Welcome to Tips, Complaints, and Referrals
Thank you for providing us with information about a possible violation of the federal securities laws. All tippers can use this webform to submit information, whether they elect whistleblower status or not.
The Dodd-Frank Wall Street Reform and Consumer Protection Act authorizes the SEC to pay awards, subject to certain limitations and conditions, to individuals who provide us with original information about violations of the federal securities laws. The program also provides anti-retaliation protections for whistleblowers, and enhanced confidentiality protections for information that could reasonably identify a person as a whistleblower. Becoming a whistleblower creates legal protections for you, but it also imposes certain procedural obligations on you. For more information about your rights and obligations as a whistleblower, please click here to learn more about the whistleblower program.
You are encouraged to submit your information online by filling out the online complaint form. If you would like to be considered for a whistleblower award, you will be required to make a declaration. If you would like to file anonymously as a whistleblower, an attorney must complete this form on your behalf.
Navigating through the Tips, Complaints, and Referral Submission Process
The submission form will “time-out” after 60 minutes of inactivity. You will receive a warning five minutes before this occurs, and you can extend your session by clicking or typing anywhere in the form.
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Privacy Act Statement
This notice is given under the Privacy Act of 1974. This form may be used by anyone wishing to provide the SEC with information concerning a possible violation of the federal securities laws. We are authorized to request information from you by various laws: Sections 19 and 20 of the Securities Act of 1933, Sections 21 and 21F of the Securities Exchange Act of 1934, Section 321 of the Trust Indenture Act of 1939, Section 42 of the Investment Company Act of 1940, Section 209 of the Investment Advisers Act of 1940 and Title 17 of the Code of Federal Regulations, Section 202.5
Our principal purpose in requesting information is to gather facts in order to determine whether any person has violated, is violating, or is about to violate any provision of the federal securities laws or rules for which we have enforcement authority. Facts developed may, however, constitute violations of other laws or rules. Further, if you are submitting information for the SEC’s whistleblower award program pursuant to Section 21F of the Securities Exchange Act of 1934 (Exchange Act), the information provided will be used in connection with our evaluation of your or your client’s eligibility and other factors relevant to our determination of whether to pay an award to you or your client.
The information provided may be used by SEC personnel for purposes of investigating possible violations of, or to conduct investigations authorized by, the federal securities law; in proceedings in which the federal securities laws are in issue or the SEC is a party; to coordinate law enforcement activities between the SEC and other federal, state, local or foreign law enforcement agencies, securities self-regulatory organizations, and foreign securities authorities; and pursuant to other routine uses as described in SEC-17 “Enforcement Files.”
Furnishing the information requested herein is voluntary. However, a decision not to provide any of the requested information, or failure to provide complete information, may affect our evaluation of your submission. Further, if you do not execute the Whistleblower’s Declaration or, if anonymous, your attorney does not complete the Counsel Certification, you may not be considered for an award.
OMB Number: 3235-0672
Last Reviewed or Updated: Dec. 20, 2024