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 |
|---|---|---|---|
| 2/13/2016 | SEC found that the SEC award claimant's 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. |
|
|
| 2/12/2016 | SEC found that the SEC award claimant's 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. |
|
|
| 2/02/2016 | SEC found that the SEC whistleblower award claimant did not provide information relating to a possible securities violation, failed to submit the information in the form and manner required by program rules, and did 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). |
|
|
| 11/30/2015 | SEC found that the 4 SEC 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. |
|
|
| 11/30/2015 | SEC found that the SEC award claimant's 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. |
|
|
| 11/30/2015 | The SEC whistleblower award claimant 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). |
|
|
| 11/30/2015 | SEC found that the SEC award claimant's 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. |
|
|
| 11/30/2015 | The Claimant did not provide original information to the Commission after July 21, 2010, as required by Rule 21F-4(b)(1)(iv). The SEC also found that the SEC award claimant's 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. |
|
|
| 10/17/2015 | SEC found that all 3 SEC 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. |
|
|
| 9/11/2015 | SEC found that all 6 SEC 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. |
|
