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SEC | RIN: 3235-AL94 | Publication ID: Fall 2016 |
Title: ●Adjustments in Civil Monetary Penalty Amounts | |
Abstract:
The Commission adopted an interim final rule that adjusts for inflation the maximum amount of civil monetary penalties under the Securities Act, the Exchange Act, the Investment Company Act, the Investment Advisers Act, and certain penalties under the Sarbanes-Oxley Act, as mandated by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: No | Unfunded Mandates: No |
CFR Citation: 17 CFR 201.1001 Part 2101, subpart E, Table 1 (To search for a specific CFR, visit the Code of Federal Regulations.) | |
Legal Authority: Pub. L. 114-74, Sec.701 |
Legal Deadline:
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: Federal |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/interim/2016/33-10104.pdf | |
RIN Data Printed in the FR: No | |
Agency Contact: James Cappoli Office of General Counsel Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-7932 Email: cappolij@sec.gov |