Whistleblower Archives

SEC Reports Record Year for Its Whistleblower Program

This article discusses the impacts of the SEC’s Whistleblower Program and Rule on investment advisers.

January 10, 2024

SEC Proposes Shorter 13D/G Filing Deadlines, Whistleblower Amendments

SEC proposes to shorten filing deadlines for Schedule 13D and Schedule 13G beneficial ownership reporting and amend whistleblower program.

February 10, 2022

Tags: Beneficial Ownership, Schedule 13D/G, SEC, Whistleblower

New SEC Whistleblower Rules: Some Processes Streamlined, Others May Be More Onerous

New SEC Whistleblower Rules: Some Processes Streamlined, Others May Be More Onerous October 5, 2020 In an effort to “provide greater transparency, efficiency and certainty to the Award Amount...

October 05, 2020

Tags: SEC Enforcement, Whistleblower

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