Attorney Authored

SEC Whistleblower Rules

January 28, 2015

By Mark Pollack

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