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SEC RIN: 3235-AL94 Publication ID: Fall 2016 
Title: ●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.

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:
Action Source Description Date
Final  Statutory  Required by statute to be affective by august 1, 2016  08/01/2016 
Action Date FR Cite
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 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Federal 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
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