LXBN TV: For the First Time, SEC Brings Enforcement Action Under Dodd-Frank’s Whistleblower Provision

By | LXBN | July 8, 2014

It’s always interesting when a regulatory body does something for the first time, because you’re not exactly sure what we’ll happen next. Well, that’s not quite right, because you do—there will be challenges. And that’s what will happen after the SEC brought its first enforcement action under the Dodd-Frank Act’s anti-relation provisions.

Federal Courts Divided On the Definition of “Whistleblower” As That Word is Used in the Dodd-Frank Act

The U.S. district courts are currently split on the question of whether the anti-retaliation provisions of the federal Dodd-Frank Act (“DFA”) apply to employees who disclose their employer’s alleged securities violations to company officials but do not report the claimed violations to the SEC.