Welcome to the Office of the Whistleblower Website!

Whistleblower Award Program

On July 21, 2010, the President signed into law the "Dodd-Frank Wall Street Reform and Consumer Protection Act" (the "Act"). Among other things, the Act establishes a whistleblower program that enables the SEC to pay an award, under regulations prescribed by the SEC and subject to certain limitations, to eligible whistleblowers who:

• voluntarily provide the SEC
• original information about a violation of the federal securities laws
• in writing
• that leads to the successful enforcement of a covered judicial or administrative action, or a related action resulting in monetary sanctions exceeding $1 million.

Awards will be paid out of the statutorily-created Investor Protection Fund, which currently has a balance in excess of $450 million.

Adoption of Final Rules

On May 25, 2011, the Commission adopted Final Rules to implement the Dodd-Frank whistleblower program. The Final Rules will be effective on August 12, 2011. After August 12, 2011, individuals wishing to be considered for an award under the Whistleblower Program will be required to submit the online TCR questionnaire or the newly approved Form-TCR. The updated online questionnaire and Form-TCR will be accessible on this website beginning on August 12, 2011.

Submitting Your Tip, Complaint or Referral

Until the Final Rules are effective, submitting your information to us in writing will satisfy the statutory requirement and preserve your right to be considered for a whistleblower award. You are encouraged to submit your information in writing online by filling out the current questionnaire in our Tips, Complaints and Referrals Portal.

Alternatively, you may submit your information in writing:

• by mail to the Office of the Whistleblower at 100 F Street, NE, Mail Stop 5971, Washington, D.C. 20549, or
• by fax to (703) 813-9322.

Anonymous Reporting

You may always submit your information anonymously. However, if you'd like to be considered for an award under the whistleblower program while remaining anonymous, the Act requires that you submit your information through an attorney.

The Final Rules impose requirements on those that anonymously submit information in writing from July 21, 2010 (when Dodd-Frank was passed) until the date that the Final Rules are effective. Specifically, if you submit the information anonymously during this period, you will be required to provide your attorney with a completed and signed copy of the new Form TCR within 60 days of the effective date of the Final Rules.

Anti-retaliation Protection

The Act expressly prohibits retaliation by employers against individuals who become whistleblowers under SEC rules, even if they do not recover a whistleblower award, and provides them with a private cause of action in the event that they are discharged or discriminated against by their employers in violation of the Act. You can review the Dodd-Frank anti-retaliation provisions. In addition, OSHA's Office of the Whistleblower Protection Program continues to administer the whistleblower protection provisions under the Sarbanes Oxley Act of 2002.

What the Future Holds

This site will be updated on the date the Final Rules are effective to provide a link to the new Form TCR and frequently asked questions about what the Final Rules require with regard to submitting information to us, to submitting a claim for an award under the program and the procedures and considerations in connection with assessing award claims.

http://www.sec.gov/complaint/info_whistleblowers.shtml