Informant disqualification bars rewards for non original, institutionally sourced, false, or legally obligated reports, subject to Board exemption. Regulation disqualifies informants from receiving rewards if they submit non original information; obtain information as employees or members of regulatory, self regulatory, exchange surveillance or law enforcement bodies; face or may face criminal proceedings under securities laws; willfully refuse to cooperate with Board processes; make or use false statements or documents; fail to provide complete available information; or are obligated to report the information to the Board, including compliance officers. The Board may, however, exempt persons from these disqualifications at its sole discretion.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Informant disqualification bars rewards for non original, institutionally sourced, false, or legally obligated reports, subject to Board exemption.
Regulation disqualifies informants from receiving rewards if they submit non original information; obtain information as employees or members of regulatory, self regulatory, exchange surveillance or law enforcement bodies; face or may face criminal proceedings under securities laws; willfully refuse to cooperate with Board processes; make or use false statements or documents; fail to provide complete available information; or are obligated to report the information to the Board, including compliance officers. The Board may, however, exempt persons from these disqualifications at its sole discretion.
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