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Searching Content indexed under Dodd-Frank, Consumer Protection Act by Robert N. Holtzman ordered by Published Date Descending.
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Supreme Court Rules That Dodd-Frank's Anti-Retaliation Provision Does Not Protect Internal Whistleblowers
The United States Supreme Court decided in Digital Realty Trust, Inc. v. Somers (Feb. 21, 2018) that the anti-retaliation provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) applies only to individuals who have reported a violation of the securities law to the Securities and Exchange Commission (SEC) and not to those who raise concerns only to their employers internally. The Court's decision resolved an important conflict in the federal Courts of Appeals.
United States
28 Feb 2018
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OCIE Examining Advisers' And Broker-Dealers' Whistleblower Compliance
The OCIE announced it is examining registrants' compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act).
United States
7 Dec 2016
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Whistleblower Claims Under SOX And Dodd-Frank: Recent Developments - November 2016
In May 2016, the SEC made three announcements that it would make bounty awards totaling nearly $10 million to four whistleblowers.
United States
11 Nov 2016
4
Whistleblower Claims Under SOX And Dodd-Frank: Recent Developments
As described in more detail below, the U.S. Department of Labor ("DOL") has issued final regulations governing the procedures for handling SOX whistleblower claims.
United States
8 Dec 2015
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