News & Analysis as of October 19, 2024

Whistleblowers

+ Follow

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

CFPB Warns Employee NDAs, Confidentiality Agreements May Violate Whistleblower Laws

Ogletree, Deakins, Nash, Smoak & Stewart,... on 8/5/2024

On July 24, 2024, the Consumer Financial Protection Bureau (CFPB) issued guidance putting financial regulators and employers on notice that requiring employees to sign broad confidentiality or nondisclosure agreements that...more

The SEC Aces Its Report Card: Enforcement Activity Maintains Record Pace in 2023

Vinson & Elkins LLP on 11/20/2023

On November 14, the Securities and Exchange Commission (“SEC”) published its 2023 annual enforcement report which revealed a continuation of 2022’s record-setting enforcement activity.1 The SEC imposed $4.95 billion in...more

How to Avoid Risk of SEC Whistleblower Rule Violations in Connection with Employee-related Documents

White & Case LLP on 3/8/2023

On February 3, 2023, the US Securities and Exchange Commission ("SEC") announced that a public company agreed to pay $35 million to settle charges of, among other things, violations of the whistleblower protection rule.1...more

3 Results

View per page

Page: of 1

Securities Exchange Act › Enforcement › Whistleblowers

CFPB Warns Employee NDAs, Confidentiality Agreements May Violate Whistleblower Laws

The SEC Aces Its Report Card: Enforcement Activity Maintains Record Pace in 2023

How to Avoid Risk of SEC Whistleblower Rule Violations in Connection with Employee-related Documents

"My best business intelligence, in one easy email…"