17 CFR 165.11 - Awards based upon related actions.

§ 165.11 Awards based upon related actions.
Link to an amendment published at 82 FR 24500, May 30, 2017.

Provided that a whistleblower or whistleblowers comply with the requirements in §§ 165.3, 165.5 and 165.7, and pursuant to § 165.8, the Commission or its delegate may grant an award based on the amount of monetary sanctions collected in a “related action” or “related actions” rather than on the amount collected in a covered judicial or administrative action, where:

(a) A “related action” is a judicial or administrative action that is brought by:

(1) The Department of Justice;

(2) An appropriate department or agency of the Federal Government, acting within the scope of its jurisdiction;

(3) A registered entity, registered futures association, or self-regulatory organization;

(4) A State criminal or appropriate civil agency, acting within the scope of its jurisdiction; or

(5) A foreign futures authority; and

(b) The “related action” is based on the same original information that the whistleblower voluntarily submitted to the Commission and led to a successful resolution of the Commission judicial or administrative action.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code
Statutes at Large

Title 17 published on 09-May-2017 03:50

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 165 after this date.

  • 2017-05-30; vol. 82 # 102 - Tuesday, May 30, 2017
    1. 82 FR 24487 - Whistleblower Awards Process
      GPO FDSys XML | Text
      Final rule.
      This final rule is effective July 31, 2017.
      17 CFR Part 165
The section you are viewing is cited by the following CFR sections.