Rule 8: Securities and Commodities Fraud

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 240241, 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).
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