Table II to Subpart E of Part 201 — Civil Monetary Penalty Inflation Adjustments
| U.S. Code citation | Civil monetary penalty description | Year penalty amount was lastadjusted | Maximum penalty amountpursuant to 1996 adjustment | Adjusted maximum penalty amount |
|---|---|---|---|---|
| Securities and Exchange Commission: | ||||
| 15 USC 77t(d) | For natural person | 1996 | $5,500 | $6,500 |
| For any other person | 1996 | 55,000 | 60,000 | |
| For natural person/fraud | 1996 | 55,000 | 60,000 | |
| For any other person/fraud | 1996 | 275,000 | 300,000 | |
| For natural person/substantial losses or risk of losses to others | 1996 | 110,000 | 120,000 | |
| For any other person/substantial losses or risk of losses to others | 1996 | 550,000 | 600,000 | |
| 15 USC 78ff(b) | Exchange Act/failure to file information documents, reports | 1996 | 110 | 110 |
| 15 USC 78ff(c)(1)(B) | Foreign Corrupt Practices — any issuer | 1996 | 11,000 | 11,000 |
| 15 USC 78ff(c)(2)(B) | Foreign Corrupt Practices — any agent or stockholder acting on behalf of issuer | 1996 | 11,000 | 11,000 |
| 15 USC 78u-1(a)(3) | Insider Trading — controlling person | 1996 | 1,100,000 | 1,200,000 |
| 15 USC 78u-2 | For natural person | 1996 | 5,500 | 6,500 |
| For any other person | 1996 | 55,000 | 60,000 | |
| For natural person/fraud | 1996 | 55,000 | 60,000 | |
| For any other person/fraud | 1996 | 275,000 | 300,000 | |
| For natural person/substantial losses to others/gains to self | 1996 | 110,000 | 120,000 | |
| For any other person/substantial losses to others/gain to self | 1996 | 550,000 | 600,000 | |
| 15 USC 78u(d)(3) | For natural person | 1996 | 5,500 | 6,500 |
| For any other person | 1996 | 55,000 | 60,000 | |
| For natural person/fraud | 1996 | 55,000 | 60,000 | |
| For any other person/fraud | 1996 | 275,000 | 300,000 | |
| For natural person/substantial losses or risk of losses to others | 1996 | 110,000 | 120,000 | |
| For any other person/substantial losses or risk of losses to others | 1996 | 550,000 | 600,000 | |
| 15 USC 80a-9(d) | For natural person | 1996 | 5,500 | $6,500 |
| For any other person | 1996 | 55,000 | 60,000 | |
| For natural person/fraud | 1996 | 55,000 | 60,000 | |
| For any other person/fraud | 1996 | 275,000 | 300,000 | |
| For natural person/substantial losses to others/gains to self | 1996 | 110,000 | 120,000 | |
| For any other person/substantial losses to others/gain to self | 1996 | 550,000 | 600,000 | |
| 15 USC 80a-41(e) | For natural person | 1996 | 5,500 | 6,500 |
| For any other person | 1996 | 55,000 | 60,000 | |
| For natural person/fraud | 1996 | 55,000 | 60,000 | |
| For any other person/fraud | 1996 | 275,000 | 300,000 | |
| For natural person/substantial losses or risk of losses to others | 1996 | 110,000 | 120,000 | |
| For any other person/substantial losses or risk of losses to others | 1996 | 550,000 | 600,000 | |
| 15 USC 80b-3(i) | For natural person | 1996 | 5,500 | 6,500 |
| For any other person | 1996 | 55,000 | 60,000 | |
| For natural person/fraud | 1996 | 55,000 | 60,000 | |
| For any other person/fraud | 1996 | 275,000 | 300,000 | |
| For natural person/substantial losses to others/gains to self | 1996 | 110,000 | 120,000 | |
| For any other person/substantial losses to others/gain to self | 1996 | 550,000 | 600,000 | |
| 15 USC 80b-9(e) | For natural person | 1996 | 5,500 | 6,500 |
| For any other person | 1996 | 55,000 | 60,000 | |
| For natural person/fraud | 1996 | 55,000 | 60,000 | |
| For any other person/fraud | 1996 | 275,000 | 300,000 | |
| For natural person/substantial losses or risk of losses to others | 1996 | 110,000 | 120,000 | |
| For any other person/substantial losses or risk of losses to others | 1996 | 550,000 | 600,000 |
[66 FR 8762, Feb. 2, 2001, as amended at 78 FR 14181, Mar. 5, 2013]