Code of Federal Regulations (Last Updated: November 8, 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 V to Subpart E of Part 201 - Civil Monetary Penalty Inflation Adjustments
Latest version.
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U.S. Code citation Civil monetary penalty description Year penalty amount was last adjusted Maximum
penalty
amount
pursuant to last
adjustmentAdjusted
maximum
penalty
amountSecurities and Exchange Commission: 15 U.S.C. 77h-1(g) For natural person
For any other person
For natural person/fraud
For any other person/fraud2010
2010
2010
2010$7,500
75,000
75,000
375,000$7,500
80,000
80,000
400,000For natural person/substantial losses or risk of losses to others 2010 150,000 160,000 For any other person/substantial losses or risk of losses to others 2010 725,000 775,000 15 U.S.C. 77t(d) For natural person 2009 7,500 7,500 For any other person 2009 75,000 80,000 For natural person/fraud 2009 75,000 80,000 For any other person/fraud 2009 375,000 400,000 For natural person/substantial losses or risk of losses to others 2009 150,000 160,000 For any other person/substantial losses or risk of losses to others 2009 725,000 775,000 15 U.S.C. 78ff(b) Exchange Act/failure to file information documents, reports 1996 110 210 15 U.S.C. 78ff(c)(1)(B) Foreign Corrupt Practices—any issuer 2009 16,000 16,000 15 U.S.C. 78ff(c)(2)(B) Foreign Corrupt Practices—any agent or stockholder acting on behalf of issuer 2009 16,000 16,000 15 U.S.C. 78u-1(a)(3) Insider Trading—controlling person 2009 1,425,000 1,525,000 15 U.S.C. 78u-2 For natural person 2009 7,500 7,500 For any other person 2009 75,000 80,000 For natural person/fraud 2009 75,000 80,000 For any other person/fraud 2009 375,000 400,000 For natural person/substantial losses to others/gains to self 2009 150,000 160,000 For any other person/substantial losses to others/gain to self 2009 725,000 775,000 15 U.S.C. 78u(d)(3) For natural person 2009 7,500 7,500 For any other person 2009 75,000 80,000 For natural person/fraud 2009 75,000 80,000 For any other person/fraud 2009 375,000 400,000 For natural person/substantial losses or risk of losses to others 2009 150,000 160,000 For any other person/substantial losses or risk of losses to others 2009 725,000 775,000 15 U.S.C. 80a-9(d) For natural person 2009 7,500 7,500 For any other person 2009 75,000 80,000 For natural person/fraud 2009 75,000 80,000 For any other person/fraud 2009 375,000 400,000 For natural person/substantial losses to others/gains to self 2009 150,000 160,000 For any other person/substantial losses to others/gain to self 2009 725,000 775,000 15 U.S.C. 80a-41(e) For natural person 2009 7,500 7,500 For any other person 2009 75,000 80,000 For natural person/fraud 2009 75,000 80,000 For any other person/fraud 2009 375,000 400,000 For natural person/substantial losses or risk of losses to others 2009 150,000 160,000 For any other person/substantial losses or risk of losses to others 2009 725,000 775,000 15 U.S.C. 80b-3(i) For natural person 2009 7,500 7,500 For any other person 2009 75,000 80,000 For natural person/fraud 2009 75,000 80,000 For any other person/fraud 2009 375,000 400,000 For natural person/substantial losses to others/gains to self 2009 150,000 160,000 For any other person/substantial losses to others/gain to self 2009 725,000 775,000 15 U.S.C. 80b-9(e) For natural person 2009 7,500 7,500 For any other person 2009 75,000 80,000 For natural person/fraud 2009 75,000 80,000 For any other person/fraud 2009 375,000 400,000 For natural person/substantial losses or risk of losses to others 2009 150,000 160,000 For any other person/substantial losses or risk of losses to others 2009 725,000 775,000 15 U.S.C. 7215(c)(4)(D)(i) For natural person 2009 120,000 130,000 For any other person 2009 2,375,000 2,525,000 15 U.S.C. 7215(c)(4)(D)(ii) For natural person 2009 900,000 950,000 For any other person 2009 17,800,000 18,925,000 [78 FR 14181, Mar. 5, 2013]