17 C.F.R. Subpart E—Adjustment of Civil Monetary Penalties
Title 17 - Commodity and Securities Exchanges
Authority: Pub. L. 104–134, 110 Stat. 1321.
Source: 61 FR 57774, Nov. 8, 1996, unless otherwise noted.
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]
Title 17: Commodity and Securities Exchanges
PART 201—RULES OF PRACTICE
Subpart E—Adjustment of Civil Monetary Penalties
§ 201.1001 Adjustment of civil monetary penalties—1996.
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.----------------------------------------------------------------------------------------------------------------
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