The SEC's whistleblower program was established by Congress to incentivize whistleblowers to report specific, timely and credible information about possible federal securities laws violations. The Commission is authorized to provide monetary awards to eligible individuals who come forward with high-quality original information that leads to an SEC enforcement action in which over $1 million in sanctions is ordered. The range for awards is between 10% and 30% of the money collected. Read the FY23...
NOTICE: We strongly encourage the public (including whistleblowers) to submit any tips, complaints, and referrals (TCRs) using the SEC’s online TCR system and complaint form. If you submit your TCR using the online TCR system, you will receive a notice confirming that your submission has been received successfully and providing a submission number for your records. Until further notice, any tips, complaints, and referrals submitted by mail (including whistleblower Form TCRs) should be sent to ...
[2][3] The SEC Whistleblower Program rewards people who submit tips related to violations of the federal securities laws. [4] The program offers robust employment protections, monetary...
The Dodd-Frank Wall Street Reform and Consumer Protection Act expanded the protections for whistleblowers and broadened the prohibitions against retaliation. Following the passage of Dodd-Frank, the SEC implemented rules that enabled the SEC to take legal action against employers who have retaliated against whistleblowers. This generally means that employers may not discharge, demote, suspend, harass, or in any way discriminate against an employee in the terms and conditions of employment who has reported conduct to the Commission that the empl ...
2 We recognize and applaud the courage and commitment of the hundreds of whistleblowers who submitted valuable information under the SEC’s whistleblower program, and we anticipate that...
Claim an Award ; We post Notices of Covered Action for each SEC action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million. The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the SEC opening an investigation ...
22 Report available on the Web at: http://www.sec.gov/about/offices/owb/annual-report-2013.pdf dOdd-fRAnk WhiSTlEBlOWER PROgRAm | 1 M e s s a g e f r o M t h e C h i e f o f t h e o f f i C...
and does not disclose information that could reveal a whistleblower's identity. For more information about the whistleblower program and how to report a tip, visit www.sec.gov/whistleblower.
"Today's permanent bars send an important message that frivolous award filers will not be tolerated." Under the SEC's whistleblower program, individuals who voluntary submit high quality...
Help NWC pass the bipartisan SEC Whistleblower Reform Act, which reinstitutes anti-retaliation protections for internal whistleblowers. It also further strengthens the program by addressing the lon...