17 C.F.R. § 201.1001 app Table 1 to Subpart E of Part 201 : Commodity and Securities Exchanges — SECURITIES AND EXCHANGE COMMISSION — RULES OF PRACTICE — ADJUSTMENT OF CIVIL MONETARY PENALTIES — Civil Monetary Penalty Inflation Adjustments

U.S. Code citation	Civil monetary penalty description	Year penalty amount was established or last adjusted *	Maximum penalty amount when established or last adjusted	Maximum penalty amount in effect on November 2, 2015	New adjusted maximum penalty amount effective August 1, 2016
Securities and Exchange
Commission:
15 U.S.C. 77h - 1(g) ................	For natural person .......................................	2010	$7,500	$7,500	$8,156
For any other person ...................................	2010	75,000	80,000	81,559
For natural person/fraud ..............................	2010	75,000	80,000	81,559
For any other person/fraud .........................	2010	375,000	400,000	407,794
For natural person/substantial losses or risk of losses to others or gains to self.	2010	150,000	160,000	163,118
For any other person/substantial losses or risk of losses to others or gain to self.	2010	725,000	775,000	788,401
15 U.S.C. 77t(d) .....................	For natural person .......................................	1990	5,000	7,500	8,908
For any other person ...................................	1990	50,000	80,000	89,078
For natural person/fraud ..............................	1990	50,000	80,000	89,078
For any other person/fraud .........................	1990	250,000	400,000	445,390
For natural person/substantial losses or risk of losses to others.	1990	100,000	160,000	178,156
For any other person/substantial losses or risk of losses to others.	1990	500,000	775,000	890,780
15 U.S.C. 78ff(b) ....................	Exchange Act/failure to file information documents, reports.	1936	100	210	525
15 U.S.C. 78ff(c)(1)(B) ...........	Foreign Corrupt Practices-any issuer .......	1988	10,000	16,000	19,787
15 U.S.C. 78ff(c)(2)(B) ...........	Foreign Corrupt Practices-any agent or stockholder acting on behalf of issuer.	1988	10,000	16,000	19,787
15 U.S.C. 78u - 1(a)(3) ...........	Insider Trading-controlling person ............	1988	1,000,000	1,525,000	1,978,690
15 U.S.C. 78u-2 ....................	For natural person .......................................	1990	5,000	7,500	8,908
For any other person ...................................	1990	50,000	80,000	89,078
For natural person/fraud ..............................	1990	50,000	80,000	89,078
For any other person/fraud .........................	1990	250,000	400,000	445,390
For natural person/substantial losses or risk of losses to others or gains to self.	1990	100,000	160,000	178,156
For any other person/substantial losses or risk of losses to others or gain to self.	1990	500,000	775,000	890,780
15 U.S.C. 78u(d)(3) ...............	For natural person .......................................	1990	5,000	7,500	8,908
For any other person ...................................	1990	50,000	80,000	89,078
For natural person/fraud ..............................	1990	50,000	80,000	89,078
For any other person/fraud .........................	1990	250,000	400,000	445,390
For natural person/substantial losses or risk of losses to others.	1990	100,000	160,000	178,156
For any other person/substantial losses or risk of losses to others.	1990	500,000	775,000	890,780
15 U.S.C. 80a - 9(d) ................	For natural person .......................................	1990	5,000	7,500	8,908
For any other person ...................................	1990	50,000	80,000	89,078
For natural person/fraud ..............................	1990	50,000	80,000	89,078
For any other person/fraud .........................	1990	250,000	400,000	445,390
For natural person/substantial losses or risk of losses to others or gains to self.	1990	100,000	160,000	178,156
For any other person/substantial losses or risk of losses to others or gain to self.	1990	500,000	775,000	890,780
15 U.S.C. 80a - 41(e) ..............	For natural person .......................................	1990	5,000	7,500	8,908
For any other person ...................................	1990	50,000	80,000	89,078
For natural person/fraud ..............................	1990	50,000	80,000	89,078
For any other person/fraud .........................	1990	250,000	400,000	445,390
For natural person/substantial losses or risk of losses to others.	1990	100,000	160,000	178,156
For any other person/substantial losses or risk of losses to others.	1990	500,000	775,000	890,780
15 U.S.C. 80b - 3(i) .................	For natural person .......................................	1990	5,000	7,500	8,908
For any other person ...................................	1990	50,000	80,000	89,078
For natural person/fraud ..............................	1990	50,000	80,000	89,078
For any other person/fraud .........................	1990	250,000	400,000	445,390
For natural person/substantial losses or risk of losses to others or gains to self.	1990	100,000	160,000	178,156
For any other person/substantial losses or risk of losses to others or gain to self.	1990	500,000	775,000	890,780
15 U.S.C. 80b - 9(e) ................	For natural person .......................................	1990	5,000	7,500	8,908
For any other person ...................................	1990	50,000	80,000	89,078
For natural person/fraud ..............................	1990	50,000	80,000	89,078
For any other person/fraud .........................	1990	250,000	400,000	445,390
For natural person/substantial losses or risk of losses to others.	1990	100,000	160,000	178,156
For any other person/substantial losses or risk of losses to others.	1990	500,000	775,000	890,780
15 U.S.C. 7215(c)(4)(D)(i) .....	For natural person .......................................	2002	100,000	130,000	131,185
For any other person ...................................	2002	2,000,000	2,525,000	2,623,700
15 U.S.C. 7215(c)(4)(D)(ii) ....	For natural person .......................................	2002	750,000	950,000	983,888
For any other person ...................................	2002	15,000,000	18,925,000	19,677,750

* Adjustments include any revisions by Congress in statute, or by the agency through regulation, other than pursuant to the Inflation Adjustment Act.

17C.F.R. 201.1001 app Table 1 to Subpart E of Part 201

81 FR 43045, 8/1/2016