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SEC Whistleblower Rules

January 28, 2015

By Mark Pollack, Paul Monnin & Mor Wetzler

In this powerpoint, Paul Hastings partners Mark Pollack, Paul Monnin and associate Mor Wetzler discuss SEC whistleblower rules. Topics include:

  • Evolution of whistleblower legislation in SEC context

  • Notable impact of SOX and Dodd-Frank on SEC whistleblower activity

  • Key statutory provisions relating to SEC whistleblower enforcement

    • Sarbanes-Oxley Act of 2002 (SOX)

    • Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank

  • Significant open issues as to applicability of SEC whistleblower provisions

  • Implications and suggested best practices

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Image: Mark D Pollack
Mark D Pollack
Partner, Litigation Department and General Counsel