3235-AL94 201610 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Adjustments in Civil Monetary Penalty Amounts

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.

]]> Substantive, Nonsignificant First Time Published in The Unified Agenda Final Rule Stage No No 17 CFR 201.1001 Part 2101, subpart E, Table 1 Pub. L. 114-74, Sec.701 Statutory Final 08/01/2016 Required by statute to be affective by august 1, 2016 No Interim Final Rule 07/01/2016 81 FR 43042 Interim Final Rule Effective 08/01/2016 Interim Final Rule Comment Period End 08/15/2016 Final Action 10/00/2017 No Businesses Federal No www.sec.gov/rules/interim/2016/33-10104.pdf No No James Cappoli Office of General Counsel 3235 Securities and Exchange Commission SEC 202 551-7932 cappolij@sec.gov 100 F Street NE, Washington DC 20549