Attorney Authored

SEC Whistleblower Rules

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