![]() |
Code of Federal Regulations (Last Updated: July 5, 2024) |
![]() |
Title 17 - Commodity and Securities Exchanges |
![]() |
Chapter II - Securities and Exchange Commission |
![]() |
Part 201 - Rules of Practice |
![]() |
Subpart E - Adjustment of Civil Monetary Penalties |
Table IV to Subpart E of Part 201 - Civil Monetary Penalty Inflation Adjustments
Latest version.
-
U.S. Code citation Civil monetary penalty description Year penalty
amount was last
adjustedMaximum
penalty
amount
pursuant to last
adjustmentAdjusted
maximum
penalty
amountSecurities 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]