From the May 2007 issue of Investment Advisor • Subscribe!

The U.S. Court of Appeals Decision

More On Legal & Compliance

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  • Whistleblowers A whistleblower is any individual providing the SEC with original information related to a possible violation of federal securities law.  The Dodd-Frank Act established a whistleblower program that enables the SEC to reward individuals who voluntarily provide such information.
  • U.S. Securities and Exchange Commission Information This information sheet contains general information about certain provisions of the Investment Advisers Act of 1940 and selected rules under the Adviser’s Act.  It also provides information about the resources available from the SEC to help advisors understand and comply with these laws and rules.
Download a PDF of the U.S. Court of Appeals for the District of Columbia Circuit's ruling.
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