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Code of Federal Regulations
Title 17
Chapter I
Part 165
17 C.F.R. Part 165
Whistleblower Rules
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165.1
General.
165.2
Definitions.
165.3
Procedures for submitting original information.
165.4
Confidentiality.
165.5
Requirements for consideration of an award.
165.6
Whistleblowers ineligible for an award.
165.7
Procedures for award applications in Commission actions and related actions, and Commission award determinations.
165.8
Amount of award.
165.9
Criteria for determining amount of award.
165.10
Contents of record for award determination.
165.11
Awards based upon related actions.
165.12
Payment of awards from the Fund, financing of customer education initiatives, and deposits and credits to the Fund.
165.13
Appeals.
165.14
Procedures applicable to the payment of awards.
165.15
Administering the whistleblower program.
165.16
No immunity.
165.17
Awards to whistleblowers who engage in culpable conduct.
165.18
Staff communications with whistleblowers from represented entities.
165.19
Nonenforceability of certain provisions waiving rights and remedies or requiring arbitration of disputes.
165.20
Whistleblower anti-retaliation protections.
Appendix A to Part 165
Guidance With Respect to the Protection of Whistleblowers Against Retaliation
Appendix B to Part 165
Form TCR and Form WP-APP