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ARTICLE · 05 DECEMBER 2013

SEC Releases Annual Report On Its Whistleblower Program: Progress, Priorities, And Payments

Drinker Biddle & Reath LLP
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On November 15th, the U.S. Securities and Exchange Commission released its 2013 Annual Report to Congress on the Dodd-Frank Whistleblower Program.

United StatesEmployment and HR
Mary Hansen
Mary Hansen
Ronald Sarachan
Ronald Sarachan
Nicholas Feltham
Nicholas Feltham

On November 15th, the U.S. Securities and Exchange Commission released its 2013 Annual Report to Congress on the Dodd-Frank Whistleblower Program, available in full here. The report contains helpful insight into the operation of the SEC's Office of the Whistleblower (OWB), and details OWB's progress to date, its priorities moving forward, and the payments awarded through the program. This information is relevant for companies looking to improve internal controls and prevent securities misconduct, individuals in a position to become whistleblowers, and business and compliance professionals throughout the securities industry.

Progress

From all indicators, fiscal year 2013 was a year of growth for the OWB. We anticipate this trend will continue in 2014 and beyond, especially as the program and its awards are more widely publicized. Some of the program's key metrics from 2013 are as follows:

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