Any violation of the federal securities laws qualifies. The SEC has broad jurisdiction over a wide range of industries and entities—both public and private. The most common tips involve:

• Accounting fraud;

• Investment and securities fraud;

• Insider trading;

• Foreign bribery and other FCPA violations;

• EB-5 investment fraud;

• Manipulation of a security’s price or volume;

• Fraudulent securities offerings and Ponzi schemes;

• Hedge fund fraud;

• Unregistered securities offerings;

• Investment adviser fraud;

• False or misleading statements about a company or investment;

• Inadequate internal controls;

• Deceptive non-GAAP financial measures; and

• Violations of auditor independence rules.

Click on the federal securities laws violations above for a detailed description of the violation and related enforcement actions. Finally, note the SEC has jurisdiction over additional areas as well. 

To learn more about the SEC Whistleblower Program download the eBook SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award.

Chapter 1 - What is the SEC Whistleblower Program?

Chapter 2 - Can I Submit Anonymous Tip to SEC Whistleblower Office?

Chapter 3 - What Employment Protections are Available for SEC Whistleblowers?

Chapter 5- What are the largest SEC whistleblower awards?

Chapter 6- Who Is An Eligible SEC Whistleblower?

Chapter 7- Can I submit a tip to the SEC Whistleblower Office if I was involved in the fraud or misconduct?

Chapter 8- Can I Submit A Tip to the SEC Whistleblower Office if I Agreed to a Confidentiality Provision in an Employment/Severance Agreement?

Chapter 9- Compliance Personnel, Auditors, Officers and Directors Can Obtain SEC Whistleblower Awards

Chapter 10 - When is Best Time to Report Fraud or Misconduct to SEC?

Chapter 11 - Do I Have To Report The Violation To My Company Before Reporting It To The SEC Whistleblower Office?