Table IV to Subpart E of Part 201 — Civil Monetary Penalty Inflation Adjustments
| U.S. Code citation | Civil monetary penalty description | Year penaltyamount was last adjusted | Maximumpenalty amount pursuant to last adjustment | Adjustedmaximum penalty amount |
|---|---|---|---|---|
| Securities 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]