Whistleblower Rules: Reporting to Self-Regulatory Organizations

Those who report securities or commodities fraud to a self-regulatory organization (SRO) may be eligible for a whistleblower award under SEC and CFTC rules. To qualify for the award, they must formally disclose the information to the SEC within 120 days or to the CFTC within 180 days of reporting it to the SRO.

  • Chicago Board Of Trade and Whistleblowing

    CBOT

    Chicago Board of Trade and Whistleblowing

    The Chicago Board of Trade is a self-regulatory organization under the oversight of the Securities and Exchange Commission. It was initially created to help farmers and commodity buyers remove price unreliability from agricultural products such as corn and wheat.

  • FINRA Whistleblower – How to Blow The Whistle to FINRA and Get Rewarded

    FINRA

    FINRA Whistleblowing

    Under the SEC and CFTC Whistleblower Program rules, individuals who blow the whistle to FINRA can qualify for awards from the SEC and CFTC as long as they file a formal disclosure with the SEC within 120 days of blowing the whistle to FINRA or with the CFTC within 180 days.

  • NYSE Whistleblowing

    NYSE

    NYSE Code of Conduct and Whistleblowing

    The Securities and Exchange Commission (SEC) requires NYSE-listed companies to adhere to codes of conduct and ethics policies and also requires them to disclose any amendments or waivers of the Code of Conduct.