SEC Launches Whistleblower Webpage to Report Violations
With the official launch of its Whistleblower office on Friday, the SEC also launched a webpage that allows individuals to report a violation of the federal securities laws and apply for a financial award.
Drawbacks of Dodd-Frank Whistleblower Rules Debated at House Hearing
Members of the House Financial Services Subcommittee on Capital Markets debated Wednesday whether the Whistleblower rules enacted under Dodd-Frank would create “unintended consequences” and spark a slew of whistleblowers running to the SEC for financial gain.
SEC's Mary Schapiro Talks About Whistleblower Office, 12b-1: Exclusive Interview
Mary Schapiro recently talked with AdvisorOne about a broad range of issues, including how the agency’s new Whistleblower office is coming along, and an issue that remains near and dear to every advisor’s heart: revisions to mutual fund distribution fees under Rule 12b-1.