SEC Whistleblower Rules

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