Annual Report on the Dodd-Frank Whistleblower Program, Fiscal Year 2012

SEC Office of the Whistleblower annual report to Congress, FY2012 (November 2012, 15 pp.; appendices are scanned images): OWB staffing and activities (hotline: over 3,050 calls returned in FY2012, about 3,700 since May 2011; RMBS working group link; training), 3,001 tips received (by allegation type and month, Appendix A; by US state/territory, Appendix B, 2,507 from the US and 170 with no location; by foreign country, Appendix C, 324 from 49 countries), tip processing, the award process and Claims Review Staff, the first award (21 Aug 2012, 30% of about $150,000 collected, nearly $50,000 paid plus over $500 in Sept 2012; a second claimant denied), 143 NCAs posted, and the Investor Protection Fund table. Already recorded: tip totals by category and foreign country, award count, amount and the case, denial, fund closing balance, event. Added: monthly tips by category for all 12 months (OCR of the image table, all rows and columns reconciled to the printed totals), tips by US state/DC/PR (52 entries adding to 2,507), the remaining fund-table lines (table checks to the closing balance), hotline calls, 143 NCAs, 49 source countries, staff, and the Deputy Chief appointment. Not recorded: category percentage rows (counts recorded) and the CRS composition (four senior officers and one OGC attorney; no indicator).