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Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.201.1001—Civil Monetary Penalty Inflation Adjustments for Violations From December 10, 1996, Through November 2, 2015

Current as of October 02, 2022 | Updated by FindLaw Staff

Table I to 201.1001—Civil Monetary Penalty Inflation Adjustments for Violations From December 10, 1996, Through November 2, 2015

U.S. Code
citation

Civil monetary penalty
description

Date of violation and corresponding penalty

Dec. 10, 1996-

Feb. 3, 2001-

Feb. 15, 2005-

Mar. 4, 2009-

Mar. 6, 2013

Feb. 2, 2001 i

Feb. 14, 2005 ii

Mar. 3, 2009 iii

Mar. 5, 2013 iv

Nov. 2, 2015 v

15 U.S.C. 77h-1(g) (Securities Act Sec. 8A(g))

For natural person

N/A

N/A

N/A

vi $7,500

$7,500

For any other person

N/A

N/A

N/A

vi 75,000

80,000

For natural person/fraud

N/A

N/A

N/A

vi 75,000

80,000

For any other person/fraud

N/A

N/A

N/A

vi 375,000

400,000

For natural person/fraud/substantial losses or risk of losses to others or gains to self

N/A

N/A

N/A

vi 150,000

160,000

For any other person/fraud/substantial losses or risk of losses to others or gain to self

N/A

N/A

N/A

vi 725,000

775,000

15 U.S.C. 77t(d) (Securities Act Sec. 20(d))

For natural person

$5,500

$6,500

$6,500

7,500

7,500

For any other person

55,000

60,000

65,000

75,000

80,000

For natural person/fraud

55,000

60,000

65,000

75,000

80,000

For any other person/fraud

275,000

300,000

325,000

375,000

400,000

For natural person/fraud/substantial losses or risk of losses to others

110,000

120,000

130,000

150,000

160,000

For any other person/fraud/substantial losses or risk of losses to others

550,000

600,000

650,000

725,000

775,000

15 U.S.C. 78u(d)(3) (Exchange Act Sec. 21(d)(3))

For natural person

5,500

6,500

6,500

7,500

7,500

For any other person

55,000

60,000

65,000

75,000

80,000

For natural person/fraud

55,000

60,000

65,000

75,000

80,000

For any other person/fraud

275,000

300,000

325,000

375,000

400,000

For natural person/fraud/substantial losses or risk of losses to others or gains to self

110,000

120,000

130,000

150,000

160,000

For any other person/fraud/substantial losses or risk of losses to others or gain to self

550,000

600,000

650,000

725,000

775,000

15 U.S.C. 78u-1(a)(3) (Exchange Act Sec. 21A(a)(3))

Insider Trading—controlling person

1,100,000

1,200,000

1,275,000

1,425,000

1,525,000

15 U.S.C. 78u-2 (Exchange Act Sec. 21B)

For natural person

5,500

6,500

6,500

7,500

7,500

For any other person

55,000

60,000

65,000

75,000

80,000

For natural person/fraud

55,000

60,000

65,000

75,000

80,000

For any other person/fraud

275,000

300,000

325,000

375,000

400,000

For natural person/fraud/substantial losses or risk of losses to others

110,000

120,000

130,000

150,000

160,000

For any other person/fraud/substantial losses or risk of losses to others

550,000

600,000

650,000

725,000

775,000

15 U.S.C. 78ff(b) (Exchange Act Sec. 32(b))

Exchange Act/failure to file information documents, reports

110

110

110

110

210

15 U.S.C. 78ff(c)(1)(B) (Exchange Act Sec. 32(c)(1)(B))

Foreign Corrupt Practices—any issuer

11,000

11,000

11,000

16,000

16,000

15 U.S.C. 78ff(c)(2)(B) (Exchange Act Sec. 32(c)(2)(B))

Foreign Corrupt Practices—any agent or stockholder acting on behalf of issuer

11,000

11,000

11,000

16,000

16,000

15 U.S.C. 80a-9(d) (Investment Company Act Sec. 9(d))

For natural person

5,500

6,500

6,500

7,500

7,500

For any other person

55,000

60,000

65,000

75,000

80,000

For natural person/fraud

55,000

60,000

65,000

75,000

80,000

For any other person/fraud

275,000

300,000

325,000

375,000

400,000

For natural person/fraud/substantial losses or risk of losses to others or gains to self

110,000

120,000

130,000

150,000

160,000

For any other person/fraud/substantial losses or risk of losses to others or gain to self

550,000

600,000

650,000

725,000

775,000

15 U.S.C. 80a-41(e) (Investment Company Act Sec. 42(e))

For natural person

5,500

6,500

6,500

7,500

7,500

For any other person

55,000

60,000

65,000

75,000

80,000

For natural person/fraud

55,000

60,000

65,000

75,000

80,000

For any other person/fraud

275,000

300,000

325,000

375,000

400,000

For natural person/fraud/substantial losses or risk of losses to others

110,000

120,000

130,000

150,000

160,000

For any other person/fraud/substantial losses or risk of losses to others

550,000

600,000

650,000

725,000

775,000

15 U.S.C. 80b-3(i) (Investment Advisers Act Sec. 203(i))

For natural person

5,500

6,500

6,500

7,500

7,500

For any other person

55,000

60,000

65,000

75,000

80,000

For natural person/fraud

55,000

60,000

65,000

75,000

80,000

For any other person/fraud

275,000

300,000

325,000

375,000

400,000

For natural person/fraud/substantial losses or risk of losses to others or gains to self

110,000

120,000

130,000

150,000

160,000

For any other person/fraud/substantial losses or risk of losses to others or gain to self

550,000

600,000

650,000

725,000

775,000

15 U.S.C. 80b-9(e) (Investment Advisers Act Sec. 209(e))

For natural person

5,500

6,500

6,500

7,500

7,500

For any other person

55,000

60,000

65,000

75,000

80,000

For natural person/fraud

55,000

60,000

65,000

75,000

80,000

For any other person/fraud

275,000

300,000

325,000

375,000

400,000

For natural person/fraud/substantial losses or risk of losses to others

110,000

120,000

130,000

150,000

160,000

For any other person/fraud/substantial losses or risk of losses to others

550,000

600,000

650,000

725,000

775,000

15 U.S.C. 7215(c)(4)(D)(i) (Sarbanes-Oxley Act Sec. 105(c)(4)(D)(i))

For natural person

N/A

vii 100,000

110,000

120,000

130,000

For any other person

N/A

vii 2,000,000

2,100,000

2,375,000

2,525,000

15 U.S.C. 7215(c)(4)(D)(ii) (Sarbanes-Oxley Act Sec. 105(c)(4)(D)(ii))

For natural person

N/A

vii 750,000

800,000

900,000

950,000

For any other person

N/A

vii 15,000,000

15,825,000

17,800,000

18,925,000

i Release Nos. 33-7361, 34-37912, IA-1596, IC-22310, dated November 1, 1996 (effective December 9, 1996), previously found at 17 CFR 201.1001 and Table I to Subpart E of Part 201.

ii Release Nos. 33-7946, 34-43897, IA-1921, IC-24846, dated January 31, 2001 (effective February 2, 2001), previously found at 17 CFR 201.1002 and Table II to Subpart E of Part 201.

iii Release Nos. 33-8530, 34-51136, IA-2348, IC-26748, dated February 9, 2005 (effective February 14, 2005), previously found at 17 CFR 201.1003 and Table III to Subpart E of Part 201.

iv Release Nos. 33-9009, 34-59449, IA-2845, IC-28635, dated February 25, 2009 (effective March 3, 2009), previously found at 17 CFR 201.1004 and Table IV to Subpart E of Part 201.

v Release Nos. 33-9387, 34-68994, IA-3557, IC-30408, dated February 27, 2013 (effective March 5, 2013), previously found at 17 CFR 201.1005 and Table V to Subpart E of Part 201.

vi Effective from July 21, 2010 (enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203), through March 5, 2013.

vii Effective from July 30, 2002 (enactment of the Sarbanes-Oxley Act of 2002, Pub. L. 107-204), through February 14, 2005.

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Cite this article: FindLaw.com - Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.201.1001—Civil Monetary Penalty Inflation Adjustments for Violations From December 10, 1996, Through November 2, 2015 - last updated October 02, 2022 | https://codes.findlaw.com/cfr/title-17-commodity-and-securities-exchanges/cfr-sect-17-201-1001-tbl-i/

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