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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 III to Subpart E - Civil Monetary Penalty Inflation Adjustments
Latest version.
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Table III to Subpart E—Civil Monetary Penalty Inflation Adjustments U.S. Code citation Civil monetary penalty description Year penalty amount was last adjusted Maximum penalty amount pursuant to last adjustment Adjusted maximum penalty amount Securities and Exchange Commission 15 U.S.C. 77t(d) For natural person 2001 $6,500 $6,500 For any other person 2001 60,000 65,000 For natural person/fraud 2001 60,000 65,000 For any other person/fraud 2001 300,000 325,000 For natural person/substantial losses or risk of losses to others 2001 120,000 130,000 For any other person/substantial losses or risk of losses to others 2001 600,000 650,000 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)(C) 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 2001 1,200,000 1,275,000 15 U.S.C. 78u-2 For natural person 2001 6,500 6,500 For any other person 2001 60,000 65,000 For natural person/fraud 2001 60,000 65,000 For any other person/fraud 2001 300,000 325,000 For natural person/substantial losses to others/gains to self 2001 120,000 130,000 For any other person/substantial losses to others/gain to self 2001 600,000 650,000 15 U.S.C. 78u(d)(3) For natural person 2001 6,500 6,500 For any other person 2001 60,000 65,000 For natural person/fraud 2001 60,000 65,000 For any other person/fraud 2001 300,000 325,000 For natural person/substantial losses or risk of losses to others 2001 120,000 130,000 For any other person/substantial losses or risk of losses to others 2001 600,000 650,000 15 U.S.C. 80a-9(d) For natural person 2001 6,500 6,500 For any other person 2001 60,000 65,000 For natural person/fraud 2001 60,000 65,000 For any other person/fraud 2001 300,000 325,000 For natural person/substantial losses to others/gains to self 2001 120,000 130,000 For any other person/substantial losses to others/gain to self 2001 600,000 650,000 15 U.S.C. 80a-41(e) For natural person 2001 6,500 6,500 For any other person 2001 60,000 65,000 For natural person/fraud 2001 60,000 65,000 For any other person/fraud 2001 300,000 325,000 For natural person/substantial losses or risk of losses to others 2001 120,000 130,000 For any other person/substantial losses or risk of losses to others 2001 600,000 650,000 15 U.S.C. 80b-3(i) For natural person 2001 6,500 6,500 For any other person 2001 60,000 65,000 For natural person/fraud 2001 60,000 65,000 For any other person/fraud 2001 300,000 325,000 For natural person/substantial losses to others/gains to self 2001 120,000 130,000 For any other person/substantial losses to others /gain to self 2001 600,000 650,000 15 U.S.C. 80b-9(e) For natural person 2001 6,500 6,500 For any other person 2001 60,000 65,000 For natural person/fraud 2001 60,000 65,000 For any other person/fraud 2001 300,000 325,000 For natural person/substantial losses or risk of losses to others 2001 120,000 130,000 For any other person/substantial losses or risk of losses to others 2001 600,000 650,000 15 U.S.C. 7215(c)(4)(D)(i) For natural person 2002 100,000 110,000 For any other person 2002 2,000,000 2,100,000 15 U.S.C. 7215(c)(4)(D)(ii) For natural person 2002 750,000 800,000 For any other person 2002 15,000,000 15,825,000