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CLE - The New Whistleblower Regime under Dodd-Frank: The first 18 months

Monday, January 14, 2013 3:00 PM to 6:00 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


This program has already taken place, but you can still catch up on what you missed!

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Section 21F of the Securities Exchange Act of 1934, adopted under Section 922 of the Dodd-Frank Act, was signed into law by President Obama on July 21, 2010. Section 21F creates financial incentives and provides increased protection for whistleblowers who voluntarily provide to the Securities and Exchange Commission original information that leads to successful enforcement actions against reporting Companies.

This conference will provide an overview of the New SEC Whistleblower Program. The panelists will address some of the unique features and policies behind the Final Rules of the New Whistleblower Program, as well as successes it has achieved, challenges it still faces, some of the early rulings that have come out and some of the questions that remain outstanding.

Specific Topics:

I. Historical Overview of Whistleblower Legislations in the U.S.

II. Legislative Background of New Whistleblower Program

III. Distinguishing Features and Policies of Final Rules of New Whistleblower Program and their Application

IV. Review of the efficacy, weaknesses, outstanding challenges, recent rulings, questions outstanding of the New Whistleblower Program (Review of the 2011-2012 Annual report from the SEC’s Office of the Whistleblower)

V. Concluding Remarks and Q&A Session


CLE Credits: 3 credit hours

Materials: The BBA offers CLE course materials in both electronic and print format.  Please remember to select your option during registration.  If you opt for the electronic version, a PDF link will be email to you prior to the seminar. We encourage laptops and portable devices at the seminar, Free WiFi is available in all conference rooms!

Sponsoring Section/Committee(s):




Jacqueline Querubin


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