SEC Whistleblower Practice Guide

SEC Whistleblower Practice Guide 2019Contact UsFor an in-depth explanation of the nuts and bolts of the SEC Whistleblower Program, from preparing a winning “tip” to cooperating in an SEC investigation to claiming a whistleblower award, read KMB's SEC Whistleblower Practice Guide.

In its seventh edition, the Guide, written by SEC whistleblower experts Lisa J. Banks and David J. Marshall provides a comprehensive and up-to-date explanation of the law and valuable practice tips for SEC whistleblowers and their counsel, and also explains the legal protections that SEC whistleblowers have against retaliation.

To gain a better understanding of the material covered within the Guide, the table of contents is provided below:

  • Introduction
  • Background
  • The SEC Whistleblower Program Rules
    • A. Whistleblower Status
      • 1. “Voluntarily Provide”
      • 2. “Original Information”
        • Independent Knowledge and Independent Analysis
        • Exclusions from Independent Knowledge and Analysis - Attorneys, Compliance Personnel, Auditors and Officers
        • Information "Not Already Known" and the "Original Source" Exception
    • B. Rules Designed to Incentivize Internal Reporting
    • C. Information that Leads to Successful Enforcement
    • D. Monetary Sanctions Totaling More Than $1 Million
    • E. SEC Procedures for Submitting a Tip and Claiming an Award
      • ​1. The TCR Form
      • 2. Submitting an Anonymous Tip
    • F. Determining the Amount of an Award
      • ​1. SEC Enforcement Interests
      • 2. Unreasonable Delay
      • 3. Culpability of the Whistleblower
    • G. Whistleblower Awards to Date
    • H. Claiming a Whistleblower Award
  • Protections Against Retaliation
    • A. Employee Protections Under the Sarbanes-Oxley Act
    • B. Employee Protections Under the Dodd-Frank Act
    • C. Extraterritorial Application of Whistleblower Protections
    • D. Enforcement of Anti-Retaliation Provisions by the SEC
    • E. Employer-Imposed Agreements That Impede Whistleblowers
  • Things to Think About Before and After You Tip

If you believe you have information about securities violations or foreign bribes – or you have provided such information and were retaliated against as a result – contact the nationally recognized whistleblower attorneys at Katz, Marshall & Banks, LLP. Your communications with us are confidential, and without charge or further obligation.

To learn more about SEC Whistleblowers & Katz, Marshall & Banks, view the following:

Our SEC Whistleblower blog also provides additional information and recent news:

SEC Award Totals May Increase Significantly in 2017
Does Dodd-Frank Protect Internal Whistleblowers?
SEC Cracks Down on Company Policies that Prevent Employees from Reporting Fraud