Whistleblower Program

In determining whether the required $1,000,000 threshold has been satisfied (this threshold is further explained in §240.21F-10 of this chapter) for purposes of making any ...

(a) No person may take any action to impede an individual from communicating directly with the Commission staff about a possible securities law violation, including ...

The Securities Whistleblower Incentives and Protection provisions do not provide amnesty to individuals who provide information to the Commission. The fact that you may become ...

(a) Definitions In this section: (1) Covered judicial or administrative action The term “covered judicial or administrative action” means any judicial or administrative action brought ...

(a) Definitions In this section: (1) Covered judicial or administrative action The term “covered judicial or administrative action” means any judicial or administrative action brought ...

The number and dollar amount of whistleblower awards in fiscal year 2014 made the year an “historic” one for the SEC’s Office of the Whistleblower. ...

Click here to open a Word file that is an example of policies and procedures for the SEC's whistleblower rule. These come with permission of ...

A record 755 enforcement actions filed in 2014 has SEC Enforcement Director Andrew Ceresney deeming FY 2014 “a banner year for the Enforcement Division.” His division handled twice ...

First, the SEC announced the inaugural whistleblower award to a compliance officer (IA Watch, Sept. 5, 2014). Now, the agency unveiled last week its largest ...

You may have missed it, given that the SEC picked the day before the big Labor Day weekend to announce its first whistleblower award to ...