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SEC Amends Whistleblower Rules to Incentivize Tips

The Securities and Exchange Commission has amended the rules governing its whistleblower program, which was established in 2010 under the Dodd-Frank Act. The first rule...

Opinion: Regulatory Overreach –The SEC Racket

By: Publius Editor’s note: The author of the following guest article is a chief executive officer in the financial services industry, who, for fairly obvious...

SEC Reports Record-Breaking Year for Whistleblowers, Increase in New Enforcement Actions

The Securities and Exchange Commission filed 434 new enforcement actions in fiscal year 2021, which ended on September 30th, a 7 percent increase over...

Opinion: SEC Whistleblower Program Invites Abuse

By: Publius Editor’s note: The author of the following guest article is a chief executive officer in the financial services industry, who, for fairly obvious...

SEC Fines Guggenheim Securities $209,000 for Alleged Whistleblower Protection Violations

The Securities and Exchange Commission has charged Guggenheim Securities with allegedly violating whistleblower protection rules over language included in its employee compliance manual, the...