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Whistleblower Awards and Protections

Sept. 20, 2017

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 filing this tip under the SEC’s whistleblower program?" on the "About You" tab of the online questionnaire. If you would like to be eligible to apply for an award, you must also complete the whistleblower declaration at the end of the questionnaire.

As noted above, 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 note that if you choose to submit your information anonymously under the whistleblower program, i.e., without providing your identity or contact information, and you wish to be eligible for a whistleblower award, you must be represented by, and provide contact information for, an attorney in connection with your submission.

For additional information, please see the Office of the Whistleblower's website or call the Office of the Whistleblower hotline at (202) 551-4790.

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