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2011-06-11
article
Securities Whistleblower Incentives and Protections
Part II
Rules and Regulations
D09002ee1bdd070e7
D09002ee1bdd071bd
United States
Securities and Exchange Commission
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org
United States Government Agency or Subagency
The Commission is adopting rules and forms to implement Section 21F of the Securities Exchange Act of 1934 (``Exchange Act'') entitled ``Securities Whistleblower Incentives and Protection.'' The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 (``Dodd-Frank''), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission 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 Commission with information about possible securities violations.
76 FR 34300
https://www.govinfo.gov/app/details/FR-2011-06-13/2011-13382
2011-13382
fr13jn11-5
RIN 3235-AK78
8011-01-P
Release No. 34-64545
File No. S7-33-10
https://www.govinfo.gov/app/details/FR-2011-06-13/2011-13382
https://www.govinfo.gov/content/pkg/FR-2011-06-13/html/2011-13382.htm
https://www.govinfo.gov/content/pkg/FR-2011-06-13/pdf/2011-13382.pdf
Securities
85 p.
34300
34384
76 FR 34300
Code of Federal Regulations
Title 17 Part 240
17 CFR Part 240
Code of Federal Regulations
Title 17 Part 249
17 CFR Part 249
Regulation Identification Number 3235-AK78
RIN 3235-AK78
Securities Whistleblower Incentives and Protections; Federal Register Vol. 76, Issue
RULE
2011-13382
II
SECURITIES AND EXCHANGE COMMISSION
2011-08-12
Release No. 34-64545
File No. S7-33-10
8011-01-P
2011-13382
Final rule.
The Commission is adopting rules and forms to implement Section 21F of the Securities Exchange Act of 1934 (``Exchange Act'') entitled ``Securities Whistleblower Incentives and Protection.'' The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 (``Dodd-Frank''), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission 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 Commission with information about possible securities violations.
Effective Date: August 12, 2011.
Sean X. McKessy, Securities and Exchange Commission, Division of Enforcement, 100 F Street, NE., Washington, DC 20549, Tel. (202) 551-4790, Fax (703) 813-9322.
Securities
Whistleblower Provisions of the Securities Exchange Act
,
http://papers.ssrn.com/sol3/papers.cfm?abstract_id=890750
http://www.afajof.org/afa/forthcoming/4820p.pdf
http://www.sec.gov
http://www.sec.gov/comments/s7-33-10/s73310.shtml
http://www.sec.gov/divisions/enforce/enforcementmanual.pdf#6.2
http://www.sec.gov/litigation/investreport/34-44969.htm
http://www.sec.gov/spotlight/regreformcomments.shtml
www.sec.gov
www.sec.gov/complaint/info_whistleblowers.shtml
Federal Register
Vol. 76, no. 113
Office of the Federal Register, National Archives and Records Administration
2011-06-13
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438 p.
Table of Contents:
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https://www.govinfo.gov/app/details/FR-2011-06-13
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https://www.govinfo.gov/app/details/FR-2011-06-13
https://www.govinfo.gov/content/pkg/FR-2011-06-13/pdf/FR-2011-06-13.pdf
https://www.govinfo.gov/content/pkg/FR-2011-06-13/xml/FR-2011-06-13.xml
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2011-06-11
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FR-2011-06-13
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FR-2011-06-13
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