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Securities Whistleblower Incentives and Protections

SEC · final-rule · Published 2011-06-13 · Effective 2011-08-12 · 76 FR 34300

Document

Document number
2011-13382
Federal Register citation
76 FR 34300
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2011-06-13
Effective date
2011-08-12
Docket
Release No. 34-64545

Abstract

The Commission is adopting rules and forms to implement Section 21F of the Securities Exchange Act of 1934 ("Exchange Act") entitled "Securities Whistleblower Incentives and Protection." The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 ("Dodd-Frank"), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the Federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. Dodd-Frank also prohibits retaliation by employers against individuals who provide the Commission with information about possible securities violations.

Source

Authoritative
Federal Register document
Machine
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