A whistleblower is defined as someon who provides the SEC with information in writing that relates to a possible violation of the federal securities laws in the past, present or future.
To qualify for the whistleblower protections a whistleblower must follow the procedures for the submitting of original information to the SEC outlined in Section 240.21F-9. These include:
To qualify for retaliation protections a whistleblower must:
Retaliations protections are available to those not yet qualified as a whistleblower before they perform a lawful act as described above.
But qualification as a whistleblower is needed before retaliation is experienced in order to attract these protections.
The SEC gathered industry leaders to discuss how crypto trading platforms might fit within, or reshape, the existing US regulatory framework.
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The Consolidated Audit Trail (CAT) is a powerful tool to detect market manipulation, but the industry is complaining about skyrocketing costs.
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SEC says 'no-can-do to' the 16 financial firms that submitted a motion to have their recordkeeping settlements modified.
Julie DiMauro4 min read
Updates on US pharmaceutical policy, compliance, and regulation.
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The model rule significantly scales back a version from 2023 that industry participants said created new compliance obligations.
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Latest news and developments from the world of crypto.
Hameed Shuja3 min read
Uyeda addressed federal preemption issues and the division of jurisdiction between the SEC and states.
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Other news includes a whistleblower testifying that Facebook was working with CCP on censorship, Treasury announcing the rollback of 15 rules and guidance statements, and the publication of several ESMA documents.
GRIP2 min read