SEC Rule 240.21F-2

A whistleblower is defined as someon who provides the SEC with information in writing that relates to a possible violation of the federal securities laws in the past, present or future.

To qualify for the whistleblower protections a whistleblower must follow the procedures for the submitting of original information to the SEC outlined in Section 240.21F-9. These include:

1. formal submission of the complaint by way of the mechanisms available
2. a declaration under penalty of perjury that the information submitted is true and correct to the best of one’s knowledge and belief
3. if providing the information anonymously ensuring that an attorney verifies the whistleblowers identity

To qualify for retaliation protections a whistleblower must:

1. qualify as a whistleblower
2. reasonably believe that the information relates to a possible violation of federal securities laws
3. perform a lawful act that is connected with:
   1. providing information to the SEC
   2. testifying or assisting an SEC investigation
   3. making protected disclosures
4. ensure that the lawful act is related to the subject matter of the whistleblowing

Retaliations protections are available to those not yet qualified as a whistleblower before they perform a lawful act as described above.

But qualification as a whistleblower is needed before retaliation is experienced in order to attract these protections.