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Confidentiality Agreements › Securities and Exchange Commission (SEC) › Broker-Dealer

Allen Matkins

Does The SEC's Jurisdiction Really Extend To Any Person?

Allen Matkins on

Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to the SEC. ...more

Lowenstein Sandler LLP

SEC Says Language in J.P. Morgan-Affiliate Release Agreements Violates Whistleblower Protections

Lowenstein Sandler LLP on

On January 16, the Securities and Exchange Commission (SEC) announced an $18 million settlement order (Order) with J.P. Morgan Securities LLC (JPMS) that finds that the language of release agreements JPMS entered into with...more

Orrick - Finance 20/20

SEC Office of Compliance Inspections and Examinations Issues Risk Alert on Whistleblower Rule Compliance

Orrick - Finance 20/20 on

On October 24, Staff in the Office of Compliance Inspections and Examinations (the “Staff”) issued a National Exam Program Risk Alert announcing that it is examining registered investment advisers and registered...more

Stinson - Corporate & Securities Law Blog

SEC Exams Looking for Whistleblower Violations

Stinson - Corporate & Securities Law Blog on

SEC staff in the Office of Compliance Inspections and Examinations are examining compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The staff is...more

Baker Donelson

Increased SEC and FINRA Scrutiny on Confidentiality Provisions

Baker Donelson on

Over the past several months, confidentiality provisions included in settlement agreements, employment or independent contractor contracts, or in other documents, have come under increased scrutiny in the financial industry....more

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