What You Should Know About The SEC Whistleblower Rules


Originally published in The Practical Lawyer - June 2012.

Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act enacted by the U.S. Congress on July 21, 2010 (“Dodd-Frank”), the U.S. Securities and Exchange Commission (“SEC”) adopted final rules (SEC Release No. 34-64545) to implement section 21F of the Securities and Exchange Act of 1934, as amended (Exchange Act) on May 25, 2011, which became effective on August 12, 2011. This article provides a brief overview of the whistleblower rules, discusses the nature of the tips received by the SEC under the new rules, and provides a brief overview of recent litigation involving the new rules.

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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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