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 |
|---|---|---|---|
| 6/10/2013 | The SEC whistleblower award claimant did not provide original information to the Commission after July 21, 2010, as required by Rule 21F-4(b)(1)(iv). |
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| 3/19/2013 | In 51 separate Covered Actions, the Commission found that the SEC whistleblower 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. |
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| 2/19/2013 | 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). |
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| 11/13/2012 | SEC found that the SEC whistleblower 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. |
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| 8/21/2012 | No information disclosed. |
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