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Rules & Regs

Information certainly is powerful and we take seriously our commitment to provide the public at large with resources that inform and guide our area of concentration. To that end, we include such important topics as bulletins on areas of the federal securities laws, commentary and case law relating to the SEC whistleblower program, other federal and state whistleblower programs, international whistleblower developments and critical employment protections.

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Comments on Proposed SEC Whistleblower Rules
In the rule-making process, the SEC reviewed a voluminous amount of commentary on the proposed whistleblower program.  Some of these comments can be viewed here. Many of these letters represented the views of a vast number of major public companies, which were concerned, among other things, that the program would undermine internal compliance systems.  See...
Rules & Regs
Decision of the United States Supreme Court in DIGITAL REALTY TRUST, INC. v. SOMERS
In February 2018, the United States Supreme Court ruled that the employment protections available under Dodd-Frank do not extend to internal reporting, but only to whistleblowers who report directly to the SEC. The full text of the Court’s decision can be found here.
Rules & Regs
Jordan A. Thomas’ Oral and Written Testimony to the Australian Parliamentary Joint Committee on Corporations and Financial Services
Jordan A. Thomas provided an oral and written testimony to the Australian Parliamentary Joint Committee on Corporations and Financial Services on April 28, 2017. Please view the transcript here. Additional documents and submissions can be found here.
Rules & Regs
Section 922: Dodd-Frank Whistleblower Protections
Section 922: Dodd-Frank Whistleblower Protections
Rules & Regs
SEC Form WB-APP
SEC Form WB-APP (Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934)
Rules & Regs
SEC-Form TCR
SEC Form-TCR (Tip, Complaint, or Referral)
Rules & Regs
Updated Investor Bulletin: Focus on Money Market Funds
“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about money market funds, including money market funds’ investment objectives and risks.”
Rules & Regs
Federal and State Employment Protection Statutes
Rules & Regs
Federal and State Whistleblower Award Programs
Rules & Regs
Investor Bulletin: Investor Complaints
“The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how OIEA handles investor complaints and other ways investors may be able to resolve a securities-related dispute.” This document is relevant to a potential whistleblower in the financial services space because it discusses the various wrongdoing that...
Rules & Regs
Variable Annuities—An Introduction
“This SEC Office of Investor Education and Advocacy Investor Bulletin provides some basic facts about variable annuities and how they work. Variable annuities are complex products, and this Investor Bulletin focuses solely on the basics.”
Rules & Regs
Cold Calling: Unsolicited Calls from Brokers
“This brochure tells you how to deal with cold calls, how to stop them, and how to evaluate any investment opportunity that comes your way over the telephone.” This publication may be helpful to potential whistleblowers that are concerned about an employer’s use or abuse of cold calling tactics.
Rules & Regs
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