Whistleblower Program

Ironically, the very week the new Dodd-Frank whistleblower rule took effect (IA Watch, Aug. 15, 2011) the SEC finds itself under scrutiny for allegedly routinely ...

The SEC has enhanced its whistleblower website now that the rule has taken effect (IA Watch, Aug. 8, 2011), making it easier for complainants to ...

Next Friday officially ushers in the SEC's new whistleblower rule, although it's more of a technicality because complainants could have qualified for financial rewards for ...

This month the SEC's new whistleblower rule takes effect. One of the scariest aspects of the rule is its prohibition against engaging in any retaliation ...

One CCO plans to discuss the whistleblower rule before the firm's compliance committee before deciding upon next steps

SEC commissioners voted 3-2 last week along party lines to approve a final rule expanding the agency's whistleblower program without including a mandate that whistleblowers ...

This is the SEC's final rule under the Exchange Act expanding the agency's whistleblower program in accordance with Congress's wishes under Dodd-Frank. This was released ...

This is the SEC's Form TCR. The agency wishes those who want to report tips, complaints or referrals use this document. It is the first ...

This is a copy of the SEC's Form WB-APP, which was finalized in 2011. It is the form a whistleblower would file with the SEC ...

A federal court in Massachusetts has ruled that a provision in the Dodd-Frank law that nullifies pre-dispute arbitration agreements between reps and firms when reps ...