SEC Whistleblower Program Handbook

When it comes to the SEC Whistleblower Program, knowledge is power.

With its anonymous reporting, employment protections, and monetary awards, the SEC Whistleblower Program is revolutionizing the way the securities laws are enforced and has inspired whistleblowers from all walks of life to break their silence and report a wide variety of significant securities violations to the SEC. That said, the program isn't right for everyone.

At Labaton Sucharow, our clients benefit from the unique SEC knowledge and experience of the Chair of our Whistleblower Representation Practice, Jordan A. Thomas. As a former Assistant Director and Assistant Chief Litigation Counsel in the Enforcement Division, Jordan played a leadership role in the development of the SEC Whistleblower Program including drafting the proposed legislation and implementing rules. His intimate understanding of the SEC Whistleblower Program and the national enforcement program allows us to guide SEC whistleblowers through tricky terrain, while minimizing the risk of retaliation and maximizing any potential monetary award.

Marshaling this unique institutional knowledge and experience, the SEC Whistleblower Program Handbook is designed to educate potential whistleblowers and other interested parties regarding the many policies and procedures that govern this important investor protection program. We also encourage potential whistleblowers to check out our Eligibility Calculator, to learn more about their eligibility for the significant protections and incentives offered by the SEC Whistleblower Program.  

Files referenced below are best viewed with Adobe Reader.



In addition to the resources we highlight below, we encourage website visitors to view the resources section to see the many resources we have gathered on cutting-edge issues related to the Whistleblower Program, corporate ethics, legal and regulatory developments and much, much more.

  1. The SEC Whistleblower Program Rules, Dodd-Frank Section 21-F
  2. Annual Report of the Dodd-Frank Whistleblower Program, US Securities and Exchange Commission, 2011
  3. Annual Report of the Dodd-Frank Whistleblower Program, US Securities and Exchange Commission, 2010
  4. Federal & State Whistleblower Award Programs
  5. Federal & State Employment Protection Statutes

For a collection of Testimony, Speeches and Public Statements made by the Chairman, Commissioners, and Staff of the SEC, please click here.

Videos, Webinars & Podcasts

Please click here for a selection of videos, webinars and podcasts related to the SEC Whistleblower Program that we find particularly informative.