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Whistleblowers: Incentives, Disincentives, and Protection Strategies by Frederick D. Lipman

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Appendix Four

SEC Whistleblower Rules

This appendix presents the detailed SEC whistleblower rules.

§ 240.21F-1 GENERAL

Section 21F of the Securities Exchange Act of 1934 (“Exchange Act”) (15 U.S.C. 78u-6), entitled “Securities Whistleblower Incentives and Protection,” requires the Securities and Exchange Commission (“Commission”) to pay awards, subject to certain limitations and conditions, to whistleblowers who provide the Commission with original information about violations of the federal securities laws. These rules describe the whistleblower program that the Commission has established to implement the provisions of Section 21F, and explain the procedures you will need to follow in order to be eligible for an award. You should read these procedures carefully because the failure to take certain required steps within the time frames described in these rules may disqualify you from receiving an award for which you otherwise may be eligible. Unless expressly provided for in these rules, no person is authorized to make any offer or promise, or otherwise to bind the Commission with respect to the payment of any award or the amount thereof. The Securities and Exchange Commission's Office of the Whistleblower administers our whistleblower program. Questions about the program or these rules should be directed to the SEC Office of the Whistleblower, 100 F Street, N.E., Washington, DC 20549-5631.

§ 240.21F-2 WHISTLEBLOWER STATUSAND RETALIATION PROTECTION

(a) Definition of a whistleblower. ...

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