SEC
Whistleblower
Attorneys

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.

Search
What are Corporate Bonds
“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to offer basic information about corporate bonds.”
Rules & Regs
Private Oil and Gas Offerings
“The SEC’s Office of Investor Education and Advocacy is issuing this alert to educate individual investors about certain risks and possible fraudulent activity involving private offerings of securities for oil and gas ventures.” This bulletin is of note to potential whistlblowers because it highlights some of the potential wrongdoings that could be going on during...
Rules & Regs
How to Read A Mutual Fund Shareholder Report
“Mutual funds that are registered with the SEC must send reports to their shareholders on a semiannual basis. the semiannual report covers the first six months of the fund’s fiscal year, while the annual report covers the fund’s entire fiscal year. Mutual funds that are registered with the seC prepare their own shareholder reports and...
Rules & Regs
Insider Transactions and Forms 3, 4 and 5.
“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s securities, together we’ll call, “insiders”) to report...
Rules & Regs
Exchange Traded Funds (ETF’s)
“This Investor Bulletin discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the Investment Company Act of 1940 (the “1940 Act”). It does not address other types of exchange-traded products that are not registered under the 1940 Act, such as exchange traded commodity funds or exchange-traded notes.”
Rules & Regs
Investor Bulletin: Municipal Bonds
“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about assessing credit risks they face when purchasing municipal bonds, which may also be called notes or certificates of participation. Credit risk—or default risk—is the risk that interest and/or principal on the securities will not be paid on...
Rules & Regs
How to Read an 8-K
“A company has just released its quarterly earnings. Another company has auditor news that could raise a red flag, and a third company is filing for bankruptcy. Where can you find more facts? Information about these events and many more are found in a document called a current report on Form 8-K.”
Rules & Regs
How to Read a 10-K
“If you want to follow or invest in a U.S. public company, you can find a wealth of information in the company’s annual report on Form 10-K. Among other things, the 10-K offers a detailed picture of a company’s business, the risks it faces, and the operating and financial results for the fiscal year. Company...
Rules & Regs
Reverse Mergers
“Many private companies, including some whose operations are located in foreign countries, seek to access the U.S. capital markets by merging with existing public companies. These transactions are commonly referred to as “reverse mergers” or “reverse takeovers (RTOs).” This bulletin is potentially relevant to whistleblowers because reverse mergers have in the past been used to...
Rules & Regs
Trading Basics
“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the different types of orders they can use to buy and sell stocks through a brokerage firm. The following are general descriptions of some of the common order types and trading instructions that investors may use to...
Rules & Regs
Internet Fraud: How to Avoid Internet Investment Scams
“This publication will tell you how to spot different types of Internet fraud, what the SEC is doing to fight Internet investment scams, and how to use the Internet to invest wisely.” This publication may be helpful to potential whistleblowers that are concerned about their employers use of the internet to raise investment funds.
Rules & Regs
SIPC Exposes Phony “Look-Alike” Web Site
“A group of fraudsters created a fake mirror image of the Securities Investor Protection Corporation (SIPC)’s website and used the “look-alike” site to mislead investors. This publication offers tips on avoiding similar frauds and tells you how to contact the real regulators.” This publication may be helpful to potential whistleblowers that are concerned their employer...
Rules & Regs
Thank you for submitting some email to us.