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SEC Rulemakings list

   

Final Rule: Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934

Final Rule: Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934

RIN: 3235-AK78

Agency/Agencies: SEC

Federal Register Publication Date: 06/13/2011

Summary: The SEC adopted rules and forms to implement Section 21F of the Securities Exchange Act of 1934 entitled “Securities Whistleblower Incentives and Protection.” The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010, established a whistleblower program that requires the SEC to pay an award, under regulations prescribed by the SEC and subject to certain limitations, to eligible whistleblowers who voluntarily provide the SEC with original information about a violation of the federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. Dodd-Frank also prohibits retaliation by employers against individuals who provide the SEC with information about possible securities violations.

Ianthe Zabel
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