17 CFR Part 165
WHISTLEBLOWER RULES
April 15, 2021
§
165.1
General
§
165.2
Definitions
§
165.3
Procedures for submitting original information
§
165.4
Confidentiality
§
165.5
Requirements for consideration of an award
§
165.6
Whistleblowers ineligible for an award
§
165.7
Procedures for award applications in Commission actions and related actions, and Commission award determinations
§
165.8
Amount of award
§
165.9
Criteria for determining amount of award
§
165.10
Contents of record for award determination
§
165.11
Awards based upon related actions
§
165.12
Payment of awards from the Fund, financing of customer education initiatives, and deposits and credits to the Fund
§
165.13
Appeals
§
165.14
Procedures applicable to the payment of awards
§
165.15
Administering the whistleblower program
§
165.16
No immunity
§
165.17
Awards to whistleblowers who engage in culpable conduct
§
165.18
Staff communications with whistleblowers from represented entities
§
165.19
Nonenforceability of certain provisions waiving rights and remedies or requiring arbitration of disputes
§
165.20
Whistleblower anti-retaliation protections
Appendix
A to Part 165
Guidance With Respect to the Protection of Whistleblowers Against Retaliation
Appendix
B to Part 165
Form TCR and Form WP-APP
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