Tips, Complaints and Referral Database-TCR

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Questionnaire

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Welcome to the Tips, Complaints and Referrals website. The goal of this site is to provide a way for members of the public to provide information to the SEC
regarding possible violations of the federal securities laws.
Thank you for coming forward with information about a possible violation of the U.S. securities laws. This questionnaire is designed to elicit the kinds of information necessary fo
best evaluate your complaint and, if appropriate, to take action.
To submit information to the SEC about possible violations of the federal securities laws, please click here or click the "Questionnaire" link, located above. Please note that we m
the information you provide with others. Read the PRIVACY ACT NOTICE to learn more about how we may use the information you send to us.
Information about the Whistleblower Award Program
The Dodd-Frank Wall Street Reform and Consumer Protection Act, signed into law by President Obama on July 21, 2010, authorizes the SEC to pay an award to eligible whistleb
You may be eligible for a monetary award if the information you submit leads to an SEC action that results in monetary sanctions exceeding $1,000,000. To learn more about th
program, including the eligibility requirements in the statute and final rules approved by the Commission to implement this program, please click here.
You are encouraged to submit your information in writing online by filling out the online questionnaire, available here. If you submit electronically and would like to be considere
award under our whistleblower program, you are required to answer yes to the appropriate question on the “About you” page of the questionnaire and to electronically submit th
whistleblower declaration at the end of the questionnaire. Click here to see a screen shot of the required declaration. If you wish to remain anonymous but still be eligible for an
you must be represented by, and provide contact information for, an attorney.
If you prefer to submit your information in hard copy, you may print out the newly-available Form-TCR and submit it:
• by mail to the Office of the Whistleblower, SEC, 100 F Street, NE, Mail Stop 5971, Washington, DC 20549; or
• by fax to the Office of the Whistleblower (703) 813-9322.
OMB Number: 3235-0672

https://denebleo.sec.gov/TCRExternal/index.xhtml

8/14/2017