Page:United States Statutes at Large Volume 124.djvu/1766

 124 STAT. 1740 PUBLIC LAW 111–203—JULY 21, 2010 ‘‘(1) COVERED JUDICIAL OR ADMINISTRATIVE ACTION.—The term ‘covered judicial or administrative action’ means any judicial or administrative action brought by the Commission under this Act that results in monetary sanctions exceeding $1,000,000. ‘‘(2) FUND.—The term ‘Fund’ means the Commodity Futures Trading Commission Customer Protection Fund estab- lished under subsection (g). ‘‘(3) MONETARY SANCTIONS.—The term ‘monetary sanctions’, when used with respect to any judicial or administrative action means— ‘‘(A) any monies, including penalties, disgorgement, restitution, and interest ordered to be paid; and ‘‘(B) any monies deposited into a disgorgement fund or other fund pursuant to section 308(b) of the Sarbanes- Oxley Act of 2002 (15 U.S.C. 7246(b)), as a result of such action or any settlement of such action. ‘‘(4) ORIGINAL INFORMATION.—The term ‘original informa- tion’ means information that— ‘‘(A) is derived from the independent knowledge or analysis of a whistleblower; ‘‘(B) is not known to the Commission from any other source, unless the whistleblower is the original source of the information; and ‘‘(C) is not exclusively derived from an allegation made in a judicial or administrative hearing, in a governmental report, hearing, audit, or investigation, or from the news media, unless the whistleblower is a source of the informa- tion. ‘‘(5) RELATED ACTION.—The term ‘related action’, when used with respect to any judicial or administrative action brought by the Commission under this Act, means any judicial or administrative action brought by an entity described in sub- clauses (I) through (VI) of subsection (h)(2)(C) that is based upon the original information provided by a whistleblower pursuant to subsection (a) that led to the successful enforcement of the Commission action. ‘‘(6) SUCCESSFUL RESOLUTION.—The term ‘successful resolu- tion’, when used with respect to any judicial or administrative action brought by the Commission under this Act, includes any settlement of such action. ‘‘(7) WHISTLEBLOWER.—The term ‘whistleblower’ means any individual, or 2 or more individuals acting jointly, who provides information relating to a violation of this Act to the Commis- sion, in a manner established by rule or regulation by the Commission. ‘‘(b) AWARDS.— ‘‘(1) IN GENERAL.—In any covered judicial or administrative action, or related action, the Commission, under regulations prescribed by the Commission and subject to subsection (c), shall pay an award or awards to 1 or more whistleblowers who voluntarily provided original information to the Commis- sion that led to the successful enforcement of the covered judicial or administrative action, or related action, in an aggre- gate amount equal to— Regulations.