SECGeneralJuly 7, 2026

SEC Civil Penalty Amounts Frozen — No 2026 Inflation Adjustment

The SEC has announced that, per OMB guidance, civil monetary penalties under key securities laws (Securities Act, Exchange Act, Investment Company Act, Advisers Act, Sarbanes-Oxley) will not be adjusted for inflation in 2026. The penalty maximums set in January 2025 remain in effect for all violations occurring after November 2, 2015. Broker-dealers, RIAs, and crypto firms registered with or subject to SEC jurisdiction should note that penalty exposure levels are unchanged heading into 2026.

What to do

Update your internal enforcement risk register and compliance training materials to confirm the current SEC civil penalty maximums remain at 2025 levels with no upward adjustment for 2026.

Who this affects

Broker-Dealer / RIACrypto ExchangeCrypto CustodianOther

Does this affect your program?

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Source

Read the official publication

This radar entry is educational and does not constitute legal advice. Summaries are AI-assisted and grounded in the linked official source; always verify against the primary source and consult qualified legal counsel for jurisdiction-specific guidance.

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