Whistleblower Provisions Regulation - Comment Letter - CFA Institute - January 18, 2011

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Gavel.png FINAL RULE: This page refers to the proposed rulemaking on whistleblower provisions. The CFTC final rule was issued at its August 4, 2011 open meeting. The SEC final rule was issued at its May 25, 2011 open meeting.
Dodd-Frank Timeline, Whistleblower Provisions, CFTC
Final Rule Issue Effective Date Proposed Amendment
August 4, 2011 October 24, 2011 August 30, 2016

SEC Whistleblower Provisions
January 18, 2011

The comment letter indicates that certain provisions could make for an effective whistleblower program, like the one suggested by the SEC. These provisions include:

  • "establish[ing] the proper process to sort out meritorious claims;"
  • "recogniz[ing] the importance of honoring the internal compliance and reporting process in balancing the whistleblower incentives so as not to override what is a core corporate function;" and
  • "offer[ing] legitimate whistleblower protection to those with the courage to step forward."


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