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, the Investment Advisers Act of 1940, and certain penalties under the Sarbanes-Oxley Act of 2002 are adjusted for inflation in accordance with Table V to this subpart. The adjustments set forth in Table V apply to violations occurring after March 5, 2013. [78 FR 14181, Mar. 5, 2013] Sec. Table V to Subpart E of Part 201--Civil Monetary Penalty Inflation
Adjustments ----------------------------------------------------------------------------------------------------------------
Maximum
Year penalty Adjusted
Civil monetary penalty penalty amount maximum
U.S. Code citation description amount was pursuant to penalty
last last amount
adjusted adjustment----------------------------------------------------------------------------------------------------------------Securities and Exchange Commission:
15 U.S.C. 77h-1(g).................. For natural person............. 2010 $7,500 $7,500
For any other person........... 2010 75,000 80,000
For natural person/fraud....... 2010 75,000 80,000
For any other person/fraud..... 2010 375,000 400,000
For natural person/substantial 2010 150,000 160,000
losses or risk of losses to
others.
For any other person/ 2010 725,000 775,000
substantial losses or risk of
losses to others.
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 2009 150,000 160,000
losses or risk of losses to
others.
For any other person/ 2009 725,000 775,000
substantial losses or risk of
losses to others.
15 U.S.C. 78ff(b)................... Exchange Act/failure to file 1996 110 210
information documents, reports.
15 U.S.C. 78ff(c)(1)(B)............. Foreign Corrupt Practices--any 2009 16,000 16,000
issuer.
15 U.S.C. 78ff(c)(2)(B)............. Foreign Corrupt Practices--any 2009 16,000 16,000
agent or stockholder acting on
behalf of issuer.
15 U.S.C. 78u-1(a)(3)............... Insider Trading--controlling 2009 1,425,000 1,525,000
person.
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 2009 150,000 160,000
losses to others/gains to self.
For any other person/ 2009 725,000 775,000
substantial losses to others/
gain to self.
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 2009 150,000 160,000
losses or risk of losses to
others.
For any other person/ 2009 725,000 775,000
substantial losses or risk of
losses to others.
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 2009 150,000 160,000
losses to others/gains to self.
For any other person/ 2009 725,000 775,000
substantial losses to others/
gain to self.
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 2009 150,000 160,000
losses or risk of losses to
others.
For any other person/ 2009 725,000 775,000
substantial losses or risk of
losses to others.
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 2009 150,000 160,000
losses to others/gains to self.
For any other person/ 2009 725,000 775,000
substantial losses to others/
gain to self.
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 2009 150,000 160,000
losses or risk of losses to
others.
For any other person/ 2009 725,000 775,000
substantial losses or risk of
losses to others.
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]