Key Resources for Filing a Whistleblower Claim with the Securities and Commodities Exchange
Whistleblowing Under the SEC Office of the Whistleblower
Securities Exchange Act Statutes and Regulations
- Securities Whistleblower Incentives and Protection 15 U.S.C Section 78-u-6 Law authorizing Payment of rewards (minimum 10% and maximum 30% for original information resulting in a successful enforcement action)
- 15 U.S.C. 78u-6(h) Dodd-Frank Anti-Retaliation provisions for Securities Trading Industry Whistleblowers.
- 17 C.F.R. part 240, 241, and 249.
- SEC Comments Accompanying Final Whistleblower Rule
- The SEC’s Rulemaking for the Dodd-Frank whistleblower protections as of June 13, 2011.
- Dodd-Frank Act, Public Law No.111-203, 124 Statutes at Large 1376 (July 21, 2010).
to gain access to The Rules for Whistleblowing online resources.