Table IV 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 last adjustment	Adjusted maximum penalty amount
Securities and Exchange Commission:
15 U.S.C. 77t(d)	For natural person	2001	$6,500	$7,500
	For any other person	2005	65,000	75,000
	For natural person/fraud	2005	65,000	75,000
	For any other person/fraud	2005	325,000	375,000
	For natural person/substantial losses or risk of losses to others	2005	130,000	150,000
	For any other person/substantial losses or risk of losses to others	2005	650,000	725,000
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	16,000
15 U.S.C. 78ff(c)(2)(B)	Foreign Corrupt Practices—any agent or stockholder acting on behalf of issuer	1996	11,000	16,000
15 U.S.C. 78u-1(a)(3)	Insider Trading—controlling person	2005	1,275,000	1,425,000
15 U.S.C. 78u-2	For natural person	2001	6,500	7,500
	For any other person	2005	65,000	75,000
	For natural person/fraud	2005	65,000	75,000
	For any other person/fraud	2005	325,000	375,000
	For natural person/substantial losses to others/gains to self	2005	130,000	150,000
	For any other person/substantial losses to others/gain to self	2005	650,000	725,000
15 U.S.C. 78u(d)(3)	For natural person	2001	6,500	7,500
	For any other person	2005	65,000	75,000
	For natural person/fraud	2005	65,000	75,000
	For any other person/fraud	2005	325,000	375,000
	For natural person/substantial losses or risk of losses to others	2005	130,000	150,000
	For any other person/substantial losses or risk of losses to others	2005	650,000	725,000
15 U.S.C. 80a-9(d)	For natural person	2001	6,500	7,500
	For any other person	2005	65,000	75,000
	For natural person/fraud	2005	65,000	75,000
	For any other person/fraud	2005	325,000	375,000
	For natural person/substantial losses to others/gains to self	2005	130,000	150,000
	For any other person/substantial losses to others/gain to self	2005	650,000	725,000
15 U.S.C. 80a-41(e)	For natural person	2001	6,500	7,500
	For any other person	2005	65,000	75,000
	For natural person/fraud	2005	65,000	75,000
	For any other person/fraud	2005	325,000	375,000
	For natural person/substantial losses or risk of losses to others	2005	130,000	150,000
	For any other person/substantial losses or risk of losses to others	2005	650,000	725,000
15 U.S.C. 80b-3(i)	For natural person	2001	6,500	7,500
	For any other person	2005	65,000	75,000
	For natural person/fraud	2005	65,000	75,000
	For any other person/fraud	2005	325,000	375,000
	For natural person/substantial losses to others/gains to self	2005	130,000	150,000
	For any other person/substantial losses to others/gain to self	2005	650,000	725,000
15 U.S.C. 80b-9(e)	For natural person	2001	6,500	7,500
	For any other person	2005	65,000	75,000
	For natural person/fraud	2005	65,000	75,000
	For any other person/fraud	2005	325,000	375,000
	For natural person/substantial losses or risk of losses to others	2005	130,000	150,000
	For any other person/substantial losses or risk of losses to others	2005	650,000	725,000
15 U.S.C. 7215(c)(4)(D)(i)	For natural person	2005	110,000	120,000
	For any other person	2005	2,100,000	2,375,000
15 U.S.C. 7215(c)(4)(D)(ii)	For natural person	2005	800,000	900,000
	For any other person	2005	15,825,000	17,800,000

[74 FR 9160, Mar. 3, 2009, as amended at 78 FR 14181, Mar. 5, 2013]