Posts in Dodd-Frank Act.
How To Start: Are You Evaluating Your Firm’s Whistleblower Policies?

On April 28, 2020, the Securities and Exchange Commission (“SEC”) announced an award of $18 million dollars to a whistleblower for providing the SEC with crucial information that was used as part of an enforcement action against a firm found to be in violation of federal securities laws.

$50 Million Awarded to Two Whistleblowers By SEC

In a March 26, 2019 press release, the Securities and Exchange Commission ("SEC") announced awards to two whistleblowers under the Dodd-Frank Act, one receiving $37 million and the other $13 million, whose critical information led to a successful enforcement action...

SEC Adopts Final Dodd-Frank Hedging Disclosure Rules

In a long-awaited development, the SEC has adopted its final rule "requiring companies to disclose, in proxy or information statements for the election of directors, any practices or policies allowing employees or directors to engage in certain hedging transactions...

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