Analysis of cutting-edge securities industry issues
Last year, I blogged about the newly adopted Part 165 of the CFTC regulations, which implements the CFTC’s whistleblower program under the Dodd-Frank Act. Last week, the NFA issued…
Continue Reading NFA Issues Notice Regarding Pre-Dispute Arbitration Agreements
There was plenty of debate when the SEC adopted its new whistle blower bounty program. Many commentators thought that the program would result in an onslaught of whistle blowers directly…
Continue Reading The SEC Whistleblower Program May Have Spurred Corporate Reform
Today’s Wall Street Journal includes a story (subscription required) of an attorney for the SEC inadvertently “outing” a whistleblower while interviewing an executive of the whistleblower’s former employer. The SEC…
Continue Reading When the Government Blows the Whistle on a Whistleblower
The CFTC recently issued its final rules outlining the procedures, forms and standards that a potential whistleblower must follow to make a claim and receive an award. The rules will…
