Implementing The Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 Form WB-APP and Form TCR

The Securities and Exchange Commission ("Commission")is adopting new 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. The Commission is adopting new rules 21F-1 through 21F-17, and new Forms TCR and WB-APP, under the Securities Exchange Act of 1934.

The latest form for Implementing The Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 Form WB-APP and Form TCR expires 2021-03-31 and can be found here.

Form TCR

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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