SEC and CFTC Whistleblower Rules and Anti-Retaliation Protections

December 16, 2011

Washington, D.C. partners John H. Sturc and Jason C. Schwartz, San Francisco associate Joshua D. Dick and Washington, D.C. associate Thomas M. Johnson, Jr. are the authors of "SEC and CFTC Whistleblower Rules and Anti-Retaliation Protections" [PDF] published as a chapter in PLI’s Broker-Dealer Regulation and Investment Adviser Regulation.

Practising Law Institute has granted permission to reprint material from Broker-Dealer Regulation, Second Edition. This material has been published as part of Broker-Dealer Regulation, Second Edition by Clifford T. Kirsch and is available for purchase here or by calling 1-800-260-4PLI.

© Practising Law Institute. Reproduced with permission. All rights reserved.