The truth is, of the 7,000 or so submissions the SEC receives each year, the lion’s share never even make it to an investigative team. (Sidebar: our submissions usually do.) Nearly half of those denials didn’t make the cut because the submissions didn’t follow the program rules.
This keeps us awake at night.
| Date | Description | Denial Justification | Key Docs |
|---|---|---|---|
| 1/07/2020 | Claimants' application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 1/07/2020 | Claimants' application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 1/06/2020 | Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 12/28/2019 | Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 12/20/2019 | Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 12/07/2019 | Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 12/05/2019 | SEC found that all ten award claimants' information did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. Furthermore, Claimant 8 did not submit information about a possible securities law violation on a Form TCR or through the TCR online portal, as required by Rules 21F-8(a) and 21F-9. Finally, Claimant 1 did not submit the required Form WB-APP to the Office of the Whistleblower within ninety calendar days of the Notice of Covered Action, as required by Rule 21F-10(b). |
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| 12/05/2019 | SEC found that all eight award claimants' information did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. Furthermore, Claimant 8 did not submit information about a possible securities law violation on a Form TCR or through the TCR online portal, as required by Rules 21F-8(a) and 21F-9. Finally, Claimant 1 did not submit the required Form WB-APP to the Office of the Whistleblower within ninety calendar days of the Notice of Covered Action, as required by Rule 21F-10(b). |
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| 11/27/2019 | Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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| 11/27/2019 | Claimant's application was denied because the Commission found that the information provided did not lead to a successful enforcement action. The information was deemed not to have caused the Staff to open a new investigation or examination, nor did it significantly contribute to the success of an ongoing investigation. |
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