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Adjustments to Civil Monetary Penalty Amounts

SEC · final-rule · Published 2016-07-01 · Effective 2016-08-01 · 81 FR 43042

Document

Document number
2016-15541
Federal Register citation
81 FR 43042
CFR reference
17 CFR 201
Type
Rule
Action
Interim final rule; request for comment.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2016-07-01
Effective date
2016-08-01
Docket
Release Nos. 33-10104

Abstract

The Securities and Exchange Commission (the "Commission") is adopting an interim final rule to implement the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, which amended the Federal Civil Penalties Inflation Adjustment Act of 1990, as previously amended by the Debt Collection Improvement Act of 1996. This interim final rule adjusts for inflation the maximum amount of civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and certain penalties under the Sarbanes-Oxley Act of 2002.

Source

Authoritative
Federal Register document
Machine
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