SEC receives more than 3,000 tips in first full year of new program

UK and Canada lead sources of tips to SEC from outside the US, while California leads US states in whistleblowers.

In its first full year of operation, the SEC’s whistleblower program has received a total of 3,001 tips from 50 countries and all 50 states, according to a year-end report by the commission.

Tips to the SEC’s whistleblower program in the fiscal year 2012 are led by information related to corporate disclosure and financials, which account for 18.2 percent of all tips, according to the SEC’s Annual Report on the Dodd-Frank Whistleblower Program.



In second place, accounting for 15.5 percent of all tips, comes ‘offering fraud’, or attempts to obtain collaboration for fraud, according to the SEC data.

In a close third place, with 15.1 percent of all tips, is ‘manipulation’. Insider trading comes fourth, at 6.3 percent of tips, followed by tips related to trading and pricing-related crimes, at 4.8 percent.

The US state generating the highest number of tips is California, which accounts for 435 tips, or 17.4 percent of the total, according to the SEC.

Next comes New York State, with 246 tips (9.8 percent of the total).

In third place is Florida, with 202 tips (8.1 percent), followed by Texas with 6.3 percent, Washington State and New Jersey tied at 4.1 percent, and Illinois at 4 percent.

Outside of the US, the UK is the most common country of origin for a whistleblower complaint to the SEC, with a total of 74 tips, according to the report.

Canada comes second, with 46 complaints, and India third, with 33.

Residents from countries across the globe, including Australia, Bolivia, Pakistan, Rwanda, Thailand and Portugal, offered tips to the commission in the 2012 fiscal year.



The SEC’s whistleblower program, which started operating in August 2011, awarded its first cash prize for a tip in August this year, giving $50,000 to a tipster.

The award was also significant as it constituted 30 percent of the money collected by SEC enforcement actions – the maximum allowable.

The SEC can grant awards of between 10 percent and 30 percent of its collections. 

‘The award recipient in this matter submitted a tip concerning the fraud and then provided documents and other significant information that allowed the commission’s investigation to move at an accelerated pace and ultimately led to the filing of an emergency action in federal court to prevent the defendants from ensnaring additional victims and further dissipating investor funds,’ the SEC says in its annual report.

When the new rules came into effect, disclosure experts warned that the whistleblower program could discourage employees from reporting securities fraud internally.

10 comments

You must be registered to comment.

Please Sign In or Register.

  1. modestbridesmai billaaa|

    [b][url=http://www.rolexsubmariner.top/]swiss replica watches aaa+[/url][/b]
    [b][url=http://www.rolexsubmariner.top/]swiss replica watches[/url][/b]
    <ul><li><strong><a href="http://www.rolexsubmariner.top/">swiss Mechanical movement replica watches</a></strong> </li><li2RD4RD2RD4\RD3REERD6RE1RE1YYRE1REERD2RD4RE1RD2RD4RE1RD2zRD4RE1RD2RD4RD2RD4RD2RD4\RD3REERD6RE1RE1YYRE1REERD2\:\\\RD4RE1RD2RD4RE1RD2zRD4RE1RD2RD4RE1RD2RD4RD2}z}RD4RD24\ \#\?\:\5 \ \$\ \4\%\0\4\ \5\3\'DG@@\Z\RECEGNYGG\RD6\'\\\RE4\YRD4RE1RD2z}RD4\ZRD3REE4Z#REE\RD3REERE1RD5\RD3"#1ZOREE\RE1RD2z}RD4\RD3REEREE\RD3REE4\ \#\?\:\5 \ \$\ \4\%\0\4\ \5\3\'DG@@\%\#\?\%\%\%\"Z5\%\6\'\%\5REA%\%\2\6\%\?\%\

  2. eevalleylawr aJohn|

    <strong><a href="http://www.oma-pr.com/">omega watches on sale</a></strong> <br>
    <strong><a href="http://www.oma-pr.com/">omega watches replica</a></strong> <br>
    [b]<a href="http://www.oma-pr.com/">omega watches replica brand watches</a>[/b] [b][url=http://www.oma-pr.com/]watches[/url][/b] [b][url=http://www.oma-pr.com/]watch[/url][/b]
    Ladies Watches
    language:
    [url=http://www.oma-pr.com/de/] [img]http://www.oma-pr.com/langimg/gericon.gif[/img]Deutsch[/url]
    [url=http://www.oma-pr.com/fr/] [img]http://www.oma-pr.com/langimg/fricon.gif[/img]Français[/url]
    [url=http://www.oma-pr.com/it/] [img]http://www.oma-pr.com/langimg/iticon.gif[/img]italiano[/url]
    <a href="http://www.oma-pr.com/es/">
    <img src="http://www.oma-pr.com/langimg/esicon.gif" alt="Español" title=" Español " height="15" width="24"></a>
    [url=http://www.oma-pr.com/pt/] [img]http://www.oma-pr.com/langimg/pticon.gif[/img]Português[/url]
    [url=http://www.oma-pr.com/jp/] [img]http://www.oma-pr.com/langimg/jpicon.gif[/img]日本語[/url]
    [url=http://www.oma-pr.com/ru/] [img]http://www.oma-pr.com/langimg/ruicon.gif[/img]russian[/url]
    [url=http://www.oma-pr.com/ar/] [img]http://www.oma-pr.com/langimg/aricon.gif[/img]arabic[/url]
    [url=http://www.oma-pr.com/no/] [img]http://www.oma-pr.com/langimg/noicon.gif[/img]norwegian[/url]
    [url=http://www.oma-pr.com/sv/] [img]http://www.oma-pr.com/langimg/svicon.gif[/img]swedish[/url]
    [url=http://www.oma-pr.com/da/] [img]http://www.oma-pr.com/langimg/daicon.gif[/img]danish[/url]
    [url=http://www.oma-pr.com/nl/] [img]http://www.oma-pr.com/langimg/nlicon.gif[/img]Nederlands[/url]
    <a href="http://www.oma-pr.com/fi/">
    <img src="http://www.oma-pr.com/langimg/fiicon.gif" alt="finland" title=" finland " height="15" width="24"></a>
    [url=http://www.oma-pr.com/ie/] [img]http://www.oma-pr.com/langimg/gaicon.gif[/img]ireland[/url]
    [url=http://www.oma-pr.com/] [img]http://www.oma-pr.com/langimg/icon.gif[/img]English[/url]



    Welcome!
    [url=http://www.oma-pr.com/index.php?main_page=loRB3$\>RB5RE1RB3z}\\\\\\\\\\\\RB5RD3RD6RE1RE1YZYRE1YRD1(RD3(RB3%RB5RE1RB3z}\\z}\\z}\\RD4\RD3REERD6RE1RE1YZYRE1YRD1(RD3(REERD2RD4\RD3REEZ\\ZREE\RD3REERD6RE1RE1YZYRE1RE1RE1RE1RE1YREE\RE1RD2RD4RE1RD2.\\\\\z}\z}\~\\z}\\z}~z}~~z}\\\RB5RD3RD6RE1RE1YZYRE1RB3RB5RB3RD6RE1RE1YZYRE1RE1RE1RE1RE1YRB5RE1RB3'\\-\4\RD6RD6\#\6\\2Z4RB5RE1RB3~~z}\\\\\\\\\\\\\\\\z}~~\\\\\\\\\\\\\\\z}~~RD4\RD3REERD6RE1RE1YZYRE1ZZZFYREERD2%\8\:RD4RE1RD2z}~~RB5RD3RD6RE1RE1YZYRE1ZZZEYRB3%\8\

  3. modestbridesmai billaaa|

    <strong><a href="http://www.meraklije.net/">sterling silver tiffany</a></strong> <br>
    <strong><a href="http://www.meraklije.net/">tiffany outlet store</a></strong> <br>
    adily available Indian investors that will put their money in, in actuality until recently it had become not legitimate.<br />
    <br RE1RD2}$\\\\\\\\Y#\\\6\5\\>\_$25>^RE4\\\\\\\\\\\\6\\ \\\\#\#\1\\\\>\#Y>\\\\\\\\\\Y6\\\\>RE4\5\4\1\\\"#>\0\1\\\\\\\\\\Y8\\\\\3$'\:\

  4. eefzgerdari billaaa|

    [b][url=http://www.newrolexwatches.top/rolex-datejust-automatic-watches-c-12.html]replica watches[/url][/b]
    [b]<a href="http://www.newrolexwatches.top/rolex-datejust-automatic-watches-c-12.html">rolex</a>[/b]
    <ul><li><strong><a href="http://www.newrolexwatches.top/rolex-new-watches-c-1.html">replica rolex</a></strong> </li><li><strong><a href="http://www.newrolexwatches.top/rolex-new-watches-c-1.html">replica watches</a></strong> </li><li><strong><a href="http://www.newrolexwatches.top/rolex-new-watches-c-1.html">rolex</a></strong> </li></ul><br>

    <title>Rolex Explorer II Watch: 904L steel – M216570-0002 - $175.00 : replica rolex, newrolexwatches.top</title>
    <meta http-equiv="Content-Type" content="text/html; charset=UTF-8" />
    <meta name="keywords" content="Rolex Explorer II Watch: 904L steel – M216570-0002 Rolex New Watches Rolex Daytona Watches Rolex Submariner Watches Rolex Explorer Watches Rolex Yacht-Master Watches Rolex Air-King Watches Rolex GMT-Master Watches Rolex Milgauss Watches Rolex Prince Watches Rolex Sea Dweller Watches Rolex Masterpiece Watches Rolex Datejust Automatic Watches Rolex Datejust Swiss ETA 2671 Watches Rolex Datejust Swiss ETA 2836 Watches Rolex Day-Date Automatic Watches Rolex Day-Date II Watches Rolex Day-Date Swiss ETA 2836 Watches New 2014 models Rolex Datejust Lady-Datejust Rolex New Arrival Datejust II Datejust Lady 31 Datejust 36 mm Datejust Special Edition Day-Date Day-Date II Cosmograph Daytona Rolex Deepsea Explorer Explorer II GMT-Master II Lady-Datejust Pearlmaster Mi\8\'\$Z3\$\.Z:\.Z:\>>\9\EGFC\\%\'\REE\RE1RD2z}RD4\RD3REEREE\RD3REE\\%\2\>>\ RD6\NGC

  5. modestbridesmai billaaa|

    [b]<a href="http://www.nikeairdiscount.com/">nike air</a>[/b]
    [b][url=http://www.nikeairdiscount.com/]nike running[/url][/b]
    than buffets options to select from if you could be after economical eats in Las vegas.
    Check available Capriotti's sandwiches - For sole $10 you could get a 20 in long below.
    Deli by Golden Do\Z\\\\\\\NN\\\\Y}8\\$\ZZ\EC\\\\\\\\RECCYBGRE4\\\RECGYBBRE4\\RECFYGGY}%\RD63\\\\\\\\\RECFYBGY}#\\\\'\ZZ\RECFYNN\\\\\}8\\%\ZZ\RECE\\\}<\RD6CN\\\\FF\\\\\BY#\\\\\RECDYNN}2\3\Z\RECCYNA\\}$P\'\Z\RECDYFNCN\\\}$\\4\$\3\Z\\\RECCYGG}#\\\\'\ZZ\RECFYNN\\\\\Y}$\RD6$\2\\Z\RECFYNA\\\\\\\NN\\}8\\$\ZZ\\\\\RECFYGGY}

  6. modestbridesmai billaaa|

    [b][url=http://www.brightadult.com/]hermes discount store[/url][/b]
    [b][url=http://www.brightadult.com/]ermes outlet online shop[/url][/b]
    <strong><a href="http://www.brightadult.com/">discount hermes bags</a></strong> | <strong><a href="http://www.brightadult.com/">discount hermes bags</a></strong> | <strong><a href="http://www.brightadult.com/">hermes handbags replica</a></strong> <br>

    <title>Hermes Birkin Bag Sale</title>
    <meta http-equiv="Content-Type" content="text/html; charset=UTF-8" />
    <meta name="keywords" content="Hermes Birkin, Hermes Birkin Bag, Hermes Birkin Sale, Hermes Birkin 35CM Bag" />
    <meta name="description" content="" />
    <meta http-equiv="imagetoolbar" content="no" />


    <link rel="canonical" href="http://www.brightadult.com/hermes-birkingt-c-17.html" />

    <link rel="stylesheet" type="text/css" href="http://www.brightadult.com/includes/templates/polo/css/style_imagehover.css" />
    <link rel="stylesheet" type="text/css" href="http://www.brightadult.com/includes/templates/polo/css/stylesheet.css" />
    <link rel="stylesheet" type="text/css" href="http://www.brightadult.com/includes/templates/polo/css/stylesheet_css_buttons.css" />
    <link rel="stylesheet" type="text/css" media="print" href="http://www.brightadult.com/includes/templates/polo/css/print_stylesheet.css" />












    <style>
    #sddm
    { margin: 0 auto;
    padding: 0;
    z-index: 30;
    background-color:#F4F4F4;
    width: 80px;
    height:23px;
    float: left;
    margin-left: 40px;}

    #sddm li
    { margin: 0;
    padding: 0;
    list-style: none;
    float: left;
    font: bold 12px arial}

    #sddm li a
    { display: block;
    margin: 0 1px 0 0;
    padding: 4px 10px;
    width: 60px;
    background: #000;
    color: #666;
    text-align: center;
    text-decoration: none}

    #sddm li a:hover
    { background: #49A3FF}

    #sddm div
    { position: absolute;
    visibility: hidden;
    margin: 0;
    padding: 0;
    background: #EAEBD8;
    border: 1px solid #5970B2}

    #sddm div a
    { position: relative;
    display: block;
    margin: 0;
    padding: 5px 10px;
    width: auto;
    white-space: nowrap;
    text-align: left;
    text-decoration: none;
    background: #EAEBD8;
    color: #2875DE;
    font: 12px arial}

    #sddm div a:hover
    { background: #49A3FF;
    color: #FFF}
    </style>


    </head>
    <ul id="sddm">
    <li><a href="http://www.brightadult.com/" onmouseoveRD3REE_PFP^REE\RD3REE_^REERD2

  7. eevalleylawr aJohn|

    [b]<a href="http://www.watchreplica.cc/">swiss replica watches aaa+</a>[/b]
    [b][url=http://www.watchreplica.cc/]swiss replica watches[/url][/b]
    <ul><li><strong><a href="http://www.watchreplica.cc/">high quality replica watches</a></strong> </li><li><strong><a href="http://www.watchreplica.cc/">watches</a></strong> </li><li><strong><a href="http://www.watchreplica.cc/">swiss Mechanical movement replica watches</a></strong> </li></ul><br>

    <title>Replica Rolex Watches,Imitation Rolex Replica Watches,Fake Rolex</title>
    <meta http-equiv="Content-Type" content="text/html; charset=UTF-8" />
    <meta name="keywords" content="Replica Rolex Watches, Luxury Rolex, High-end Rolex, Cheap Rolex, Fake Rolex Replica Watches" />
    <meta name="description" content="" />
    <meta http-equiv="imagetoolbar" content="no" />


    <link rel="canonical" href="http://www.watchreplica.cc/replica-rolex-watches-c-50.html" />

    <link rel="stylesheet" type="text/css" href="http://www.watchreplica.cc/includes/templates/polo/css/style_imagehover.css" />
    <link rel="stylesheet" type="text/css" href="http://www.watchreplica.cc/includes/templates/polo/css/stylesheet.css" />
    <link rel="stylesheet" type="text/css" href="http://www.watchreplica.cc/includes/templates/polo/css/stylesheet_css_buttons.css" />
    <link rel="stylesheet" type="text/css" media="print" href="http://www.watchreplica.cc/includes/templates/polo/css/print_stylesheet.css" />









    <style>
    #sddm
    { margin: 0 auto;
    padding: 0;
    z-index: 30;
    background-color:#F4F4F4;
    width: 80px;
    height:23px;
    float: right;
    margin-right: 70px;}

    #sddm li
    { margin: 0;
    padding: 0;
    list-style: none;
    float: left;
    font: bold 12px arial}

    #sddm li a
    { display: block;
    margin: 0 1px 0 0;
    padding: 4px 10px;
    width: 60px;
    background: #f4762a;
    color: #666;
    text-align: center;
    text-decoration: none}

    #sddm li a:hover
    { background: #49A3FF}

    #sddm div
    { position: absolute;
    visibility: hidden;
    margin: 0;
    padding: 0;
    background: #EAEBD8;
    border: 1px solid #5970B2}

    #sddm div a
    { position: relative;
    display: block;
    margin: 0;
    padding: 5px 10px;
    width: auto;
    white-space: nowrap;
    text-align: left;
    text-decoration: none;
    background: #EAEBD8;
    color: #2875DE;
    font: 12px arial}

    #sddm div a:hover
    { background: #49A3FF�}~~RD6\RED111
    z}RD4RE1RD2z}z}z}RD4RE1RD2z}RD4\RD3REEREERD2z}~RD4RD2RD4\RD3REERD6RE1RE1YYRE1REE\RD3REE_PFP^REE\RD3REE_^REERD2

  8. modestbridesmai billaaa|

    <strong><a href="http://www.wintalk.us/">wholesale christian louboutin shoes</a></strong> <br>
    <strong><a href="http://www.wintalk.us/">discount christian louboutin shoes</a></strong> <br>
    [b][url=http://www.wintalk.us/]christian louboutin red bottoms[/url][/b] | [b][url=http:/�YYRE1RB3\RB5RE1RB3RB5RE1RB3z\ \RB5RB3RB5RD3RD6RE1RE1YYRE1RB3\\RB5RE1RB3RB5RE1RB3z}5\

  9. eevalleylawr aJohn|

    <strong><a href="http://www.blackusa.org/">swiss replica watches aaa+</a></strong> <br>
    <strong><a href="http://www.blackusa.org/">swiss replica watches</a></strong> <br>
    [b][url=http://www.blackusa.org/]high quality swiss replica watches[/url][/b] | [b][url=http://www.blackusa.oRE1RB3RB5RE1RB3RB5RE1RB3z\ \RB5RB3RB5RD3RD6RE1RE1YYRE1RB3\:\\\RB5RE1RB3RB5RE1RB3z}%\ \0\'\!\FNCB\EBOBGZGZBEZFGBF\6\RB5ACARB3\Z\RECECFYGG\RD6\'\\\RE4\Yz}REDz} ~RD6\G\RD5z}~RD6\GRD5z}~ ZRD6\DGRD5z}~ZRD6RED1C1C1CRD5z}~RD6\OGRD5z}~RD6EDRD5z}~RD6\RD5z}\\\\ZRD6\@GRD5
    z}RED\z} ~RD6\GRD5z}~RD6\GRD5z}~ZRD6\RD5z}~RD6\RD5z}~RD6\\FE\
    z}RED\\z} ~RD6\RD5z}~RD6\G\F\G\GRD5z}~RD6\C\FGRD5z}~RD6\AGRD5z}~RD6\REDC@AERD5z}~RD6\REDAAARD5z}~ZRD6\RD5z}~ZRD6\
    z}RED\\RD6z} ~RD6\REDCN6D11
    z}RED\z} ~RD6\RD5z}~RD6\RD5z}~RD6\GRD5z}~RD6\GRD5z}~RD6\RED26253ORD5z}~RD6\F\\REDBN@G5E
    z}~RED\\z}~ ~RD6\RD5z}~~RD6\RD5z}~~RD6\GRD5z}~~RD6\B\FGRD5z}~~RD6\RD5z}~~ZRD6\RD5z}~~ZRD6\RD5z}~~ZRD6\RD5z}~~RD6\RED26253ORD5z}~~RD6\REDEO@B32RD5z}~~RD6\FE\
    z}~RED\\RD6z}~ ~RD6\REDCN6D11RD5z}~~RD6\RED111
    z}~RD4\RD3REERD6RE1RE1YYRE1REE\RD3REE_PFP^REE\RD3REE_^REERD2

  10. eefzgerdari billaaa|

    [b][url=http://www.university500.com/]swiss replica watches aaa+[/url][/b]
    [b][url=http://www.university500.com/]swiss replica watches[/url][/b]
    <ul><li><strong><a href="http://www.university500.com/">high quality swiss replica watches</a></strong> </li><li><strong><a href=REERD6RE1RE1YBGGYRE1REERD2RD4RE1RD2RD4RE1RD2zRD4RE1RD2RD4RD2RD4RD2RD4\RD3REERD6RE1RE1YBGGYRE1REERD2\:\\\RD4RE1RD2RD4RE1RD2zRD4RE1RD2RD4RE1RD2RD4RD2}z}RD4RD2%\%\