SEC/CFTC Whistleblower Reward Calculator

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SEC/CFTC Whistleblower Reward Calculator

Estimate your potential reward under the SEC Whistleblower Program (Dodd-Frank Act, 15 U.S.C. § 78u-6) or the CFTC Whistleblower Program (7 U.S.C. § 26). Rewards range from 10% to 30% of sanctions collected when total sanctions exceed $1,000,000.

Reporting Agency

SEC (Securities and Exchange Commission) CFTC (Commodity Futures Trading Commission)

Total Monetary Sanctions ($)

Total sanctions ordered by the agency (disgorgement + civil penalties + interest). Must exceed $1,000,000 to qualify.

Contribution Level

High – Original, specific, and timely information that significantly contributed to the action Medium – Meaningful contribution with some corroborating detail Low – Minimal contribution or information already known to the agency

The agency weighs the significance of your original information when setting the award percentage.

Degree of Cooperation with Agency

Full cooperation – Provided ongoing assistance, documents, and testimony Partial cooperation – Responded to requests but limited involvement Minimal cooperation – Submitted tip only

Unreasonable Delay in Reporting?

No – Reported promptly after learning of the violation Yes – Significant delay before reporting

Unreasonable delay is a negative factor that can reduce the award percentage.

Interference with Internal Compliance?

No – Did not interfere with internal compliance or audit processes Yes – Interfered with or undermined internal compliance

Interference is a significant negative factor under both SEC and CFTC rules.

Reported Internally First?

Yes – Reported through internal compliance before going to the agency No – Reported directly to the agency

Internal reporting first is a positive factor under SEC Rule 21F-6.

Include Related Actions?

Yes – Include sanctions from related actions (DOJ, state regulators, etc.) No – Primary agency action only

Under Dodd-Frank, rewards can also apply to related actions by other authorities based on the same original information.

Related Action Sanctions ($) (if applicable)

Enter total sanctions from related actions (DOJ, state, etc.) if you selected "Yes" above.

Calculate Reward Estimate

function secCalc() { // --- Inputs --- var agency = document.getElementById('sec-agency').value; var sanctions = parseFloat(document.getElementById('sec-sanctions').value); var contribution = document.getElementById('sec-contribution').value; var cooperation = document.getElementById('sec-cooperation').value; var delay = document.getElementById('sec-delay').value; var interference = document.getElementById('sec-interference').value; var internal = document.getElementById('sec-internal').value; var related = document.getElementById('sec-related').value; var relSanctions = parseFloat(document.getElementById('sec-related-sanctions').value) || 0;

var resultDiv = document.getElementById('sec-result');

// --- Validation --- if (isNaN(sanctions) || sanctions ⚠ Please enter a valid total sanctions amount greater than $0.'; return; }

// --- Eligibility Check --- // Both SEC and CFTC require sanctions > $1,000,000 var MINIMUM_THRESHOLD = 1000000; if (sanctions ⚠ Not Eligible: Total sanctions must exceed $1,000,000 for a reward to be available under ' + (agency === 'sec' ? 'SEC Rule 21F-3' : 'CFTC Rule 165.3') + '.' + 'Current sanctions entered: ' + fmt(sanctions) + ''; return; }

// --- Score-Based Percentage Calculation --- // Statutory range: 10% – 30% (15 U.S.C. § 78u-6(b)(1); 7 U.S.C. § 26(b)(1)) // The model treats the award percentage using a weighted scoring system // reflecting the positive and negative factors in SEC Rule 21F-6 / CFTC Rule 165.7

var score = 0; // score from 0 to 100 maps to 10%–30%

// Positive Factor 1: Significance of information / contribution (weight: 35) if (contribution === 'high') score += 35; else if (contribution === 'medium') score += 20; else score += 5;

// Positive Factor 2: Degree of assistance / cooperation (weight: 25) if (cooperation === 'full') score += 25; else if (cooperation === 'partial') score += 13; else score += 3;

// Positive Factor 3: Internal reporting first (weight: 15) if (internal === 'yes') score += 15; else score += 0;

// Negative Factor 1: Unreasonable delay (weight: -15) if (delay === 'yes') score -= 15;

// Negative Factor 2: Interference with compliance (weight: -20) if (interference === 'yes') score -= 20;

// Clamp score to [0, 100] score = Math.max(0, Math.min(100, score));

// Map score [0,100] → percentage [10%, 30%] // pct = 10 + (score / 100) * 20 var pctLow = 10; // statutory minimum var pctHigh = 30; // statutory maximum var awardPct = pctLow + (score / 100) * (pctHigh - pctLow);

// Round to 1 decimal awardPct = Math.round(awardPct * 10) / 10;

// Derive a conservative (low) and optimistic (high) band ±2.5% var bandLow = Math.max(pctLow, Math.round((awardPct - 2.5) * 10) / 10); var bandHigh = Math.min(pctHigh, Math.round((awardPct + 2.5) * 10) / 10);

// --- Reward Calculation --- // Primary action reward var rewardLow = sanctions * (bandLow / 100); var rewardMid = sanctions * (awardPct / 100); var rewardHigh = sanctions * (bandHigh / 100);

// Related actions (same percentage applied) var relRewardLow = 0, relRewardMid = 0, relRewardHigh = 0; if (related === 'yes' && relSanctions > 0) { relRewardLow = relSanctions * (bandLow / 100); relRewardMid = relSanctions * (awardPct / 100); relRewardHigh = relSanctions * (bandHigh / 100); }

var totalLow = rewardLow + relRewardLow; var totalMid = rewardMid + relRewardMid; var totalHigh = rewardHigh + relRewardHigh;

// --- Factor Summary --- var factors = []; if (contribution === 'high') factors.push('✔ High-significance original information (+)'); else if (contribution === 'medium') factors.push('➜ Moderate contribution (neutral/+)'); else factors.push('✘ Low contribution to action (−)');

if (cooperation === 'full') factors.push('✔ Full cooperation with agency (+)'); else if (cooperation === 'partial') factors.push('➜ Partial cooperation (neutral)'); else factors.push('✘ Minimal cooperation (−)');

if (internal === 'yes') factors.push('✔ Reported internally first (+)'); else factors.push('➜ No internal report (neutral)');

if (delay === 'yes') factors.push('✘ Unreasonable delay in reporting (−)'); if (interference === 'yes') factors.push('✘ Interference with compliance (−)');

var agencyLabel = agency === 'sec' ? 'SEC' : 'CFTC';
var ruleRef = agency === 'sec'
? '15 U.S.C. § 78u-6; SEC Rules 21F-3, 21F-6'
'7 U.S.C. § 26; CFTC Rules 165.3, 165.7';

// --- Output --- resultDiv.style.display = 'block'; resultDiv.innerHTML = '### ' + agencyLabel + ' Whistleblower Reward Estimate ' +

'' + '' + 'Scenario' + 'Award %' + 'Primary Reward' + (related === 'yes' && relSanctions > 0 ? 'Related Action Reward' : '') + 'Total Estimated Reward' + '' + '' + '' + 'Conservative (Low)' + '' + bandLow.toFixed(1) + '%' + '' + fmt(rewardLow) + '' + (related === 'yes' && relSanctions > 0 ? '' + fmt(relRewardLow) + '' : '') + '' + fmt(totalLow) + '' + '' + '' + 'Most Likely (Mid)' + '' + awardPct.toFixed(1) + '%' + '' + fmt(rewardMid) + '' + (related === 'yes' && relSanctions > 0 ? '' + fmt(relRewardMid) + '' : '') + '' + fmt(totalMid) + '' + '' + '' + 'Optimistic (High)' + '' + bandHigh.toFixed(1) + '%' + '' + fmt(rewardHigh) + '' + (related === 'yes' && relSanctions > 0 ? '' + fmt(relRewardHigh) + '' : '') + '' + fmt(totalHigh) + '' + '' + '' + '' +

'#### Factors Applied ' + '' + factors.join('') + '' +

'' + 'Scoring basis: Estimated award percentage of ' + awardPct.toFixed(1) + '% ' + '(statutory range 10%–30%) derived from weighted factor scoring (score: ' + score + '/100) ' + 'per ' + ruleRef + '.' + '

';

// helper function fmt(n) { return '$' + n.toLocaleString('en-US', {minimumFractionDigits: 0, maximumFractionDigits: 0}); } }

// also define fmt at outer scope for reuse function fmt(n) { return '$' + n.toLocaleString('en-US', {minimumFractionDigits: 0, maximumFractionDigits: 0}); }

li.pos { color: #27ae60; margin: 4px 0; } li.neg { color: #c0392b; margin: 4px 0; } li.neu { color: #2980b9; margin: 4px 0; }

#### Formula

Estimated Reward = Total Sanctions × Award Percentage

Where Award Percentage is determined by the agency within the statutory range of 10% to 30% based on weighted positive and negative factors:

Award % = 10% + (Factor Score / 100) × 20%

Factor Score (0–100) is computed as: + Significance of Information: High=35, Medium=20, Low=5 + Degree of Cooperation: Full=25, Partial=13, Minimal=3 + Internal Reporting First: Yes=15, No=0 − Unreasonable Delay: Yes=−15 − Interference w/ Compliance: Yes=−20

Score clamped to [0, 100] Award % clamped to [10%, 30%]

Total Reward = (Primary Sanctions + Related Sanctions) × Award %

A ±2.5% band around the midpoint estimate reflects agency discretion within the statutory range.

#### Assumptions & References

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