Table III 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	$6,500
	For any other person	2001	60,000	65,000
	For natural person/fraud	2001	60,000	65,000
	For any other person/fraud	2001	300,000	325,000
	For natural person/substantial losses or risk of losses to others	2001	120,000	130,000
	For any other person/substantial losses or risk of losses to others	2001	600,000	650,000
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	11,000
15 U.S.C. 78ff(c)(2)(B)	Foreign Corrupt Practices — any agent or stockholder acting on behalf of issuer	1996	11,000	11,000
15 U.S.C. 78u-1(a)(3)	Insider Trading — controlling person	2001	1,200,000	1,275,000
15 U.S.C. 78u-2	For natural person	2001	6,500	6,500
	For any other person	2001	60,000	65,000
	For natural person/fraud	2001	60,000	65,000
	For any other person/fraud	2001	300,000	325,000
	For natural person/substantial losses to others/gains to self	2001	120,000	130,000
	For any other person/substantial losses to others/gain to self	2001	600,000	650,000
15 U.S.C. 78u(d)(3)	For natural person	2001	6,500	6,500
	For any other person	2001	60,000	65,000
	For natural person/fraud	2001	60,000	65,000
	For any other person/fraud	2001	300,000	325,000
	For natural person/substantial losses or risk of losses to others	2001	120,000	130,000
	For any other person/substantial losses or risk of losses to others	2001	600,000	650,000
15 U.S.C. 80a-9(d)	For natural person	2001	6,500	6,500
	For any other person	2001	60,000	65,000
	For natural person/fraud	2001	60,000	65,000
	For any other person/fraud	2001	300,000	325,000
	For natural person/substantial losses to others/gains to self	2001	120,000	130,000
	For any other person/substantial losses to others/gain to self	2001	600,000	650,000
15 U.S.C. 80a-41(e)	For natural person	2001	6,500	6,500
	For any other person	2001	60,000	65,000
	For natural person/fraud	2001	60,000	65,000
	For any other person/fraud	2001	300,000	325,000
	For natural person/substantial losses or risk of losses to others	2001	120,000	130,000
	For any other person/substantial losses or risk of losses to others	2001	600,000	650,000
15 U.S.C. 80b-3(i)	For natural person	2001	6,500	6,500
	For any other person	2001	60,000	65,000
	For natural person/fraud	2001	60,000	65,000
	For any other person/fraud	2001	300,000	325,000
	For natural person/substantial losses to others/gains to self	2001	120,000	130,000
	For any other person/substantial losses to others /gain to self	2001	600,000	650,000
15 U.S.C. 80b-9(e)	For natural person	2001	6,500	6,500
	For any other person	2001	60,000	65,000
	For natural person/fraud	2001	60,000	65,000
	For any other person/fraud	2001	300,000	325,000
	For natural person/substantial losses or risk of losses to others	2001	120,000	130,000
	For any other person/substantial losses or risk of losses to others	2001	600,000	650,000
15 U.S.C. 7215(c)(4)(D)(i)	For natural person	2002	100,000	110,000
	For any other person	2002	2,000,000	2,100,000
15 U.S.C. 7215(c)(4)(D)(ii)	For natural person	2002	750,000	800,000
	For any other person	2002	15,000,000	15,825,000

[70 FR 7607, Feb. 14, 2005, as amended at 78 FR 14181, Mar. 5, 2013]