Whistleblower Provisions Regulation - Comment Letter - Financial Services Institute - December 17, 2010

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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
December 17, 2010

From the comment letter:

"FSI is concemed about the potential impact the Proposed Rules may have on established compliance programs of lBDs and their potential to undermine an lBDs robust compliance efforts. Specifically, we believe that whistleblowers should have to report to the broker-dealer about potential securities violations prior to reporting to the SEC."


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