SEC Annual Report on the Dodd-Frank Whistleblower Program

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Annual report prepared by the Securities and Exchange Commission's Office of the Whistleblower, detailing efforts to implement the Dodd-Frank mandated whistleblower incentives and protection program over the past twelve months. From the report:

“In Fiscal Year 2012, 3,001 whistleblower TCRs were received… The most common complaint categories reported by whistleblowers were Corporate Disclosures and Financials (18.2%), Offering Fraud (15.5%), and Manipulation (15.2%). The Commission received whistleblower submissions from individuals in all 50 states, the District of Columbia and the U.S. territory of Puerto Rico, as well as 49 countries outside the United States.”

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Topics:  Dodd-Frank, SEC, Whistleblowers

Published In: Administrative Agency Updates, Business Organization Updates, Business Torts Updates, Labor & Employment Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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