Securities Whistleblower Incentives and Protections | Midpage

Collections
Code of Federal Regulations

ECFR821bdfb7bc8017f

Securities Whistleblower Incentives and Protections

240.21F-1General.240.21F-2Whistleblower status, award eligibility, confidentiality, and retaliation protections.240.21F-3Payment of awards.240.21F-4Other definitions.240.21F-5Amount of award.240.21F-6Criteria for determining amount of award.240.21F-7Confidentiality of submissions.240.21F-8Eligibility and forms.240.21F-9Procedures for submitting original information.240.21F-10Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.240.21F-11Procedures for determining awards based upon a related action.240.21F-12Materials that may form the basis of an award determination and that may comprise the record on appeal.240.21F-13Appeals.240.21F-14Procedures applicable to the payment of awards.240.21F-15No amnesty.240.21F-16Awards to whistleblowers who engage in culpable conduct.240.21F-17Staff communications with individuals reporting possible securities law violations.240.21F-18Summary disposition.