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Proposed Changes To Sec Whistleblower Rules Get Criticism - Latest News


Republicans seek changes to SEC whistleblower rule

Experts from the U.S. Chamber of Commerce will be among the witnesses at a hearing Wednesday afternoon into the Securities and Exchange Commission rule that ... before a whistleblower can get a ... read more

Compliance Hot Spots: SEC's Ex-Whistleblower Chief Raises Concerns | A 'Never Trump' Saga | Trends in DPAs | Who Got the Work

Eight years ago, Sean McKessy began building up the U.S. Securities ... to reward the whistleblower.” Under the existing rules, whistleblowers can receive between 10 percent and 30 percent of monetary ... read more

How does that index fund address social issues? SEC official seeks transparency

Mutual fund companies are required to disclose how they vote on key shareholder issues such as climate change, gun control ... is more work to be done. The Securities and Exchange Commission is ... read more

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SEC proposes rules comparing executive pay to corporate performance

the annual change in its stock price plus dividends. Companies already spell out in detail their executives’ compensation in annual proxy statements filed with the SEC. But the proposed rules “would ... read more


Gorsuch Comes Out Swinging in Dodd-Frank Whistleblower Case

WASHINGTON (CN) – Justice Neil Gorsuch used a challenge to federal whistleblower ... in its notice of proposed rulemaking, the SEC did not give detailed justification for the change after the fact, ... read more

U.S. Swaps Cop Plans to Dial Back Global Reach of Its Rules

The U.S.’s top swaps regulator is planning sweeping changes ... rules governing swap execution facilities, or SEFs, that handle trades in the $532 trillion market. In November, the CFTC proposed a ... read more

SEC whistleblower rules raise risk for companies, lawyers say (Complinet)

The SEC has proposed rules under the Dodd-Frank financial regulation ... The move was partly in response to criticism that the whistleblower program would undermine internal compliance programs. ... read more

SEC chairman explains desire for clearer disclosures and higher standards for brokers at Denver roundtable

Clayton said the proposed rule requires broker-dealers to act in the best interest of their retail customers. In that regard, it is like the fiduciary standard that advisers must follow. But one ... read more

Big Banks to Get a Break From Limits on Risky Trading

On Wednesday, the Federal Reserve proposed ... the rule into place, including what did and did not work. Bank lawyers said the Fed was clearly trying to insulate itself from criticism that it was ... read more

SEC seeks to limit credit-rater conflicts

WASHINGTON (MarketWatch) — The Securities and Exchange ... this disclosure will only change the procedure, with banks approaching raters informally so no initial rating is formally submitted. The ... read more

UPDATE 1-Republicans seek changes to SEC whistleblower rule

Representative Michael Grimm has drafted a bill that would amend Dodd-Frank by making internal reporting a requirement before a whistleblower can get a financial reward. The bill would also change ... ... read more



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