17 C.F.R. Table II to Subpart E—Civil Monetary Penalty Inflation Adjustments
Title 17 - Commodity and Securities Exchanges
[66 FR 8762, Feb. 2, 2001]
Title 17: Commodity and Securities Exchanges
PART 201—RULES OF PRACTICE
Table II to Subpart E—Civil Monetary Penalty Inflation Adjustments
---------------------------------------------------------------------------------------------------------------- Maximum Year penalty Adjusted Civil monetary penalty penalty amount maximum U.S. Code citation description amount was pursuant penalty last to 1996 amount adjusted adjustment----------------------------------------------------------------------------------------------------------------Securities and Exchange Commission: 15 USC 77t(d)....................... For natural person............. 1996 $5,500 $6,500 For any other person........... 1996 55,000 60,000 For natural person/fraud....... 1996 55,000 60,000 For any other person/fraud..... 1996 275,000 300,000 For natural person/substantial 1996 110,000 120,000 losses or risk of losses to others. For any other person/ 1996 550,000 600,000 substantial losses or risk of losses to others. 15 USC 78ff(b)...................... Exchange Act/failure to file 1996 110 110 information documents, reports. 15 USC 78ff(c)(1)(B)................ Foreign Corrupt Practices_any 1996 11,000 11,000 issuer. 15 USC 78ff(c)(2)(C)................ Foreign Corrupt Practices_any 1996 11,000 11,000 agent or stockholder acting on behalf of issuer. 15 USC 78u-1(a)(3).................. Insider Trading_controlling 1996 1,100,000 1,200,000 person. 15 USC 78u-2........................ For natural person............. 1996 5,500 6,500 For any other person........... 1996 55,000 60,000 For natural person/fraud....... 1996 55,000 60,000 For any other person/fraud..... 1996 275,000 300,000 For natural person/substantial 1996 110,000 120,000 losses to others/gains to self. For any other person/ 1996 550,000 600,000 substantial losses to others/ gain to self. 15 USC 78u(d)(3).................... For natural person............. 1996 5,500 6,500 For any other person........... 1996 55,000 60,000 For natural person/fraud....... 1996 55,000 60,000 For any other person/fraud..... 1996 275,000 300,000 For natural person/substantial 1996 110,000 120,000 losses or risk of losses to others. For any other person/ 1996 550,000 600,000 substantial losses or risk of losses to others. 15 USC 80a-9(d)..................... For natural person............. 1996 5,500 $6,500 For any other person........... 1996 55,000 60,000 For natural person/fraud....... 1996 55,000 60,000 For any other person/fraud..... 1996 275,000 300,000 For natural person/substantial 1996 110,000 120,000 losses to others/gains to self. For any other person/ 1996 550,000 600,000 substantial losses to others/ gain to self. 15 USC 80a-41(e).................... For natural person............. 1996 5,500 6,500 For any other person........... 1996 55,000 60,000 For natural person/fraud....... 1996 55,000 60,000 For any other person/fraud..... 1996 275,000 300,000 For natural person/substantial 1996 110,000 120,000 losses or risk of losses to others. For any other person/ 1996 550,000 600,000 substantial losses or risk of losses to others. 15 USC 80b-3(i)..................... For natural person............. 1996 5,500 6,500 For any other person........... 1996 55,000 60,000 For natural person/fraud....... 1996 55,000 60,000 For any other person/fraud..... 1996 275,000 300,000 For natural person/substantial 1996 110,000 120,000 losses to others/gains to self. For any other person/ 1996 550,000 600,000 substantial losses to others/ gain to self. 15 USC 80b-9(e)..................... For natural person............. 1996 5,500 6,500 For any other person........... 1996 55,000 60,000 For natural person/fraud....... 1996 55,000 60,000 For any other person/fraud..... 1996 275,000 300,000 For natural person/substantial 1996 110,000 120,000 losses or risk of losses to others. For any other person/ 1996 550,000 600,000 substantial losses or risk of losses to others.----------------------------------------------------------------------------------------------------------------
