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SEC RIN: 3235-AN03 Publication ID: Spring 2022 
Title: Amendments to the Commission's Whistleblower Program Rules 

The Office of the Whistleblower is considering recommending that the Commission adopt additional amendments to the rules governing the Whistleblower Program established by section 922 of the Dodd-Frank Act.  The Commission proposed to amend Rule 21F-3(b)(3) to revise the scope of potential related actions (i.e., the non-Commission actions) that could be covered by the SEC’s whistleblower program in situations where another award program might also apply to that same action.  The Commission also proposed a new paragraph (d) to Rule 21F-6, which would affirm the Commission’s statutory authority to consider the dollar amount of a potential award when determining the award amount, but clarifies that the Commission may exercise its discretion to use that authority for the limited purpose of increasing the award amount and may not use it for the purpose of decreasing an award (either when applying the award factors under Rule 21F-6(b) or otherwise). Finally, the Commission proposed certain conforming and technical amendments.   

Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78c(b)    15 U.S.C. 78u-6(j)    15 U.S.C. 78w(a)   
Legal Deadline:  None
Action Date FR Cite
NPRM  02/18/2022  87 FR 9280   
NPRM Comment Period End  04/11/2022 
Final Action  10/00/2022 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
William K. Shirey
Assistant General Counsel
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5043