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SEC and CFTC Whistleblower
Programs and Anti-Retaliation
Protections

SEC and CFTC Whistleblower Programs

SEC Whistleblower Program

To encourage and incentivize individuals to report securities violations

CFTC Whistleblower Program

To encourage and incentivize individuals to report commodities violations

Anti-Retaliation Provisions

Protections for whistleblowers

SEC & CFTC Whistleblower Programs

The Dodd-Frank Act, formally known as the Wall Street Reform and Consumer Protection Act, is a major US financial regulatory law that created whistleblower reward programs at the Securities and Exchange Commission and at the Commody Futures Trading Commission.

 

Under the Act, this reward program is for eligible SEC/CFTC whistleblowers who provide original information that leads to successful SEC/CFTC enforcement actions with total monetary sanctions exceeding $1 million.

 

Violations can include the following areas:

Anti-Retaliation Provisions

Under the Rules of the SEC Whistleblower Program, whistleblowers have the ability to report anonymously if represented by an attorney.

Also the SEC Whistleblower Program also offers protection against retaliation.

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