Annual Report on the Dodd-Frank Whistleblower Program, Fiscal Year 2020

SEC OWB 2020 Annual Report to Congress (16 Nov 2020, 48 pp.; cover, photos and maps are images; all tables are text): message (FY2020 $175 million to 39; cumulative $562 million to 106; sanctions >$2.7 billion, >$1.5 billion disgorgement, >$850 million returned; FY2020 = 31% of dollars and 37% of recipients; 197 Final Orders; 315 claims to Preliminary Determination; tips 6,911 from 78 foreign countries; hotline 2,850 and 26,900 since 2011), staffing, top 10 awards chart (7 per-award and 3 per-covered-action pre-FY2020 entries added as month-dated cases, flagged as overlapping; FY2020 entries already recorded), 33 FY2020 award descriptions (already recorded, with splits), award factors (32 Covered Actions, >90% significance, 72% assistance, 81% insiders internal, 40% outsiders, 2 reduced for delay), 105 NoCAs, process and deadlines (record and meeting requests 30 days; others already in rules), profiles since inception (87 Covered Actions, 71/29 caused/contributed, 68% insiders and 84% of them internal, defendants 45/33/22 by type, 12 joint matters, 10 related-action and 19 foreign recipients), anti-retaliation and 21F-17 actions to date (3 and 12), tips (by year FY2012-FY2019 and category shares added; category chart and 1,689 uncategorised already recorded and add to 6,911; 130 countries since inception), >1,100 tracked matters, 2020 rule amendments (event already recorded; TCR 30-day waiver, DPA/NPA 90-day window and the 3-frivolous-application bar added as rules; 75% of awards historically $5 million or less), Fund table (all lines added; adds up), Appendix A FY2017-FY2019 by category added (ICO year assignment flagged), Appendix B 54 states and territories added (sum 4,087 matches), Appendix C (already recorded except Curaçao, added; now 78 countries summing to 751). Collector's Coffee amended complaint added as an event. Words-only figures ("two-thirds", "all of the awards", "nearly all") not recorded. Rules restated from other sources are now recorded from this document too (decision 8).