17 C.F.R. Table 1 to Subpart E—Civil Monetary Penalty Inflation Adjustments
Title 17 - Commodity and Securities Exchanges
Title 17: Commodity and Securities Exchanges
PART 201—RULES OF PRACTICE
Subpart E—Adjustment of Civil Monetary Penalties
Table 1 to Subpart E—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 USC 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 USC 78ff(b).............. EXCHANGE ACT/FAILURE TO FILE 1936 100 110 INFORMATION DOCUMENTS, REPORTS. 15 USC 78ff(c)(1)(B)........ FOREIGN CORRUPT PRACTICES_ANY 1988 10,000 11,000 ISSUER. 15 USC 78ff(c)(2)(C)........ FOREIGN CORRUPT PRACTICES_ANY 1988 10,000 11,000 AGENT OR STOCKHOLDER ACTING ON BEHALF OF ISSUER. 15 USC 78u-1(a)(3).......... INSIDER TRADING_CONTROLLING 1988 1,000,000 1,100,000 PERSONS. 15 USC 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 USC 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 USC 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 USC 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 USC 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 USC 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.----------------------------------------------------------------------------------------------------------------
