News & Analysis as of September 25, 2024

Securities Exchange Act › Anti-Retaliation Provisions

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

SEC to Issuers: Retaliating Against or Impeding Whistleblowers Is Not Zen

Holland & Knight LLP on 6/12/2023

Public companies should be mindful not to interfere with or retaliate against whistleblowers, and stretching is best reserved for the yoga mat, not the numbers in a company's public disclosures. So says the U.S. Securities...more

Overblown? SEC's Aggressive Enforcement of Rule 21F-17 for Whistleblower Protection

Holland & Knight LLP on 7/27/2022

Section 21F, titled "Whistleblower Incentives and Protection," is a set of provisions within the Securities Exchange Act of 1934 that govern, among other things, the rights and obligations of SEC whistleblowers and the...more

Will Europe Fail to Protect Whistleblowers?

Kohn, Kohn & Colapinto LLP on 6/4/2021

Pursuant to a Directive enacted by the European Parliament and Council, all 27 nations within the European Union (EU) must “bring into force” whistleblower protection “laws, regulations and administrative provisions” by...more

SEC Amends Whistleblower Program Rules

Proskauer - Whistleblower Defense on 10/8/2020

On September 23, 2020, by a vote of 3 to 2, the U.S. Securities and Exchange Commission announced the adoption of a final rule implementing several changes to its whistleblower program, citing the need to “provide greater...more

SEC Amends Whistleblower Rules

Foley Hoag LLP on 9/28/2020

On September 23, 2020, the Securities and Exchange Commission (SEC), in a 3-2 vote, approved several significant amendments to, and interpretive guidance on, the rules governing its whistleblower program. Most...more

A Review of Recent Whistleblower Developments

Foley & Lardner LLP on 1/29/2020

Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include: ...more

Small Business Securities Bulletin: Standard Confidentiality Provisions May Be Prohibited "Pretaliation" in Eyes of SEC

Baker Donelson on 10/3/2016

As we discussed in our June 2011 Bulletin, available here, SEC rules promulgated under the Securities Exchange Act of 1934, as amended (Exchange Act), pursuant to Section 21F thereunder as enacted by the Dodd-Frank Wall...more

Dodd-Frank News: November 2015: Dodd-Frank Wall Street Reform and Consumer Protection Act Update

Burr & Forman on 11/3/2015

The Dodd-Frank Wall Street Reform and Consumer Protection Act was enacted as a measure to promote financial stability and protection for consumers through increased regulation of nearly every aspect of the consumer finance...more

Second Circuit Rules Internal Whistleblowers Are Protected Under Dodd-Frank

Littler on 9/11/2015

The U.S. Court of Appeals for the Second Circuit created a federal appellate split today when it revived a Dodd-Frank Act retaliation claim by an ex-finance director, who was responsible for the company’s financial reporting...more

SEC Issues Guidance Clarifying Anti-Retaliation Provision of Dodd-Frank Act

Eversheds Sutherland (US) LLP on 8/13/2015

On August 4, the U.S. Securities and Exchange Commission (SEC or “the Commission”) issued guidance that further clarifies the Dodd-Frank Act’s anti-retaliation provision. According to the Commission, Section 21F of the...more

SEC Bolsters Whistleblower Anti-Retaliation Rules Through Interpretive Guidance

Stinson - Corporate & Securities Law Blog on 8/5/2015

There has been a debate about whether a whistleblower must report information about a violation of securities laws to the SEC, as opposed to internal reporting, to qualify for protection under the anti-retaliation provisions...more

SEC Urges Third Circuit to Adopts Its Interpretation of Whistleblower Retaliation Protections

Katten Muchin Rosenman LLP on 12/30/2014

Last week, the Securities and Exchange Commission submitted an amicus brief in support of an appellant before the US Court of Appeals for the Third Circuit, urging the court to adopt its interpretation of whistleblower...more

Yes, Foreigners Can be Whistleblowers

Stinson - Corporate & Securities Law Blog on 9/23/2014

The SEC announced that its largest ever whistleblower award estimated to be worth more than $30 million will be paid to a resident of a foreign country. While the eligibility of foreign residents for a whistleblower award...more

SEC Makes First Finding of Retaliation in Violation of the Exchange Act’s Anti-Retaliation Rule

Burr & Forman on 7/1/2014

On June 16, 2014, the SEC entered an order (the “Order”) instituting cease and desist proceedings against an investment adviser, Paradigm Capital Management, Inc. (“Paradigm”), and Paradigm’s founder, Director, President,...more

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Securities Exchange Act › Anti-Retaliation Provisions

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