500 FOR ANY OTHER PERSON 1990 50,000 55,000 FOR NATURAL PERSON/FRAUD 1990 50,000 55,000 FOR ANY OTHER PERSON/FRAUD 1990 250,000 275,000 FOR NATURAL PERSON/SUBSTANTIAL LOSSES TO OTHERS/GAIN TO SELF 1990 100,000 110,000 FOR ANY OTHER PERSON/SUBSTANTIAL LOSSES TO OTHERS/GAIN TO SELF 1990 500,000 550,000 15 USC 80b-9(e) FOR NATURAL PERSON 1990 5,000 5,500 FOR ANY OTHER PERSON 1990 50,000 55,000 FOR NATURAL PERSON/FRAUD 1990 50,000 55,000 FOR ANY OTHER PERSON/FRAUD 1990 250,000 275,000 FOR NATURAL PERSON/SUBSTANTIAL LOSSES OR RISK OF LOSSES TO OTHERS 1990 100,000 110,000 FOR ANY OTHER PERSON/SUBSTANTIAL LOSSES OR RISK OF LOSSES TO OTHERS 1990 500,000 550,000