Securities

Recent Posts

SEC: Whistleblower Protections Extend to Those Who Report Internally
Posted on 18 Feb 2015 by Doug Esten

A critical component of the SEC’s whistleblower program is the anti-retaliatory provisions of Exchange Act Section 21F, added to the statute by the Dodd-Frank Act. To implement that provision the Commission promulgated two rules. The first, Exchange... Read More

The SEC’s New Whistleblower Action: Is It Counterproductive?
Posted on 8 Apr 2015 by Thomas O. Gorman

The SEC brought its first enforcement action centered on corporate restrictions which could impact employee whistleblowers, deterring them from reporting to the agency. Specifically, the Commission alleged that a policy at KBR, Inc. which precluded the... Read More

SEC: Whistleblower Protections Extend to Those Who Report Internally
Posted on 18 Feb 2015 by Thomas O. Gorman

A critical component of the SEC’s whistleblower program is the anti-retaliatory provisions of Exchange Act Section 21F, added to the statute by the Dodd-Frank Act. To implement that provision the Commission promulgated two rules. The first, Exchange... Read More