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SEC Proposes Whistleblower Rule Amendments
Commissioner Hester Peirce opposed the proposals stating that “there is no new information that compels …
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Gensler Seeks Curbs to 2020 Whistleblower Rule Amendments
Gensler seeks to address concerns that the 2020 amendments could discourage whistleblowers from coming …
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SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities
This is the fourth time the agency has paid a whistleblower with internal audit or compliance related …
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SEC Adds Clarity, Efficiency and Transparency to Whistleblower Award Program
The SEC’s Office of the Whistleblower also published guidance regarding the process for determining award …
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SEC Signals Strong Support for Whistleblowers
Over a typical year, the agency issues about seven award decisions, but so far it has issued twice that …
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MFDF Webinar: An Update on the SEC's Whistleblower Program
In 2011, the SEC launched a whistleblower program to incentivize individuals to report possible violations …
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MFDF Webinar: An Update on the SEC's Whistleblower Program
In 2011, the SEC launched a whistleblower program to incentivize individuals to report possible violations …
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SEC Reports 5,200 Whistleblower Tips Received in FY 2019
The SEC’s Office of the Whistleblower recently issued its Whistleblower Program Fiscal Year (FY) 2019 …
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SEC Whistleblower Office Reports Increased Tips in FY2018
The SEC reports that it received over 5,200 whistleblower tips in FY 2018, the highest increase in tips …
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Proposed Limits to Whistleblower Awards Draw Criticism
The SEC recently proposed amendments to its whistleblower rules that may broaden the type of tips that …
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Whistleblower Decision May Hold Mixed Outcomes for Firms
The U.S. Supreme Court’s recent ruling that the Dodd-Frank Act protects whistleblowers from retaliation …
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Amendments Broaden Eligibility Standards, Revamp Review Process for CFTC Whistleblower Claims
The CFTC recently amended its regulations and forms to enhance the process for reviewing whistleblower …
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SEC Sanctions BlackRock for Use of Agreements that Barred Employees from Obtaining Whistleblower Awards
BlackRock Inc. has agreed to pay a $340,000 penalty to settle SEC charges that it improperly used separation …