Whistleblower Program

Nine months after proposing a new rule – and seven months after the GAO criticized its whistleblower rules (CPO/CTA Watch, Nov. 3, 2016) – the ...

The Commodity Futures Trading Commission (“Commission”) is amending its regulations and forms to enhance the process for reviewing whistleblower claims and to make related changes ...

A peer shares the firm's document request letter from a recent SEC exam. One topic of interest is whistleblower P&Ps.

You need to go back to August 2011 when Exchange Act rule 21F-17 (staff communications with individuals reporting possible securities law violations) went into effect ...

In December 2013, a covered associate2 of Respondent (the “First Covered Associate”) made a $500 campaign contribution to a candidate for Governor of Massachusetts (“Candidate ...

On May 9, 2013, a covered associate of Respondent (the “Covered Associate”) made a $400 campaign contribution to a candidate for the office of Mayor ...

Between July 2013 and September 2013, a covered associate of Respondent (the “Covered Associate”) made three campaign contributions totaling $1,425 to a candidate for the ...

On October 6, 2015, a covered associate of Respondent (the “Covered Associate”) made a $1,000 campaign contribution to the Governor of Ohio. After the contribution ...

In March 2012, a covered associate of Respondent (the “Covered Associate”) made a campaign contribution totaling $10,000 to a candidate for the office of the ...

On October 29, 2013, a covered associate of Respondent (the “Covered Associate”) made a $1,000 campaign contribution to a candidate for Governor of Illinois. After ...