Table II to Subpart E of Part 201 - Civil Monetary Penalty Inflation Adjustments

U.S. Code citation	Civil monetary penalty description	Year penalty amount was last adjusted	Maximum penalty amount pursuant to 1996 adjustment	Adjusted maximum penalty amount
Securities and Exchange Commission:
15 U.S.C. 77t(d)	For natural person	1996	$5,500	$6,500
	For any other person	1996	55,000	60,000
	For natural person/fraud	1996	55,000	60,000
	For any other person/fraud	1996	275,000	300,000
	For natural person/substantial losses or risk of losses to others	1996	110,000	120,000
	For any other person/substantial losses or risk of losses to others	1996	550,000	600,000
15 U.S.C. 78ff(b)	Exchange Act/failure to file information documents, reports	1996	110	110
15 U.S.C. 78ff(c)(1)(B)	Foreign Corrupt Practices—any issuer	1996	11,000	11,000
15 U.S.C. 78ff(c)(2)(B)	Foreign Corrupt Practices—any agent or stockholder acting on behalf of issuer	1996	11,000	11,000
15 U.S.C. 78u-1(a)(3)	Insider Trading—controlling person	1996	1,100,000	1,200,000
15 U.S.C. 78u-2	For natural person	1996	5,500	6,500
	For any other person	1996	55,000	60,000
	For natural person/fraud	1996	55,000	60,000
	For any other person/fraud	1996	275,000	300,000
	For natural person/substantial losses to others/gains to self	1996	110,000	120,000
	For any other person/substantial losses to others/gain to self	1996	550,000	600,000
15 U.S.C. 78u(d)(3)	For natural person	1996	5,500	6,500
	For any other person	1996	55,000	60,000
	For natural person/fraud	1996	55,000	60,000
	For any other person/fraud	1996	275,000	300,000
	For natural person/substantial losses or risk of losses to others	1996	110,000	120,000
	For any other person/substantial losses or risk of losses to others	1996	550,000	600,000
15 U.S.C. 80a-9(d)	For natural person	1996	5,500	$6,500
	For any other person	1996	55,000	60,000
	For natural person/fraud	1996	55,000	60,000
	For any other person/fraud	1996	275,000	300,000
	For natural person/substantial losses to others/gains to self	1996	110,000	120,000
	For any other person/substantial losses to others/gain to self	1996	550,000	600,000
15 U.S.C. 80a-41(e)	For natural person	1996	5,500	6,500
	For any other person	1996	55,000	60,000
	For natural person/fraud	1996	55,000	60,000
	For any other person/fraud	1996	275,000	300,000
	For natural person/substantial losses or risk of losses to others	1996	110,000	120,000
	For any other person/substantial losses or risk of losses to others	1996	550,000	600,000
15 U.S.C. 80b-3(i)	For natural person	1996	5,500	6,500
	For any other person	1996	55,000	60,000
	For natural person/fraud	1996	55,000	60,000
	For any other person/fraud	1996	275,000	300,000
	For natural person/substantial losses to others/gains to self	1996	110,000	120,000
	For any other person/substantial losses to others/gain to self	1996	550,000	600,000
15 U.S.C. 80b-9(e)	For natural person	1996	5,500	6,500
	For any other person	1996	55,000	60,000
	For natural person/fraud	1996	55,000	60,000
	For any other person/fraud	1996	275,000	300,000
	For natural person/substantial losses or risk of losses to others	1996	110,000	120,000
	For any other person/substantial losses or risk of losses to others	1996	550,000	600,000

[66 FR 8762, Feb. 2, 2001, as amended at 78 FR 14181, Mar. 5, 2013]