SEC Home SEC Home OWB Home OWB Home

Submit a Tip

To qualify for an award under the Whistleblower Program, you must submit information regarding possible securities law violations to the Commission in one of the following ways:

Important Notes

If you submit your information online through the SEC's Tips, Complaints and Referrals Portal, and would like to (1) be eligible to apply for a whistleblower award and/or (2) receive additional confidentiality protections (even if you do not wish to be considered for an award), you must answer "yes" to the question "Are you submitting this tip, complaint or referral pursuant to the SEC's whistleblower program?" on the "About You" page of the online questionnaire. You must also complete the whistleblower declaration at the end of the questionnaire.

The SEC treats all tips, complaints and referrals as confidential and nonpublic, and does not disclose such information to third parties, except in limited circumstances authorized by statute, rule, or other provisions of law. As a matter of practice, the whistleblower program provides additional confidentiality protections, consistent with the limitations on disclosure of information that could reasonably be expected to reveal the identity of a whistleblower set forth in Section 21F(h)(2) of the Securities Exchange Act of 1934 [15 U.S.C. § 78u-6(h)(2)] and Rule 21F-7 of the SEC's Whistleblower Rules [17 C.F.R. § 240.21F-7]. You should answer "yes" to the whistleblower program question if you wish to avail yourself of these additional confidentiality protections, even if you are not interested in being eligible for a whistleblower award.

Please be aware that these additional confidentiality protections may in some cases limit or delay the SEC's ability to disclose your identity to certain other agencies, regulators or other third parties. For that reason, we suggest you check "no" if you are submitting your information in order to seek our assistance to resolve an issue with your broker or other financial professional, such as the processing of a trade or a question about your statement. We likely will need to share your information in order to assist you. In addition, if you do not wish to be considered for an award and you intend for us to coordinate with another government agency or regulator, checking "no" may help facilitate this process.

Please note that if you choose to submit your information anonymously, i.e., without providing your identity or contact information, you must be represented by, and provide contact information for, an attorney in connection with your submission in order to be eligible for an award.

A bobby whistle"The Whistleblower Program is designed to aid the SEC's efforts to protect investors from those who violate the securities laws by encouraging those who are aware of misconduct to come forward to report it to us so that prompt and effective action can be taken to prevent or stop the misconduct."

Sean X. McKessy
Chief, Office of the Whistleblower
August 11, 2011