Whistleblower Provisions Regulation - Comment Letter - Investment Company 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

The comment letter issues concerns and recommendations concerning the following topics:

  • "the program's likely adverse impact on internal compliance programs;"
  • "the program's attempt to impose new reporting obligations on registrants;"
  • "deficiencies in the program's criteria for rewarding whistleblowers;" and
  • additional topics concerning original information, prohibition against retaliation, foreign entities and non-federal government employees as whistleblowers."


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