United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2011_register executive 2011-06-11 article Part II Rules and Regulations D09002ee1c7ffc9ec D09002ee1c7ffcb3e United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Commission is adopting rules and forms to implement Section 21F of the Securities Exchange Act of 1934 ("Exchange Act") entitled "Securities Whistleblower Incentives and Protection." The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 ("Dodd-Frank"), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the Federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. Dodd-Frank also prohibits retaliation by employers against individuals who provide the Commission with information about possible securities violations. 76 FR 34300 https://www.govinfo.gov/app/details/FR-2011-06-13/2011-13382 2011-13382 fr13jn11-5 RIN 3235-AK78 8011-01-P Release No. 34-64545 File No. S7-33-10 https://www.govinfo.gov/app/details/FR-2011-06-13/2011-13382 https://www.govinfo.gov/content/pkg/FR-2011-06-13/html/2011-13382.htm https://www.govinfo.gov/content/pkg/FR-2011-06-13/pdf/2011-13382.pdf Securities 85 p. 34300 34384 76 FR 34300 Title 17 Part 240 17 CFR Part 240 Title 17 Part 249 17 CFR Part 249 RIN 3235-AK78 Securities Whistleblower Incentives and Protections; Federal Register Vol. 76, Issue RULE 2011-13382 II SECURITIES AND EXCHANGE COMMISSION 2011-08-12 Release No. 34-64545 File No. S7-33-10 8011-01-P 2011-13382 Final rule.

The Commission is adopting rules and forms to implement Section 21F of the Securities Exchange Act of 1934 ("Exchange Act") entitled "Securities Whistleblower Incentives and Protection." The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 ("Dodd-Frank"), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the Federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. Dodd-Frank also prohibits retaliation by employers against individuals who provide the Commission with information about possible securities violations.

Effective Date: August 12, 2011. Sean X. McKessy, Securities and Exchange Commission, Division of Enforcement, 100 F Street, NE., Washington, DC 20549, Tel. (202) 551-4790, Fax (703) 813-9322. Securities Whistleblower Provisions of the Securities Exchange Act , http://papers.ssrn.com/sol3/papers.cfm?abstract_id=890750 http://www.afajof.org/afa/forthcoming/4820p.pdf http://www.sec.gov http://www.sec.gov/comments/s7-33-10/s73310.shtml http://www.sec.gov/divisions/enforce/enforcementmanual.pdf#6.2 http://www.sec.gov/litigation/investreport/34-44969.htm http://www.sec.gov/spotlight/regreformcomments.shtml www.sec.gov www.sec.gov/complaint/info_whistleblowers.shtml Vol. 76, no. 113 Office of the Federal Register, National Archives and Records Administration 2011-06-13 continuing daily deposited born digital 438 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2011-06-13 P0b002ee180d69efa 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr13jn11 https://www.govinfo.gov/app/details/FR-2011-06-13 https://www.govinfo.gov/content/pkg/FR-2011-06-13/pdf/FR-2011-06-13.pdf https://www.govinfo.gov/content/pkg/FR-2011-06-13/xml/FR-2011-06-13.xml fdlp 34143 34572 DGPO 2011-06-11 2024-06-04 FR-2011-06-13 machine generated eng FR FR-2011-06-13 76 113