17 C.F.R. Table III to Subpart E—Civil Monetary Penalty Inflation Adjustments
Title 17 - Commodity and Securities Exchanges
[70 FR 7607, Feb. 14, 2005]
Title 17: Commodity and Securities Exchanges
PART 201—RULES OF PRACTICE
Table III to Subpart E—Civil Monetary Penalty Inflation Adjustments
Table III 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 to penalty last last amount adjusted adjustment---------------------------------------------------------------------------------------------------------------- Securities and Exchange Commission----------------------------------------------------------------------------------------------------------------15 U.S.C. 77t(d)........................ For natural person............. 2001 $6,500 $6,500 For any other person........... 2001 60,000 65,000 For natural person/fraud....... 2001 60,000 65,000 For any other person/fraud..... 2001 300,000 325,000 For natural person/substantial 2001 120,000 130,000 losses or risk of losses to others. For any other person/ 2001 600,000 650,000 substantial losses or risk of losses to others.15 U.S.C. 78ff(b)....................... Exchange Act/failure to file 1996 110 110 information documents, reports.15 U.S.C. 78ff(c)(1)(B)................. Foreign Corrupt Practices_any 1996 11,000 11,000 issuer.15 U.S.C. 78ff(c)(2)(C)................. Foreign Corrupt Practices_any 1996 11,000 11,000 agent or stockholder acting on behalf of issuer.15 U.S.C. 78u-1(a)(3)................... Insider Trading_controlling 2001 1,200,000 1,275,000 person.15 U.S.C. 78u-2......................... For natural person............. 2001 6,500 6,500 For any other person........... 2001 60,000 65,000 For natural person/fraud....... 2001 60,000 65,000 For any other person/fraud..... 2001 300,000 325,000 For natural person/substantial 2001 120,000 130,000 losses to others/gains to self. For any other person/ 2001 600,000 650,000 substantial losses to others/ gain to self.15 U.S.C. 78u(d)(3)..................... For natural person............. 2001 6,500 6,500 For any other person........... 2001 60,000 65,000 For natural person/fraud....... 2001 60,000 65,000 For any other person/fraud..... 2001 300,000 325,000 For natural person/substantial 2001 120,000 130,000 losses or risk of losses to others. For any other person/ 2001 600,000 650,000 substantial losses or risk of losses to others.15 U.S.C. 80a-9(d)...................... For natural person............. 2001 6,500 6,500 For any other person........... 2001 60,000 65,000 For natural person/fraud....... 2001 60,000 65,000 For any other person/fraud..... 2001 300,000 325,000 For natural person/substantial 2001 120,000 130,000 losses to others/gains to self. For any other person/ 2001 600,000 650,000 substantial losses to others/ gain to self.15 U.S.C. 80a-41(e)..................... For natural person............. 2001 6,500 6,500 For any other person........... 2001 60,000 65,000 For natural person/fraud....... 2001 60,000 65,000 For any other person/fraud..... 2001 300,000 325,000 For natural person/substantial 2001 120,000 130,000 losses or risk of losses to others. For any other person/ 2001 600,000 650,000 substantial losses or risk of losses to others.15 U.S.C. 80b-3(i)...................... For natural person............. 2001 6,500 6,500 For any other person........... 2001 60,000 65,000 For natural person/fraud....... 2001 60,000 65,000 For any other person/fraud..... 2001 300,000 325,000 For natural person/substantial 2001 120,000 130,000 losses to others/gains to self. For any other person/ 2001 600,000 650,000 substantial losses to others / gain to self.15 U.S.C. 80b-9(e)...................... For natural person............. 2001 6,500 6,500 For any other person........... 2001 60,000 65,000 For natural person/fraud....... 2001 60,000 65,000 For any other person/fraud..... 2001 300,000 325,000 For natural person/substantial 2001 120,000 130,000 losses or risk of losses to others. For any other person/ 2001 600,000 650,000 substantial losses or risk of losses to others.15 U.S.C. 7215(c)(4)(D)(i).............. For natural person............. 2002 100,000 110,000 For any other person........... 2002 2,000,000 2,100,00015 U.S.C. 7215(c)(4)(D)(ii)............. For natural person............. 2002 750,000 800,000 For any other person........... 2002 15,000,000 15,825,000----------------------------------------------------------------------------------------------------------------
