‘‘(B) found in a proceeding brought by the Se-
curities and Exchange Commission, or by agreement 
of settlement to which the Securities and Exchange 
Commission is a party, to have recklessly, know-
ingly, or willfully violated any provision of the Secu-
rities Act of 1933, the Securities Exchange Act of 
1934, the Investment Company Act of 1940, or the 
Investment Advisers Act of 1940, or of the rules, 
regulations, or orders of the Securities and Ex-
change Commission thereunder; 
‘‘(C) found in a proceeding brought by the Fed-
eral Energy Regulatory Commission, or by agree-
ment of settlement to which the Federal Energy 
Regulatory Commission is a party, to have reck-
lessly, knowingly, or willfully violated any provision 
of the Federal Power Act (16 U.S.C. 792 et seq.), 
the Natural Gas Act (15 U.S.C. 717 et seq.), the 
Public Utility Regulatory Policies Act of 1978 (16 
U.S.C. 2601 et seq.), the Natural Gas Policy Act of 
1978 (15 U.S.C. 3301 et seq.), or the rules, regula-
tions, or orders of the Federal Energy Regulatory 
Commission issued thereunder; 
‘‘(D) convicted of any criminal violation of this 
Act or the rules, regulations, or orders of the Com-
mission thereunder; 
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‘‘(E) convicted of any criminal violation of the 
Securities Act of 1933, the Securities Exchange Act 
of 1934, the Investment Company Act of 1940, or 
the Investment Advisers Act of 1940, or of the rules, 
regulations, or orders of the Securities and Ex-
change Commission thereunder; or 
‘‘(F) convicted of any other criminal offense 
that involves any conduct, transaction, advice or ac-
tivity related to any commodity interest, as that 
term is defined by the Commission, or security-based 
swap.’’. 
(c) NONENFORCEMENT OF RULES OF GOVERNMENT 
OR OTHER VIOLATIONS.—Section 6b of the Commodity 
Exchange Act (7 U.S.C. 13a) is amended— 
(1) in the first sentence, by striking ‘‘$500,000 
for each such violation, or, in any case of manipula-
tion or attempted manipulation in violation of sec-
tion 6(c), 6(d), or 9(a)(2), a civil penalty of not 
more than $1,000,000 for each such violation’’ and 
inserting ‘‘(A) $1,000,000, in the case of a person 
who is an individual, for each violation, (B) 
$10,000,000, in the case of any person other than 
an individual, for each violation, (C) triple the mone-
tary gain to the person and all other persons acting 
in concert with the person, for each such violation, 
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or (D) triple the total amount of losses to persons 
proximately caused by each such violation, and such 
civil penalty shall be assessed for each violation on 
which a failure to enforce or other violation occurs 
or has occurred; provided that such registered entity, 
director, officer, agent, or employee may be assessed 
a civil penalty of triple the amount otherwise avail-
able if the person, within 5 years of such violation, 
has been (i) found in a proceeding brought by the 
Commission, or by agreement of settlement to which 
the Commission is a party, to have recklessly, know-
ingly, or willfully violated any provision of this Act 
or the rules, regulations, or orders of the Commis-
sion thereunder, (ii) found in a proceeding brought 
by the Securities and Exchange Commission, or by 
agreement of settlement to which the Securities and 
Exchange Commission is a party, to have recklessly, 
knowingly, or willfully violated any provision of the 
Securities Act of 1933, the Securities Exchange Act 
of 1934, the Investment Company Act of 1940, or 
the Investment Advisers Act of 1940, or of the rules, 
regulations, or orders of the Securities and Ex-
change Commission thereunder, (iii) found in a pro-
ceeding brought by the Federal Energy Regulatory 
Commission, or by agreement of settlement to which 
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the Federal Energy Regulatory Commission is a 
party, to have recklessly, knowingly, or willfully vio-
lated any provision of the Federal Power Act (16 
U.S.C. 792 et seq.), the Natural Gas Act (15 U.S.C. 
717 et seq.), the Public Utility Regulatory Policies 
Act of 1978 (16 U.S.C. 2601 et seq.), the Natural 
Gas Policy Act of 1978 (15 U.S.C. 3301 et seq.), or 
the rules, regulations, or orders of the Federal En-
ergy Regulatory Commission issued thereunder; (iv) 
convicted of any criminal violation of this Act or the 
rules, regulations, or orders of the Commission 
thereunder; (v) convicted of any criminal violation of 
the Securities Act of 1933, the Securities Exchange 
Act of 1934, the Investment Company Act of 1940, 
or the Investment Advisers Act of 1940, or of the 
rules, regulations, or orders of the Securities and 
Exchange Commission thereunder; or (vi) convicted 
of any other criminal offense that involves any con-
duct, transaction, advice or activity related to any 
commodity interest, as that term is defined by the 
Commission, or security-based swap’’; and 
(2) in the second sentence, by striking 
‘‘$500,000’’ and inserting ‘‘$1,000,000’’. 
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(d) ACTION
TO
ENJOIN
OR
RESTRAIN
VIOLA-
TIONS.—Section 6c(d) of the Commodity Exchange Act (7 
U.S.C. 13a–1(d)) is amended— 
(1) in paragraph (1), by inserting ‘‘a civil pen-
alty in the amount of’’ after ‘‘violation’’; and 
(2) by striking subparagraphs (A) and (B) of 
paragraph (1) and inserting the following: 
‘‘(A) not more than the greater of— 
‘‘(i) $1,000,000, in the case of a per-
son who is an individual, for each violation; 
‘‘(ii) $10,000,000, in the case of any 
person other than an individual, for each 
violation; 
‘‘(iii) triple the monetary gain to the 
person and all other persons acting in con-
cert with the person, for each such viola-
tion; or 
‘‘(iv) triple the total amount of losses 
by persons proximately caused by each 
such violation; or 
‘‘(B) triple the maximum amount other-
wise available under subparagraph (A) if the 
person, within 5 years preceding the violation, 
has been— 
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‘‘(i) found in a proceeding brought by 
the Commission, or by agreement of settle-
ment to which the Commission is a party, 
to have recklessly, knowingly, or willfully 
violated any provision of this Act or of the 
rules, regulations, or orders of the Com-
mission thereunder; 
‘‘(ii) found in a proceeding brought by 
the Securities and Exchange Commission, 
or by agreement of settlement to which the 
Securities and Exchange Commission is a 
party, to have recklessly, knowingly, or 
willfully violated any provision of the Secu-
rities Act of 1933, the Securities Exchange 
Act of 1934, the Investment Company Act 
of 1940, or the Investment Advisers Act of 
1940, or of the rules, regulations, or or-
ders of the Commission thereunder; 
‘‘(iii) found in a proceeding brought 
by the Federal Energy Regulatory Com-
mission, or by agreement of settlement to 
which the Federal Energy Regulatory 
Commission is a party, to have recklessly, 
knowingly, or willfully violated any provi-
sion of the Federal Power Act (16 U.S.C. 
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792 et seq.), the Natural Gas Act (15 
U.S.C. 717 et seq.), the Public Utility Reg-
ulatory Policies Act of 1978 (16 U.S.C. 
2601 et seq.), the Natural Gas Policy Act 
of 1978 (15 U.S.C. 3301 et seq.), or the 
rules, regulations, or orders of the Federal 
Energy Regulatory Commission issued 
thereunder; 
‘‘(iv) convicted of any criminal viola-
tion of this Act or of the rules, regulations, 
or orders of the Commission thereunder; 
‘‘(v) convicted of any criminal viola-
tion of the Securities Act of 1933, the Se-
curities Exchange Act of 1934, the Invest-
ment Company Act of 1940, or the Invest-
ment Advisers Act of 1940, or of the rules, 
regulations, or orders of the Securities and 
Exchange Commission thereunder; or 
‘‘(vi) convicted of any other criminal 
offense that involves any conduct, trans-
action, advice or activity related to any 
commodity interest, as that term is defined 
by the Commission, or security-based 
swap.’’. 
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