Annual Report on the Dodd-Frank Whistleblower Program, Fiscal Year 2013

SEC Office of the Whistleblower annual report to Congress, FY2013 (28 pp.): Chief's message (6,573 tips since Aug 2011, over $14 million paid), history, OWB organisation (Chief, Deputy, nine attorneys, three paralegals) and activities (over 2,810 hotline calls returned, 17 public engagements, Asadi decision, Rule 21F-17), tips by year (334, 3,001, 3,238), by allegation type (Appendix A by quarter, chart only; Appendix B FY2012 vs FY2013), by US state/territory (Appendix C, persons) and foreign country (Appendix D, persons; 55 countries in FY2013, 68 since start), tip processing, the award process (118 NoCAs in FY2013, 431 since start; CRS of three senior officers), awards (six whistleblowers since start, four in FY2013; first award follow-up payments; sham hedge fund award and related-action payouts; $14 million award; Oct 2013 payment; $14,831,965.64 paid in FY2013), the Investor Protection Fund table (unaudited), and the OIG evaluation (28 performance metrics adopted). Already recorded: FY2013 tips total and by category and foreign country, US persons total and unknown, award totals, fund closing balance, three award cases and two events. Added: tips by US state/territory (54 entries adding to 2,250 persons), FY2012 category comparison bars, tips by year FY2011-12 and the 6,573 cumulative, fund-table lines (checks to the closing balance), hotline calls, NoCAs, source-country counts, staff, two award cases (first-award follow-up payments, related-action payouts) and the Asadi event. Not recorded: category percentages in the text (counts recorded), 17 public engagements and 28 performance metrics (no indicator), the share-of-persons percentages in the appendix footnotes (derived).