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Jones Day

SEC Adopts Amendments to the Beneficial Ownership Rules

Jones Day on

In Short - The Background: On October 10, 2023, the U.S. Securities and Exchange Commission (the "SEC") adopted amendments to the rules that govern beneficial ownership reporting for investors, marking the first update to...more

WilmerHale

Second Circuit Allows Whistleblower Retaliation Protection Without Reporting to SEC

WilmerHale on

September 10, 2015, in a 2-1 decision in Berman v. Neo@Ogilvy LLC, the US Court of Appeals for the Second Circuit ruled that whistleblowers who report securities law violations internally but not to the US Securities and...more

Stinson - Corporate & Securities Law Blog

SEC Bolsters Whistleblower Anti-Retaliation Rules Through Interpretive Guidance

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

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