As required by the Debt Collection Improvement Act of 1996, the maximum amounts of all civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 are adjusted for inflation in accordance with Table I to this subpart. The adjustments set forth in Table I apply to violations occurring after December 9, 1996 and before February 2, 2001. [66 FR 8762, Feb. 2, 2001] Sec. Table 1 to Subpart E of Part 201--Civil Monetary Penalty Inflation
Adjustments ----------------------------------------------------------------------------------------------------------------
Year
penalty Original Adjusted
U.S. code citation Civil monetary penalty amount was statutory maximum
description last set by maximum penalty amount
law penalty amount----------------------------------------------------------------------------------------------------------------SECURITIES AND EXCHANGE
COMMISSION:
15 U.S.C. 77t(d)............ FOR NATURAL PERSON............... 1990 $5,000 $5,500
FOR ANY OTHER PERSON............. 1990 50,000 55,000
FOR NATURAL PERSON/FRAUD......... 1990 50,000 55,000
FOR ANY OTHER PERSON/FRAUD....... 1990 250,000 275,000
FOR NATURAL PERSON/SUBSTANTIAL 1990 100,000 110,000
LOSSES OR RISK OF LOSSES TO
OTHERS.
FOR ANY OTHER PERSON/SUBSTANTIAL 1990 500,000 550,000
LOSSES OR RISK OF LOSSES TO
OTHERS.
15 U.S.C. 78ff(b)........... EXCHANGE ACT/FAILURE TO FILE 1936 100 110
INFORMATION DOCUMENTS, REPORTS.
15 U.S.C. 78ff(c)(1)(B)..... FOREIGN CORRUPT PRACTICES--ANY 1988 10,000 11,000
ISSUER.
15 U.S.C. 78ff(c)(2)(B)..... FOREIGN CORRUPT PRACTICES--ANY 1988 10,000 11,000
AGENT OR STOCKHOLDER ACTING ON
BEHALF OF ISSUER.
15 U.S.C. 78u-1(a)(3)....... INSIDER TRADING--CONTROLLING 1988 1,000,000 1,100,000
PERSONS.
15 U.S.C. 78u-2............. FOR NATURAL PERSON............... 1990 5,000 5,500
FOR ANY OTHER PERSON............. 1990 50,000 55,000
FOR NATURAL PERSON/FRAUD......... 1990 50,000 55,000
FOR ANY OTHER PERSON/FRAUD....... 1990 250,000 275,000
FOR NATURAL PERSON/SUBSTANTIAL 1990 100,000 110,000
LOSSES TO OTHERS/GAINS TO SELF.
FOR ANY OTHER PERSONS/SUBSTANTIAL 1990 500,000 550,000
LOSSES TO OTHERS/GAIN TO SELF.
15 U.S.C. 78u(d)(3)......... FOR NATURAL PERSON............... 1990 5,000 5,500
FOR ANY OTHER PERSON............. 1990 50,000 55,000
FOR NATURAL PERSON/FRAUD......... 1990 50,000 55,000
FOR ANY OTHER PERSON/FRAUD....... 1990 250,000 275,000
FOR NATURAL PERSON/SUBSTANTIAL 1990 100,000 110,000
LOSSES OR RISK OF LOSSES TO
OTHERS.
FOR ANY OTHER PERSON/SUBSTANTIAL 1990 500,000 550,000
LOSSES OR RISK OF LOSSES TO
OTHERS.
15 U.S.C. 80a-9(d).......... FOR NATURAL PERSON............... 1990 5,000 5,500
FOR ANY OTHER PERSON............. 1990 50,000 55,000
FOR NATURAL PERSON/FRAUD......... 1990 50,000 55,000
FOR ANY OTHER PERSON/FRAUD....... 1990 250,000 275,000
FOR NATURAL PERSON/SUBSTANTIAL 1990 100,000 110,000
LOSSES TO OTHERS/GAINS TO SELF.
FOR ANY OTHER PERSON/SUBSTANTIAL 1990 500,000 550,000
LOSSES TO OTHER/GAINS TO SELF.
15 U.S.C. 80a-41(e)......... FOR NATURAL PERSON............... 1990 5,000 5,500
FOR ANY OTHER PERSON............. 1990 50,000 55,000
FOR NATURAL PERSON/FRAUD......... 1990 50,000 55,000
FOR ANY OTHER PERSON/FRAUD....... 1990 250,000 275,000
FOR NATURAL PERSON/SUBSTANTIAL 1990 100,000 110,000
LOSSES OR RISK OF LOSSES TO
OTHERS.
FOR ANY OTHER PERSON/SUBSTANTIAL 1990 500,000 550,000
LOSSES OR RISK OF LOSSES TO
OTHERS.
15 U.S.C. 80b-3(i).......... FOR NATURAL PERSON............... 1990 5,000 5,500
FOR ANY OTHER PERSON............. 1990 50,000 55,000
FOR NATURAL PERSON/FRAUD......... 1990 50,000 55,000
FOR ANY OTHER PERSON/FRAUD....... 1990 250,000 275,000
FOR NATURAL PERSON/SUBSTANTIAL 1990 100,000 110,000
LOSSES TO OTHERS/GAIN TO SELF.
FOR ANY OTHER PERSON/SUBSTANTIAL 1990 500,000 550,000
LOSSES TO OTHERS/GAIN TO SELF.
15 U.S.C. 80b-9(e).......... FOR NATURAL PERSON............... 1990 5,000 5,500
FOR ANY OTHER PERSON............. 1990 50,000 55,000
FOR NATURAL PERSON/FRAUD......... 1990 50,000 55,000
FOR ANY OTHER PERSON/FRAUD....... 1990 250,000 275,000
FOR NATURAL PERSON/SUBSTANTIAL 1990 100,000 110,000
LOSSES OR RISK OF LOSSES TO
OTHERS.
FOR ANY OTHER PERSON/SUBSTANTIAL 1990 500,000 550,000
LOSSES OR RISK OF LOSSES TO
OTHERS.---------------------------------------------------------------------------------------------------------------- [61 FR 57774, Nov. 8, 1996, as amended at 78 FR 14181, Mar. 5, 2013]