Whistleblower Program

A common best practice for dealing with the SEC’s whistleblower rule is to offer a hotline for anonymous reporting (IA Watch, June 4, 2012). IA ...

Five years after Congress approved an expanded whistleblower program for the SEC (IA Watch, Nov. 15, 2015), a fundamental question remains unresolved with increasing signs ...

A whistleblower's submission of information to the Commission will be a two-step process. (a) First, the whistleblower will need to submit the whistleblower's information to ...

(a) In general. Section 23(h)(2) of the Commodity Exchange Act requires that the Commission not disclose information that could reasonably be expected to reveal the ...

(a) Subject to the eligibility requirements described in these rules, the Commission will pay an award to one or more whistleblowers who: (1) Provide a ...

(a) No award under §165.7 shall be made: (1) To any whistleblower who is, or was at the time the whistleblower acquired the original information ...

(a) Whenever a Commission judicial or administrative action results in monetary sanctions totaling more than $1,000,000 (i.e., a covered judicial or administrative action) the Commission ...

If all of the conditions are met for a whistleblower award in connection with a covered judicial or administrative action or a related action, the ...

The determination of the amount of an award shall be in the discretion of the Commission. The Commission may exercise this discretion directly or through ...

(a) The following items constitute the record upon which the award determination under §165.7 shall be made: (1) The whistleblower's Form TCR, “Tip, Complaint or ...