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Securities Exchange Act › Unfair Labor Practices

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 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 Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Bass, Berry & Sims PLC

SEC Grants Eligibility Waiver to Issue Whistleblower Award

Bass, Berry & Sims PLC on

The Securities and Exchange Commission (SEC) recently awarded $3 million to joint whistleblowers despite concluding that the whistleblowers did not satisfy the technical eligibility requirements for receiving an award. See...more

Burr & Forman

SEC Fines Company for Agreements Restricting Whistleblowers

Burr & Forman on

The SEC has fined an Atlanta company $265,000 for using various severance agreements restricting whistleblower activities. The Dodd-Frank Act added ’34 Act § 21F encouraging whistleblower programs....more

Orrick, Herrington & Sutcliffe LLP

SEC Bounty Hunters Take Heart: SEC Fines Company $265,000 for Using Severance Agreements That Provided a Waiver of any Monetary...

Orrick, Herrington & Sutcliffe LLP on

Wednesday, the SEC announced that an Atlanta-based company, BlueLinx Holdings, is settling charges that its severance agreements contained provisions that in its view might impede employees from communicating directly with...more

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