September 9, 2018
I would like to seek clarification if a Whistleblower submits information to the SEC, the SEC then forwards that information to FINRA, and FINRA takes action against the company that was subject to the original SEC Whistleblower complaint.
In this situation, under the proposed rules, would the Whistleblower be eligible for a Whistleblower Award? If not, the Whistleblower rules need to be amended to make it clear that action by FINRA based on information submitted via the Whistleblower program are eligible for an award.