Annual Report on the Dodd-Frank Whistleblower Program, Fiscal Year 2011

SEC Office of the Whistleblower annual report to Congress, FY2011 (November 2011, 15 pp.): statutory background (awards 10-30% of sanctions over $1 million, paid from the Investor Protection Fund), adoption of Regulation 21F (proposed 3 Nov 2010; about 240 comment letters and 1,300 form letters; adopted 25 May 2011, effective 12 Aug 2011), OWB set-up (head appointed 18 Feb 2011, five attorneys and a paralegal on detail, hotline with over 900 calls returned), 334 tips received 12 Aug-30 Sep 2011 by allegation type and month (Appendix A), by US state (Appendix B) and by foreign country (Appendix C), tip handling, no awards paid (170 NCAs posted 12 Aug 2011, 15 more on 5 Oct and 6 on 31 Oct 2011), Investor Protection Fund table FY2010-FY2011. Already recorded: tip totals by category and foreign country, fund balances, no awards, rules and events. Added: monthly tips by category (Aug/Sep, each adds to its total and the two months to the FY totals), tips by US state (35 columns; states + foreign 32 + blank 87 = 334), blank-location tips, all remaining fund-table lines for FY2010 and FY2011 (table checks to the closing balance), hotline calls, NCA counts, staff. Not recorded: the category percentage row (the counts are recorded), "37 states" (no indicator; Appendix B shows 35 columns), and rulemaking comment counts (out of scope).