Whistleblower Program

While the staff is preparing and the Commission is considering potential additional rulemaking, the procedures discussed below are available to whistleblowers with claims pending during ...

"This course of action is unwise and continues a troubling and counterproductive precedent .... This reduces the certainty of the law, a consequence that does ...

"We must ensure that whistleblowers are empowered to come forward when they see misbehavior; that they are appropriately compensated according to the framework established by ...

"I have directed the staff to prepare for the Commission’s consideration later this year potential revisions to these two rules that would address the concerns ...

The money may spur more whistleblower awards because the law requires the Commission to spend the money by Oct. 2022 or any of the remaining ...

The Exchange Act prohibits "any person from taking any action to impede an individual from communicating directly with the Commission staff about a possible securities ...

Firms can do a better job of publicizing their hotlines. One CCO talks about it annually during compliance training and posters hang in employee breakrooms ...

The SEC isn't going to walk away from a good retaliation case, says Jordan Thomas, one of the pioneers in finreg whistleblower litigation.

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

"to be eligible for an award, you must declare under penalty of perjury at the time you submit your information ... that your information is ...