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Wednesday, October 09, 2019 8:13:25 PM
3. What information can I submit to the SEC?
The SEC conducts investigations into possible violations of the federal
securities laws. In general, the more specific, credible, and timely a
whistleblower tip, the more likely it is that the tip will be forwarded to
investigative staff for further follow-up or investigation. For instance, if the tip
identifies individuals involved in the scheme, provides examples of particular
fraudulent transactions, or points to non-public materials evidencing the
fraud, the tip is more likely to be assigned to Enforcement staff for
investigation.
The SEC does not have jurisdiction to take action on information that is
outside the scope or coverage of the federal securities laws. We may, in
appropriate circumstances, refer your matter to another regulatory or law
enforcement agency.
If you would like to provide the SEC with information about fraud or
wrongdoing involving potential violations of the federal securities laws please
follow the instructions provided in Rule 21F-9 and FAQ 9. Some examples of
the kind of conduct the SEC is interested in include:
Ponzi scheme, Pyramid Scheme, or a High-Yield Investment Program Theft or misappropriation of funds or securities
Manipulation of a security's price or volume
Insider trading
Fraudulent or unregistered securities offering
False or misleading statements about a company (including false or misleading SEC reports or financial statements)
Abusive naked short selling
Bribery of, or improper payments to, foreign officials
Fraudulent conduct associated with municipal securities transactions or public pension plans
Other fraudulent conduct involving securities
https://www.sec.gov/whistleblower/frequently-asked-questions
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