17 CFR 165.17
§ 165.17 Awards to whistleblowers who engage in culpable conduct.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 165.17, § 165.17 Awards to whistleblowers who engage in culpable conduct, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/67732
- Permanent ID
ys:prov:67732@1- SHA-256
c021c99947b31ef105fcfa9cc7e314cc487f00618d671caef39bce97c700b0ee
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Full text
In determining whether the required $1,000,000 threshold has been satisfied for purposes of making any award, the Commission will not take into account any monetary sanctions that the whistleblower is ordered to pay, or that is ordered against any entity whose liability is based primarily on conduct that the whistleblower principally directed, planned, or initiated. Similarly, if the Commission determines that a whistleblower is eligible for an award, any amounts that the whistleblower or such an entity pay in sanctions as a result of the action or related actions will not be included within the calculation of the amounts collected for purposes of making payments pursuant to § 165.14.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.