Table 1 to Paragraph (b)(1)
U.S. Code citation | Civil monetary penalty description | Date of violation and corresponding penalty | |||
10/23/2004 through 10/22/2008 | 10/23/2008 through 10/22/2012 | 10/23/2012 through 11/01/2015 | 11/02/2015 to present | ||
Civil Monetary Penalty Imposed by the Commission in an Administrative Action | |||||
7 U.S.C. 9 (Section 6(c) of the Commodity Exchange Act) | For any person other than a registered entity1 | $130,000 | $140,000 | $140,000 | $201,021 |
7 U.S.C. 13a (Section 6b of the Commodity Exchange Act) | For a registered entity1 or any of its directors, officers or employees | 625,000 | 675,000 | 700,000 | 1,107,332 |
Civil Monetary Penalty Imposed by a Federal District Court in a Civil Injunctive Action | |||||
7 U.S.C. 13a-1 (Section 6c of the Commodity Exchange Act) | Any Person | 130,000 | 140,000 | 140,000 | 221,466 |
1 The term "Registered Entity" is defined in 7 U.S.C. 1a (Section 1a of the Commodity Exchange Act).
Table 2 to Paragraph (b)(2)
U.S. Code citation | Civil monetary penalty description | Date of violation and corresponding penalty | |||
10/23/2004 through 05/21/2008 | 05/22/2008 through 08/14/2011 | 08/15/2011 through 11/01/2015 | 11/02/2015 to present | ||
Civil Monetary Penalty Imposed by the Commission in an Administrative Action | |||||
7 U.S.C. 9 (Section 6(c) of the Commodity Exchange Act) | For any person other than a registered entity1 | $130,000 | $1,000,000 | $1,025,000 | $1,450,040 |
7 U.S.C. 13a (Section 6b of the Commodity Exchange Act) | For a registered entity1 or any of its directors, officers or employees | 625,000 | 1,000,000 | 1,025,000 | 1,450,040 |
Civil Monetary Penalty Imposed by a Federal District Court in a Civil Injunctive Action | |||||
7 U.S.C. 13a-1 (Section 6c of the Commodity Exchange Act) | Any Person | 130,000 | 1,000,000 | 1,025,000 | 1,450,040 |
1 The term "Registered Entity" is defined in 7 U.S.C. 1a (Section 1a of the Commodity Exchange Act).
17 C.F.R. §143.8