Law

Securities Whistleblower Incentives and Protections (Rules 21F-1 to 21F-18)

Rule 21F-1 — General.

Rule 21F-2 — Whistleblower status and retaliation protection.

Rule 21F-3 — Payment of awards.

Rule 21F-4 — Other definitions.

Rule 21F-5 — Amount of award.

Rule 21F-6 — Criteria for determining amount of award.

Rule 21F-7 — Confidentiality of submissions.

Rule 21F-8 — Eligibility.

Rule 21F-9 — Procedures for submitting original information.

Rule 21F-10 — Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.

Rule 21F-11 — Procedures for determining awards based upon a related action.

Rule 21F-12 — Materials that may form the basis of an award determination and that may comprise the record on appeal.

Rule 21F-13 — Appeals.

Rule 21F-14 — Procedures applicable to the payment of awards.

Rule 21F-15 — No amnesty.

Rule 21F-16 — Awards to whistleblowers who engage in culpable conduct.

Rule 21F-17 — Staff communications with individuals reporting possible securities law violations.

Rule 21F-18 — Summary disposition.