Section 922 Dodd Frank
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The award amount is required to be between 10 percent and 30 percent of the total monetary sanctions collected in the commission s action or any related action such as in a.
Section 922 dodd frank. Dodd frank act section 922 d d study of whistleblower protection program. Section 922 of dodd frank added new section 21f to the exchange act entitled securities whistleblower incentives and protection 1. Section 922 of the dodd frank act securities and exchange commission whistleblower statute in response to the global financial crisis in 2008 congress passed financial reform legislation known as the dodd frank act in 2010 which came into effect in august 2011.
1 study the inspector general of the commission shall conduct a study of the whistleblower protections established under the amendments made by this section including. Stay connected 1 twitter 2 facebook 3 rss 4 youtube 5 flickr 6 linkedin 7 pinterest 8 email updates. Section 922 of the dodd frank act.
78a et seq is amended by inserting after section 21e the following. On june 16 2014 the sec issued its first ever charge of whistleblower retaliation under section 922 of the dodd frank act charging a hedge fund advisor and its owner with engaging in prohibited principal transactions and then retaliating against the employee who reported the trading activity to the sec. Section 21f directs that the commission pay awards subject to certain limitations and conditions to whistleblowers who voluntarily provide the commission with original information about a violation of the.
Section 922 of the dodd frank wall street reform and consumer protection act provides that the commission shall pay awards to eligible whistleblowers who voluntarily provides the sec with original information that leads to a successful enforcement action yielding monetary sanctions of over 1 million. Dodd frank section 922 mandates the establishment of a government sponsored program to pay awards of up to 30 percent to eligible whistleblowers who voluntarily provide original information about potential securities law violations that lead to sanctions of 1 million or more. Efinitions in this section the following definitions shall apply.
Securities whistleblower incentives and protec tion. Section 922 of dodd frank act section 922 of dodd frank act as incorporated into 15 uscs 78u 6 21f of the securities exchange act of 1934.
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