A recent decision by the U.S. Court of Appeals for the Second Circuit has implications for whistleblowers under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “The Act”). In Hong v. SEC,...more
8/4/2022
/ Administrative Procedure Act ,
Appeals ,
Department of Justice (DOJ) ,
Dodd-Frank ,
FHFA ,
Incentives ,
RMBS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Whistleblower Awards ,
Whistleblowers
On February 21, 2018, the Supreme Court issued a pivotal decision narrowing the definition of a whistleblower under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank,” or the “Act”). In...more
3/1/2018
/ Anti-Retaliation Provisions ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Internal Reporting ,
Reporting Requirements ,
Retaliation ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers
One of the most eye-catching items in the recently released 2017 Annual Report of the Enforcement Division of the Securities and Exchange Commission (SEC or the Commission) is the significant decline in enforcement activity...more
11/30/2017
/ Budget Cuts ,
Corporate Counsel ,
Cyber Threats ,
Cybersecurity ,
Dodd-Frank ,
Enforcement Actions ,
Financial Institutions ,
Insider Trading ,
Investor Protection ,
Ponzi Scheme ,
Popular ,
Publicly-Traded Companies ,
Pump and Dump ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Security Breach ,
Shareholders ,
Trump Administration
On April 1, 2015, the Securities & Exchange Commission (the “SEC” or “Commission”) fined a public company $130,000 for requiring employees involved in internal investigations to sign a confidentiality agreement that the...more