Securities Whistleblower Incentives and Protections

Sections

• 240.21F-1
  § 240.21F-1 General.
• 240.21F-2
  § 240.21F-2 Whistleblower status, award eligibility, confidentiality, and retaliation protections.
• 240.21F-3
  § 240.21F-3 Payment of awards.
• 240.21F-4
  § 240.21F-4 Other definitions.
• 240.21F-5
  § 240.21F-5 Amount of award.
• 240.21F-6
  § 240.21F-6 Criteria for determining amount of award.
• 240.21F-7
  § 240.21F-7 Confidentiality of submissions.
• 240.21F-8
  § 240.21F-8 Eligibility and forms.
• 240.21F-9
  § 240.21F-9 Procedures for submitting original information.
• 240.21F-10
  § 240.21F-10 Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.
• 240.21F-11
  § 240.21F-11 Procedures for determining awards based upon a related action.
• 240.21F-12
  § 240.21F-12 Materials that may form the basis of an award determination and that may comprise the record on appeal.
• 240.21F-13
  § 240.21F-13 Appeals.
• 240.21F-14
  § 240.21F-14 Procedures applicable to the payment of awards.
• 240.21F-15
  § 240.21F-15 No amnesty.
• 240.21F-16
  § 240.21F-16 Awards to whistleblowers who engage in culpable conduct.
• 240.21F-17
  § 240.21F-17 Staff communications with individuals reporting possible securities law violations.
• 240.21F-18
  § 240.21F-18 Summary disposition.