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


Latest version.
  • U.S. Code citationCivil monetary penalty descriptionYear penalty amount was last adjustedMaximum
    penalty
    amount
    pursuant to last
    adjustment
    Adjusted
    maximum
    penalty
    amount
    Securities 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/fraud
    2010
    2010
    2010
    2010
    $7,500
    75,000
    75,000
    375,000
    $7,500
    80,000
    80,000
    400,000
       For natural person/substantial losses or risk of losses to others2010150,000160,000
       For any other person/substantial losses or risk of losses to others2010725,000775,000
    15 U.S.C. 77t(d)For natural person20097,5007,500
       For any other person200975,00080,000
       For natural person/fraud200975,00080,000
       For any other person/fraud2009375,000400,000
       For natural person/substantial losses or risk of losses to others2009150,000160,000
       For any other person/substantial losses or risk of losses to others2009725,000775,000
    15 U.S.C. 78ff(b)Exchange Act/failure to file information documents, reports1996110210
    15 U.S.C. 78ff(c)(1)(B)Foreign Corrupt Practices—any issuer200916,00016,000
    15 U.S.C. 78ff(c)(2)(B)Foreign Corrupt Practices—any agent or stockholder acting on behalf of issuer200916,00016,000
    15 U.S.C. 78u-1(a)(3)Insider Trading—controlling person20091,425,0001,525,000
    15 U.S.C. 78u-2For natural person20097,5007,500
       For any other person200975,00080,000
       For natural person/fraud200975,00080,000
       For any other person/fraud2009375,000400,000
       For natural person/substantial losses to others/gains to self2009150,000160,000
       For any other person/substantial losses to others/gain to self2009725,000775,000
    15 U.S.C. 78u(d)(3)For natural person20097,5007,500
       For any other person200975,00080,000
       For natural person/fraud200975,00080,000
       For any other person/fraud2009375,000400,000
       For natural person/substantial losses or risk of losses to others2009150,000160,000
       For any other person/substantial losses or risk of losses to others2009725,000775,000
    15 U.S.C. 80a-9(d)For natural person20097,5007,500
       For any other person200975,00080,000
       For natural person/fraud200975,00080,000
       For any other person/fraud2009375,000400,000
       For natural person/substantial losses to others/gains to self2009150,000160,000
       For any other person/substantial losses to others/gain to self2009725,000775,000
    15 U.S.C. 80a-41(e)For natural person20097,5007,500
       For any other person200975,00080,000
       For natural person/fraud200975,00080,000
       For any other person/fraud2009375,000400,000
       For natural person/substantial losses or risk of losses to others2009150,000160,000
       For any other person/substantial losses or risk of losses to others2009725,000775,000
    15 U.S.C. 80b-3(i)For natural person20097,5007,500
       For any other person200975,00080,000
       For natural person/fraud200975,00080,000
       For any other person/fraud2009375,000400,000
       For natural person/substantial losses to others/gains to self2009150,000160,000
       For any other person/substantial losses to others/gain to self2009725,000775,000
    15 U.S.C. 80b-9(e)For natural person20097,5007,500
       For any other person200975,00080,000
       For natural person/fraud200975,00080,000
       For any other person/fraud2009375,000400,000
       For natural person/substantial losses or risk of losses to others2009150,000160,000
       For any other person/substantial losses or risk of losses to others2009725,000775,000
    15 U.S.C. 7215(c)(4)(D)(i)For natural person2009120,000130,000
       For any other person20092,375,0002,525,000
    15 U.S.C. 7215(c)(4)(D)(ii)For natural person2009900,000950,000
       For any other person200917,800,00018,925,000

    [78 FR 14181, Mar. 5, 2013]