SEC Issues Annual Report on Dodd-Frank Whistleblower Program for Fiscal Year 2012

November 30, 2012

The first Annual Report on the Dodd-Frank Whistleblower Program shows that the SEC received 3,001 tips, complaints, and referrals from whistleblowers across the country and abroad in fiscal year 2012 (October 1, 2011 through September 30, 2012). The most common complaint categories related to corporate disclosures and financial statements (18.2%), offering fraud (15.5%) and manipulation (15.2%).  There were 143 enforcement judgments and orders issued during fiscal year 2012 that potentially qualify as eligible for a whistleblower award.