Step 1 of 9: Identity
SEC Filings & Disclosure
Staff correspondence & whistleblowerSelect the Notice of Covered Action, calculate the 90-calendar-day deadline, assess Rule 21F eligibility, capture restricted claimant, TCR, contribution, award-factor, declaration, related-action, and counsel evidence, choose one OWB delivery method, prevent duplicate submissions, preserve confidentiality, reconcile acknowledgement, and track the later award determination separately from submission acceptance.
Basis: Whistleblower awards
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
9 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 9
ScreenSEC › SEC Workflows › Form WB-APP whistleblower award claimstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Claim administration entity (required)
entityIdSelect the internal legal entity administering the claim; the claimant identity remains restricted.
Step 2 of 9
ScreenSEC › SEC Workflows › Form WB-APP whistleblower award claimstep 2
Complete the Covered Action fields. Each value is validated against the schema before the next step unlocks.
SEC Notice of Covered Action number (required)
noticeNumberEnter sec notice of covered action number.
Notice posting date (required)
noticeDateEnter notice posting date.
Published claim due date (required)
claimDueDateEnter published claim due date.
Covered action, case, order, and sanctions artifact ID (required)
coveredActionArtifactIdEnter covered action, case, order, and sanctions artifact id.
Step 3 of 9
ScreenSEC › SEC Workflows › Form WB-APP whistleblower award claimstep 3
Complete the Eligibility fields. Each value is validated against the schema before the next step unlocks.
Rule 21F eligibility and exclusion analysis artifact ID (required)
claimantEligibilityArtifactIdEnter rule 21f eligibility and exclusion analysis artifact id.
Step 4 of 9
ScreenSEC › SEC Workflows › Form WB-APP whistleblower award claimstep 4
Complete the Claim fields. Each value is validated against the schema before the next step unlocks.
Restricted claimant identification and contact artifact ID (required)
claimantInformationArtifactIdEnter restricted claimant identification and contact artifact id.
TCR numbers, original information, and contribution narrative ID (required)
tcrAndContributionArtifactIdEnter tcr numbers, original information, and contribution narrative id.
Positive/negative award factors and reporting-delay explanation ID (required)
awardFactorsArtifactIdEnter positive/negative award factors and reporting-delay explanation id.
Eligibility declarations and penalty-of-perjury artifact ID (required)
declarationArtifactIdEnter eligibility declarations and penalty-of-perjury artifact id.
Step 5 of 9
ScreenSEC › SEC Workflows › Form WB-APP whistleblower award claimstep 5
Complete the Related Action fields. Each value is validated against the schema before the next step unlocks.
A related non-SEC action award is claimed (required)
relatedActionClaimedEnter a related non-sec action award is claimed.
Related authority, action, contact, and award-program artifact IDoptional
relatedActionArtifactIdEnter related authority, action, contact, and award-program artifact id.
Step 6 of 9
ScreenSEC › SEC Workflows › Form WB-APP whistleblower award claimstep 6
Complete the Representation fields. Each value is validated against the schema before the next step unlocks.
Claimant is represented by counsel (required)
representedByCounselEnter claimant is represented by counsel.
Counsel and power-of-attorney artifact IDoptional
counselAndPowerOfAttorneyArtifactIdEnter counsel and power-of-attorney artifact id.
Step 7 of 9
ScreenSEC › SEC Workflows › Form WB-APP whistleblower award claimstep 7
Complete the Submission fields. Each value is validated against the schema before the next step unlocks.
Single OWB submission method (required)
submissionMethodEnter single owb submission method.
Duplicate-submission prevention artifact ID (required)
duplicateSubmissionControlArtifactIdEnter duplicate-submission prevention artifact id.
Step 8 of 9
ScreenSEC › SEC Workflows › Form WB-APP whistleblower award claimstep 8
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Claimant signature artifact ID (required)
claimantSignatureArtifactIdEnter claimant signature artifact id.
Restricted-access confidentiality and disclosure control ID (required)
confidentialityControlArtifactIdEnter restricted-access confidentiality and disclosure control id.
Step 9 of 9
ScreenSEC › SEC Workflows › Form WB-APP whistleblower award claimstep 9
Complete the Package fields. Each value is validated against the schema before the next step unlocks.
Current Form WB-APP document artifact ID (required)
wbAppDocumentArtifactIdEnter current form wb-app document artifact id.
Supporting exhibits and index artifact ID (required)
supportingExhibitsArtifactIdEnter supporting exhibits and index artifact id.
90-calendar-day deadline validation artifact ID (required)
deadlineValidationArtifactIdEnter 90-calendar-day deadline validation artifact id.
Continue with the next guide in this framework's table of contents.
Link the comment case and reviewed filing, answer each numbered staff comment, branch for amendment, supplemental information, accounting review, and Rule 83 handling, obtain separated approval, submit a digest-bound CORRESP package, and reconcile the EDGAR receipt.
Read guide Staff correspondence & whistleblowerIntake the staff letter and reviewed filing, map each numbered comment, branch for supplemental information, clarification, reconsideration, Rule 83, amendment, and accounting review, then preserve each response round and the Division closing letter.
Read guide Form 8-K & current reportsPrepare, review, approve, submit, and confirm a Form 8-K current report.
Read guide