Whistle-blower tips to the SEC continue to grow

11/18/2013 | Compliance Week

The number of whistle-blower tips and complaints received by the Securities and Exchange Commission reached 3,238 in the 2013 fiscal year, up from 3,001 in the 2012 fiscal year, according to the agency's 2013 Annual Report to Congress on the Dodd-Frank Whistleblower Program. The most common complaint categories were corporate disclosures and financials, with 17.2% of whistle-blower tips and complaints; offering fraud, at 17.1%; and manipulation at 16.2%. The agency issued a $14 million whistle-blower award Sept. 30, its largest to date.

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