On May 25, 2011, the Securities and Exchange Commission (SEC), by a vote of 3 to 2, adopted its final rules for making monetary awards to eligible whistleblowers. Section 922 of the Dodd-Frank Act (now Section 21F of the Securities Exchange Act of 1934) mandated the rules to assist in the enforcement of securities laws.
Among many questions that the rules address are:
-Who is/is not a whistleblower?
-May a whistleblower have direct access to SEC and law enforcement investigators?
-Must a whistleblower have an attorney before accessing the SECs investigative arm?
-Will there be a higher award to a whistleblower if he accesses his companys internal compliance program first before turning directly to the SEC?
Our faculty will highlight the important implications of the SECs final whistleblower rules from the perspective of counsel who help companies comply with regulatory and ethical mandates, as well as from the point of view of experienced investigators who have particular expertise essential for conducting investigations in the context of critical legal and regulatory schemes such as those enforced by the SEC.
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
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