Table V 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 | Maximumpenalty amount pursuant to last adjustment | Adjustedmaximum penalty amount |
|---|---|---|---|---|
| Securities and Exchange Commission: | ||||
| 15 U.S.C. 77h-1(g) | For natural personFor any other person For natural person/fraud For any other person/fraud | 20102010 2010 2010 | $7,50075,000 75,000 375,000 | $7,50080,000 80,000 400,000 |
| For 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]